Creating_Value_interim_report_summer11_DRAFT

Creating Value Emerging findings September 2011 Iain Springate http://www.exeter.ac.uk/spc/stratplan/hefcecreatingvalue/ www.twitter.com/morewithlessHE Table of Contents EXECUTIVE SUMMARY INTRODUCTION INTRODUCTION .6 CHALLENGES ORGANISATIONS FACE WHEN DELIVERING EFFICIENCIES CHALLENGES ORGANISATIONS FACE WHEN DELIVERING EFFICIENCIES KEY PRINCIPLES FOR SUCCESSFUL DELIVERY OF EFFICIENCIES KEY PRINCIPLES FOR SUCCESSFUL DELIVERY OF EFFICIENCIES CONSIDERATIONS FOR SENIOR MANAGEMENT CONSIDERATIONS FOR SENIOR MANAGEMENT .7 COMMITMENT: EVIDENCE SHOWS THAT THE COMMITMENT OF SENIOR MANAGERS TO CHANGES IS CRUCIAL TO EFFICIENCIES BEING DELIVERED SUCCESSFULLY COMMITMENT: EVIDENCE SHOWS THAT THE COMMITMENT OF SENIOR MANAGERS TO CHANGES IS CRUCIAL TO EFFICIENCIES BEING DELIVERED SUCCESSFULLY .7 STRATEGIC VISION: IT IS IMPORTANT THAT THE ORGANISATION HAS A CLEAR STRATEGIC VISION, AND THAT SENIOR MANAGERS DIRECT THOSE DELIVERING EFFICIENCIES TO FOCUS ON ACTIONS THAT WILL EXPLICITLY HELP THE ORGANISATION DELIVER ITS OBJECTIVES STRATEGIC VISION: IT IS IMPORTANT THAT THE ORGANISATION HAS A CLEAR STRATEGIC VISION, AND THAT SENIOR MANAGERS DIRECT THOSE DELIVERING EFFICIENCIES TO FOCUS ON ACTIONS THAT WILL EXPLICITLY HELP THE ORGANISATION DELIVER ITS OBJECTIVES .7 EMBEDDING CHANGES IN ORGANISATION: SENIOR MANAGERS NEED TO ENSURE THAT NEW WAYS OF WORKING AND THINKING THAT WILL DELIVER EFFICIENCIES ARE NOT MADE A ‘BOLT-ON’ TO THE WAY THE ORGANISATION OPERATES, BUT ARE FULLY EMBEDDED INTO STRUCTURES AND PRACTICES EMBEDDING CHANGES IN ORGANISATION: SENIOR MANAGERS NEED TO ENSURE THAT NEW WAYS OF WORKING AND THINKING THAT WILL DELIVER EFFICIENCIES ARE NOT MADE A ‘BOLT-ON’ TO THE WAY THE ORGANISATION OPERATES, BUT ARE FULLY EMBEDDED INTO STRUCTURES AND PRACTICES COMMUNICATION: ONGOING COMMUNICATION IS CRITICAL TO THE SUCCESS OF EFFICIENCY PROGRAMMES, AND IT IS IMPORTANT THAT SOME OF THIS COMMUNICATION COMES DIRECT FROM SENIOR MANAGERS COMMUNICATION: ONGOING COMMUNICATION IS CRITICAL TO THE SUCCESS OF EFFICIENCY PROGRAMMES, AND IT IS IMPORTANT THAT SOME OF THIS COMMUNICATION COMES DIRECT FROM SENIOR MANAGERS .7 INVOLVEMENT IN CHANGES: THE EVIDENCE SUGGESTS THAT SUCCESS IS MORE LIKELY WHEN SENIOR MANAGERS ACTIVELY DEMONSTRATE THEIR SUPPORT FOR INTERVENTIONS BY BEING PRACTICALLY INVOLVED of 34 INVOLVEMENT IN CHANGES: THE EVIDENCE SUGGESTS THAT SUCCESS IS MORE LIKELY WHEN SENIOR MANAGERS ACTIVELY DEMONSTRATE THEIR SUPPORT FOR INTERVENTIONS BY BEING PRACTICALLY INVOLVED BRINGING MIDDLE MANAGERS ON BOARD: SENIOR MANAGERS HAVE A KEY ROLE TO PLAY IN ENGAGING MIDDLE MANAGERS IN CHANGES, AS THEY ARE OFTEN SOLELY FOCUSED ON THEIR UNIT AND ITS TARGETS, AND SEE ANY CHANGES AS A RISK TO PERFORMANCE, SO CAN BE RELUCTANT TO ENGAGE BRINGING MIDDLE MANAGERS ON BOARD: SENIOR MANAGERS HAVE A KEY ROLE TO PLAY IN ENGAGING MIDDLE MANAGERS IN CHANGES, AS THEY ARE OFTEN SOLELY FOCUSED ON THEIR UNIT AND ITS TARGETS, AND SEE ANY CHANGES AS A RISK TO PERFORMANCE, SO CAN BE RELUCTANT TO ENGAGE OVERVIEW OF MECHANISMS AND APPROACHES FOR DELIVERING EFFICIENCIES OVERVIEW OF MECHANISMS AND APPROACHES FOR DELIVERING EFFICIENCIES CONCLUSION CONCLUSION INTRODUCTION 2.1 CREATING VALUE 2.1 CREATING VALUE 2.2 PROGRESS TO DATE 2.2 PROGRESS TO DATE 2.3 PURPOSE OF THIS REPORT 10 2.3 PURPOSE OF THIS REPORT .10 CHALLENGES ORGANISATIONS FACE WHEN DELIVERING EFFICIENCIES .11 KEY PRINCIPLES FOR SUCCESSFUL DELIVERY OF EFFICIENCIES 13 KEY PRINCIPLES TO FOCUS ON THROUGHOUT AN EFFICIENCY PROGRAMME 13 KEY PRINCIPLES TO FOCUS ON THROUGHOUT AN EFFICIENCY PROGRAMME 13 KEY PRINCIPLES TO FOCUS ON AT THE PLANNING STAGE OF AN EFFICIENCIES PROGRAMME 14 KEY PRINCIPLES TO FOCUS ON AT THE PLANNING STAGE OF AN EFFICIENCIES PROGRAMME 14 KEY PRINCIPLES TO FOCUS ON DURING IMPLEMENTATION 16 KEY PRINCIPLES TO FOCUS ON DURING IMPLEMENTATION 16 KEY PRINCIPLES TO FOCUS ON AFTER IMPLEMENTATION 18 KEY PRINCIPLES TO FOCUS ON AFTER IMPLEMENTATION .18 CONSIDERATIONS FOR SENIOR MANAGEMENT 19 STRATEGIC VISION 19 of 34 STRATEGIC VISION 19 EMBEDDING CHANGES IN ORGANISATION 19 EMBEDDING CHANGES IN ORGANISATION 19 COMMUNICATION 19 COMMUNICATION .19 COMMITMENT 20 COMMITMENT .20 INVOLVEMENT IN CHANGES 20 INVOLVEMENT IN CHANGES 20 BRINGING MIDDLE MANAGERS ON BOARD 20 BRINGING MIDDLE MANAGERS ON BOARD 20 OVERVIEW OF MECHANISMS AND APPROACHES FOR DELIVERING EFFICIENCIES 21 6.1 CHANGES THAT HAVE DELIVERED EFFICIENCIES FOR ORGANISATIONS 21 6.1 CHANGES THAT HAVE DELIVERED EFFICIENCIES FOR ORGANISATIONS 21 ORGANISATIONAL RESTRUCTURING 21 ORGANISATIONAL RESTRUCTURING .21 TAKING SERVICES OUTSIDE THE INSTITUTION 23 TAKING SERVICES OUTSIDE THE INSTITUTION 23 PROCUREMENT 23 PROCUREMENT 23 REDUCING ENERGY USE 24 REDUCING ENERGY USE .24 KNOWLEDGE MANAGEMENT 24 KNOWLEDGE MANAGEMENT .24 6.2 TOOLS TO HELP DELIVER CHANGES 25 6.2 TOOLS TO HELP DELIVER CHANGES 25 BUSINESS PROCESS REVIEW TOOLS 25 BUSINESS PROCESS REVIEW TOOLS 25 APPROACHES TO ENGAGE STAFF IN EFFICIENCY PROGRAMMES 27 APPROACHES TO ENGAGE STAFF IN EFFICIENCY PROGRAMMES 27 of 34 TOOLS TO PLAN AND THINK THROUGH CHANGES 28 TOOLS TO PLAN AND THINK THROUGH CHANGES 28 EMBEDDING CHANGES AND BEHAVIOURS 29 EMBEDDING CHANGES AND BEHAVIOURS 29 CONCLUSION .30 REFERENCES 31 FULLY REVIEWED SOURCES 31 FULLY REVIEWED SOURCES 31 OTHER REFERENCES 33 OTHER REFERENCES .33 of 34 EXECUTIVE SUMMARY INTRODUCTION The ‘Creating Value’ project will develop a learning resource for managers in HE to aid them in making their organisations more efficient and effective, drawing on successful practice both from HE and other sectors (e.g private, public) The project is funded by HEFCE and led by the University of Exeter in partnership with the University for the Creative Arts, University College Falmouth and the University of Sussex This interim report sets out emerging findings to date, drawing principally on a literature review, 24 interviews, and interim reports from the four institutional partners CHALLENGES ORGANISATIONS FACE WHEN DELIVERING EFFICIENCIES Evidence suggests that there are several major challenges that organisations need to overcome if they are to deliver efficiencies successfully Key challenges throughout any process to deliver efficiencies are to ensure that: a culture change is achieved, so that new working practices and behaviours, and therefore efficiencies, are sustained over time; and that there is ongoing and effective communication to staff, as this builds understanding of what is happening, which helps engender support The key challenges faced when planning changes to deliver efficiencies are: finding robust information (e.g benchmarking) to determine where efficiencies can be found; gaining the required resources to deliver efficiencies; overcoming resistance to change amongst staff; and defining measures that can be used to determine the efficiencies delivered, as well as encourage the required behaviour from staff During the implementation of changes to deliver efficiencies, key challenges include how to maintain momentum, and keep staff focused on achieving what they set out to deliver, as well as dealing with the complexity of organisations (e.g silo mentality, internal politics, multiple ownership of processes) The final challenge is to keep working in order to realise all the potential benefits and efficiencies from changes, rather than assuming that they will all ‘fall out’ naturally once changes have been made KEY PRINCIPLES FOR SUCCESSFUL DELIVERY OF EFFICIENCIES There are a number of key principles which are associated with the successful delivery of efficiencies regardless of the mechanisms used to deliver those efficiencies These are to: • • • • • • • • • • • Change the culture of the organisation so that benefits gained are sustained Define and use meaningful, benefits-focused metrics to evaluate success, and drive behaviour change Persuade staff to support changes, and maintain their support and engagement throughout Keep communicating with staff about progress of changes Ensure the organisational structure is right before starting to make changes Ensure change flows from, and will help deliver, the strategic vision for the organisation Gather robust information to make decisions about where and how savings can be made Evaluate potential approaches to delivering efficiencies and modify them to fit the organisation Develop a clear plan for implementation Generate early quick wins and publicise to staff Keep motivating staff, and supporting them to change their behaviour of 34 • • • • • Provide the training and information staff need to be successful Get the right people with the right skills involved in delivering efficiencies Involve staff in the whole process of delivering efficiencies Deal with IT issues effectively, as they can deliver significant savings or significant problems Don’t stop working when changes to deliver efficiencies have been made, but drive out all the potential benefits from changes CONSIDERATIONS FOR SENIOR MANAGEMENT Whilst senior managers will not normally be operationally responsible for the delivery of efficiencies, their actions and involvement are crucial to the success of the enterprise The evidence suggests there are several issues that senior managers need to focus on: • • • • • • Commitment: evidence shows that the commitment of senior managers to changes is crucial to efficiencies being delivered successfully Strategic vision: it is important that the organisation has a clear strategic vision, and that senior managers direct those delivering efficiencies to focus on actions that will explicitly help the organisation deliver its objectives Embedding changes in organisation: Senior managers need to ensure that new ways of working and thinking that will deliver efficiencies are not made a ‘bolt-on’ to the way the organisation operates, but are fully embedded into structures and practices Communication: Ongoing communication is critical to the success of efficiency programmes, and it is important that some of this communication comes direct from senior managers Involvement in changes: The evidence suggests that success is more likely when senior managers actively demonstrate their support for interventions by being practically involved Bringing middle managers on board: Senior managers have a key role to play in engaging middle managers in changes, as they are often solely focused on their unit and its targets, and see any changes as a risk to performance, so can be reluctant to engage OVERVIEW OF MECHANISMS AND APPROACHES FOR DELIVERING EFFICIENCIES The research identified several ways in which organisations have made savings These include organisational restructuring (e.g whole or part of organisation, and/or changing operational processes), taking services outside the institution (e.g shared services, outsourcing), making changes to procurement practices, reducing energy use (technical changes and behaviour modification interventions), and knowledge management The research also identified a number of tools to aid in the process of delivering efficiencies Most common were business process review techniques and associated approaches (e.g lean, enterprise architecture), but there were also tools to engage staff in delivering efficiencies, tools to aid managers in thinking through changes, and examples of mechanisms to embed throughout an organisation to help sustain efficiencies CONCLUSION There are key principles associated with the successful delivery of efficiencies, common across different sectors and time periods, and identified by staff at different levels within their organizations Focusing on these will increase chances of success, and a smooth implementation of 34 INTRODUCTION 2.1 CREATING VALUE The ‘Creating Value’ project is responding to the current (and ongoing) climate of constrained resources in higher education (HE) The project will develop a learning resource for managers in HE to aid them in generating the efficiencies necessary in this new context, drawing on practice both from HE, and other sectors (e.g private, public) ‘Creating Value’ is led by the University of Exeter in partnership with the University for the Creative Arts, University College Falmouth and the University of Sussex HEFCE has provided £275k of funding from the Leading Transformational Change element of the Leadership, Governance and Management Fund The partners are providing match funding The project will develop resources to help managers acquire the skills, attitudes and knowledge necessary to deliver more with less, specifically by: • • • Generating an evidence-based set of ideas about how managers can deliver more with less by: carrying out a literature review; interviewing managers from different sectors who have successfully created efficiencies; and trialling approaches at the four partner institutions Developing learning resources based on the evidence that are directly applicable to managers in HE Disseminating the resources throughout the project widely via a website and events The project is summarised in the diagram below: Literature review Interviews with managers across different sectors Projects at participating institutions (details below) Evidence Online learning resource Dissemination (e.g guidelines for delivering more with less, practical ‘toolkits’, case studies, examples of good practice) (e.g conferences, training and information events) Projects at the four participating institutions are described briefly below: • The project at the University for the Creative Arts involves carrying out a structural and organisational change to deliver enhanced international support functions It aims to derive of 34 • • • 2.2 efficiencies in the delivery of services that are currently dispersed across several departments Activities at the University of Exeter aim to ensure that all potential efficiencies are delivered from the transition from nine Schools to five Colleges The activities being undertaken are eight Common Action Teams (involving all colleges/professional services), aiming to identify/resolve operational issues, and deliver efficiencies; a Value for Money Committee that seeks to identify opportunities to generate efficiencies and deliver savings; and a staff suggestion scheme focused on saving staff time and money The project at University College Falmouth will investigate, develop and trial a change management cycle that will then be rolled out across the institution The cycle will involve elements of Enterprise Architecture, Prince2 and ITIL, and will be trialled and developed using three small scale projects The cycle will involve mapping existing processes, identifying inefficiencies, developing and reviewing solutions Activities at the University of Sussex will achieve strategic and operational efficiencies in relation to enhancement of the student experience Activities will focus upon creating improvements through enhanced provision of student advice services and of learning resources, and improved levels of graduate employability PROGRESS TO DATE Progress made to date on the project is: • • • Completion of research phase (see methodology in box below) Significant progress made with institutional projects, and completion of two interim reports Dissemination of emerging findings through workshops at various events, and feedback gathered regarding the findings, as well as what managers want from the learning resources Methodology Literature review Potentially relevant literature was identified through using pre-defined search terms (and derivatives) to search academic databases, search engines, and relevant web sites In addition, key stakeholders in the project were asked to identify relevant literature From these methods, 235 relevant documents were identified These were systematically ranked in terms of relevance to the aims of the project, and the most relevant 35 documents were reviewed in detail These documents covered several sectors (mainly private, public, HE) and described a range of mechanisms to generate efficiencies Interviews Managers who had successfully delivered efficiencies were identified through: • • • • Asking partner institutions to suggest relevant individuals/organisations Working with Development and Alumni Relations at the University of Exeter to identify and contact potentially relevant alumni Snowball sampling (asking interviewees to identify other relevant organisations/individuals) Networking at events Through these methods, 46 individuals/organisations were identified and asked to participate, and ultimately 24 individuals from 22 organisations were interviewed face-to-face or by phone Of the 22 organisations, there were: 11 from the private sector; six from within HE; three from the public sector; and two from the third sector Half of the interviewees (12) were senior managers in their of 34 organisations, with a minority respectively being the CEO (five), a middle manager (five) or a nonmanager (two) Interviewees were asked about the mechanism(s) they used to deliver efficiencies; the efficiencies they generated (and any other benefits that accrued); how change was implemented; challenges faced; any key factors that contributed to the success of the changes; and how their approach could be transferred to other organisations (specifically HE) Interviews were recorded and summarised for accuracy 2.3 PURPOSE OF THIS REPORT This report sets out emerging findings from the project to date, drawing principally on the literature review, interviews, and interim reports from the institutional projects It also draws on other relevant literature identified throughout the project and feedback from participants at dissemination workshops As the main output of the project will be online learning resources to help managers in HE deliver efficiencies, this is not intended to be a detailed report- the detail will be provided within the learning resources The report includes the following sections: • • • • Major challenges organisations face in delivering efficiencies Key principles for successful delivery of efficiencies Considerations for senior management Overview of mechanisms and approaches for delivering efficiencies 10 of 34 part of an efficiency programme he ran was to give every member of his staff an opportunity to attend a meeting in their country and hear him speak personally about the changes, why they were happening, and what the benefits would be He made this happen, despite having over 30,000 staff in over 50 locations across the globe COMMITMENT Evidence from interviewees and the literature shows that the commitment of senior managers to changes is crucial to efficiencies being delivered successfully (e.g Franken, 2009; Leach et al, 2006; Marin-Garcia et al, 2008) For example, Radnor et al (2006) found that management commitment is the most important factor contributing to the success of Lean implementation It is important that this commitment extends to allowing staff the necessary resources (e.g time, money, expertise) that they need to effect change successfully (e.g Antony, 2007) INVOLVEMENT IN CHANGES The evidence suggests that it helps deliver success when senior managers actively demonstrate their support for interventions through their involvement This can be through involvement in teams making changes, ensuring that they model the behaviour they are looking to see in others, and/or actively supporting those involved However, senior managers need to ensure that they allow their staff to challenge current systems, and not dominate those situations where they are involved A balance is needed to ensure that they show support, without negatively impacting the participation of staff Some interviewees suggested using external facilitators when staff from different levels got together to ensure that all staff are able to contribute fully BRINGING MIDDLE MANAGERS ON BOARD Several senior interviewees discussed the difficulty of getting middle managers to actively support changes, whilst acknowledging that their role is crucial, as they have the most day-to-day contact with operational staff Such managers can be difficult to engage as they are often solely focused on their unit/department, and on meeting their targets The problem can come when such managers are asked to engage in change activities that, although they may deliver benefits in the longer-term, constitute a risk in the short-term to the meeting of targets and the smooth running of their unit Interviewees suggested that senior managers can bring them on board by demonstrating how changes will ultimately benefit them directly, by providing evidence that changes will be successful in delivering efficiencies, and by making allowances for disruptions to performance that arise as a result of the change process 20 of 34 OVERVIEW OF MECHANISMS AND APPROACHES FOR DELIVERING EFFICIENCIES Having considered challenges, key principles associated with success, and specific considerations for senior managers, this section outlines some mechanisms/approaches for delivering efficiencies that evidence demonstrates have been successful The aim is not to discuss each mechanism/approach in detail, as there is not the space here, but to briefly introduce them The section firstly considers changes organisations could make to deliver efficiencies, and then looks at tools that could help facilitate such change 6.1 CHANGES THAT HAVE DELIVERED EFFICIENCIES FOR ORGANISATIONS The evidence suggests that there are various ways that organisations have found efficiencies, whilst maintaining and often improving quality of service These are outlined below briefly, with examples from the evidence and links to further information where appropriate ORGANISATIONAL RESTRUCTURING Organisations can deliver efficiencies by restructuring all or part of their operations, and amending their processes This often arises as a result of carrying out business process reviews that have identified where structures/processes could be changed to deliver efficiencies Some organisations have worked with consultants to carry out a whole system reorganisation, looking across the whole organisation to determine where savings could be made and re-aligning activity to deliver their aims as efficiently and effectively as possible The benefits are gained by re-constructing the organisation as a whole system, rather than a series of silos (with their inherent politics and duplication), and it leaves the organisation more able to deliver effectively than if management makes cuts across the board without changing objectives, processes or structures Examples: Whole system reorganisation Flagship Training is a provider of military and maritime training, employing 1500 staff over four sites For their contract with the Royal Navy, they had to make significant cost reductions over time Working with consultants, a four week process of interviews and process mapping culminated in a three day rapid improvement event with staff Over the three days a new structure was devised which delivered £3.5m of savings over the remainder of the contract Step-by-Step, a charity providing accommodation and support for young people, had grown organically and operated from six separate sites In 2011, they moved to a purpose-built new building and re-organised their whole structure and working processes in order to align to their strategic vision for the organisation and the services they offer young people This has been a long and intense process, but has led to significant saving of staff time, which is being re-invested in their services, as well as better quality accommodation and more services for the same cost Whilst a whole system reorganisation is a major step, often driven by a pressing financial need, organisations have also made savings by restructuring parts of their organisations and processes to make savings and improve effectiveness Within HE, examples are moving from large numbers of small academic units to fewer large units, or bringing together services to provide a better offer to students and reduce duplication Some organisations have also established groups of people, or roles, that have an overview of operational processes, so that they can identify where savings can be made or processes improved Other organisations have also established teams responsible for driving forward the efficiency agenda (e.g OPM, 2007) Examples: Restructuring 21 of 34 The University of Sussex reviewed existing support for students and has realigned some services to provide a more effective service to a wider group of students at reduced cost The Student Life Centre was set up at the start of 2010/11 and brings together non-specialist student support and advising services, together with student funding advice, by creating an information, advice and guidance service in a single, central campus location This approach has facilitated a significant reduction in staffing levels and premises, and feedback from students has been positive Some Local Authorities have established a designated ‘efficiency team’, who coordinate, oversee and make strategic decisions regarding efficiencies In some Authorities it is a ‘top-down’ structure, for example with an expert group (sometimes consultants) advising the senior management team, who then drive changes In others there is a more bottom-up approach, for example with a steering group of managers identifying, collating and disseminating good practice, and overseeing specific efficiency project teams who work across different services within authorities The University of Kent identified that the university and individual schools were growing, that processes were developing in different ways in different schools, but that nobody had an overview of all of the administrative activity Senior management decided to add an additional management layer at the faculty level, and recruited a faculty manager for each faculty, reporting to the Academic Registrar The faculty managers remit has been to deliver efficiencies and improve effectiveness of administration, and they have standardised processes, job descriptions, staff development etc.; facilitated the sharing of best practice across the university; encouraged collaboration between and within faculties; and encouraged the sharing of resources (e.g sharing staff) A global financial services company employing 450 staff has set up a Corporate Management Committee, which has an overview of, and responsibility for, all operational aspects of the business The committee meets weekly, is chaired by the finance director, and includes the Chief Information Officer, Head of Operations, Head of HR, and a senior practitioner in the business The committee makes strategic decisions about operations, as well as responding to issues that emerge Centralising the operations in this way has led to better information, better decisions, and efficiencies The University of Exeter reorganised academic departments from schools to five colleges in 2010 Part of the programme to deliver all the benefits from the change has been to set up Common Action Teams focused around eight key areas (e.g IT, HR, planning) with cross-college and professional service representation They purposely have no budget, and their remit is to consider how to be more efficient, how to work more effectively, and the capture/sharing of best practice Two project managers are providing support to the CATs Many organisations have used some of the tools below (see section 7.2) to review and amend processes to make them more efficient and effective This commonly involves ‘mapping’ current processes and representing them visually, in order to identify duplication, possibility for automation, areas where software/other resources are underused, and redundant parts of the process Then a process can be re-designed to provide a more efficient and effective service Evidence suggests the tools have been applied successfully to a wide range of different types of processes, and although such thinking originated in manufacturing contexts, they are being successfully applied in many service industries, and increasingly in HE Examples: Amending processes University College Falmouth are using Enterprise Architecture to map existing processes, present them visually, and re-design more efficient and effective processes Alongside the mapping, the JISC impact calculator is used to determine the potential cost savings from any changes The team has identified a number of processes that could be improved, and where money could be saved An example is the ad-hoc room bookings system, where changes will save around £14k annually The process maps have been shared, and other universities have recognised that they could make similar savings A regional Call Centre used Lean to look at the process their call handlers went through when they received a call from an individual wanting to sign up for their service A number of questions and prompts were identified as having little value, and were removed, reducing the call time; other agencies who needed to be notified of 22 of 34 the new customer were emailed with a standard email, rather than being called; and the use of a paper log (to take down information that then had to be entered online) was stopped The savings were estimated to be £2.5m annually for all the call centres in the region UUK (2011; 32-33) outline some key success factors associated with successful process improvement, and describe successful examples of change involving the printing strategy at Liverpool John Moores University (annual savings of £100k), and HR processes at the University of Cumbria (expected to save £45k annually) TAKING SERVICES OUTSIDE THE INSTITUTION There is some evidence in the literature to suggest that shared services (e.g revenue and benefits, payroll, HR etc.) could generate significant savings (OPM, 2007; Kaganoff, 1998; HEPI/JISC, 2010) The Policy Exchange (Massey, 2010) cite some successful examples of such services, and UUK (2011) outline some of the key success factors to consider and challenges to overcome if savings are to be realised However, Duke and Jordan Ltd (2008) suggest that there are various inhibitors to developing shared services within HE, in particular the issue of VAT payment, which can negate some or all of the potential savings Examples: Shared Services Kaganoff (1998) cites instances of savings made in US colleges and universities One example was 17 institutions in Virginia that joined together to purchase a contract with a long distance network carrier and expected to save a total of $4.65 million over the three-year contract The Bloomsbury Consortium is made up of the six HEIs that are located in Bloomsbury Since the Consortium’s formation in 2004, they have undertaken a number of collaborative arrangements One example is the shared Virtual Learning Environment (VLE), where each institution has a unique interface, but the platform is shared, and runs under a single license Savings arise from reduced fees for licenses, shared technical support, sharing costs for remote hosting, as well as reducing dependency on internal IT infrastructures and support A group of senior managers from all the HEIs meet monthly to develop the VLE, to share good practice and work together to ensure all institutions have their needs met There is also some evidence from the literature and interviewees that outsourcing can deliver savings (e.g Massey, 2010), for example in delivering non-core services as well as in areas like accommodation and IT UUK (2011) describe how the University of Westminster has avoided spending £1 million on hardware and software upgrades by utilising cloud computing, and has seen additional benefits of less system/user support needed, and significantly improved email storage capability Interviewees were keen to stress that outsourcing is not a panacea and comes with its own challenges, needing careful planning, and clarity about how exactly the arrangement will deliver savings and other benefits, and how any challenges will be overcome In addition, to successfully develop shared services or outsource processes, institutions need to simplify and standardise their processes to enable this to happen (UUK, 2011) PROCUREMENT Many interviewees stressed that procurement was a key area in which savings could be made There is some evidence that savings could be made through improved procurement processes, recruiting senior managers who have responsibility for procurement, and moving towards partnering and long term contracts which tie providers much more to service outcomes and quality (e.g.OPM, 2007; Duncome et al., 2007; HEPI/JISC, 2010) Interviewees also stressed that it was important to keep contracts under review and re-negotiate them periodically to ensure that what they are paying reflects a good price given the market conditions 23 of 34 Examples: Procurement There is evidence of savings being made as a result of using processes such as purchasing calendars, bidders lists, a central warehouse, and e-procurement (Duncome et al., 2007; HEPI/JISC, 2010) In terms of potential savings, Duncome et al’s (2007) research with schools suggested that the use of a central warehouse is associated with a 37% reduction in per pupil spending; the use of purchasing calendars are associated with a 24% reduction in per pupil spending; and the use of bidders lists is associated with a 32% reduction in per pupil spending One interviewee sat on the board of a company explained how they had made savings as a result of reviewing their contracts: “…we were spending £1.5m [annually] on couriers [The courier company] wanted to put the price up by 10%, [and] we then used that as an opportunity for a retendering exercise Competition came in at £1.1M and we favoured our incumbent for £1.15m So instead of suffering a £150k increase, we benefited from a £350k decrease from the same provider And the reason that that had happened is for the last 15 years [the price] had slowly just crept up and up When the suppliers said they wanted to put the prices up, that wasn’t profiteering, prices were going up, but if you started with a fresh piece of paper, and said ‘lets look at what can be done, what will the market provide?’, you end up with a completely different answer.” The company then reviewed other contracts and made a significant amount of other savings by retendering contracts that had been steadily increasing year on year REDUCING ENERGY USE There is evidence that interventions to reduce energy use, such as technical interventions (Altan, 2010) and behaviour modification schemes aimed at students and staff (e.g Bekker et al., 2010; Friedrich et al., 2010) can make significant savings Examples: Reducing energy use Altan (2010) describes some of the technical interventions that can save money The most successful example was the installation of control systems, and “…equipment efficiency improvement initiatives recorded the highest levels of success by leading to between 10% and 46% reductions in energy demand.” (Ibid: 5) Savings were also made through insulation interventions and the switching of power sources The investment required to install control systems and switch power sources is higher than insulation interventions, and therefore Altan (2010: 5) suggests that there is: “…a strong case for taking into account fabric insulation as a key measure in HEIs.” Bekker et al (2010) cite several instances of energy savings in student halls through behaviour modification schemes, and report on a specific case study in New Zealand with estimated savings of NZ$1,300 per semester in a hall of 190 students Posters were put up, calling residents’ attention to a savings thermometer, indicating that they could get a reward for electricity savings, explaining that energy saving is good for the environment and good practice for living independently, and offering electricity savings tips for adjacent clothes driers, televisions, light switches, and computers There was an energy savings thermometer directly inside the main entrance, showing progress against targets Rewards increased as residents saved more energy, and ranged from free coffee for a week to a free movie night with ice cream and pizza KNOWLEDGE MANAGEMENT Knowledge management (KM) is a means of collating and organising the knowledge contained within an organisation and its staff, so that it is easily and quickly available to all staff This enables staff to draw on the lessons that others have learnt, and the work that has been done previously, rather than having to start over on a new piece of work There is evidence that KM approaches can deliver savings and improve quality of work (Aaron, 2009; Kurniawati et al 2006) Examples: Knowledge Management 24 of 34 The University of Kent are mapping central key administrative processes (e.g relating to HR, finance, Congregation) and developing an online process library so that staff have a central place to find out how processes operate, and what their responsibility/role is This will save staff time, especially with processes that they seldom use (e.g congregations), and will save central professional service staff time as they are more likely to receive what they need to complete their end of processes Aaron (2009) describes part of the KM infrastructure at the global consulting company Accenture, called Knowledge Exchange It holds all the information that staff use and need in the course of their roles- such as contracts, presentations, pitches, reports, and approaches/methodologies used It is searchable, so that staff taking on a new contract can search the system, and take on board the lessons from anything similar that colleagues elsewhere have done A robust evaluation of the time savings for staff from using the system demonstrated a return on investment of over $18 for every $1 invested Kurniawati et al (2006) discuss an electronic process guide/experience repository (EPG/ER) developed and used within a small software company This is a web tool that contains information and help specifically indexed by processes to provide on demand information to staff (e.g containing checklists, examples, templates, anecdotes, lessons learned, code fragments, and links to other useful information) The research showed that the tool saved staff time, and improved the quality of the work that they did 6.2 TOOLS TO HELP DELIVER CHANGES Whilst the previous section considered changes that could be made to deliver efficiencies, this section focuses on some of the tools that can be used to plan and deliver such changes Each tool is described briefly, with examples from the evidence of their use and links to further information where appropriate BUSINESS PROCESS REVIEW TOOLS Carrying out a business process review (BPR) involves rethinking and redesigning processes in an organisation in order to make them more effective and efficient Generally this involves mapping a process and identifying stakeholders; examining the map for duplication, non-value adding activity, opportunities to streamline or automate etc.; discussing with stakeholders how the process can be improved whilst retaining or improving quality of output; and then putting proposed changes into practice Processes can be seen as any tasks that are achieved through a relatively uniform sequence of actions, and can be widely applied in a HE setting There is evidence suggesting that BPR’s can lead to efficiency savings and other benefits, for example in HE, local authorities (OPM, 2007) and the health sector (Patwardhan & Patwardhan, 2008) There are many ways of undertaking BPRs, and approaches that are associated with BPR processes, and lean thinking, balanced scorecard, enterprise architecture, and several data-mining approaches were all highlighted in the literature as potentially valuable Lean Lean is a generic process management philosophy, looking to make processes as efficient as possible Lean: “…provides a way to specify value, line up value-creating action in the best sequence, conduct these activities without interruption whenever someone requests them, and perform them more effectively In short, lean thinking is ‘lean’ because it provides a way to more with less – less human effort, less equipment, less time, and less space – while coming closer and closer to providing customers with what they really want.” (Comm et al., 2005a: 135) 25 of 34 There is much evidence of lean thinking delivering financial, and time savings in the private sector (e.g Higgins, 2007), the public sector (e.g Radnor, 2006) as well as in HE (e.g Moore et al., 2007; Comm et al., 2005b) Further information: Lean Comm et al (2005b) note some of the processes in which universities have made savings using Lean (e.g IT helpdesk, management of estate, procurement, budgeting processes) Moore et al (2007) describe the savings from applying lean thinking to the work order process of facilities management at the University of Central Oklahoma For example, they note annual savings of $14k on paper alone, and an improvement of 90 per cent in the average waiting time for a job to be completed Resources: • Articles/reports by Comm et al and Radnor et al listed in the bibliography • William Balzer’s book ‘Lean Higher Education’ • Cardiff University have a dedicated Lean unit who are working to make Cardiff Lean, and assisting other universities (http://www.cardiff.ac.uk/lean/index.html) and a Lean research unit in their Business School (http://www.leanenterprise.org.uk/) • St Andrews University have a lean team, and useful resources (http://www.st-andrews.ac.uk/lean/) Balanced Scorecard The balanced scorecard approach was originally developed by Kaplan and Norton (1996) It is a means of organisations reviewing their performance in order to improve, but critically, it focuses on more than just financial measures, as they only provide part of the picture Amaratunga et al (2001: 182) describe use of the balanced scorecard as: “…gathering critical non financial data to help pinpoint problems, improve processes and achieve organisational goals in ways that can be understood and used by all levels of the corporation, from line managers to senior executives.” Further information: Balanced Scorecard The University of Leeds have used a balanced scorecard to describe, measure and manage their corporate strategy To enable the key priorities to be easily understood and communicated, the scorecard focuses on ten key objectives, supported by thirty measures The corporate strategy actually identified 31 objectives, with around 60 measures, but senior managers felt that this would be too complex for staff to engage with, and that prioritisation was needed Objectives had lead and outcome measures- for example, the lead indicator for ‘creating an exceptional student experience’ was staff-student ratio, whilst the outcome measures were results from student surveys (see Marshall, 2007) Resources: • Kaplan and Norton’s book listed in the bibliography • Chapter four in ‘Strategic Leadership of Change in HE’ by Stephanie Marshall, which describes how the University of Leeds have used the balanced scorecard, and is listed in the bibliography • Reuben’s paper ‘Towards a Balanced Scorecard for Higher Education’, which presents a framework for a Balanced Scorecard to use in HE, and is listed in the bibliography Enterprise architecture Enterprise architecture (EA) is a: “…high-level strategic technique designed to help senior managers achieve business and organisation change It provides an evolving, dynamic way of describing and aligning the functional aspects of an organisation, its people, activities, tools, resources and data/information, so they work more effectively together to achieve its business goals.” (Anderson & Backhouse, 2009: 8) The JISC Early Adopters study (Anderson & Backhouse, 2009: 8) suggests that there is potential for universities to generate efficiencies and see other benefits by using EA Further information: Enterprise Architecture University College Falmouth is using EA to map current administrative processes, determine potential changes and efficiencies to be gained, and monitor/review the impact of their changes For example, they have found 26 of 34 £14k of annual savings by applying EA to their ad hoc room bookings process, and £13k of savings over five years by amending their student withdrawals process Resources: • The JISC Early Adopters of EA study by Anderson and Backhouse, listed in the bibliography • JISC EA Infokit, available at http://www.jiscinfonet.ac.uk/flexible-service-delivery/ea Data-mining approaches Where universities have a lot of data from a process going back over a significant period of time (e.g incoming calls about admissions etc.), then data-mining approaches can potentially be used to examine the data, draw out patterns and problems, and re-work available resources to operate the process more efficiently For example, with incoming calls, part of this may involve ensuring the number of staff available to take calls is always matched to the expected volume of calls at that time The University of Exeter is exploring whether this approach could be useful with performance improvement consultants One potentially useful methodology is statistical process control (SPC), which uses statistical techniques to measure and analyse variation in processes (Antony, 2007) This enables the identification of variations that can be reduced within specific processes- leading to quality and efficiency improvements Roth (2005) writes that SPC can be useful in several cost-reduction strategies, including business process reviews, activity management, quality improvement, and efficiency improvement APPROACHES TO ENGAGE STAFF IN EFFICIENCY PROGRAMMES A key success factor for efficiency programmes is the successful engagement of staff, and there are a number of tools that can be used to engage staff in different ways Firstly, idea capture schemes, which are “…a formalised mechanism which encourages employees to contribute constructive ideas for improving the organisation in which they work.” (Milner et al., 1995: 4) Evidence suggests that operational staff are often best placed to know where efficiencies can be delivered, and such schemes are a way of organisations gathering that knowledge Schemes can be generic, encouraging any ideas about how an organisation can be improved, or can be specific to a single issue, such as cost-saving ideas They range from staff suggestion schemes to improvement teams, and there is evidence from different sectors that they can deliver significant savings (e.g Leach et al., 2006) Further information: Idea Capture Schemes There are lots of different ways to run idea capture schemes The University of Exeter has a scheme, Tell Us, looking for ideas to save time/money, where ideas are submitted to a central point and redistributed to relevant managers across the institution to evaluate against a framework A regional utilities company in the UK get together teams of staff of different grades with a facilitator to develop ideas The teams then present their ideas to senior managers in a ‘dragon’s den’ style- senior managers will give an immediate yes to a promising scheme with a required investment of £50k or less, and this has led to some very simple and effective ideas which have saved significant cost Resources: • Papers by Leach et al., and Milner et al listed in the bibliography • Ideas UK, a charity that advises organisations on idea capture schemes http://www.ideasuk.com/ A common approach in many organisations was to bring large groups of staff together to discuss what the strategic vision for their organisation was, and what they could to achieve their aims more efficiently and effectively Evidence suggests that one challenge in doing this is keeping a positive focus, looking for solutions rather than just barriers One interviewee has successfully used 27 of 34 appreciative enquiry (AE) at several organisations AE is a structured process, led by a facilitator, which encourages staff to take an issue or challenge, to then focus on what makes their organisation good, and think about how they could make the organisation better and overcome the issue The aim is to avoid a downward spiral of negativity, where people end up focused on the enormity of an issue, and all the things that they can’t It has been used successfully at organisations such as the BBC (see below) Further information: Appreciative Enquiry One interviewee was involved with the consultation at the BBC run by Greg Dyke (as Director General) to look at how the organisation could improve Every employee was invited to go to an AE session where they talked about the things that needed fixing, identified a huge list of issues and then committed to making those things better From the process of consulting 16,000 people at the BBC, there were about 40 great ideas that were identified For example, one idea was flexible holiday- staff wanted to be able to buy more holiday from the BBC, or sell it back if they didn’t need it all It saved cost, because there was less use of temporary staff to cover holidays- people who had sold holiday back were able to provide cover The BBC then involved the people who came up with the ideas, alongside those with relevant specialist expertise, in the project delivery teams to make it happen They were called ‘making it happen’ meetings This meant that people came up with great ideas and had the satisfaction of seeing them through, rather than handing it on to someone else who has to try and make it work Resources: • Appreciative Enquiry Commons, Case Western Reserve University http://appreciativeinquiry.case.edu/ • UK-Based AE training and information site http://www.appreciative-inquiry.co.uk/ TOOLS TO PLAN AND THINK THROUGH CHANGES There are multiple ways to think about and plan changes to deliver efficiencies Two examples emerged from the research Firstly, the Audit Commission, based on international, historical and cross-sectoral research, have identified a simple model to use to deliver efficiencies successfully (Ridley, 2011) which is explained in the box below Further information: Audit Commission Model The model has four stages that can become a cycle of continuous improvement: #1 Identify the challenge: Ensure that the nature of the problem, size, and savings needed are agreed by stakeholders, and don’t over-estimate room for manoeuvre (i.e notice periods; contract tie-in’s etc.) #2 Identify your vision and values: Ensure that all stakeholders agree on what you exist to do, and how you can get there This helps ensure that short-terms gains leading to long-term problems will be avoided, and that change to deliver efficiencies will be strategic, and follow a clear rationale #3 Develop a plan to make savings: Ensure that there is good information on which to base a plan; that there is a clear rationale and methodology that people can buy into; and that there is a contingency if the plan does not work as expected #4 Make it happen: Ensure you have the commitment of staff, and maintain it; keep up communication about changes; ensure there are people with change management skills involved; and keep monitoring the impacts of the changes One interviewee has also used a set of four simple questions as part of a change process to deliver efficiencies, at organisations such as the BBC, BAE systems and Lloyds Banking Group (see box below) When change is carried out effectively, staff are able to answer ‘yes’ to all the questions The questions can be used in various ways, for example: during the planning process to help managers determine the actions they will take to ensure that staff can answer positively to all four questions; during implementation to ask staff the questions and see if they can respond positively; at a review point to ascertain whether all of the four areas have been adequately addressed for staff 28 of 34 Further information: Four Questions • Do I understand clearly what is expected of me? It is critical to communicate the purpose of change, where the organisation will get to as a result of changes, vision for the future, and specific measurable expectations of behaviours in the future Many change programmes stumble because not put enough effort is put into articulating the requirements for staff • Do I have the necessary skills and expertise to be able to behave in that way? Staff will often need training/development to be able to behave in the expected manner • Do the organisations systems, processes and ways of working reinforce and encourage the required behaviour? If the behaviour that is required under the changes is penalised in some way (even unintentionally), then it will discourage staff from changing their behaviour Positive reinforcement will, however, encourage them to change • Do I see other people in the organisation, particularly the more senior and key leaders, acting in that way? People will be encouraged to work in new ways, and take on the challenging things that they are being asked to do, if they see that it applies to staff at all levels- including top management EMBEDDING CHANGES AND BEHAVIOURS Evidence from the interviews and literature makes clear that embedding measures that encourage staff to deliver efficiencies, or act in a way that will deliver efficiencies, is critical to sustaining changes and savings (e.g OPM, 2007; Friedrich et al., 2010; Harrison et al., 2010) This means that staff remain focused on them, and see them as an integral part of their work Examples of successful ways to achieve this include: • • • • • • • using leadership and management development programmes to effect a culture change throughout the organisation making efficiency a theme within strategic documents building behaviours and targets that relate to delivery of efficiencies into performance management frameworks creating specific roles and responsibilities related to delivering efficiencies putting efficiencies as an item on agendas of key decision-making fora Identifying and building efficiency-related competencies into recruitment processes introducing internal incentive structures that rewards departments for efficiencies (i.e keeping a proportion of the saving) 29 of 34 CONCLUSION Universities UK have stated that generating efficiencies should be a “…priority strategic concern for all institutions.” (UUK, 2011; 19) Evidence shows that there are a clear set of key principles associated with the successful delivery of efficiencies that can be followed, common across different sectors and time periods, and identified by staff at different levels within their organizations However, ultimately, the successful delivery of efficiencies comes down to people When planning changes to deliver efficiencies, the focus should always be on those people who are the end users of services For universities that could include internal customers (e.g schools, academics), students or research users Ultimately, as one interviewee commented, the focus should never be ‘efficiency at all costs’, but being as efficient as possible whilst delivering the quality of service that people using the service reasonably expect In many cases, the best approach will not be the least costly, and evidence shows that organizations that solely focus on cutting cost get into difficulties quickly as they don’t provide what people want from them (Gulati et al., 2010) A balance needs to be struck between becoming more efficient, and retaining the quality of service that is expected In terms of the process of delivering efficiencies, people working at all levels with an organization have an important role to play Senior managers drive changes through creating the conditions for change, through their demonstrated commitment, and by ensuring that efficiencies generated are helping the organization achieve its goals Managers play a key role in communicating to staff about the changes, and in implementing them Staff ‘on the ground’ are a source of intelligence about how an organization can improve performance, and are the people who actually make the difference and deliver efficiencies All have a role to play, and at the start of a process to deliver efficiencies, consideration needs to be given to how all staff can contribute most effectively to a successful outcome Lastly, critical in getting everyone to play their part is establishing connections between all the people working in the organization, the aims of the organization, and the efficiency programme Connections need to be made: • • upwards from the efficiency programme to the organizational purpose and aims, so that it is clear to all how generating efficiencies will help the organization achieve its aims downwards from the efficiency programme throughout the organisation’s management structure, so that every individual knows what actions/behaviours they need to demonstrate to see 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