carleton university gold role model application prepared for: … · 2 | p a g e finance and...

Carleton University Finance and Administration Division Excellence, Innovation and Wellness Progressive Excellence Program Gold Level – Role Model Application

Prepared for: Excellence Canada Prepared by: Finance and Administration Excellence, Innovation and Wellness Working Group May 24, 2017

1 | P a g e Finance and Administration Division, Carleton University Excellence, Innovation and Wellness – Gold Level Application

Table of Contents

Profile ........................................................................................................................................................... 2

Finance and Administration’s Journey to Excellence................................................................................... 5

Self-Assessment…………………………………………………………………………………………………………………………………….7

Driver 1: Leadership and Governance…………………………………………………………………………………………………….9

Driver 2: Strategy and Planning .................................................................................................................17

Driver 3: Customer Experience ..................................................................................................................22

Driver 4: People Engagement ....................................................................................................................28

Driver 5: Process and Project Management ..............................................................................................39

Driver 6: Partners and Suppliers ................................................................................................................45

Conclusion ..................................................................................................................................................48

Appendices (See separate file)


Profile This application is for the Excellence, Innovation and Wellness standard Gold Level – Role Model certification for the Finance and Administration Division of Carleton University.

About Carleton University In 2017, Carleton University turns 75 as Canada celebrates its 150th birthday. We are a dynamic research and teaching institution with a tradition of anticipating and leading change. Our roots – from our humble beginning as the Carleton College to the thriving post-secondary institution it is today – have been, and continue to be, in the community, anticipating its needs and providing a dynamic environment in which to teach, learn and work. The university is located on unceded Algonquin territory of more than 62 hectares with 47 buildings, five kilometres of underground tunnels that connect to each building, on a site between the Rideau River and the historic Rideau Canal, just a short distance from downtown Ottawa. Our location is one of the attractions to the more than 28, 845 full- and part-time students who attend Carleton University at the undergraduate and graduate levels.

Our campus community is also made up of more than 865 academic staff, who are recognized globally for their scholarship and cutting-edge research in more than 65 disciplines. The students and faculty are supported by 1,059 full-time and regular part-time staff, who share the goal of providing a superior learning experience with a service excellence focus. Carleton’s 2017-’18 overall budget is $647 million (operating, ancillary, research and capital).

For the third time, in 2017, Carleton University has been named one of the top 25 employers in the National Capital Region. The university was also honoured in 2011 and 2015.

Carleton’s organizational structure (Appendix A) features four vice-presidents who report to the President who, in turn, reports to the Board of Governors. The four vice-presidents represent Finance and Administration, Research and International, Academic, and Students and Enrolment functions of the university. The Board of Governors (Appendix B) is the overarching governing body of the university.

Planning at Carleton University is influenced and shaped by its five-year Strategic Integrated Plan (SIP) entitled Collaboration, Leadership and Resilience: Sustainable Communities – Global Prosperity (Appendix C) and the provincial Strategic Mandate Agreement (SMA) framework. The current SIP will sunset in 2018.

In 2014, the Ministry of Advanced Education and Skills Development (formerly Ministry of Training, Colleges and Universities) mandated all universities and colleges in Ontario to develop an SMA. Carleton’s current SMA outlines the role of the university and how it will build on its current strengths to achieve its vision. This year, the provincial government is expected to provide a new framework for the next iteration of the SMA process.

The new SMA process will inform and help shape the development of the next version of the university’s five-year strategic plan. A cross-functional working group has been established to track the SMA process and to analyze how it will impact the strategic planning for the university, as well as the annual budget process.


Finance and Administration Divisio The Finance and Administration Division of Carleton University comprises nine diverse departments (Appendix D) that contribute to the success of the university. In Finance and Administration we are people focussed and excellence driven. In Finance and Administration, we refer to “professional services staff” and in the broader university context, we refer to “staff and faculty.” The Finance and Administration division has approximately 400 professional services staff.

Although diverse, each department within Finance and Administration works toward the same goal: to contribute to Carleton’s academic mission of teaching, research and community service by providing professional services that are effective, efficient and timely. Our Core Values (Appendix E) include innovation, service excellence, continuous improvement, inclusive decision-making, employee engagement, accountability, and providing a safe, healthy and sustainable environment. These core values were reviewed in late 2016 and confirmed that they continue to reflect who we are and how we work.

In the two years since Carleton University achieved its Silver Level certification, the collaborative approach to planning has become second nature to how we work, further involving professional services staff and faculty so that we continuously improve. Departments across the division regularly seek feedback from their customers so that they can continuously improve and be innovative in their approaches to delivering services. In addition, there are a number of other avenues in which we seek input, feedback and ideas across the university including, the interactive online Ideas@Carleton forum where participants can comment on submitted items, the Michel’s Den event – modelled after the CBC TV show, the $1-million Green Revolving Fund, Parking Services’ annual focus groups with students, faculty and staff, University Services uses free-standing iPads at various locations to survey customers; EHS online training feedback, Learning and Professional Development, and Lean Process Review and Benchmarking initiatives, which encourage cross-functional participation in order to effectively address opportunities.

The way we work is not only influencing change within the Finance and Administration division, but also across the university and beyond our campus. Across the campus, academic units and departments are adopting strategic planning models, as well as using Lean Process Review and Benchmarking to assess how they work. Beyond our campus, the Office of Quality Initiatives has been retained by the Ottawa Police Service’s Facilities Management team to conduct Lean Process Review. Other post-secondary institutions across Canada (University of Calgary, University of Guelph, UBC, University of Waterloo, University of Ottawa) have also recognized that Carleton are leading the way in healthy workplace, Carleton Leader and EIW they have reached out to consult us about our approach to continuous improvement and Healthy Workplace.

The division consists of the following departments:

Information Technology Services (ITS) ITS provides enterprise-wide information technology solutions and services to support the learning, teaching, research, and administrative goals of Carleton University. ITS is made up of seven units: Academic Computing, Enterprise Applications, Client Services, Information Security, Operations and Infrastructure, the Project Management Office and Web Services.

Financial Services Financial Services contributes to the university’s mission by providing professional support that meets,


and exceeds, the needs of the Carleton community and external stakeholders, using new technologies and innovative practices. It works with students in the management of their student accounts and provides academic and administrative departments with the tools, advice and guidance necessary for efficient and effective management of their financial resources in pursuit of their teaching, research and support goals. Financial Services also supports senior management in financial planning and the decision-making process. Financial Services is made up of five departments: Business Operations, Student Accounts, Research Accounting, Controller’s Office and Risk Management.

Facilities Management and Planning (FMP) FMP provides services for 62 hectares of land supporting 370,000 gross square metres of building space including: planning, design, construction management, space management, facilities maintenance, preventative maintenance, equipment repair, custodial services, grounds maintenance, as well as landscaping services to ensure a university campus that meets the evolving needs of our students, faculty and staff. The Environmental Health and Safety team is part of FMP and provides leadership in accident and incident prevention, general and specialized health and safety training, development of the respect and safety campaign to prevent workplace harassment and violence, and ensuring teaching, research and university operations comply with relevant legislation. Carleton’s Sustainability Master Plan and Energy Master Plan are significant components of FMP’s portfolio, impacting all aspects of campus, from research to green initiatives.

Human Resources (HR)

Carleton University’s HR professionals are capable, committed and service oriented. They share a

common HR mission and set of values as identified in the SIP: excellence, collaboration and

partnerships, efficiency and sustainability, diversity and accessibility, accountability, leadership and

resilience. The HR organization is structured into three main Centers of Excellence (COE) – Labour

Relations, HR Partner Services and HR Talent Programs & Operations. These units work together in a

highly collaborative fashion to enable HR to better serve all our clients, colleagues and the entire

university community.

Office of Institutional Research and Planning (OIRP) OIRP promotes and supports instructional planning, evidence-based decision-making and accountability by providing quantitative information and analysis and related professional services to the Carleton community. It fosters understanding of the university’s activities by defining, collecting and disseminating standardized statistics, and by undertaking innovative institutional research and surveys.

Office of Quality Initiatives (OQI)

OQI provides and inspires quality though continuous improvement initiatives with a customer-focused

approach. In collaboration with senior management, faculty, professional services staff and students,

this team strives to improve Carleton University’s performance to reach its strategic goals. They

provide customized consultation and facilitation in the following areas: Benchmarking, Lean Process

Review, Strategic Planning, Service Excellence, Best Practice Research and Communications. In order to

foster a culture of leadership and wellness with its partners on campus, OQI oversees ground-breaking

initiatives such as the Carleton Leader, Healthy Workplace, Mental Health and Well-Being, Learning and

Professional Development, Fierce Conversations, Coaching Ourselves, the Supervisory Development

Series and the Management Development Series.


Pension Fund Management Office

The Pension Fund Management Office is accountable for the effective management of the Carleton

University Retirement Fund. This includes investing the fund in accordance with legislation and

fiduciary duty, ensuring stewardship of the trust fund supporting the Retirement Plan, providing

strategic direction and leadership to the Pension Committee, and communicating with the Plan

membership and other stakeholders about important Plan matters.

University Services There are 11 units within University Services that provide essential services to students, faculty, professional services staff and visitors. Each unit is committed to providing excellent customer service, contributing to the quality of life of the university community, as well as sustainable and innovative operations. University Services is made up of:

Carleton University Bookstore

Campus Card

Conference Services

Dining Services

Graphic Services

Housing

Information Carleton

Mail Services

Purchasing

Science Technology Centre

Student & Guest Services

University Safety

The Department of University Safety (DUS) is comprised of four sections – Patrol Services, Parking

Services, Technical Services and the Office of Emergency Management and Continuity of Operations –

and addresses the needs of the community for personal safety, protection of property and parking. It is

responsible for enforcing university polices as well as federal, provincial and municipal laws in support

of the university’s academic mission. Our Special Constables are sworn peace officers with the

authority of police officers on campus that allows us to provide an enhanced level of service to the

community. The Community Liaison Officer oversees crime prevention programs, liaises with various

community groups and can provide presentations on personal safety and crime prevention initiatives.

Carleton’s physical security systems use advanced technologies to keep the campus a safe environment

to work, study and live. In the event of a major incident on campus, DUS is responsible for emergency

management and business continuity and can notify the community through an Emergency Notification

System, as well as messaging through the CU mobile app, Facebook and Twitter Accounts.

Out of Scope

Finance and Administration’s contract services including the Aramark staff, who provide dining services, and the C&W staff, who provide custodial services on campus, are not in scope.

Finance and Administration’s Journey to Excellence

Excellence, Innovation and Wellness is part of the fabric of the Finance and Administration Division at Carleton University and we focus on continuous improvement through our people. Our strengths are our


professional services staff and the quality service we provide to our Carleton University community. We are people focussed and excellence driven.

In summer 2016, the Finance and Administration division underwent a leadership change after Duncan Watt retired as vice-president following a 22-year career at the university. Our new Vice-President of Finance and Administration, Michel Piché, has reaffirmed the division’s commitment to its journey to excellence and continuous improvement. As part of the division’s annual planning cycle, senior leaders reviewed our mission and vision and our core values in late 2016, confirming they continue to reflect our focus and priorities. To help guide us in our planning and continuous improvement journey, we have been using the Excellence, Innovation and Wellness standard as our framework since 2012 so that we can continuously improve and be the best that we can be.

To assist the division in its excellence journey, the Excellence Working Group, with representation from the nine diverse departments within the division, was formed in 2012 and continues to guide us through our journey.

Finance and Administration achieved Bronze Level in 2012, Silver in 2015 and we are now pursuing Gold Level. The expected outcomes are Gold, and ultimately achieving Platinum certification, with an optimal goal of embedding excellence, innovation and wellness across our division and influencing the expansion of this initiative to the entire university.

Since achieving our Silver Level, we have been working hard to further implement key elements of the

standard, including process management, which is now being used by all departments across the division

to varying degrees. Increasingly, our partners and suppliers play a strategic role in planning, as well as

product development and training in areas of financial services, ITS and campus safety. More than ever,

we seek input in our quest to continuously improve and, as a result, our planning process is more robust,

our learning and professional development better reflects our customers’ needs, and services, like

Parking, have improved how they work, just to name a few. A knowledge plan, Knowledge at Carleton,

has been developed to assist the division, in better sharing information and processes.

Our self-assessment for Gold Level has shown we are building on our successes but recognize that there

is still work to do. As the results of the self-assessment show, we have made great strides in the two

years since Silver, and the journey continues. We look forward to demonstrating our application with

you.

Carleton University’s Healthy Workplace

In addition to our EIW certification journey, Carleton University has also pursued certification in Healthy

Workplace and Mental Health at Work frameworks.

From a university perspective, Carleton began its Journey to Excellence in 2009 with the Healthy Workplace Framework, which is a university-wide initiative. To date, Carleton has received Bronze Level, Silver Level, Gold Level and is currently pursuing Platinum Level in Healthy Workplace certification. As well, Carleton has achieved its Bronze Level certification in Mental Health at Work, and we will be applying for Silver Level certification in spring 2017.


Carleton’s Healthy Workplace (HWP) initiative brings workplace health and wellness to all Carleton’s staff and faculty and seeks to make Carleton a healthy, safe and enjoyable place to work, study and to do research. The Healthy Workplace Plan (Appendix F), which sunset in 2016, has provided a roadmap for programming and engagement in three areas of focus: health promotion, work-life balance and mental health. As well, the Mental Health and Well-Being Strategy (Appendix G) has guided us in providing initiatives, training and events to break down barriers in this area. The new integrated Plan, set to launch in fall 2017, is the next exciting step in taking a systematic and co-ordinated look at the physical and mental health and safety of our campus. The Healthy Workplace Plan and the Mental Health and Well-Being Strategy will form the foundation for the new integrated plan.

A full-time HWP Co-ordinator works with the HWP committee, a cross-functional group made up of faculty and staff, as well as the Healthy Workplace Champions, a network of volunteers representing units and departments campus-wide, to establish priorities and programming. The Healthy Workplace initiative is sponsored by the Vice-President (Finance and Administration), with the Assistant Vice-President (University Services) as its champion and the Director of Quality Initiatives, who is responsible for the management of the initiative. In 2015, Carleton launched a mental health and wellness initiative and formed a Mental Health Working Group and a Mental Health Advisory Committee.

In recognition that mental health is part of the broader healthy workplace, the Mental Health Advisory Committee and the Mental Health Advisory Committee, which were sub-committees of the Healthy Workplace, were collapsed into the Healthy Workplace Committee in 2016.


Self-Assessment Results

As part of our preparation for this Gold Level application, we conducted a self-assessment (Appendix H) with three focus groups (one for managers, and two for professional services staff) representing a cross section of our division. This provided us valuable information (Appendix I), highlighting both our strengths and opportunities for the Finance and Administration division. Overall, the results were positive and the report highlighted that we are setting the example for the

university. The participants highlighted our strengths including, strategy and planning, customer

experience, partners and suppliers, and people engagement. In the two years since achieving Silver, we

have taken the feedback received from the verification team at that time, and built an action plan to

address gaps and opportunities. Participants in the Gold Level focus groups told us that they are regularly

engaged in the planning process, that our relationships with partners and suppliers benefit both parties

in significant ways, and the importance of documenting processes is becoming part of the culture across

the division, from departments being new to the process to others having documented hundreds of

processes. As well, it was noted that there is more openness and collaboration and multiple ways to

provide feedback. Professional Services staff also feel that work-life balance and wellness is supported

and encouraged.

The self-assessment report showed us that we are making great strides but that the journey continues.

We are pleased to present this application for Gold Level certification in Excellence, Innovation and

Wellness.

Location

Carleton University Office of the Vice-President (Finance and Administration) 503 Tory Building 1125 Colonel By Drive Ottawa, ON K1S 5B6 www.carleton.ca www.carleton.ca/finance-admin

Contact information

Michel Piché Vice President (Finance and Administration) Tel: 613-520-8867 Email: [email protected] Cindy Taylor Director, Quality Initiatives Tel: 613-520-2600 ext. 7847 Email: [email protected]

http://www.carleton.ca/

http://www.carleton.ca/finance-admin

mailto:[email protected]



Driver 1: Leadership and Governance

The Finance and Administration Admin Directors represents nine departments within Finance and Administration. There are a number of university governance bodies, many of which Michel Piché, Vice-President Finance and Administration chairs or is a member. In our Gold Level Self-Assessment participants made particular note that the leadership within the Finance and Administration division were committed to continuous improvement, that they demonstrate that they are open to change and hearing about new ideas.

Criteria 3.1 a)

Governance framework policies are being met throughout the organization, e.g. accountability for management actions, fiscal control, privacy, security and ethics.

Deployment Evidence

i. Carleton University’s Strategic Integrated Plan (SIP) guides the university through the Carleton Planning Framework.

ii. In 2017, the university’s governing body, the Board of Governors, began providing summary notices to the campus community immediately following their meetings as a means of communicating their decisions more broadly to staff, faculty and students.

iii. In 2017, the Ontario government will issue a new Strategic Mandate Agreement (SMA) framework and Carleton University is developing its response with the assistance of a cross-functional working group. The new SMA process will influence Carleton University’s future strategic plan, as well as the annual budget process.

iv. The Carleton Planning Framework ensures financial accountability and transparency.

v. Financial town halls are held to inform the Carleton community of the current financial outlook. Carleton’s budget process is shared with the community. In January 2017, the Vice-President (Finance and Administration) held a financial town hall. ITS and Facilities Management and Planning also use town halls to communicate priorities and news with professional services staff in those departments.

vi. A policy development process is in place to ensure consistency and proper governance.

vii. Carleton is committed to risk management on a university-wide level in order to ensure the campus community is prepared for any challenges that may arise. The Director of Risk Management in Financial Services strengthens Carleton’s ability to anticipate, assess and manage risk by providing workshops to the campus community and collaborating with partners across campus to problem-solve. Operational risk is also reported on an annual basis by Environmental Health and Safety.

viii. IT governance at Carleton ensures that the investment in IT aligns with the strategic direction, themes and priorities of the university, including the Strategic Integrated Plan.

See Appendix C Strategic Integrated Plan (SIP) Appendix 3.1.a.ii Board of Governors Meeting Summary Note Appendix 3.1.a.iv Carleton Planning Framework Appendix 3.1.a.v Financial Town Hall Presentation Appendix 3.1.a.vi Administration (Development and Revision) of University Policies Appendix 3.1.a.vii Risk Management Policy Appendix 3.1.a.viii IT Governance


ix. University-wide Service Excellence Standards have been in place since 2009. Each department has translated these Service Excellence Standards to reflect their customers’ needs and values. The Office of Quality Initiatives does ongoing outreach to departments to ensure the standards are familiar and included in planning strategies, as well as encourages regular review of the standards.

x. The Human Resources function has an aspirational vision of “Best HR, Best Employer.” The function has established a governance structure to assist with the attainment of this vision. The Senior Human Resources Advisory Committee (SHRAC) has a mandate to a) provide strategic advice and guidance on key HR investments, decisions and direction; b) ensure alignment to the Strategic Integrated Plan (SIP); and c) ensure alignment to the key goals, principles and values of Carleton University.

xi. Carleton University has a responsibility to be in compliance with Payment Card Industry regulations to ensure cardholder data we handle is protected. ITS and Financial Services ensure secure IT/credit card processing environments, provide training to merchants and IT personnel, and/or respond to any PCI and cardholder issues.

xii. Finance and Administration has a Mission, Vision and Values statement. The Mission, Vision and Values statement was reviewed in 2016. Our core values include innovation, service excellence, continuous improvement, inclusive decision-making, employee engagement, accountability, and providing a safe, healthy and sustainable environment.

xiii. The division uses the Organizational Excellence Scorecard as a methodology to plan. Finance and Administration’s planning cycle mirrors the Carleton Planning Framework.

xiv. The Organizational Excellence Scorecard is an approach to performance measurement in both financial and non-financial areas. There are key performance indicators embedded in the scorecard.

xv. In November 2016, a Finance and Administration planning session was conducted with the leadership team to set out priorities for the 2017-‘18 year.

xvi. The cross-functional Organizational Excellence Steering Committee (OESC) issues calls for Quality Improvement project proposals. All Carleton staff and faculty members are encouraged to submit project proposals that would maximize operational or organizational quality at Carleton. This can include, but is not limited to, projects that enhance services, analyze operations, assess programs, or adopt leading practices. Quality Improvement project proposals are reviewed, approved, and prioritized by the OESC and, once in action, are overseen from initiation through to implementation and closure by this committee. This process promotes an increased level of visibility across the university. It also ensures the appropriate stakeholders are involved in continuous improvement initiatives. Project proposals impacting Learning and Professional Development,

Appendix 3.1.a.ix Service Excellence Standards Appendix 3.1.a.x Senior Human Resources Advisory Committee See Appendix E Finance and Administration Mission, Vision, Values Appendix 3.1.a.xiii 2016-‘17 Organizational Excellence Scorecard See Appendix 3.1.a.iv Carleton Planning Framework

https://carleton.ca/qualityinitiatives/about/steering-committee/


Service Excellence, Benchmarking and Lean Process Review are overseen by this committee. The OESC meets once a month to receive project progress updates, report-outs, and review proposals.

Criteria 3.1 b)

A healthy balance between proactive and reactive shareholder/stakeholder management has been achieved.

Deployment Evidence

i. Carleton University’s Board of Governors is responsible for the governance and management of the university. Board procedures, elections, agendas and minutes are made public available on its website. In 2016, the Board began issuing to the campus community summaries after each meeting – as a new initiative to engage the campus community in its work.

ii. Annual Operating and Ancillary Budgets, Audited Financial Statements and explanatory Financial Reports are prepared and presented to the Board of Governors for approval and made available on the Carleton University website.

iii. Financial Reports, Multi-Year Agreements, and the President’s employment contract are made publicly available on the Carleton.ca website.

iv. Carleton is committed to risk management on a university-wide level. The Director of Risk and Insurance conducts annual risk assessments to determine how the university can best respond to identified enterprise and operational risks. This office also provides specialized advice on a case-by-case basis to faculty, staff and student groups

v. Annual Operational Risks are detailed in the Environmental Health and Safety report to the Building Committee of the Board of Governors.

vi. The Joint Health and Safety Committee engages stakeholders to raise awareness of health and safety issues in the workplace, to recognize and identify workplace hazards and develop recommendations for the employer to address.

vii. The Department of University Safety, through the Emergency Management and Continuity of Operations (EMCO) project, has conducted an assessment of the university’s current state of disaster recovery capabilities. This assessment has led to the guided development of departmental emergency/business continuity plans for several administrative, teaching and research operations within the university, which propose a way forward to address the current operational risk environment and align with industry best practices. In spring 2017, each department and unit on campus will have completed their business continuity plan (BCP) which is allows the university to better respond and recover from incidents that would take place.

See Appendix 3.1.a.ii Board of Governors Appendix 3.1.b.ii Financial Statements See Appendix 3.1.a.vii Risk Management Policy Appendix 3.1.b.v EHS Annual Report Appendix 3.1.b.vi Joint Health and Safety Committee Appendix 3.1.b.vii Business Continuity Plan Template

https://carleton.ca/secretariat/boardofgovernors/

https://carleton.ca/secretariat/boardofgovernors/


viii. As part of the Energy Renewal program, Facilities Management and Planning proactively consults with faculties and departments prior to projects being launched and makes adjustments as required to meet the department’s needs. A comprehensive communications plan is included as part of the planning for all projects.

Criteria 3.1 c)

Leadership is involved and kept informed about the impacts of excellence, innovation and wellness,

and uses the information to make decisions and take action.

Criteria 3.1 d)

There is an ongoing commitment to continuous improvement through:

Leadership actions and accountability

Allocation of resources

Review of the overall approach to the implementation and progress of this Standard

Actions Evidence

i. Theme four of Carleton’s SIP states: “Carleton will be known as a university that nurtures leadership, encourages innovation, recognizes achievement and embraces sustainability.”

ii. The university’s leadership development initiative, called Carleton Leader, celebrates its fifth anniversary in 2017-’18. It creates a shared sense of leadership through a community of collaborative leaders across the institution. After the completion of each cohort, participants report greater confidence in themselves, their ability to contribute collectively and opportunities to lead the university forward in new and innovative ways. As of March 2017, there were 254 Carleton Leaders and growing. In fall 2017, the Carleton Leader

See Appendix C Strategic Integrated Plan (SIP) Appendix 3.1.d.ii Carleton Leader Backgrounder

Deployment Evidence

i. Members of the Excellence Working Group and senior leaders work together to move our journey forward.

ii. Members of the Excellence Working Group are resources to their individual departments.

iii. A balanced scorecard approach to planning has been in place within the Finance and Administration division since 2000. In 2015, it was renamed the Organizational Excellence Scorecard to reflect our commitment to Excellence, Innovation and Wellness.

iv. Leaders across Finance and Administration share information pertaining to Excellence, Innovation and Wellness with professional services staff via departmental meetings, town halls and Michel’s Coffee Hour. Excellence, Innovation and Wellness is part of our culture and how we work.

Appendix 3.1.c.i Excellence Working Group Mandate and Membership See Appendix 3.1.a.xiii 2016-‘17 Organizational Excellence Scorecard Appendix 3.1.c.iv Coffee Hour Presentation


initiative will undergo an evaluation to identify what is working and where there is potential for improvement.

iii. Learning and Professional Development (LaPD) at Carleton offers faculty and staff the opportunity to engage in workshops and certification in a variety of areas in including, but not limited to, process improvement, workplace mental health, and the Supervisory Development Series.

iv. Lean Process Review initiatives engage teams and collaboratively work together to map processes to continuously improve.

v. A new Talent Management framework has been established, comprising of a number of strategic activities, work processes and systems which include, but are not limited to, performance management and succession management.

vi. Carleton’s Employee Engagement Survey was completed in fall 2015 and provided a baseline for performance across the university, as well as for Finance and Administration. Departments received their results and departments have developed action plans that identified areas of improvement and closed the gap. Support was provided to departments by HR and the Office of Quality Initiatives to facilitate workshops.

vii. Carleton uses an online Professional Development Process (PDP) that has modernized the appraisal process for non-unionized staff (approx. 250) at the university.

viii. In 2014, Carleton University was one of the only post-secondary institutions to participate in the Mental Health Commission of Canada’s national case study project, which is evaluating the National Standard of Canada for Psychological Health and Safety in the Workplace. This three-year case study allowed Carleton to learn from participating organizations. As a result of Carleton’s leadership during the case study, the university has been asked to lead a senior leader roundtable as a pilot project in Ottawa. This initiative will kick off in May 2017.

ix. Carleton’s Healthy Workplace includes mental health programming, training and awareness events, such as Thrive Week. On an annual basis, initiatives are reviewed and changed to best meet the needs of the campus community.

x. ISSC: Information technology projects are presented to this cross-functional committee to ensure they align with priorities of the university, and if so, ensure the appropriate funding is assigned.

xi. Fierce Conversations is a leadership development and training workshop that drives results by improving workplace communication. Improving workplace communications and having Fierce Conversations promotes respect, honestly and accountability in our organization.

xii. A new staff and faculty Intranet was unveiled in late 2016 as a tool to help better communicate within the organization. It also offers departments the ability to create private, internal websites to house

Appendix 3.1.d.iii Learning and Professional Development Participation Appendix 3.1.d.v Talent Management Framework Appendix 3.1.d.vi Engagement Survey Results Appendix 3.1.d.vii Professional Development Process Form Appendix 3.1.d.viii Mental Health Commission Case Study Appendix 3.1.d.ix Healthy Workplace Evaluation Form Appendix 3.1.d.x ISSC Operating Procedures Appendix 3.1.d.xi Stats from Fierce Conversations workshops Appendix 3.1.d.xii Intranet Dashboard


content, such as shared documentation, process mapping, private files and any content that can streamline knowledge management.

xiii. The Process Management Certificate training is available and over the last three years 63 faculty and staff have completed the training, and of those 44 were from the Finance and Administration Division. Some feedback about the Excellence Canada Process Management Certificate:

“I appreciated that it was only Carleton folks in the room”

“I found the examples really helpful to understand and learn the material”

“It was an open forum – participants were able to bring forward their personal opinion without fear. The concepts were well developed. The trainer was able to use exercises for participants to learn concepts.”

“Appreciated networking opportunity. It formed my team to spend time analyzing our process.”

“New tools for both internal focused process reviews and customer focused/service reviews. Enjoyed the opportunity to try and examples of the tools.”

“Great! Very productive sessions.”

“I liked the books and training material. I referred to them a lot when doing my assignment.”

“Enjoyed the interactive activities.”

“Good explanation and examples to illustrate processes. Very practical tools to improve process/time/cost and takeaway booklets.”

“Engaging, knowledgeable, prepared.”

xiv. A joint North American Health and Safety Week, Mental Health Awareness Week and Emergency Preparedness Week are celebrated across campus on an annual basis.

xv. The Admin Directors who report directly to the Vice-President (Finance and Administration) are dedicated to continuous improvement through commitments outlined in the Organizational Excellence Scorecard.

xvi. The cross-functional Excellence Working Group represents each of the nine departments within Finance and Administration. This group regularly reviews touchpoints of our excellence journey to track progress and identify opportunities for improvement.

xvii. Gallery Walks is an effective tool used to visually plot progress and identify issues and gaps. For example, this tool was used by the Excellence Working Group for our Gold Level self-assessment. It is also often used during focus groups.

Appendix 3.1.d.xiii Process Management Certificate Training Participation Appendix 3.1.d.xiv NAOSH Events Calendar See Appendix 3.1.a.xiii Organizational Excellence Scorecard See Appendix 3.1.c.i Excellence Working Group

Criteria 3.1 e)

Leaders at all levels influence, and are held accountable, for strengthening organizational culture in a positive way.

https://carleton.ca/learninganddevelopment/cu-events/process-management-certificate-excellence-canada/


Actions Evidence

i. Results from the 2015 Employee Engagement Survey were provided to all managers, with an expectation that they would share with their teams and collaboratively develop action plans. The action plans were to focus on identifying goals that would assist departments in improvements, with supporting strategies. The survey covered a wide range of areas that included management skill level and work-life balance, civility and respect, communications, and job satisfaction. In Finance and Administration, the action planning process was supported by the Office of Quality Initiatives and Human Resources. The next Employee Engagement Survey is scheduled for 2018.

ii. Finance and Administration’s Organizational Excellence Scorecard outlines annual priorities and goals for the division. Each department also has its own Organizational Excellence scorecard. The scorecards are reviewed semi-annually, and department heads are held accountable for results.

iii. Within the Healthy Workplace initiative there is an emphasis on work-life balance and mental health. Workshops and ongoing communications about the importance of work-life balance and mental health and wellness is incorporated into the Healthy Workplace.

See Appendix 3.1.d.vi Employee Engagement Survey Results See Appendix 3.1.a.xiii 2016-’17 Organizational Excellence Scorecard See Appendix F Healthy Workplace Plan

Criteria 3.1 f)

Goals and indicators related to diversity are being achieved.


Actions Evidence

i. Carleton University is committed to achieving barrier-free accessibility for persons with disabilities studying, visiting and working at Carleton. Carleton is committed to meeting its obligations under the Access for Ontarians with Disabilities Act (AODA). To this end, Carleton has an accessibility plan and policies. Extensive online training has been developed, and completion rates are monitored.

ii. HR has updated its onboarding process to include awareness about mandatory training.

iii. Workplace Violence and Harassment Prevention programs and policies are systemically reviewed with an emphasis on improving tools and support. Online training is available and has been completed by more than 98 per cent of permanent faculty and staff. With the inclusion of case-based scenarios, training emphasizes prevention, awareness and response. In early 2017, the university hosted a cyberbullying workshop for students, faculty and staff in response to an emerging issue in the post-secondary sector.

iv. Carleton University Safe-Space Program (CUSSP) is an interactive workshop designed to reduce homophobia and heterosexism on campus and to increase the visibility of supportive allies who are students, staff and faculty who create safe positive spaces for our LGBTQ community on campus. The program also enhances and supports Carleton’s Sexual Orientation Equality Policy. Equity Services provides this training on a regular basis and provide training to approximately 150 people every year including, all Frosh leaders, residence fellows and managers, and safety officers.

v. In order to promote awareness, celebrate diversity, and address issues of discrimination and harassment, Equity Services provides proactive education and training workshops which are available to all members of the Carleton University community.

vi. Carleton University is committed to equity in all aspects of employment. The university is dedicated to the elimination of discrimination and harassment; the removal of systemic barriers and the promotion of employment equity. This commitment is clearly articulated in the university’s Human Rights Policies and Procedures.

vii. Employee Systems Review ensures that we have a balanced workforce and that there are no systematic barriers that go against the Federal Contractors Act.

Appendix 3.1.f.i. AODA Accessibility Plan Accessibility Policy Appendix 3.1.f.iii. Workplace Violence Prevention Policy Workplace Harassment Prevention Policy Appendix 3.1.f.iv. Carleton University Safe Space Program Appendix 3.1.f.v. Equity Services Training Appendix 3.1.f.vi. Human Rights Policies and Procedures

https://carleton.ca/ehs/training/violence-and-harassment-prevention-training/

http://carleton.ca/secretariat/wp-content/uploads/Accessibility-for-Person-with-Disabilities.pdf


Driver 2: Strategy and Planning

Carleton University’s five-year Strategic Integrated Plan (SIP) (See Appendix C) sets out the context for

strategic planning at the university by providing a high-level framework for long-term decision making

across the institution. It defines a vision and a set of goals, in the form of strategic directions, for all

staff and faculty. The Carleton Planning Framework (See Appendix 3.1.a.iv) outlines our planning cycle

throughout the year, including budget submissions, sharing plans and measuring progress. Finance and

Administration’s strategy is embedded in the Organizational Excellence Scorecard and aligns the

division’s planning schedule with Carleton’s planning framework. All Finance and Administration

departmental strategies align with the Organizational Excellence Scorecard, as well as with the

university’s SIP.

Criteria 3.2 a)

The Strategic Plan and all related plans, e.g., plans in the “Organizational Excellence Scorecard”, are kept current, monitored and evaluated for achievement.

Deployment Evidence

i. Carleton’s five-year Strategic Integrated Plan (SIP) guides planning and priority-setting. The SIP sunsets in 2018.

ii. Carleton University Planning Framework sets the schedule for strategic planning at the university and Finance and Administration aligns its planning with the university’s framework.

iii. The Finance and Administration division and each of its departments use the Organizational Excellence Scorecard as a strategy and has a schedule for planning that aligns with the Carleton University Planning Framework. The Organizational Excellence Scorecard is an approach to performance measurement in both financial and non-financial areas. We have key performance indicators (KPIs) for the division that are established yearly. The scorecard is reviewed annually.

iv. We take a collaborative approach to planning and staff are included in planning sessions. In November 2016, Finance and Administration held a planning session with the leadership team to set out priorities for the 2017-‘18 year.

v. Each senior leader within the division shares the Organizational Excellence Scorecard with their team and develops their own Organizational Excellence Scorecard that identifies priorities for their own departments.

vi. The Office of Quality Initiatives meets departments at their request to help plan for the coming year. The OQI team’s reach is further expanding into academic departments, including Sprott School of Business, Civil Engineering, as well as the MacOdrum Library, the

See Appendix C Strategic Integrated Plan (SIP) See Appendix 3.1.a.iv Carleton Planning Framework Appendix 3.2.a.iii 2016-’17 Finance and Administration KPIs See Appendix 3.1.a.xiii 2016-‘17 Organizational Excellence Scorecard Appendix 3.2.a.vi


Department of Geography, the School of Social Work, and Mechanical and Aerospace Engineering.

vii. The Human Resources Plan supports three key principles: a) Modernize the Core; b) Focus on Talent and c) Change the HR Brand.

viii. Carleton’s three-year IT Strategy was informed by the contributions of over 70 faculty members, students and professional services staff. ITS is now working on an update of the strategy.

ix. Carleton’s Sustainability Strategic Master Plan, which aligns with the SIP, outlines a wide range of initiatives to make the university more sustainable on a number of fronts, including its buildings, our day-to-day operations and our campus environment.

x. As part of the sustainability strategy, Facilities Management and Planning has partnered with Honeywell since 2014 to implement an Energy Master Plan. The plan outlines our goals and objectives for managing, conserving and reducing energy consumption, as well as costs and estimated savings for proposed measures. As of 2017, five buildings on campus have undergone energy retrofits and assessments of another eight buildings is underway to determine the next set of priority areas.

xi. There is a Healthy Workplace Plan that sets out three areas of focus for the life of the plan. These areas of focus are: Health Promotion, Work-Life Balance and Mental Health. There are key performance indicators to so we can measure our progress annually.

xii. The Learning and Professional Development Strategy sets out objectives and goals for learning and professional development programming, and tracks evaluation.

xiii. In fall 2017, the university’s Emergency Management Plan, which provides a structure for responding to a major incident on campus, will be completed. This plan is the over-arching strategy and integrates the Emergency Response Plan (University Safety), the Crisis Communications Plan, and EMCO.

Office of Quality Initiatives Appendix 3.2.a.vii HR Plan Appendix 3.2.a.viii Carleton’s IT Strategy Appendix 3.2.a.ix Sustainability Strategic Plan Appendix 3.2.1.x Energy Master Plan See Appendix F Healthy Workplace Plan Appendix 3.2.a.xii Learning and Professional Development Strategy

Criteria 3.2 b)

The “Organizational Excellence Scorecard” (or equivalent) is used throughout the organization to monitor, measure and evaluate ongoing performance against established goals and related indicators.

Deployment Evidence

i. Organizational Excellence Scorecard objectives and measurements have been established and linked to budget resources. There are Key Performance Indicators (KPIs) within the Organizational Excellence Scorecard that assist us measuring progress on initiatives.

See Appendix 3.2.a.iii Finance and Administration’s KPIs


ii. The Organizational Excellence Scorecard includes Carleton’s Healthy Workplace Plan and implementation.

iii. The Organizational Excellence Scorecard includes Benchmarking and Lean Process Review to promote innovation and continuous improvement.

iv. Michel Piché, who joined Carleton University as Vice-President (Finance and Administration) in September 2016, has continued the tradition of his predecessor of hosting Coffee Hours to share strategic initiatives and plans with the professional services staff within the division.

v. Finance and Administration monthly e-newsletter is distributed to approximately 400 professional services staff, and shares news on strategic goals and initiatives, as well as the Excellence Journey. The goal of the newsletter is to improve communications across the division and create general awareness about department-to-department initiatives.

vi. The Learning and Professional Development Strategy sets out objectives and goals for learning and professional development programming, and tracks evaluation.

vii. There is a Healthy Workplace Plan that sets out three areas of focus for the life of the plan. These areas of focus are: Health Promotion, Work-Life Balance and Mental Health. There are key performance indicators to so we can measure our progress annually.

viii. The Workplace Mental Health and Well-Being Strategy outlines a systematic and co-ordinated look at the mental health status of our workplace and uses that information to create an integrated approach to enhancing policies, programs and initiatives that promote the mental health and well-being of our faculty and staff. The Strategy is also a guide for making Carleton University a resilient and thriving workplace.

ix. The IT Strategy outlines overarching goals and seeks to align and ensure the effectiveness of IT services for Teaching & Learning, Research, and Professional Services, by formalizing our federated IT model and by establishing a campus-wide perspective for IT.

See Appendix 3.1.a.xiii 2016-‘17 Organizational Excellence Scorecard See Appendix 3.1.c.iv Coffee Hour Presentation See Appendix 3.2.a.xii LAPD Strategy See Appendix F HWP Plan See Appendix G Workplace Mental Health and Well-Being Strategy See Appendix 3.2.a.viii IT Strategy

Criteria 3.2 c)

There is a broad understanding and involvement throughout the organization of priorities and goals and progress on plans and results is communicated and celebrated.

Deployment Evidence

i. The Organizational Excellence Scorecard includes measurements along with projected targets and results for the division, and there are corresponding scorecards for each department within the division.

See Appendix 3.1.a.xiii 2016-‘17 Organizational Excellence Scorecard

https://carleton.ca/finance-admin/cms-newsletter/finance-and-administration-april-newsletter/


ii. From the four quadrants in the Organizational Excellence Scorecard, Six Key Performance Indicators (KPIs) have been selected to present a snapshot of the division’s performance. Given that Finance and Administration departments are diverse in what they do, the KPIs reflect common goals that everyone can contribute to.

iii. The Office of Institutional Planning and Research (OIRP) provides trend and indicator metrics to support institutional strategic planning.

iv. The Vice-President (Finance and Administration) hosts Coffee Hour for professional services staff within the division as a means of providing information about priorities, progress reports and recognizing accomplishments.

v. The Finance and Administration monthly e-newsletter showcases news and information across the departments. The newsletter is distributed to all professional services staff within the division. To increase engagement and awareness, there is a monthly quiz in the newsletter which is directly related to that month’s content.

vi. Carleton’s new Intranet for faculty and staff provides an opportunity to communicate in innovative ways across the division and the campus. This includes the daily posting of important news, events and emergency notifications on the intranet and is also integrated with email in order to provide push notifications.

vii. In 2016, ITS released its Year in Review. This document was presented in an innovative online tool.

viii. Staff reported through the self-assessment that they are included in planning and that this is a culture change that has happened across the division. As well, planning has become a regular topic at staff meetings.

See Appendix 3.2.a.iii Finance and Administration KPIs Appendix 3.2.c.iii Office of Institutional Research and Planning (OIRP) See Appendix 3.1.c.iv Coffee Hour Presentation See Appendix 3.1.d.xii Intranet Dashboard

Criteria 3.2 d)

Innovation and knowledge management are evident across the organization and the results inform product, service and process design.

Deployment Evidence

i. A new faculty and staff Intranet was launched at Carleton in fall 2016. It offers departments the ability to create customized news feeds for specific audiences, as well as internal websites for shared documentation to streamline process management.

ii. E-Shop, the university’s online procurement system, began as strictly an e-shopping tool, and has now been expanded for use by Facilities Management and Planning for service requests, by Conference Services to manage event planning and by The Print Shop for billing.

See Appendix 3.1.d.xii Intranet Dashboard Appendix 3.2.d.ii EShop Home Page Appendix 3.2.d.iii Lean Process Review

https://carleton.ca/finance-admin/cms-newsletter/finance-and-administration-april-newsletter/

https://carleton.ca/its/2016/

https://carleton.ca/purchasing/eshop/


iii. The Lean Process Review (LPR) approach is customer-focussed and allows departments to explore how they work and develop innovative new approaches to improve their processes. For example, a Lean Process Review has been completed for the departmental name change process. This involved ITS, Financial Services and HR with the Office of Quality Initiatives leading the LPR.

iv. The Benchmarking model at Carleton University applies internal research to identify issues, opportunities, and challenges, and uses information from benchmarking partners to improve a process, strategy, or performance metric. This results in a business case for improvement – a details report on what changes should be made, why those changes should be implemented, and the expected value of those changes. The Organizational Excellence Steering Committee provides oversight in all Benchmarking projects and a Quality Advisor is available to facilitate the project. For example, currently there is a benchmarking project with the Dean of the Faculty of Arts and Social Sciences to examine student retention.

v. Finance and Administration’s Knowledge Plan (“Knowledge at Carleton”) provides a roadmap for supporting targeted information dissemination, opportunities for collaboration and discussion, the development of criteria for the collection and management of shared information within the division. This knowledge plan was developed for Finance and Administration; however, this model may be adopted across the university.

vi. Ideas@Carleton is an online platform that allows for staff and faculty to submit their ideas that suggest improvements to Carleton in one of four areas: teaching and learning; research; services; process; and facilities/environment. This tool allows those who submit ideas to also receive feedback, a status update on their idea, as well as allow people to vote on the idea.

vii. Michel’s Den (formerly Duncan’s Den) is an annual campus event that engages the university community to explore innovative ideas that could improve the campus. For example, ideas that have been brought to Michel’s Den include: electric car charging station, planters on campus, two-sided printing as the default on all campus printers, eliminating printed publications.

viii. The $1 million Green Revolving Fund provides capital for projects that improve Carleton’s Energy and Sustainability performance and reduce campus emissions. Departments can submit ideas for high performance campus design, operations, maintenance, and occupant behavior projects that support goals and objectives outlined in Carleton’s sustainability strategic plan. Since its inception in 2013, 9 projects have been funded, and over 66 ideas have been submitted. In 2017, the GRF will be incorporated into Ideas@Carleton to offer another way to submit ideas, and to engage with colleagues.

Appendix 3.2.d.iv Benchmarking Appendix 3.2.d.v Knowledge Plan Appendix 3.2.d.vi Ideas@Carleton

https://carleton.ca/ideas/2016-quality-showcase-michels-den/

https://carleton.ca/fmp/energy-and-sustainability/get-involved/green-revolving-fund/


Driver 3: Customer Experience

Service Excellence at Carleton University means working collaboratively with staff and faculty to best

meet the needs of our customers and to foster a culture of continuous improvement. These Service

Excellence Standards are regularly communicated across campus and celebrated at the annual Service

Excellence Awards. In Finance and Administration, Service Excellence is one of our Core Values and is

embedded in how we work and inspires us to be the best that we can be. This is achieved by ensuring

that the people, processes and technologies employed at Carleton are aligned to help us work together

to meet (if not exceed) the expectations of Carleton staff, faculty, students, external partners and the

community.

Criteria 3.3 a)

The Customer Experience Plan is monitored, evaluated and updated for ongoing improvement.

Deployment Evidence

i. “Our Customers” is one of the four quadrants in the Organizational Excellence Scorecard. The objectives within this quadrant are what drives the customer experience and objectives such as; to provide quality, responsive and helpful service, foster a culture of service excellence, and provide a safe and respectful community campus. Initiatives have been established for each of these objectives and these are annually reviewed for progress across the division.

ii. The Organizational Excellence Scorecard also details target performance metrics for customer satisfaction as directly linked to the annual Carleton Satisfaction Survey.

iii. Within F&A’s mission and vision statement, we articulate who are customers are and understand that we are customers of each other. It is therefore important that each department has translated these Service Excellence Standards to reflect their customers’ needs and values.

iv. The annual Customer Satisfaction Survey asks for faculty and staff (in the spring) and students (in the fall) to evaluate services across campus. Results from this survey are provided to the corresponding departments and improvements are made, where appropriate.

v. The Dining Services website includes a permanent link to a five-question customer survey.

vi. The Environmental Health and Safety office has a “Good Catch” program which encourages members of the campus community to proactively report potential or existing hazards so they can be quickly addressed.

vii. Facilities Management and Planning also has a “post project” review process with stakeholders to assess opportunities to improve project management.

viii. Learning and Professional Development regularly solicits feedback from participants in its workshops and programs. This feedback is reviewed to determine if offerings are meeting the learning needs of

See Appendix 3.1.a.xiii 2016-‘17 Organizational Excellence Scorecard See Appendix E Finance and Administration’s Mission and Vision Statement Appendix 3.3.a.vi Good Catch Reporting Form Appendix 3.3.a.viii

http://oirp.carleton.ca/main/surveys-css/

http://survey.medallia.com/?aramark-dining&ctry=USA&lang=en&sports=No


staff and faculty, and is also used to create new opportunities for learning. Example: Coaching Ourselves, Fierce Conversations, Supervisory Development Series, Job Shadowing pilot project.

ix. The ITS Service Desk uses a ticketing system that tracks each request for service and follows up with a customer evaluation.

x. Parking Services conducts annual focus groups with faculty, staff and students as part of its commitment to continuous improvement and posts the improvements on its website. This approach has been recognized as a leading practice and has been adopted by the University of Ottawa, who sent staff to observe the focus groups in November 2016.

xi. The Community Safety Advisory Committee is a cross-functional group which reviews the programs offered to the campus community by the Department of University Safety. This committee determines program effectiveness and identifies gaps.

xii. The Office of Quality Initiatives has embedded client feedback in all of its processes.

xiii. Programming for the Healthy Workplace initiative is shaped by input collected from participants. More emphasis is being placed on mental wellness because we were hearing from faculty and staff that mental health was an area that they wanted to learn more about and develop the skills to be able to support their colleagues. As a result the Health Workplace Committee conducted research and implemented a robust workplace mental health training program for all levels. Attached is the document that outlines the various training offerings.

xiv. Feedback is collected at each Carleton Leader community event, and is analyzed for potential areas for improvement.

Job Shadowing Pilot Overview Appendix 3.3.a.ix ITS Ticket Sample and Survey Sample Appendix 3.3.a.xii Office of Quality Initiatives Feedback Form Appendix 3.3.a.xiii HWP Mental Health Training Proposal Appendix 3.3.a.xiv Carleton Leader Action Learning Event

Criteria 3.3 b)

Customer requirements (current and future) are identified, analyzed, evaluated and communicated on a repeatable and reliable basis.

Deployment Evidence

i. The Office of Institutional Research and Planning conducts yearly Carleton Satisfaction surveys to gather feedback from staff, faculty and students. The survey results are made public on the OIRP website and are communicated to the service owner for identifying continuous improvement opportunities, where appropriate.

ii. When introducing or considering changes to services, focus groups and surveys are often conducted with both customers and employees. As an example, Parking Services and the Office of Quality Initiatives also use focus groups in their work.

Appendix 3.3.b.i Office of Institutional Research and Planning (OIRP) Appendix 3.3.b.iii Intranet Presentation

https://carleton.ca/parking/focus-groups/


iii. ITS’ web services team evaluates the needs of the campus and develops products to meet them. For example: the new staff-faculty Intranet.

iv. ITS uses metrics to determine traffic to websites across campus and creates upgraded templates to respond to changing audience needs and priorities.

v. Every Finance and Administration website has a built-in “feedback or contact us” mechanism.

vi. E-Shop, Carleton’s online procurement tool, monitors ordering habits of its customers, as well as feedback and responds with increased capability within the tool, and product offerings.

vii. Dining Services regularly seeks customer feedback to ensure it remains in tune with customers’ needs by using a number of tools including a program that tracks metrics through surveys conduced on iPads in their venues. This feedback also influences Dining Services offerings.

viii. In response to feedback received at Parking Services focus groups Parking Services began offering a Close to Campus option which allows permit holders to park close to where they are working or studying after 4 p.m.

Appendix 3.3.b.iv ITS Website Metrics Appendix 3.3.b.vi E-Shop News Appendix 3.3.b.vii Dining Services Feedback Survey Appendix 3.3.b.viii Parking Service Close to Campus Program

Criteria 3.3 c)

Customer service standards for identified key customer contact points, are measured and evaluated for ongoing improvement.

Deployment Evidence

i. On an annual basis, the Office of Institutional Research and Planning (OIRP) conducts the Carleton Satisfaction Survey for faculty and staff (spring) and students (fall). The results are shared with senior leaders in each department/unit so they can identify action items and track improvement. For example, based on feedback from staff, faculty and students Facilities Management and Planning has increased the level of cleaning and is now exploring how to also enhance the level of cleaning in classrooms to improve the student experience.

ii. The Office of Quality Initiatives provides and inspires service excellence though continuous improvement initiatives with a customer-focused approach. It provides the campus community with the expertise to better understand customer needs and uses innovative and inclusive facilitation methods to address challenges including, Benchmarking, Lean Process Review, Strategic Planning, Service Excellence and Best Practice Research.

iii. Carleton’s IT Service Catalogue and the ITS website provides easy access to IT services on campus by simplifying and consolidating services by customer needs and values through online support tools.

iv. Service desks in ITS and in Facilities and Management Planning (FMP) enable the division to capture, track, report and respond to customer

See Appendix 3.3.b.i Office of Institutional Research and Planning See Appendix 3.2.a.vi Office of Quality Initiatives Appendix 3.3.c.iii ITS Service Catalogue Appendix 3.3.c.iv


requests in a timely manner. For example, on average, the FMP Service Desk answers 7,200 calls for service, answers 18,000 emails and has 16,000 drop-in visits (includes: customers, contractors, managers, and our trades reporting work orders and picking up work).

v. The Financial Services FACTS program or Financial Administration Community Training and Solutions, is the financial administrative support and training program for the Carleton community. Recognizing that the program has to meet the changing needs of the campus community to be effective, the Community Training Developer and Co-ordinator gathers feedback and uses it to improve the program on an ongoing basis.

vi. EShop, Carleton’s online procurement system is regularly evaluated for customer satisfaction. An eShop working group also meets regularly to provide input about the tool.

vii. Parking Services hosts focus groups on an annual basis to ensure they are providing the best service possible. They have also been innovative in their approach to using digital tools to make paying for parking more convenient.

viii. The [email protected] general email is monitored daily for feedback, which is shared with the management team to assess for appropriate action.

ITS Service Desk Calls Appendix 3.3.c.v FACTS Training Statistics Appendix 3.3.c.vii Parking Services Text2ParkMe

Criteria 3.3 d)

The organization responds promptly to effectively address customer inquiries and to resolve customer concerns. Customer loss also is tracked and evaluated.

Deployment Evidence

i. Each department has translated these Service Excellence Standards to reflect their customers’ needs and values.

ii. Service Excellence is a regular topic of discussion at team meetings and departments are actively seeking feedback on the website or through the follow-up survey. Departments recognize Service Excellence as part of what they do and not as something extra. Service Excellence O’Grams were adopted to encourage faculty and staff to recognize Service Excellence regularly. The 2016 Service Excellence Awards garnered the highest number of nominations in the event’s seven-year history (186).

iii. University Services uses a variety of metrics as key indicators in administering eShop, the university’s online procurement tool.

iv. Parking Services counter and phone lines are staffed regularly and ongoing feedback is received through those mechanisms. Parking uses an automated call distribution system to evaluate customer call volume to ensure that staffing levels are assigned appropriately to handle call volumes.

ix. The Facilities Management and Planning Services Desk is one of the main points of contact for on-campus calls for service. The current

See Appendix 3.1.a.ix Service Excellence Standards Appendix 3.3.d.ii Service Excellence Standards Toolkit



tracking system for service calls is being reviewed through a Lean Process Review. For example, on average, the FMP Service Desk answers 7,200 calls for service, answers 18,000 emails and has 16,000 drop-in visits (includes: customers, contractors, managers, and our trades reporting work orders and picking up work).

v. In November 2016, Carleton’s IT infrastructure experienced a cyber-security attack. The ITS team responded quickly to the situation and provided one-on-one service to help staff. Within a week, the system was secured, and security processes were reviewed and enhanced, including a new updated password policy.

vi. ITS has a regular operations meeting to identify customer issues and action plan.

vii. The Department of University Safety has a Community Liaison Officer who is responsible with engaging with the campus community to better identify emerging issues and safety concerns.

Appendix 3.3.d.vi Password Policy Appendix 3.3.d.vii ITS OPS Presentation

Criteria 3.3 e)

Voice of the Customer data is systematically collected and/or recorded and evaluated, and shared with customers for ongoing improvement.

Deployment Evidence

i. The Office of Institutional Research and Planning conducts yearly Carleton Satisfaction surveys to gather feedback. OIRP often gets feedback following its CUBE training sessions.

ii. Participants in our Gold Level Self-Assessment reported that service excellence is a priority and that the results of the Carleton Satisfaction Survey often help inform teams. They also noted that many departments now proactively encourage feedback from their customers so they can continuously improve.

iii. Some examples of Voice of the Customer data being collected include:

As part of Carleton Leader participants provide post-module feedback, as well as through one-on-one interviews.

The Carleton Leader development team, through its evaluative process, examines trends and opportunities for improvement.

Dining Services collects feedback in a number of ways including online surveys and using a computer program called Micro Metrics to conduct surveys on free-standing iPads at their venues.

In March 2017, Dining Services engaged Kaizen Foodservice Planning & Design Inc. to facilitate market research and obtain feedback on the dining services offerings across campus

After each Learning and Professional Development training session an evaluation form is distributed to participants. This feedback is reviewed and evaluated to determine opportunities to improve offerings, and also identifying gaps.

See Appendix 3.3.b.i Office of Institutional Research and Planning (OIRP) See Appendix 3.3.b.vii Dining Services Feedback Survey


In Facilities and Management Planning, Custodial Services feedback slips are left on premise where the work was complete. Customers are encouraged to submit their feedback via these slips.

Finance and Administration departmental websites have standardized feedback/or forms so customers can provide input.

Information Technology Services (ITS) use their customer ticketing system to generate feedback inquiries on the service received.

As part of the Hazard Reporting Policy, Environmental Health and Safety encourages members of the campus community to report hazards as part of its “Good Catch” prevention program and in summer 2017 will be implementing an online reporting tool to the campus community to better track incidents and near misses on campus.

Parking Services conducts yearly discussion groups with their customers to gauge its service delivery and to solicit ideas. As a result of feedback received, Parking Services has implemented a new after hours parking option, an online, self-serve parking option called Text2ParkMe, and has integrated technology options for parking permit registration and renewal.

Cross-functional continuous improvement teams (e.g. Lean Process Review) are formed with input from customers.

Feedback cards are available at ancillary areas.

FACTS – Financial Administration Community Training and Solutions gathers feedback through participant evaluations, the ‘Financial Community Feedback Series’ (focus groups, targeted emails, and general feedback.

Campus card holds focus groups with its customers in order to enhance its card program.

See Appendix 3.3.a.ix ITS Ticket Sample and Survey Sample See Appendix 3.3.a.vi “Good Catch” Program See Appendix 3.3.c.vii Parking Services Tex2ParkMe Appendix 3.3.e.iii FACTS Community Feedback Series

Criteria 3.3 f)

Services and products are enhanced by using knowledge of markets, partners and customers.

Deployment Evidence

i. Carleton Satisfaction Surveys are regularly conducted – students are surveyed in the fall and staff and faculty in the spring – as part of the ongoing efforts to improve the services provided on campus. The results form part of the strategic and departmental planning process and partners play a key role in improvements. For example, Facilities Management and Planning has invested in renovating and upgrading washrooms across campus as a result of feedback from the satisfaction surveys.

See Appendix 3.3.b.i Office of Institutional Research and Planning (OIRP)


ii. Carleton participates in the National Survey of Student Engagement (NSSE) every three years as a means of benchmarking against other institutions and a helpful tool in measuring continuous improvement initiatives. The survey results are published on the Office of Institutional Research and Planning (OIRP) website.

iii. Carleton is a member of the Canadian University Survey Consortium. CUSC Surveys Canada's longest standing and foremost provider of undergraduate student satisfaction and experience surveys. Since CUSC's inception in 1994, universities across Canada have jointly implemented surveys of their undergraduate students to be able to better understand and serve their students.

iv. The Office of Quality Initiatives use Lean Process Review, a methodology that understands value from a customer perspective by focusing on improving processes that deliver value. For example, OQI is currently working with the Construction Services group on an LPR of the handover process from construction services to maintenance services.

v. Information Technology Services (ITS) uses analytics across all websites and social media channels to analyze customer behaviour, technology and emerging trends. This informs best practices and allows ITS to respond quickly to customer needs.

Appendix 3.3.f.ii NSSE Survey Appendix 3.3.f.iii Canadian University Survey Consortium See Appendix 3.2.d.iii Lean Process Review Appendix 3.3.f.v Web Services Ops Review

Driver 4: People Engagement

Carleton began its journey to excellence in 2009 with the Healthy Workplace. Since that time, we have

also successfully pursued certification in Excellence, Innovation and Wellness, as well as Mental Health

at Work. The Healthy Workplace Initiative, incorporates mental health and wellness, and is a campus-

wide imitative, while Excellence, Innovation and Wellness is within the Finance and Administration

division. Over the course of our journey, we have learned that we are better when we collaborate and,

as a result, the input and feedback of staff and faculty plays a key role in shaping planning, learning and

professional development, programming and engaging our customers in innovative ways across the

division and the university.

Criteria 3.4 a)

The Human Resources Plan and a Wellness Plan, which includes mental health, are monitored, evaluated and updated as appropriate.

Deployment Evidence

i. HR has been guided by their strategy Putting People First a) Modernize the Core; b) Focus on Talent and c) Change the HR brand, as well as our core values of service excellence, continuous improvement, inclusive decision-making, staff engagement, accountability, and a safe, healthy and sustainable environment.

ii. Carleton’s Healthy Workplace Plan, Healthy Conversations, Healthy Relationships, Healthy People, Healthy Community, has been the

See Appendix 3.2.a.vii HR Plan


roadmap to a supportive and healthy workplace. The plan has undergone a progress review and report back in collaboration with the Healthy Workplace Committee. The new Healthy Workplace Plan, set to launch in fall 2017, is the next exciting and challenging step in taking a systematic and co-ordinated look at the physical and psychological health and safety of our workplace and using that information to create an integrated approach to enhancing policies, programs and initiatives that promote the overall well-being of our faculty and staff.

iii. Carleton’s Healthy Workplace Policy reflects the mission and values of Carleton University. In 2016, mental health was incorporated into this policy to better reflect the scope of the university’s Healthy Workplace initiative.

iv. The Mental Health and Well-Being Strategy outlines priorities, areas of focus and provides guidance about integrating mental health into ongoing training, events and workshops.

v. Our Gold Level Self-Assessment feedback confirmed that work-life balance and the Healthy Workplace are part of the campus culture at Carleton. It was also recognized that there is additional emphasis on the mental health aspect of the Healthy Workplace.

See Appendix F Healthy Workplace Plan Appendix 3.4.a.iii Healthy Workplace Policy See Appendix G Mental Health and Well-Being Strategy

Criteria 3.4 b)

Employees can easily seek assistance in addressing issues, concerns and opportunities and their concerns and ideas are promptly addressed.

Deployment Evidence

i. Senior leaders within Finance and Administration hold regular departmental meetings, as well as special Town Halls and Coffee Hours to provide professional services staff the opportunity to raise questions or identify areas that need attention. For example the larger departments in the division hold Town Halls (ITS, FMP, University Services) in addition to departmental meetings.

ii. There is an open door policy where professional services staff feel they can have a two-way conversation with their supervisor. Feedback gathered in the self-assessment focus groups confirmed this.

iii. Fierce Conversations training equips participants with the skills to more effectively have meaningful conversations. The Office of Quality Initiatives has also provided Fierce for specific groups on campus.

iv. [email protected], [email protected] and the Good Catch Program are three separate confidential avenues that faculty, staff and students can use to identify health and safety and workplace harassment concerns.

v. Staff and faculty use Ideas@Carleton as a tool to highlight areas across the campus that need to be addressed.

See Appendix 3.1.c.iv Coffee Hour Presentation Appendix 3.4.b.iii Fierce Conversations See Appendix 3.3.a.vi Good Catch See Appendix 3.2.d.vi Ideas@Carleton




vi. Department of University has a campus-wide emergency number (4444) which can be directly called from any campus phone, or any Bell Canada payphone. The non-emergency number (520-3612) is answered 24/7.

Criteria 3.4 c)

Whenever possible, employees are involved in decisions that directly impact them.

Deployment Evidence

i. The Professional Development Process (PDP) is now supported by an online tool which is designed for staff and managers to work together to help staff reach their full potential in their jobs. It is mandatory for non-unionized Administrative Technical Exempt and Administrative Management staff. The Professional Development Process Form has been created to facilitate this process. This must be completed annually and returned to Human Resources.

ii. Lean Process Review involves teams of staff within a department who work through the processes being reviewed and improved. More than 25 formal LPR have been conducted within the division and the broader Carleton campus since 2009.

iii. Carleton conducted an Employee Engagement Survey of all faculty and staff in the fall of 2015. Highlights include:

61% of employees at Carleton and 74% of Finance and Administration employees completed the survey providing useful results on a large number of topics.

Carleton scored a favourability rating for Employee Engagement of 77%. This is higher than all three external benchmarks, Educational Institutions at 64%, Public Sector at 72%, and Large Corporations at 69%. The Finance and Administration engagement rating was 76%.

Of all the topics which comparative benchmarks exist, F&A performed better than the external benchmarks. (These areas include Employee Engagement, Professional Growth, Organizational Communication, and Teamwork).

As part of the survey, each unit and division was tasked with creating an action plan focusing on areas where they scored relatively lower.

Follow-up surveying to track progress on these action plans is anticipated for the fall of 2018.

iv. The collaborative approach to planning involves professional services staff so that they can provide input and help influence decision making within their departments.

v. The Department of University Safety created a cross-functional team made up of safety staff across all its units in order to develop an awareness campaign about the services the department offers.

vi. Parking Services staff take ownership of the annual focus groups.

See Appendix 3.1.d.vii Professional Development Process Form See Appendix 3.2.d.iii Lean Process Review See Appendix 3.1.d.vi Engagement Survey Presentation


Criteria 3.4 d)

Innovative ideas are encouraged, shared and celebrated.

Deployment Evidence

i. Ideas@Carleton is Carleton’s forum to share and collaborate on ideas. All faculty and staff are encouraged to share their ideas that fall within the categories of teaching and learning, research, services, process and facilities/environment. Ideas@Carleton has 353 active users who have generated 309 ideas. In 2017, Ideas@Carleton is undergoing a review to identify areas for improvement.

ii. Carleton’s Green Revolving Fund has just completed its third year. It was established to allow for investment in sustainability-related projects across campus. Each year the university encourages staff, faculty and students to submit their ideas for the use of this fund. To date, ideas that have been implemented include an electric charging station for electric cars and intelligent indoor climate controls. The 2015 Ontario Going Greener Report recognized the Green Revolving Fund as a tool that inspired campus engagement.

iii. Michel Piché hosts Coffee Hour events to share strategic initiatives and plans with the division and solicit feedback from professional services staff.

iv. Departments within Finance and Administration hold all-staff planning meetings which provide the opportunity to provide feedback on initiatives and the planning process.

v. The Michel’s Den event and the Quality Showcase are opportunities for faculty and staff to participate and exchange information and learn from each other.

vi. Facilities Management and Planning encourages feedback from staff regarding its workplace improvement program within Maintenance Services

vii. The Service Excellence Awards celebrates innovation and teams and at the 2016 awards events recognized the work of the “Ransomware Warriors” – the team from ITS who responded and worked tirelessly following a cyber attach to the Carleton IT system.

viii. There was recognition during the Gold Level Self-Assessment focus groups that there is now more of a culture where new ideas are welcomed and that the Finance and Administration Coffee Hour is a great source of information.

See Appendix 3.2.d.vi Ideas@Carleton Appendix 3.4.d.ii Green Revolving Fund See Appendix 3.1.c.iv Coffee Hour Presentation Appendix 3.4.d.v Quality Showcase

https://carleton.ca/service-excellence/service-excellence-awards/


Criteria 3.4 e)

Collection of human resources, wellness and Voice of the Employee indicators is ongoing, and the results are shared widely as appropriate and used to inform ongoing program improvement.

Deployment Evidence

i. The university’s innovative leadership development initiative, Carleton Leader, celebrates its fifth anniversary in fall 2017. It creates a shared sense of leadership through a community of collaborative leaders across the institution. After the completion of each cohort, participants are recognizing greater confidence in themselves, their ability to contribute collectively and opportunities to lead the university forward in new and innovative ways. As of March 2017, there were 254 Carleton Leaders and growing. There is a focus on continuous learning. In 2017, an evaluation of Carleton Leader feedback and results will be conducted with a view to identifying effectiveness and potential new avenues for development.

ii. A number of programs are offered through Learning and Professional Development within the Office of Quality Initiatives that support what is learned in Carleton Leader, for example Fierce Conversations.

iii. The Supervisory Development Series (SDS) began as a pilot program that has grown into a regular offering within the Learning and Professional Development portfolio. Since 2013, more than 84 staff have made the journey through 10 days of practical, relevant and reflective learning to prepare themselves for supervisory opportunities at Carleton.

iv. Fierce Conversations is a leadership development and training company that drives results by improving workplace communication. Workshops on Fierce are being rolled out at Carleton and the Learning and Professional Development Officer, as well as a faculty member, have been trained. These workshops offer value to Carleton University because they equip participants with the tools to improve workplace communications. Having Fierce Conversations promotes respect, honestly and accountability in our organization. The Foundations workshop covers foundational principles, team, coaching, and delegation and confrontation conversations. Since 2015, more than 250 faculty and staff have taken Fierce Conversations.

v. A Talent Management framework has been established comprising of a number of strategic activities, work processes and systems including, but not limited to, performance management and succession management.

See Appendix 3.1.d.ii Carleton Leader Appendix 3.4.e.ii Learning and Professional Development Appendix 3.4.e.iii Supervisory Development Series See Appendix 3.1.d.xi Fierce Conversations See Appendix 3.1.d.v


vi. Compare HWP Plan trending outcomes and key performance indicators from 2012 – 2016. During the planning phase of the Healthy Workplace Plan, the HWP Committee outlined Key Performance Measures and Trending Outcomes which are key indicators of success for the HWP Plan. By reviewing data from Great West Life, EFAP, long-term disability, sick leave, annual leave, and HWP program participation, we are able to assess the progress and impact of the Healthy Workplace Plan and its goals and objectives.

The extended health data provides us with a breakdown on what the health claims are spent on: hospital, drugs, paramedicals, out of province, medical care, vision care or other medical costs. From June 2010 to May 2016, the total extended health claims have increased. Within paramedicals, we also see a breakdown by type of service, including: physiotherapist, psychologist, chiropractor, massage therapist, naturopath, etc. The total cost for paramedicals has increased each year, with psychologists having the highest distribution. We can see by analyzing our High-Cost/High-Frequency Therapeutic Classifications chart, that Depression and Diabetes have been identified as having significant cost and high frequency in our organization.

Carleton’s Employee & Family Assistance Program is a confidential information counselling and referral service provided without cost to eligible Carleton University faculty and staff, retirees, and immediate family members. Annual reports provide us with the number of faculty and staff who access the services, the presenting problem, the number of visits per file and the employee demographics. After analyzing the data, we see that most of our faculty and staff seek assistance with issues related to:

Socio-Emotional: personal stress, anxiety, coping and depression

Family issues: couples counselling and family relationships

Human Resources provides the HWP Committee with an average number of sick days reported per employee (Note: due to the collective agreement, faculty do not report sick leave. For staff – approximately 80 people – there are three unions which are not included in the HR reports, however sick leave is managed within their own departments). Sick leave is an important indicator of the current state of overall employee health. Carleton’s sick leave data is well within industry standards. Average sick leave days taken per sick-leave eligible employee has decreased since 2013.

The number of long-term disability claims are also tracked along with a breakdown of the diagnosis. We have seen the

HR Talent Management Framework See Appendix F Healthy Workplace Plan


number of open long-term disability claims rise since 2010, but fall slightly from 2014 - 2015. We have seen the claims for psychiatric diagnosis rise from 25% in 2012 to 40% in 2016

Human Resources also provides monthly annual leave balance reports to departmental managers along with a communication encouraging managers to talk to their staff in their area who have excess leave balances. (Note: due to the collective agreement, faculty do not report annual leave. For staff – approximately 80 people – there are three unions which are not included in the HR reports, however annual leave is managed within their own departments). It is university policy that annual leave be taken every year and that faculty and staff should not carry a balance of more than 30 days; this helps support a healthy work-life balance. The average annual leave balance has increased slightly since 2013 and still remains well below the 30-day requirement.

Measure qualitative data for outcomes of various HWP workshops, programs, and activities using evaluation forms

Participation in Healthy Workplace events, lunchtime leagues, and challenges is tracked based on our academic year, starting in September and ending in August. Campus-wide awareness of the Healthy Workplace initiative and the accompanying healthy lifestyle programs has greatly increased since the initiative’s inception in 2009. After each workshop, Healthy Workplace distributes an evaluation form for attendees to fill out asking for their input on their learning and impact, the presenter, support materials, what they liked/disliked, overall value of the session, and what other topics they’d like to see offered. Surveys are also distributed after lunchtime leagues have ended for the season, asking participants for their feedback.

Year 10/11 11/12 12/13

13/14 14/15 15/16

Participants 1032 1460 2082 1938 2497 3618

Criteria 3.4 f)

There are formal and informal mechanisms in place to recognize the contribution of employees and teams.

Deployment Evidence

i. Faculty and staff recognition is identified within the Strategic Integrated Plan (SIP)

See Appendix C


ii. Goal 4-1: To pursue organizational excellence by building leadership capacity and through the continuous improvement of our academic and administrative processes

iii. The recognition systems in place encourage employees to strive towards this goal of organizational excellence

iv. The Carleton Leader initiative recognizes that leadership exists throughout the university; at all levels, in all areas. In 2017, Carleton Leader celebrates its fifth anniversary. This initiative arose out of recognition that Carleton has many leaders and a wealth of talent. Out of this recognition and through a consultative process with members of the university community, The Carleton Leader has been designed and built by Carleton, for Carleton.

v. Carleton established a cross-functional Learning and Professional Development Advisory Committee that is comprised of 16 faculty and staff members

vi. The Professional Development Process (PDP) is designed for staff and managers to work together to help staff reach their full potential in their jobs. The Development Plan section of the PDP provides an opportunity for the supervisor and staff to discuss and record the development needs and prepare plans to address the needs, including career/developmental objectives, and planned activities to enhance performance (training, courses, coaching, etc.).

vii. Carleton’s Free Tuition program and Career Development fund allows faculty and staff to complete a university degree(s).

viii. Carleton Appreciation Day for all staff and faculty is held every June and consists of a BBQ, entertainment and recognition from the President and VP HR to all attendees.

ix. Long Service Ceremony: In recognition of long service to Carleton University, HR hosts an event for those who celebrate milestones of service.

x. Academics are recognized internally through the annual Achievement Awards.

xi. The annual Service Excellence Awards recognizes faculty and staff across the campus community who demonstrate their dedication to delivering excellence in their daily work. In 2017, the highest number of nominations was received (186)

xii. All faculty and staff are invited to the annual Holiday Luncheon where they are treated to a full course lunch, courtesy of the President and the Vice-President (Finance and Administration) as a thank you.

xiii. The Healthy Workplace office recognizes participation in HWP activities and programs by handing out prizes for participating in monthly challenges and activities. Challenge winners and participants are featured on the HWP website, as well as in email newsletters and on social media. HWP has developed a “HWP Stories” campaign, which is a photoblog hosted on the HWP website and social media pages that highlights various faculty and professional services staff members across campus that lead a healthy life style and contribute to a healthy

Strategic Integrated Plan See Appendix 3.1.d.ii Carleton Leader Appendix 3.4.f.v LAPD Advisory Committee Terms of Reference See Appendix 3.1.d.vii Professional Development Process Form Appendix 3.4.f.vii Free Tuition Program Appendix 3.4.f.viii Carleton Appreciation Day Appendix 3.4.f.xiii HWP Stories

https://carleton.ca/service-excellence/service-excellence-awards/


workplace (started in February 2015, 28 employees have been featured).

xiv. Carleton recognizes professional services staff for outstanding contributions to the Carleton community. The annual Barbara Wells award for United Way was created to recognize and pay tribute to an outstanding volunteer who has made a significant contribution to the annual Carleton University United Way Campaign through his or her dedication and commitment of time and talent.

xv. The annual Betty Weiss Memorial Award is awarded to an individual who is consistently responsive, innovative, efficient, and professional and encourage such behaviours in others.

xvi. There are also many internal, department-specific recognition initiatives. For example, some departments hold departmental celebrations or lunches, have an employee board where they post good news stories and recognize achievements, and other initiatives where colleagues can recognize one another.

Appendix 3.4.f.xiv Barbara Wells Award Appendix 3.4.f.xv Betty Weiss Memorial Award

Criteria 3.4 g)

Training and development programs are evaluated for effectiveness.


Deployment Evidence

i. Carleton University has mandatory training in a number of area, including Workplace Harassment and Violence Prevention, Accessibility for Ontarians with Disabilities (AODA) and workplace safety. On a monthly basis Human Resources provides all managers and academic leaders with a progress report on completion rates.

ii. The Learning and Professional Development Training Officer has incorporated feedback as part of all the offerings within this portfolio. The feedback influences how the course is delivered, and content, where applicable. The Learning and Professional Development Advisory Board reports into the Organizational Excellence Steering Committee. During the Gold Level Self-Assessment, participants noted that there is more of a learning and development culture.

iii. Participants in each Carleton Leader cohort has a one-on-one meeting with the Carleton Leader Development officer to discuss their experience, as well as to provide input about what could be improved. At each Carleton Leader community event, feedback forms are distributed and the input analyzed. Each Carleton Leader module is evaluated six months after they are completed. Presently, Carleton Leader is undergoing a five-year review, utilizing all evaluations.

iv. Healthy Workplace programming is evaluated on a regular basis to determine if it supports the areas of focus and the needs of the Carleton community. Feedback is regularly solicited from participants, as well as from the Healthy Workplace Committee and Champions network.

v. The Department of University Safety provides customized awareness sessions to meet a department’s specific needs.

See Appendix 3.1.d.iii LAPD Stats report Appendix 3.4.g.iii Carleton Leader Summer Camp Feedback Appendix 3.4.g.iv Healthy Workplace Evaluation Template


Criteria 3.4 h) A formal succession plan is in place for key positions.

Deployment Evidence

i. Our succession planning process starts with identifying and developing employees (at all levels) to be the best they can be and work towards their potential to fill key positions within F&A. In doing so, this increase the capacity of F&A to prepare employees who will, in the future, assume key roles. We do this in many ways:

There is opportunity for career development discussions for those employees during the Professional Development Process and beyond. HR Partners have conversations on a regular basis with leaders regarding current talent. When discussing openings and re-organizations, they identifying potential talent from within for current and future roles.

Carleton Leader offering recognizes that leadership exist throughout the university, at all levels, in all areas. Carleton Leader is a leadership development initiative that recognizes the university’s many leaders and its wealth of talent. It has been designed and build by, and for Carleton. Since its inception, 213 people have participated through three different streams beginning in the Fall of 2013.

Learning and Professional Development provides opportunities for different types of learning, including: Supervisory Development Series; Management Development; Individual training offerings; Fierce Conversations; Job Shadowing; and CoachingOurselves. Professional Services staff also have the opportunitiy to participate in Career Development Assignments.

ii. A hiring process is in place when key senior positions at the university including F&A become vacant. This involves the HR Partners reviewing current talent within the university for potential placement when reviewing the job requirements for posting and during the candidate screen process.

iii. Each department within the Finance and Administration division considers succession planning informally and discusses options with the VP (Finance and Administration) as part of the planning process.

iv. In 2017-‘18, the senior leaders within Finance and Administration

will consider a more formal framework that will be a pilot for the

wider university

https://carleton.ca/hr/performance-tools/

https://carleton.ca/hr/performance-tools/

https://carleton.ca/leader/

https://carleton.ca/learninganddevelopment/


Criteria 3.4 i)

Internal customer satisfaction continues to be measured for ongoing improvement and results are communicated.

Deployment Evidence

i. The Office of Institutional Research and Planning conducts yearly Carleton Satisfaction surveys to gather feedback from students and staff. The survey results are made public and are communicated to the service owner for continuous improvement opportunities.

ii. Carleton’s Employee Engagement Survey was conducted in fall 2015. As part of the survey, each unit and division was given their results and tasked with creating an action plan that focuses on areas for improvement.

iii. ‘Customers’ is a quadrant within the division’s Organizational Excellence Scorecard and measurements have been associated with the various initiatives.

iv. Each department within Finance and Administration conduct their own feedback/evaluation of their services.

v. ITS collects regular feedback from their customers and tracks data connected to their service calls. This data is reviewed monthly for progress.

vi. Facilities Management and Planning’s Service Desk collects customer feedback.

vii. The Voice of the Customer has become a core value in the daily work of the Office of Quality Initiatives and one which it instills when collaborating with departments and units on campus. For example, OQI collected feedback from key customers to inform our annual planning activities.

See Appendix 3.3.b.i Office of Institutional Research and Planning (OIRP)

See Appendix 3.1.d.vi Carleton Employee Engagement Results See Appendix 3.1.a.xiii 2016-‘17 Organizational Excellence Scorecard Appendix 3.4.i.ii Engagement Survey Toolkit See Appendix 3.3.d.vii ITS OPS Review

Driver 5: Process and Project Management

Within Finance and Administration, four departments have designated Project Officers: ITS, FMP,

Financial Services and Office of Quality Initiatives and project methodology has been adopted. For the

last two years, a sub-committee of the Excellence Working Group has been researching best practices

for process mapping and their work has included determining the use of process mapping across the

division, available tools, and training. To date, 63 faculty and staff have completed the Process

Management Certificate training. Across the university, the Office of Quality Initiatives has been asked

by various departments and areas for its expertise in a number of areas including planning and Lean

Process Review. Beyond the university, the Office of Quality Initiatives has been hired by the Ottawa

Police Service’s Facilities Maintenance Office for its expertise in Lean Process Review.


Criteria 3.5 a)

Key processes are actively measured with target performance levels established. These are

monitored to ensure consistency, and the results used for ongoing improvement.

Deployment Evidence

i. Within “The Way We Work” quadrant of the Organizational Excellence Scorecard, an objective is to deliver a consistent methodology to document key processes and procedures.

ii. The Process Improvement Committee has developed training and

standards to guide units in documenting their key processes; including

support to assist units in getting started as requested. Training includes

mapping, analyzing and identifying opportunities for improvement.

The Process Improvement Committee would like to expand to include

members from all units and have revolving membership to ensure that

knowledge is shared.

iii. Finance and Administration has adopted Excellence Canada’s Process Management Certification. This certification was focused on F&A professional services staff and to date, a total of 63 employees have completed the training, 44 from the F&A division, and the remaining staff from across three other divisions within the university.

iv. The Carleton Satisfaction Survey is an indicator used by many Finance and Administration departments to determine the effectiveness of some of their key processes and opportunities for improvement.

v. All units within Finance and Administration have mapped processes to varying degrees. For example, University Services has mapped 50 processes and is continuing their work; Financial Services has mapped more than 150 processes; and the Office of Quality Initiatives has mapped nine key processes and Facilities Management and Planning is mapping its construction project handover process.

vi. University Safety’s Technical Services Team is currently mapping the process for installation, maintenance, service and ever greening of all security systems on campus (e.g. security cameras, alarm systems).

vii. Facilities Management and Planning is working with the Office of Quality Initiatives to map FMP’s project implementation process, as well as its leave reporting process (the punch clock).

viii. As a part of our ITS Delivery Process, process mapping is done for current state and then future state (where applicable).

ix. The increase in the use of process management and mapping was noted during the Gold Level Self-Assessment focus groups and that this approach was very useful in getting a common understanding about how departments work.

See Appendix

3.1.a.xiii

2016-‘17

Organizational

Excellence Scorecard

See Appendix

3.1.d.xiii

Process

Management

Certification

Participation

Appendix 3.5.a.v List of Process Maps


Criteria 3.5 b)

Key processes are analyzed, root causes are dealt with, and changes to key processes are

documented and communicated.

Deployment Evidence

i. Goal 4-1 in the SIP states the university’s commitment to pursue organizational excellence by building leadership capacity and through the continuous improvement of our academic and administrative processes.

ii. OQI facilitates the application and support of Lean Process Reviews (LPR) across campus. Lean is a methodology that understands value from a customer perspective by focusing on key processes that deliver that value. More than 25 formal LPR have been conducted within Finance and Administration, and the broader campus since 2009. All LPRs will be posted on the new Intranet in the near future. As well, all LPRs have a communications plan and maps are captured in Visio and shared with the team.

iii. OQI works with cross-functional benchmarking teams to identify and understand best practices in work processes, in order to improve service delivery. Cross-functional benchmarking teams follow the five-phase Benchmarking Model adopted by Carleton University. Over 40 Benchmarking projects have been completed since 2003/2004, including six process redesigns taking place from 1996-1998.

iv. ITS conducted a root cause analysis following a cyber security attack in late 2016. As a result, a number of security systems were enhanced, including the implementation of a new password policy. Root cause analysis is part of ITS’ professional practice and of the ITS Project Management Office.

v. Key units are involved in maintaining and utilizing eShop meet and discuss issues on a regular basis:

Starting in January 2017, the Accounts Payable, Purchasing and Research Accounting teams meet to discuss broader issues impacting the cross-functionality of the teams, as well as issues specific to eShop processing. Correspondence relating to the issues discussed are circulated after every meeting for ongoing discussion, tracking and follow up.

Internal Service Providers continue to meet on a bi-monthly basis since eShop was implemented in 2015 to discuss issues, new functionality and enhancement requests, as well as changes to internal processes or system functionality. Correspondence relating to the issues discussed are circulated after every meeting for ongoing discussion, tracking and follow up.

The eShop administrative team meet on a monthly basis (Purchasing and Financial Systems) to discuss changes,

See Appendix C Strategic Integrated Plan (SIP)

Appendix 3.5.b.ii Lean Process Review Brochure

Appendix 3.5.b.iv Project Management Office – ITS


issues, enhancement requests, system change requests, and update communications amongst the team

vi. Purchasing Services has mapped the new current state of purchasing processes related to eShop, reviewed them as a team, and will be engaging in a regular review of processes for continuous improvement purposes within the broader University Services process management methodology

vii. Office of Institutional Research and Planning (OIRP) provides support to all areas of the university in analyzing the data to find the critical areas of focus, including Lean Process Review metrics.

viii. A Knowledge Plan called Knowledge @ Carleton has been developed to provide a roadmap for how the departments within Finance and Administration will share information to benefit professional services staff across the division. This model may be adopted across the university.

ix. As part of an ITS project closure, a lessons learned is conducted. Members of the project team are asked to consider what worked & what didn’t work. These lessons learned are then documented and leveraged for improvements to ITS processes.

See Appendix 3.2.c.iii Office of Institutional Research and Planning (OIRP)

See Appendix

3.2.d.v

Knowledge Plan

Appendix 3.5.b.ix ITS Root Cause Analysis

Criteria 3.5 c)

Projects are managed consistently, monitored and evaluated for success.

Deployment Evidence

i. The Project Management Office (PMO) of ITS is accountable for managing strategic information systems projects and serves as a platform for managing the change necessary to deliver projects and initiatives in a timely and efficient manner. It also serves as a resource for the ITS Delivery Process, as well as for standards established by the Project Management Institute (PMI).

ii. The Information Systems Steering Committee’s (ISSC) mandate is to operate as the strategic enterprise level committee for IT governance and to discuss initiatives and issues related to broad IT decisions. https://carleton.ca/itstrategy/governance/

iii. Currently, proposals and charters need to be reviewed and approved at ISSC. However, prior to ISSC, proposed projects must be assessed and recommended for ISSC at the appropriate sub-committee. These sub-committees are able to take a deeper look at the initiatives to not only assess specific community value but also readiness. This stage is vital. Two recent examples where initiatives (one at a proposal stage and one at a charter stage) were paused and it was suggested that the project proposal be moved to the Office of Quality Initiatives for a lean process review before the initiative was re-evaluated.

See Appendix 3.5.b.iv Project Management Office Appendix 3.5.c.i Project Management Office Tools and Templates

https://carleton.ca/itstrategy/governance/


iv. Facilities Management and Planning has a Project Management Group. In 2017, that group is being enhanced to effectively respond to project strategies, as well as to the community during project implementation. The FMP Project Management group reports to assistance vice-president (Facilities Management and Planning). All major construction projects are presented to the Board of Governors through its Building Program committee for design approval, and the Finance Committee for funding approval

v. The Office of Quality Initiatives uses Benchmarking methodology and Lean Process Review and projects are presented to the Organizational Excellence Steering Committee, which tracks the progress of projects.

Criteria 3.5 d)

Change management principles and activities have been integrated into improvement plans and

projects.

Deployment Evidence

i. Although eShop is no longer a ‘project’, as an integrated part of the systems landscape, it is important that regular communications and training activities continue

New vendors and catalogue options are communicated through the Carleton Top 5, as well as through targeted emails to specific shopping segments. It is important note that when eShop was launch more than two years ago, change management principles informed aspects of the overall project plan and rollout.

eSales are communicated through the purchasing website

Purchasing endeavors to engage end users in vendor specific events, having held two events so far this year. Regularly scheduled events will facilitate educating the community on eShop benefits and strengthen supplier relationships.

Customer Satisfaction Survey results are reviewed on a regular basis and assessed for validity and improvement potential

Purchasing continues to analyze gaps in catalogue options and work with various faculty members to introduce new suppliers or tender commodities based on department needs

As part of a larger University Service KPI methodology, Purchasing actively monitors PO Cycle time (efficiency) and Spend Under Contract KPIs on a monthly basis and analyzes trends and anomalies over time

ii. The Project Management Office is working with ISSC & the faculty members on an “ISSC Alignment” initiative. This will also see further

See Appendix

3.2.d.ii

eShop Website




improvements to our process regarding intuitive user interface, deeper engagement with our users, and improved change management communication.

iii. When we do Lean Process Review we identify measurements, targets for improvement and they are continuously monitored.

iv. Office of Quality Initiatives’ services reach beyond Finance and Administration. OQI is currently providing support to several areas working on process improvement within Finance and Administration, including FMP and its Punch Clock Working Group. Across the university, OQI is working with the Office of the Vice-Provost and Associate Vice-President (Academic) on process mapping; is part of a cross functional team working on the Constituent Records Management Project; MacOdrum Library’s Public Services Review process. Beyond the Carleton community, OQI has been hired by the Ottawa Police Service Facilities Management team.

v. Lean Process Review incorporates the highly regarded William Bridges’ Change and Transition Model into its training, which provides a framework to guide transition process.

See Appendix 3.5.b.ii Lean Process Review

Brochure

See Appendix 3.2.a.vi Office of Quality Initiatives

Appendix 3.5.d.v

William Bridges’

Changes and

Transition Model

Summary

Criteria 3.5 e)

All stakeholder groups (employees, customers, key partners and suppliers) are involved in process

improvement activities, e.g., in problem solving and improvement teams.

Deployment Evidence

i. A Lean Process Review takes all perspectives into consideration. Cross-functional teams include staff/faculty and students to learn about the process in its current state and design a future state from the customers perspective. The “Voice of the Customer”, value and work flow are terms that the team will take away to use as they continue to improve their processes. Lean Process Review teams report their findings and present the future state to the Organizational Excellence Steering Committee (OESC) who oversee all processs improvement initiatives as well as guidance and support.

ii. Focus groups are completed annually for Parking Services http://carleton.ca/parking/focus-groups/ and other areas as requested. The University of Ottawa has attended the Parking Services focus groups to observe the approach Carleton is taking as they consider us a best practice.

iii. Each department within the Finance and Administration division has its own Organizational Excellence Scorecard which outlines priories, as well as goals. This scorecard involves input from professional services staff.

iv. Honeywell has a dedicated staff member on campus to monitor the energy services renewal project building by building. This approach

See Appendix 3.5.b.ii Lean Process Review



http://carleton.ca/parking/focus-groups/


ensures that there is an open line of communication between the building occupants, Honeywell and Facilities Management and Planning so that issues can be effectively addressed.

Driver 6: Partners and Suppliers

In the Finance and Administration division we are taking a leadership role and setting the example for

other departments at the university in our approach with our partners and suppliers. Each department

within the division have different kinds of partner/supplier relationships and we have a Partner Plan

that recognizes the different relationships that exist and how we and our partners mutually benefit.

Carleton’s e-procurement tool, eShop, is one of the ways key partners and suppliers are showcased for

easy access to service offerings. As well, many of the departments in the division highlight their

partners on their websites.

Criteria 3.6 a)

The Partner Plan is reviewed to ensure that it is consistent with the existing Strategic Plan and/or evolving needs of the organization.

Deployment Evidence

i. We work with our partners to identify opportunities for joint initiatives to enhance the way we work together, including student employment, renovations and committee participation. A Partner Plan is in place and each department within the Finance and Administration division showcases their partners in a variety of ways, including on their departmental websites.

ii. Senior Leaders within Finance and Administration and the Excellence Working Group reviewed the Partner Plan and provided input to ensure it reflects how we work.

iii. Where applicable, departments within Finance and Administration highlight their partners and suppliers on their websites.

Appendix 3.6.a.i Partner Plan

Criteria 3.6 b)

The performance of partners and suppliers is measured and analyzed for ongoing improvement.

Deployment Evidence

i. The organization establishes and maintains co-operative working relationships with key partners and suppliers, and responds to feedback effectively.

ii. Public bidding system in place to select partners and suppliers.

Appendix 3.6.b.i Purchasing Policy


iii. Written contracts are in place with external partners which set out the requirements for the services rendered. Service agreements are in place with our internal departments and their customers.

Criteria 3.6 c)

Satisfaction of key partners and suppliers is monitored and the results are used for ongoing improvement.

Deployment Evidence

i. The Print Shop professional services staff is involved in product purchase

ii. A reference group is in place to discuss changes and updates to the P-card.

iii. EHS has a workplace check list, including for laboratories and other higher risk environments, to add an additional layer of safety in the workplace

iv. As part of the Information Systems Steering Committee (ISSC) project charter process, 12 senior leaders are involved in assessing impact of products and services.

v. Client-facing systems must meet AODA Standards. vi. Pension Committees/Benefits Committee meets regularly as part of

its oversight duties. vii. Joint Health and Safety Committee meets regularly to discuss issues

and make recommendations for improvements. viii. Ergonomics review of vendor office chairs ensures cost effective and

safe selection options prior to procurement. ix. Parking Services uses focus groups for new initiatives and ongoing

feedback about its services. In 2015, it launched Text2ParkMe in response to its customers who asked for a text-to-park solution.

x. Facilities Management and Planning (FMP) used the Best Value approach when selecting C&W as the contractor for the university’s cleaning and maintenance services. FMP conducts ongoing site reviews with building occupants to ensure quality of service.

Appendix 3.6.c.iii EHS Inspection Checklist See Appendix 3.1.b.vi Joint Health and Safety Committee Appendix 3.6.c.viii Ergonomics Review See Appendix 3.3.c.vii Parking Services Text2ParkMe

Criteria 3.6 d)

Key partners and suppliers collaborate in an innovative way in the design, development and enhancement of relevant services and/or products.

Deployment Evidence

i. Broader Public Sector Procurement rules are in place. ii. Key Performance Indicators have been established for eShop,

Carleton’s e-procurement solution. Vendor and customer needs are

Appendix 3.6.d.i Broader Public Sector Procurement Rules See Appendix 3.2.d.ii


evaluated on a regular basis and new offerings are added to reflect needs.

iii. Dining Services and its partner Aramark regularly meet to discuss product development. In March 2017, Carleton received its Fair Trade Campus designation. This was a joint venture with Aramark.

iv. University Services is growing its partnership with Coca-Cola and exploring new opportunities.

v. Carleton University has partnered with IBM to provide information technology solutions and infrastructure to support the learning, teaching and research goals of Carleton University. IBM engages with faculty to provide access to powerful software and further supports the growing research community by hiring Carleton graduate students. IBM is a key partner working with ITS to provide high performance computing resources for the Carleton research community. As a result of the partnership with IBM, Carleton researchers have access to robust data science and analytics tool, as well as a development environment for creating and testing applications. By bringing together the best people with the best technology, Carleton and IBM are defining what it means to be a leading research university.

vi. Facilities Management and Planning has engaged its partner C&W Maintenance and Custodial Services to develop “green” cleaning products for use at Carleton.

vii. University Safety has a Memorandum of Understanding with Ottawa Police, which provides for the appointment of our campus safety officers as Special Constables with the same legal authority as police officers. This gives law enforcement capacity on campus. Carleton benefits from this partnership with greater training opportunities for our Special Constables, as well as quick response for back up from Ottawa Police.

viii. Financial Services and Western Union have been long time partners in collaborations which have led to Carleton being the testing ground for new technology and having the opportunity to influence the outcome of product development.

ix. Facilities Management and Planning (FMP) has a partnership with Delta Controls and its Ottawa-based sister company, Regulvar, that results in the university receiving preferred pricing on equipment and installation. As well, Delta Controls has donated a significant amount of money to support research and learning opportunities for our engineering students. In addition, projects include “intelligent building” research which uses sensors to determine space occupancy so we can anticipate usage in order to best plan energy consumption. This research began as a pilot in one building and is now part of the planning for the new Health Sciences Building that will open in fall 2017.

x. Carleton’s partnership with Honeywell on the energy renewal project championed by Facilities Management and Planning has inspired an

eShop Appendix 3.6.d.iii Fair Trade announcement Appendix 3.6.d.ix Intelligent Building Appendix 3.6.d.x Energy Savings Dashboard

https://carleton.ca/rcs/research-computing-and-development-cloud-rcdc/




Energy Master Plan for the campus, whereby each building on campus will undergo an energy audit and a subsequent retrofit of lighting, the building envelop, and water audit to identify opportunities to conserve water consumption. To date, five buildings on campus have been completed and the next phase of buildings is being reviewed and will be prioritized.

Conclusion As Carleton University celebrates a milestone anniversary, we have many reasons to be proud as a

post-secondary institution.

Finance and Administration’s dedication to excellence is embedded within our culture and the way we

work. Seeking feedback and input from professional services staff and our customers is a recognized

leading practice in our daily work, and has resulted in continuous improvement in our services for our

faculty, staff, students, external partners and the community.

The division’s journey to excellence through Excellence Canada’s framework in Excellence, Innovation

and Wellness, as well as Healthy Workplace, Mental Health at Work, has helped us be the best that we

can be. We are recognized as influencers with other divisions at Carleton and beyond. Carleton has been

named the Top 25 Best Employer in 2017 for the third time; Dining Services, in partnership with Aramark,

received its Fair Trade Campus designation; in recognition of the role Carleton University played in the

Mental Health Commission of Canada’s case study, we have been asked to host a pilot Senior Leaders

Roundtable on Mental Health in May 2017 and we were proud to bring together more than 85 people

representing 35 post-secondary institutions from five countries for the first-ever Higher Education

Leadership Forum (HELF). The HELF was so successful, a second one is planned for 2018 at the University

of Sheffield.

We are role models and encourage people to pursue new and innovative approaches and ideas to

challenges so that we are better equipped to have a positive impact as a post-secondary institution, on

the people who work at Carleton, our students and our partners.

Thank you for your consideration of our Gold Level application in Excellence, Innovation and Wellness.

carleton university gold role model application prepared for: … · 2 | p a g e finance and...

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