Overview

Prince Sultan University (PSU) believes that KPI (Key performance Indicators) and benchmarking should be embedded in practice within all key areas of the University for continuous improvement and demonstrated within the formation of its standards of practice and comparators for performance. This policy mandates how the University will review and assure the achievement of performance through the comparison of external and internal benchmarking. Adherence to this policy contributes to efficient and effective evidence-based decision practices.

Purpose

The overarching aim of the benchmarking and KPI policy is to contribute to continuous improvement of PSU performance.

Policy

• KPI Policy is based on KPI Guideline and Framework (Version 2, March 2020) approved by the KRC (KPI & Risk Management Committee (KRC) (see Appendix QA0005.1).
• The KPI Policy applies to program and institutional level.
• For Program Level, the National Center for Academic Accreditation and Evaluation (NCAAA) has identified 17 (17+3 = 20) key performance indicators (KPIs). 19 of 20 are mandatory. The code of the program level KPIs will be KPI-P-01….. KPI-P-17.
• For Institutional level, the NCAAA has identified 23 (23+2 = 25) KPIs. All of which are in line with the evolving institutional accreditation standards. The code of the institutional KPIs will be KPI-I-01….. KPI-I-23.
• PSU may use additional performance indicators (strategic plan KPIs) and if it believes they are necessary to ensure the quality of the institution. The code of the additional institutional Strategic Plan KPIs will be SKPI-PSU-01…... The code of the additional college level Strategic Plan KPIs will be SKPI-CBA-01….... (for instance, College of Business Administration -CBA). The code of the additional program Strategic Plan KPIs will be SKPI-ACC-01…... (for instance, Accounting Program).
• All Research KPIs will be based on calendar year.
• All Research KPIs will be based on PhD Faculty members only as per PSU Policy.
• Each of additional KPIs and Target Benchmark should be approved by the KPI & Risk Management Committee (KRC)
• For identifying external benchmark and data should be consulted with the KPI & Risk Management Committee (KRC).
• Internal Benchmarks refers to comparable performance of previous year KPI.
• For External Benchmarks, each program and institution should identify and use two external benchmarks:

Competitive - Local/National/Regional: This allows for a form of benchmarking in terms of university’s mission; size, type of institution, research productivity, staffing levels, enrolments and any other factors.

Aspirational – International: This allows for a form of benchmarking in terms of university’s mission strategically to be envisioned by Saudi Vision 2030.

• The number of KPIs from external benchmarks are minimum 50% of the total KPIs required by the program/institution.
• The KPIs shall be reported annually and actions will follow accordingly. A sample of KPI analysis template is shown in Appendix QA0005.2. A schedule of institutional and program level is provided in Appendix QA0005.3 and Appendix QA0005.4.
• All KPIs and data source should be Center for Statistics & Information (CSI). Timeline for Data Collection and Analysis is shown in QA0005.5.

Scope

The policy applies to all KPIS (program, college and institutional) at PSU.

Definitions

Benchmark/KPI refers to the key performance indicators of the program/institution approved by the KRC. This includes both NCAAA and additional KPIs.

Targeted Performance (Benchmark) refers to the anticipated or desired for each KPI which will be set by the KPI owners (e.g. Program Chair/Unit Directors) with the discussion and approved by the KRC Committee.

Actual Performance (Benchmark) refers to the current outcome/performance of each KPI.

Internal Benchmark refer to comparable performance of previous year KPI.

External Benchmarks refer to comparable benchmark from outside programs/institution (national, regional or international).

KPI Analysis refers to a comparison and contrast of the benchmarks to determine strengths and recommendations for improvement.

New Target performance (Benchmark) refers to a new desired outcome for each KPI which is based on the KPI analysis.

1. Monitoring and Implementation

Given the significance of KPIs, PSU should conduct KPI analysis regularly for its quality assurance enhancement and continuous improvement endeavors.

The KPI monitoring process is a continuous process.

It provided as below in which data availability, validity and analysis are shown including specified timeline: (Refer to PSU KPI Framework, see Fig. 1).

Fig. 1. PSU KPI Monitoring and Governance Process

Appendices: Please find the guidelines for PSU’s Benchmarking and KPI Policy (QA0005)

Appendix for QA0005 - Sultan University (PSU) Benchmarking and KPI Policy

QA0005.1 KPI and Risk Management Committee, and its Roles & Responsibilities

QA0005.2 A sample of KPI analysis template

QA0005.3 A schedule of institutional level KPIs

QA0005.4 A schedule of program level KPIs

QA0005.5 Timeline for Data Collection and Analysis

QA0005.1 The KPI and Risk Committee (KRC) Committee, and its Roles & Responsibilities

Report to:

Vice Rector for Administrative and Financial Affairs (VR-AFA) and as a Chair of the Institutional Financial and Risk Management Committee (IFRMC) and Deputy-Vice Rector, Academic Affairs

Role and Responsibilities:

The KRC is a sub-committee of the IFRMC. The KRC Chair and the following committee members are appointed by the Chair of IFRMC:

• The committee shall ensure that the National Center for Academic Accreditation and evaluation (NCAAA) based required Key Performance Indicators (KPIs) are being utilized and monitored by all the colleges, departments, centers and the Institution at large.
• The committee shall also ensure that the PSU’s based KPIs are continuously monitored by all the concerned colleges, departments, centers and the Institution at large.
• The committee shall assist all the colleges, departments, centers and the Institution at large in benchmarking with other comparable and reputable institutions.
• The committee shall coordinate with the Institutional Technology and Quality Committee (ITQC) in ensuring all risks are identified in the quality improvement and information technology plan.
• The committee shall coordinate with Institutional Strategic Plan Steering Committee (ISPSC) in ensuring all risks are identified in the strategic plans and action plans.
• The committee shall also coordinate with Institutional Financial Risks and Management Committee (IFRMC) in ensuring all risks are identified in planning and quality assurance.
• The committee shall study any related tasks, issues and problems and provide recommendations of the best solutions or alternative course of actions to the concerned colleges, deanships, departments, centers, units and/or offices to be submitted to the Chair of IFRMC.

QA0005.2 The KPI and Risk Committee (KRC) Committee, and its Roles & Responsibilities

List the results of the program key performance indicators (including the key performance indicators required by the National Center for Academic Accreditation and evaluation)

If the Recent reporting year of Annual Program Report or KPI Analysis is AY 2019-2020

QA0005.3 A schedule of institutional level KPIs

QA0005.4 A schedule of program level KPIs

QA0005.4 A schedule of program level KPIs

QA0005.5 Timeline for Data Collection and Analysis

Contents:

5. Introduction, definition and purpose
6. Scope and application
7. Responsibility of Universities
8. Approval of policy

2) Introduction, definition and purpose

The United Nations statement known as the Palermo Protocol defines human trafficking as: “Trafficking in persons” shall mean the recruitment, transportation, transfer, harboring or receipt of persons, by means of the threat or use of force or other forms of coercion, of abduction, of fraud, of deception, of the abuse of power or of a position of vulnerability or of the giving or receiving of payments or benefits to achieve the consent of a person having control over another person, for the purpose of exploitation. Exploitation shall include, at a minimum, the exploitation of the prostitution of others or other forms of sexual exploitation, forced labor or services, slavery or practices similar to slavery, servitude or the removal of organs.

The International Labor Organization, an agency of the United Nations, defines forced labor as ‘all work or service which is exacted from any person under threat of a penalty and for which the person has not offered himself or herself voluntarily’.

The term ‘modern slavery’ is an umbrella term covering many ill-defined practices. Generally included are human trafficking for sex, labour or organs, forced labour, bonded labour, descent-based labour, domestic servitude, child labour, early (child) and forced marriage. This list is not exhaustive and other forms of modern slavery and human trafficking include the taking of babies and children for sale for adoption, the entrapment of people in religious ritual roles as well as those taken for religious rites that involve forms of human sacrifice. It is difficult to establish reliable data as much of modern slavery and human trafficking is hidden. However, the best estimates are that millions of people around the world are being exploited in this way. People who are victims of modern slavery and human trafficking are often among the most vulnerable in societies. They include all ages, genders, ethnicities and creeds. The most vulnerable groups include refugees and migrants, minority groups, women, children and people experiencing extreme poverty”.

The Definition of forced labor

According to the ILO Forced Labour Convention, 1930 (No. 29) , forced or compulsory labor is:
"all work or service which is exacted from any person under the threat of a penalty and for which the person has not offered himself or herself voluntarily."

2)Scope and application of human trafficking

slavery is the status or condition of a person over whom any or all of the powers attaching to the right of ownership are exercised”, in which ownership is understood as “constituting control over a person in such a way as to significantly deprive that person of his or her individual liberty, with the intent of exploitation through the use, management, profit, transfer or disposal of that person” (⁷), this definition is derived from and based on the definitions in the ILO conventions, specifically the definition of “slavery” in Article 1(1) of the 1926 Slavery Convention, its reproductions in Article 7(a) of the 1956 Supplementary Convention on the Abolition of Slavery, the Slave Trade, and Institutions and Practices Similar to Slavery and in Article 7(2)(c) of the 1998 Statute of the International Criminal Court. Also taken into account in the development of this definition were the human rights law as applied to the 1948, Universal Declaration and 1966 International Covenant on Civil and Political Rights, as well as the 2000 United Nations Palermo Protocol on Trafficking in Persons and the 2005 Council of Europe Convention on Action against Trafficking in Human Beings (⁸).

• Human trafficking. The use of violence, threats or coercion to transport, recruit or harbor people in order to exploit them for purposes such as forced prostitution, labor, criminality, marriage or organ removal.
• There are three common types of human trafficking: the sex trade, forced labor, and domestic servitude. The economic sectors that profit most from human trafficking are agriculture, restaurants, manufacturing, domestic work, entertainment, hospitality, and the commercial sex industry (⁹).
• According to the ILO Forced Labor Convention, 1930 (No. 29), forced or compulsory labor is: "All work or service which is exacted from any person under the threat of a penalty and for which the person has not offered himself or herself voluntarily".
• The three key elements that must be present for a situation of trafficking in persons (adults) to exist are therefore: action (recruitment,); means (threat); and purpose (exploitation) (¹⁰).
• Behaviors relating to ownership that might indicate or provide evidence of slavery include:
  • Buying, Selling or Transferring a Person (i.e. human trafficking).
  • Using a Person.
  • Managing the Use of a Person.
  • Profiting from the Use of a Person.
  • Transferring a Person to an Heir or Successor.
  • Forced Labor and Bonded Labor.

3) Responsibility of Universities

As institutions occupying a unique space at the intersection of public and private enterprise, universities face unique challenges in addressing the issues, as well as in their practices on campuses at home and abroad.

Following the UN Guiding Principles, as public sector bodies (or, in the Guiding Principles’ distinction, “State” institutions), PSU have an obligation to protect subjects from human rights violations as well as to respect human rights and remedy abuses or violations. However, universities also occupy a unique space as philanthropic leaders and innovators. Thus, not only do thorough efforts to identify and address their modern slavery risks and detailed reporting thereof fit their purpose, such activities enable universities to place themselves at the forefront of the global movement to end slavery, subsequently raising international profiles and setting a high standard for organizations that follow(¹¹).

• Universities should use the opportunity afforded by the Modern Slavery Act 2015 Statement requirement to perform and report upon a thorough assessment of the modern slavery risks affecting the university at every level, including supply chains, recruitment practices, and overseas campuses and partnerships, as well as the methods employed to address and reduce risk. Crucially, universities’ MSA Statements should include a clear verbal commitment to protecting and respecting human rights, and an unequivocal statement of zero tolerance of modern slavery in supply chains or in global university operations.
• Universities should collaborate with other universities and organizations, sharing information about modern slavery risks and methods employed to address them with colleagues.
• Universities should consider joining organizations that collect, assess, collate, and distribute information on modern slavery risks.
• Universities should engage directly with first-tier suppliers (and go further down the chain, if possible); studies have found that end-to-end supply chain visibility has a more noticeable impact on reducing modern slavery risk than the audit model.
• Universities should establish and publish a clear policy, plan and strategy to combat all known modern slavery risks
• Universities should introduce and/or continue modern slavery training programs at every level.
• Universities should ensure that those in leadership roles are informed of the modern slavery risks that affect the university, and that they are aware of and engaged in policies and methods Implemented to address and reduce those risks (¹²).

Approval and Revision

The policy is endorsed and fully supported and approved by the Colleges councils and the University Council

For Related Policies Please see the following documents:

1. Policy on faculty Code of Conduct
2. Academic Integrity Policy