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8/20/2019 Lumina Case Studies Leadership Test
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Leading in
ToughTimes
WorkbookCase
Studies
for
Higher Education
Leaders
By Brent D. Ruben and Susan Jurow
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2 Leading in Tough Times: Case Studies for Higher Education Leaders
Copyright 2012, NACUBO
About
the
Authors
Brent D. Ruben is executive director of the University Center for Organizational Development and
Leadership and distinguished professor of communications at Rutgers University.
Susan
Jurow
is
leadership
consultant
for
the
National
Association
of
College
and
University
Business
Officers.
NACUBO would like to thank Lumina Foundation, an Indianapolis‐based private foundation dedicated to
expanding access to and success in education beyond high school, for supporting this project, and in
particular Kevin Corcoran, Lumina program director.
The authors would like to acknowledge and thank Donna Klinger for her editorial assistance.
© 2012 by NACUBO
All rights reserved. No portion of this publication may be reproduced or transmitted in any form or by any means,
electronic or mechanical, including photocopying, recording, or by any information storage and retrieval system,
without permission in writing from the publisher.
National Association of College
and University Business Officers
Washington, DC
www.nacubo.org
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Table
of
Contents
Using This Workbook…………………………………………………………………………………………………………………4
South Ridge State College: Role of the Chief Business Officer……………..…………….……………………..7
Abbreviated Version of Case Study………………….………………………………………….………………………7
Case Study…………………………………….…………………………………………….………………………………………8
Recorder’s Form………………..……………………………………………..……………………………………………….14
Skyline State University: Travel Policy Procedures and Practices Task Force………………….………..15
Abbreviated Version of Case Study………………………………….………………………..………..…………….15
Case Study………………………………………………………..…..…………………………………..………………………16
Recorder’s Form………………………………………………………………………………..………………………………24
Samuel Waters College: Budget Futures Summit Retreat………………………………………………………..25
Abbreviated Version of Case Study…………….…………………………………..…………………………………25
Case Study………………………………….……………….…………………………………………………………………….26
Recorder’s Form……………….…………………………….…………………………………………………………………32
Reginald Murphy College: Gender Equity Issues………………………….………………………………………….33
Abbreviated Version of Case Study……………………………….…………….……………………………………33
Case Study…………………………………………..………………………………………..………………………………….34
Recorder’s Form………………………………………………………………………..……………………………………..40
Timberline University: Art Gallery Faculty Exhibits Program Controversy…………….…….…………..41
Abbreviated Version of Case Study……………………………………………………….………………………..41
Case Study………………………………….……………………………………………………………………………………42
Recorder’s Form………………………………….…………………………………….…………………………………….49
San Pedro College: Staff Productivity and Morale………………………….….……………………………………50
Abbreviated Version
of
Case
Study………………………………………………….………………………………50
Case Study……………………………………………………………….………………………..…………………………….51
Recorder’s Form…………………………………………………….………………………………..………………………56
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4 Leading in Tough Times: Case Studies for Higher Education Leaders
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Using
This
Workbook
In these uncertain times, campus stakeholders must learn to make the best decision possible in
ambiguous situations where there is less than optimal information available and the outcome
cannot
be
predicted.
The case studies in this workbook focus on financial, cultural, and ethical issues that have
occurred on many campuses. They raise issues that are not easily addressed or that are
resistant to easy consensus. They provide opportunities to practice nimble decision making and
engender a sense of shared responsibility. The higher education community can use these case
studies in a variety of ways to focus attention and foster discussion on operational and strategic
concerns.
Campus leaders can engage their constituents in substantive discussions about the impact of
the issues
raised
by
these
case
studies
on
their
campus,
helping
faculty,
trustees,
and
administration develop consensus about priorities for engagement, levels of resources
required, and/or the need for reallocation of resources. The cases also can be used in a
teaching or training environment. Because these cases outline contemporary campus issues,
they are useful in either a higher education administration degree program or a leadership
training program managed by a campus or higher education association.
Case Study Defined
A case study is a realistic scenario that outlines management and/or technical problems and
challenges in
a way
that
provides
practical
experience
with
how
best
to
approach
and
solve
them. It describes a situation, and then raises questions to enhance a participant’s
understanding of the range of issues that need to be addressed. It permits the participant to
propose and test solutions and strategies in a “safe” environment, one that does not have
immediate and practical consequences.
Case studies improve a learning experience because they get the participants involved and
encourage immediate use of newly acquired skills. They help participants develop skills that
they can use in the workplace. The skill set may include:
•
Problem identification
and
definition
• Analyzing, understanding, and
interpreting data
• Analytical and critical thinking
o Recognition of assumptions
and inferences
•
Exercising judgment
o Making and defending
decisions
• Understanding interpersonal
relationships
• Communicating ideas and opinions
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A case study may include some or all of the following:
• Setting the scene
o Details of the organization
o Description of the players or stakeholders
o
Outline of
the
particular
challenge
or
problem
• Available resources, if any
• Issues in the work environment that might affect the project
Case Study Components
The case studies in this workbook have five parts:
1. Short and Long Versions: Each case study is provided in two forms, so that their use can be
tailored to the time available for discussion.
2. Recorder’s Form: A form is provided for each case study to help guide discussion, to track
group consensus for reporting to a larger group, and to collect group discussion for further
analysis if desired.
3. Discussion and Interactive Options: These sections within the case studies suggest thought
provoking questions and provide guidance for managing a dialogue on the topic.
4. Debriefing (Themes and Leadership Competencies): The situations in these case studies
reflect issues, strengths, and flaws found in most, if not all, organizations. The case studies
are designed to focus on leadership competencies that can and should be exhibited at all
levels of the organization to mitigate weaknesses and support organizational effectiveness
and achievement.
The
competencies
suggested
in
these
case
studies
are
tied
to
What
Leaders Need to Know and Do by Dr. Brent Ruben, published by NACUBO, 2006.
5.
Readings: Additional readings are suggested for those who are interested in developing a
greater understanding of the topic under discussion.
Examples of Uses
These case studies can be used in several ways. The most appropriate approach will depend on
the subject matter, the time available, and the desired outcome. The more time expended, the
greater the depth of comprehension, skill utilization, and personal investment in the goals of
the organization
are
likely
to
occur.
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One Hour. With a short amount of time, a presentation or individual reading of the case can be
followed by a session of questions and answers to give a group the opportunity to clarify and
enhance their understanding of the topic under discussion. This might be open‐ended or more
carefully structured with specific questions designed to focus participants on particular aspects
of the problem or challenges in the case.
Two Hours. With more time, case studies can be used effectively in small groups to deepen the
discussion and insights. In this situation, the case studies are first read and discussed by small
groups, using worksheets to direct the dialogue. The responses of each group are reported to
the larger group in a plenary setting, and similarities and differences in problem definition and
approach can enhance the participants’ appreciation of the challenges inherent in the scenario
and their ability to think through the various ways of meeting them.
Four Hours. With additional time and preparation, role playing can be introduced into the case
studies.
Participants
can
be
asked
to
consider
the
situation
from
the
perspective
of
different
stakeholders and to present that individual’s concerns and point of view.
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South Ridge State University Case Study:
Role
of
the
Chief
Business
Officer
(Abbreviated
Version)
The Setting
South Ridge State College (SRSC) is a comprehensive state
institution with an enrollment of 22,000 primarily
undergraduate students. As with many colleges and
universities, SRSC is experiencing difficult years financially. State support has been declining
for higher education and other state‐funded agencies and activities.
To address the state funding situation, SRSC has increased tuition and student fees substantially
in recent years – to the point where this has become a topic in the local media. Because of the
budget situation,
the
university
has
imposed
a temporary
hiring
freeze
for
the
current
academic
year, which will likely continue for at least another year. There will be no salary increases this
year, and last year faculty and staff increases were limited to contractual payments due for
faculty promotions. Campus leaders remain optimistic about the long‐term, but they do not
expect the situation to improve in the next several years. Student tuition and fees will have to
increase considerably to help address the situation.
Your Challenge
In your capacity as CBO, a colleague in the budget office mentions to you that she has heard
from her
son—who
attends
SRSC
and
is
a member
of
the
Student
Life,
Campus
Programming
Committee—that the committee is planning to use student fees to hire a controversial
television reality show star as an evening entertainer for the annual new student orientation.
You understand that the proposed fee is $30,000.
Discussion
1.
What, if any, issues are of concern for you?
2. What constituencies might be concerned? What might their concerns be?
3. What, if anything, do you do or say, and to whom? What’s your rationale?
4. What, if anything, do you think should be done? Why?
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South Ridge State University Case Study:
Role
of
the
Chief
Business
Officer
Background
South Ridge State University (SRSU) is a comprehensive state
institution with an enrollment of 22, 000 primarily undergraduate
students. A majority of students major in liberal arts, although there is growing enrollment in
business, communication, and education degree programs. SRSU attracts a majority of its
students from within the state, drawing most heavily from the six counties surrounding Ridge, a
town of 45,000, which is the county seat and location of SRSU. Middletown, population
155,000, is located 33 miles to the northeast.
State support to SRSU has been declining in recent years, and it appears this pattern is likely to
continue. These
problems
are
not
unique
to
South
Ridge,
or
to
higher
education
in
the
state,
for that matter. In fact, all state‐funded agencies are going through difficult times. The
challenges to SRSU are compounded by difficult housing and job markets in the Ridge‐
Middletown area that show few signs of improvement. Exacerbating the gloomy financial
outlook is the flood of articles and stories in local media reminding the community of their
difficulties, pointing to the need for spending cutbacks on public sector activities, and
contributing to a lack of confidence in local and state leaders.
SRSU has offset cuts in state funding with rather substantial increases in tuition and student
fees in recent years, and that, too, has received local media attention. One recent editorial
page article
in
the
Middletown
Messenger , titled,
“Is
SRSU
Tone
Deaf?”
recounts
the
trend
of
tuition increases, noting that in most years increases at South Ridge surpassed state cuts to the
institution, and arguing that the university must begin a more fundamental reexamination of its
mission and operations and rethink its approach to fiscal management.
The article calls upon the SRSU administration to respond to their challenges as a business
would, by refocusing and reprioritizing rather than continually raising the cost of products and
services – tuition. The editorial severely criticizes SRSU’s commitment to revenue‐generating
varsity sports, and questions whether what were called “the excessive expenditures on
athletics” make sense in the current climate. “A business would ask how athletics contributes to
the core mission of the enterprise, and if the answer is that the contribution is peripheral, then
the activity
would
be
eliminated
or
downsized.
Why
should
the
approach
be
any
different
in
higher education?” The article also criticizes the use of “allegedly scarce resources to offer
courses and sponsor events that have no demonstrable educational value.”
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Viewed from the perspective of the leaders of SRSU, changes are being made to increase
efficiency and effectiveness and to be responsive to fiscal and public pressures. In this regard,
South Ridge leadership has decided to implement a temporary hiring freeze for the current
academic year, and it will likely be continued for at least another year. There have been no
salary increases this year, and last year faculty and staff increases were limited to contractual
payments due
for
faculty
promotions.
Campus
leaders
remain
optimistic
about
the
long
term,
but they acknowledge that there is no reason to expect the situation to improve in the next
several years. Clearly, salaries and vacated positions can’t be frozen indefinitely, and overhead
and administrative costs continue to rise. SRSU’s leaders clearly see that student tuition and
fees will have to be increased considerably in the years ahead to help address the shortfall.
Your Challenge
As the senior financial and administrative officer, you have a number of thoughts on the
challenges facing SRSU. You understand that the fiscal pressures are real and are unlikely to
dissipate soon. You also understand the basis of the critique that the institution is not
necessarily being run as a business would be, and you can appreciate the view of those who
point to the need to streamline and focus on the mission‐critical activities necessary to educate
tomorrow’s workforce. However, you also understand and can appreciate the “academic” view
that public higher education was never envisioned to be a business in the usual sense of the
term and that it has a special mission within society. It should serve not only the employment
needs of students and parents, but also should advance knowledge, promote general education
and critical thinking, and should thereby further the values of a democratic society. It also
should serve the community at large.
The essential challenge you face as chief business officer is determining how to reconcile the
various economic
and
marketplace
cross
‐pressures
that
confront
the
institution
and
deciding
how to act most appropriately on your insights. So, for example, what responsibility—if any—
do you have in promoting a leadership team discussion of and/or response to the critique that
the university is not being run using sound business practices or the attack on athletics? When
you hear about decisions being made that seem to reinforce the idea that higher education is
“tone deaf” to the fiscal realities and marketplace perceptions, what responsibility, if any, do
you have to address these issues?
Here’s one recent example: A colleague in the budgeting office mentions to you that she has
heard from her son—who attends SRSU and is a member of the Student Life, Campus
Programming
Committee—that
the
committee
is
planning
to
use
student
fees
to
hire
a
controversial television reality personality as evening entertainment for the annual new student
orientation. You understand that the proposed fee is $30,000, all of which will come from a
student fees set‐aside account.
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You are aware that the show and the celebrity in question have received a fair amount of public
criticism, particularly from conservative organizations, for the “excessively liberal” approach to
sexual activity and drug use portrayed on the program.
Discussion
Take 20 minutes to prepare a plan for how best to address the potential hiring of a
controversial television celebrity. As a group, consider what principles would guide your
thinking—as an individual, as a member of the senior administration of the institution, and as
the chief financial officer. As chief financial officer, what responsibility, if any, do you have to
raise concerns relative to this pending decision? What factors would you consider in arriving at
a decision in the matter? If you decided it was appropriate to “raise concerns,” what process
would be most appropriate?
Interactive Options
1.
The facilitator can provide reactions to the draft plan submitted, raise questions, raise
concerns, describe possible consequences, and/or add additional information for
consideration.
2.
Depending on goals of the session, the time available, and the size of the group, the
process can be structured, so that participants share responses across multiple tables
and analyze common themes, differences, and similarities.
3. Additional information or time pressures can be introduced, and the group can be asked
to develop a plan to address them.
4. The facilitator can introduce an additional context or higher level issue for
consideration. These issues might include feedback that indicates a significant concern
on the part of the faculty or threats from the state legislature regarding potential
consequences if the celebrity is hired.
Debriefing
Themes
•
Chief Business
Officer
Role:
What
is
the
CBO’s
role?
To
what
extent
do
the
responsibilities of the role extend to matters that occur outside of the scope of activities
of the individuals who report directly to you?
•
Leadership Principles and Values: What principles and/or values should guide day‐to‐day
decision‐making by senior leaders in general and CBOs more specifically? In situations
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11
where one’s principles and values don’t necessarily point in the same direction or
action, how should one prioritize?
• Role Expectations: In a situation such as the one described, what are the risks and
negative consequences of enacting your role in a manner that doesn’t align with other’s
ideas about
what
your
role
should
be?
What
possible
benefits
and
positive
consequences may result? Are the strategies available that may help to mitigate the
risks?
• Culture: In what ways is the culture of an institution and of higher education in general,
an important consideration in making a decision about how to handle a situation like
this? What differences, if any, between the academic and administrative cultures are
likely to come into play with this type of issue? How can these differences be best
addressed?
•
Communication
and
Language:
If
you
decided
to
address
the
issue,
what
process
would
be most appropriate? With whom would you communicate and in what sequence, and
what channels would you think most appropriate in this instance? In what ways are
communication style, word choice, message content, and tone important considerations
for a leader who chooses to address an issue such as this one?
In this case, what are some words and phrases that might be emphasized, such as
“potential benefits for all,” “avoid reinforcing a view of ‘institutional tone‐deafness’”,
“potential teaching and learning moment for student leaders if they are involved in a
discussion of risks and benefits of the decision” and others that should probably be used
with caution, such as “PR consequences of moving forward” and “political sensitivities”
in talking
about
this
project
because
they
may
be
red
flags
for
particular
groups
on
campus such as the faculty.
Leadership Competencies of Particular Importance
• Self ‐assessment: In this instance, as more generally, it is important to begin a task with
some critical self ‐reflection to identify one’s leadership principles, values, and
responsibilities associated with a particular role. Also important to consider are one’s
comfort level in addressing the situation and possible institutional and personal
consequences, as well as strategies for preparing and presenting one’s ideas if a
decision is
made
to
address
the
issue
in
some
way.
• Problem Definition: In what ways is problem definition and problem clarity particularly
critical for situations like this one? Is action required? From what perspectives is this a
“problem” that requires CBO action? Are there perspectives of this situation that lead
to a conclusion that it is not a problem, or at least, not a CBOs problem? How can
reflecting on the issue of problem definition be helpful?
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• Credibility and Influence: What credibility issues may be influences in a situation such as
this one? What might be done to enhance both credibility and influence should a
decision be made to address the issue?
•
Stakeholder Analysis:
In
situations
such
as
this,
there
are
a number
of
stakeholders
to
be aware of and to be concerned about—stakeholders who will hear and react to your
words and actions (if you decide to address the issue) What are some of the most
critical constituency groups, what issues will likely be of particular importance to each
group, and how might these concerns be addressed?
• Communication, Problem‐Solving, and Engagement: If you decide to address the issue,
how do you proceed? How do you decide who to communicate with, in what sequence,
and using what channels? Giving particular attention to identifying the most
appropriate sequence and messages for each stakeholder group would be quite
important
to
the
success
of
your
efforts,
and
to
minimizing
negative
consequences.
• Tolerance for Uncertainty and Risk Taking: Voicing your concerns in an instance such as
this may represent a departure from present practice—yours or the institution’s. If that
is the case, in what ways and for whom will issues of uncertainty tolerance and change
management come into play, and what strategies may be helpful in diminishing negative
consequences, and in fact, reinforcing the likelihood of future actions of a similar type
by you and others in leadership positions.
•
Teamwork and Collaboration: How might the handling of this situation contribute to, or
detract from, a sense of community and teamwork within the institution’s leadership?
What approaches
might
contribute
to
positive
outcomes
in
this
regard?
• Crisis Management: In a case such as this one, what are the potential crisis
management challenges that could result if the scenario proceeds as planned? How
might an understanding of the dynamics of crisis management help lead to the adoption
of preventative strategies?
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Readings
Becker, E., and Wortmann, J. Mastering Communication at Work . New York: McGraw‐Hill,
2009.
The
Chronicle
of
Higher
Education.
“What
the
Hell
Happened
to
College
Sports?
And
What
Should We Do About It?” December 11, 2011. http://chronicle.com/article/What‐the‐Hell‐Has‐
Happened‐to/130071/
Hignite, Karla. “Stewards by Nature,” Business Officer Magazine, December 2011, pp. 19‐25.
Kotter, J. P. What Leaders Really Do. Cambridge, MA: Harvard Business School Press, 1999.
Kotter, J. P. Urgency , Cambridge, MA: Harvard Business School Press, 2008.
Ruben, B. D. What Leaders Need to Know and Do: A Leadership Competencies Scorecard .
Washington, DC:
National
Association
of
College
and
University
Business
Officers,
2006.
Ruben, B. D. Understanding, Planning, and Leading Organizational Change. Washington, DC:
National Association of College and University Business Officers, 2009.
Stone, D., Patton, B., and Hen, S. Difficult Conversations. How to Discuss What Matters Most .
New York: Penguin, 1999.
Walaski, P. Risk and Crisis Communication: Methods and Messages. New York: John Wiley,
2011.
Zdziarski, E. L., Dunkel, N. W., Rollo, J. M. Campus Crisis Management A Comprehensive Guide
to Planning, Prevention, Response and Recovery . San Francisco: Jossey‐Bass, 2007.
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Recorder’s Form
South
Ridge
State
University
1.
What, if any, issues are of concern for you?
2. What constituencies might be concerned? What might their concerns be?
3.
What, if anything, do you do or say, and to whom? What’s your rationale?
4.
What,
if
anything,
do
you
think
should
be
done?
Why?
5.
Are there issues or principles you can generalize from this case?
For the
reporter
• Briefly summarize your case.
• List any major problems or issues.
• Document any strategies for addressing the problems or issues.
• Generalize issues or principles from the case.
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Skyline
State
University
Case
Study:
Travel
Policy
Procedures
and
Practices
Task
Force
(Abbreviated Version)
The
Setting
Skyline State University (SSU) is a comprehensive public institution
founded in 1922. With an enrollment of 26,000 students and its
4,300 faculty and staff, SSU plays a very significant educational role in
its city and region. Skyline meets a broad array of educational needs
through its undergraduate, graduate, and continuing professional education schools. Like
many other institutions, the university faces significant budget challenges in the period
ahead, and the situation is unlikely to improve in the foreseeable future.
Organizationally, SSU
has
two
major
divisions:
1)
the
Office
of
the
Senior
Vice
President
for
Academic Affairs to which all academic deans and directors report as well as the leaders of
other academic, student, and academic support functions, and 2) the Office of the Senior Vice
President for Administration and Finance to which budgeting, procurement, facilities, human
resources, public safety, auxiliary services, and all other administrative areas report.
The Challenge
SSU’s president has decided to form an Administrative Efficiencies Advisory Group, to be
headed by the senior vice president for business and finance. Its mandate is to conduct a
university‐wide review of administrative operations and to identify areas where potential
savings—time, human
resource,
and
dollar—can
be
realized.
The
senior
vice
president
of
business and finance has identified travel as an area with many potential opportunities for
efficiency and cost savings. He has appointed you, the new director of purchasing, who has
just arrived at the institution from a corporate setting, to head the Travel Policy Task Force,
charged with “reviewing current travel policies and practices and procedures, and
recommending change to enhance efficiency and effectiveness.”
In informal conversations with colleagues, you learn that travel policies and practices have
always been handled in a decentralized manner, which is consistent with the university’s
culture. Faculty and staff make their own travel arrangements, pay for travel themselves,
and then
submit
requests
for
reimbursement.
Based
on
your
experience,
you
know
that
SSU
could cut expenses by standardizing and centralizing travel policies and procedures.
Discussion
1. What are the key issues as you see it?
2. What do you propose? Why?
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Skyline
State
University
Case
Study:
Travel Policy Procedures and Practices Task Force
Background
Skyline State University, like many other institutions, faces significant
budget challenges, and there are few signs that the situation will
improve in the foreseeable future.
SSU’s president has decided that she will soon form an Administrative Efficiencies Advisory
Group (AEAG) to be headed by the senior vice president for business and finance. The
mandate to the AEAG is to conduct a university‐wide review of administrative operations
and to identify areas where potential savings—time, human resource, and dollar‐‐can be
realized.
Once
potential
targets
for
savings
are
identified,
the
AEAG
will
develop
a
list
of
high‐priority, high‐return improvement projects.
The senior vice president of business and finance will then form broadly inclusive project
task force groups, which will be charged with conducting an analysis, identifying options, and
making recommendations on a plan of action for each targeted area for improvement. The
details of the structure and process are still being worked out.
You are the newly hired assistant vice president for purchasing and procurement. You come
to SSU with private sector experience and have a number of ideas about areas where more
efficiency, better operations, and reduced costs are possible. Travel is one area in which you
see many
possible
cost
and
time
savings.
Talking informally to colleagues in preparation for this effort, you learn that faculty and staff
work‐related travel policies and practices have always been handled in a decentralized
manner, which is consistent with the general administrative traditions of the institution.
This means that faculty and staff throughout the institution make their own travel
arrangements, pay for travel themselves, and then submit requests for reimbursement.
Based on your experience in the travel area, it is clear to you that SSU could save
considerable money if the travel policies, procedures, and practices were standardized and
centralized.
You schedule a meeting with the senior vice president, to whom your report, to share your
thinking. The senior vice president is excited by your ideas and sees this as a perfect pilot
project given the upcoming AEAG effort that will soon be implemented. He decides to form
a Travel Policy Task Force Committee (TPTF) charged with “reviewing current travel policies
and practices and procedures and recommending change to enhance efficiency and
effectiveness.” Cognizant of your experience and appreciative that you have taken the
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initiative to bring the idea forward, he has decided to name you to head this important pilot
initiative. You are flattered by the confidence implied by the appointment, and you begin
thinking about the task ahead.
Your Challenge
The senior vice president asks you to develop a draft plan for the task force and to share it with
him before work begins. The draft is to include an agenda for the first three meetings, outlines
of initial memos or communication that might be needed, a list of materials that might be
distributed to the campus, and a list of major deliverables and milestones in the work of the
group with target dates for each.
Your task force will be a campuswide group including the following tentative list of members,
none of whom you know:
• University auditor
•
Assistant
director,
budgeting
• Administrative assistant, facilities
• Assistant director, athletics
• Distinguished professor, biology
•
Dean, School of Communication
• Academic department chair, public policy
• Assistant professor, School of Business
• Associate vice president for academic affairs
• Associate director, university media relations
• Assistant director, information technology
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Skyline
State
University
Profile
Skyline State University (SSU) is a comprehensive public institution
founded in 1922. With an enrollment of 26,000 students and its 4,300
faculty and staff, SSU plays a very significant educational role in the
Capital City and the region.
Skyline meets a broad array of educational needs through its
undergraduate, graduate, and continuing professional development
schools and
major
programs
in
arts
and
sciences,
business,
communication, public and community administration, health and
allied health sciences, education, and performing arts.
The institution’s mission emphasizes teaching and learning, research
and scholarship, and service and outreach. Growing emphasis is being
placed on research/scholarship grants, and training contracts are
becoming an increasingly important source of funding for the work of
the institution.
Organizationally, SSU has two major divisions: 1) the Office of the
Senior Vice President for Academic Affairs to which all academic deans
and directors as well as leaders of other academic, student, and
academic support functions report, and 2) the Office of the Senior Vice
President for Administration and Finance to which budgeting,
procurement, facilities, human resources, risk management, public
safety, auxiliary services, and all other administrative areas report.
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Discussion
Take 40 minutes to prepare a draft plan. As a group, consider what advice you might give to
the assistant vice president about how best to proceed with this project. Consider both the
perspectives of the people who will serve on the task force and the campus community who
will be
asked
to
make
significant
changes
to
the
manner
in
which
they
undertake
a basic
function.
Interactive Options
1. The senior vice president (the facilitator) can provide reactions to the draft plan submitted,
raise questions and concerns, describe possible consequences, and/or add additional
information for consideration.
2. Depending on goals of the session, the time available, and the size of the group, the process
can be structured, so that participants share responses across multiple tables and analyze
common themes, differences, and similarities.
3. Additional information or time pressures can be introduced, and the assistant vice president
for purchasing and procurement can be asked to develop a plan to address them.
4.
The senior vice president (the facilitator) can introduce an additional context or higher level
issue for consideration. These issues might include feedback to the senior vice president
from his academic counterpart that indicates faculty concern that the new approach is
being too aggressively pushed without sufficient campuswide consultation or cost‐benefit
analysis. Alternatively, questions of the AVPP’s credibility due to his lack of higher
education experience
could
be
raised.
Debriefing
Themes
•
Planning: What are the critical elements in planning for an initiative like this one? Why?
• Preparation: What kind of preparation is helpful for task force members? What, if any,
background materials, information, and/or assignments should be shared with task
force members,
and
when
is
it
most
appropriate
to
do
so?
•
Stages: What are the critical and predictable stages a task force will go through?
• Leadership Style: What leadership style or approach is most appropriate for this kind of
project? Does the value or impact of a particular style or approach vary with the stage
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of the effort? How so? What leadership competencies are particularly helpful in this
kind of scenario?
• Sponsorship: What role does ownership, sponsorship, and/or endorsement by senior
administrators play in the success of a project such as this? At what stages, with whom,
and in
what
ways
should
this
level
of
engagement
be
communicated?
What
should
be
the content and frequency of ongoing communication between the leader of the task
force and the project sponsor?
• Culture: What are differences between the academic and administrative culture? How
might these differences come into play in a project like this one? What leadership
strategies are helpful in addressing these differences?
• Vision: In what ways is it helpful or detrimental for the task force leader to begin the
initiative with a clear vision that she shares at the outset with colleagues on the task
force?
What
elements
of
a
vision
are
likely
to
be
helpful?
• Meeting Climate: What should be the ideal climate for the first meeting? What can be
done by the task force leader, with the room setup, in pre‐meeting communication, etc.
to increase the likelihood that this climate will emerge?
• Delegation and Roles: How might roles and responsibilities be structured within this
task force?
•
Timeline: Should a timeline of milestones or deliverables be established, and if so, when
and how?
Leadership Competencies of Particular Importance
•
Experience, Expertise, Familiarity with Task, Language and Vocabulary: Experience,
expertise, and familiarity with travel policy, procedures, and efficiencies are all
significant assets for this project.
• Knowledge of Sector: Lack of extensive knowledge of higher education may be a
detractor, either in fact or in the perceptions of others. Being attentive to potential
barriers this
lack
of
knowledge
and
experience
may
create
will
be
important
in
leadership of each phase of the project.
• Self ‐assessment: As assistant vice president of purchasing and procurement, it is
important to recognize strengths and vulnerabilities. You can easily recognize
experience and expertise that is relevant to the problem. Others may question the
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applicability of that experience because it derives from the corporate sector. For some,
this background could be seen as a liability.
• Problem Definition: One’s first impression may be that the primary problem in this case
relates to developing a new set of procedures and policies. In fact, overcoming cultural
traditions such
as
decentralization
is
the
more
critical
challenge.
Unless
the
traditions
of
centralization and faculty autonomy are considered, it is unlikely that any solution, no
matter how efficient and effective, will be embraced.
• Stakeholder Analysis: This case features many key stakeholders: the senior vice
president, members of task force, the senior administration, departmental
administrators, staff members, faculty members, travel providers, IT support personnel,
and others. Each of these groups will be affected by potential changes; each will have a
stake in the new approach. Identifying the needs and concerns of each group and
addressing them as a part of the process will help to assure the eventual acceptance of
the
plan.
• Analysis of Technology: Communication and information technology will be important
considerations as they relate to gathering and disseminating information as a part of the
planning process and in the implementation process.
• Enthusiasm, Personal Conviction, and Persistence: Maintaining and displaying
enthusiasm, personal conviction, and persistence will be helpful as a team leader,
particularly since the new policies and procedures will likely move in directions new to
team members and the university community. Persistence and patience will be critical
because the pace of change in higher education is predictably slower with more
consultation than
in
comparable
problem
‐solving
situations
in
corporate
settings.
•
Tolerance for Uncertainty and Risk Taking: Because new policies and procedures are
likely to differ from tradition, it will be important to convey and encourage a high
comfort level with the exploration of new paths and approaches.
• Credibility and Influence: Establishing credibility will be a key success factor. Being
named the task force leader by the senior vice president is likely to be helpful;
perceptions of the Administrative Efficiencies Advisory Group (AEAG) initiative are, as
yet, unclear. Credibility can be enhanced by sharing personal background with the task
force in
a low
‐key
way
and
conveying
the
belief
that
working
closely
with
colleagues
can
be helpful in enhancing the utility of this knowledge. To address the concerns of those
who question the relevance of corporate experience, the key will be to establish
credibility and influence through insights and good work rather than through asserting
credentials.
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• Interpersonal and Group Orientation; Listening, Question‐Asking, and Learning: These
competencies are always vital in group problem solving situations. Listening to and
learning from task force members and others in the community will help to identify
needs, questions, concerns, impediments, and opportunities to be leveraged. It also will
help to identify which individuals are potential sources of support or resistance.
• Vision Setting: Vital to the successful leadership of this task will be helping to keep the
team and the campus focused on a vision of what is possible and how the outcome will
be beneficial to the institution, faculty, and staff.
• Management and Facilitation: Competencies in this area are important in the planning,
preparation, coordination, and guidance of the work of the task force and its interaction
with various campus constituencies. Effective planning and implementation of pilot
projects are critical to the success of the overall project, in this case, the Administrative
Efficiencies Advisory Group (AEAG) initiative. They help to identify attributes and
problems
with
the
identification
and
implementation
of
useful
new
policies
and
procedures, and to build grass roots support for the larger effort.
• Information and Knowledge Management: An important facet of project leadership is
to determine what information to share with whom and when. Many critical decisions
will need to be made relative to sharing technical, best practices, and process
information with task force members and also with the campus community.
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Readings
HigherEdUtah.org. 2011 Efficiency Report . July 14, 2011 http://www.higheredutah.org/2011‐
efficiency‐report/
Kotter, J.
P.
Urgency ,
Cambridge,
MA:
Harvard
Business
School
Press,
2008.
Lederman, Doug. Maintenance Over Management: A Survey of Business Officers. Inside Higher
Ed , July 6, 2011. http://www.insidehighered.com/news/survey/maintenance‐over‐
management‐survey‐business‐officers
“New Ways to Create Savings.” Business Officer Magazine. September 2011.
http://www.nacubo.org/Business_Officer_Magazine/Magazine_Archives/September_2011/Sou
thern_Disclosure/New_Ways_to_Create_Savings.html
OhioHigherEd. Efficiencies, 2010. http://www.ohiohighered.org/efficiencies
Ruben, B. D. What Leaders Need to Know and Do: A Leadership Competencies Scorecard .
Washington, DC: National Association of College and University Business Officers, 2006.
Ruben, B. D. Understanding, Planning, and Leading Organizational Change. Washington, DC:
National Association of College and University Business Officers, 2009.
Strober, M. H. Communicating Across the Academic Divide. The Chronicle of Higher Education,
January 2, 2011.
Tromp, S.
A.,
and
Ruben,
B.
D.
Strategic
Planning
Higher
Education. Washington,
DC:
National
Association of College and University Business Officers, 2010.
University of California‐Berkeley. Operational Excellence 2012 ,
http://oe.berkeley.edu/process/index.shtml
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Recorder’s
Form
Skyline State University
1. What are the key issues as you see it?
2. What do you propose? Why?
3. What issues or principles can you generalize from the case?
For
the
reporter
• Briefly summarize your case.
• List any major problems or issues.
• Document any strategies for addressing the problems or issues.
• Generalize issues or principles from the case.
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Samuel Waters College Case Study:
Budget
Futures
Summit
Retreat
(Abbreviated
Version)
The Setting
Tight budgets are the reality at Samuel Waters College (SWC) again this
year as they are at so many colleges and universities. With endowment
balances showing only modest gains, and other sources of support flat
or trending downward, even moderately aggressive tuition increases have not allowed SWC to
maintain level funding.
For the past several years, when funding shortfalls were more modest, SWC’s approach was to
ask faculty and staff to minimize waste and improve efficiency within their own departments.
SWC’s budgeting approach constituted minor savings from these requests coupled with across‐
the‐board cuts in operating budgets, largely in administrative areas, and annual tuition
increases. Unfortunately, cuts in operational areas and peripheral academic services have
resulted in work overloads and poor morale. Many units are barely able to fulfill their missions.
In light of this history, news that SWC is heading into a two‐ to five‐year period of intensifying
economic difficulty is particularly troubling. The customary budget‐cutting strategies of across‐
the‐board cuts (larger on the administrative side, smaller and more targeted on the academic
side) and
substantial
annual
increases
in
tuition
will
no
longer
be
satisfactory
to
carry
the
institution through the challenges of the next several years and beyond.
Your Challenge
To address daunting circumstances, President Swanson has announced that he will host a two‐
day College Budget Futures Summit Retreat at his home in three weeks. He has asked
members of his cabinet to come prepared to present their views of how SWC should consider
and address the next three year period, given that across‐the‐board cuts and generic calls for
“belt‐tightening” will no longer be adequate.
Discussion
1.
What options do you propose for consideration?
2. What are the benefits and downsides associated with each?
3. What option would you recommend? Why?
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Samuel Waters College Case Study:
Budget
Futures
Summit
Retreat
Background
Tight budgets are the reality at Samuel Waters College (SWC) again this
year as they are at many colleges and universities. With endowment
balances showing only modest gains, and other sources of support flat
or trending downward, even moderately aggressive tuition increases have not allowed SWC to
maintain level funding.
For the past several years, when funding shortfalls were more modest, SWC’s approach was to
ask faculty and staff to look for ways to minimize waste and to improve efficiency within their
own departments. SWC’s budgeting approach constituted minor savings from these requests
coupled with
across
‐the
‐board
cuts
in
operating
budgets,
largely
in
administrative
areas,
and
annual tuition increases. Unfortunately, cuts in operational areas and peripheral academic
services have resulted in work overloads and poor morale. Many units are barely able to fulfill
their missions.
Tuition increases don’t seem to be the answer. With recent increases, SWC is now near the
upper level of tuition compared to its peers. Even with the current tuition levels, the
perception—and reality—of the institution’s commitment to broad access are increasingly at
risk.
In light of this history, news that SWC is heading into a two‐ to five‐year period of intensifying
economic difficulty is particularly troubling. The customary budget‐cutting strategies such as
across‐the‐board cuts (larger on the administrative side, smaller and more targeted on the
academic side) and substantial annual increases in tuition will no longer be satisfactory to carry
the institution through the challenges of the next several years and beyond.
Your
Challenge
To address daunting circumstances, President Swanson has announced that he will host a two‐
day College Budget Futures Summit Retreat at his home in three weeks. He has asked
members of his cabinet to come prepared to present their views of how SWC should consider
and address
the
next
three
‐year
period,
given
that
across
‐the
‐board
cuts
and
generic
calls
for
“belt‐tightening” will no longer be adequate.
Each member of the cabinet has been asked to identify and briefly describe possible options
that the institution might consider to address this mounting crisis and to provide a high‐level
cost‐benefit analysis for each. In developing options, each cabinet member is urged to be
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creative and to think broadly about possibilities related to structure, programs, revenues, and
costs.
Members of the EC include the provost, vice president for administration and chief financial
officer, vice president for student affairs, general counsel, vice president for advancement, and
vice president
for
communication
and
public
affairs.
Discussion
At each table, one person should represent the perspective of each of the cabinet members.
Take 15 minutes to prepare a response to the questions below.
1. What options do you propose for consideration?
2. What are the benefits and downsides associated with each?
3.
What option would you recommend?
4. Why?
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Samuel
Walters
College
Profile
Samuel Walters College is an independent comprehensive liberal arts college, recognizedfor excellence in a variety of fields, and listed among the leading regional colleges byU.S. News & World Report and Barron's Best Buys in College Education.
Founded in 1914, SWC’s 165-acre campus overlooks Greenway Valley Reservoir, and islocated 50 miles east of Ellis City, with its population of 275,000.
SWC offers 52 B.A. programs, 15 M.A. programs, and various professional certificate programs taught by 250 full-time faculty and 400 adjuncts. Full-time undergraduatetuition is $31,000 and room and board costs are approximately $14,000 annually. Thestudent body consists of 6,250 students, 4,500 of whom are undergraduates. Nearly3,000 live on campus. SWC employs 475 faculty members and 460 administrative staff.
SWC facilities include 65 buildings, including 40 student housing facilities. In additionto the main campus, SWC has three satellite facilities and four overseas study andresearch sites operated in partnership with local higher education institutions.
Centralized administrative areas include: student affairs, budgeting and finance, legalaffairs, human resources, payroll, alumni affairs, office of development andadvancement, the library and information, planning and assessment services, university public affairs and media relations, IT, grants and contracts, and distance learning center.
Centralized services for students include: dining services (two full-service and twosatellite locations); student life and services, housing (15 residence halls) and residencelife, clubs and activities, college activities, health services, computer support, the
computer store, religious and spiritual, and public safety.
The major academic units include: the School of Business (with three departments),College of Liberal Arts (with 14 departments), School of Computer Science (3departments), College of Communication (5 departments), College of Fine Arts (4departments), College of Labor Studies (2 departments), College of Social andBehavioral Sciences (5 departments), College of Natural and Life Sciences (6departments), and the College of Law.
Each school and college also provides unit-based advising and career placement services, budgeting, human resources, IT services, student services, communication and publicrelations, and online courses and services.
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Each individual will report their responses to the group. The group will take 15 minutes to
decide which three options they will recommend in priority order to the president and the
rationale for their choices. Be prepared to discuss the process used to make the decisions.
Interactive Options
1. After reviewing suggested options, the SWC president (the facilitator) can provide
reactions to the draft plan submitted, raise questions, introduce concerns, describe
possible consequences, and/or provide further information for consideration such as an
additional context or higher level issue.
2. Depending on goals of the session, the time available, and the size of the group, the
process can be structured, so that participants share responses across multiple tables
and analyze common themes, differences, and similarities.
3. One or several of the proposed options may be selected and participants asked to go to
the next stage of planning—who should be involved with leading the change planning
and implementation effort, what communication plans should be developed, how the
new approach will be assessed, and other details.
Debriefing
Themes
•
Planning: What are the critical elements to be considered in the description and
analysis of options in this case?
• Preparation: What kinds of preparation (personal, informational, materials) should be
used for a task and meeting such as this one scheduled by the president?
• Goals: What personal, professional, and institutional goals would guide your thinking
about and preparation for the event?
•
Culture: In what ways is the culture of an institution and of higher education in general,
an important consideration in undertaking this kind of assignment? What differences
between the academic and administrative culture are likely to come into play in a
project such
as
this
one?
How
can
these
differences
be
best
addressed?
• Vision: In developing and advocating options for major change, what role does vision
play? How should this perspective be taken into account in preparing for and
presenting options to colleagues in a case like this one?
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• Communication and Language: In what ways are communication style, word choice,
message content, and tone important considerations for the leader? In this case, what
are some words and phrases that might be emphasized (e.g., “potential benefits for all”
and “greater efficiency”) and others that should probably be used with caution (e.g.,
“centralization” and “standardization”) in talking about this project because they may
be red
flags
for
particular
groups
on
campus
(in
these
examples,
the
faculty).
Leadership Competencies of Particular Importance
• Self ‐assessment: In this instance, as more generally, tone should begin a leadership task
with some critical self ‐reflection to identify strengths, vulnerabilities, and personal
goals, and to consider strategies for preparing and presenting one’s ideas. What might
be some of the benefits of this kind of reflective process?
•
Experience, Expertise, and Familiarity with Task: In this case, each member of the
cabinet
will
have
extensive
experience
and
intimate
knowledge
of
his
or
her
own
areas,
but more limited experience and knowledge of other units. How can this reality be
addressed in the planning and presentation of options?
• Knowledge of Sector, Information, and Knowledge Management: The challenges
confronting the institution in the case study are not unique, and a wealth of information
describes how other institutions have dealt with these issues. Some of the information
has been generated by higher education media, such as The Chronicle of Higher
Education, Business Officer Magazine, and Inside Higher Education. Consulting
companies, colleges and universities, and regional and national associations have
generated other information. Having a familiarity with national developments and
being able
to
consider
strategies
adopted
by
other
institutions
can
be
helpful
in
identifying and implementing various options.
•
Credibility and Influence: What credibility issues may be relevant in an assignment such
as this one?
• Problem Definition: In what ways is problem definition and problem clarity particularly
critical for situations like this one?
•
Problem‐Solving and Engagement: How do you involve other leaders and the campus in
general in
a major
change
initiative?
How
do
you
decide
who
to
involve
at
what
level?
• Stakeholder Analysis: There are a number of different stakeholders to be aware of and
to be concerned about in this case—stakeholders who will hear and react to your
options and stakeholders who will ultimately be affected by the proposals that will be
adopted. Who are some of the most critical constituency groups, what issues will likely
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be of particular importance to each group, and how might these concerns be
addressed?
• Tolerance for Uncertainty, Risk Taking, and Change Management: Because some of the
proposed options may suggest approaches that differ dramatically from present
practice, in
what
ways
and
for
whom
will
issues
of
uncertainty
tolerance
and
change
management come into play?
Readings
Becker,
E., and Wortmann, J. Mastering Communication at Work. New York: McGraw‐Hill, 2009.
Kotter, J. P. What Leaders Really Do. Cambridge, MA: Harvard Business School Press, 1999.
Kotter,
J.
P.
Urgency .
Cambridge,
MA:
Harvard
Business
School
Press,
2008.
Ruben, B. D. What Leaders Need to Know and Do: A Leadership Competencies Scorecard .
Washington, DC: National Association of College and University Business Officers, 2006.
Ruben, B. D. Understanding, Planning, and Leading Organizational Change. Washington, DC:
National Association of College and University Business Officers, 2009.
Tromp, S. A. and Ruben, B. D. Strategic Planning in Higher Education: A Leader’s Guide.
Washington, DC: National Association of College and University Business Officers, 2010.
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Recorder’s Form
Samuel Waters College
1. What are the key issues as you see it?
2.
What constituencies might be concerned? What might their concerns be?
3.
What do you propose? Why?
For the reporter
• Briefly summarize your case.
• List any major problems or issues.
• Document any strategies for addressing the problems or issues.
• Generalize issues or principles from the case.
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Reginald Murphy College Case Study:
Gender
Equity
Issues
(Abbreviated
Version)
The Setting
Reginald Murphy College, located in the foothills of the Rocky
Mountains, enrolls 16,000 undergraduate and graduate
students and employs just over 4,000 faculty and staff. At this
competitive institution, renowned for a beautiful campus and
exceptional facilities, the curriculum emphasizes liberal arts.
The college takes particular pride in its congenial and welcoming culture, and its many
programs that emphasize collaboration, collegiality, and good will among faculty, staff, and
students.
Your Challenge
Creating a welcoming and equitable environment for all staff has always been both a personal
and professional goal for you, and you take pride in having achieved that climate in your
administrative area.
Last week, one of the senior administrators in your unit, Gerry Watson, came to you to share a
recent conversation she had with Jane Martinez. Jane approached Gerry to discuss her
concerns about diversity issues and especially the treatment of women. Her perception is that
women are
not
treated
equally
in
hiring,
promotion,
and
professional
development.
She
also
feels that women are marginalized by golf outings, workplace conversations about sports, and
“working” lunches organized and attended primarily by the men in the office. She also
observed that men talk considerably more than women in meetings, and she believes this is
because men are more likely to have their comments and suggestions taken seriously.
At the conclusion of the meeting with Gerry, you expressed appreciation for the conversation
and indicate that you need to give the matter some thought. Because of your commitment to a
cordial and equitable workplace and your assessment that things are functioning well in this
regard, these comments surprise and trouble you.
Discussion
1. What are the key issues and/or problems?
2.
What strategies would you employ to address them?
3.
Who would you include in your process? Why?
4.
What process would be appropriate? What is your rationale?
5. Are there principles that you can generalize from this case?
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Reginald Murphy College Case Study:
Gender Equity Issues
Background
Reginald Murphy College (RMC), located in the foothills of the
Rocky Mountains, enrolls 16, 000 undergraduate and graduate
students and employs just over 4,000 faculty and staff. At this
competitive institution, renowned for a beautiful campus and
exceptional facilities, the curriculum emphasizes the liberal arts.
The college also offers a number of professional programs.
Among the distinctive features of RMC is the particular emphasis on creating a congenial and
collaborative learning environment. The college explicitly recognizes the institution’s
commitment to
collaboration,
collegiality
and
respect
in
its
slogan
“Reginald
Murphy
College…
Where collaboration, collegiality and respect for others are core values.” The slogan is posted
on the RMC website and in prominent locations in many buildings.
Consistent with these values, welcoming activities for students—and for faculty and staff—are
extensive. The college has a number of residential learning communities where collaborative
learning is emphasized. Within student affairs and campus life, the RMC ideals are also a
conscious focus of attention.
Faculty “collegiality” is a familiar concept in describing ideals of faculty life, and “collaboration”
is often
mentioned
in
position
descriptions
for
staff.
Moreover,
service
to
the
RMC
college
community is a highly valued and recognized component of appointment and promotion
reviews for all employees.
Your Challenge
You serve as vice president of administra