AUA

Sashaying Along The Ice Floe !Leading Change in Universities

Today

3 July 2015

Peter McCaffery

“The University is a community of scholars engaged in the task of seeking truth”.

Karl Jaspers, 1923

“I find the three major administrative problems on campus are sex for the students, athletics for the alumni and car parking for the faculty”.

Clark Kerr President,University of California, 1958

UNIVERSITY COMMITTEES AS AN ART FORMHow University committees avoid making decisions:

John Kay’s “8 oars of indecision”

• Deferral - wait until next time• Referral - to another committee• Points of order - procedural objection• The wider picture - we need to understand the

context better• Evasion - we need still further detail• Ambiguity - accept in principle, but not in

practice• Precedent - let’s not set one• Denial - not for us to decide

EFFECTIVE MANAGEMENT OF CHANGE INUNIVERSITIES IS DEPENDENT ON:

• Knowing Your Environment

• Knowing Your Institution

• Knowing Your Department

• Knowing Yourself!

TRADITIONAL ROLE OF MODERN UNIVERSITY

• FINISHING SCHOOL: Last stage of general education

• PROFESSIONAL SCHOOL: Training of elite workers

• KNOWLEDGE FACTORY: Production of science, technology and ideology

• CULTURAL INSTITUTION: Expression of our individual and collective sense of being

• 21st Century: multiple roles – lifelong learning, knowledge transfer, international students . . . . . .

THE UNIVERSITY IDENTITY CRISIS

The University:

• Redundant as an “Idea”?

• Broken as a Monopoly

• Confronted with unprecedented change

NEW WAVE COMPETITORS

Mega Univs UKOU, AU Turkey, China TV

For-Profit Univs BPP, Kaplan, Phoenix

Corporate Univs BAE, Disney, Ford, Microsoft,Motorola, Unipart

Private HE Training Orgs

Apollo, DeVry, Laureate, Strayer

Waking Giants IBM, News Int., Pearson

Change DriversGovernment • HE as Public Interest/Public Direction

• Do “more” with “less” and maintain quality (a negative economic imperative)• Variable fees and the quasi-market

Employers • expectations of graduate competence (a positive pedagogic imperative)

Students • diverse population• desire for flexible provision• Expectations as paying clients

Technology • potential for flexibility• necessity to be IT “literate”

CONTINUING EXPANSION OF STUDENT NUMBERS (UK AND WORLDWIDE)

WIDENING PARTICIPATION ‘fair access’/bursaries

HR retirement peak succession planning pay framework performance assessment

IT E-MANAGEMENT/E-LEARNING BIS E-strategy

RESOURCES AND ESTATES DEVELOPMENT sustainable facilities and services project and programme management

SUSTAINABILITY AND CORPORATE SOCIAL RESPONSIBILITY serving broader political, social, ethical and cultural agendas

GOVERNANCE Code and CUC Guidance

FUNDING variable fee fund-raising diversifying income sources full economic costing

MARKETING positioning of HEIs identity/’brand’ issues

COMPETITION IN UK alliances, collaborations and mergers

ENHANCING THESTUDENT EXPERIENCE teaching, learning and quality ‘customer service’

MANAGEMENT OF RESEARCH evolution of RAE/REF process research contracts & careers academic pipeline

INTERNATIONALISATION competition/collaboration European research area private universities Bologna process

BUSINESS, REGIONAL &COMMUNITY INTERACTIONS ‘third stream’ knowledge transfer, economic & social regeneration

15 key strategic challengesfor UK HE institutions,

2015- 2018

EMBEDDING EQUALITY AND DIVERSITY IN ALL INSTITUTIONAL ACTIVITIES

EXTERNAL DRIVERS

PoliticalFiduciary

BIS Ministers, PAC, HMTDTI / OST

FundingHEFCE BIS RCs/Operations

LEAs, NHS, TDA, charities, EU, MoD, business

Sponsors

HEFCE, UUK, Guild HE, TDAs

HEFCE

Higher EducationInstitutions

Council / GovernorsVice Chancellor

Senior ManagementFaculties / Departments

AgencyHEFCE, HESA, QAA,Ofsted, UCAS, NAO

ProfessionalGMC, ENB, Law Society,ACCA, GDC, BPS, etc.

Students(+ parents, schools)

DCFS UCAS

StaffUCU; Unison; GMB

EmployersCBI, etc.

Business CommunityRDAs, SSCs, LSs, (LSC) etc.

STAKEHOLDERS IN HE SECTOR

Traditional HE New HECompetition: other univs. Competition: everywhere

Student as apprentice scholar

Learner as Customer (and Producer)

Delivery in the classroom Delivery everywhere

Bricks and mortar- Physical estates

Bits and bytes- Virtual estates

Technology as an Expense Technology as Market Differentiation

Institutional - centric Market – centric

Funding: Block grant Funding: student fees

Independent Supplier Shared Services

Traditional HE New HETerminal degree Lifelong learning

Take what is offered Courses on demand

Academic calendar Year round campus

Course as 3-4 year revenue Course as Business Plan

Mode 1 Knowledge Mode 2 Knowledge

Teacher as Director of Learning

Teacher as Facilitator of Learning

Academic as “jack of all trades”

Academic as specialist

Diversity as problem Diversity as strength

UNIVERSITY CHALLENGE

• Average size of Universities has doubled in 40 years

• Greater internal organisational complexity

• Greater external accountability

• More volatile competitive environment

• Challenge - To change or risk being overwhelmed

DISTINGUISHING FEATURES OF UNIVERSITIES

• the autonomy of the individual scholar

• precedence of subject over institutional loyalty

• the strength of tradition

• the cult of the “expert”

Collegiality managerialism post-managerialism?

ControlofImplementation

tight

A:

Collegium

B:

Bureaucracy

D:

Enterprise

C:

Corporation

tight

loose

MODELS OF UNIVERSITIES AS ORGANISATIONS

Policy Definition

loose

EXEMPLARS OF STRUGGLING INNOVATORS (1)

HEIs Conversation theme ‘Message’

Regional University South Australia

‘I’ve been parking my car under that tree for 28 years or more’.

The latest change initiative can just go hang. ‘Wake me when its over’

Research University Eastern Australia

‘You need the personality of a Sherman tank to survive as head of department here’.

It’s rough, it’s tough and there is no end in sight. The industrial model is just not suited to an HE environment.

EXEMPLARS OF STRUGGLING INNOVATORS (2)

HEIs Conversation theme ‘Message’

Regional Research University Northeastern USA

‘He (the president) used to come out of the ‘puzzle palace’ with a guard of honour.’ ‘It was like Moses coming off the mountain with the tablets”(The Strategic Plan).

Who knows what the executive does or thinks – you can’t get near them.Collegiality? You gotta be kidding.

Regional Research University Eastern USA

The ‘meat-axe administrator’ and his refrain: ‘We already did that yesterday?’‘They slough it off here, slough it off there, slough it off everywhere’.

It’s a Darwinian jungle in this state and we’re ahead of the game. Outsourcing is all the rage here and could be next.

What is special about the climate and culture of your University?

What is special about the climate and culture of your Faculty or professional service department?

What do your colleagues want?

University Public/Private Sector

• Academic Freedom • “Job that gets best out of me”

• Autonomy • Role clarity

• Collegiality • Consultation

• Participation • Involvement in change

• Support • “Management that motivates”

• Recognition • “Recognition of my work”

CULTURAL INQUIRY - approach

• Think of an aspect of behaviour in your Faculty/University-Wide Service (and/or the University) that gets in the way of innovation.

• What is the “rule” that your Faculty/UWS (or the University) has created to lead to that behaviour?

CULTURAL INQUIRY – engagement

• Appreciative Enquiry• Liquid Café• Open Space• Rich pictures• World Café • (Framing and re-framing your institution)• (Maintaining a multiple mind-set)

4 Ways to read a university (and yourself)

Structural Human Resources

Hierarchical Egalitarian

Rules and control Staff as major resource

Conflict is illegitimate Conflict is avoided

Rational Analysis Meeting staff needs

Political Symbolic

Competition for power Shared meanings and beliefs

Bargaining and coalition-building Loose connections

Conflict is expected Conflict is unpredictable

Finding common ground Emphasis on values

LEADING CHANGE: SOME GUIDING PRINCIPLES

• Leadership is not vested in a single great figure; it exists throughout the University

• Leadership is as much about groups and teams as it is to do with individuals

• Leaders are, by and large made, not born• The institutional context and leadership approach are as

important as personal attributes• Effective managers can also be effective leaders and vice versa• “Leaders do the right thing, managers do things right” – Peter

Drucker

PROMPTS FOR LEADING AND MANAGING ..

BEWARE THE “BUSY PERSON SYNDROME”: INDIVIDUAL BEHAVIOURS

procrastinators30%

distracted 40%

disengaged20%

purposefulaction-takers

10% High

FOCUS

Low

Low High ENERGY

FOUNDATIONS FOR MANAGING YOURSELF

• We never see the world as it is, only as we are.

• “I wish some power the gift would gi’e us, to see ourselves as others see us”.

- Robbie Burns

• “Be not another’s if thou canst be thyself”. - Paracelsus

• Our “concept of self” is neither fixed nor permanent- self-ideal; self-image; self-esteem

• We always have choices

YOUR VALUES, MOTIVES AND BEHAVIOURS

1 OPEN 2 BLIND

3 HIDDEN 4 UNKNOWN

Known to Self

Not Known to Self

Known toothers

Not Knownto others

The Johari Window

Sources of assessment:0 Clinical psychological profile1 Myers-Briggs personality type indicator2 Thomas-Kilman conflict mode instrument3 Visionary leader behavior questionnaire4 Visionary leader behavior 360 degree feedback - review by peers, your direct reports and your line manager

0

1

2

3

4

HOW WELL DO YOU FIT YOUR ROLE?

I feel motivated to do my job properly and help the university to succeed

I understand the university’s overall objectives and how I fit in

I have relationships of openness and of trust with my line manager and my team

I am clear about the things which people value and believe are important

I know what rules do matter in the university

I am certain about my personal limits of authority

I have the skills and experience needed to make sound judgements and do my job

0

1

3

2

I have reliable information about my department’s performance

0 On target

1 Nearly there

2 Someway off

3 Long way off

AUTHORITY

- hierarchical relations resources- the right to decide- legitimacy- criteria

THEPERCEPTIONS

VALUES&

INTERESTSWITHIN YOURUNIVERSITY

EXPERTISE- scarcity/substitutability - credibility- authenticated- relevance

THE MAIN SOURCES OF ORGANISATIONAL POWER

RESOURCE CONTROL- control over valued resources physical/symbolic

- gamekeeping/allocation criteria- credibility

INTERPERSONAL SKILLS- ‘charisma’- advocacy- assertiveness- networking

How powerful am I? Am I using all my political resources?

1. What are your political resources? Make an Inventory

2. What is your network of power? Make an Analysis

SUCCESSFUL UNIVERSITY INNOVATORS

Common Traits in managing change:

• No Magic Pill• Distributed Leadership – a quality tapped at all

levels• “Art of Conversation”: a core process• Harnessing collegiality as an aspiration• Building on existing good practice (avoiding deficit

models) • “Learners “as well as “Knowers” – advocates of an

inquiry approach

LEADERSHIP CHALLENGE 1RECOGNISING POPULAR MYTHS ABOUT THE MANAGEMENT OF CHANGE FOR WHAT THEY ARE

• Change can only occur if it is driven from the top • People are resistant to change• People are rational and will react to logical and

rational requests for change• New processes and systems will create the new

necessary behaviours• Big changes require big actions• If it ain’t broke, don’t fix it • Cultural change is a slow and painful long-term affair

LEADERSHIP CHALLENGE 2RECOGNISING THE FUNDAMENTALS IN THE SUCCESSFUL MANAGEMENT OF CHANGE

• Change must presage a new model for the future• People must have a reason. Change will not succeed

unless there is a dis-satisfaction with the old • Major change can be painful – resistance is normal • Change is “lumpy”: people, systems and processes

change at different rates and in different ways • Change is an ongoing process, not an event• Change is unique to each institution. Celebrate your

individual landmarks of success 33

LEADERSHIP CHALLENGE 3 PAVING THE WAY

• Begin the conversation• Open up your creative self and encourage others to

do likewise • Prepare to give up power – backstage leadership • Identify, nurture and support networks and

champions • Surface and test mental models held by colleagues• Defuse defensive routines and be open about your

own• Establish genuine shared values and agree

associated behaviours• Model expected behaviours

35

Any questions?