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UNIVERSITY LEADERSHIP AND MANAGEMENT: PROGRAM PORTFOLIO
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INTRODUCTION TO THE LEADERSHIP AND MANAGEMENT PORTFOLIO
CONTENTS
INTRODUCTION TO THE LEADERSHIP AND MANAGEMENT PORTFOLIO 3
THE UNIVERSITY CONTEXT: AN INTRODUCTION 6
UNIVERSITY LEADERSHIP AND MANAGEMENT 13
UNIVERSITY CULTURES AND ORGANISATIONAL MANAGEMENT 23
STRATEGIC PLANNING 49
MANAGING PEOPLE 84
MANAGING RESOURCES 99
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INTRODUCTION TO THE LEADERSHIP AND MANAGEMENT PORTFOLIO
INTRODUCTION TO THE LEADERSHIP AND MANAGEMENT PORTFOLIO
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INTRODUCTION TO THE LEADERSHIP AND MANAGEMENT PORTFOLIO
What is the University Leadership and Management portfolio?
Welcome to the leadership and management portfolio. This document accompanies the University Leadership and Management program.
What is the University Leadership and Management portfolio?
This portfolio is intended to supplement and enhance your learning as you progress through the University Leadership and Management program in the following ways:
The portfolio draws together all of the documents and supplemental materials available to download throughout the main course, so that they are easily accessible from a single location.
Throughout the main course, you will be invited to undertake various reflective and optional activities (often accompanied by the portfolio icon, above). The portfolio provides a space for you to record your thoughts for each of these activities. You may like to return to these notes and extend or refine them as you progress through the course.
Your portfolio should continue to prove an invaluable tool once you have completed the University Leadership and Management program, with summary sheets, templates, and your own notes and reflections providing a useful reference manual for the duration of your management position.
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INTRODUCTION TO THE LEADERSHIP AND MANAGEMENT PORTFOLIO
Your leadership and management portfolio: How to use this document
How do I use my portfolio?
Save a copy of this document on your computer.
Keep the portfolio open as you work through the University Leadership and Management program.
Each time you undertake an optional activity or reflective exercise, or are asked to keep a note of the results of an in-course activity, you will find a corresponding page in this document for you to complete. (See ‘How do I navigate my portfolio?’ below for more details.)
Refer to, or complete, each portfolio document as instructed in the corresponding section of the main course.
How do I navigate my portfolio?
To navigate your portfolio easily, ensure that you have the ‘Document Map’ feature in Microsoft Word enabled. To do this, go to ‘View’ and check ‘Document Map’.
On the left-hand side of your screen you will see each University Leadership and Management course listed, followed by its accompanying portfolio documents, in order of appearance in the program.
The titles in the ‘Document Map’ correspond with the course page titles to enable you to easily locate the desired document. The course and module are also shown in each portfolio document for ease of use.
Click on a course title or a document name to jump to that section of the portfolio.
Where a section in the main course has more than one portfolio document associated with it, the documents are numbered in brackets in order of appearance in the corresponding section of the main course.
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THE UNIVERSITY CONTEXT: AN INTRODUCTION
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THE UNIVERSITY CONTEXT: Welcome to ‘University Leadership and Management’
Some guiding principlesReflection on the four guiding principles of effective leadership
and management
Consider and make some notes on a complex problem recently faced by your department that caused some disruption to your community.
How did your approach facilitate this decision?
What happened, and how did it make you and others feel?
How well did you follow the four guiding principles outlined in this section of the course?
Would you do something differently next time?
These types of reflections are an important element of being a good leader and manager. The University Leadership and Management program will offer you some useful tools to help you manage these challenges.
Estimated duration: 10 minutes
Write your notes here:
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THE UNIVERSITY CONTEXT: The higher education context
The role of universitiesReflection on the role of your institution and its leaders and
managers
Write a paragraph answering each of the following questions:
What are the main functions your university aims to fulfill?
Has this influenced the approach it is taking toward its activities?
What do you see as the role of university managers and leaders in promoting and facilitating your university's aims?
Estimated duration: 30 minutes
Write your notes here:
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THE UNIVERSITY CONTEXT: The higher education context
Trends within higher educationYour university and globalization
How has globalization affected your university? This document contains an activity providing you with a framework guide to help you consider your answer to this question.
Estimated duration: 60 minutes
Consider the changes that are evident in your university due to globalization. Complete each of the cells in the table below.
Global factorYour universityabout five years
ago
Your university now
What has changed? What impact has this
had?
What further changes do you expect over the next five years?
Student profile
Curriculum
Institutional locationsNetworks to which the university belongs
Research profile
Research collaborations
Staffing profile
Professional services
Technological focus
Benchmarking with other institutionsGovernance arrangementsCollaboration with other institutionsCompetition from other institutions
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THE UNIVERSITY CONTEXT: Your personal development
Learning to be an effective leader and manager (1)Creating support structures
If you don't yet have a mentor, consider finding one. Look for someone who has perhaps trodden a similar path to the one you are following, and has demonstrated success in doing so. You can talk to them about all the areas covered in the University Leadership and Management program.
As well as having regular meetings with a mentor, it can also be valuable to set up a series of meetings with particular individuals whose qualities you admire. You can talk to them about how they see their role and how they have succeeded. Hearing their stories can be empowering and inspirational – and they will often become part of your support network as a result.
Using this portfolio document may help you to plan your activities in this area.Estimated duration: 120 minutes
Use the space below to log your ideas for potential mentors and ‘inspirational’ meetings. Keep track of your progress in contacting them in the right-hand column.
Potential mentors
Name Contact details What makes them suitable as a mentor? Progress
Potential meetings with other colleagues
Name Contact detailsWhat do I admire/want
to discuss/find out more about, etc.?
Progress
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THE UNIVERSITY CONTEXT: Your personal development
Learning to be an effective leader and manager (2)The leadership and management learning cycle
Consider the themes and questions in the table below. Complete the table, answering each question as honestly as possible. Make a note of the date on which you answer the questions.
Come back to these responses a little later – you will find it interesting to see how your perceptions and expectations have shifted as a result of your interaction with this program.
Estimated duration: 60 minutes
My current position [e.g. What is your main role? What are the key responsibilities you fulfill? How long have you been in this role?]
My leadership and management background and context
[e.g. Why were you chosen for this role? What experience do you bring to your position? What strengths and attributes make you a good choice for this role?]
My achievements so far [i.e. What have you achieved since assuming your role?]
My community [e.g. What are the main constituent groups for whom you are responsible (e.g. academics, professional staff)? What are the characteristics of each one? How do you support them through your role?]
My main challenges/issues that need to be addressed
[These may relate to the broader context in which you are working (e.g. finances, student recruitment, curriculum reform, service delivery), may be more specifically focused on particular management issues that you are encountering (e.g. difficult staff members, poor performance, staff motivation), or aspects of your own skill set that need to be developed further. In many cases, the issues you identify may span all three areas.]
My learning goals [i.e. What areas would you like to improve or develop more fully? Try to identify goals that are specific, measurable and actionable (e.g. “Improve my chairing of meetings so that they are effective, efficient and on task”). Keep reviewing this list as you work through the program.
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THE UNIVERSITY CONTEXT: Course summary
The university context: Course summaryThe following is a summary of ten key points from ‘The university context: An introduction’. Use this summary as a regular point of reference to guide you in your leadership and management role.
Make sure you have a clear sense of the role you should be filling. Talk regularly with your supervisor/line manager.
Keep the balance across your full portfolio. You may need to learn a lot about the various university policies and activities in order to make informed decisions.
Build your network of expert friends, so that you know who to contact when you need guidance and support.
Keep abreast of the ongoing trends – both internal and external to your organization – that have an impact on the activities of your department.
Be prepared to take decisions – using the best information you have to hand. Take the time to look at the evidence and canvass different points of view before making complex decisions. And accept that not everyone is going to like the outcome.
Your reputation is your most precious asset. Ensure every action you take shows your integrity and ethical stance.
Recognize that the role of head/manager is an ongoing learning journey. You will need to invest time and effort in acquiring new knowledge, capabilities and insights that will enhance your performance.
Seek feedback on your performance and listen to what is being conveyed. Don’t be defensive.
Understand that no one is perfect. We all make mistakes. Learn from them and grow. And forgive yourself.
Stay healthy. You need to make time for yourself, your family and your other life interests. To do so, keep watch on how much time you spend focusing on your role and how much time you are giving to the other important elements of your world. Be a good role model and encourage others to maintain a good balance too.
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UNIVERSITY LEADERSHIP AND MANAGEMENT
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LEADERSHIP AND MANAGEMENT: Academic leadership and management
Making decisions in a universityDecision making in your institution
In this section of the main course, you are invited to consider and make some notes on a series of questions regarding decision-making structures in your institution.
Copy and paste the questions and your answers from the activity in this section of the main course into this portfolio document. This will act as a record of your work and will enable you to reflect further on decision making in your institution.
Estimated duration: 5 minutes
Paste your answers here:
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LEADERSHIP AND MANAGEMENT: Academic leadership and management
Four ways to read a university – and yourselfOrganization in your institution
In this section of the main course, the ‘Optional activity’ introduces you to Cohen and March’s (1974) idea of higher education institutions as ‘organized anarchies’ (more fully explained in the main course).
Consider whether Cohen and March's analysis sometimes applies to your university, and write a paragraph or two outlining your answer and rationale.
Estimated duration: 30 minutes
Make a note of your thoughts here:
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LEADERSHIP AND MANAGEMENT: Becoming an effective academic manager
To be or not to be: Weighing the costs and benefitsThe pros and cons of becoming a department head
As you consider accepting an appointment as a head, go in with your eyes open. Think of present or past department heads at your university whom you would consider modal, failed, or exemplary. Select three, one from each category, and informally interview them (there is no need to mention the reason you selected them!).
Ask them:
What they found the most positive and the most negative aspects of the job
What they thought they had accomplished
Whether they would accept appointment as a head in the future.
Based on what they tell you, make a list of the pros and cons and use their comments as a reality check of your own views.
Estimated duration: 60 minutes
Pros of being a department head Cons of being a department head
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LEADERSHIP AND MANAGEMENT: Becoming an effective academic manager
Managing the departmental meetingManaging a group meeting: Assessment
How do you rate yourself in terms of the good practice exemplified in the first activity in this section of the main course?
Next time you find yourself chairing a meeting, give a colleague the following list of points and ask her or him to rate you on each item. Based on this, make some plans for improvement.
Estimated duration: 90 minutes
Please assess my performance on a scale of 1–10, where 1 is weakest and 10 is strongest.
Element Rating (1 – 10)
Before the meeting
Sent a reminder to members of time and placeDistributed written agenda and attachments in advanceProvided important background information in advanceSeparated information items (not requiring discussion) from action items
During the meeting
Started meeting on timeAsked for approval of minutes, and provided opportunity for questionsStated the purpose of the meetingSet deadlines for when reports were dueEnded meeting promptly so others could plan their activitiesGave members chance to participateGave members opportunities to leadKept discussion on track to maintain focus
At the end of the meeting
Reviewed who was to do what and whenAsked group to submit future agenda itemsReminded members of next meeting and its purposePromised to distribute minutes so that past discussions don’t have to be repeatedPromised to use email to circulate incoming materials that don’t require discussion
Other comments
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LEADERSHIP AND MANAGEMENT: Becoming an effective academic manager
Management made simpleTips on managing
In the activity in this section of the main course, you are asked to consider a list of tips on managerial good practice for academic heads, re-ordering the list so that the practices you already follow are at the top, and those that you need to work on are at the bottom.
Make a note of the practices you put toward the bottom of the list as a reminder to help you to improve your efforts in those areas. Review your progress and update your portfolio at regular intervals.
Estimated duration: 10 minutes
Managerial practices I need to work on
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LEADERSHIP AND MANAGEMENT: Becoming an effective academic leader
How departments select their leadersDo you meet the criteria?
Consider whether you meet the three criteria to become a leader by identifying what you think are your department's expectations, and considering whether you meet them.
You may wish to use the following table to record your reflections.
Estimated duration: 30 minutes
Criteria What are my department’s expectations and values in relation to this criterion?
Do I meet these expectations/values? If not, how might I modify my behavior to change this?
Legitimate selectionCommitment to group valuesRelevant expertise
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LEADERSHIP AND MANAGEMENT: Becoming an effective academic leader
Leadership made (relatively) simpleSelf-assessment of your leadership behavior
In the activity in this section of the main course, you are asked to categorize ten guiding principles for leaders according to whether you usually, sometimes or seldom follow them.
Make a note of the principles you seldom put into practice as a reminder to help you to improve your efforts in those areas. Review your progress and update your portfolio at regular intervals.
Estimated duration: 5 minutes
Leadership principles I need to follow more often
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LEADERSHIP AND MANAGEMENT: Maintaining influence
Avoiding cognitive biasYour reflections
Consider the seven types of cognitive bias outlined in this section of the main course and:
Write a few sentences describing an occasion on which you may have been affected by each one of the seven biases Then write down an example of an occasion on which your colleagues may have exhibited each of the seven biases Compare the two lists and don't be surprised if it is easier to think of examples of your colleagues' biases than of your own. It is difficult to think of your
own biases, isn't it? Based on your reflections and the tips in this section of the main course, make a list of five steps you will take to help moderate the effects of cognitive
bias in the future.You may wish to use the following table to help you to consolidate your thoughts.
Estimated duration: 30 minutes
Cognitive bias Examples from my own behavior Examples from others’ behaviorConfirmation bias
Expectation bias
Self-serving bias
Optimism bias
Certainty bias
Egocentric bias
False consensus bias
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LEADERSHIP AND MANAGEMENT: Course summary
Leadership and management: Course summaryThe ‘Leadership and Management’ course has made a number of suggestions for department heads to consider as they do their work.
Use this summary as a regular point of reference to guide you in your leadership and management role.
Key tips for managers:
Be responsive Follow appropriate processes Know the rules De-emphasize bureaucracy Allocate resources fairly Don’t take it personally Explain your reasons Take personal responsibility Treat your staff like gold.
Key tips for leaders:
Listen carefully Empower others Know your followers Allow yourself to be influenced Articulate values Emphasize strengths, not weaknesses Do not solve the department’s problems Honor department history and tradition Have modest expectations.
Key tips for maintaining influence:
Use the smell test Be liked Be realistic Reject fantasy, embrace reality Share information, frame issues Treat everyone with dignity and respect Relate department goals to university goals.
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UNIVERSITY CULTURES AND ORGANIZATIONAL MANAGEMENT
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UNIVERSITY CULTURES: Understanding university cultures
Are universities really different?Your social identity
Next time you introduce yourself to someone, reflect on exactly what information you share about your role and responsibilities. In particular:
What message are you giving to this person about your own identity and that of your department?
Do you link to your role, your discipline, your work in the wider community, or the particular school/unit in which you are located?
Would you describe yourself differently if you had been introducing yourself to someone else (e.g. from outside your discipline, outside the university, outside academia?)
What does all this tell you about the priorities, values and identities that you link most strongly to?
Estimated duration: 15 minutes
Make a note of your thoughts here:
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UNIVERSITY CULTURES: Understanding university cultures
Stakeholder expectations of academic communitiesMy stakeholders and their influence
Having explored some of the ways that different groups might perceive the sector, consider how the critical stakeholders at your own university might be described.
Complete the following table to indicate the opinions and expectations of your stakeholders, their relative importance and influence, and what this might mean for you.
In the first column, enter the stakeholders’ key expectations and priorities.
In the second column, rate your own view of the relative importance of their views on a scale of 1 (low) to 10 (high).
In the third column, rate their effectiveness in getting their message across on a scale of 1 (low) to 10 (high). What holds them back? Who is influential?
In the final column, note your thoughts on how this affects your role and work.
Add extra rows at the bottom for any stakeholders not already listed.
Estimated duration: 30 minutes
Stakeholder Key opinions Importance (1–10) Level of influence (1–10)
Students
Research staff
Faculty
Administration
Executive
Politicians
Industry
Alumni
Community
Professional societies
Staff unions
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UNIVERSITY CULTURES: Understanding university cultures
Defining academic cultureObservation sheet
Use the following observation sheet to record the statements you hear about culture over the next two days, then follow the instructions to reflect on what it tells you about the level of impact of the different sources of influence, and the type of culture that is dominating.
Estimated duration: 120 minutes
Part 1Over the next two days, record comments you hear or responses you see that relate to ‘how things are done around here’. Some examples of the three categories of influences (bureaucratic, political, collegial) are described below, but these are not exclusive or exhaustive.
Influence type Examples Your own observations
Bureaucratic
Strong policies and procedures A ‘blame culture’ operates Permission is required to take action Rules are well spelt out and enforced Only senior staff make decisions Traditions are followed
Political
Knowledge is power Favoritism is evident There are factions that have different power It’s not what you know, but who you know You need a sponsor to get ahead Resources are not distributed according to a
formula or fair system
Collegial
Insights and ideas are shared People are encouraged to volunteer/contribute Communication is very open Achievements are celebrated People are not afraid to ask for help Problems are raised and discussed Mistakes are recognized as learning opportunities Knowledge is readily exchanged and shared
Part 2Consider the role you tend to play in this setting by reflecting on the following questions:
Are you generally a bureaucrat, a politician or a collegially-focused contributor? What impact do your words and actions have on those around you? Do you collude with those who subvert the culture or are you more likely to offer a more positive and helpful
perspective to challenge some of the negativity that you may have heard or seen? Why do you act in this way?
Part 3Write a paragraph summarizing your conclusions about your university’s culture and your role in it.
Write your notes here:
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UNIVERSITY CULTURES: Understanding university cultures
Social and professional identityWho influences your professional actions and why?
Consider who influences your professional actions and views.
Draw a spider diagram, placing yourself at the center.
Identify other individuals, policies or other features that influence you. Draw these as items radiating from the middle, and place the most influential closest to you.
Now consider who you influence. Add these people to your graph in a different color.
What does this show you about your allegiances, collaborations and regular interactions? Are you limiting your sources of guidance? Why?
Estimated duration: 60 minutes
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UNIVERSITY CULTURES: Understanding university cultures
Strong and weak culturesKey indicators of cultural strength
The following summary should act as an aide memoire to help you to remember the key indicators of cultural strength.
Understanding of the university’s mission and goals
Uniformity in teaching practices
Consistency in research management
Staff allegiance to the university principles
Range of university sub-cultures
Strength of disciplinary affiliations
Staff engagement with the university
Collaborations between university management and faculties
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UNIVERSITY CULTURES: Understanding university cultures
Psychological contractsOrienting new staff – a useful checklist
The following is a checklist of items that might be discussed at an orientation session to assist you in setting the right expectations with your staff from the beginning.
You may wish to add any other aspects that you would include.
Employer expectations of employee
Role and hours to be worked
Effort Commitment and loyalty
Performance standards and outcomes Codes of conduct
Other contributions (e.g. extra-curricular activities) Innovation
Employee expectations of employer
Effective leadership and management
Safe and healthy workplace with appropriate equipment Positive and supportive culture
Training/development opportunities Recognition and status
Work-life balance Job variety and promotional opportunities
Opportunities to interact with professional community Autonomy and control of role/outputs
Self-care and well-being Financial benefits
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UNIVERSITY CULTURES: Leading organizational change
Leading cultural shiftsYour organizational context
The following two reflective activities will encourage you to think about cultural shifts within your institutional or departmental community.
Estimated duration: 120 minutes
Part 1Reflect on an experience you had with a shift in your organizational context:
What happened? How did you feel? What type of contributor were you? How much responsibility did you have for implementing the change?
Overall, did you help or hinder? What about your colleagues? How did they respond? What worked? What didn't? Who was leading the transition and how effective were they at doing this? Do you think culture had a role to play in how things panned out? In what way?
Write a paragraph outlining the key points, and a further paragraph outlining what you would do differently if you re-enacted this experience now.
You may wish to upload your story to the Leadership Exchange website at www.epigeum.com/ulm/leadershipexchange
Make a note of the key points of your experience here:
What would you differently now?
Part 2The sharing of stories is a powerful way to explore the issues that emerge from cultural shifts.
Ask your own colleagues to share a story of an experience where they were asked to shift their practices or values, and to consider the questions in Part 1 of this activity.
Think about how they are reflecting the different ideas that have been explored so far.
Make a note of your thoughts here:
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UNIVERSITY CULTURES: Leading organizational change
Why things stay the same (1)The cultural web and your community
Consider an area that you would like to influence in your particular community.
Now consider each of Johnson and Scholes's elements of the cultural web (stories, routines, controls, organizational structures, power structures and symbols) and rank them in order according to how influential they are likely to be in holding people back from embracing your suggested change, with the most influential at the top.
This may take a little practice as you will need to look more deeply into the various phenomena. Many of these elements are so strongly embedded that they are likely to be actively operating as part of a complex web within the community, reinforcing resistance.
Estimated duration: 10 minutes
Rank the cultural web elements in relation to your context here:
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UNIVERSITY CULTURES: Leading organizational change
Why things stay the same (2)A sample cultural web analysis and potential actions to address
identified issuesConsider the following worked example of a cultural web analysis. How might it assist in addressing cultural issues? Make some notes in the space provided below.
Estimated duration: 30 minutes
Web element Identified factors Potential actions
Stories
Grapevine tales of:
Delays in getting information and financial updates
The time a wrong project was debited Lack of trust in the university systems
Investigate the reasons for delays in receiving information and address the causes
Review the systems and their effectiveness to address areas requiring refinement
Promote the changes, highlighting the benefits of the improved systems
Routines
High use of personal spreadsheets to keep financial records
No project management practices in place Projects often running over budget and
being bailed out
Develop common routines that are easy to use and readily understood by people
Build checks and balances into the routines to ensure projects are controlled
Ensure staff are trained in the required processes
Controls
Chief Investigators not accountable for expenditure
Research budgets do not follow a standard financial template allocation
No annual review of expenditures Examples of misappropriation have been
found
Provide clearer guidelines for investigators as to their responsibilities and obligations
Ensure all CIs employ the standard financial template
Undertake regular audits Investigate misappropriations as soon as
they are identified
Organizational structures
No role has responsibility for oversight of the department research budget expenditure
Projects do not include a research manager role
Assign responsibilities to an official role and ensure that individual has the resources and authority to provide the necessary quality assurance
Power structures
Chief Investigators see the funding as their money
Information about expenditure is kept confidential
The right to spend is jealously guarded
Develop guidelines on financial expenditure, including the responsibility of CIs as to fund dispersals
Provide ongoing education
Symbols
Research funding is a high-status activity – more money means you are a better researcher, and only high-status people should be involved
Assist early-career staff to obtain funding Encourage sponsorship and mentorship of
newcomers to help them gain funding
Source: Adapted from Johnson. G., & Scholes, K. (2008) Exploring corporate strategy: Text and cases (8th edition), p. 198. © Simon and Schuster Europe Ltd 1998. © Pearson Education Limited 2002, 2008. Used with permission.
Make a note of your thoughts here:
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UNIVERSITY CULTURES: Leading organizational change
Why things stay the same (3)Applying Schein’s model to your own context
Conduct your own analysis of a recent change initiative using Schein's model.
Document the initiatives that were directed toward the three levels (artifacts, espoused values and underlying beliefs/assumptions). You may wish to use the table below.
Now review the change initiative's success. Did it work? Why? Why not? How well does Schein's model explain the reasons for failure or success?
Estimated duration: 30 minutes
Artifacts Espoused values Beliefs/ assumptions
How successful was the change initiative? Make some notes here:
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UNIVERSITY CULTURES: Leading organizational change
Undertaking a cultural auditExample of a cultural audit instrument
The following bullet points form a sample survey that might be used as part of your cultural audit. The survey might help to clarify how open and collegial your work setting is seen to be.
My knowledge, skills and abilities are recognized and valued by my supervisor and colleagues.
Staff in our area are given a good orientation about the culture, systems and expectations that they need to understand.
My department head shares information from the university with staff.
I am confident of finding the guidance I need for work-related tasks.
Generally people are generous in sharing their knowledge and expertise.
I strongly support the department’s priorities.
My supervisor looks for opportunities for me to develop my professional and academic capabilities.
My last performance review was a constructive discussion of my progress and developmental needs.
I am valued for the knowledge and expertise that I share with my colleagues.
People are respected and valued for the roles they play.
We are not afraid to admit we have made a mistake.
We watch out for and support each other.
Collaboration is encouraged in this department.
My primary goal is to focus on my personal career.
Innovation is a feature of this department.
My colleagues regularly share what they learn.
I am confident that I can access the best sources of support when I need them.
I am aware of the work and roles that other colleagues undertake.
I have a good understanding of the latest university strategic plan and its priorities.
Overall, this department is a caring environment in which to work.
I am confident that the department is a very effective community that supports each individual.
I have a mentor who assists and supports me.
My teaching role is supported and valued by other colleagues.
If I need help in doing my research, I can call on people who are more experienced.
We have a strong focus on quality improvement.
The student experience is a high priority for staff in this department.
Leadership is shown by most senior staff in this department.
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UNIVERSITY CULTURES: Leading organizational change
Implementing change (1)A model for implementing change
The following table outlines the model of change leadership explored in this section of the main course. You can use it to undertake the activity in the next portfolio document.
Stakeholder Key opinions
1 Establish the need for change
Review the need for change Consider the current context and the likely response from your community Develop a case and evidence of the need and benefits of change Identify other colleagues who have been through a similar experience: talk
with them and seek advice Contact your professional support people to get their advice
2 Establish the leadership team
Identify critical people who might work with you Agree on their roles Clarify any areas of concern they might have Establish a new vision to reflect the desired/needed change
3 Engage the community
Establish a sense of urgency through wide consultation and presentations Establish formal communication channels to keep members updated Encourage innovative ideas Clarify emerging issues Remove barriers Empower people to act Adapt the plans to reflect the input of the community
4 Commence the transition
Identify the strategies and milestones Work with early adopters and share the outcomes Maintain good communication with all members Continue consultation and regular review Provide training and support if required Monitor progress and quality of the outcomes Seek feedback from stakeholders
5 Achieve quick wins Identify and celebrate quick wins that promote the benefits of the transition Acknowledge change contributors Celebrate wins and gains with stakeholders
6Monitor change outcomes and necessary adjustments
Review the goals regularly and adjust as required Monitor staff well-being and level of engagement Evaluate the process and the outcomes Identify any further refinements required Evaluate the transition process and lessons learned Celebrate the journey with your members and encourage their ongoing
engagement
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UNIVERSITY CULTURES: Leading organizational change
Implementing change (2)Change leadership and your context
Use the model of change leadership in the previous portfolio document (‘Implementing change 1’) to undertake the following two activities.
Estimated duration: 60 minutes
Part 1Think about an unsuccessful change process that you have experienced. Work through the model of change leadership on the portfolio document and highlight the processes that were followed.
Reflect on the following:
The order in which the steps occurred
What impact each had
Which were missing
What the process says about the focus of the change (e.g. was it on building the artifacts or harnessing the community engagement?)
On the basis of your reflections, write a set of bullet points listing what you would suggest doing differently if the same transition were to be undertaken again.
Write your answers here:
Part 2Repeat the activity, but this time considering a successful transition, and match it to this model. How much cross-over can you see between the two examples? What does this tell you?
Write your answers here:
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UNIVERSITY CULTURES: Building an effective organizational culture
Managing constructivelyThree management approaches
Reflect further on the three management approaches outlined in this section of the main course.
How do you think each is reflected in: Your own behavior? The behavior of your line manager? The behavior of other leaders and managers within your team?
You may wish to refer to the summary on the following page as a reminder.
Write a paragraph summarizing what you intend to do differently in the future as a result of your reflections.
Estimated duration: 30 minutes
Reflect on the three management approaches (passive-defensive, aggressive-defensive and constructive; see summary on next page):
What will you do differently in future? Write your action plan here:
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UNIVERSITY CULTURES: Building an effective organizational culture
Summary Notes in relation to you Notes in relation to your manager
Notes in relation to your colleagues
Passive-defensive managers can lack confidence. They may: Avoid making decisions, relying on others to make the decisions for them Seek approval from others or feel very stressed about how others see them Gather a lot of data and seek others’ ideas so that blame can be dispersed Discourage innovation or risk taking in their own staff Be very conservative in the ways they acknowledge or reward good
performers, in case their judgment is wrong Tend to side with the strongest political factions in order to stay safe.
Aggressive-defensive managers aim to create a competitive setting. They may: Micromanage their colleagues Insist on particular ways of doing things and on perfection from others Challenge the judgment of others Correct others’ work Build an environment that mirrors their own internal world view Fail to acknowledge others’ achievements/single out individuals for blame.
Constructive leaders focus on encouraging people to grow. They may: Encourage individuals to take responsibility for solving problems Be comfortable with different people approaching things in their own way Give constructive feedback Recognize the contributions that people make Support innovation and learning Focus on individuals’ career development Seek to build opportunities for collegial interchange.
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UNIVERSITY CULTURES: Building an effective organizational culture
Balancing productivity and innovationCreating a productive and innovative work setting
The following is a list of helpful hints and tips on some of the practical actions that can be taken to create both an innovative and productive culture. Use this as a starting point to build up your own action plan.
Provide clear guidance on the performance that is expected of each member.
Set aspirational performance goals that encourage members to stretch themselves.
Encourage people to reflect, review and play with ideas as part of their work role.
Create opportunities for your group to take a step back to think about issues and innovative approaches.
Accept that innovation can lead to mistakes and errors. Do not penalize people for having tried something different. Recognize and value their efforts to improve what is done.
Recognize and celebrate those who are working to contribute to change and innovation.
Keep workloads at reasonable levels to ensure people can find the space to innovate.
Encourage people to be self-managing, but ensure they have a clear sense of focus and are well-linked to the vision and directions that need to be supported.
Explicitly highlight the value of innovation and excellence.
Review performance from both long-term and short-term perspectives.
Encourage interchange and sharing across the different work groups.
Value collaboration and support staff to learn new skills in working cooperatively.
Ensure the systems and work platform enable collaboration and sharing.
Maintain a high standard of technology and systems that support knowledge exchange.
Model entrepreneurial activity.
Ensure staff maintain current skills and expertise.
Clearly affirm the value of learning and innovation.
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UNIVERSITY CULTURES: Building an effective organizational culture
Managing up and acrossImproving your relationship with your line manager
Using the following table will help you to record your priorities for improving your relationship with your line manager.
Estimated duration: 30 minutes
Advice Is this a priority for me? How do I plan to improve this?
Work on improving your relationship with your line managerTalk to your line manager about how they can give you more support and assistanceClarify the relationship and boundaries relating to reporting and accountabilityTalk to your line manager about improving the alignment of your prioritiesKeep your line manager informed about your goals, progress and any challengesTry to contribute more effectively to management meetingsSeek to align your work more closely with the key projects your line manager is sponsoringGive your line manager honest – but considered – feedbackTalk to your line manager about the fact that you don’t feel your contribution to discussions is valuedTake greater responsibility for your actions
Improve your time-management and organization skills
Seek to support your line manager in public
Take up any issues with your line manager directly and promptly
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UNIVERSITY CULTURES: Building an effective organizational culture
Being inclusiveAvoiding bias
Consolidate your thoughts on the effects of bias and how you might avoid it by completing the following table.
Estimated duration: 30 minutes
Bias What might be the effects? What steps can I take to avoid it?
Halo effect:The tendency to generalize about a person’s behavior based on one or two attributesDevil effect:Judging a person poorly because of one or two poor performing areasMirror effect:The positive judging of a person because they are like youCentral tendency:Treating everyone as ‘in the middle’, rather than recognizing variations in capability/performanceRecency bias:Focusing on a recent area of performance and ignoring the body of evidence from previous eventsOpportunity bias:Failure to recognize that factors that may be beyond the control of the staff member might have had an impact on their performanceBlaming:Failure to recognize that the work context may have an impact on the individual’s performanceFault finding:Tendency to look for fault in people based on personal characteristics that have no bearing on their performanceTrait assessment:Assessing an individual’s capability based on personality characteristics that have no bearing on their performance or potential capability e.g. gender, sociability
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UNIVERSITY CULTURES: Building an effective organizational culture
Module reviewEncouraging optimal outcomes for your work group
Reflect on the conditions that will encourage optimal outcomes for your particular work group.
Write down the key principles that you identified and consider how you might put them in practice. This could be a good area to explore with your mentor: arrange a meeting to discuss your views and gather theirs.
Create a summary of your thoughts below.
Estimated duration: 60 minutes
Create your summary here:
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UNIVERSITY CULTURES: Dealing with conflict in your department
Resolving conflict 1: What happened?Your experiences of conflict
Consider the possible causes of conflict listed in the diagram in this section of the main course.
Which of these do you have experience of?
Which had the greatest impact on the well-being of your community?
What were the consequences?
Estimated duration: 15 minutes
Make a note of your thoughts here:
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UNIVERSITY CULTURES: Dealing with conflict in your department
Resolving conflict 2: Finding solutionsHandling conflict in your institution
Part 1Carry out some research into the institutional and legal policies that relate to handling conflict in your particular context. Make a list below of relevant documents and where you can find them.
Estimated duration: 60 minutes
Your research into institutional and legal policies relating to your context:
Part 2Consider a conflict you have been involved in or witnessed.
Make a list of the goals of each party and categorize them into 'relationship' and 'substantive' categories.
Does the distinction between the two types help to clarify what might be done to resolve the conflict?
Estimated duration: 10 minutes
Your experience of conflict:
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UNIVERSITY CULTURES: Dealing with conflict in your department
BullyingBullying in your institution
Reflect on the following questions:
Does bullying happen in your university? In your department?
How does it manifest itself?
Does it occur more in some types of groups?
What effect does it have on you and people around you? Do you know of people who have left the university because of these experiences?
Estimated duration: 10 minutes
Make a note of your thoughts here:
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UNIVERSITY CULTURES: Dealing with conflict in your department
You are not alone: Sources of supportYour support contacts
Take the time to find out who is available to support you. How might each of them help you?
Record the relevant contact details and roles in the table below for your future reference. These people will be delighted to chat with you if you wish to make early contact.
Estimated duration: 45 minutes
Category Names and contact details How might they be able to help?Organizational developers
Staff developers
Equity and diversity officers
Industrial relations
Counselors
Employee assistance programs
Peers
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WORKING WITH UNIVERSITY CULTURES: Course summary
University cultures: Course summaryIn this course we have made a number of suggestions to help you facilitate a constructive, productive and innovative culture within your department.
You can refer regularly to the following summary to remind you of these ideas.
Understanding the various sub-cultures and their enactment Personal needs, desires and beliefs Professional practice Goals and outcomes Sub-group values and expectations Tribes and territories The cultural web: stories, routines, controls, organizational structures, power structures, symbols Strength of the culture Underlying psychological contracts and the degree to which they are reflected in action
Modeling the culture you wish to inculcate Operate as a constructive leader who encourages people to achieve their best and ensures the right
support is offered. Reward the right things. Orient all staff on the culture you expect to see operating. Support staff who identify non-acceptable behavior. Create your own paradigm, stories, routines, structures and symbols to promote stronger allegiance to
the emergent culture. Identify and outline the synergies between the desired culture and the needs and concerns of your staff.
Introducing change Establish the need for change – build a cogent case for it to be undertaken and the benefits that will
accrue. Be aware of the need to lead the transition rather than manage change. Accept that the rate of change may be slower than you would wish. Establish the leadership team. Engage the community with careful, respectful and ongoing consultation. Identify early adopters and encourage their role as transition agents. Commence the transition using a range of strategies and communication approaches to increase
transparency and understanding. Be prepared to adapt the strategy as learning occurs and feedback is received. Achieve quick wins and publicize them. Cake is always a good means of celebrating success. Monitor change outcomes and make the necessary adjustments to ensure ongoing refinement occurs. Ensure sufficient resources are provided to keep the momentum and ongoing implementation of any
strategies. Monitor the cultural shifts – who has been left behind? Do they need more training and support?
Enabling a positive and innovative work setting Recognize the particular challenges and benefits of working in a knowledge setting. Encourage a cooperative mindset: focus on building an environment that encourages learning, knowledge
sharing, collective intelligence, mentorship, enjoyment, intellectual challenge. Facilitate boundary spanning across your staff and the broader university community. Encourage wide and deep relationships based on trust, shared expertise, experimentation and merging of
knowledge.
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Ignite purpose: build a common understanding of the overall goals and encourage a strong sense of collective mission and purpose.
Increase productive capacity: ensure the best use of talent is achieved. Provide appropriate resources, ensure the work context is effectively and efficiently managed, enable productive work flows, support positive relationship management and encourage interdependencies between groups and individuals.
Dealing with toxic staff Don’t do it alone – seek help. Provide clear performance expectations. Discuss the impact of their actions. Explore all viewpoints before doing anything or making any comments. Anticipate the likelihood of problems and establish your cultural standards and expectations before the
problem occurs. Aim for transparent and consistent workloads, rewards, recognition and opportunities. Don’t be hoodwinked! Look for signs of inconsistent behavior – they often indicate someone who
operates in different ways with different people.
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STRATEGIC PLANNING
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STRATEGIC PLANNING: The role of strategic planning
Strategy management in your university (1)Self-reflective exercise: Your institution’s strategic plan
Examine your university or college's strategic plan and reflect on the vision, mission, values, goals, etc. therein.
Estimated duration: 100 minutes
Part 1Study your institution's website and documentation, and talk to your colleagues.
Where is your university going? What is its vision?
What is your university's mission?
Write your thoughts here:
Part 2Any mission worth its salt ought to have four discrete qualities (McCaffery, 2010):
"Purpose – why the institution exists: an inspiring purpose which avoids playing to the selfish interests of one or another set of stakeholders
Strategy – the institution's competitive position: the identification and specification of the institution's strategic position
Values – what the institution believes in: the moral and cultural values of the institution identified and expressed in such a way as to engender pride in all staff
Standards and behaviors – an indication of the standards and behaviors expected of staff in pursuing the institution's strategic goals."
Write a few paragraphs assessing your university's mission in relation to these points:
How well does your university's mission statement measure up against these four criteria?
Where is it deficient? Why?
When was it last reviewed and revised?
Write your thoughts here:
Part 3Finally, consider the range of activities undertaken in your department and map these onto the objectives outlined in your university's strategic plan.
How well do they match up? Are they concentrated under one objective or are they more evenly distributed?
Write your thoughts here:
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STRATEGIC PLANNING: The role of strategic planning
Strategy management in your university (2)Example: The University of Leeds (UK) strategy map
For the purpose of comparison, you may wish to consider the strategic vision developed by the University of Leeds (UK) and the way in which its strategy map identifies and articulates how the university will realize its aspiration.
How would you rate this map in terms of the components of a strategic plan? Note your thoughts below.
Estimated duration: 30 minutes
Source: Adapted from University of Leeds (2009) p. 5. Used with permission.
Your assessment of the map as a strategic plan:
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STRATEGIC PLANNING: The role of strategic planning
Case studies: Envisioning in practiceArticulating your strategic vision
Consider your answers to each of the questions in the following table. In each case, make a note of any further research you might want to do, and colleagues you would like to consult, to further clarify your vision.
Estimated duration: 30 minutes
Questions Your ideas Further research/colleagues to consultDepartment definition:
How would you define your department? Think about the purpose of your department – its function within and service to the university.Market:
Different university departments have very different markets. Is your department’s function to service society through research, student learning through instruction, or your fellow university members through operational services?Department culture:
Think about your department’s shared principles and shared goals. How would you articulate these? Think specifically about what, if anything, makes your own department’s culture different than others in your university community.Competitive differentiation:
What is it that makes your department stand out against the competition? What do you offer that others don’t?Value:
Think about how your department is valued by others in the university. Is it relied upon for other parts of the university to function and succeed? Your department should be a support to and set an example for other departments at your institution.Vision:
What does your department contribute to your university? To the institutional mission, vision and strategic plan?
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STRATEGIC PLANNING: The role of strategic planning
The role of strategic planning: Module reviewStrategic planning for your personal and professional
development
As outlined in this section of the main course, you can use the principles of strategic planning – the alignment between aims, capabilities and opportunities – to help inform your own personal and professional development.
Use the questions outlined in this section of the main course, reproduced below, to guide your thoughts.
Which of your achievements over the last year do you feel particularly proud of? (Include personal, professional, departmental and university achievements.)
Where do you see yourself in three years’ time? (Try to be as specific and concrete as possible.)
How are you going to get there? (What opportunities do you have? What capabilities and resources can you utilize?)
Estimated duration: 20 minutes
Write your answers here:
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STRATEGIC PLANNING: Developing the strategic plan
Scanning your department’s environmentA framework for scanning your department
Use the following framework to help you scan your own department. Complete the table with the results of your own reflection and research.
Estimated duration: 60 minutes
Descriptor Notes
Envi
ronm
enta
l sca
n
Social developments
Technological developments
Economic change
Political change
Inte
rnal
reso
urce
ass
essm
ent
Staffing resource
Staff skills
Learning resources
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STRATEGIC PLANNING: Developing the strategic plan
Analyzing your department (1)Portfolio analysis of the teaching in your department
This model will help you carry out a portfolio analysis on the teaching in your department. You can adapt and amend the model to reflect other areas you may wish to analyze. Fill it in and make a note of any further research it requires you to do.
Estimated duration: 60 minutes
Area I am assessing Teaching of programs in my departmentCriteria for assessment
Overall assessmentFinancial success Financial failure
Academic success
Programs in this category
Action to be taken
[Should probably continue as part of your core strategy.]
[Should probably seek to tackle causes of financial problems. In the long term, you may choose to accept the financial burden if the programs bring other benefits.]
Academic failure
Programs in this category
Action to be taken
[Should probably investigate reasons for academic underperformance.]
[Should probably investigate reasons for lack of academic and financial success and consider termination.]
Notes for further research/action:
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STRATEGIC PLANNING: Developing the strategic plan
Analyzing your department (2)An alternative model of portfolio analysis
On the following page is a model of good practice in portfolio analysis identified by DEETYA (Australian Department of Education, Employment, Training and Youth Affairs, now DEEWR – the Department of Education, Employment and Workplace Relations). The model has been derived from the work of Ernest Boyer.
In essence, the quality of all university activities is assessed and ranked on the contribution they make to Boyer’s theoretical conception of the four scholarships:
Teaching Integration Application Discovery (research).
The attraction of this model is that it:
Recognizes the distinctiveness of higher education Can be applied universally throughout the institution Is more likely to secure consensus than other alternatives.
NB: Throughout the table, unless otherwise stated, the term ‘department’ is taken to mean department, faculty or service.Source: Based on DEETYA (2003). Used with permission.
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Principal criteria Definition Examples of possible performance indicators
Centrality The degree to which the department is central to the university’s
vision, mission, values, strategic goals and objectives Identifiable strategic contribution to university’s vision, mission,
values, goals and objectives – locally, regionally, nationally and internationally
Qua
lity
For university-wide services
The degree to which the service excels in its contribution to the quality of the student experience and that of other stakeholders
Identifiable contribution (high, medium, low) to the quality of the student experience and other stakeholders
Integration with the work of other university departments and services
For academic departments and faculties
The degree to which the academic department/faculty excels in terms of its contribution to scholarship (using Ernest Boyer’s notion of four inter-related aspects of scholarship, education etc.)
Identifiable contribution to the scholarship of: Instruction (e.g. quality of student learning and retention,
innovation in teaching methods, balance between general and professional)
Integration (e.g. contribution to professional practice, integration of curriculum, community education and relations etc.)
Application (e.g. industry collaborative grants, commercial research, consultancy, impact on problems of technology, policy, environment, etc.)
Discovery (e.g. scholarly publications, competitive grants, conference papers, higher degree by research completions, recognition by peers, etc.)
Demand
The degree to which the department excels in terms of the call upon it from students and other stakeholders
[For university-wide services] Identifiable contribution (high, medium, low) to meeting the
needs of students and other stakeholders
[For academic departments and faculties] Application and recruitment (number and quality of applicants) FTE imports and exports in relation to other programs, additional
student numbers, demand for services (e.g. research and consultancy)
Graduate employment etc.
Comparative advantage
The degree to which the department excels in strategic terms in relation to comparator departments locally, regionally, nationally and internationally
Identifiable strategic contribution to distinctive local, regional, national or international needs
Identifiable advantage with respect to comparators locally, regionally, nationally and internationally
Cost The degree to which the department excels in terms of cost-effective
delivery Identifiable contribution to resource efficiency, (high, medium,
low)
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STRATEGIC PLANNING: Developing the strategic plan
Identifying and setting your strategic objectives 1Being SMART yourself: ‘Beware the busy manager’i syndrome!
The following portfolio document includes information on Bruch and Ghoshal's (2002) research into effective managers and some advice on carrying across the lessons of 'SMART' into your personal management style.
Read through the information and then try the related activity.
Estimated duration: 10 minutes
SMART objectives are essential to your departmental strategic plan. They are equally critical to you in your role. They should be central to your personal and professional action plan as a university leader.
Bruch and Ghoshal (2002) have shown that, more often than not, it is the managers with the most hectic schedules who prove to be least effectual in actually managing – largely because they are unable to devote time and reflection to their short- and long-term strategic goals.
Constant, ad hoc reaction to issues and events is both symptomatic and a cause of a fundamental lack of productivity: unexpected events are inevitable, but managers who find themselves dealing with repeated emergencies are probably not planning ahead effectively enough.
Bruch and Ghoshal describe the most productive management activities as ‘committed, purposeful, and reflective’: constantly attending to crises, rushing from meeting to meeting, and frantic email management will leave little time for this more effective kind of management.
Research conducted by Bruch and Ghoshal (2002) concluded that only 10% of managers were effective: i.e. the vast majority were too easily sidetracked or too busy ‘grandstanding’ to deal productively with problems and long-term strategic objectives.
To ensure that you operate as a productive manager:
Create a personalized ‘strategic plan’ to help you manage your time and tasks efficiently
Always ensure that you schedule ‘thinking time’
Resist the desire to bolster your authority by appearing active.
To keep your time on track: Make a list of several main objectives for your department
Let them steer both your actions and your planning on a day-to-day basis by keeping them at the forefront of your mind
Main objectives for my department:
i Bruch, H. & Ghoshal, S. (2002) Beware the busy manager. Harvard Business Review, February pp. 5–11.
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STRATEGIC PLANNING: Developing the strategic plan
Identifying and setting your strategic objectives 2Example department strategic action plan 1
The following table contains the example ‘key aims’ from the example strategic plan featured in this section of the main course. You will see this example being built up as the main course progresses. All the different stages of the example strategic plan are included in this portfolio.
Example strategic plan: Key aims and SMART objectives
Key aim Planning reference Key actions – SMART objectives Lead [O = Other]
Follow-up and progress
Key performance indicator (KPI)
What do we need to do to realize our
departmental vision?
How does the aim link to the
university’s strategic plan?
How are we going to get there? Who will do it?How will we know we are
doing it?
How will we know when we have achieved
our aim?1. To establish an academic portfolio of programs of the highest possible quality and standards to meet individual, regional and national needs and internationally-recognized standards
By developing and agreeing new program criteria by the end of this academic year (e.g. centrality to mission; quality of the student experience; contribution to scholarship; market demand; comparative advantage; cost-effectiveness)
By modifying, merging and discontinuing those programs which do not excel according to the agreed criteria
By planning and developing new programs which do excel in terms of these criteria with immediate effect on agreement
2. To establish new staff support mechanisms in order to promote pedagogical expertise, innovation and dissemination
By appointing an e-learning champion in each subject area to work with individual program leaders to establish an e-learning infrastructure – comprising information board, discussion forum and formative assessment opportunities – for their program for the next academic year
By initiating, developing and agreeing by the end of the year the establishment of a research program for learning and teaching grounded in an inquiry-based learning approach aimed at:
o Improving our understanding of the student experience
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Key aim Planning reference Key actions – SMART objectives Lead [O = Other]
Follow-up and progress
Key performance indicator (KPI)
o Supporting research-informed instruction in disciplinary, inter-disciplinary and multi-disciplinary study as a means of enhancing the student experience
o Fostering collaboration with other departments and external partners
o Disseminating good practice in research-led activity
By reviewing and evaluating the peer-observation teaching process as an aid to staff development planning and a means of sharing and disseminating good practice in instruction – review to be completed in the next six months
3. To establish new support mechanisms in order to develop our capacity to improve student retention and completion and graduate employment rates
By appointing one member in each program team to be the Research Data Analyst on student retention to disseminate and evaluate student progression data to support the development of a departmental approach to student retention
By initiating, developing and establishing an employer mentoring program for all students with an initial pilot for black and ethnic minority students – 12 mentor/mentee partnerships to be arranged by end of the year
By establishing a working group to review and evaluate the student orientation and Year 1 experience to make recommendations as appropriate – to allow for implementation for the start of the next academic year
4. To internationalize all our activities to prepare our students as global citizens to play a full and active role in the workplace and their community
By establishing a working group to develop and articulate the concept of internationalization and secure agreement on practical guiding principles by the end of this year
By reviewing all our programs to ensure that internationalization is valued and assessed in line with these principles
By reviewing our existing international partnerships with regard to generating new knowledge, facilitating student and staff exchange and the recruitment of new students and establishing three new international partnerships by the end of next year
5. To enhance the staff experience by
By appointing a credible independent external to conduct a new survey of the staff experience in the next six months – through questionnaire and focus
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Key aim Planning reference Key actions – SMART objectives Lead [O = Other]
Follow-up and progress
Key performance indicator (KPI)
establishing a Framework of CARE – Communication, Appraisal, Responsiveness, Evaluation
groups – that ensures confidentiality By establishing a cycle of regular staff forums each
term, starting next semester By initiating a program of 360 degree feedback for
senior staff as a means of enhancing leadership and management effectiveness
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STRATEGIC PLANNING: Developing the strategic plan
Identifying key performance indicatorsExample department strategic action plan 2
Below you will find a continuation of the example strategic plan from this section of the main course, this time with key performance indicators (KPIs) added.
Immediately after the example, a template has been provided which you can complete with your department's key aims, SMART objectives and KPIs, as well as practical details such as project leads. Filling in the template will help to consolidate your ideas on strategic planning so far. You should continue to refine your incipient strategic plan as you work through the course.
Estimated duration: 100 minutes
Example strategic plan: Key aims, SMART objectives and key performance indicators
Key aim Planning reference Key actions – SMART objectives Lead [O =
Other]Follow-up and
progressKey performance
indicator (KPI)
What do we need to do to realize our departmental
vision?
How does the aim link to the
university’s strategic plan?
How are we going to get there? Who will do it?
How will we know we are
doing it?
How will we know when we have achieved
our aim?1. To establish an academic portfolio of programs of the highest possible quality and standards to meet individual, regional and national needs and internationally-recognized standards
By developing and agreeing new program criteria by the end of this academic year (e.g. centrality to mission; quality of the student experience; contribution to scholarship; market demand; comparative advantage; cost-effectiveness)
By modifying, merging and discontinuing those programs which do not excel according to the agreed criteria
By planning and developing new programs which do excel in terms of these criteria with immediate effect on agreement
Majority of our programs are ‘selectors’ rather than ‘recruiters’
Greater proportion of our applicants view us as their first-choice university
2. To establish new staff support mechanisms in order to promote pedagogical expertise, innovation and dissemination
By appointing an e-learning champion in each subject area to work with individual program leaders to establish an e-learning infrastructure – comprising information board, discussion forum and formative assessment opportunities – for their program for next academic year
By initiating, developing and agreeing by the end of the year the
Year-on-year increase in level of student satisfaction with program management
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Key aim Planning reference Key actions – SMART objectives Lead [O =
Other]Follow-up and
progressKey performance
indicator (KPI)establishment of a research program for learning and teaching grounded in an inquiry-based learning approach aimed at:
o Improving our understanding of the student experience
o Supporting research-informed instruction in disciplinary, inter-disciplinary and multi-disciplinary study as a means of enhancing the student experience
o Fostering collaboration with other departments and external partners
o Disseminating good practice in research-led activity By reviewing and evaluating the peer-observation teaching
process as an aid to staff development planning and a means of sharing and disseminating good practice in instruction – review to be completed in the next six months
and instruction Year-on-year
increases in the number, diversity and quality of outcomes of staff scholarship in instruction
3. To establish new support mechanisms in order to develop our capacity to improve student retention and completion and graduate employment rates
By appointing one member in each program team to be the Research Data Analyst on student retention to disseminate and evaluate student progression data to support the development of a departmental approach to student retention
By initiating, developing and establishing an employer mentoring program for all students with an initial pilot for black and ethnic minority students – 12 mentor/mentee partnerships to be arranged by end of the year
By establishing a working group to review and evaluate the student orientation and Year 1 experience to make recommendations as appropriate – to allow for implementation for start of next academic year
Year-on-year improvement in student retention rates and graduate employability
4. To internationalize all our activities to prepare our students as global citizens to play a full and active role in the workplace and their community
By establishing a working group to develop and articulate the concept of internationalization and secure agreement on practical guiding principles by the end of this year
By reviewing all our programs to ensure that internationalization is valued and assessed in line with these principles
By reviewing our existing international partnerships with regard to generating new knowledge, facilitating student and staff exchange and the recruitment of new students and establishing three new international partnerships by the end of next year
Exceed our benchmark against university peers in surveys of international students
Areas of international excellence recognized as such outside the country
5. To enhance the staff experience By appointing a credible independent external to conduct a new Year-on-year
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Key aim Planning reference Key actions – SMART objectives Lead [O =
Other]Follow-up and
progressKey performance
indicator (KPI)by establishing a Framework of CARE – Communication, Appraisal, Responsiveness, Evaluation
survey of the staff experience in the next six months – through questionnaire and focus groups – that ensures confidentiality
By establishing a cycle of regular staff forums each term, starting next semester
By initiating a program of 360 degree feedback for senior staff as a means of enhancing leadership and management effectiveness
increase in level of staff satisfaction and achievement
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Key aim Planning reference Key actions – SMART objectives Lead [O = Other] Follow-up and progress Key performance
indicator (KPI)
What do we need to do to realize our
departmental vision?
How does the aim link to the university’s
strategic plan?
How are we going to get there? Who will do it? How will we know we
are doing it?
How will we know when we have
achieved our aim?
Template: Your strategic plan
Complete the template with your department's key aims, SMART objectives and KPIs, as well as practical details such as project leads.
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STRATEGIC PLANNING: Developing the strategic plan
Assessing and managing risk 1Your institution’s risk appetite
Consult your Corporate Risk Register and institutional policy on risk management (available from your University Secretary, University Risk Manager or other relevant member of the Senior University Executive), and find the answers to the following questions:
How has your university defined its risk appetite?
Has it changed with different circumstances? Is it reviewed regularly?
Consider the implications for the departmental strategic plan you are developing, and write a paragraph outlining your thoughts.
Estimated duration: 40 minutes
Write your thoughts here:
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STRATEGIC PLANNING: Developing the strategic plan
Assessing and managing risk 2Example department strategic action plan: Assessing risk
Below you will find a continuation of the example strategic plan from this module of the main course, here with a risk assessment built in.
Immediately after the example, a template has been provided with which you can carry out a risk assessment for your own departmental strategic plan.
Estimated duration: 30 minutes
Example department strategic plan, stage 3: Risk assessment
Key aim Key actions – SMART objectives Assessment of risk Nature of risk Mitigating the risk
1. To establish an academic portfolio of programs of the highest possible quality and standards to meet individual, regional and national needs and internationally-recognized standards
By developing and agreeing new program criteria by the end of this academic year (e.g. centrality to mission; quality of the student experience; contribution to scholarship; market demand; comparative advantage; cost-effectiveness)
Likelihood = low/medium
Impact = high
Risk score = 10
Failure to agree criteria for assessing existing programs and developing new ones
Use credible independent external as mediatorSeek consensus on ‘least imperfect’ criteria
By modifying, merging and discontinuing those programs which do not excel according to the agreed criteria
Failure to review portfolio As above
By planning and developing new programs which do excel in terms of these criteria with immediate effect on agreement
Failure to reach agreement As above
2. To establish new staff support mechanisms in order to promote pedagogical expertise, innovation and dissemination
By appointing an e-learning champion in each subject area to work with individual program leaders to establish an e-learning infrastructure – comprising information board, discussion forum and formative assessment opportunities – for their program for the next academic year
Likelihood = medium
Impact = high
Risk score = 15
Some subjects fail to appoint an e-learning champion
Ask Chair of E-learning to mediate and agree to initial short-term appointment in first instance
By initiating, developing and agreeing by the end of the year the establishment of a research project on learning and teaching grounded in an inquiry-based learning approach aimed at:
o Improving our understanding of the student experienceo Supporting research-informed instruction in disciplinary, inter-
disciplinary and multi-disciplinary study as a means of enhancing the student experience
o Fostering collaboration with other departments and external partners
o Disseminating good practice in research-led activity
New project scheme fails to attract interest
Select pilot projects on basis most likely to attract staff interest and involve students
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Key aim Key actions – SMART objectives Assessment of risk Nature of risk Mitigating the risk
By reviewing and evaluating the peer-observation teaching process as an aid to staff development planning and a means of sharing and disseminating good practice in instruction – review to be completed in the next six months
Peer Observation Review Group fails to agree recommendations
Ensure the review is facilitated by a credible independent internal or external peer
3. To establish new support mechanisms in order to develop our capacity to improve student retention and completion and graduate employment rates
By appointing one member in each program team to be the Research Data Analyst on student retention to disseminate and evaluate student progression data to support the development of a departmental approach to student retention
Likelihood = low
Impact = high
Risk scoreRisk score = 5
Some program teams fail to nominate a Research Data Analyst
Ask program leaders to job-share the responsibilities among team as appropriate
By initiating, developing and establishing an employer mentoring program for all students with an initial pilot for black and ethnic minority students – 12 mentor/mentee partnerships to be arranged by end of the year
Inability to attract employer interest
Seek help from internal or external agencies already involved in developing department/industry links.
By establishing a working group to review and evaluate the student orientation and Year 1 experience to make recommendations as appropriate – to allow for implementation for the start of the next academic year
Recommendations are impracticable
Ensure you have reps from outside your department on the initial working group
4. To internationalize all our activities to prepare our students as global citizens to play a full and active role in the workplace and their community
By establishing a working group to develop and articulate the concept of internationalization and secure agreement on practical guiding principles by the end of this year
Likelihood = medium
Impact = medium
Risk score = 9
Failure to agree on concept and principles of internationalization
Ensure working group considers all models of good practice beyond as well as within the university
By reviewing all our programs to ensure that internationalization is valued and assessed in line with these principles
Some subject areas are unwilling to engage
Recognize and allow subject areas to embed the concept in their own way consistent with the principles
By reviewing our existing international partnerships with regard to generating new knowledge, facilitating student and staff exchange and the recruitment of new students and establishing three new international partnerships by the end of next year
Failure to establish new partnerships
Identify key driver – new students or new knowledge generation – and enlist the support of your Director of International Office
5. To enhance the staff experience by establishing a Framework of CARE – Communication; Appraisal; Responsiveness; Evaluation
By appointing a credible independent external to conduct a new survey of the staff experience in the next six months – through questionnaire and focus groups – that ensures confidentiality
Likelihood = medium/high
Impact = high
Some staff won’t engage and the survey outcomes are much more challenging than expected
Emphasize confidentiality of process; acknowledge the outcomes and recognize you now have a baseline on which to build
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Key aim Key actions – SMART objectives Assessment of risk Nature of risk Mitigating the risk
Risk score = 20
By establishing a cycle of regular staff forums each term, starting next semester
Staff fail to attend forums Agree the agenda is set and shared by both parties; make it an informal social occasion too
By initiating a program of 360 degree feedback for senior staff as a means of enhancing leadership and management effectiveness
Senior staff balk at the idea of 360-degree feedback
Reticence is a normal reaction in first-timers – reassure them it is a learning/development tool conducted by an independent external and will help in focusing their own leadership development
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Template: Your strategic plan
Copy in the key aims and SMART objectives from the strategic plan you started to build earlier in your portfolio. Then complete the three new columns: ‘Assessment of risk’, ‘Nature of risk’ and ‘Mitigating the risk’.
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Key aim Key actions – SMART objectives Assessment of risk Nature of risk Mitigating the risk
STRATEGIC PLANNING: Implementing your strategic plan
Ensuring your strategic planning document is fit for purpose 1A new example strategic plan – BEFORE
Consider the new example strategic plan referenced in this section of the main course. You will see that the same framework as the earlier example has been used, but there are new key aims, SMART objectives, etc.
Consider:
Whether you think it is for fit for purpose – and if not, why not
What improvements you would make to it.
Then move on to the next portfolio document to see our thoughts on how the strategic plan might be improved.
Estimated duration: 20 minutes
Key aim Planning reference Key actions – SMART objectives Lead [O = Other] Follow-up and
progressKey performance
indicator (KPI)
What do we need to do to realize our vision?
How does the aim link to the
university’s plan?How are we going to get there? Who will do it?
How will we know we are doing it?
How will we know when we have achieved our aim?
1. To review and develop further our provision for recognizing and rewarding staff excellence in aspiring to the highest professional standards in pedagogy
University Strategic Plan/Learning and teaching
By establishing a review of the academic promotion process to ensure that it recognizes and rewards excellence in pedagogy – to make recommendations to Academic Board by the end of the year
By initiating and implementing a Staff Development program focusing attention on best practices in teaching and learning – to be launched at the start of next academic year
Provost to chair review in conjunction with faculty group appointed by the Academic Affairs Committee
Provost to submit progress report to all meetings of the Academic Affairs Committee until the new process is established
Increase in the number of faculty recognized for scholarly achievement in pedagogy
Year-on-year increase in the number of faculty achieving external peer, national and international recognition for excellence in pedagogy
2. To mobilize the full range of our disciplinary resources to meet the needs of our local
University Strategic Plan /Learning and teaching
By establishing a Community Relations Working Group to conduct an audit of our current level of engagement and to identify the scope and potential for further engagement
Community Relations Working Group
Community Relations Working Group to make regular reports
Year-on-year increase in the number of community partnerships
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Key aim Planning reference Key actions – SMART objectives Lead [O = Other] Follow-up and
progressKey performance
indicator (KPI)community 3. To establish an academic staffing base of the highest quality to realize the university’s vision and mission
University Strategic Plan /Academic development/HR
Establishment forecast: By developing for next year a four-year model
forecast of labor demand in each subject area using quantitative (trend analysis) and qualitative data as a basis for planning
Establishment audit: By creating, by the end of the year, a subject-based
staff inventory with information on: age profiles; level and type of appointment; turnover; disciplinary expertise and skills; national and international indicators of achievement
By developing a new year-round recruitment and selection policy beyond (passive) advertising to attract new talent - a PhD scholars-in-residence program and Visiting Professorship program to be established across all academic departments by the end of the year with appointments to each category made for the next academic year
By initiating, developing and establishing an external mentoring program for all academic staff – 12 mentor-mentee partnerships to be established for the start of the next academic year
Provost, working with the college deans, Director of the Teaching/Learning Center, and the Chair of the Staff Development Working Group
Provost will present progress reports each semester to the Academic Affairs Committee, the Human Resources Committee and Investors in People Working Group (as part of external accreditation)
Progressive annual increase in scholarship outcomes that achieve national and international recognition
Improvement year-on-year in ‘repeat business’: i.e. individuals returning for further learning and external clients and stakeholders placing further contracts
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STRATEGIC PLANNING: Implementing your strategic plan
Ensuring your strategic planning document is fit for purpose 2A new example strategic plan - AFTER
Here we will work through some improvements to the clarity and depth of a single row from the new example departmental strategic plan introduced in the previous portfolio document.
Read through each annotation in order to view our comments on how the original strategic plan can be improved. When you have finished reflecting on the improvements, return to the main course to complete this section.
Key aim Planning reference Key actions – SMART objectives Lead [O = Other] Follow-up and progress Key performance indicator (KPI)
What do we need to do to realize our vision?
How does the aim link to the university’s plan?
How are we going to get there? Who will do it?How will we know we
are doing it?How will we know when we have
achieved our aim?
2. To mobilize the full range of our disciplinary resources to meet the needs of our local community
University Strategic Plan/Learning and teaching
By establishing a Community Relations Working Group to conduct an audit of our current level of engagement and to identify the scope and potential for further engagement
Community Relations Working Group
Community Relations Working Group to make regular reports
Year-on-year increase in the number of community partnerships
73 | P a g e © Epigeum Ltd, 2012 Look again at the key actions and SMART objectives from the original strategic plan.They each offer an initial way forward, but the plan could be ‘smarter’ still.3
a
In the planning reference column, the link to the university strategic plan could be made more explicit.
2a
In terms of who is responsible for each key aim, a relevant locus of responsibility is given in the form of a university committee, but this is not enough detail.
4a
The key aims in this strategic plan are fine – succinct, aspirational and stretching. However, there is room for improvement in the rest of the document.
1a
Original strategic plan
Key aimPlanning reference
Key actions – SMART objectivesLead [O = Other] Follow-up and
progressKey performance indicator (KPI)
What do we need to do to realize our vision?
How does the aim link to the
university’s plan?How are we going to get there?
Who will do it?How will we know we
are doing it?How will we know when we have
achieved our aim?
2. To mobilize the full range of our disciplinary resources to meet the needs of our local community
University Strategic Plan, Strategic Aims 1 and 4;Academic Development Strategy, Aim 3
By establishing a Community Relations Working Group to conduct an audit of our current level of engagement and identifying the scope and potential for further engagement
Each university department to identify three key areas to develop and to have at least one pilot project established with a new community partner using student volunteers within the next 12 months
Provost, Vice-President for External Relations as Chair of Community Relations Working Group
Provost monthly progress report to the External Relations Committee;guidance and support on pilot submissions co-ordinated by Heads of Academic Department Forum
Year-on-year increase in the number and quality of community partnerships
Community stakeholder evaluation recognizes the university as a valued partner across all discipline areas
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Revised strategic plan
Committees don’t do things – individuals do. As such it is important to assign responsibility for leading on the achievement of the objective to a particular individual (having negotiated their permission in advance).
4b
3b
Making the link to the strategic plan more explicit in the planning reference column will help later for monitoring and reporting on the progress of the aims and objectives. It also ensures there is a clear traceable link between the aim, the objective , and the individual responsible.
2b
In the revised version of the strategic plan the objectives are sharpened up, making them even more specific in terms of an expected outcome and time-line.
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STRATEGIC PLANNING: STRATEGIC PLANNING: Implementing your strategic plan
When strategic implementation goes wrongCase study: Thames Valley University (UK)
In 1996 the then-Prime Minister, Tony Blair, endorsed Thames Valley University as a model for other universities to follow; yet two years later it was named and shamed as the UK's first ‘failing’ university. Consider the following case study in failed strategic implementation and find out about the lessons that can be learned from it.
“What is so remarkable about what I have seen today is that this could form the benchmark for what could be done right throughout the country. Why I wonder can’t every University be like TVU?”
Tony Blair, October 10, 1996, opening the Paul Hamlyn Learning Resource Centre, Slough Campus, TVU.
“TVU ‘named and shamed’ as the UK’s ‘first failing university’”G. Alderman (1999) Innocence amid the TVU slaughter. Times Higher Education Supplement, 23 July.
What did TVU set out to do?
A new university formed in 1992, TVU is an amalgamation of four very different institutions: Ealing College of Higher Education, Thames Valley College, Queen Charlotte’s College of Healthcare and the London College of Music. The aim in founding the university was to build on the traditions of its antecedents.
TVU had a distinctive mission at a time when few universities did:
‘To support mass participation in higher education as a contribution to equality and social justice’ ‘To become a student-driven institution, committed primarily to instruction and playing a major part in
the educational, cultural and economic life of the region’.
What the university had going for it
At the time of its founding, TVU had: 28,000 students: two-thirds were part-time, more than half over 21, and just under a half from an ethnic
minority background Colorful alumni: Pete Townsend from The Who, Ronnie Wood from the Rolling Stones and the late
Freddie Mercury from Queen A clutch of honorary professors who were leading figures in the creative industries: David Frost, Jeremy
Isaacs, Michael Grade, Howard Goodall, Jenny Abramsy, Roger McGough A Chancellor: the publisher Paul Hamlyn (Reed International), one of the wealthiest individuals in Britain Award-winning Learning Resource Centers: these had been conceived and designed by leading architect
Richard Rogers.
Challenges faced by the university
TVU faced the same challenge as many other universities: how to do ‘more’ (teach more students) with ‘less’ (fewer resources), while simultaneously maintaining quality in an environment where the pressure to change was unremitting.
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Unlike other universities, however, it also had no significant financial resources or any realizable assets (other than building stock), and was operating within 40% of the space norms recommended by the external funding body.
The Vice-Chancellor’s visionWith all these things in mind, the Vice-Chancellor, Mike Fitzgerald, developed a compelling argument for change:
‘Radical external changes call for radical internal changes’Without change ‘we face the prospect of death by a thousand (funding) cuts’ (Fitzgerald, 1995, pp. 5–13).
His vision was to establish a ‘new learning environment’: an educational setting that was more learner-centered than instructor-centered, characterized by:
A transition from ‘mass time’ into ‘quality time’ for students Relatively new ways of learning: electronic, media- and resource-based A move away from the traditional narrow environment, in which students attend lectures at a set time
and place, complete ‘bolt-on’ style assessments and learn passively under the instructor’s control, and toward an environment that would be more holistic and broader in scope
Opportunities for students to tap a wide range of learning resources (their student peers, library, computing and multiple media facilities, etc.) and organize their learning around assessment that would be central to their programs and in which, above all, they would be active participants in the process under the instructor’s guardianship.
This strategic initiative was no reckless or foolhardy venture but, rather, an imaginative aspiration, ahead of its time (in 1996). Overall, the Vice-Chancellor’s proposition has stood the test of time – but at TVU, it led to disaster.
So what went wrong at TVU?
1. Too much, too quickly The ‘new learning environment’ (NLE) was ‘a very ambitious attempt to restructure the academic organization and culture of the University at its most basic level’ (Quality Assurance Agency for Higher Education (1998) Special review of Thames Valley University. 9 November, Gloucester). Yet it was implemented across all three levels of undergraduate programs in one fell swoop – without any ‘trial-and-error’ planning, piloting or phased development. The NLE was also introduced alongside two other new initiatives equally far-reaching in consequence:
The restructuring and centralization of all the University’s academic-related administration (ARA) into a central registry
The creation of ‘an internal market’ in which ‘Colleges’ (comprising a small management group) commissioned programs and ‘Schools’ (or ‘repositories of staff’) ran them – the idea was to incentivize schools and faculties to develop profitable new income sources.
TVU opted for the ‘big bang’ approach to implementation, and piled one fundamental change on top of another. Too much was attempted in too short a time.
2. The conditions for emergent change were not met‘For its success the NLE needed very careful and comprehensive planning, effective leadership, prior infrastructural development, good communications, fail-safe contingency plans, fully tested information systems, a realistic timetable and goodwill on the part of all staff. We believe that these were all prerequisites, not merely desirable options, the absence or failure of any one of which would be likely to jeopardize seriously a successful outcome’. (QAA, 1998) In reality, the QAA found many of these conditions were not met:
The consultation was inadequate and perceived by staff members as a ‘hollow exercise’
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Industrial relations with the trade unions were ‘very poor’ The university’s IT system was ‘fragile’ with ‘poor’ information flows The timetable was unrealistic and the planning deficient.
3. The failure to predict the full extent of the changes The phenomenon of unintended negative consequences – Tutt’s (1985) Law (N. Tutt (1985) The unintended consequences of integration. Educational and child psychology, Vol. 2, pp. 20-38) – where the secondary effects of change nullify those of the primary – is not an unusual one and it affected TVU.
In practice, the planned ‘internal market’ did not operate as intended. It was perceived as an artificial internal division – one in which the Colleges sought to exercise a supervisory role over Schools which in turn regarded them as supernumerary. Far from incentivizing staff, it had the effect of reducing the status of instructor to that of ‘a hired hand’ (QAA, 1998).
4. The failure to recognize that change imposed from above cannot, and does not, workThe vision and rationale for change may have been a compelling one, but the NLE required a shift in academic values and culture if it was to be successful. This was not forthcoming because of the way in which the staff perceived the change:
The application of the concept of ‘student-driven’ in a coercive way rather than as a guiding aspiration The mismatch between management rhetoric (to be ‘hands-off’) and the reality (very much ‘hands-on’) The belief that this change was vested in a single individual – the charismatic unorthodox Vice-Chancellor,
Mike Fitzgerald (with the spiky peroxide hair, dangling earring, Cuban cigarillos, office jukebox, chauffeur-minder etc.) – who may have had Richard Beckhard’s (1992) model of the ‘executive management for transformational change’ in mind but came across as overtly hierarchical in practice.
Values are only values if they are voluntarily chosen: at TVU, the NLE failed to attract genuine staff commitment. Rather, staff became disaffected and estranged from the institution.
What can we learn from TVU? We ignore textbook approaches to managing change at our peril The rationale for change by itself is not sufficient – the practical prerequisites for change must also be in place We need to anticipate as far as possible the full extent of strategic implementation – expected and otherwise Top-down change cannot and does not work The Art of Conversation is a core process and collegiality is an aspiration to tap Leadership qualities can and should be tapped at all levels When faced with chaos, individuals naturally self-organize (as they did when the ARA unraveled).
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STRATEGIC PLANNING: Implementing your strategic plan
Strategic implementation in your university (1)Your university context
This portfolio document contains templates for both the six stage process helping you to evaluate strategic implementation at your university (outlined on this page of the main course), and a force-field analysis for your department or context.
Estimated duration: 20 minutesStrategic implementation at your university
Reflect carefully on your answers to the questions posed in the following framework. What can they tell you about the way you might go about implementing your plan? Use the table to record your findings.
Identify a strategic change which was successful long after implementation.
Identify a change which was implemented less successfully.
From what you observed, reflect on why the first initiative was implemented successfully, but the second was not.
Try to distinguish the content of the planned change from the method of implementation, and identify the extent to which the success (or lack thereof) was due to each.Think of one strategic change you would like to make in your university and imagine that your proposal has been approved. What is the most important thing you would do in your efforts to implement it, and why? Based on the above reflections, consider any aspects of your institution’s culture, politics, structure or climate that may have an impact on your implementation plan.
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Force-field analysis
Consider your own strategic aims and draw up a force-field analysis list of all the pressures for change and all the resisting forces against change across your area (use the table below as a framework).
Examine each driving and resisting force on your list and assess its strength. Rate each on a scale of 1–5, with 1 being the weakest.
Identify those forces over which you have some influence or control. Again, rate each on a scale of 1–5, with 1 being the weakest and 5 the strongest.
Highlight the forces that are the strongest, and over which you have the most influence.
Analyze the list to determine how to implement your strategic aim. Your analysis will reveal several natural choices for action:
- Increase the strength of driving forces or add new ones
- Decrease the strength of resisting forces, remove them, or seek to alter them so that they become driving forces.
Pressures for change Resistances to change
Description Strength (1=weak; 5= strong)
Influence (1=weak; 5=strong)
Description Strength (1=weak; 5=strong)
Influence (1=weak; 5=strong)
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STRATEGIC PLANNING: Implementing your strategic plan
Strategic implementation in your university (2)Which approach to implementation will you take?
Which of the four approaches to implementation identified at the start of this module of the main course (telling, participating, forcing, transforming) do you plan to take? Based on what you have learned so far, consider:
Why you have chosen a particular approach
Identify any possible challenges to the approach you have chosen
How you might mitigate these challenges.
Make a note of your thoughts in the space provided.
Estimated duration: 20 minutes
Write your notes here:
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STRATEGIC PLANNING: Integrating effective planning
Monitoring your strategic plan 1Making your strategic plan easier to monitor: Example
The table on the following page shows an extract from the example strategic plan for Sarah’s Engineering and Sciences Department.
One key aim has been focused on and improved to make it more effective for the monitoring stage of the strategic planning process, and this document shows both the ‘before’ and ‘after’ versions.
Consider the way in which:
The SMART objectives have been broken down into sub-tasks/stages
The person(s) responsible for implementing the key aim have been clarified and developed
The follow-up process has been developed and clarified by adding dates and details
The KPI has been clarified by establishing current data as a point of comparison.
Estimated duration: 20 minutes
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Key aim Planning reference Key actions – SMART objectives Lead [O = Other] Follow-up and progress Key performance indicator
(KPI)
What do we need to do to realize our vision?
How does the aim link to the
university’s plan?How are we going to get there? Who will do it?
How will we know we are doing it?
How will we know when we have achieved our aim?
BEFORE
1. To review and develop further our provision for recognizing and rewarding staff excellence in aspiring to the highest professional standards in pedagogy
University Strategic Plan, Strategic Aim 3
Learning and Teaching Strategy, Aim 5
By establishing a review of the academic promotion process to ensure that it recognizes and rewards excellence in pedagogy – to make recommendations to Academic Board by the end of the year
By initiating and implementing a Staff Development program focusing attention on best practices in teaching and learning – to be launched at the start of next academic year
Provost to chair review in conjunction with faculty group appointed by the Academic Affairs Committee
Provost to submit progress report to all meetings of the Academic Affairs Committee until the new process is established
Increase in the number of faculty recognized for scholarly achievement in pedagogy
Year-on-year increase in the number of faculty achieving external peer, national and international recognition for excellence in pedagogy
AFTER
1. To review and develop further our provision for recognizing and rewarding staff excellence in aspiring to the highest professional standards in pedagogy
University Strategic Plan, Strategic Aim 3
Learning and Teaching Strategy, Aim 5
By establishing a review of the academic promotion process to ensure that it recognizes and rewards excellence in pedagogy – to make recommendations to Academic Board by the end of the year, to wit: o Evidence-gathering on operation of academic
promotion scheme to date: numbers of applications; promotions; feedback; evaluation
o External evidence-gathering on the variety of different models for academic promotion in peer universities and sector good practice.
o SWOT analysis of current promotion schemeo Identifying new potential models for academic
promotion o Identifying and agreeing a preferred model
and rationale for recommendation to Academic Affairs Committee
Provost to chair review in conjunction with faculty group appointed by the Academic Affairs Committee
Initial meeting agreed to extend membership to include Director of HR and external independent with expertise in this area; Chair to brief them and invite to next meeting
Provost to submit progress report to all meetings of the Academic Affairs Committee until the new process is established
(Oct 4) Two evidence-gathering exercises initiated in tandem at first meeting (Sep 20) – to be presented to at next meeting (Oct 30)
(Dec 10) (Dec 10) Evidence-gathering has been completed and group invited feedback from Academic Affairs Committee
Increase in the number of faculty recognized for scholarly achievement in pedagogy
At the end of the past academic year, there were 6 such faculty members, representing 15 per cent of the teaching faculty.
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STRATEGIC PLANNING: Course summary
Strategic planning: Course summaryHaving worked through the ‘Strategic planning’ course, keep these ten guiding principles to hand for reference as you carry out your leadership and management role.
Do remember universities are facing changes unprecedented in their history.Don’t forget it’s better to have a plan in some shape or form, than to have no plan at all.
Do recognize that the ‘art of conversation’ is a core process in planning and implementing your strategy.Don’t forget to listen, listen, listen.
Do focus on why you do what you do, how you are distinctive, and where you want to go.Don’t get knocked off course by focusing purely on the problems of the here and now, by raking over past mistakes, or by allowing yourself to feel resigned to your fate.
Do remember to focus on outcomes, outcomes, outcomes.Don’t get unduly tied up in processes.
Do unto others as you would have done unto you.Don’t say “It’s not down to me”.
Do experiment with the World Café, Open Space meeting, and other techniques.Don’t be afraid of trying something different – the results may well surprise you.
Do be prepared to compromise on your mental model of the department. Don’t shy away from questioning ‘sacred cows’.
Do ask a critical friend beyond your university to review your plan.Don’t over-analyze the first time around, when drawing up your indicative plan.
Do think about groups as well as individuals.Don’t forget others beyond your department.
Do keep your planning documents succinct and up to date.Don’t get bogged down in the detail of your plan or write your plan by committee.
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MANAGING PEOPLE
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MANAGING PEOPLE: The HR challenge for HE managers
The university as a working environment 2Your job role
Re-examine your job role (or description) and identify what is formally expected of you in your role. Make a list of any questions this raises and clarify anything with the individual to whom you report.
Role clarity is indeed an ongoing process – the basis of having a productive working relationship with your line manager – and you should seek to practice re-examination on a regular basis.
If you do not have a job role (or description) you should seek to draw one up in collaboration with the individual you report to. Aim to agree on five to six key responsibilities, while avoiding a prescriptive shopping-list of tasks.
Estimated duration: 30 minutes
Make a list of questions regarding your job role here:
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MANAGING PEOPLE: The HR challenge for HE managers
The HR challenge for HE managers: Module reviewChanging your behavior: your intentions
In the activity in this section of the main course, you are asked to create an email to yourself stating what changes to your management behavior you intend to make.
Paste your email into the space below as a portfolio document, so that you can return to it in three months’ time and consider:
What has changed
What commitments you have kept
Estimated duration: 45 minutes
Paste your ‘email’ here:
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MANAGING PEOPLE: Motivating staff
Enhancing departmental motivationMotivational strengths and weaknesses
Based on what you have seen in this module so far, make a list of what you think are the five strongest and five weakest elements of your department's motivational culture.
Talk this list through with at least three colleagues and modify it according to what you find. Then come up with a plan to address each of the weaknesses.
You may find it helpful to use the following table to record your findings.
Estimated duration: 30 minutes
Strengths WeaknessesDescription Action plan
1
2
3
4
5
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MANAGING PEOPLE: Motivating staff
Putting motivational theory into practiceMaximizing satisfiers and minimizing dis-satisfiers in your
department
In this section of the main course, you are given an opportunity to generate recommendations for a ‘personal action plan’ to maximize globalization satisfiers and minimize dis-satisfiers in your department.
Paste your action plans into the spaces below. You should reflect on the advice given and try to develop each suggestion into a specific practical proposal which you can implement.
Estimated duration: 45 minutes
Your personal action plan to maximize satisfiers in your department:
Your personal action plan to minimize dis-satisfiers in your department:
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MANAGING PEOPLE: Recruiting and orienting staff
Job descriptions and person specifications (1)Job descriptions and person specifications in your institution
Find a job vacancy that is currently being advertised in your own institution.
Evaluate the description/specification according to the principles outlined in this section of the main course.
Make a list of what you would change, and why.
Estimated duration: 20 minutes
Make a note of your thoughts here:
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MANAGING PEOPLE: Recruiting and orienting staff
Job descriptions and person specifications (2)Example job descriptions and person specifications
In this portfolio document you will find the examples of the competency-based job description and person specification from this section of the main course. You can modify and adapt them to your own purposes.
Job description for an Associate Dean of College (Academic)Job title Associate Dean of College (Academic)Job purpose To contribute to the progression and execution of a strategy for the work of the
College, provide academic leadership and take the lead in program development and management including ensuring quality standards are reviewed and enhanced. To take line management responsibility for department chairs and to work through department chairs to ensure the effective deployment of college resources. To contribute to the general academic progress of the institution. To represent the College and the institution to the wider community.
Reports to: Dean of CollegeCampus base: City campusKey responsibilities: Lead curriculum development and innovation in instruction, in line with the
university’s instructional strategy. Manage the course development and review process. Monitor and evaluate the quality of the student experience and take action to
ensure the retention and progression of the College’s students. In response to proposals from department chairs, be responsible for the general
operational management, organization and discipline of teaching staff within the College.
Resolve disputes over workloads between department chairs and teaching faculty. Working with department chairs, co-ordinate staff development and scholarly
activity. Contribute to the development and implementation of a strategic plan for the
work of the College. Participate in the College’s Executive Committee and take particular responsibility
for the quality of the student learning experience and the professional development of the College’s academic staff.
Assume operational responsibility for the promotion and marketing of student recruitment activity of the College in liaison with the Marketing and Admissions Department and Executive Office.
Act as a role model for continuous professional development and as a champion of equal opportunity and diversity.
Maintain knowledge of educational developments relevant to the work of the College.
Participate actively in regional, national and international forums relevant to the work of the College.
Develop further the University’s national and international profile.Terms and conditions Job title: Associate Dean of College
Length of office: Annual appointmentsAppointment: Full-timeDate of appointment: Start of academic year
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Person specification for an Associate Dean of College (Academic)
Criteria Priority(1, 2, 3) Method of Assessment
1. QualificationsDegree in an appropriate discipline 1 Application formHigher degree/relevant professional qualification 2 Application formAcademic standing equivalent to that required for the conferment of the rank of Professor
3 Application form
2. Skills/KnowledgeDetailed knowledge of quality assurance procedures in HE and capacity to maintain and develop procedures to enhance the quality of the student experience
1 Interview; peer review meeting
Knowledge of developments in instruction in the relevant subject area 1 Interview; peer review meeting
Knowledge of developments in HE 1 Interview; peer review meeting
Ability to communicate effectively in a wide range of contexts and to represent the University at a senior level
1 Presentation
An understanding of good practice in academic research and of the frameworks relevant to research
2 Interview; peer review meeting
Ability to provide strategic and operational direction to subject leaders and to lead curriculum development and innovation in instruction
1 Interview; peer review meeting
Capacity to set and operate budgets and monitor the achievement of budgetary targets
1 Interview; presentation
Capacity to drive and focus strategic vision 1 Interview; presentationProficiency in the application of IT systems capable of exploiting the potential of IT with respect to instruction
2 Interview; application form
3. ExperienceSignificant involvement within the sector in current issues and future development
1 Application form
A record of demonstrable success in the leadership and management of teams of academic managers
1 Application form; interview
A record of achievement in the leadership of instructional innovation in HE
1 Application form; interview
4. Personal qualitiesInventive 1 Letter of applicationConfident and resilient 1 Presentation, InterviewCommitted to the support and development of staff 1 Interview; peer review
meetingEfficient and well-organized 1 Letter of application;
presentationAmbitious, demanding of high standards and objective-oriented 1 Interview; presentation
1. Essential criteria2. Desirable criteria3. May be used to select one candidate over another if priorities 1 and 2 do not decide the matter
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MANAGING PEOPLE: Recruiting and orienting staff
The selection process Your institution’s recruitment policies; your interview
experiences
The following two activities will help to focus your attention on recruitment and selection in your own context.
Estimated duration: 30 minutes
Part 1
Find out what your institution's standard policy, procedures and documentation are in relation to recruitment. Is there a particular style to be followed? Contact your HR department.
Make some notes on your findings in the space provided, to serve as a reminder/checklist for when you are planning to recruit new staff.
Make a note of your institution’s standard recruitment policy, procedures and documentation here:
Part 2
Reflect on your own experience as a selection committee member.
To what extent have you or your fellow committee members made any of the errors outlined in this section of the main course? What were the practical implications?
Note down the three errors you feel you are most frequently prone to.
Interview errors I should avoid:
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MANAGING PEOPLE: Optimizing high performance
Principles and challengesYour performance management skills
Reflect on the effectiveness of your performance management skills.
Do your staff feel valued, both personally and professionally?
Do they understand the goals/standards you hope they will achieve/maintain?
Are they satisfied with the training and development provided?
Make some notes on your thoughts below.
Having considered your answers, you could ask some of your colleagues to think about the same questions. Compare their responses with your own, and reflect on where and how you can improve as a manager.
Don't forget to think about the three key guiding principles outlined at the beginning of this section of the main course: i.e., applying initiatives fairly, applying initiatives to bring about improvement and keeping comprehensive records.
Estimated duration: 45 minutes
Make a note of your thoughts here:
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MANAGING PEOPLE: Optimizing high performance
Establishing and reviewing performance standards 2Assessing teaching quality
This portfolio document provides some key details about the use of teaching portfolios in assessing teaching quality.
Use the information here and the additional resources suggested to help you to develop a review of teaching effectiveness in your own department.
One limitation on managing performance within higher education institutions has been the restricted ability of department heads and line managers to evaluate the effectiveness of teaching, mainly due to the lack of tangible measures by which to assess teaching quality (in contrast with research).
However, in the last decade, teaching portfolios have been introduced as a means of:
Helping to enhance staff and student learning Recording the teaching quality of each faculty member and enabling celebration of achievement and
excellence.
Teaching portfolios examine a wide range of criteria, including:
The preparation of learning outcomes, content and materials Experimentation of new learning technologies and pedagogy Communication with students.
In addition to line managers assessing the quality of teaching within their team or department, it is also important to encourage individual faculty members to evaluate their own performance.
Have a look at McCaffery (2010, p. 179), HERDSA (1992) Challenging conceptions of teaching: Some prompts for good practice and the other resources listed in the ‘Resource bank’ for further information and ideas for developing teaching portfolios and self-evaluation questions for your team or department.
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MANAGING PEOPLE: Developing staff
Establishing a learning climate in your departmentCoaching and delegation
This portfolio document outlines some tips and further reading on coaching and delegation in your department.
Tips for effective delegation
Before you start: You will still retain overall responsibility for any duties that you delegate to colleagues. You should think about appropriate checks and balances that will enable you to keep delegated tasks
under control. Plan delegation in advance – allow time for instruction/training and for your colleague(s) to actually carry
out the work.
What should you delegate? Exercise caution around tasks involving private financial or personal information. Think about the rest of your duties and consider which ones you need to retain, and why. Tasks that need to be done regularly can be a good starting point: staff can build confidence in their
abilities.
Who should you delegate to? Decide whether the task should be delegated to an individual or to a team. Delegate tasks/responsibility to staff who are capable and willing: but remember that delegation is partly
a learning exercise and you should therefore encourage and develop colleagues who are not yet quite ready to take on delegated work.
Be fair: give all your colleagues the opportunity to take on extra responsibility.
How to delegate: Delegated tasks should be SMART:
Clearly articulated Understood by, and agreed with, colleagues Have distinct, measurable targets You should also document delegated tasks and agreed outcomes.
Provide training if needed, and ensure that staff have the necessary resources. Make sure that you continue to support staff to whom you have delegated, and give them feedback on
their performance. Try not to ‘over-supervise’ delegates. There is a fine balance between supervision and interference!
For further information and advice on delegation, have a look at Boutall (1997), McCaffery (2010), and Luecke and McIntosh (2009).
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Tips for effective delegation
Things to note The overall aim of coaching is for the coachee to develop the skills and experience to allow them to deal
with situations and make decisions for themselves. Even if an opportunity for coaching arises at the last minute, you should prepare the activity thoroughly
and ensure that the staff member agrees to it.
Preparing for coaching As ever, the aims of the coaching should be SMART. In particular, they should be attainable and
quantifiable. Although you will probably have your own motives for a particular coaching opportunity (for example,
improving a colleague’s ability to manage their time), you should agree the aim of the coaching with the member of staff, and preferably allow them to suggest the aim themselves.
Ensure that the member of staff has all the resources they need to carry out their task.
Coaching behavior Do try not to restrict or direct the coachee’s thoughts/behavior. Ask open questions and listen to them to
show that their contribution is valued. Try to encourage colleagues to work out the answers to difficulties they encounter, rather than simply
giving them explanations or instructions.
Feedback Keep an eye on the coachee’s progress so that you can regulate the task they have been set and provide
feedback at the end/beginning of each coaching session. Ask what the coachee has done and how they did it. Encourage them to think about other ways in which
they might have carried out the task. Discuss the merits and failings of the coachee’s ideas and actions in a positive and constructive manner.
For further advice and information about coaching, see McCaffery (2010), Armstrong (2009), Cook (1999) and Carnell et al (2006).
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MANAGING PEOPLE: Developing staff
Supporting diversity in your departmentDiversity in your institution
How well do you think diversity is supported at your institution: is it restricted to following the letter of the law, or has it become more deeply embedded in the institution's culture?
Consult a professionally-produced diagnostic questionnaire to help you with investigating diversity at your institution. We would recommend consulting Managing Diversity by Pearn Kandola (1998, 2006) as a starting point. A sample chapter is available at: www.cipd.co.uk/NR/rdonlyres/B4DB212A-E855-4844-9BCD-6DDAD4B0B37D/0/9781843981305sc.pdf which contains a list of diagnostic question on pages 15 – 21 to help you gather your thoughts.
Make a note below of the questions you wish to ask of your institution, and/or your answers/findings.
Estimated duration: 30 minutes
Write your notes here:
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MANAGING PEOPLE: Course summary
Managing people: Course summaryThe following is a summary of the ‘Managing people’ course. Use this summary as a regular point of reference to guide you in your leadership and management role.
Having completed this course, you should now recognize that:
You – in your role – are the most important factor in your colleagues’ effectiveness You can make a substantial difference in motivating and developing your colleagues Enhancing your colleagues’ effectiveness will improve your departmental performance You will be a more effective manager if you understand your institution and its external environment, in addition to
your own department You also need to be aware of yourself: your abilities, behavior and effect on those around you.
Performance managementPerformance management is an often misunderstood concept in higher education. Yet the aim is to help your colleagues connect their individual objectives with the strategy and mission of their institution. Performance management should not be written off as a commercial concept unsuitable for the academic environment.
MotivationMotivation is highly individual and complex but the theory explored in this course can be applied in your department to help to improve the motivational climate.
Difficult situationsIn cases of underperformance, complaints, discipline and grievances, it is important to react swiftly and decisively, to investigate the true cause and to treat all parties equally. Remember that these situations present an opportunity to improve your department.
Downsizing is another unwelcome process increasingly faced by higher education managers. Strong leadership is essential to ensure that you properly support departing and remaining colleagues.
RecruitmentThe process of enlisting new staff for your department may be problematic: you should take care not to fall foul of the common errors made when advertising for and selecting candidates.
Staff developmentStaff development is a continuous process, embracing learning in all its forms, in ways which enhance the ability of individuals, teams and the institution to deliver the university’s mission and strategic plan. Remember that teams require a different style of leadership than individuals and groups.
Equality and diversityDiversity policies seek to “create a productive environment in which everybody feels valued, where talents are fully utilized and in which organizational goals are met” (Kandola and Fullerton, 1998).
Equality policies have a different emphasis: they seek to eliminate discrimination against individuals or groups on the basis of their age, sex, race, religion etc.
Finally...Lead by example – show your commitment to your own learning; be open about your concerns; seek to be consistent in your actions and be sincere in recognizing people’s differences.
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MANAGING RESOURCES
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MANAGING RESOURCES: Responsibilities and roles of a department head
Introduction to responsibilitiesSeeking consultation
In order to develop an awareness of your responsibilities, it is important to first know yourself. What are the competencies that you bring to your responsibilities as a department head?
In the table below, use the first column to develop an inventory of your skills and competencies that support you as an effective department head.
Limit the inventory to no more than eight items. Those items need to be listed in rank order.
Share copies of the table with three trusted colleagues and invite each of them to use the middle column to provide their inventory of your skills and competencies based on their observations of your work.
Once they return the feedback to you, revisit your original inventory and modify it as you see fit based on the feedback from your colleagues.
Estimated duration: 20 minutes
Your skills and competencies Your colleagues’ inventories of your skills and competencies
Revised inventory of skills and competencies based on
colleagues’ feedback1. 1. 1.
2. 2. 2.
3. 3. 3.
4. 4. 4.
5. 5. 5.
6. 6. 6.
7. 7. 7.
8. 8. 8.
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MANAGING RESOURCES: Responsibilities and roles of a department head
Assessing departmental programs and services (1)Your department: Challenges and opportunities
Take a few minutes to develop a list of the challenges and opportunities afforded to your department. Once the list is developed, add a brief note for each identifying the resources that you have available to address them.
Estimated duration: 10 minutes
Challenges Resources available
Opportunities Resources available
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MANAGING RESOURCES: Responsibilities and roles of a department head
Assessing departmental programs and services (2)Developing a comprehensive approach to departmental
assessment
The following portfolio document provides some helpful advice on how to frame an effective assessment plan for your department.
Here are some suggestions to help guide the development of a comprehensive approach to departmental assessment:
Step OneDetermine the strategic goals of the program by answering the question: “What are you trying to achieve through implementation of the program?”
Step TwoIdentify the target audience for the program e.g. freshman students, all majors, graduating seniors, etc. Answer the question: “Why is this an appropriate target audience?”
Step ThreeDevelop and implement a program which contributes to reaching the goal outlined in Step One. Take care to ensure that each element of the program advances goal attainment. Answer the question: “Why is this element needed, and what does it contribute to the desired outcome (goal) for the program?”
Step FourArticulate what the results of the program should be with regard to satisfaction, efficiency, and learning if it is successful. Answer the question: “What will success look like for this program?”
Step FiveDevelop and implement a plan to measure the extent to which the program achieves its goals. The plan should include identification of one or more instruments (e.g. surveys, observations, tests, etc.), the details related to collecting the data through the selected instruments, and rubrics for evaluation of the data (i.e. how you will distinguish between excellent, fair, and poor results). Ask the question: “Are we actually and accurately measuring progress toward what we set out to accomplish?”
Step SixEvaluate the data collected through the assessment effort. Answer the question “To what extent were the goals outlined in Step One achieved?”
Step SevenDetermine the ‘real’ cost for implementation of the program through determination of costs related to investment of time by staff and faculty members, value of time for program participants, publicity (if needed), materials, development of audio-visual aids , computer support etc. Answer the question: “Were the results of our efforts worth the cost of our investment?”
Step EightShare the results of the assessment, evaluation, and the cost analysis with appropriate constituents. Ask the question: “How do our key partners and service constituents feel about our evidence and evaluation?”
Step Nine: Make a determination with regard to whether the ‘real costs’ of the program are worth the investment of resources. Answer the question: “Is the goal of the program central to the mission of our department and does it further the strategic plan of the department?” The answer to that question will determine the future support of the program.
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MANAGING RESOURCES: Responsibilities and roles of a department head
Building and sustaining relationshipsThe relationships important to your department
Having reviewed a model demonstrating important departmental relationships in this section of the main course, you are here invited to describe relationships important to your department.
Using the table below:
Create a list of the nine most important departments at your institution with which your department has an ongoing relationship
Briefly describe the nature of that relationship.
Estimated duration: 10 minutes
Department Nature of relationship1.
2.
3.
4.
5.
6.
7.
8.
9.
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MANAGING RESOURCES: Resource management: governance, mission, strategic plan
MissionYour departmental and institutional mission statements
Paste a copy of the mission statements for both your institution and your department into the space provided below, then undertake the following two activities.
Estimated duration: 30 minutes
Review the congruence between the two statements, particularly noting the degree of alignment between major elements in both. Record your observations.
Next, review your department's utilization of fiscal resources. Assess the degree to which that utilization reflects and advances both your institutional and departmental missions, particularly the areas of congruence between them that you identified earlier. Record your observations below.
Paste your institutional and departmental mission statements below for comparison:
Compare the two statements and make a note of your thoughts here:
To what extent does utilization of resources reflect/advance both missions? Make a note of your thoughts:
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MANAGING RESOURCES: Resource management: governance, mission, strategic plan
Strategic plan (1)The effect of your institutional strategic plan on your unit
Take a moment to review Montana State University's ‘Five Year Vision’ plan which is available at www.montana.edu/vision/prioryears/fy08/VisionDocfy08-fy13.pdf.
The introduction to the report describes the goals for implementing the strategic plan. Pursuing such goals, however, has fiscal implications. In its follow-up report (available at www.montana.edu/vision/prioryears/fy08/visionprogrprt_fy13.pdf), Montana State University outlines the progress made toward its goals and the steps taken to fund that work either through new resource development or the reallocation of resources.
Having reviewed Montana’s plan, seek out and review the strategic plan for your institution. Identify and record three implications of that plan for your unit. Make a note of your thoughts below.
Estimated duration: 30 minutes
Write your thoughts here:
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MANAGING RESOURCES: Resource management: governance, mission, strategic plan
Strategic plan (2)Audit: Your strategic plan
Creating a strategic plan will be a core task for you as department manager. You may have already created such a plan or inherited one from your predecessor.
Spend one hour comparing your departmental and institutional strategic plans, focusing on how closely they are aligned.
If you do not have a unit strategic plan, then first spend a few minutes noting down your thoughts on what the headline items should be.
Alternatively, look at the 'Strategic planning' course in this program which will provide you with a wealth of information and guidance about strategic planning for your department.
Estimated duration: 60 minutes
Make a note of your thoughts here:
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MANAGING RESOURCES: Understanding departmental finances
Public and private institutionsYour institutional and departmental budgets
The following two activities will help you to reflect specifically on the budgets for your department and institution.
Estimated duration: 40 minutes
Part 1: Budgets for your department
Obtain a copy of your current departmental budget and determine the sources of revenue for your department, then complete the following table. You can refer to this information in future.
Sources of funds Amount Percentage of total income
Restrictions on the use of the funds (if any)
Part 2: Budgets for your institution
Obtain and review a copy of the budgets for your institution. Identify the sources of revenue, taking note of their relative importance.
Consider how the sources of revenue and their relative importance might differ at a different type of institution.
Make a note of your thoughts here:
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MANAGING RESOURCES: Understanding departmental finances
ExpensesSavings in your department
Review the expense categories in the budget for your unit. Identify five seemingly small areas of expense where important savings might be realized through careful scrutiny or minor cuts.
Estimated duration: 20 minutes
Areas of expense with potential for savings Potential cuts to be made
1.
2.
3.
4.
5.
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MANAGING RESOURCES: Understanding departmental finances
Understanding departmental expenses: Module reviewRevenue and expenditure at your institution
It is likely that your institution publishes its financial statements on its website.
Download the budget spreadsheet outlining both income and expenses for your institution. Compare that budget sheet to the budget for your department.
Are there categories of expenses that you expected to see in your budget that are not there?
Are there sources of revenue that you expected to see in your departmental budget that are absent?
Make a list of those items and discuss why they are not present with a representative of your financial office.
Estimated duration: 20 minutes
Write your notes here:
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MANAGING RESOURCES: Managing departmental budgets
Models of budgetingThe budget model at your institution
Refer to the copy of your institution's budget which you were asked to download and study in the earlier ‘Public and private institutions’ portfolio document.
Using it to inform your analysis, identify and record the budget model employed at your institution.
Reflecting on your experiences in the development and management of budgets at your institution, record your view of whether it uses a centralized or decentralized process.
Estimated duration: 10 minutes
Write your notes here:
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MANAGING RESOURCES: Managing departmental budgets
Budget developmentExamples of institutional guidelines
The budgetary guidelines for many universities are available on their websites. Perform a Google search for the following search term: 'budgetary guidelines site:.edu'.
Choose three universities and review their budgetary guidelines. What are the similarities and differences between the three sets of planning documents? What do you believe may account for these similarities and differences?
Estimated duration: 30 minutes
Write your notes here:
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MANAGING RESOURCES: Managing departmental budgets
Reading budget documentsYour institution’s budget document
Refer to the budget documents for your institution, which you were asked to download and study earlier in an earlier portfolio document .
What similarities are there with the two budget documents analyzed in this section of the main course?
What do you believe might explain the differences between the budget documents for your institution and those for the two examples shared in this section?
In what ways is the budget document for your institution helpful to you in your role as a department head?
What questions do you have for your budget assistant or your supervisor as a result of reviewing the budget document for your institution?
Estimated duration: 20 minutes
Write your notes here:
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MANAGING RESOURCES: Managing departmental budgets
Managing departmental budgets: Module review (1)The budget development guidelines for your university
Download or otherwise obtain an electronic copy of the budget development guidelines for your institution for the past three fiscal years.
Note any areas of consistency or change.
Estimated duration: 20 minutes
Make a note of your findings here:
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MANAGING RESOURCES: Managing departmental budgets
Managing departmental budgets: Module review (2)Assessing the financial strength of institutions
The financial strengths of institutions are assessed for a variety of reasons, including – among others – accreditation reports, bond ratings, and legislative reports.
The following points and questions to consider are illustrative of the measures used to determine institutional financial strength. Make some notes on your answers to the questions below.
Estimated duration: 20 minutes
Surplus or deficit as a percentage of income
A simple but fundamental measure of your institution’s ability to pay its way, year on year. Is it covering operating costs with operating income? If so, by how much?
Discretionary reserves (or institutional equity) as percentage of income
A long-term indicator of institutional health. What would be left if your institution’s assets were realized and all debts settled?
External borrowing as a percentage of income (also known as ‘gearing’)
A measure of the burden of institutional debt. Is your institution’s total long-term borrowing as a percentage of income consistent with the sector norm?
Ratio of current assets falling due in one year
A short-term test of financial strength. The ratio of what you are owed by others to what you owe to others (more than 1 or less than 1). How does your HEI compare with the sector norm?
Liquidity (cash plus investments less overdrafts) against expenditure
The hard test of short-term survival. What cash can your HEI lay its hands on quickly, either by access to cash reserves or arrangements for overdraft facilities on demand? How safe are your institution’s bank deposits? Are the number of ‘survival days’ for your HEI consistent with the sector norm?
Make a note of your thoughts here:
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MANAGING RESOURCES: The art and ethics of resource management
Practical tips for department managersAccountability strategies
Search your university website for strategies it employs to demonstrate accountability. Download examples of what you discover.
For each example, identify the constituencies and expectations addressed. You may wish to use the table below to record your results.
Estimated duration: 30 minutes
Strategy Constituencies and expectations
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MANAGING RESOURCES: Course summary
Managing resources: Course summaryThe following summary will act as a useful point of reference for all of the topics and issues explored throughout the ‘Managing resources’ course.
The ‘Managing resources’ course focuses on the role and responsibilities of a department head in managing the fiscal, facilities and human resources made available to their department. To do so effectively, the department head must:
Recognize and manage the expectations of department members for financial support dedicated to their priorities
Respect the history of the department but not be bound by it Develop creative solutions to budget constraints and management issues and involve members of the
department in identifying and implementing those solutions Understand the implications of the mission, the governance structure and the decision-making structures
of the institution for the department Understand the implications of both the institutional and departmental strategic plan on the aspirations
and daily work of the department members.
Public and private institutionsThe public or private nature of the institution will also make a great difference for the work of a department head. State-supported (public) institutions are directly linked to governmental entities for both funding and policy matters. Private institutions may get some state funding but rely on fundraising and tuition to cover the cost of operations.
The public or private nature of the institution will influence how resources are allocated within the institution and what the priorities or the strategic plan of the institution emphasizes. The public or private status of the institution will shape the focus of fiscal decisions. For example, in public institutions the emphasis is on the number of positions approved and funded. In private institutions the emphasis is often focused on whether or not the department meets budget goals.
Decision makingDecision making at both public and private institutions can be centralized or highly decentralized. Centralized decision-making structures keep the focus on the priorities of the institution and decentralized decision-making structures keep the focus on actual program implementation. In reality, most institutions in the United States adopt a hybrid approach to decision making in fiscal matters, limiting the amount of money that can be spent without prior approval from administrative superiors.
Mission statement and strategic planThe mission statement of the institution is relatively stable over time and helps members of the institution focus on what their role is within the institution. Strategic plans provide a broad multi-year perspective on the institution and help all members to understand the direction and aspirations of the college or university. Understanding the mission statement and the strategic plan are essential first steps for department head success.
Budget elementsThe basic elements of a budget are revenue and expenses. It is important to understand, however, that there may be limitations on the use of revenues coming into the department (limitations of grants, donor intent, legal restrictions). Not all sources of revenue to an institution will necessarily be part of any departmental budget.
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Again, public and private institutions differ on the importance of revenue sources to the institution. Public and private institutions both rely on student tuition as a primary source of revenue. However, the second source of support for public institutions is governmental support, while for private institutions it is income from endowments. Those differences in support make a difference.
Expense categories at private and public institutions are very similar and department heads at both types of institution should pay attention to how money is spent. While it is not glamorous, attention to small expenses can make a big difference.
AssessmentDepartment heads must be concerned about whether or not their departments are successfully doing what they say they will do. Assessment of outcomes does not have to be complicated but it should be focused. The three main elements of a successful approach to assessment are:
Satisfaction: Are people pleased? Efficiency: How much of the proposed activity is being accomplished? How much of the population is
being served? Learning: Is the program making a positive difference on the learning and development of participants?
BudgetingBudgets have five purposes:
Allocating resources Putting business strategy into place Communicating Assigning control Providing incentives.
Types of budgetsThere are four budget types:
Capital – construction and large purchases Operating – the most common budget type for department heads Ancillary/auxiliary – if the department must ‘stand on its own’ to raise enough revenue to pay expenses
and cover capital expenses Special fund – dedicated to a specific purpose.
Reading budget reportsUnderstanding budget reports is a key skill for department heads. Take time to:
Learn the terminology at your institution Understand the budget report form and what it tells you Understand what each column means Recognize the ‘red flags’ in a budget report.
Budgeting and fiscal management require attention to detail and consistency in examining and questioning what is happening in your own department. If you are skilled in managing the resources at your disposal, you will be a much more effective department head.
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