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Sensemaking of an identity change: a case study in higher education investigating the role of the academic vice president in facilitating change
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Sensemaking of an identity change: a case study in higher education investigating the role of the academic vice president in facilitating change
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Content
SENSEMAKING OF AN IDENTITY CHANGE: A CASE STUDY IN HIGHER
EDUCATION INVESTIGATING THE ROLE OF THE ACADEMIC VICE
PRESIDENT IN FACILITATING CHANGE
by
Marie Therese Panec
A Dissertation Presented to the
FACULTY OF THE ROSSIER SCHOOL OF EDUCATION
UNIVERSITY OF SOUTHERN CALIFORNIA
In Partial Fulfillment of the
Requirements for the Degree
DOCTOR OF EDUCATION
August 2007
Copyright 2007 Marie Therese Panec
ii
DEDICATION
This dissertation is dedicated to:
My parents Don and Sherry who have constantly supported me throughout my life in
all that I undertook and sought to accomplish. They have been there cheering
me on and I would never have achieved nearly as much without their
unwavering belief in me.
My family Alan, Michelle, and Alicia who have endured far more than a husband
and children should as I stacked the proverbial plate ever higher with
commitments that demanded my attentions elsewhere. They have patiently
suffered through cold meals, an empty refrigerator, dirty clothes, and the
ever-constant refrain of “just give me two more minutes” as I tried to balance
a plate that was far too full.
.
iii
ACKNOWLEDGEMENTS
I am indebted to the following people without whom this dissertation would never
have been accomplished:
The academic vice president at JPU without whom I would not have a story to tell,
and who generously and graciously shared his time with me. In listening to
his reflections on the process, I developed a great respect and admiration for
him for the integrity and commitment with which he has sought to lead a
difficult process.
The faculty and staff at JPU who shared their stories with honesty and candor. Their
love for and dedication to JPU came through in the story of each. It was their
honest reflection on their institution and on the changes that are occurring
that guided me to an understanding of the significance and impact of the
changes they were experiencing. I enjoyed meeting each one, and hope that
this product approaches the same high standard that they demand of
themselves.
My cohort group at USC who provided me with support and encouragement
throughout this project.
Drs. Alicia Dowd and Michael Diamond who served as committee members,
offering suggestions and constructive criticisms that improved the quality of
my effort and the final result.
Dr. Felicia Hunt who cheered, cajoled, and was a constant source of encouragement
throughout the process.
iv
Dean Karen Symms Gallagher who provided the opportunity for this project,
opening up to this quantitative investigator a whole new world of qualitative
research, demonstrating the validity and value of such research. Given her
overwhelming administrative commitments, I am grateful for her willingness
to accept graduate students.
My brother Michael who generously provided the technical wizardry with which I
could write and rewrite this document.
v
TABLE OF CONTENTS
Dedication ii
Acknowledgements iii
List of Tables vii
Abstract viii
Chapter I Introduction 1
Statement of the Problem 1
Purpose of the Study 3
Background of the Problem 5
Significance of the Study 8
Research Questions 10
Methodology 11
Limitations 12
Organization of the Dissertation 13
Chapter II Literature Review 15
Historical Evolution of the Academic Vice Presidency 16
Contemporary Roles and Duties of the Academic Vice President 19
Leadership 23
Management 30
Sensemaking 36
Organization and Governance 52
Chapter III Methodology 56
Research Questions 61
Research Site and Population 62
Research Design 64
Instrumentation and Creation of Written Records 68
Analysis 70
Ethical Issues 72
Chapter IV Results 75
The Story 75
Interpretation of the Story 79
Structural Changes 81
Reorganization of Academic Affairs 81
Changing role of deans 84
vi
Formalization of policies and changes in practice 85
Role of faculty 87
College governance and administrative authority 89
Cultural Changes 91
Relationships 92
Communication 95
Mission 100
Identity 101
Activities Associated with Implementation of Change 104
Analysis of Sensemaking Associated with Implementation of
Change 115
Chapter V Discussion 125
Finding One 129
Finding Two 131
Finding Three 133
Finding Four 135
Finding Five 137
Finding Six 138
Conclusion 142
Bibliography 146
Appendix A Guiding Questions for Interviews 153
vii
LIST OF TABLES
Table 3.1 Summary of research design 69
Table 4.1 Sensemaking cues and frames 118
Table 5.1 Summary of major findings in the case study of JPU 130
viii
ABSTRACT
Despite the importance of the academic vice presidency in institutions of
higher education, little research has focused on the nature of their work. This
dissertation is case study which describes and examines the role of the academic vice
president in facilitating a change process. It fills a void in the literature by providing
an alternative, qualitative understanding of the academic vice presidency. The thick,
rich description of the case presents an in-depth perspective of the work of the
academic vice president.
The study addresses the questions of how the academic vice president effects
implementation and how she assists the institution in making sense of the change.
Analysis of the data gave rise to nine thematic categories that fell into one of two
major groups, structural changes and cultural changes. Structural changes affect the
culture of the institution and call into question institutional identity. The academic
vice president uses a variety of strategies to manage the meaning of institutional
identity and the paradox of identity change and identity constancy.
The major findings of the study suggest that: institutional culture is an
important consideration in the change process, communication is essential to provide
language with which to make sense of changes, changes are interpreted based on past
history and institutional values, aspects of a change are viewed symbolically as well
as at face value, institutional mission is a powerful frame of reference for
interpreting change, and personal relationships are critical in the change process.
1
CHAPTER I
Introduction
[The AVP’s] biggest strength is that he cares to know what is going on….I
sometimes feel he doesn’t know how much power he has, because academic
vice president is the most important vp position compared to the others,
because it handles all the faculty that are the core of an institution, the
students, the faculty. (Faculty/staff interview)
Statement of the Problem
The Academic Vice Presidency is a vital position in modern universities and
colleges. The academic vice president is the senior level administrator responsible
for academic functions and operations. She represents the academic agenda and
faculty interests within the administration. She is responsible for the principal
mission of the institution, the education of students, which is significantly influenced
by the internal operations of the college. She serves as a bridge between faculty and
administration and must skillfully negotiate relationships with a variety of
constituencies across the campus. She must execute the directives of her president
with often-times recalcitrant faculty, and she must reflect faculty wishes that emerge
through the shared governance system of higher education. She must be comfortable
working with individuals at all levels of the organization from the board of trustees
to the newly hired faculty member to the student worker on the janitorial staff. As
the number two in command on most campuses, she must be ready to assume the
responsibilities of the presidency in the president’s absence. It is a job fraught with
ambiguity and requires a diversity of skills for the diverse roles and tasks that must
be performed (Martin & Samels, 1997; Ferren & Stanton, 2004).
2
Despite the significance of this position in the modern university, there is a
paucity of information, and even less research, on the academic vice presidency. In
a seminal paper published in 2004, Nidiffer and Cain document the rise and early
evolution of the position from the late 1800’s. In the absence of secondary literature
on the subject, much of their work involved procuring and analyzing primary
documents from the period. While the roles of the university president, academic
deans, and department chairs have been extensively studied and much has been
published on them, this is not true of the academic vice presidency. This office has
been largely overlooked in research studies and in the literature. Yet, this position is
a pivotal one in the hierarchal structure of the university. It is to the academic vice
president that the academic deans report. The deans, then, oversee the entire
academic faculty of the institution. The academic vice president is at the apex of the
organizational chart overseeing the educational functioning of the university
(Mintzberg, 1979). The educational function is the raison d'etre of the university.
Thus, it is to be expected that the role of the academic vice president is of particular
significance in the functioning of the university.
The first part of this study is informed by the work previously done by Mech
(1997) and Anderson, Murray, and Olivarez (2002) on the roles and tasks performed
by the academic vice president. However, whereas they did an overview of roles and
tasks performed by academic vice presidents in general, I focus on the academic vice
presidency at a single institution. Whereas they looked for the generalities, I
examine the specifics. The works of Martin and Samels (1997), Mintzberg (1973)
3
and Higgs (2003) categorizing the tasks of academic leaders serve as lenses with
which to interpret the activities of the academic vice president. This study also
builds on the work of Kezar and Eckel’s (2002) investigation of transformational
change in institutions of higher education. Kezar and Eckel (2002) suggest that
future research explore the role of sensemaking in effecting transformational change,
a suggestion echoed by Balogun and Johnson’s (2005) prescription that future
research address the question of how sensemaking interventions occur. Making
sense (sensemaking) of the change process is the subject of the second part of study.
My research is a case study of the academic vice presidency at a private
Catholic university in the western U.S. Specifically, I examine the role of the
academic vice presidency in facilitating the implementation of a change arising from
the initiatives of the strategic plan which the university adopted in 2001. While three
individuals have held the position of academic vice president since the adoption of
the strategic plan, I focus exclusively on the individual currently in the position.
Purpose of the Study
The purpose of this study is to deepen our understanding of the role of the
academic vice president in contemporary universities. Few studies have examined
the specific approach, perspective, methods, and behaviors of an academic vice
president engaged in performing his institutional role. The focus of this study is the
role of the academic vice president in the change process in a university. The change
process under study arises from the implementation of the initiatives of the strategic
plan. The strategic plan was adopted by the entire university six years previously.
4
The implementation of the initiatives, and thus, change, has been in progress for over
six years. To fully implement the initiatives required additional personnel, and the
particular change investigated in this study is the decision to create the position of
and hire a vice president of sponsored projects and graduate studies. Because the
literature on this topic is meager, and because of the importance of the position of the
academic vice president in the educational institution, as well as the need for well
qualified individuals who can effectively perform the functions of this office, a more
thorough study of how the academic vice president functions within the institution is
needed.
The rapid changes occurring in society impact higher education. Many
institutions of higher education are finding that they must alter how they do business
and the manner in which they function (Moore & Diamond, 2000). Mission
statements are being re-evaluated and institutions are embarking on new courses and
branching out in new directions (Ferrer-Balas, et al., 2004). As chief academic
officer, the academic vice president is charged with protecting and maintaining the
fundamental educational mission of the institution, while at the same time
encouraging and directing innovative change. The ability to balance these two
competing goals likely requires specialized skills and focused attention to particular
aspects of the organization.
This project is an investigation of change-as-it-occurs. It is not a
retrospective of a change effort (c.f. Dutton & Dukerich, 1991; Hartley, 2003), but
rather seeks to understand how the change process is being facilitated as it is
5
happening. Weick (1995) contends that our sense, and thus remembrance, of past
events is continually modified based on the present. Therefore, to understand the
variety and significance of the features involved in a change process, we must
examine it as it occurs. To study it at a later time would be to study only those
selective events that are remembered, while even these events are undergoing
continual change in the participants’ minds as they make sense of their current
environment. The purpose of this project is to understand how the academic vice
president facilitates change in his institution, documenting the understandings,
perceptions, and thinking of the participants during a specific phase of the process.
The study identifies the activities of the academic vice president related to the
change process under study and analyzes those activities in light of the current
literature on leading change. The activities of the academic vice president are then
analyzed using the lens of sensemaking to better understand that process in
institutional change. The objective is to contribute to the change literature in higher
education through an understanding of the facilitation of change by a particular
academic vice president at a particular institution of higher education at a particular
time. Patterns in the process will be identified that are potentially applicable to other
situations where facilitation of change by leadership is required.
Background of the Problem
Jesuit Pacific University (JPU, a pseudonym) is an urban, liberal arts, co-ed
university of medium size in the western United States founded in the early 1900’s
by the Jesuits. The student body consists of about 5,000 undergraduates and 1500
6
graduate students. The institution also boasts a law school of about 1300 students.
Although the Carnegie classification is that of a four-year liberal arts institution
offering some master’s level degrees, the university is undergoing an identity shift
and has recently established a doctoral degree program in education.
JPU is overseen by a Board of Trustees to whom the university president
reports. The president is the chief executive officer and is advised by a Board of
Regents and a chancellor. Reporting to the president are six senior vice presidents,
each of whom oversees a different area of university administration. The chief
academic officer, which is the focus of this dissertation, is the senior vice president
for academic affairs. There is no provost. At the time of this dissertation, the
individual currently occupying the office of chief academic officer was in the middle
of his second year in the position. There are six academic deans, who report to the
senior vice president for academic affairs. At the time of this study, academic affairs
was in the midst of a re-organization, and the senior academic vice president was in
the process of establishing three vice presidents under him, a vice president of
enrollment management, a vice president of sponsored projects and graduate studies,
and a vice president of undergraduate education. The vice president of enrollment
management had been hired at the end of the previous academic year and taken up
her position at the beginning of the current academic year (six months prior to the
study); the vice president of sponsored projects and graduate studies was in the final
stages of the hiring process with an anticipated start date mid-summer (a few months
after the completion of the study); and the hiring of the vice president of
7
undergraduate education had yet to be undertaken. The purpose of the re-
organization of academic affairs was to focus more effectively on implementing the
academic aspects of the initiatives of the strategic plan.
The current strategic plan was initially adopted in 2001 after more than two
years of work on the part of administration, faculty, and staff. The strategic plan
outlined JPU’s development for the next several years. The opening sentence states
that the plan is based on the premise “that (JPU) is positioned to become the
preeminent Catholic university in the western United States.”
The plan introduces five initiatives:
One – Promote “excellence in teaching, scholarship, and creativity.”
Two – “Provide an…environment for the development of a culture of excellence….”
Three – “Reinforce [the institution’s] Catholic identity…”
Four – “Enhance the student intellectual experience….”
Five – “Develop and strengthen…programs unique” to JPU.
The plan then specifies objectives by which these initiatives will be realized. At the
time of this study the plan had just been reexamined and reaffirmed a few months
earlier (in 2006), signaling to the institution that it was on the correct path in growing
and developing towards the future.
This dissertation examines the role of the academic vice president in
institutional change, asking how he facilitates its implementation. The objective is to
provide a rich description of the work of the academic vice president in guiding
change in the context of a university initiating deliberate change. The focused lens
8
of this study will provide a deep understanding of a vital aspect of the work of the
academic vice president in contemporary higher education.
Significance of the Study
This study informs the higher education community regarding the subtleties,
nuances, and complexities required by the academic vice presidency, a position that
bridges two major campus coalitions, administration and faculty. A number of
investigators have written on the attributes and skills required by leaders and
managers in general (Dulewicz & Higgs, 2005; Higgs, 2003; Hitt & Ireland, 2002;
Martin & Marion, 2005; Mintzberg, 1973). However, the case study approach to the
problem undertaken by this research presents concrete information regarding the
specific approach, perspective, methods, and behaviors utilized by a particular
academic vice president in a particular institution undergoing change. It provides an
alternative understanding to the composite and cumulative studies previously done
on the academic vice presidency, again, making specific the general trends that were
concluded from those studies (Anderson, Murray, & Olivarez, Jr., 2002; Jones, 1999;
Mech, 1997; Splete, 1970).
Given the importance of the academic vice president in academia, a full
understanding of the intricacies of the position is essential. A more in-depth
understanding of the position can assist senior level administrators in determining
effective courses of action as they seek to move their institutions forward in the
dynamic and shifting environment that characterizes higher education today. With
the rapid rate of change in society and the necessity that educational institutions
9
adapt to meet these changes, it is imperative that senior level administrators have a
clear understanding of the roles and activities necessary for their jobs and have the
skills to effectively perform them (Mech, 1997). In the absence of the knowledge of
what these roles and activities are, it is difficult to obtain the advance training to
prepare for the job. Large numbers of senior level administrators in higher education
will retire in the next ten years with figures cited that range from 40 – 70% (Bureau
of Labor Statistics; American Association for Community Colleges). An article in
The Chronicle of Higher Education notes that “Retirements of particular concern are
those of administrators at the vice-presidential level.” (Selingo and Carlson, 2006).
Given these numbers, educational institutions must provide adequate training for
those who assume these jobs. This study provides an in-depth perspective on the
roles and activities required of a vice president facilitating significant change at a
private university. It points to the skills and processes essential for effectively
leading and making sense of this change process. Other institutions embarking on
similar change programs, can look to this study to assess the skills needed by each
academic vice president. Those looking to assume an academic vice presidency can
utilize these results to determine the skills required in the job they seek. This study,
by clarifying the role of the vice president in facilitating change, can assist all leaders
of change by identifying and emphasizing essential processes vital for effective
implementation of institutional changes.
The data, analysis, and conclusions of this project stand on their own as a
body of work that identifies the underlying themes in a particular change process.
10
Fundamental themes are often not apparent from broader, generalized studies of
behaviors and attitudes. Yet, it is the underlying themes that provide insight into the
basic human needs and motivations that are the driving forces for the attitudes and
behaviors that either contribute to or resist the change process. Insight into needs
and motivations will help us to understand how to more effectively manage change
processes that have become a part of institutional life. In particular, as the academic
vice presidency is an office different from that of other administrative offices, the
conclusions from this study can provide information for academic vice presidents on
effective facilitation and encouragement of change within the academic environment.
Research Questions
This study addresses the question: What is the role of the academic vice
president in facilitating the implementation of change in a university?
The following sub-questions flow from this over-arching question.
1. How does the academic vice president effect the implementation of a
particular change arising form the university’s strategic plan? What
activities does he engage in to accomplish this objective?
2. How does the academic vice president assist the institution in making sense
of the change? What messages does he utilize?
In the first part of the study, I will determine the particular activities in which
the academic vice president at JPU engages in the change process, and compare
these activities to the types of activities documented in the literature as those
typically used by academic vice presidents and change leaders to determine
11
processes by which change is implemented. Then, in the second part of the study, I
will use the lens of sensemaking in reexamining the activities of the vice president to
assess them for the meaning that they convey and the role that sensemaking plays in
the change process.
Methodology
The research model for this study is the case study method, whereby a single
issue is studied in-depth in order to obtain a deep understanding of the issue. This
method provides detailed and rich data from which themes unique to the particular
situation can be identified. Data collection consists of:
-- taped interviews with the academic vice president: an initial interview establishing
the change to be studied and collecting background information, two middle
interviews exploring the change in detail, and a final interview pulling the
pieces together
-- taped interviews with faculty and staff: a dean, the faculty senate president, a
representative on faculty senate, and members of the graduate council
-- observations of meetings with vice president: graduate council meeting and pod-
cast of vice president’s convocation
-- document analysis of records: faculty senate minutes, graduate council minutes,
by-laws of the graduate council, the vice president’s convocation speech, the
university’s strategic plan, student newspaper article, and general information
from the university’s website.
12
The three methods provide the necessary triangulation to ensure accuracy of the data.
The multiple interviews provide sufficient overlap to corroborate information
provided by the various sources and that were given at different times over the data
collection period.
Limitations
1. Although this is a study of a change in-process, the time for data collection
was limited to a defined six week period. Aspects of the change had already
occurred and thus, were dependent on memory to recall them. Memory is
always selective and its recollection of the past presents a perception that is
contingent on attitudes, background, emotions, etc. of the individual both in
the past and in the present. The research is limited by what is and could be
remembered of those past events that were investigated.
2. Written records selectively document those events that seem pertinent at the
time that they occur, and therefore are not fully accurate or complete. The
research is limited by the documents that are available for analysis.
3. In many conversations, what the hearer hears and what the speaker intends
are often two different things. Much of the data is based on recorded
interviews. Interpretation is limited by the understanding by the interviewer
of the interviewee’s words.
4. The researcher is limited in the time allowable for interviews and
observations. Interviews with different individuals than those interviewed
may have given a different slant to the questions asked and the specific topic.
13
Or, given more time with each individual, the interviewer may have
discovered other meanings or intentions.
5. There is only one investigator in this study. Interpretation of data is
dependent on the background of the interviewer, what the interviewer brings
to the study. Another investigator, with a different perspective, might
interpret the data differently. The study is limited by the sole investigator
and the biases she brings.
Organization of Dissertation
Chapter two of this dissertation reviews the literature to provide background
information and to orient the reader regarding the issue under study. It opens with an
historical perspective on the office of the vice presidency, comments on the office of
vice president in contemporary institutions of higher education, reviews the current
literature on leadership and management with an academic thrust, describes the
concept of sensemaking and reviews aspects of the concept pertinent to this study,
and ends with a brief overview of organization and governance in higher education
today.
Chapter three describes the methodology including research design and data
collection procedures in more detail. How the data were analyzed and ethical issues
are considered as well. Chapter four presents the data, telling the story of the
particular change studied and then examining the data from a structural and a cultural
perspective, which were the two major categories that emerged from the primary
level analysis. Chapter five presents a model for a change process in a university
14
drawing from the data of chapter four. I report the findings that emerge from a
secondary level analysis and discuss their significance as they relate to the particular
case study and the implications regarding change processes in general.
15
CHAPTER II
Literature Review
I see us becoming more ourselves in the sense of really modeling the
relationship between theory and practice….[W]e want to look at ways that
research, scholarship and creative works can enhance practice. (Faculty/staff
interview)
The Academic Vice Presidency is a position of esteem and respect in
contemporary universities. Yet, the role that the academic vice president plays in an
educational institution is not obvious. Elliott Jaques argues that the most critical role
of a manager is to add value to the work of subordinates (Jaques, 2005). In this
dissertation I seek to better understand the contribution of the academic vice
president to the functioning of the higher educational institution and to the
achievement of its educational mission.
Ephraim Gurney has been cited as the first vice president in the modern
university, appointed in 1869 at Harvard University (Nidiffer & Cain, 2004). In the
late 1800’s, the title of this position was more commonly the Dean of Faculty. In
this position, the vice president represented the faculty to the president of the
university. While the president administered the business and external affairs of the
institution, the vice president oversaw the academic functioning (Martin & Samels,
1997). Over the past one hundred years, the role of the academic vice president has
evolved as the university itself has evolved. However, the essential function of the
chief officer representing the academic interests of the institution has remained the
same.
16
This dissertation examines the role of the academic vice president in the
change process in a modern university. To provide background and context for the
reader, in this literature review I will: 1. Provide a brief overview of the historical
evolution of the academic vice presidency; 2. Discuss contemporary roles and duties
of the academic vice president; 3. Briefly review the current literature on leadership
and management as they pertain to this study; 4. Describe the process of
sensemaking as it is currently understood in the literature with a focus on those
aspects relevant to this study; 5. Provide context by briefly over viewing
contemporary organization and governance in institutions of higher education.
Historical Evolution of the Academic Vice Presidency
There is scant literature on the rise and history of the position of academic
vice president. Nidiffer and Cain’s 2004 paper provides the best historical analysis
of the position from its earliest days. With the rise of the research university at the
end of the nineteenth century and the concomitant increase in responsibilities of the
university president, it became necessary to appoint a second-in-command at larger
institutions. As the university expanded and the number of faculty appointments
increased, the political pressures on the presidency intensified commensurately. The
psychological and mental effort required to balance the needs of all the various
constituencies became more than one person could attend to (Cyert & March, 2005).
The increase in size of universities at the end of the nineteenth century, along
with the greater focus on and elaboration of experimental research, demanded a
larger, more secure funding base. The job of seeking out and ensuring funding
17
sources fell to the president, a job that often took him from campus. Simultaneously,
there was an expansion of the academic complexity of the university as the number
of academic disciplines represented in the institution increased and as more faculty
engaged in research activities in addition their primary function of teaching. Faculty
senates were formed as a mechanism to formally represent faculty concerns to the
administration. At some institutions, the role of the vice president fell to the head of
the faculty senate and was called the Dean of the Academic Senate (Nidiffer & Cain,
2004). It was the vice president as the Dean of Faculty, who represented faculty
interests to the president, and who also served in the administrative capacity of
maintaining the continuous operation of the university during prolonged absences by
the president. With the increasing complexity of the institution and with the
expansion in duties and power of the presidency, many presidents sought counsel
from respected friends and colleagues. More than one vice president was appointed
because of his close personal relationship with the president and serving the role of
presidential confidant (Nidiffer & Cain, 2004). Thus, the growing external demands
as well as the amplified political and psychological forces on the presidency all
contributed to the development of the vice presidential role and function.
In examining the functional role of vice presidents at seven major universities
at the turn of the nineteenth century, Nidiffer and Cain (2004) identified three roles
that vice presidents performed: “Jack-of-all-Trades, Presidential Confidant, and
Official Administrator.” In the Jack-of-all-trades role, vice presidents performed a
diversity of tasks, ranging from secretary to janitor to business officer to student
18
advisor, and almost always, to classroom instructor. In the role of presidential
confidant, the vice president often wielded great influence over the president, who
frequently depended on the advice and expertise of his second-in-command in
charting the course of the institution. Vice presidents who served as confidants had
often served as faculty at their respective institution for many years, and thus, were
well acquainted with the ways and culture of the particular institution. These men
were also generally held in great esteem by their fellow faculty members.
The role of official administrator is one that evolved, with time becoming
more entrenched in the higher educational system and morphing into the position
that the academic vice presidency has become today. More administrative duties
were formally assigned to the vice president, and fewer clerical and instructional
responsibilities were expected. Concomitant with this, the title of the position
changed from Dean of Faculty to Vice President. Despite the fact that it is the rare
academic vice president who also serves as an active member of the faculty, one of
the fundamental roles of the academic vice president today continues to be chief
representative of faculty interests at the administrative level (Martin & Samels,
1997).
One of the essential themes in the treatise by Nidiffer and Cain (2004), which
permeates the entire document, is the thesis that, although this early period in the
formation of the modern university tends to be marked by the “great men” who were
the presidents of these emerging national institutions, these men did not make their
marks on their institution and contribute to the emergence of the modern university
19
alone. They were aided in significant measure by their vice presidents, men who for
the most part have not been remembered in the historical record despite their
significant contributions to the development of the modern university.
Contemporary Roles and Duties of the Academic Vice President
In contrast to the voluminous body of literature on the academic presidency,
the literature on the academic vice presidency is limited. Two seminal works have
been published in the past decade on the academic vice presidency, Ferren and
Stanton’s (2004) Leadership Through Collaboration: The Role of the Chief
Academic Officer and Martin, Samels, and Associates (1997) collection of essays in
First Among Equals: The Role of the Chief Academic Officer. The former text is
written for the chief academic officer to assist her in understanding and performing
the duties associated with the position. The latter text describes the work of the chief
academic officer from the perspective of those currently in the position of vice
president or who have served in that capacity. Both works, written almost ten years
apart, describe the ambiguity associated with the position. The academic vice
president represents the “voice of the faculty” within the administration. She is
responsible to two powerful constituencies, the faculty and the president of the
institution. She must execute the directives of the chief executive officer while
negotiating the concerns and will of the faculty. She serves as a bridge between two
powerful entities, a position that challenges the skills and talents of the best
administrative leaders in higher education.
20
Martin and Samels (1997) identify ten characteristics essential in the chief
academic officer of the twenty-first century: “An expert with ambiguity, a champion
of new technologies, an institutional entrepreneur, a student affairs advocate, a savvy
fund-raiser, a supporter of ‘selected excellence,’ a legal interpreter, a public
intellectual, a shaper of the new consensus, and a visionary pragmatist.” (pp. 17-20).
These characteristics are not all that different from the activities of a manager
described by Mintzberg (1973) twenty five years earlier. In his text The Nature of
Managerial Work, Mintzberg identifies ten roles grouped into three categories that a
manager assumes – 1. interpersonal roles: a figurehead representing the organization,
a liaison between different groups of people, a leader of his subordinates; 2.
informational roles: monitor of information, disseminator of information,
spokesperson of the organization’s information; 3. decisional roles: entrepreneur
initiating change, disturbance handler when the peace is threatened, resource
allocator determining direction of efforts, negotiator in situations requiring
compromise (pp. 56-57). As the bridge between the chief executive officer and the
faculty, the academic vice president serves as the figurehead representing the
administrative arm of the university to the faculty, while she also serves as a leader
representing faculty interests to the chief executive officer. As this liaison, the
academic vice president must disseminate information in both directions as well as
monitor information flow for timeliness and accuracy. The decisional role and
“keeper of the peace” can be one of the most challenging roles of an academic vice
president. Late one afternoon an academic vice president was heard to exclaim in
21
frustration, “Ninety percent of my time during the day is occupied with resolving
disputes!” (Dennis Cabral, personal communication, 2005). Additionally, a vice
president will typically have at her disposal resources to distribute as incentives to
academic personnel for work in areas of desired change (Barnard, 2005).
While the characteristics and roles specified above describe the tasks
performed by the chief academic officer, the feature that distinguishes this position
from other leadership and managerial roles is the context in which the work is
performed. The distinguishing features of an educational institution are teachers and
students, and it is these two entities that shape the academic vice presidency of any
institution. Austensen (1997) describes the relationship between the chief academic
officer and the faculty, noting that it is a relationship characterized by “ambiguity
and paradox.” This is a direct result of the traditional governance structure in higher
education whereby the faculty, as subject experts, are responsible for much of the
curriculum and the academic aspects that are at the heart of the institution (Edelstein,
1997). Within this context, it is the job of the academic vice president to oversee and
lead academic and curricular reforms, and encourage faculty development. A
“strong-man” leadership model is unlikely to be effective in accomplishing change
(Oosting, 1985). Rather, within the collegial model of university governance, the
vice president must act as a partner while leading the faculty. The impact of the
academic vice president will be felt in her promotion of the academic mission of the
institution through recruitment and hiring of faculty, orientation of new faculty,
encouragement of the development of tenured faculty, contributions to faculty
22
evaluations, and assessment of student learning. In all instances, the vice president
must ensure that the endeavor is linked to the institutional mission.
“Consistently,….the chief academic officer should affirm both the primacy of
institutional mission and the roles faculty members play in achieving it.”
(Austensen, 1997, p. 30). Achieving effective change in any of these arenas will
require significant work on the part of the academic vice president in developing
high faculty morale. Attending to both symbolic and tangible rewards will prove
crucial in promoting high morale, as well as ensuring that faculty have a participative
voice in all processes (Austensen, 1997).
While work with the faculty is a crucial part of the job of the academic vice
president, most academic vice presidents will find that the bulk of their time is spent
in advocating the academic agenda with other administrative colleagues (Ferren &
Stanton, 2004). The successful chief academic officer will be able to converse easily
with her counterparts in the business and student services sides of the institution.
Thus, in addition to scholarly and academic expertise, the academic vice president
must have knowledge of the business affairs of the institution and understand the
interaction of student affairs with the academic mission of the institution. An ability
to establish effective collaborative relationships at various organizational levels will
ensure that the academic mission of the institution is maintained as the core value of
the institution. As educational organizations implement change processes, the ability
to collaborate across institutional divisions will prove imperative in determining the
success of the change efforts (Ferren & Stanton, 2004).
23
Thus, the academic vice president functions in both a leadership capacity as
well as an administrative capacity. In examining the role of the vice president in
institutional change processes, an understanding of academic leadership and
academic administration will be vital. In the next two sections, I will review the
current literature on leadership and management with a focus on application to
academia, including those few studies that look at the academic vice presidency.
Leadership
Leadership is a dynamic concept that changes as our understanding of social
organizations changes and evolves (Northouse, 2004). Bensimon (1989) in a
review of leadership concepts in higher education identifies six basic categories of
leadership theories: theories based on personal traits of the leader, theories based on
the structure of power relationships that leaders have with their followers, theories
based on the behaviors of leaders, i.e. what they do in the context of their leadership
roles, theories based on the particular situation in which leadership is exercised
(contingency), theories based on a visioning process and interpretation of cultural
values, and theories in which leadership is attributed to an individual that assists the
group in making sense of the complexities of a changing world. A review of the
literature from the past few years provides evidence of further development in
leadership theory. Two divergent trends are apparent in the literature. One trend
extends leadership theory from a human-social perspective, and the other considers
leadership from the perspective of the change processes that characterize modern
society. Within the latter trend there is a development in leadership theory that
24
utilizes more traditional models of leadership theory, but interprets leadership in the
context of application-to-practice focusing on effective leadership in a climate of
continual change. In the following paragraphs I review some of the current work on
leadership theory focusing on the more recent trends, and conclude with a couple of
studies on the academic vice presidency and leadership.
Sanders III, Hopkins, and Geroy (2003) elaborate on the concept of
transcendental leadership as first proposed by Cardona (2000). They view leadership
as a continuum from transactional (based on economic exchange) to transformational
(based on social exchange) to transcendental (based on an internal sense of divine
awareness). They suggest that individual leadership development proceeds from an
external, accomplishment-focus to an internal, relationship-focus. The move to an
internal focus aligns with an increased sense of spirituality in the leader and personal
growth development in three areas – “consciousness, moral character and faith” (p.
23). Correspondingly, we see an increase in an internal locus of control, along with
enhanced leadership effectiveness. Bolstering their theoretical framework are
personality concepts derived from the psychological literature and models of moral
development taken from the philosophical literature. The strength of this model of
leadership is that it considers the internal development of the leader, in addition to
the external behaviors and characteristics.
An entirely different approach is proposed by Burns (2002) in a discussion of
chaos theory and its application to leadership. Chaos theory proposes that change is
constant in a system, and that the direction of change is dependent on the interaction
25
of behaviors contributed by each individual in an organization. Thus, we cannot
know how an individual will respond until we know all the other behaviors that
impact that particular individual. In a changing landscape, no one individual has
access to all the information impacting the organization from internal and external
sources. Thus, leadership is diffused throughout the organization because
information from the environment is diffused among the individuals in the
organization. Leadership occurs as individuals assess and respond to this
information. Control and authoritarian command are antithetical to chaos theory.
Instead, a dynamic tension is generated that is creative and empowering, and which
lies between anarchy and stability. Critical to maintaining forward momentum in
this paradigm is a clear focus on “ultimate purpose and core values” of the
organization. Without this focus, the direction in which the organization moves will
be random and disconnected from one individual to the next. Because of the
unpredictability and ambiguity in the system, management must recognize that any
long range plan has limited value and is unlikely to come to pass. “Chaos theory
teaches that long-term success is not ensured by the plan, but by sticking to the
purpose and core values of the organization.” (p. 50). Organizations that accept
change as a part of the current landscape and use change to enhance their central
mission will successfully navigate the winds of change.
Both Higgs (2003) and Hitt and Ireland (2002) have proposed leadership
models developed from more traditional models of leadership theory, but
incorporating a strong focus on practical application. Higgs (2003) suggests a model
26
of leadership that identifies essential personal characteristics (trait model) found in
leaders, and identified the skills and competencies that leaders possess that
contribute to their success as leaders. In this model, the leader exhibits authenticity,
integrity, will, self-belief, and self-awareness. The skills demonstrated are:
envisioning, engaging, enabling, inquiring, and developing. All are discussed in the
context of interactions with those who are led. Higgs suggests that the personality
and skills found in a leader are similar to the characteristics of emotional
intelligence. The identifying features of an individual with high emotional
intelligence are: self-awareness, emotional resilience, motivation, interpersonal
sensitivity, influence, intuitiveness, conscientiousness, and integrity. Higgs proposes
that assessment of emotional intelligence might be used to identify individuals with
leadership potential. In an era where effective leadership is essential, Higgs suggests
that selecting individuals likely to succeed in leadership positions is imperative to
future organizational success.
Hitt and Ireland (2002) address the question of what type of leadership is
necessary for success in the constantly changing environment of the 21
st
century.
Their thesis is that, “In today’s knowledge-based economy, human capital may be
the most important resource in corporations of all types.” (p.4). They argue that a
new dimension of strategic leadership is required in today’s marketplace, one they
term “effectuation.” The definition they use of strategic leadership is one of
effective utilization of resources. They note that human capital possesses most of the
knowledge essential for an organization to meet its mission and goals. While
27
explicit knowledge is more akin to book knowledge, tacit knowledge is highly
contextualized for the given situation and circumstance. Appropriate management of
human capital, with the knowledge employees possess, is critical to organizational
success. A successful leader will develop the human capital in an organization to
form effective and collaborative relationships between individuals, which will result
in productive teamwork. This will enhance social capital both within and without
the organization, thus, improving the value of the organization. The means to
achieve successful development of human capital is to “create a culture of trust”
within the organization and between the employees and the leader, a culture that
values fairness and is just. A trusted strategic leader will fairly evaluate, change,
configure, and leverage human and social capital resources to optimize potential and
competitive advantage. The strategic leader will possess a strong relational
competence, and recognize the importance of considering people before the strategy.
The common theme that we can identify in all the foregoing models of
leadership is one of outcomes and effectiveness. In analyzing, assessing, and
studying leadership today, the focus is on effective leadership. What is effective
leadership, how can we understand it? This question is addressed by Martin and
Marion (2005) in the context of institutions of higher education. They asked: how
can academic leaders effectively enable knowledge-processing organizations and
encourage creativity and growth? They concluded from their study of presidents and
provosts that maintenance of a vibrant learning environment was crucial. In such an
environment, knowledge gaps are identified, knowledge is generated (solutions
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proposed) and the new knowledge (solution) is integrated into the practices of the
institution. Leaders effectively enable the development of such a learning
environment through their role as: 1. Environmental manager – in which they
encourage problem-solving attitudes; 2. Network manager – in which collaboration
and knowledge-sharing through social networks is encouraged; 3. Policy manager –
in which roles are clarified and individuals are empowered to act; 4. Crisis manager
– in which the crisis is used as an opportunity for learning and team-building; 5.
Knowledge gap identifier – in which the leader recognizes the knowledge gap and
seeks the resources to resolve it; 6. Future leader preparer – in which the leader
selects team members and mentors them to develop their leadership capacity. The
role of the leader in the learning environment is to manage the conditions that are
conducive to learning, so that others are empowered to build institutional
effectiveness. To maintain a vibrant learning environment, leaders must
continuously encourage the production, integration, and evaluation of new
knowledge.
In reviewing the recent literature on leadership effectiveness, Dulewicz and
Higgs (2005) note a trend which focuses more on external aspects of leadership,
especially in the context of leadership in change processes. In assessing the
leadership behaviors that various researchers identified in their studies, Dulewicz and
Higgs find that the behaviors fall into one of three basic categories. 1. Goal-oriented
behaviors – in which the leader provides direction (not necessarily autocratic, but in
a variety of different manners); 2. Involving behaviors – in which the leader involves
29
others in leadership activities; 3. Engaging behaviors – in which the leader facilitates
development of the capabilities of others in the organization. The study performed
by Dulewicz and Higgs’ supports the suggestion derived from the literature that as
the complexity of the change process increases, the more effective style of leadership
is a facilitative one that uses engaging behaviors.
A search of the literature for studies that specifically investigate the
leadership role of the academic vice president yields only a couple of studies. In a
report to the American Association for Higher Education in 1970, Splete addresses
the role of the academic vice president in the decision-making process in response to
institutional innovation. He concludes that the role played by the academic vice
president is one of a nurturer and legitimizer in decision-making rather than that of a
stimulator or implementer. In a dissertation written almost 30 years later, Jones
(1999) surveyed 153 presidents and academic affairs vice presidents in community
colleges asking them to identify the attributes needed to effectively lead an academic
institution. She reports that the ability to adapt to change, the ability to provide a
vision for the institution and to communicate that vision, and a willingness to take
risks were identified as some of the important characteristics. She also reports that
current senior level administrators generally did not observe these characteristics in
mid-level managers likely to seek higher positions. There is an obvious
disconnection between the leadership role played by the academic vice president as
described by Splete and the leadership attributes required for the position as reported
by Jones. A “nurturer and legitimizer” of decision-making does not typically
30
correlate highly with someone who is a risk-taker and demonstrates an ability to
provide vision and adapt to change. It is tempting to conclude that this lack of
correlation is due to the change in the position in the course of 30 years. However,
given the limited information in Splete’s report and the fact that Jones’ work is the
compilation of interviews with both presidents and vice-presidents, it is impossible
to tease out the likely cause of the discrepancy in these two studies. Despite this, I
would suggest that the noted differences in the two studies are likely to be due to the
fact that different aspects of the job were being investigated in each study.
I conclude this section on academic leadership with the recommendations of
Stevenson (1994) identifying critical areas for vice presidential leadership in
contemporary institutions of higher education. He recommends: 1. an increased
focus on and renewal of the undergraduate liberal arts education, one that is student-
centered and seeks to instill values and skills essential for development of our
society; 2. cultivating leadership throughout the organization; 3. facilitating faculty
renewal and development; 4. practicing sound management of all institutional
resources; 5. enhancing pedagogical methods and modes of delivery to meet the
needs of the diversity of our student bodies; 6. fostering collegiality and an academic
culture; and 7. development of a campus environment that is a reflective of society at
its best.
Management
Bennis and Goldsmith (2003) state: “A good manager does things right. A
leader does the right things.” (p. 7). This succinctly delineates the distinction
31
between leadership and management. An academic vice president must be and do
both. As a senior-level academic administrator, the vice president is looked to for
leadership in the academic policies and direction of the institution. However, she
also manages those same policies to ensure that they are appropriately executed. A
clear understanding of the differences between the two roles is essential so that the
vice president can effectively choose between the two in a given situation.
Although much has been written on management, a classic in the field is the
work of Mintzberg (1973) who studied the work that managers did and then reported
and analyzed his conclusions in a monograph. This text is still studied and relevant
today, as the function of managers in organizations has not changed over time. In
addressing the issue of the function of managers in organizations, Mintzberg asks the
question: Why are managers needed? He identifies six reasons that managers are
necessary in organizations. Managers: 1. ensure that their organization is working
towards its objective and performing its function; 2. oversee the organization’s
operations and ensure their smooth running; 3. guide the organization in a changing
environment, balancing between stabilized functions and adaptation to a changed
environment; 4. ensure that operations match the goals and values of those in
control; 5. serve as conduits of information flow up and down the chain of command;
and 6. operationalize the organization’s status system. All of these objectives are as
vital today as 30 years ago, when Mintzberg first examined managerial work. And,
these objectives are as true for academia as for the private sector business. I have
described in the section above “Contemporary Roles and Duties of the Academic
32
Vice President,” the ten roles that the manager assumes in achieving these
objectives. These ten roles are grouped into three categories – interpersonal,
informational, and decisional. Although one can identify specific roles required to
accomplish each of the six manager objectives, the accomplishment of each will
require skill sets from all three categories, interpersonal, informational, and
decisional.
While the job of manager is much the same across a diversity of fields, one
can distinguish differences. In addressing the influences that account for the
differences in the specifics of a manager’s job, Mintzberg identifies four types of
variables: 1. environmental variables, the nature of the industry, the characteristics of
the organization – its size, level of formality, whether it is public or private industry;
2. job variables, the role of the leader in the organization, level of control over
workload, degree of decision-making, type of manager position; 3. person variables,
the personality and style of the person in the job, her beliefs and values regarding her
job; 4. situational variables, the seasonal nature of the job, the degree of stresses
associated with the job, experience of person in the job, societal impacts. Each of
these factors will influence exactly what a manager does and the degree to which she
does it. However, they will not change the basic nature of the job.
Mintzberg concludes his work with a discussion of skill sets required for
optimal job performance by a manager. An analysis of the ten roles assumed by
managers suggests eight essential skill sets: 1. peer skills, including communication
and negotiation; 2. leadership skills, including motivation and training of
33
subordinates; 3. conflict-resolution skills, including interpersonal relations and
mediation; 4. information-processing skills, including networking and verbal skills;
5. skills in decision-making under ambiguity, including problem identification and
analysis of multiple solutions; 6. resource-allocation skills, including workload, time,
and human; 7. entrepreneurial skills, including risk-taking and innovation; 8. skills of
introspection, including self-study, planning, and evaluation. As apparent from the
above discussion, although there is overlap between the roles and skills required of a
leader and a manager, the skills and job of a manager are more about
operationalization of the leadership functions.
In 1980, for her doctoral dissertation Wilson surveyed 95 academic
administrators from both two-year and four-year public institutions of higher
education to determine the functions and tasks performed by academic
administrators and to determine if there was a significant difference in duties
between the presidential and department chair level. Although the sample size is
small, thus, making statistically significant claims across levels difficult, we can still
draw some tentative conclusions. Wilson identified five functions and 23 tasks that
academic administrators performed on a regular basis. The functions are: “planning,
organizing, staffing, directing and leading, and controlling.” The 23 tasks include
funding allocation and management, determining short-range and long-range goals,
personnel management, including staffing, evaluating, firing, personnel
development, resource management, and various other tasks. Wilson observed no
significant differences in the frequency of tasks performed across the levels of
34
administrators, which given the diversity of institutional types and small sample size
may not be an accurate portrayal of the situation.
Mech (1997) used Mintzberg’s (1973) typology to explicitly study the
managerial role of the academic vice president, and is the one of few published
works on this aspect of the academic vice presidency. Mech surveyed 349 academic
vice presidents from public and private Carnegie Class I Comprehensive Colleges
and Universities for institutional characteristics, personal characteristics, and the ten
managerial roles identified by Mintzberg. The vice presidents were asked to indicate
on a scale of 2 – 8 the extent to which they used each of the ten managerial roles in
their present jobs. Mech found that the roles grouped into five clusters. In the two
top level clusters were the roles of leader, resource allocator and disseminator,
suggesting to Mech that vice presidents principally function as inside “team”
managers, coordinating personnel, developing organizational structure, and
overseeing operations. The bottom two clusters included the roles of disturbance
handler, figurehead, liaison, spokesperson, and negotiator. Mech suggests that these
are roles principally associated with managers with an external focus, i.e. the college
president. In classifying the roles according to internal vs. external and interpersonal
vs. informational vs. decisional, Mech found that the internal roles were employed
significantly more than any of the other categories, and the interpersonal roles ranked
second. Again, Mech concludes that the academic vice president is principally
concerned with the development of personnel and the maintenance of interpersonal
relationships within the organization. The decisional role ranked just above external
35
roles, which Mech interprets as indicative of governance structures in higher
education. Many academic decisions are in the hands of the faculty, and even for
those decisions which the vice president can make, she still requires the faculty to
implement them. This horizontal method of governance would tend to de-emphasize
those roles which rely on more formal authoritarian structures. By understanding the
managerial roles of the chief academic officer, Mech suggests that selection
committees can identify candidates who are more suited to the roles of the job and
thus, reduce role conflict and increase the tenure of chief academic officers within
their institutions, and overall, contribute to improved institutional effectiveness.
In a separate study, Anderson, Murray, and Olivarez, Jr. (2002) applied Mintzberg’s
typology to public community college chief academic officers, addressing a question
similar to that asked by Mech: “What managerial roles do [chief academic officers]
at community colleges perform and which role do they emphasize?” (p. 4).
Anderson, et al. analyzed 184 surveys from community colleges throughout the
country asking chief academic officers to evaluate the frequency that they perform
tasks associated with Mintzberg’s ten managerial roles. The results of their study
corroborated those obtained by Mech in his study five years earlier. Anderson, et al.
found that community college chief academic officers place more weight on those
roles associated with internal interpersonal relations, specifically leader, liaison, and
disseminator. The cluster of roles least emphasized are spokesperson, disturbance
handler, figurehead, and negotiator, the same roles that were the least emphasized in
Mech’s study, roles that emphasize external relations. That the two studies obtained
36
similar results is not surprising. The corroboration of the two studies suggests that
the managerial tasks associated with the internal functioning and the interpersonal
relationships in a college are universally the principal managerial jobs of the
academic vice president. Anderson, et al. suggest, as Mech did, that a clear
understanding of the managerial functions of the academic vice president will
enhance the job performance, and thus, also increase institutional effectiveness.
Sensemaking
Our understanding of leadership has evolved over time giving rise to a
contemporary definition of a leader as someone who encourages and facilitates
leadership throughout her organization. This change in our understanding of
leadership coincides with increasing rate of change in the world today, and the
recognition that no one possesses all of the necessary leadership skills to be effective
in a competitive marketplace (Hitt and Ireland, 2002). As the environment changes
so must an organization if it is to survive in that changed environment. As the
organization changes, so must the people that make up the organization adapt and
change to the new situation (Barr, Stimpert, & Huff, 1992). However, first people
must understand what has changed and how that change affects them, how the
change affects their relationship to others in the organization and the work that they
do, i.e. what does the change mean. In their classic paper Daft and Weick (1984)
state, “To survive, organizations must have mechanisms to interpret ambiguous
events and to provide meaning and direction for participants. Organizations are
meaning systems,….” This understanding of the meaning of things, others, the past
37
and the future, even who we are, is the stuff of sensemaking. In this section I review
some of the recent literature on sensemaking and discuss pertinent aspects of
sensemaking from the decisive text on the subject by Karl Weick (1995).
Daft and Weick (1984) posit that a vital function of management is meaning
interpretation. Organizations must make sense of the environment, and it is the task
of management to do this. Employees look to their managers to assist them in
understanding and making sense of changes. Their understanding of change will
determine their response to it. And, that response will either move the organization
in an effective, adaptive direction or it will hinder the organization in its ability to
survive the competition of the marketplace. Daft and Weick (1984) suggest a model
of organizational interpretation as a process that occurs in three stages. In the first
stage, scanning, data is collected regarding the environment. In the second stage,
interpretation, meaning is given to the data, sense is made of it as it relates to the
organization. In the third stage, learning, a response is made, action is taken. This
model is based on one of the central tenets of sensemaking identified by Weick
(1995), that sensemaking is about acting. We make sense of the world in order to act
in it. The work of Barr, et al. (1992) support Daft and Weick’s (1984) model. In
their longitudinal study of the decline of two railroad companies they identified three
key managerial activities related to performance: “1. attention to environmental
changes, 2. the interpretation of stimuli, and 3. the matching of perceived problems
with solutions.” The recent work of Balogun and Johnson (2005) in which they
studied a strategic change from the perspective of middle management for one year
38
suggests that management of change is more about “striving to deliver clarity of
purpose, expected outcomes and boundary conditions, and a shared understanding of
these, rather than trying to manage the detail.”
Weick (1995) in his seminal text Sensemaking in Organizations effectively
summarized the field of sensemaking up to that point and established the directions
for future work. Sensemaking is the work that all humans do of trying to make sense
of environmental stimuli and fit it into our understanding of the world as we have
constructed it in our minds. A new stimulus makes sense if we can fit it into the
framework or patterns that we have already established. It does not make sense if we
cannot fit it into our pre-existing framework. In this situation we will generally
either discard the new information as unimportant or we will modify it to fit our
framework. Only in the rare instances do we modify our pre-existing framework.
The work of sensemaking is especially important in changing situations, as different
individuals involved in the change process are likely to understand the new
information differently and thus, respond to it differently. It is essential that a
change leader in an organization work with her colleagues to assist them in making
sense of change so that the organization can adapt appropriately to changes.
“The concept of sensemaking highlights the action, activity, and creating that
lays down the traces that are interpreted and then reinterpreted” (Weick, 1995). Our
understanding of the past is based on the present. We reconstruct the past in our
heads knowing what the outcome was, and thus, understand past events from the
point of view of already knowing the outcome of those events. In an iterative cycle,
39
we make sense of the present by knowing the outcomes from the past. Thus, we
constantly construct our past. Our past gives identity to who we are. By constantly
reconstructing it, we are constantly constructing who we are, our identity.
Sensemaking differs from interpretation in that when we interpret something,
we “discover” something, some essence or some truth. Sensemaking is more about
invention. Weick (1995) citing Turner (1987) states, “To engage in sensemaking is
to construct, filter, frame, create facticity” (p.14). Sensemaking is “the invention that
precedes interpretation (Weick, 1995, p. 14); it is the framework by which we
interpret the world. Daft and Weick (1984) posit that one of the roles of
management is to assist their organization in interpreting and making sense of events
and the environment.
The phrase “How can I know what I think until I see what I say” (Weick,
1995, p.18), permeates Weick’s text and sums up his thinking on sensemaking. How
we make sense of the world about us is based on our identity and who we understand
ourselves to be. Sensemaking is “grounded in identity construction” (p. 18). In
addition to who we understand ourselves to be, Dutton and Dukerich (1991) in
studying how the Port Authority of New York and New Jersey dealt with the issue of
homelessness in its ferry terminals found that employees’ bound their sense of self
up in their organizational identity. “The relationship between individuals’ senses of
their organizational identity and image and their own sense of who they are and what
they stand for suggests a very personal connection between organizational action and
individual motivation.” If employees’ sense that their organization’s image is
40
deteriorating, they will be motivated to take action to improve that image as their
own sense of self is tied to that image. What employees’ believe to be the core
essence of their organization will frame their interpretation of information about their
organization, and determine organizational action on issues confronting them.
Weick (1993) demonstrated that people are so tied into their identity as a
member of an organization that in the face of disaster they will literally fail to drop
the tools that are the essence of their identity as an organizational member. In
reviewing his research on the Mann Gulch disaster Weick (1996) states, “The fusion
of tools with identities means that under conditions of threat, it makes no more sense
to drop one’s tools than to drop one’s pride.” Weick contends that organizations are
important because they provide meaning and order in a world that is full of
confusion and ambiguity. We want to believe that the world is organized and events
occur in an orderly, sequential manner. Thus, we organize ourselves to make this
true. When we are faced with situations difficult to comprehend, we tend to regress
to old habits, the ways of behaving that have worked in the past. Gioia and
Chittipeddi (1991) in studying change in an academic institution suggest that wise
management can effectively utilize ambiguity to move their organization through
change. “The implication for the management of changing organizations is that
existing schemes that are entrenched in tradition can be eased toward fluidity by
intentionally creating, but carefully managing, the ambiguity that comes with
redefining the image of an organization.” They refer to this as “ambiguity-by-
design.”
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Organizational identity, as distinct from individual identity, was defined by
Albert and Whetten (1985) and has been adopted and elaborated on by a number of
authors, most recently in a paper by Whetten (2006). It is those aspects of an
organization that are “central, enduring, and distinctive,” known as the CED model.
Whetten describes three components of this definition, an “ideational” aspect that
captures members’ shared beliefs regarding who the organization is, a definitional
aspect that describes the CED features, and a “phenomenological” aspect that
suggests that organizational conversation on identity occurs during times of
organizational stress. This definition has served to orient the research in the field of
organizational identity.
Gioia, Schultz, and Corley (2000) challenge this definition as being too static.
Instead, they argue for a more fluid construction of organizational identity. If we are
constantly constructing our personal identities in relation to how others perceive us
and given that our understanding of history and the past is reconstructed based on
current events, then organizational identity is continuously reconstructed by the
members of an organization. “Identity is imputed from expressed values, but the
interpretation of those values is not necessarily fixed or stable.” Thus,
organizational identity is renegotiated in an interactive manner as organizational
members reevaluate and reinterpret the organizational values. They suggest that an
adaptable identity gives an organization increased flexibility to change, an essential
requirement in today’s marketplace. They posit that “If the existing identity cannot
be altered in some way, [any] change effort is unlikely to be successful.” The role of
42
management is to “balance a flexible identity,” one that is fluid and alterable, yet
connected to fundamental values in what they refer to as “dynamic consistency.”
While recognizing the need to admit some fluidity to the concept of
organizational identity, Brown and Starkey (2000) insist that this is a difficult
process. In the same way that individuals refuse to admit or accept information that
is contrary to their understanding of self, organizations do the same. Thus,
information that should signal a disconnect between identity belief and reality will be
ignored or rejected. The way to avoid the problems that would arise as a result of
this maladaption is to promote critical self-reflection at the organizational level.
Brown and Starkey suggest that it is the role of management to engage the entire
organization in self-reflection through dialogue with the goal of building a shared
vision of the future. Quoting Weigert (1988, p. 268) they state, “We have only those
socially constructed identities that we can construct in our conversations with others.
Identities…are realized in stories.” They suggest that collective organizational
identity is critical to be able to make sense of the environment, especially in times of
great change. In the absence of a shared identity, members will not feel a connection
with their organization and will not be able act in its best interests. In the words of
Stanley Deetz (2003, p. 126) “identity production may well be the most important
product of most companies.”
Managers who hope to lead their organizations in a change effort that
requires employees to move beyond old habits and to work in novel ways can be
guided by the work of Gioia and Thomas (1996), who found that the perceptions of
43
identity and image by faculty and staff at a university undergoing strategic change
were key to their interpretation of organizational issues. Organizational identity and
change are positively correlated. By “shifting the lens,” using a desired future image
for identity, management could guide organizational change. In analyzing their data
regarding the strategic change, Gioia, Thomas, Clark, and Chittepeddi (1994),
developed a four stage model of the change process. The first stage, interpretation,
questions the identity of the institution, asking fundamental and basic questions
suggesting that a reinterpretation of the existing system is needed to meet external
demands. In the second stage, the issues are defined. In the third stage,
legitimatization is given to the change initiative via support by influential internal
stakeholders. In the final stage, the change is institutionalized, a specific, concrete
action has been taken that signals the commitment of the institution to the change.
Liberal use of symbols and metaphors throughout the process contributed to
institutional members’ ability to make sense of the change and shepherded it along,
past pockets of resistance. Gioia, et al. (1994) suggest that symbols might be
particularly relevant to change efforts in academia as the entrenched traditions at
many universities are a source of powerful resistance. Traditions, highly symbolic
rituals, require equally powerful alternative symbols to offset their potent influence.
Crossan, Lane, and White (1999) also develop a four stage model of
organizational change. However, they approach their model starting with the role of
the individual in the process, working through the group, and finally, up to the
organizational level. In the first stage, intuiting, the individual experiences or senses
44
the environment. She develops metaphors to understand the experience. In the
second stage, interpreting, the individual shares the experience using the metaphors
with others (the group) via language. The group engages in conversation.
Clarification of their understanding of the individual’s experience leads to a shared
group understanding of the experience, which is the third stage, integrating. The
final stage, institutionalizing, the organization adopts or changes routines based on
the shared understanding of the group of the individual’s initial experience.
David Limerick (1990) writing in Organizational Dynamics described
management features necessary for leaders of organizations adapting to rapidly
changing environments. He found that these organizations were loosely coupled
units of collaborative individualism. Management focused principally on identity
and corporate culture through the use of “language and slogans, legends and models,
systems and sanctions, as well as self-modeling.” The use of multiple expressions
was essential. The required management competencies included “holistic, empathic
abilities, metastrategic vision, mature, internal locus of control, and networking
skills.” “[Strategic managers] are managers of vision, of mission, of identity, of
culture. They are managers of meaning.” Not only must an effective leader manage
the meaning, but she must communicate it to her colleagues making “the vision
credible and persuasive.” Gioia and Chittipeddi (1991) suggest that “a captivating
vision is perhaps a key feature in the initiation of strategic change because it
provides a symbolic foundation for stakeholders to develop an alternative
interpretative scheme.” Limerick (1990) cites a number of examples of
45
organizations that underwent radical structural change. However, if radical
structural change is to transform an organization, an associated cultural change must
take place. It is the task of managing the cultural change that challenges most
leaders of change.
A powerful manifestation of culture is the symbols that are used. Gioia and
Chittipeddi (1991) note that in initiating strategic change, managers will use
“symbols and symbolic action to communicate that the existing interpretative
scheme is not longer appropriate.” Thus, organizational members must develop new
understandings. Interaction between change leaders and organizational members
results in the social construction of a new reality. In the particular case they studied
there was no urgent crisis that focused team members’ actions and compelled them
to strive towards a different future. Rather, the change leader publicly announced the
strategic change effort introducing “ambiguity-by-design” into the otherwise
complacent university organization. Thus, people were prepared for change and
began to discuss the change effort and what it might accomplish. This allowed
management to suggest an alternative vision and future direction, managing the
change process. Gioia and Chittipeddi refer to symbols as “currency of exchange” in
the change process and note the power of symbols to “mobilize action.” The
importance of symbols seems to reside in their ambiguity (Gioia, Thomas, Clark, &
Chittipeddi, 1994). Because a variety of interpretations can be attributed to a single
symbol, the symbol can serve as a bridge between the old and the new, the traditional
and the novel. It is comfortably familiar, yet tantalizes us with the suggestion of
46
something new. They further suggest that symbols not only assist in the
interpretative act “capturing the thoughts and feelings of organization members,” but
that symbols are also a medium for action. In their particular study, it was the
symbolic representation of an envisioned future that generated the energy for action.
Kezar and Eckel (2002) investigated transformational change in higher
education. Using the case study method, they looked at six institutions of higher
education, seeking to identify the “key elements in the transformational change
process.” They asked, “Are there core strategies that facilitate the process?” They
defined transformational change as change that modifies the basic assumptions,
behaviors, or processes at the institution; is substantial and affects the entire
institution; is deliberate; and takes time to occur. Using a teleological model of
interpretation, Kezar and Eckel identified five core strategies that contributed to
effective transformational change, 1. senior administrative support, 2. collaborative
leadership, 3. robust design, 4. staff development, and 5. visible action. Their data
suggests that the reason that these strategies were fundamental to the transformation
process is that they contributed to organizational sensemaking. They conclude their
paper stating, “Perhaps the most important finding from this study is the relationship
of sensemaking to transformational change. This study suggests that large-scale
institutional change is about meaning construction,…” They suggest that future
research explore the role of sensemaking in effecting transformational change.
Three other significant features to note regarding sensemaking are:
sensemaking is social; it is what gets noticed and focused on; and plausibility is more
47
important than accuracy (Weick, 1995). We do not make sense of the world in a
vacuum; we make sense of it in association with others. We try out our
understandings on others and merge their feedback with our own self-feedback and
thus, are continually altering our understandings. Fine (1993) citing Blumer (1969,
p. 2) on the social aspect of sensemaking states, “that we know things by their
meanings, that meanings are created through social interaction, and that meanings
change through interaction.”
Weick (1995) refers to talk as the work of sensemaking as social interaction
is most often mediated through talk. It is meaning generated through language, the
particular words we use and the messages we convey, that spurs people to action.
One of the roles of leaders is to talk to their subordinates and point out what is
important. Fiol (2002) states, “Language is an important tool for change agents….”
In a grounded theory analysis of a case study of change in an institution of further
education in the U.K., Brown and Humphreys (2003) found that each group studied
developed shared group narratives that were their means of making sense of the
complex changes in which they found themselves. Each narrative was specific to the
group. However, they all shared a commonality in that they attributed positive
outcomes as a result of their own actions and attributed negative outcomes as a result
of the environment or the impact of outsiders over which they had no control. In
their discussion of implications for practice, Brown and Humphreys recommend that
managers of change work with their organizations to develop their own plausible
narrative that will assist them in making sense of the change. A second outcome of
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the study was that under threat people tended to form tight, cohesive groups that
excluded others and led to intergroup suspicion and competition. Their data
suggested that increasing the contact of members from different groups in a way that
allows people to get to know others as individuals would reduce the intergroup
conflicts. They recommend that a process of “recategorization” take place in which
the goals of the entire organization are emphasized, so that everyone is on the same
team and cooperating together. In their paper discussing the role of talk, Holman,
Gold, and Thorpe (2003) bolster Brown and Humphreys’ finding of the importance
of narrative and they relate narration to identity construction. “Narrative thus
provides the organizing and driving force in the experience and construction of
identity.” (p. 56)
In discussing the role of organizational conversations in change efforts, Ford
and Ford (2003, p. 153) make the point that “what change managers talk about
reflects what they pay attention to,...” Through their talk leaders identify what the
organization should notice. Leaders establish a point of reference and provide a
direction for action. They use their influence and power to focus the attention of the
organization on a specific thing, on a particular specificity out of the many possible
specifics on which the organization could focus. Noticing is the first part of the
sensemaking process, interpreting the meaning of the thing that is noticed is the
second part of the process (Weick, 1995). A map is an example of an artifact used
for sensemaking. The map serves as frame of reference that tells us what to notice in
our surroundings, we then compare our surroundings to the map to make sense of the
49
world and where we are in it. A strategic plan is a map for change. It identifies
particular organizational aspects for noticing, and we then compare that entity to the
map to determine future action. However, action is determined more often by what
is plausible than what is accurate. A highly accurate map will have too many cues
for noticing and result in confusion rather than directed action. Our brain efficiently
filters those things we have noticed before, so that we only notice what is different.
We are attuned to patterns. When the pattern is changed, we notice and construct a
plausible meaning to explain and fit the difference into our existing understanding.
We are generally less concerned about whether our understanding is accurate than
we are concerned about whether our understanding makes sense and fits in with the
rest of pattern. Stories are often sequences of events that fit a pattern, climaxing with
an event that does not fit. The resolution to the story relates how the event fits into
the pattern. Thus, stories are social tellings of a pattern of events with one event that
is particularly noticed as standing out from the rest because it does not fit the pattern.
The story guides the hearer in understanding how to make sense of the peculiarity
and fit it into the pattern.
Weick (1995) identifies six “vocabularies of organizational sensemaking,”
ways in which we share or structure meaning with each other within the
organizational context. These six vocabularies are: “ideology, third-order controls,
paradigms, theories of action, traditions, and stories” (p.111). Ideologies are the
shared beliefs and values that permeate an organization. It is a fundamental part of
how we identify ourselves. Ideas, events, and things outside our belief and value
50
system tend not to be noticed. Third-order controls are also referred to as premise
controls. They are the way things are. They are unquestioned assumptions about the
way the world works. Because of these underlying assumptions, we can fail to
notice a salient piece of information. The assumption that the Japanese would never
attack American soil prevented technicians from interpreting the blip on the radar
screen as anything of significance, leading to massive destruction at Pearl Harbor.
Paradigms refer to the structures that are in place that orient our understanding.
They are theoretical frameworks that shape how we interpret new information. They
are guides that establish behavior patterns. Organizational structures reveal the
paradigms by which people in that organization interact. Theories of action are maps
and models of the world that guide us in interpreting sensory information and tell us
how to respond. They can give rise to patterns of behavior, which then become
traditions. Traditions are beliefs or patterns of behavior that are passed down from
one generation to the next. It is the belief or the pattern that is transmitted. The
action arising from the belief or pattern is created anew with each enactment.
Traditions often become symbolic, conveying a sense of identity within the
organization. Stories are narrations of events. They serve to highlight what is
important, and often convey what cannot be expressed in rational discourse. They
connect seemingly unrelated events into a cohesive pattern that makes sense, and
thus, suggest possible actions in complex situations. Stories also are mechanisms for
sharing information about beliefs, values, identity, and how to interpret the meanings
of events and situations.
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A powerful frame for making sense in an organization is the culture of the
particular institution. It is an interpretative framework in which we make sense of
our own behaviors as well as others who are part of the collective whole of the
organization (Scott & Lane, 2000). In a conceptual paper in which they examine the
concepts of culture, identity, and image, Hatch and Schultz (1997) define
organizational culture as something that “involves all organizational members,
originates and develops at all hierarchal levels, and is founded on a broad-based
history that is realized in the material aspects (or artifacts) of the organization (e.g.
its name, products, buildings, logos and other symbols, including its top managers).”
They argue that all three constructs, culture, identity, and image, are intertwined and
mutually interdependent. The examination of one construct necessarily impinges on
the other two constructs. None of the three can be completely isolated from the
others. In examining culture in higher education, Tierney (1988) defines
organizational culture as “the study of particular webs of significance within an
organizational setting.” He postulates a framework for the study of organizational
culture within higher education that includes: environment, mission, socialization,
information, strategy, and leadership. However, the most succinct definition is that
of Karl Weick (1995, p. 189), “Culture…is what we have done around here, not what
we do around here,” a definition that highlights the interpretative nature of culture.
To engage culture is to talk, particularly talk about shared experiences. Those
organizations that share common experiences are considered to have a “strong
culture,” even if they do not concur on the meaning of the common experience.
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Organization and Governance
It is not my purpose or intention to review the expansive current body of
work on organization and governance in institutions of higher education. However,
a brief overview of organization and governance at this juncture will serve to orient
the reader to the context in which this study is performed.
In contrast to many other organizations, such as private businesses, public
bureaucracies, and even K-12 educational systems, higher education is a
comparatively horizontal organizational system (Mintzberg, 1979). The
administration consists essentially of a president, vice presidents, deans, and
department chairs. While the president, vice presidents, and deans are managers, the
department chairs may be part of management or faculty depending on the
institution. The faculty correspond to the laborers in industry; it is the faculty who
deliver the institutional product, education (Kerr, 2001).
The latter half of the twentieth century has seen a dramatic rise in the student
services part of institutions of higher education. Student services is now a major
component in the organizational structure of most universities. As student services is
typically a part of the administrative structure of the institution (as opposed to the
academic structure), student services is organized in a more prototypical business
and bureaucratic fashion. As this study examines the role of the academic vice
president in institutional change, I will not discuss the organization or governance of
student services further.
53
Using an academic perspective to examine institutions of higher education, a
description of the organizational roles of management would be as follows. The
president oversees the entire college or university and frequently is responsible for
external relations. She reports to the Board of Trustees. The Board working with
the president sets policy and direction for the institution (Kerr, 2001). The vice
presidents are assigned various aspects of the institutional mission to oversee. The
academic vice president oversees the academic part of the mission (Ferren &
Stanton, 2004; Martin, Samels, & Assoc., 1997). The academic deans are
responsible for particular divisions or schools within the institution. And,
department chairs work with faculty within specific disciplines to coordinate the
academic functioning of their area. The interface between management and faculty
typically occurs at the dean – department chair level. It is the dean who represents
management to the faculty, and it is the department chair who represents the faculty
to management (Warren, 1990). The mechanism of resource allocation to
departments varies and is dependent on the particular allocation model used by the
institution.
The governance structure common in institutions of higher education is a
bifurcate model in which management and faculty each have distinct responsibility
and authority for specific aspects of the academic system. Management’s
responsibilities lie with the resource procurement and allocation part of the system
which includes facilities and materials as well as personnel. Faculty’s
responsibilities lie with the curricular part of the system, which includes course of
54
studies, program and curriculum development, faculty hiring and promotion, and
student matriculation through the system (Martin, Samels, & Assoc., 1997). Each
system is highly dependent on the other for the integrated functioning of the system.
As stated above, the day-to-day interface in the two systems occurs at the dean –
chair level. More formal interaction occurs between representative bodies of the two
units, such as a deans’ council and a faculty senate. In formal interactions, policies
and direction will be discussed and agreed upon, allowing effective integration of the
two governing systems (Rosser, Johnsrud, & Heck, 2003).
The academic vice president as the individual responsible for the academic
mission of the institution will oversee the entire process. And, although as part of
management she cannot direct the decisions and actions of the faculty, she does
provide guidance and advice (Austensen, 1997). As the direct supervisor of the
deans, the vice president will serve as mediator and negotiator in the case of conflict
between deans and their faculty. It is the role of the academic vice president to
facilitate academic processes between management and faculty, ensuring that these
processes are integrated and functioning well (Ferren & Stanton, 2004). During
periods of change, the offices and skills of the academic vice president are
particularly critical to the institution to ensure the continued rigor and vitality of its
academic mission. It is the purpose of this study to discover how the academic vice
president in a particular institution of higher education has discerned and performed
his role in an environment of institutional change. The objective is to understand his
55
actions that we might identify patterns applicable to other instances of change where
the leadership required is one of guidance and facilitation.
56
CHAPTER III
Methodology
I think that he has a very level, clear head about institutional structure and
what it takes for different offices that are in little back-waters that are running
OK, but they’re not doing some of the things that they could do. So, he’s
rearranged a lot of things….It’s sort of that larger structural picture.
(Faculty/staff interview)
Case study research examines in depth a specific defined problem, and then
through rigorous analysis develops theory to explain the features and characteristics
of the particular situation (Patton, 2002), takes the pieces, arranges them to
understand their essence, and develops a “larger structural picture.” A well
characterized case study can be used to develop best practices regarding the problem
under study or to induce a theoretical framework that can be tested in other situations
(Merriam, 1998). The purpose of the case study methodology is to study a particular
situation in depth, so that the details and idiosyncrasies that would be missed in a
more global analysis can emerge (Yin, 2003). A more global analysis provides the
general characteristics that can be applied across a wide spectrum. But, this often
misses nuances that are important in understanding the problem more thoroughly, an
understanding which is vital in many instances if we anticipate improving the
situation or remedying the problem (Stake, 1995). The depth of understanding that
emerges from a thorough and critically analyzed case study can be used to consider
and interpret similar situations, and make recommendations based on noted
similarities or differences.
57
In a case study the investigator uses qualitative tools to probe into the
specifics of the problem. Such tools for data collection include interviewing,
document analysis, and observation. Frequently, the investigator is collecting data
from only a few individuals. That is, the sample size is very small and thus, the data
is prone to biases, misperceptions, misunderstandings, and other possible anomalies.
One cannot use statistical analysis to identify or correct for aberrations in the data.
Given the highly subjective nature of the data, validity of the data is a significant
concern. Thus, it is essential that the case study investigator utilize multiple sources
in the collection of data. Authors writing about case study research recommend a
minimum number of three types of data collection to “triangulate” the data for
validity (Patton, 2002; Stake, 1995; Yin, 2003).
Patton (2002) citing Denzin (1978) identifies four aspects of the research
study where triangulation should be considered: data, investigators, theories, and
methodologies. Data triangulation requires use of multiple sources of data that can
provide corroboration for each other. The investigator can assess the various sources
of data for inconsistencies or incongruities that may be introduced due to faulty
memory, understanding, or perception from a single data source. Investigator
triangulation is necessary as each investigator brings particular biases to the research
problem. These biases will affect interaction with the subjects, what data is
collected, analysis of the data, and conclusions that are drawn. If multiple
investigators are used, there is a greater likelihood that individually specific biases
will be offset or balanced by the other investigators. Theories are frameworks that
58
aid in interpretation of the data. Use of a single theory slants interpretation in a way
that may not be consistent with the particular problem under study. In theory
triangulation, use of multiple theories aids in the interpretation of the data by
providing additional perspectives from which the investigator can understand the
underlying framework of the problem. Methodology triangulation is essential, as use
of a single methodology in data collection might miss crucial aspects of the problem
that a more robust design would detect. Multiple methodologies will provide a
richer, fuller description of the case being studied. It should be noted that not all
four of these aspects of a research study may be pertinent in all studies. And, even
when they are of significance, triangulation may not always be practically feasible.
However, the case study investigator must contend with the issue of validity in the
research study and triangulate where possible.
The research problem under study in this investigation is the role of the
academic vice president in facilitating change in the university. The case study
method was selected for this research as the most appropriate methodology to best
understand the particulars of the specific change process under investigation. Daft
and Wiginton (1979, p. 189) argue that the case study approach is best suited to
organizational studies.
“For the processes within organizations, the appropriate research techniques
will have to acknowledge complexity and ambiguity. Reliance on high
variety forms of language will allow us to identify and interpret events based
on the perceptions of humans involved with the system.”
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Through a thorough analysis of the understandings, perceptions, and thoughts of
multiple individuals and documented data sources, I hope to achieve a fuller
understanding of the role of the academic vice president in facilitating change. In
allowing those who are in the situation to speak their stories and in listening to those
stories, I can develop an understanding of how change is facilitated by the academic
vice president. It is in the listening, the observing, and the study of relevant
documents that the nuances of the situation come to light and reveal essential
relationships and significant issues.
Specifically, this research is an instrumental case study. In instrumental case
studies, the particular case is used to probe for understanding on an issue or issues
that the investigator hopes will be revealed in the course of the study. This is in
contrast to an intrinsic case study in which the case itself is of fundamental interest
(Stake, 1995). Instrumental case studies make use of a variety of research techniques
that allow the investigator to cull from the data categories and themes that form an
interconnected web of relationships and a structural framework that can explain the
specificities of the case, which is the ultimate purpose of this project. Research
questions, emergent design, open-coding, and grounded theory, all used in this study,
are often used in instrumental case study work.
This qualitative study contrasts with the quantitative studies of Mech (1997)
and Anderson, Murray, and Olivarez (2002) who examined the roles and tasks of the
academic vice president from a global perspective. In both quantitative studies, the
investigators surveyed academic vice presidents from a large number of institutions,
60
investigating the types and frequencies of tasks performed. The two studies
corroborated each other and found that the principal tasks of an academic vice
president were related to team management, liaison, and caretaking of interpersonal
relationships within the institution. However, surveys do not allow for nuanced
responses, but rather, fit everyone into a standardized set of predefined responses.
The vagaries of the situation are missed. In this research study, I examine the
academic vice presidency of a single institution, seeking to understand the
perspective, actions, and behaviors of the individual in the office, in particular
examining how he approached, developed, facilitated, and implemented a specific
change on his university campus. The conclusions from this work can be juxtaposed
to the conclusions from the work of Mech and Anderson, Murray, and Olivarez and
their global approach to the problem, and the differences between the specific and
the general assessed. However, more importantly, this work will provide a detailed
analysis of a singular problem, a problem that is a significant concern on campuses
throughout the country. Change is a fundamental part of the business of higher
education today. It is vital that we develop an in-depth understanding of how to
effect and manage change in our institutions of higher education, institutions where
tradition is a value and shared governance is the standard, and thus, where change is
invariably suspect, of necessity collaborative and slow, and always hard-won.
The purpose of this research study is to more fully understand the role of the
academic vice president in facilitating change within the academic institution.
Initially, as the particular change process was not known in advance, it was not
61
apparent what avenues or interviews would prove necessary for the study. The
initial design was deliberately flexible and open-ended, using emergent design as
described by Patton (2002). In emergent design, the researcher develops the
specifics as the research progresses. It is the on-going results of the study that
provide further direction as the study progresses. This design is necessary in studies
that are ambiguous and where the variables are unknown at the outset of the study.
This particular study fits these criteria. The question was known, but a variety of
directions could have emerged from the initial interviews. It was impossible to know
or identify beforehand all the possible outcomes. Therefore, the study was guided by
the initial interviews in determining further design and areas of exploration.
In the paragraphs that follow, I first review the research question that this
study addresses, and I then discuss the research site and population and why they
were chosen. Subsequent to this is a discussion of the research design, how the
particular study participants were chosen and a detailed description of the data
collection process. Three methods were used to collect data and the purpose and
processes of each method are detailed. The instrumentation used in the interviews is
considered along with the creation of a written record. The transcription process is
described. This chapter concludes with a discussion of the procedure for data
analysis and a consideration of the ethical issues involved in the study.
Research Questions
This study addresses the question: What is the role of the academic vice president in
facilitating the implementation of change in a university?
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The following sub-questions flow from this over-arching question.
1. How does the academic vice president effect the implementation of a
particular change arising form the university’s strategic plan? What
activities does he engage in to accomplish this objective?
2. How does the academic vice president assist the institution in making sense
of the change? What messages does he utilize?
Research Site and Population
The research site was chosen using purposeful sampling and is an example of
a typical case (Patton, 2002). The particular institution Jesuit Pacific University
(JPU, a pseudonym) was chosen because it was undergoing a deliberate change
process, of its geographic proximity to the researcher, and the administration was
willing to commit the required personnel time to the research effort. The institution
itself is an urban, West-coast, private Catholic university that in the past has focused
on undergraduate liberal arts education. It is classified by Carnegie as a: Master’s L,
medium-sized, four-year, primarily residential campus. The institution is under the
direction of a university president, who must be a Jesuit according to the university’s
by-laws. The president reports to a Board of Trustees. The institution has a number
of master’s programs, and has recently added an Ed.D. program as its first doctoral
program. The institution has a moderate endowment, and is moving towards a
revenue-based funding mechanism for its schools and colleges.
This study focused on the single individual who occupies the office of
academic vice president (avp) at the study site, but the research population also
63
consisted of those faculty and staff that participated closely in the particular change
under examination. The individual who serves as academic vice president is in his
second year in the position at JPU. This is his first vice presidency, having served as
dean in his prior position at an eastern university. This prior institution was a
doctoral degree granting institution where research was a significant focus for the
faculty. All of the academic vice president’s previous positions have been at public
institutions of higher education.
The faculty and staff who were interviewed were chosen based on their
knowledge of the change event being studied. All were actively engaged in graduate
education as a part of their duties at the university. All have been at JPU in excess of
six years and were well acquainted with the former academic vice president and his
administration. Most chose to join the faculty at JPU because of its intimate, familial
climate and its focus on teaching. Several of the interviewees have been at JPU for
their entire professional career. To obtain as diverse a sampling of faculty and staff
as possible within this cohort who are knowledgeable about the change event,
selections were made from a variety of organizational levels as well as from varied
departments within the institution. Collection of data from individuals throughout
the organization provides a richer description of the study topic and offers broader,
more generally representative perspectives. Interviews with multiple individuals
also serve to triangulate the data (Patton, 2002, p. 247). In assessing consistency in
the interviews, it was found that the description of the facts regarding the study topic
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was similar from all research participants, which both corroborates and further
triangulates the data.
Research Design
The particular change process investigated in this study was suggested by the
academic vice president in the initial interview as a change that the institution was
currently undergoing. Study participants were then selected using the method of
purposeful sampling, specifically intensity, criterion, and snowball sampling (Patton,
2002, pp. 230 – 244). As the focus of the study, the academic vice president served
as an “information-rich” case (intensity sampling). He manifested “the phenomenon
of interest intensely (but not extremely)” (Patton, 2002, p. 234). To determine
additional study participants the academic vice president made recommendations of
individuals with whom he had worked on the particular change being studied
(criterion sampling). If, during the course of interviews with these individuals,
suggestions were made of other individuals to interview, these additional people
were then added to the interview list (snowball sampling). Data collection continued
until data analysis demonstrated that a saturation point has been reached in the
interviews with the vice president and a significant variety of faculty and staff had
been interviewed. At this juncture, additional interviews were unlikely to result in
further insights into the research question.
Three types of data were collected for this study: 1. interview, 2. observation,
3. document analysis. Use of multiple types of data is data triangulation and
described by Patton (2002). This form of triangulation is generally recommended by
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authors describing case study research (c.f. Merriam, 1998, p. 207; Stake, 1995, pp.
107 – 116; Yin, 2003, pp. 97 – 101). This important aspect of qualitative research
contributes to the accuracy, validity, and reliability of the data. It fills in gaps that
are the result of incomplete data, and it, also, validates data obtained using other
methods. There is greater assurance regarding the credibility and trustworthiness of
results and interpretation. When the data from multiple sources is contradictory, the
investigator can probe deeper to obtain a more accurate portrayal of the issue
(Patton, 2002). Triangulation was also achieved through multiple interviews with
the same person and interviews with multiple individuals asking similar questions.
The academic vice president was interviewed using the interview guide
approach (Patton, 2002, pp. 343 – 344). In this interview technique, the subject
matter and topics to be covered are determined in advance, but the exact questions
are determined during the course of the interview. The topic under study provides
the context of the interview, yet flexibility in data collection is retained. Using this
method, the interviewer can adjust the questions and orient the direction of the
interview depending on the answers provided. As the purpose of this research was to
understand the role of the a single individual as fully as possible, it was impossible to
know ahead of time the precise questions necessary to understand and explore this
role in the change process. Therefore, flexibility in questioning was essential in the
interview process. The academic vice president was interviewed four times over a
five week period. The initial interview was to identify the particular change process
to be studied and to collect background information; the two middle interviews
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explored the change process in detail; and the final interview, occurring after most of
the faculty/staff interviews, allowed for clarification of points of ambiguity from
earlier discussions with the vice president as well as from the faculty/staff
interviews. The final interview also provided closure to the process.
Interviews with faculty and staff were done using the standardized open-
ended interview format, in which the questions are pre-determined in advance of the
interview (Patton, 2002, pp. 344 – 347). In the interviews with the associates of the
vice president, the purpose was to more fully understand the academic vice
president’s role in the change process from a variety of perspectives and to glean
additional information on specific issues raised by the academic vice president in
order to have as complete an understanding as possible. As the nature of the data
being sought was known, the wording of the questions was determined in advance to
ensure that the desired information was obtained and could be compared between
individuals. (See Spradley, 1979, for an excellent discussion on the development of
interview questions.) However, with most faculty and staff interviewees, this
method was combined with the interview guide approach. Not all pre-determined
questions were always asked, as sometimes the answer to a particular question was
given in response to a question posed earlier in the interview. Also, other topics
raised by the interviewees that seemed relevant to the issue being studied were often
explored in greater depth. Those interviewed included a dean, the faculty senate
president, a representative on faculty senate, and members of the graduate council,
all of whom were involved directly or indirectly with the change process under
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study. Interviews with both the vice president and the faculty and staff lasted about
one hour.
Observation of the academic vice president in interaction with faculty and
staff provided data to corroborate information obtained in the interview process. The
situations observed were suggested by the vice president as events that could provide
data specific to the change process under study. A meeting was observed of the
graduate council where the hiring of the new vice president for sponsored projects
and graduate education was addressed. Also observed was a podcast of the academic
vice president’s convocation speech to the university where he explained and
elaborated on the various changes he was introducing in academic affairs.
Document analysis served as the third part of the data collection of this study.
The documents supplemented the memories of the individuals interviewed and
corroborated that data as well as the data obtained from the observations. Selection
of the particular documents for analysis was determined from suggestions made
during interviews and from what was available for review. Documents obtained and
analyzed were minutes of the graduate council meetings, graduate council by-laws,
minutes of faculty senate meetings, student newspaper articles, the vice president’s
convocation speech, the university’s strategic plan, and general information from the
university’s website.
Table 3.1 summarizes the data types and sources used in this study, the
purpose of the each type of data, and when the data was collected.
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Table 3.1: Summary of research design
Type of data Purpose Source of data When data collected
Primary interviews Collect data to answer
research questions
Vice president January and February
2007
Secondary interviews Collect data to address
research questions and
corroborate data from
primary interviews
Individuals
recommended by vice
president and via
snowballing; dean,
director, and four
faculty members
February and March
2007
Observation Data to supplement
and corroborate
information obtained
from interviews
Graduate council
meeting which is a
focal point for the
change under study and
a group with which the
academic vice
president is actively
engaged, podcast of
convocation speech
February 2007
Document analysis Another source of data
to triangulate study
JPU strategic plan and
website, graduate
council minutes,
graduate council by-
laws, faculty senate
minutes, student
newspaper account of
change, podcast of
convocation speech
February 2006 to
March 2007
Instrumentation and Creation of Written Records
The interview questions were developed by the investigator for this particular
study. Questions were written to avoid “leading questions” and to reduce researcher
bias in anticipating data or the answers to questions (Patton, 2002). Appendix A
contains a verbatim inventory of all interview questions. All interviews were tape-
recorded by consent of the interviewees and lasted for about an hour. Written notes
taken during the interviews provided an alternative record of the interview. Written
notes were the primary data source for the observations.
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The tape recordings of the interviews were transcribed verbatim by myself,
the researcher, to ensure transcriptions that accurately conveyed the thoughts and
musings of the interviewees. (See Vale, 1996, p. 163 – 175 for a discussion of
interview transcription.) Repetitions, digressions, pauses, and fillers (e.g. “you
know”) were included in the primary transcripts to contextualize the written
conversation as accurately as possible. However, where these syntactical features
obscured understanding, confused the speaker’s intended message, were ancillary
fillers, or impeded clarity for the reader, they were eliminated in the quotations cited
in this dissertation. Where these syntactical features were crucial to the speaker’s
intended message, they were included in the quotations cited. Additionally,
references to individuals by name were changed in the transcripts to maintain
confidentiality of the individual and the institution. The majority of the
transcriptions were electronically sent to the interviewee for confirmation of
accuracy. This practice was discontinued about two-thirds of the way through the
study as all transcriptions to that point were deemed acceptable with no changes.
Meeting observations were not tape recorded. The academic vice president’s
convocation meeting was recorded by the institution for podcasting, and it was this
recording that was used as the data source. Hand-written notes were taken during the
interactive meeting that was observed. These notes were typed up and sent to two
individuals present at the meeting for verification of accuracy. Corrections to these
notes were incorporated into the written record that served as the source of data for
analysis.
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Analysis
Following transcription, the interviews were coded and then analyzed for
recurring themes. The purpose was to evaluate the data for emerging patterns (Miles
& Huberman, 1984). Analysis was on-going throughout the study in order to
identify possible issues to explore more thoroughly in subsequent interviews. Rubin
& Rubin (2005, pp. 221-223) refer to this as “open-coding” and identify it as one of
the essential features of grounded theory approach to case study research. Initial
coding identified 35 different themes. These were organized and structured under
nine different category headings (Patton, 2002, pp. 463-466). Analysis resulted in
grouping each of the nine categories into one of two general types of themes,
structural changes or cultural changes. The data is presented using this
categorization system.
The coded transcripts of the vice president were analyzed separately from
those of faculty and staff, and then all transcripts were analyzed together to identify
themes. Once the themes were identified and organized, each set of transcripts were
analyzed for the frequency of occurrence of the themes. Comparison was made of
transcripts from interviews with the vice president with those transcripts from the
faculty and staff to determine differences in the patterns of the themes within each
set (avp vs. faculty/staff). Observation notes and document records were analyzed
throughout, both for corroboration and additional themes. From this process a
cohesive story emerged of the change process at JPU. The themes fell into two main
categories: those themes that revolved around structural processes encountered in the
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change process, and those themes that coalesced around broader, more fundamental
issues and values that related to the culture of the institution. The themes were
related to and emerged from each other, and together formed a complex web that was
“part and parcel” of the change process under study. This complex web of
interrelated themes is the basis of an “explanatory scheme” (Patton, 2002, p. 490)
that addresses the research question, the role of the academic vice president in
facilitating change.
This is the process of grounded theory, a technique that develops theory using
qualitative research based in the specific events of a process or situation under study.
Grounded theory builds from the ground up. It is an inductive process that generates
abstractions from the concreteness of actual occurrences (Rubin & Rubin, 2005).
Grounded theory uses interviews, observations, and document analysis as its source
of data. Themes are identified by a “constant comparison” of one set of data to the
next, going back and forth looking for patterns (Merriam, 1998). Emergent design is
frequently used in developing grounded theory as this process allows the investigator
to collect data until the no further themes or patterns emerge from the data. It also
allows the investigator flexibility to pursue alternative paths leading to new themes
during data collection. The emerging patterns establish relationships between the
various themes. In this way, the investigator is able to generate theory regarding the
problem under study (Patton, 2002). The grounded theory should be able to explain
in a consistent manner the various elements of the problem under study. The theory
is not generalizable to other situations, but can form the basis of a broader
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understanding the particular case under study and suggest significant features and
patterns for future work.
In the presentation of the data in the following chapter, I organize the data
such that it builds from the story of the specific change studied, the hiring of the vice
president for sponsored projects and graduate education, through to the broader
issues emanating from that particular change and that form the basis of the grounded
theory that I discuss in the final chapter. However, my interpretation is not the only
possible interpretation, or necessarily the correct one. It is the interpretation that the
data speaks to me. In order that the reader can draw her own interpretations, I make
liberal use of citations supporting my understanding. This will assist the reader in
forming a clear mental picture of the situation and in experiencing a personal
connection with the perspectives of the interviewees. Thus, the reader will be able to
more readily develop her own “naturalistic generalizations” (Stark, 1995).
Ethical Issues
The cohort study “Lessons in Academic Leadership and Systematic Change:
A Case Study Analysis of One Private Catholic Institution of Higher Education”
under the guidance of Dean Karen Gallagher was reviewed by the University of
Southern California’s University Institutional Review Board, and was approved as
ethically appropriate. As no procedure was performed on the study participants and
no children were involved in the study, this research project is not human
experimentation as the term is usually understood. Thus, the research protocol fell
under the expedited process of review by the university and was granted exemption
73
from the regulations 45 CFR 46.101(b) (2). None-the-less, in researching
individuals’ values, perceptions, and understandings in the course of their work,
there is the potential for an impact on their professional life. Ethical issues are of
concern and must be considered. It should be noted that the study was conducted
under the guidance of two experienced research investigators who could provide
expertise and counsel in all matters relating to the study, including ethical and moral
issues.
The purpose of the project is to study and report on a difficult process and
describe how individuals are coping with and understanding it. The goal is to report
the data as accurately and truly as possible, while at the same time protecting the
confidentiality of the participants and the institution. Thus, while remaining true to
the data and the picture that emerged, data used in reporting and citations were
scrutinized and assessed for possible compromise to the privacy or standing of any
individual. Any statements that I thought might possibly compromise privacy or
standing were not reported or cited. However, not all citations are necessarily
complementary to all individuals. There is a fine line that I attempted to straddle of
being faithful to the data, while at the same time being sensitive to the individuals
involved in the story of this particular institution. I have a tremendous respect for all
the individuals who shared with me their version of the change process at the
institution they very much love. Each in their own way was courageous in their
willingness to share, and each demonstrated a self-reflective nature that I came to
appreciate as a part of the culture of the institution. I take full responsibility if I have
74
erred in being on the wrong side of the line and did not appropriately appreciate how
a given statement might affect an individual or the institution. I apologize for any
such offense.
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CHAPTER IV
Results
“[W]e’ve got offices collecting data all over the place and it doesn’t come
together and inform the entire campus…”
“[H]ow do we reframe this so that people are interested and see the
importance of it?”
“What we want is for people to be open to new ways of thinking about
things…”
(AVP interviews)
The Story
By all accounts Vice President Easterly was a dynamo of a vice president,
and one of the most collegial administrators most Jesuit Pacific University (JPU)
faculty had known.
Our previous vice president was a person who believed you always asked
everybody, and wanted you to have everything. He wanted everybody to be
happy, everything to be fair….[H]e really worked hard at involving people in
the conversation and hearing people and making appointments with people.
(Faculty/staff interview)
His resignation was felt as the loss of a dear friend to many throughout the
institution.
It took more than a year to find a suitable replacement. Dr. Westerly was
carefully selected, and deemed to be the individual capable of doing the job of
moving the institution to the next level of academic excellence, which the university
was striving to achieve. Senior Vice President of Academic Affairs Westerly took
his job seriously and with clear-sighted and objective ardor plunged into his assigned
task from Day One in his new office. There were some clear priorities that needed
to be attended to in the first year: the role of the deans needed to be clarified;
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enrollment management for the following year’s freshman class needed oversight; a
vice president was needed to oversee enrollment management; a dean of libraries
needed to be hired as library construction was underway; the offices to coordinate
data collection needed to be pulled together; and a vice president to oversee data
warehousing needed to be hired. Focusing on areas that needed attention, aligning
offices in a structural configuration that made logical sense, and development of a
robust budget to support continued growth seemed to be the guiding principles in
many of the changes in the new academic vice president’s first year.
JPU is a tuition driven institution. The endowment is modest and growing
through the efforts of a successful capital campaign. However, additional revenues
are critical for institutional health. To contain rising tuition costs, other sources of
revenue are essential. Additionally, JPU is undergoing an identity shift. In past
strategic plans, the university identified itself as a liberal arts college. In the current
strategic plan, the identification is as a comprehensive university with a focus on
growing and improving graduate programs and the graduate experience.
We are lucky because the president is also graduate driven. When he came
seven years ago and he laid out his vision, of the five things that he said at
least three of them had graduate components. (Faculty/staff interview)
Graduate students require research programs, and research programs require funding.
Although the university is able to offer some internal grants, the number and amount
are limited. External grants would provide additional funding revenue. Grants and
graduate education seemed to go hand-in-hand. The idea of combining the two to
focus the university’s attention on this area made administrative sense. However,
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not all faculty shared the same perspective. “It never occurred to me that those two
things would be put together, even though I now learn that at a number of campuses
they are.” (Faculty/staff interview)
As his vision crystallized, the new senior vice president for academic affairs
envisioned three major areas in academic affairs: undergraduate education,
sponsored projects and graduate education, and enrollment management. The staff
person overseeing each area would be a vice president, emphasizing the importance
of each area in the university’s vision of its future.
When I came in…I was looking at the fact that there really had not been any
reorganization of academic affairs for many years, for almost twenty
years.…Things just really needed a good going over and needed to be not
only more efficient but more effective. I started thinking about this,...how
should the work in academic affairs be divided? Obviously, there’s a place
for undergraduate education, a need for research in graduate studies, a need
to reorganize enrollment management. Those are the three pillars in
academic affairs that really needed to be reorganized and have focused
leadership and people in there who could really do the job. (AVP interview)
In the fall semester of his first year Vice President Westerly began talking to
the deans, to the graduate council, and to the faculty senate about creating a vice
presidential position that would combine oversight of grants and graduate education.
However, his message was heard by few faculty. Few JPU faculty are involved in
graduate education, and few paid any heed.
I heard about [the position]…maybe last spring? I’m trying to remember…it
was in the early, it was probably in the early fall [of this academic year]. It
might have been last spring; I don’t remember. (Faculty/staff interview)
In the fall of his second year, Vice President Westerly formerly announced
the position for vice president of sponsored projects and graduate education,
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simultaneously elevating the status of graduate education at the university and also
sending a clear message that signaled a focus on research and funding in the
institution’s priorities. The vice president convened a hiring committee. The
directions committee members heard were, “’If you are going to err on the side of
graduate or research [experience], err on the side of somebody with stronger research
credentials,…’” (Faculty/staff interview) Faculty response was one of concern.
“There was a real sense that we’re just getting people apparently for
administrative skills, and if anybody is being looked at, it’s on the grants
side, it’s not on the graduate side. There was real discussion about [this.]”
(Faculty/staff interview)
The committee began its work in late fall with the objective of completing its
work prior to the Christmas break.
They were in a rush. In December we kept saying, this is the holiday month.
But, we had to do it. He was hoping to make an offer before the holiday
break. It didn’t work out because we had to invite the two finalists in
January, and then we were done with it. (Faculty/staff interview)
As a part of the interview process, the finalists for the vice presidential position were
brought to the campus. Faculty were invited to meet with the candidates and ask
questions. However, the end of term calendar, the imminent holiday break, and the
rush to complete the process seemed to take a toll on this part of the process.
Locations were announced that were moved, but the move wasn’t announced.
So, I had a lot of friends go to hear one person and there was an empty hall,
and fortunately, somebody saw the sign that said where it was….There were
embarrassing moments of [the candidate] showing up for an open meeting for
all faculty…and three or four people coming. (Faculty/staff interviews)
In the final phase of the process, the hiring committee met with Vice
President Westerly.
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[The vice president] was there, and then he went around the room. He did
not want us to vote. But, I think he could have been a lot clearer at the
beginning, because I took that as, “You’re going to do all this work, and then
I make the decision.” And, that isn’t what he wound up doing. He wanted
people individually to speak. And, that was very helpful. So, he went around
the room and each of the many members of the committee spoke to [the vice
president] directly and said, this is what I think and why. (Faculty/staff
interview)
Vice President Westerly made an offer to one of the candidates at the end of
January. The individual who would be the new vice president of sponsored projects
and graduate education was formerly announced at the February meeting of the
graduate council, and subsequently to the rest of the campus community.
Interpretation of the Story
Emerging from the story of this change process is a sense that there is more
to this story than the surface telling reveals. In reviewing the data it was apparent
that the creation of a new vice presidential position within the organizational
structure of the university necessitated a number of additional changes. The
structure of the office of academic affairs needed to be reorganized to accommodate
the new high level position. Because the position created another administrative
layer between the academic vice president and the faculty, the new position
necessarily altered the relationship of the faculty to the academic vice president. The
creation of the new vice presidential position also signaled a greater formalization of
the administrative body and more formalized roles. These changes in structure and
the increased formalization altered a number of practices regarding procedures for
accomplishing tasks and in some instances called for changes in policy. Together,
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the changes in organizational structure, the formalization of roles, and the changes in
practice dramatically altered the relationship of the academic vice president to the
faculty. These changes signaled to most faculty and staff a clear change in the
culture of the university and were cause for concern amongst some regarding the
identity of the institution.
To unpack the meaning of the change process as described in the story, the
interview transcripts of the academic vice president, the faculty and staff, and the
convocation speech were coded line-by-line. Thirty five themes emerged that were
grouped into nine categories. Reflection on these nine categories suggested two
broad categories that encompassed the various changes initiated by the academic
vice president – structural changes and cultural changes. Faculty senate minutes and
the observation of the graduate council meeting supported this interpretation.
In the following section, I describe my interpretation of the change process
providing appropriate quotes from the data to support my interpretation. Under
structural changes I will discuss the reorganization of academic affair, the changing
role of the deans, formalization of policies and procedures, the role of the faculty,
and college governance and administrative authority. Under cultural changes I will
discuss relationships with a focus on the relationship of faculty and staff with the
academic vice president, communication, mission, and identity. I present the
perspective of the academic vice president in introducing the changes within the
university and also present responses of faculty and staff to these changes.
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Structural Changes
Reorganization of Academic Affairs
The academic vice president believed that restructuring and redesigning
academic affairs was fundamental to improving the effectiveness of the academic
mission of the institution and to enhancing the financial basis of his reporting areas.
The AVP initiated changes almost immediately. Within the first year,
responsibilities and roles were modified, new positions created and people for those
positions hired, and reporting structures reorganized. The hiring of a vice president
of sponsored projects and graduate education occurred in the academic vice
president’s second year in office. The vision was bold.
We are establishing a far more focused area in research in graduate
education. In the next week or two, I hope to hire a vice president for that
area. Within that area will be sponsored projects, will be graduate studies,
and will be extension. So, everything that we do that is at the post-
baccalaureate level will be involved in this particular office. This is new for
the university. We certainly have for some time had graduate programs, and
we have had an academic grants office, and an extension office. But, they
really haven’t been tied together under a kind of focused leadership that we
really need to do at this point in time. It’s sort of been something like, sure,
we have one of those, we have one of those, we have those. But, the focus
has always traditionally been on our undergraduate mission. And, so now,
holding faithful to that, we are ready to expand and branch out and pay more
attention to these other things. (AVP interview)
A significant part of the vision was to improve the financial standing of the post-
baccalaureate areas. “…this person needs to really help us increase our external
funding and really help faculty be able to do that.” (AVP interview) However, the
academic vice president was keenly aware that the change generated concern
amongst the faculty. He worked to explain his vision and rationale for this position.
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There’s a great deal of interest in people’s minds in what’s going to get the
most attention, is it going to be graduate studies or is it going to be sponsored
research….What I’m trying to do is get people to think that these aren’t
mutually exclusive, that research and graduate education, there is a lot of
synergy between the two for both faculty and for students. But, that’s not a
way that the university has really thought about this in the past. (AVP
interview)
The decision to restructure academic affairs in a way that included a focus on
graduate education was a welcomed change by the faculty and staff that were
interviewed. The general perception amongst this group was that in the past
graduate education had been treated mostly as a stepchild by the larger institution.
They looked forward to the new vice president of sponsored programs and graduate
education as helping them to move the graduate education agenda forward within the
university.
In the past it has felt like we were after thoughts and not given sufficient
attention. I am looking at this change in a positive way. He will hopefully
create more awareness at the university level for the graduate division.
Graduate programs are important. They need resources, human, financial,
more faculty, more staff. (Faculty/staff interview)
I’m hopeful that this person will develop a structure, an administrative
structure to support the graduate programs that is sufficient, efficient, and
really does what we need it to do, and really sees us as not just kind of always
sticking band-aids on things, and always begging for financial aid, and
begging for this. (Faculty/staff interview)
For the most part, faculty and staff both understood the need for the restructuring and
supported the changes. The changes in reporting structures made sense to faculty.
Among some faculty there were concerns regarding the number of
administrators being added and the impact that was having on the relationship of the
academic vice president to faculty.
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It appears almost like there is a string of vice presidents….There’s an
appearance that [the vice president for academic affairs] wants to divorce
himself and push himself away. (Faculty/staff interview)
However, in general faculty did support the creation and hiring of the new position
for vice president of sponsored projects and graduate studies. There was a consensus
among faculty and staff that this position was integral to the future of the university.
[F]rom my perspective I thought [the vp of research and graduate studies]
was something that we that we need. I think some faculty are not as
convinced that we need more administrators….[B]ut I think we need more
infrastructure to be able to support the kinds of work we do. Plus given the
goal of becoming a comprehensive university, and we now have our doctoral
program, I think we need more systems in place, processes in place, policies
in place, resources and so forth, and I think to have someone with that kind of
expertise and experience would be very helpful. (Faculty/staff interview)
It was the understanding of the university’s future as articulated by this faculty
member that was the academic vice president’s rationale for the restructuring of
academic affairs and the creation of the new position, and the understanding that the
vice president had shared with faculty and staff in explaining the need for the
position.
The impact of the reorganization of academic affairs has yet to be completely
felt by the institution. Only one of the three new vice presidents has been hired. The
second, the vice president of sponsored projects and graduate education has been
hired, but has not yet assumed his duties. And, the third is to be hired next year. It is
probably the hiring of the vice president of sponsored projects and graduate
education that will have the biggest impact on the faculty in the university, as the
focus on graduate education suggests a broader role for faculty within the institution,
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a role that will include both formal teaching duties as well as development of
research projects or creative works.
Changing role of deans
As a result of discussions with faculty and administrators prior to being hired,
the academic vice president had identified his first actions, should he be hired. The
deans needed more autonomy and needed to be able to make decisions regarding the
faculty in their schools and colleges. Empowering the various schools and colleges
via their deans was a first priority.
One of the things that…I really focused on my first year is the role of the
dean here. Historically, deans have been somewhat figureheads….And so
one of the first things that I felt was important to do was to give the deans
more authority. They certainly have responsibility, but I think if you’re
going to give people responsibility, you need to give them authority, and then
you need to hold them accountable for what they’re supposed to do. So, last
year was a lot of changing that process and moving decision making down to
a more localized level, so that the deans were charged with that. (AVP
interview)
However, changing behavior doesn’t happen overnight, it takes time for people to
learn new ways of doing things and to think about their job in a new and different
way.
And, they’re still learning. A number of our deans came up through the
ranks….So, there hasn’t been a lot of outside experience amongst the deans,
and so, they’re still learning how to be more autonomous deans than has been
historical. (AVP interview)
Again, the faculty and staff were generally supportive of this change in the role and
administrative duties of their deans.
[The AVP] puts a lot of responsibility and workload on the deans to begin to
manage their own respective schools in ways that frankly his predecessor did
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not allow. So, the good news is they have a whole lot more freedom to
judgment. And, the bad news is they have a whole lot more work.
(Faculty/staff interview)
Like all changes there were challenges and problems that surfaced,
recognized by both administration and faculty. Under the previous academic vice
president academic affairs was more centrally organized and performed many of the
duties the new academic vice president expected of the deans. Channels of
communication between administration and faculty were expected to run through the
deans. The channels had not been established as faculty had previously worked
directly with the academic vice president. A change in institutional culture was also
necessary for the same reason. Changing culture takes time, and in the absence of
ritualized processes takes even longer. The change in the role of the deans occurred
faster than the institution could adapt. This became apparent in the beginning of the
academic vice president’s second year when faculty brought significant pressure to
bear requesting improvements in the mechanisms of communication between
administration and faculty.
Formalization of policies and changes in practices
Changing organizational structure along with the modification of roles and
responsibilities necessarily results in changes in organizational procedures and
practices. Formalization of policies leads to greater consistency in practices across
the organizational structure and across time. This goal was generally approved of by
faculty as it was seen as necessary to improve the status of the university.
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I think also [the AVP] wants to establish more processes that are
documented, that are written, so we have more consistent guidelines and we
have more consistency across colleges and schools….And so, I think he’s
trying to put in place all the processes that we need in order to achieve our
goal of being one of the best Catholic universities in the country and to be a
comprehensive university. (Faculty/staff interview)
A seemingly innocuous change was the development and approval of by-laws
for the graduate council, a faculty body that oversees graduate education and
curriculum in the university. The by-laws formalized much of what the body was
already doing, but in so doing it gave institutional validity to a university body that
generally saw itself as a step-child in the university hierarchy. This signaled to
faculty that the vice president was committed to improving the status of graduate
education in the university.
A significant change that the AVP instituted towards the end of his first year
was the transfer of authority to award internal faculty grants from the academic vice
president’s office to the deans’ offices at the schools and colleges. The faculty were
surprised by this change and reacted strongly.
I think [the AVP] wanted to change the kind of priorities and mindset of
faculty about grants, but he just announced it as a change in policy…without
preparing the ground, without talking it through, without sort of consulting
faculty at all or deans, and it ended up there was a pretty visceral exchange…
(Faculty/staff interview)
By far, the biggest and most difficult change for faculty was the expectation
that they were to operate within the organizational structure. If a faculty member
had an issue or problem, they were to work first with their chair and then with their
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dean. The deans were given the authority to make decisions that they did not make
previously, and the academic vice president would support them.
…there was a bit of a perception that I wasn’t particularly accessible because
I wouldn’t just sit down and cut a deal with a faculty member without the
support of that individual’s chair or dean. And, as I’ve been explaining to
people, it’s not that I am inaccessible at all. I’m happy to sit down and talk
with people about ideas and what they want to do. But, I’m not going to
shake somebody’s hand and hand them a check without the support of their
chair or their dean. That’s a real change in practice from a lot of things that
have taken place here. So, that’s been a big change, too. (AVP interview)
This change in practice dramatically affected the relationship faculty had with the
academic vice president. Whereas in the past faculty could accomplish a task
through direct access to the vice president, this was no longer the case. “With the
former AVP, people used to just walk in. But, with the current AVP you can’t do
that anymore. You have to go to your dean.” (Faculty/staff interview)
Role of faculty
Changing relationships within the institution necessitated changing roles and
expectations of what people were to do in their daily work. Identified as a liberal
arts college, the focus of JPU’s faculty was primarily on teaching. Without losing
the teaching focus, the academic vice president wanted faculty to consider broader
opportunities.
The work of universities is still teaching, research or artistry, and service.
That’s the holy trinity of my area. That’s what we do. And, now there are
more things that branch out from that, but that’s really the core competencies
of universities. So, whatever you can do to help strengthen that, whatever I
can do to help strengthen that, is exactly the right thing to do. And also, but
within that, finding new and exciting opportunities for people to pursue in
their own work, but also in programs that better benefit our students. (AVP
interview)
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However, if faculty were going to be encouraged to broaden their traditional view of
their work in the institution, this would entail a number of changes and required
support to assist them in developing necessary skills. If faculty were to seek outside
funding, they would have to learn the processes and procedures involved in seeking
and applying for external funding. They would need support throughout the
application process and in submission of required reports to the granting agency.
The academic vice president hoped that additional support would encourage faculty
to apply for external funding. If a few were successful, they could encourage others,
citing the benefits to students and the opportunities to conduct more significant work
than would be possible with the nominal internal funding that was available.
Compensation and workload would have to be looked at so that those faculty
seeking outside grants were not unfairly overloaded in taking on this additional
institutional task. Additionally, the opportunities for faculty had to be fairly
distributed across the institution.
And, one of the reasons why I wanted to do that is because I really felt like
our faculty in the arts were being short-changed because they don’t do
regular type research. What we were trying to do with the program was for
people who do more quantitative or qualitative research was to target the
grants to people who had ideas that could eventually be translated into a
proposal for external funding. And then, to help our art faculty to produce
things that could be juried or would help them have an exhibition or a
showing or a performance or something like that. (AVP interview)
When successfully implemented, the anticipated result was an enhancement
in the reputation of the institution. This would in turn attract more and better
qualified graduate students to the institution, which would allow the institution to
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expand its doctoral programs. This was the ultimate goal in the creation and hiring
of a vice president for sponsored projects and graduate studies. However, first a
change in culture was needed. The institution needed to clearly articulate an
understanding of what constituted faculty workload at a comprehensive university as
opposed to a liberal arts college. And, a change in the mindset of how faculty
viewed themselves and their institution was necessary. Faculty expressed concern.
There’s talk of rethinking faculty teaching load, but I’m really worried about
how that’s going to go, because I think you’re going to be able to be
evaluated, if you do less teaching then you have to do the research. So, it’s
going to create new tensions among faculty. (Faculty/staff interview)
If faculty were to accept the academic vice president’s offer to broaden their
responsibilities, they would need a better understanding of the change, how it would
benefit them and their institution, and what the changes in processes and policies
would be. The vice president needed to make sense of the change for faculty. He
needed to engage more of the faculty and discuss with them the suggested change in
their role within the institution.
College governance and administrative authority
Changes in organizational structure, changes in reporting lines, and changes
in the roles and duties, all alter the authority and governance structure of the
institution. This can give rise to significant issues relating to balance of power,
especially in the academy where shared governance is the norm.
What we seem to think is that the real challenge is in communication. It’s
not so much that people dislike the change or think that it’s wrong. It’s a
matter of on what aspects of change do you confer. Because that’s a big
thing in the academy, shared governance and those issues. So, what are the
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things you collaborate on, what are the things that you confer on, what are the
things that administration does just because it’s something you have to do
related to the law or other issues like that and there really isn’t any
negotiating over it, but it’s a matter of letting people know there’s been a
change in policy or there’s been a change in practice. (AVP interview)
Collaboration is a necessity in a system of shared governance. Any
administrator that cannot operate in a collaborative manner with faculty will not be
able to accomplish much in the way of institutional change. The academic vice
president worked at establishing a collaborative environment. He developed joint
task forces consisting of both faculty and administrators, and he modeled a more
collaborative type of leadership in soliciting input from faculty and in the
transparency that he brought to his office. In general, faculty and staff appreciated
the increased openness and decentralization of authority.
[The AVP] has really, in a relatively short time, begun to manage some of
what I believe was either chaos or secret about the campus and the structures
of administration. His predecessor was very much the kind of person who
pulled into the center of his own sphere of influence anything that he could.
And, the current AVP is doing quite the opposite. He’s letting go of,
delegating, and insisting that at the college level or at particular program
level people take very serious leadership for their work. (Faculty/staff
interview)
However, some concerns regarding shared governance remained.
I would hope that [in five years] there is more clarity in terms of governance
and that there is more shared decision-making in terms of governance, and
that we would have the resources and infrastructure to accomplish our goals.
(Faculty/staff interview)
In summary, the structural changes that were a result of the decision to create
and hire a vice president of sponsored projects and graduate education were 1. the
reorganization of academic affairs into three functional units, one of the three being
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sponsored projects and graduate education, 2. the changed role of the deans,
empowering them to make decisions regarding their schools and colleges and
making them more accountable for the work of faculty in their units, 3. a
formalization of policies and procedures and an expectation that organizational
structures would be followed in resolving issues, 4. a changing role of faculty
encouraging them to broaden their definition of their institutional opportunities, and
5. a decentralization of administrative authority in college governance.
Cultural Changes
Weick in his seminal text Sensemaking in Organizations (1995, p. 189)
suggests that culture is the “shared meanings” participants hold, the stories that are
told, the experiences they have together; it is the way “things have been done.”
Mission, identity, relationships, roles, communication styles, organizational
structure, and standard processes all play into the culture. It is the “glue” that holds
the institution together (Weick, 1995, p. 188). Using this definition, it is apparent
that JPU is undergoing a cultural shift. The structural changes that were made in the
organization affected: the way people related to each other, their behaviors, how they
communicated, and called into question the identity and mission of the institution.
“Things” are being done differently in the present than they have in the past. Faculty
and staff are encouraged to embrace new experiences. These shifting sands make
people uneasy, and you can hear the concern. In this section I present the data on the
effect of the change on institutional culture in the areas of relationships,
communication, mission, and identity.
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Relationships
Relationships were a high priority at JPU. It is an institution that is built on
good relationships. Good relationships were a part of the identity of JPU as an
organization. “But, here, if you’re here for a while, you know almost everybody.
That’s a great thing about JPU.” (Faculty/staff interview) Faculty and staff alike
were accustomed to calling on each other if a problem arose. Walking into
someone’s office with no appointment was not uncommon. Such relationships
greased the administrative wheels.
“…when I have a problem with a student and a bill, I just call the bursar, who
I’ve known forever. And, if I have a problem with the registrar’s office, I
just call the registrar….So, I think that’s a real advantage of being able to
support the students through the administrative nightmare sometimes that is a
university.” (Faculty/staff interview)
When asked what they liked best about JPU, faculty and staff invariably mentioned
collegiality and their colleagues. Personal relationships with colleagues were very
important.
What do I like best about JPU? I would say its mission, what it’s trying to
accomplish, what it’s trying to achieve. I like the sense of community that
exists. I like the personal interaction with students and like the personal
interaction with my colleagues. (Faculty/staff interview)
The former academic vice president epitomized this culture by establishing
personal relationships with most of the faculty and staff, and encouraging people to
drop in to see him. He was available at most hours, day or night, to discuss a
problem. He liked working directly with the faculty.
…when [the former AVP] came down JPU was a much smaller place, much
less complicated. His approach and the way he organized the academic
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division, he was much more involved, hands-on with faculty, with
departments, with department chairs. It was not uncommon for faculty to go
directly to the academic vice president with concerns big or small, negotiate
pieces or exceptions, or different types of things….That was probably his
own professional style. It was also a style that I think well served and well fit
JPU as he came into the job. (Faculty/staff interview)
Although faculty liked the constant availability of their chief academic officer, they
did see that there were problems associated with that style of management. They
were giving up things in exchange for the personability. One of those things was the
opportunity to grow together as an organization.
Previous vice presidents have been more in the trenches and had a better
understanding of what was going on. But, they didn’t have time for other
things and I don’t think that’s the right solution. I’m not sure what the right
solution is. (Faculty/staff interview)
So, before everything went through [the former AVP] and he had an
absolutely magnetic personality and was a wonderful communicator and also
kept anything from changing and kept us all sort of, you know, separate.
(Faculty/staff interview)
The new academic vice president provided a stark contrast to the former
academic vice president. Faculty were not encouraged to meet with him to resolve
problems, and he did not go out of his way to encourage personal relations with
faculty. He added another layer of bureaucracy to the university, separating himself
even further from faculty. Faculty were keenly aware of the differences between the
two academic vice presidents, and in many ways yearned for the former. Yet,
faculty and staff did recognize strengths in their new academic vice president and did
appreciate that a lot was expected of him. He had come in and “hit the ground
running,” working to make the necessary changes to move the university along in its
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search for continuing excellence. Those who worked closest with him appreciated
his management style the most. He asked questions and listened to the responses.
People were treated fairly and respectfully.
[The AVP] has a wonderful style about him of a certain, quiet elegance. He’s
not a dramatic speaker. He’s not a dramatic personality. He’s a very even,
thoughtful man. And comes across very peaceful, and kind of peaceful and
reflective. So, that’s probably a good quality in an academic officer who has
to manage a lot of change. (Faculty/staff interview)
The changes were expected, but none-the-less, they were difficult for some.
However, there was an appreciation for the work that the academic vice president
was doing on behalf of the university. He was focused in accomplishing what the
institution had asked him to do. There was an understanding that the work was
difficult and that resistance was a given. But, the academic vice president seemed to
be managing it relatively well and the institution was moving forward.
I find that [the AVP]’s pretty rock solid. A lot has been thrown at him in
terms of the changes, particularly this big change with the faculty not getting
access to him and some of the things that he’s had to talk about where we’re
looking at how can we increase our efforts in external funding. He’s pretty
rock solid, keeping his eye on a focus, keeping his eye on the ball, and
moving forward in a quiet steady way. The AVP is not someone who calls a
lot of attention to himself. I think he more calls attention to others around
him….So, he’s got this very steady solid leadership style. But, at times, I
don’t think everybody fully appreciates and understands. (Faculty/staff
interview)
In the final analysis, faculty and staff did have a great respect for the
academic vice president both professionally and, for those that knew him, personally.
“…[the AVP] really is a true administrator, and that’s his genius. (Faculty/staff
interview) None-the-less, faculty did miss the friendlier, more informal ways of the
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former academic vice president, and hoped that the new vice president of sponsored
projects and graduate studies might fill the void left by the former academic vice
president.
Hopefully, this [new vp for research and graduate studies] will have the role,
the relationship to faculty that used to be the academic vice president’s role.
Which is to know everybody, to know what kind of work they do, to really,
kind of from the bottom up, build relationships, and so, hopefully that’s
what’s going to happen. (Faculty/staff interview)
Major changes were expected with the new academic vice president.
However, faculty and staff were not prepared for the cultural changes that
accompanied the structural changes, and they struggled to make sense of the changed
expectations in their behaviors and in their relationship with their academic vice
president. They compared their past relationship with their current reality, and when
they did so concluded that their current academic vice president did not want
relationships with faculty. Their organizational identity was one in which people
went to each other to resolve their issues. Given their understanding of who they
were as an organization, their interpretation of the behavior of the academic vice
president was consistent. What was absent was a clear understanding that the
structural changes necessarily impacted the culture of the institution.
Communication
Communication was brought up in all interviews in a variety of contexts.
The academic vice president discussed it in his convocation speech, and it was also a
matter of discussion within the faculty senate. Communication was perceived as the
crux of many of the issues and problems underlying the change processes.
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Frequently, it wasn’t the change or idea that was objected to, but rather the manner in
which is was or was not communicated to the affected constituencies.
…communication is critical and I think, it’s not so much that ideas have
failed, it’s, we may not have communicated the idea particularly well the first
go-around and we need to come back to it again so people have a better
understanding, and therefore a better appreciation for why something should
be done a particular way. (AVP interview)
Communication is a constant struggle and poses multiple problems, deciding
who to communicate with, what to communicate, and how to communicate, so that
interested parties attend to and hear the message. Continual attention and
commitment to communication is essential in any organization. Both the academic
vice president and faculty and staff conceded that there was a problem with
communication on the campus.
…trying to have a commitment to be honest and truthful with one another, to
confer, not just make decisions on one’s own without sort of trying to get out
there and explain why we’re trying to do things, to have a strong commitment
to communication. It’s a hard thing in any organization whether it’s small or
large. Communication is the most critical thing. And, just something you
always, you always have to work on. (AVP interview)
The faculty senate encouraged more communication between administration and
faculty. This led to a number of informal evening “chats,” where a small number of
faculty and administrators would meet to discuss challenges on campus and
brainstorm ways to improve the situations. It also allowed faculty and administrators
the opportunity to relate in a different way and to get to know each other more
personally, i.e. establish and build the relationships that the institution valued.
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As the initiator of many of the changes facing the institution, the academic
vice president was faulted for failures in communication. However, most faculty and
staff acknowledged that the problem was bigger than the academic vice president.
So, I think one of the places where [the AVP]’s really not effective is in
communications. And, the university as a whole is not providing him with
effective methods to communicate to the campus as a whole. I think that’s
major. I hear all the time, every committee, every group I’m in, there’s no
way to find out….So, in a way he’s a participant and in a way he’s a victim
of the lack of communication on campus. (Faculty/staff interview)
The institution itself was at fault. The growth and changing size of the campus, both
in numbers of people and in physical space, affected the communication patterns,
requiring adjustments and changes that had yet to occur. The changes in
communication impacted cherished values and altered the sense of community that
was part of the identity of JPU.
The campus has grown, too. It used to all be up in the in the upper
campus,…and now it swings back down here by this gateway. So, that
changed the communication, changed the opportunity for people to see and
be with one another. [This administrative] hall has made a significant
difference in the personality of JPU. And so, what we are doing is trying to
adapt to what that has meant and at the same time still have that real sense of
community and family that has always been a part of the JPU experience.
(AVP interview)
A communication crisis emerged at the beginning of the academic vice
president’s second year and he recognized that communications needed to be
changed so that they better reflected institutional values. Personal relationships were
of central importance to the institution. Communication strategies needed to reflect
people’s need to relate to each other. The academic vice president initiated venues in
which people could come together to share ideas with him.
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One of the things that I’ve been doing this year is…bringing leaders from the
different colleges, department chairs, folks like that in small groups having a
breakfast. And, just talking about anything that they want to talk about.
(AVP interview)
However, the most effective strategy that the academic vice president used to
communicate with faculty and staff was a convocation that he held in the middle of
his second year. Most faculty and staff tremendously appreciated the honest and
forthright communication of the various changes that the institution was
experiencing.
I was very impressed with the convocation. And, very impressed with [the
AVP’s] articulation of the structural changes he has made in both personnel
and reporting lines, and just the general flow chart. He made great sense of
that with clarity and even a certain passion, which I found really compelling.
I was pleased to be there and proud of him, and eager to hear more.
(Faculty/staff interview)
Faculty found the explanation of the changes so compelling and the argument of the
need for them so persuasive that even those who were not necessarily on board with
all the changes found themselves more open to future possibilities. The strength of
the convocation speech convinced faculty and staff that the academic vice president
was indeed moving the institution in the desired direction as outlined in the strategic
plan, and that he was capable of taking the institution to the next level of excellence
that they desired.
I think it was very helpful for the university as a whole to hear [the AVP] and
to understand more specifically what his great commitments are to this
area….So, while I can’t say that I agree with every last, little tiny detail of the
structural changes, I see the wisdom in doing it, and I think he’s the right
person to not only do it, but to convince the rest of us that it’s important to be
done. (Faculty/staff interview)
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In the convocation speech the vice president drew on Jesuit tradition and used
familial metaphors that captured the essential identity of JPU. He related the
changes to the bigger picture of what the institution stood for in the greater
community and to the central tenets of its mission. He made sense of the changes for
the institution. He provided a framework and a context for the anxieties that people
were experiencing, and a vision of a better JPU in the future.
I think [the AVP’s] convocation was extraordinarily helpful, and large ways
to communicate like that probably are needed even more than we have had.
And so, I would say [that] how is he making sense of that change, it’s in
those large ways. (Faculty/staff interview)
The appreciation that faculty and staff had for the changes occurring in their
institution after hearing the convocation speech emphasizes the critical necessity for
good communication strategies in all circumstances, but particularly during times of
change. If people do not understand something, they are likely to ignore it, reject it,
or ambush it.
But, I think I have to, like a lot of people, remind myself about how I
communicate with people about the ideas and things that I’d like to see
changed. You know you can change something and it can work a lot better,
but it’s still change and if it’s new to people and they don’t know why,
what’s behind the change, it’s not it’s not readily adopted or appreciated. So,
that’s an area that I’m constantly working on. (AVP interview)
However, in developing better communications with faculty and staff, faculty and
staff were given the opportunity to know their new academic vice president better
and form a personal relationship with him that further contributed to the institution’s
acceptance of the changes that he was initiating.
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It’s taken a while, I think, for faculty to get to know [the AVP]….But, the
more he’s gotten out and had personal interactions with faculty, whether it’s
through forums or individual meetings or breakfasts and lunch meetings and
so forth, I think more people have come to understand him. (Faculty/staff
interview)
Mission
The mission of JPU is a touchstone for the institution. Every person I spoke
with knew the mission of the institution off the top of their head, “education of the
whole person, encouragement of learning, service of faith and the promotion of
justice” (Faculty/staff interview). People were excited and enthusiastic in discussing
the mission. The mission is a defining statement about JPU for faculty and staff and
is a lived part of their institution. People feel connected to the institution because the
mission is a living part of people’s experience of JPU.
What I like best about JPU is the mission and the ethos that follows from the
mission, and the way that the ethos that follows from the mission infuses the
faculty. There’s no question that my quality of academic life has been
unbelievably wonderful….[B]ecause the mission is something everybody can
subscribe to. And the spiritual undertones give it the sense that this is
lifelong learning, and this is for more than just what we’re doing in this class
on this day. (Faculty/staff interview)
The mission is an integral part of the identity of JPU. Unlike the other
cultural features discussed in this section, the mission is not changing. Nor does the
university want the mission to change. It IS who they are in the world and defines
their purpose. However, the mission is a critical element in the change process,
because changes are assessed and guided by the mission statement. Change must
relate to the mission and flow from it. Thus, in his convocation speech the academic
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vice president related the changes to the historical tradition and mission of the
university.
Identity
At JPU the identity of the institution flows from the mission statement and
from the university’s connection to the historical tradition of Jesuit education. Albert
and Whetten (1985) define organizational identity as those elements of an
organization that are “central, enduring, and distinctive.” At JPU this includes the
mission statement and the historical tradition. The following quote sums up the
essence of identity at JPU.
A very important phrase in Jesuit education is the promotion of faith in the
service of justice. And, it’s that relationship between faith and social justice
that is very important for us. And then, I would add, Jesuit education is, the
Jesuit worldview, the Ignatian worldview is very optimistic, world affirming,
positive world view. And, I think that permeates this institution. As I
mentioned previously, it’s very strong on relationships. Relationships are
really valued, treasured here, important. There is still a sense, a strong sense
of community. It’s different than it was when I first started here. You can’t
get everybody in the same room at the same time in the same way. But, we
work hard at it. And, we have key events in the life of this university
community that bring people together. And, folks are very, very connected,
and very engaged. (Faculty/staff interview)
There is concern that some of the elements identified by this faculty/staff member
are being comprised and changing as a result of the recent changes undertaken by the
institution. This concern affects how the changes initiated by the academic vice
president are perceived by the faculty and staff, and impacts the acceptance of the
changes. One of the changing elements would be the significance and nature of
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relationships within the organization and the care that institutional members have for
each other.
JPU as a values-based Jesuit and Religious institution prides ourself on the
importance of relationship within our communities and we, now that as we
move from a small-sized to a mid-sized university, we don’t want to lose
what in the Jesuit educational tradition we call curis personalis, in Latin,
which basically means care of the individual, care of the person. So that
sense of the importance of relationship is still very important to us. And, that
can get lost in a bureaucracy. And, there are some faculty that are concerned
about that and worried about that. (Faculty/staff interview)
While the tradition and mission of JPU are the cornerstones central to its
identity, the data suggest that the identity of JPU encompasses more than just the
mission. Gioia, Schultz, and Corley (2000) challenge the definition of identity as
those elements that are central, enduring, and distinctive as being too static and not
allowing for the continual construction of identity that occurs by the human beings
that constitute an organization. They suggest that identity is a fluid entity that
changes over time. Thus, an aspect of the identity of a university is what the
institution does educationally, who the students are, and what the university teaches.
The academic vice president would like to modify this aspect of JPU’s identity.
What I am hoping for is that we are going to create for ourselves, and perhaps
for others, a different definition of what a comprehensive university really is.
….We need to figure out what role graduate education is going to play on the
campus, how it’s going to be in relationship to undergraduate programs, and
how we build towards an attitude of excellence in both of those areas. (AVP
interview)
The academic vice president wants to expand what is understood when people speak
of JPU’s educational function. “Part of what I’m doing is really trying to get people
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to say when we talk about our students, we are talking about undergraduate AND
graduate students.” (AVP interview) This is a shift in identity for the university. It
is a message that the larger audience of university faculty probably have not truly
heard, and have yet to realize the impact that it will have on the future of the
institution. However, it is an identity shift that was welcomed by the faculty and
staff that I interviewed.
JPU has moved to more fully embrace the comprehensive university. And, if
you look at our current version of our strategic plan it talks specifically about
JPU as a comprehensive university. Where in previous strategic plans and
ways that the university presented itself, it was always a university in the
liberal arts college tradition. And, that’s a shift for JPU, you know. It’s a
major shift for JPU, one that we fully have not embraced, but has been culled
out, has been identified by the leadership. (Faculty/staff interview)
In summary, the culture of the institution has been dramatically affected by
the structural changes in the institution initiated by the academic vice president.
While some of these structural changes are more strongly supported than others by
the faculty and staff, few of the changes are directly opposed by faculty and staff.
However, most at JPU share a concern regarding how the changes have impacted
and will continue to impact the identity and culture of the institution. The structural
changes have been easy compared to the cultural changes. The cultural changes
require the members of the institution to change their behaviors, change how they
communicate and relate to others, change how they think about themselves in
relationship to others and the institution, and change how they think about their
institution. The framework by which they make sense of their world is changing and
it is disconcerting. The academic vice president is aware of the unique culture of
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JPU. The emphasis on people and relationships and working together as family is
something he is sensitive to and wants to retain.
We are still of a size where we can talk about being even more intimate than
community, being like family …. This notion of being able to work as a
family is pretty important to people on this campus. (AVP interview)
In the end, despite concerns, faculty and staff appreciate what the academic vice
president is attempting to do. They believe that he is making a sincere effort, that he
tries to listen to faculty and staff, that he has JPU’s interests at heart, and that at the
end of the day, JPU will be better.
[The AVP]s helping to move the place forward and some of that is stretching
the place. I think he really gets the importance of increasing our external
funding, and providing opportunities for faculty to enhance research and
scholarship and creative works. I think he’s concerned about the JPU
experience. I think he’s focusing on what is the JPU experience, what do we
want it to be, where are we falling short, and what do we need to do to get
there. And, he’s talking a lot about the JPU experience. And, that’s really
helpful, very helpful. (Faculty/staff interview)
Activities Associated with Implementation of Change
The hiring of a vice president of sponsored projects and graduate education
has been a process that has had effects on multiple parts and aspects of Jesuit Pacific
University (JPU). To hire this new vice president, JPU’s senior academic vice
president initiated a number of other changes within the institution and engaged in
various activities to bring about these changes. As a means of addressing the first
part of my research question, I examined the activities of the academic vice president
in light of the roles, tasks and skills identified in previous studies as important in
effectively leading institutional change. These studies have been referred to earlier
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in this work in the chapter on the review of the literature. In this section I review the
change process at JPU, highlighting the activities of the academic vice president and
how faculty react to the changes. I then examine the activities in light of the
previously published work.
The first part of my research question is:
What is the role of the academic vice president in facilitating the implementation of
change in a university?
1. How does the academic vice president effect the implementation of a
particular change arising form the university’s strategic plan? What
activities does he engage in to accomplish this objective?
In examining interview data, faculty senate minutes, and the convocation
speech, I identified various changes that the academic vice president initiated and
activities in which he engaged in the implementation of the change under study. One
of the major changes he initiated was the restructuring of academic affairs. In order
to accomplish the restructuring, it was first necessary to envision a system more
appropriate for the institution that JPU was in the process of becoming, that is, as
described in the strategic plan, an institution more focused on graduate education,
but to do so in a way that the institution could afford. To encourage graduate
education various external agencies often supply funding, and many universities
supplement their graduate programs with these external funding sources. Organizing
the office charged with seeking external funding (sponsored projects) and the office
of graduate education under a single high level administrator was envisioned both as
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a way to generate synergy between the two organizational units and as a way to
focus institutional attention on these activities. Discussion with various
constituencies of the vision of the change was followed by the actual structural
reorganization of academic affairs into three functional units, undergraduate
education, enrollment management, and sponsored projects and graduate education.
In the reorganization, an additional layer of bureaucracy was created in the addition
of the positions of vice president for each of these three functional units. The final
phase was the hiring of the vice presidents for each of these three functional units.
The change in the organization of academic affairs necessitated a
corresponding change in the roles of faculty and some staff. Graduate education
implies graduate students. Graduate students require research projects, which
necessitate faculty to oversee and money to support the projects. A role that the
academic vice president assumed was the support of faculty professional
development, encouraging faculty to become more actively involved in research and
creative works. However, he could not do this alone. He needed a more effective
administrative team. The vice president of sponsored projects and graduate
education was to specifically address the need to encourage greater faculty
participation in research and creative works. Also included in the duties of this
position is external grants oversight. Research and graduate programs are expensive
to support and external funding can offset the expense. It is anticipated that the new
vice president will support faculty in the development of research projects and
creative works and assist them in obtaining external funding for these projects and
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works. Faculty, however, are wary of this change in their professional
responsibilities. There is concern about the impact this change on workload,
compensation, the tenure process, faculty status, and the relationships that faculty
have with each other. There is a fear that a two-tiered system will be created in
which one class of faculty will be favored over the other, thus generating tension
amongst the body of the faculty.
The role of the deans in the organizational structure needed to be redefined as
well. The deans needed to work more effectively with the department chairs and
faculty in their schools and colleges. The academic vice president delegated more
authority to the deans and made them more financially responsible and accountable.
The deans were given control over the administration of internal grants in their area,
and were to work with faculty in the allocation of these funds. In turn, faculty were
expected to work with their respective deans in resolving any issues that they may
have. However, faculty were not accustomed to working with their deans. Under
the previous academic vice president faculty had worked directly with the academic
vice president. A cultural change was required, a change in the established habits
and practices of faculty and their customary ways of operating within the institution.
The previous system had worked well for them, and they questioned whether the
new system would benefit them to the same degree.
In addition to working directly with their deans, the cultural change also
meant that faculty no longer could expect to communicate directly with the academic
vice president. The cultural change that was implied was not just a change in
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behaviors and practices, but drove at the very heart of who JPU was as an institution,
its very identity. In the past, the institution operated in much the way that a family
operated, where everyone communicated directly with everyone else and resolved
problems by going directly to the source of the problem or to whomever could effect
a desired resolution to the problem. By virtue of requiring that formal organizational
channels be utilized in resolving organizational issues, the academic vice president
was perceived as endangering the identity of JPU. This identity defined the
members of the institution and how they related to each other, and contextualized
institutional situations.
An additional change initiated by the academic vice president was the change
in the channels of communication. Under the previous academic vice president, it
was he who disseminated the information. The current academic vice president
relied on the organizational structure to relay information. However, these channels
were not well established, resulting in inadequate information dissemination. The
lack of information further exacerbated concern amongst faculty regarding the
organizational and cultural changes taking place. Recognizing the severity of the
problem at the beginning of his second year, the academic vice president initiated
informal situations in which he could dialogue with faculty. While organizational
problems were still handled through formal organizational channels, the informal
situations permitted discussions in which faculty could begin to get to know their
academic vice president. The convocation speech which he gave midyear in his
second year allowed JPU as an institution the opportunity to begin to make sense of
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the all the various changes that had been initiated in the 19 months since the
academic vice president had arrived.
Martin and Samels (1997) identified ten characteristics essential in a chief
academic officer in the twenty-first century which included: “An expert with
ambiguity, a champion of new technologies, an institutional entrepreneur, a student
affairs advocate, a savvy fund-raiser, a supporter of ‘selected excellence,’ a legal
interpreter, a public intellectual, a shaper of the new consensus, and a visionary
pragmatist.” (pp. 17-20). These characteristics can guide our interpretation of the
changes occurring at JPU. The change effort at JPU created a highly ambiguous
situation. Weick (1995) defines ambiguity as “an ongoing stream that supports
several different interpretations at the same time” (p. 91), and in citing Martin (1992)
states, “People judge events to be ambiguous if those events seem to be unclear,
highly complex, or paradoxical” (p.92). The entire situation surrounding the hiring
of the vice president of sponsored projects and graduate education was “unclear,
highly complex, and paradoxical.” The novel reorganization of academic affairs and
the uniting of two distinct functional units under a single leader with an eye towards
increasing external revenues were both entrepreneurial and demonstrated “savvy
fund-raising.” The encouragement and support of faculty in the development of
research projects attested to the academic vice president’s support of “selected
excellence.” A viewing of the podcast of the convocation speech to the university
faculty and staff in which the academic vice president explained the need and
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rationale for the changes demonstrated the chief academic officer’s role as “a public
intellectual, a shaper of the new consensus, and a visionary pragmatist.”
In 1973 Mintzberg published a seminal text on the nature of managerial work
in which he developed a typology by which this work could be characterized. He
identified ten significant roles that managers played and placed them into three
groups, interpersonal roles, information roles, and decisional roles. Using
Mintzberg’s typology, Mech (1997) surveyed 349 academic vice presidents for the
extent to which they used each of the ten managerial roles in their present jobs. He
concluded from his study that academic vice presidents principally function as inside
“team” managers, coordinating personnel, developing organizational structure, and
overseeing operations. Examining the activities of JPU’s academic vice president in
light of Mech’s conclusion provides a different perspective from that of the faculty at
JPU and suggests that the activities JPU’s academic vice president are in line with
those of other academic vice presidents. He is coordinating personnel, broadening
and expanding their roles, redefining their duties, and supporting their development.
The many institutional changes that are occurring are a direct result of the
organizational restructuring that the academic vice president initiated. According to
Mech, the focus of the activities of the academic vice president is on the
development of an academic team. If we accept this, we can infer that JPU’s
academic vice president focus on the structural reorganization of academic affairs is
to develop a more effective team, a team who can operationalize the directives of the
strategic plan and take JPU to the next level of excellence on its road to becoming a
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comprehensive university. Thus, whereas JPU’s faculty have concerns that the
changes initiated by the academic vice president are threatening their identity as a
family, Mech’s work suggests that this may not necessarily be the case, but perhaps,
it may be that the type of family that JPU is is changing.
The work of Sanders III, Hopkins, and Geroy (2003) on transcendental
leadership supports the contention that it may be the type of family that is changing
at JPU. They suggest that individual leadership development proceeds from an
external, accomplishment-focus to an internal, relationship-focus. We can see such a
process at work in the temporal sequence of events at JPU. The structural
reorganization that culminated in the hiring of a vice president of sponsored projects
and graduate education was initially conceived and undertaken in response to a
perceived need in the structure of the organization (an external orientation). This
included the changes in the roles of deans, changes in practices, and expanding roles
for faculty. However, the shift over time during the implementation of the change
was a move to a greater focus on communication and relationships (an internal
orientation). These are cultural aspects of the organization. The structural change in
the organization at JPU resulted in cultural changes. Indeed, as the institution moved
from an external focus to a greater internal focus, the members of the institution
change. Transcendental leadership theory suggests that in effective leadership the
leaders themselves change as a result of their interactions with those they are
leading. The movement of JPU towards an internal orientation focusing on
communication and relationships is a result of changes in communication by the
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academic vice president and a greater emphasis on relationships as a result of his
interactions with faculty and staff. That is, the structural changes initiated by the
academic vice president have given rise to cultural changes that have affected all
members of the institution including him. This is transcendental leadership and one
effect has been to increase faculty receptiveness to the changes as indicated in
faculty/staff remarks on the convocation speech and in comments on the relationship
of the AVP with faculty. This supports the suggestion that although the relationships
within JPU’s family culture may be changing, it is still an organizational family.
Another perspective that can be used to interpret the changes at JPU is the
work of Burns (2002) who suggests that diffusion of leadership throughout the
organization is crucial for success in a changing environment. Higgs (2003)
identified the skills essential for effective leadership as: envisioning, engaging,
enabling, inquiring, and developing, all practical skills that encourage the diffusion
of leadership throughout the organization. However, these same skills are also
supportive skills that one would see in a committed family, skills that family
members would use to support and encourage each other. At his convocation speech
the academic vice president engaged faculty and staff, laid out his plan for the
development of the institution, and provided a vision of the future of JPU, all within
the context of the Jesuit mission of JPU and highlighting its identity as family.
Hitt and Ireland (2002) suggest that human capital is the most important
resource in contemporary organizations. The successful leader will make
development of human capital a priority in any change initiatives. Faculty and staff
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support and development are crucial elements of JPU’s academic vice president’s
change initiatives and vital to his vision of institutional growth at JPU. Personnel
support and development contribute to the vibrant learning environment that Martin
and Marion (2005) identified as critical for creativity and growth in institutions of
higher education.
The role of the leader in a learning environment is to develop conditions that
are conducive to learning, so that others are empowered to build institutional
effectiveness. The activities engaged in by JPU’s academic vice president are
supportive of the empowerment of others suggesting that JPU is on the road towards
building its effectiveness as an organization. Activities that empower others are
culturally determined. That is the attention to the organizational culture is a
determinate in the success of other changes, in this case the structural changes in the
organization. The importance of the empowerment of others in effective leadership
is supported by the study of Dulewicz and Higgs (2005) in which they found that as
the change process increased in complexity, those leaders that facilitated the
development of capabilities in others in the organization were the leaders most
effective in implementing institutional change. This can be interpreted in the case of
JPU to suggest that the success of the changes initiated by JPU’s academic vice
president may depend on the strength of the family culture of support and
development of the individual member.
Austensen (1997) writing on best practices for chief academic officers in the
area of faculty relations suggests that the institutional mission should be a focus of
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effort. This is seconded by Burns’ (2002) discussion of leadership using the model
of chaos theory in which he suggests that critical to maintaining forward momentum
is a clear focus on the “ultimate purpose and core values” of the organization. In
both interviews and in document analysis of the vice president’s convocation speech,
the institutional mission was frequently referred to. In the convocation speech the
vice president structured the speech such that the first part of the speech was a
discussion of the primacy and importance of the university’s mission and its
historical roots. In the second part of the speech, in which he discussed the changes
and the need for them, he referred back to the mission to establish validity for the
change being initiated. In introducing the changes in this fashion, the vice president
provided a meaningful context in which the changes were being initiated so that
there was a framework in which they were occurring to which his audience could
relate. It is the meaningful context that is the topic of the section, as I address the
second part of the research question.
In conclusion, in this section we have seen that the activities engaged in by
the academic vice president in the implementation of the various changes are
activities that are typical of an academic vice president. The activities directed
towards implementing the structural changes impact the culture of the institution.
The changing culture has influenced and changed both the academic vice president
and the changes that he is directing. The changing culture calls into question the
identity of the institution, yet it is the sense of identity that is likely to determine if
the changes will be successful or not. The inherent paradoxes and ambiguities make
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the understanding, or the sensemaking, of the changes difficult. The institutional
mission serves as the criterion against which all change is assessed. The institutional
mission is the core and central purpose of JPU.
Analysis of Sensemaking Associated with Implementation of Change
Sensemaking is a vital function of today’s leaders. Communication of
changing conditions to organizational members is essential. Employees expect their
leaders to assist them in understanding the changes so that they can effectively adapt
to the change. If employees do not understand changes, they are unlikely to respond
appropriately and the organization will suffer. Balogun and Johnson (2005) state,
“’managing’ change is less about directing and controlling and more about
facilitating recipient sensemaking processes to achieve an alignment of
interpretation.” Therefore, effectively communicating and making sense of change
for others in the organization is an essential task of leadership.
The change process studied in this dissertation fits Kezar and Eckel’s (2002)
definition of transformational change as change that modifies the basic assumptions
of the institution, is substantial, is deliberate, and takes time to occur. The change
under study challenged the identity of the institution, altered the organizational
structure, affected faculty and staff roles, and was deliberately undertaken in a two
year process. Kezar and Eckel’s (2002) suggestion that future research explore the
role of sensemaking in effecting transformational change was echoed by Balogun
and Johnson’s (2005) prescription that future research address the question of how
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sensemaking interventions occur. This is the subject of the second part of my
research question:
What is the role of the academic vice president in facilitating the implementation of
change in a university?
2. How does the academic vice president assist the institution in making sense
of the change? What messages does he utilize?
Sensemaking begins with noticing an environmental cue. This cue is
connected to a frame of reference in the sensemaker to give meaning to the cue.
Thus, sensemaking has three elements: a cue, a frame in which to place it, and the
connection between the two (Weick, 1995). In Table 4.1, I show this
diagrammatically and list some of the more typical cues and frames.
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Table 4.1: Sensemaking cues and frames
Noticing + interpretation Sensemaking
Cues in a frame of reference
Meetings Values
Interruption Beliefs
Arousal of emotion Norms
Naming, labeling, Paradigms
cataloging Ambiguity
Action Vision
Surprise Mental map
Opportunity Picture - art
Breakdown Traditions - ritual
Stories
Non-verbal gesture
Shared experience, connections
Histories
Metaphors
Explanations
Artifact use
Balogun and Johnson (2005) in their longitudinal study of sensemaking of an
organizational change process conclude that the management of change should be
more about “striving to deliver clarity of purpose, expected outcomes and boundary
conditions, and a shared understanding of these, rather than trying to manage the
detail.” Weick (1995) refers to talk as the work of sensemaking. It is meaning
generated through language, the particular words we use and the messages we
convey, that spurs people to action. A leader of change must inspire others to action
if the change is to occur. An important role of leadership is to talk to subordinates,
to help people to make sense of change, to provide cues to emphasize the important
and what should be attended to. As Table 4.1 shows, cues can take a variety of
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forms; they can be verbal; they can be individual actions; they can be events, etc.
However, the interpretation and understanding of the cue is through the use of
symbols. It can be language, words calling to mind some shared idea or words
representing something analogous, a physical object (picture, artifact), or a gesture or
experience that represents or calls to mind something else. It is the ambiguity in the
interpretive schemes that contribute to their powerful sensemaking capacity. Stories,
values, mission, visions, even shared experiences, are all inherently ambiguous and
mean different things to different people. This is the intent, interpretative schemes
that can embrace as many interpretations as possible to generate consensus.
Particularly ambiguous, and an example of Gioia and Chittipeddi’s (1991)
ambiguity-by-design, is the changing identity of JPU. The academic vice president
states in his public convocation speech,
…we are the ones that actually define what that means. Everyone knows what
a baccalaureate liberal arts college is, everyone knows what a doctoral research
university is, but not many know what’s in the middle here, this, these
institutions that provide baccalaureate degrees and masters degrees and just a
few doctoral degrees. So, it’s wide open for the taking, it’s wide open for all of
us to say this is who we are, this is what it can be, we’re taking the lead.
There is the cue, the opportunity, theirs for the taking, of defining their own identity
and not being constrained by anyone else. But, the frame of reference is left open. It
is ambiguous. There is tension in the statement, the open possibility of being
whatever the institution wants to be. It is a “captivating vision” that Gioia and
Chittpeddi suggest is key to the initiation of a strategic change leading to the
construction of a new reality. They further state, “The implication for the
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management of changing organizations is that existing schemes that are entrenched
in tradition can be eased toward fluidity by intentionally creating, but carefully
managing, the ambiguity that comes with redefining the image of an organization.”
A better example of this would be hard to find. In taking the organization to the next
level of excellence the academic vice president must “unfreeze” (Barr, Stimpert, &
Huff, 1992) the individual’s current understanding of identity in order that their
understanding can change, allowing for institutional growth and a successful change
effort (Gioia, Schultz, & Corley, 2000). Yet, in managing the ambiguity Gioia, et al.
recommend that there be a connection to a constant, the fundamental values of the
institution, what Whetten (2006) refers to as the “central, enduring, and distinctive.”
The two topics that were consistently of significant interest in all of the
interviews were the identity of JPU and the mission of JPU. The former is in a state
of flux, and the latter is the aspect of the institution that all agreed was “central,
enduring, and distinctive” about JPU. Juxtaposing these two constructs together
creates additional tension - the changing identity that the world will see positioned
against the more inwardly focused heart and soul of who JPU really is. By
discussing this publicly, the vice president is engaging the institution in a dialogue of
critical self-reflection that Brown and Starkey (2000) recommend to prevent
maladaption or self-deception. The vice president is opening the dialogue to the
entire institution to develop a collective sense of organizational identity. Gioia,
Clark, and Chittipeddi (1994) suggest a four-stage model of identity change:
interpretation, issues definition, legitimatization, and institutionalization. I suggest
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that JPU is in the first stage, that of asking questions regarding a reinterpretation, and
moving into the second stage of issues definition, what does the new identity mean?
Gioia, et al. (1994) recommend a liberal use of symbols during identity
change to assist people in the transition to the new identity. Many of the activities of
the academic vice president can be interpreted from a symbolic frame of reference, a
symbol being anything that can be interpreted to represent something else, ambiguity
is all that is essential. Examples are his adherence to formal channels of
organizational communication, the announcement of the hiring of the vice president
of sponsored projects and graduate education at the graduate council meeting, even
the structural reorganization of academic affairs can be interpreted symbolically.
However, of greater interest is the “talk” that he used in his convocation speech. I
would like to highlight three points in the speech, the Ignatian tradition, the JPU
experience, and the story of the family visit. All three relate to the “central,
enduring, and distinctive” identity of JPU.
The beginning of the academic vice president’s convocation speech was a
discussion of Ignatian tradition, connecting JPU to the Jesuit tradition that extends
back to medieval Europe. It is an ancient tradition that has stood the test of time. By
casting JPU in this light, the vice president is symbolically telling his audience that,
despite the current upheaval, JPU, too, will stand the test of time and prevail with
distinction. Both the JPU experience and the story of the family visit symbolize
what is the essence of the institution. The JPU experience is about being together,
being in the world, and one’s relationships with both. Sharing the common
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experience by being together and sharing a common mission of being in the world
provide a strong sense of identity and commitment to each other and the institution.
The story the academic vice president related of a family visiting from out-of-state is
a statement that JPU is fundamentally about relationships, the enduring relationships
of a family. It is an image that tantalizes, suggesting something very familiar and
comfortable. Family members may disagree and bicker, but they care for each other
and in the end they are bound together in a common destiny.
All three of these are examples of Crossan, Lane, and White’s (1999) four
stage model of organizational change, starting at the individual level and the
individual’s experience, followed by metaphorical interpretation, then dialogue with
the group to develop a shared understanding, and culminating in an institutional
response. Ideally, the response to these three activities is closer group cohesiveness.
Following David Limerick’s (1990) admonition, all three are expressions on a
similar theme, the endurance of traditional values at JPU suggesting that the
academic vice president is clearly a manager of meaning.
The change process at JPU is transformational in nature. In time the
institution will look different to the outsider and have a different image. The five
core strategies identified by Kezar and Eckel (2002), senior administrative support,
collaborative leadership, robust design, staff development, and visible action, are all
in place. And, the academic vice president’s convocation speech is a testament
supporting their major finding, “that large-scale institutional change is all about
meaning construction…” Despite this, there is one area in which the academic vice
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president has fallen short and it is in the area of “talk.” If talk is the work of
sensemaking, the academic vice president falls on the side of too little. His
convocation speech in which he laid out his change agenda to the university for the
first time came in the middle of his second year. There were a variety of reasons for
the timing. Nonetheless, prior to the convocation speech many in the university felt
“in the dark” and “out of the loop.” The lack of talk was exacerbated by the
emphasis the vice president placed on following the organizational structures in
working through problems, leaving him little opportunity to meet faculty and talk. A
number of faculty felt that the vice president preferred to keep his distance, a
conclusion that they felt was reaffirmed and supported when he the added another
administrative layer to the bureaucracy.
Brown and Humphreys (2003) suggest that in the absence of information
individuals begin to construct their own narratives for what is occurring. A narrative
that was constructed and shared at JPU described the corporatization of JPU, a
description antithetical to the relationship and family-oriented values that are central,
enduring, and distinctive to the institution. Left unattended, this narrative had the
potential to seriously harm the change process that was occurring. Fortunately, the
vice president began reaching out to faculty to engage them in conversation, without
breaching his commitment to empower the deans and change the organizational
culture regarding the resolution of organizational problems. Breakfast meetings with
chairs and meetings with members of the faculty senate increased his visibility and
the amount of talk he could engage in with faculty. However, it was the convocation
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speech that was the watershed event for the communication of the vice president
with the faculty. Faculty could finally hear definitively what was happening and
were given the wherewithal to makes sense of the changes at their institution.
Not surprisingly, research reveals that talk is a crucial source of coordination
in highly complex systems. In analyzing the Mann Gulch disaster, Weick (1993)
argues that in today’s rapidly changing environment, systems cannot keep apace of
the changes. The only way organizations can interact and connect effectively is with
talk in face-to-face situations. It is through our talk that we construct sense of the
cues we notice. In our talk with others we construct a reciprocal sense of the
meaning of events and changes in our world. During times of organizational change,
leaders and organizational members in dialogue co-construct the meaning of the
change.
In conclusion, I have described a particular change process occurring at JPU,
the decision to hire a vice president of sponsored projects and graduate education and
the implementation of that decision. I then looked at how this change impacted other
aspects of the institution, examining the structural changes that were made to
accommodate the change and the cultural changes that arose as a result of the
structural changes. The overall depiction resembles a food web in a biological
ecosystem in which a change in any single species that is a part of the web affects
both the structure of the overall web and the interactions of all other members of the
web. I next addressed my research question, first examining the activities of the
academic vice president in the implementation of the changes as reported in the
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interviews that I conducted, and then examining how the academic vice president
assisted faculty and staff in making sense of the changes, what messages he
conveyed and how he framed the messages. The activities of the academic vice
president in the implementation of the changes are informed by the literature and are
those that encourage collaboration and empower others in developing the potential of
the institution. The messages that the academic vice president used in his
convocation speech to make sense of the institutional changes revolved around that
historical tradition of the university, its mission, and its identity. The first two were
represented as unchanging. Identity was both changing and unchanging. The
university is moving towards a new educational identity, but the essence of its
identity, the familial relationships of its members, is unchanging.
In the last chapter of this dissertation, I will present a model that describes the
change process and discuss the findings that arise from the data I have presented.
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CHAPTER V
Discussion
….[The faculty] were dimly aware, as far as I could see, that this position
was being hired. Nobody understood how significant this was going to be.
And, how much this is going to change. Who this person is and what they’re
going to do is going to change a whole lot of things. And, it’s the expectation
that we’re going to make explicit and articulate a new kind of sense what
the…culture is here. (Faculty/staff interview)
Like a pebble thrown into a still pond that creates multiple, ever-widening
circles of ripples, so has the decision to hire a vice president of sponsored projects
and graduate education created multiple, ever-widening changes at Jesuit Pacific
University (JPU) and the people that are a part of it. From the outside the event has
the appearance of a straightforward administrative hiring process, the institution
posts the position, convenes a faculty/staff hiring committee, the committee
interviews the candidates and makes recommendations to the senior administrative
officer. A candidate is then chosen, an offer is made and hopefully accepted, and the
new vice president arrives shortly thereafter to commence his or her duties.
However, as this case study demonstrates, the hiring of the new vice president of
sponsored projects and graduate education touches all aspects of institutional life.
Organizational structure, roles of faculty and staff, interpersonal relationships, and
organizational communications are all impacted, and all affect institutional identity
and culture. It is the vice president of academic affairs, as senior “dean of the
faculty,” who is expected to make sense of this confusion and congeal organizational
activities in the direction of a desired future.
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This study was undertaken to address the following research question:
What is the role of the academic vice president in facilitating the implementation of
change in a university?
1. How does the academic vice president effect the implementation of a
particular change arising form the university’s strategic plan? What
activities does he engage in to accomplish this objective?
2. How does the academic vice president assist the institution in making sense
of the change? What messages does he utilize?
There were two fundamentally different, although overlapping, aspects to the change
process. One aspect revolved around the practical and structural parts necessary for
the change process to occur. The second aspect concerned the more global, cultural
issues raised by, and a result of, the change process. Although the structural changes
occurred first in this change process and then, in turn, affected cultural aspects of the
organization, the alterations in culture then impacted and affected the
implementation of the structural changes. In studying the change process at JPU a
model emerges from the analysis of the data that connects the events of the change
process together into a coherent whole. I represent this model diagrammatically in
Figure 5.1.
127
Figure 5.1: Model for implementing structural change in a university
In the first part of the process, the mission of the institution is reassessed in
light of current environmental conditions. The relevance of the institution in the
contemporary world and its ability to achieve its mission given the current
environment are addressed. At JPU a revitalization of the institution was deemed
necessary to more effectively realize its role in contemporary society. Soliciting
input from members in all areas of the organization, the university laid out a new
vision for its future in an ambitious strategic plan. To accomplish this vision a
number of significant changes needed to occur within the institution. The institution
had to envision itself in a different way than it had in the past. Structural changes
were initiated to begin moving the institution in a new direction. The structural
Manage meaning:
understanding of
organizational identity
5
Change in direction
or
Novel innovation
Cultural change
Organizational input
New vision (strategic plan)
Vibrant, dynamic
organization
Change
institutionalized
Repeat cycle
Mission reassessment
1
2
3
4
Structural
change
128
changes directly affected the culture of the institution, the way things were done and
how people related to each other. Operating as a feedback loop, the impact on the
culture of the institution in turn affected the implementation of the structural
changes. Both the structural and cultural changes called into question the identity of
the institution. The challenge to leadership was the management of the issues
relating to identity. In promoting the change process leadership emphasized the
enduring, unchanging identity of JPU and yet also, challenged the university to
expand and broaden its understanding of its own identity, to take charge of who it
was as an institution and define its identity for itself and for the world. The question
of identity, how the individual members defined their institution, was of paramount
importance as it was central to understanding and making sense of all the structural
and cultural changes that were occurring within the institution. Ultimately, the goals
are to revitalize the institution, make the university more vibrant and dynamic, “more
fully JPU.” The process is to take the university to the next level of excellence and
thus, more relevant and effective in achieving its mission in contemporary society.
The focus of this dissertation was on step 3 in the above model,
documenting and analyzing the interplay between the structural and cultural changes
as the academic vice president sought to move the institution in a new direction on
the path to becoming “the preeminent Catholic university in the western United
States.” Table 5.1 summarizes the major findings arising from the analysis of the
structural and cultural changes that occurred as a result of the decision to create and
129
hire a new vice president of sponsored projects and graduate education at JPU. In
the remainder of this chapter, I will discuss each of these findings in more detail.
Table 5.1: Summary of major findings in the case study of JPU
Finding
1. Sensitivity to the needs of individuals in ways that are consistent with the particular
institutional culture is as important as structural and practical considerations when embarking
on a change process.
2. Changes in relating and communicating are interpreted based on past history and the values
and culture of the institution.
3. Changes in structure, policy, and practice are viewed symbolically as well as at face value.
4. The need to reduce barriers to communication and establish additional communication
opportunities is especially critical during times of change and uncertainty.
5. The central core of JPU is its mission statement. It is the touchstone that ties the institution
together and serves as the guiding light.
6. The familial culture at JPU emphasizes personal one-on-one relationships. It is a part of the
identity of the institution and the naturally accepted way of interacting.
Finding One
Sensitivity to the needs of individuals in ways that are consistent with the particular
institutional culture is as important as structural and practical considerations when
embarking on a change process.
JPU is an institution built on relationships. In an institution where everyone
knows everyone else, the typical response to a problem is to resolve it by working
directly with whoever has the authority to do so. When the academic vice president
delegated more authority to the deans and then conveyed his expectation that faculty
would work with their deans in resolving issues they encountered, this demanded a
130
significant cultural change in how the institution operated. The previous academic
vice president worked directly with faculty in resolving issues. He was the source of
authority. Faculty knew their vice president, knew he was the authority and they
were comfortable working with him. With the new academic vice president, faculty
did not know him, it was unclear who was the authority, and faculty were not
accustomed to working through their deans in resolving issues. Distrust and
suspicion of the academic vice president’s motives circulated on the campus.
Concern was expressed that the academic vice president was not interested in
developing relationships with faculty, which, if true, was antithetical to the value
placed on relationships in JPU’s culture.
Recognizing the need of faculty for greater communication with him and a
university culture that emphasized personal relationships, the academic vice
president initiated opportunities where he could meet informally with faculty.
Informal evening chats and breakfast meetings with small groups of faculty
established a more collegial tone where faculty could begin to know him personally
and there could be a dialogue of ideas. In establishing such relationships faculty
were more open to hearing and working with the changes that were being asked of
them.
They had a context and framework from which to make sense of the changes. And,
in developing relationships with faculty the academic vice president was affirming
this significant institutional value and the culture of JPU.
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Sensitivity to existing culture and the needs of individuals arising from that
culture is vital for any change effort to occur. It is individuals acting in an organized
way that carry out the functions of an organization. People become accustomed to
certain ways of acting and relating, and they then interpret alteration in behavior
patterns based on how they are accustomed to acting and relating. If the
organizational structures change and the expectation is that people will then act and
relate in new ways as determined by the new structures, they will interpret the
changes and expectations based on past history, organizational values, and whatever
information that they have regarding the changes. If they benefited from the
previous system and it operated well for them and they are unable to make adequate
sense out of the change and new expectations, they will resist the change. However,
if the changes and new expectations can be accommodated within the context of the
organizational culture, so that people can make sense of the changes and expectation
within their existing framework of whom they are as an organization and how people
work and relate in this organization, then the changes and new expectations have a
greater likelihood of being accepted.
Finding Two
Changes in relating and communicating are interpreted based on past history and
the values and culture of the institution.
The value of personal relationships is central to the culture and identity JPU
and it was clear to all that the former academic vice president fully embraced this
value. He worked hard at establishing personal relationships with every member of
132
the faculty and staff. In a much smaller institution and given many years, this was
entirely feasible. He left knowing everyone at JPU.
In his work to make JPU a more effective institution and responsive to the
needs of the particular situations that each of the colleges and schools found
themselves in, the new academic vice president empowered the deans with additional
authority and requested that faculty work with their deans in resolving issues. Not
attuned to the larger organizational issues, faculty interpreted the academic vice
president’s actions in the context of what they knew, their past history with the
former vice president and the culture and values that were a part of their institution.
The former academic vice president encouraged faculty to meet with him; the new
academic vice president did not. Additionally, he was adding another layer of
bureaucracy between himself and faculty, further distancing himself from faculty.
Relationships were a cultural value at JPU and historically the academic vice
president had developed close personal relationships. That the new vice president
was not developing these relationships with large numbers of faculty, in what
seemed to be a disregard for his role based on history and in disregard for a central
value of the institution, was interpreted as a desire to “divorce” himself from faculty.
As described above under Finding One, the new academic vice president
worked to counteract this interpretation of his actions by initiating informal meetings
with small groups of faculty. Because of the increase in the size of the institution,
proportionally few faculty were included, but the mere fact that he was meeting and
133
dialoguing with faculty served to offset the interpretation that he wanted to distance
himself from faculty.
According to Weick (1995), history and values serve as powerful frames of
reference for interpreting and making sense of current events. That can be seen in
the case of JPU, where the former and current academic vice presidents have
different styles of relating to faculty. The difference in styles became particularly
significant when the new academic vice president introduced an institutional change
that affected how he interacted with faculty, a change that was contrary to the
historical way of interacting and that was perceived by faculty as antithetical to the
values of the institution. Using history and institutional values as their interpretative
scheme, significant resistance to the change was brought to bear on the academic
vice president resulting from faculty’s interpretation of his behavior. The vice
president was able to counteract the resistance by explaining the rationale for the
change in interaction with faculty and by changing himself and demonstrating a
greater interest in developing relationships with faculty and thus, working more in
accordance with the cultural values of JPU.
Finding Three
Changes in structure, policy, and practice are viewed symbolically as well as at face
value.
People frequently read into the actions of others more than the actor intends
by the action. The phrase “Actions speak louder than words” is a testament, not just
to the commitment that the action represents, but also, that actions are viewed
134
symbolically for what they represent. Actions are often cues for noticing that an
event is of some significance, an indication that something is different or changed.
People then interpret the action using their existing frames of references. When the
academic vice president decided to create the position of vice president of sponsored
projects and graduate education, the graduate faculty interpreted this as an indication
that graduate education was of significance to the institution. Graduate education
now had a senior administrator at the same level as the administrator overseeing
undergraduate education.
Graduate faculty began to see graduate education in a different light. They
had referred to themselves as “underdogs” and “step-children” in the past. They
began to see graduate education as an equal partner with undergraduate education in
the institution. This developing frame of reference regarding graduate education was
further enhanced with the approval of by-laws for the graduate council. The by-laws
gave them real institutional authority, the authority to approve graduate curriculum
without having to go through the undergraduate curriculum committee. The
authority to approve graduate curriculum symbolized that they were independent
partners with the undergraduate part of the institution.
Perhaps the most significant change in practice, the one with the most far-
reaching implications, was the reference by the academic vice president to JPU as a
“comprehensive university.” Previously, JPU had considered itself a liberal arts
university, that is, the focus was on the liberal arts, undergraduate educational role of
the institution. But, in discussing JPU the academic vice president consistently
135
referred to it as a “comprehensive university,” indicating symbolically that the
university had changed, it was doing something different. That something different
was a focus on graduate education. While to the average lay person, whether an
institution refers to itself as a liberal arts university or a comprehensive university
may be of little significance, to the faculty of JPU it was of great significance, as this
symbolic change in focus had implications for who they were as an institution, the
identity of JPU. As it is faculty who perform the educational function in an
academic institution, the change to comprehensive university implied that as faculty
they would be doing something different, and therefore, it changed who they were as
educators. The symbolic significance of the term “comprehensive” was of
monumental significance to JPU. It symbolized what the institution was becoming
and what it would be in the future. It was no longer the “same old” JPU.
Finding Four
The need to reduce barriers to communication and establish additional
communication opportunities is especially critical during times of change and
uncertainty.
In an effort to make sense of changes in their environment, people talk to
others. They collect information, compare data, and discuss possible opportunities
or solutions in an effort to make sense of the changes that they are experiencing and
to determine an effective way to respond to the change. In making sense of the
change, people tell “stories.” They relate the history and the events leading up to the
change, and describe what the change means and the implications for the future.
136
People do this with whatever information that they have and will fill in the “holes”
with their understanding of the situation using frames of reference from past or
current situations. According to Brown and Humphreys (2003), we use narratives to
process the information so that we can make sense of it. That is, people tell stories to
“make sense.”
In times of change people will generate stories to make sense of the change.
If they are provided with information from leadership, they will often use and
elaborate on that information in their story generation. If they do not have
information from leadership, they will listen to the rumors, the “grapevine,” and pick
up tidbits wherever they can, that they will use to generate a narrative that makes
sense with their experience of the change and told from their own perspective or
frame of reference (values, history, traditions, etc.) Using this narrative to
understand the change, they will then use this understanding to respond to the
change. If the information used in generating the narrative was incorrect, invalid, or
inadequate, their response may seem inappropriate, leaving leadership to wonder
about the response. Therefore, in times of change it is essential that leadership
reduce the barriers to communication to provide correct and appropriate information
so that people can develop narratives consistent with the changes and respond in
appropriate ways.
At JPU both the personal style by which the new academic vice president
communicated as well as his expectation that faculty would work with their deans
and not him served as barriers to communication in a time of major changes. The
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situation was further exacerbated by the fact that this represented what faculty
perceived to be a reduction in information from administration as the former
academic vice president communicated frequently with multiple audiences. The
result was that faculty developed their own narratives of the changes that were
occurring and that they were being asked to participate in. In the absence of
adequate information, the narratives described a JPU that was contrary to
fundamental JPU values and identity. This led to tension between the faculty and the
academic vice president that had the potential to derail some of the desired changes.
Fortunately, the academic vice president worked with faculty to develop additional
mechanisms for communication in which they could talk person-to-person (Weick,
1993) and generate common, shared narratives to make sense of the changes.
Finding Five
The central core of JPU is its mission statement. It is the touchstone that ties the
institution together and serves as the guiding light.
Using Albert and Whetten’s (1985) definition of culture as that which is
central, enduring, and distinctive, it is the mission statement of JPU would be the
foundation its culture. The mission statement is the standard by which all change
was measured. It was from the mission statement that the “captivating vision”
(Gioia and Chittipeddi, 1991) of the future of JPU as embodied in the strategic plan
emanated. The mission statement is sufficiently ambiguous so that everyone can
subscribe to it.
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As described in the model at the beginning of this chapter, the mission
statement is the beginning and the ending of the change process at JPU. The mission
statement is used to evaluate institutional success in the environment. Where the
institution fails to realize its mission, these are the areas that are identified for future
growth. Throughout the change process the mission is central and enduring, and the
changes are continually assessed according to the mission statement. At the
conclusion of the change process, it is anticipated that the institution will more fully
and dynamically live out its mission.
Austensen (1997) recommends that the mission be the focus of an academic
vice president’s efforts. JPU’s academic vice president, throughout the interviews
and in his convocation speech, centered his changes in the institutional mission. He
built his convocation speech around the historical traditions of the Jesuits from
which the mission statement was derived. Thus, he clearly linked the changes that
he was initiating to tradition and mission, associating compelling images and strong
emotional ties to the changes. In his talk he provided language, symbols, and images
that people could use to then develop their own narratives of the changes. The
language, symbols, and images would serve to link the changes to what was enduring
in the culture of JPU.
Finding Six
The familial culture at JPU emphasizes personal one-on-one relationships. It is a
part of the identity of the institution and the naturally accepted way of interacting.
139
At its core, JPU is about relationships. The image of JPU as family was often
mentioned. Faculty and staff love and are dedicated to JPU because of the close
familial type relationships that they have with their colleagues. Administration
provides venues where faculty and staff can come together to relax and reflect, share
experiences, and grow as a community. People choose to join the faculty at JPU
because of the familial, caring culture of the institution. Caring interpersonal
relationships forms the core of the identity of JPU.
The previous academic vice president epitomized the “JPU experience” in the
caring relationships that he had formed with faculty and staff. However, as the
institution grew, the informal, familial culture was inefficient and obstructed
progress towards the larger, more renowned university that JPU was striving
towards. Because of the strong and caring relationships that the former academic
vice president had developed with faculty and staff, relationships embedded in the
cultural identity and understanding of who JPU was, it would not have been possible
for him to develop a more formal, structurally based organization. That required an
individual with few organizational relationships to initiate change from the outset.
This is exactly what the new academic vice president did. In moving JPU to the
next level of excellence, a more efficient and formal operation was necessary.
Personnel had to work within the organizational structure. By reorganizing
academic affairs, the academic vice president caused people to notice the
organizational structure. It put them on notice that something was different and
changing. He then empowered the deans with additional authority and requested that
140
faculty work within the established structure, starting with their chairs and moving to
their deans, if necessary. Faculty were being asked to behave differently. And, this
different behavior was contrary to the identity of who JPU was as an organization. It
caused tension on campus, tension that continued to build because not only could
faculty not understand the change, but they also could not communicate with the
initiator of the change, as that was the change.
Following a particularly difficult situation which had escalated due to an
absence of information and communication, the academic vice president recognized
that he needed to establish better communication mechanisms and to build closer
relationships with faculty. While still supporting the formal organizational structure
that he had put in place, the academic vice president began to reach out to faculty in
informal ways. Although his personality and style are quite different from the
former academic vice president, the current vice president demonstrated that JPU
could move as an institution on the path towards a larger, more efficiently organized
university while at the same time still remaining true to its identity as a close-knit
familial institution whose central value is relationships with colleagues.
The academic vice president’s efforts to change and strengthen the structural
mechanisms of the university demonstrates the basic theme of this dissertation and
the focus of the model presented at the beginning of this chapter. This dissertation
focuses on step three of the model. In this step, structural changes have been
introduced to the organization as a result of the new vision laid out in the strategic
plan. The structural changes impact and alter the culture of the institution. The
141
culture of the institution includes how things are done and how people interact, the
history and the traditions, the stories told and the values, and what the institution is
about and who the institution is. At JPU relationships with others is a central value.
The structural change instituted by the academic vice president altered how people
related to each other, who people interacted with in order to accomplish an objective,
and formalized organizational relationships. That is, the structural change
challenged the identity of JPU, who it was as an institution. A cherished value was
in question. Faculty reacted to oppose the attack on their identity. The academic
vice president needed to manage the meaning of the change he had initiated.
Through actions in which he worked to develop relationships with faculty, and thus,
demonstrating that relationships were a value to him as well, and through his speech
in which he talked about he value of family and relationships as a central part of the
identity of JPU, the academic vice president sought to resolve the identity crisis
caused by the change he had initiated. In a feedback loop the changed culture would
then impact the organizational structure, requiring additional talk and action to
manage meaning.
This is an ongoing process that continues as long as new changes are being
introduced. Structural changes impact organizational culture. Organizational culture
affects the institution’s sense of identity. Identity, which is central to an
organization’s culture, requires input from leadership in the management of the
meaning and to provide the institution with language to understand and make sense
of the change. The altered culture then affects the structural changes that have been
142
introduced. After sufficient time and interactions back and forth, the changes are
institutionalized and embedded in the continually evolving culture of the institution
as it lives out its mission, interacting with its environment in a dynamic manner.
Conclusion
In this case study I have explored the facilitation of a change initiative by the
academic vice president at a single university. Through interviews, document
analysis, and observation, I have examined a particular change process as-it-was
occurring in detail. The case study approach has allowed me to develop a thick, rich
description of the change process. The particular change was a structural change in
the institution (the creation of a position for and hiring of a new vice president), but
this action had manifold effects on the culture of the institution. It was the
implementation of the changes, the relationship of the structural to the cultural
changes, and the sense that the institution made of the changes on which this
dissertation elaborates.
First-level analysis of the coded data gave rise to a variety of themes that
were categorized into nine groups. These groups fell into two main categories,
changes associated with structural issues in the organization and changes associated
with cultural issues important to the organization. Examination of the data suggested
that the structural changes that were initiated by the academic vice president
impacted the culture of the institution. Of particular concern to faculty was the
impact on personal relationships within the institution and the affect that had on their
understanding of the identity of the institution. Because of the nature of the changes
143
being implemented and because he was relatively new, the academic vice president
had relatively little communication with faculty during the early stages of the change
process. Faculty interpreted the changes and the academic vice president’s actions in
light of their institutional history and their sense of institutional identity and values.
Examination of the data in light of published studies of the activities in which
academic leaders engage suggested that JPU’s academic vice president operated in
the role of a manager of an academic team, encouraging the team’s performance and
developing its potential. He empowered subordinates and decentralized leadership
throughout the organization, and in doing so opened himself to change. This
development of the institution’s human resources is essential for the adoption of any
institutional change, and particularly in academic institutions where the bulk of the
work is performed by people. The data suggests that many of the changes that the
academic vice president was initiating were for the purpose of creating a stronger,
more efficient institutional structure that could function more effectively and in
which faculty would have more freedom to perform their work.
It was apparent from the data that faculty did not understand the changes that
were occurring and were having difficulty making sense of them. Faculty were not
only expected to relate to others in the organization in a different way than
previously, but they were also encouraged to see themselves in a new light and
broaden their faculty identities. Having insufficient information with which to make
sense of the changes, faculty drew their own interpretations and generated their own
narratives regarding the nature of the changes. It wasn’t until the academic vice
144
president began meeting and talking to faculty both informally and in larger contexts
that faculty began to respond more positively to the changes, emphasizing the role of
leadership in managing meaning by providing language and frames of reference for
members of their institutions to use in making sense of change. The academic vice
president was most effective in assisting the institution in making sense of the
identity change from a liberal arts university to a comprehensive university using
ambiguity-by-design, and juxtaposing this against an emphasis on the unchanging
nature of JPU’s identity, i.e. in the value it places on close familial relationships with
colleagues. He accomplished this through a liberal use of symbols, the use of
language, stories, actions, and historical tradition.
From a second-level analysis of the data emerges a model of the process and
six findings. The findings emphasize the importance of considering institutional
culture in the change process, the importance of communication as a means to
provide language with which to make sense of changes, that changes are interpreted
based on past history and institutional values, that many aspects of a change are
viewed symbolically in addition to face value, that institutional mission is a powerful
frame of reference for interpreting change, and that personal relationships are critical
in the change process.
Although this case study details a specific problem at a particular institution,
the description of the case and the findings that emerge from the study can serve to
guide other academic officers as they seek to engage in change processes at their
institutions. The case highlights activities that are significant and stresses the
145
importance of understanding the institution’s culture, providing opportunities for
communication and language with which members can make sense of the change. It
reminds the reader of the value of personal relationships in achieving any objective
in higher education. This study fills a void in the literature by providing an
alternative, qualitative understanding of the academic vice presidency as compared
to the quantitative studies previously done. The thick, rich description of this case
presents an in-depth perspective of the work of the academic vice president in
facilitating change.
Concluding remarks
I conclude this dissertation with the words of Karl Weick (1993). “In a fluid
world, wise people know that they don’t fully understand what is happening right
now, because they have never seen precisely this event before….what organizations
most need in changing times [is] curiosity, openness, and complex sensing.” This
describes the environment at JPU.
146
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153
APPENDIX A: Guiding Questions for Interviews
First Interview with Academic Vice President
I would like to give you a sense of the purpose of my study and what I would like to
accomplish in the interviews, so that you have some understanding ahead of time of
what to expect.
At the outset of the interview I would like to discuss any concerns you may have or
conditions that you would like to set on my study. You will, of course, have
complete access to it. With your permission, I would like to audiorecord the
interview.
The question that I am addressing in my study is: How does the academic vice
president contribute to sensemaking in the change process of a particular aspect of
JPU’s strategic plan?
In the first interview I would like to:
Establish rapport
Identify a particular aspect of the strategic plan and situation to study
Define the scope
Establish the parameters
Because of the nature of my study, I will not have a specific set of pre-determined
questions. I do have a series of guiding questions to give some structure to the
interview. The following is far more than we could cover in an hour, but the purpose
is to give you an idea of the type of information I am seeking. Also, repetition is
essential as I expect that there will be variations in the responses, and that responses
may change over time. (One of the premises of sensemaking from Weick (1995) is
that “I don’t know what I know until I say it,” and after I say it I can examine it and
change it if needed.)
1. A discussion of what sensemaking is, so that we have a common idea of what I
am studying.
2. A description of sensemaking in the change process.
a. What elements are involved in sensemaking.
b. What are types of situations where sensemaking occurs
c. What are ways in which sensemaking occurs
d. When is sensemaking used
3. The role of the AVP in institutional change
4. Your significant background information
a. Significant events in your life that have contributed to your development as a
leader
154
b. Your history at JPU – positions held and people principally interacted with
5. A description of yourself
a. A description of your role(s)
b. Who you are as AVP
c. Who you are as a leader
d. Who you are as a person
e. Your personal ethos
f. 2 or 3 stories that exemplify who you are
6. A description of JPU
a. The type of institution that it is
b. “Who” JPU is in the arena of higher education
c. What JPU stands for and how it is perceived by other institutions
d. 2 or 3 stories that exemplify the institution
7. Some traditions
a. At JPU
b. Personal ones related to your role
8. Symbols
a. Of JPU
b. Of/about you, that resonate with you
9. Values
a. Institutional
b. Personal
10. Institutional organization
a. Formal
b. Informal
11. A description of how information flows at JPU
a. Formally
b. Informally
c. How controlled
12. Explanation of how people challenge (e.g. oppose, argue) one another at JPU
a. Situations in which it is allowed and not allowed
b. Mechanisms/processes by which this occurs
c. Manner in which it occurs
d. Formal vs. informal situations
13. Type of person hired at JPU – selection criteria used
14. What are premises that you use in making decisions
At the conclusion of the interview, I would like to identify
Situations that I could observe sensemaking “in action”
Other relevant actors to interview
Relevant documents to review
155
Second Interview with Academic Vice President
1. Story of him as effective leader
a. Values as a leader/ AVP
b. Image convey to others - how others see him
2. A description of JPU
a. The type of institution that it is
b. “Who” JPU is in the arena of higher education
c. What JPU stands for
d. 2 or 3 stories that exemplify the institution
3. Some traditions
a. At JPU
b. Personal ones related to your role
4. Symbols
a. Of JPU
b. Of/about you, that resonate with you
5. Values
a. Institutional
b. Personal
6. How JPU is perceived by other institutions
7. Explanation of how people challenge (e.g. oppose, argue) one another at JPU
a. Situations in which it is allowed and not allowed
b. Mechanisms/processes by which this occurs
c. Manner in which it occurs
d. Formal vs. informal situations
8. Hiring criteria for staff – general
a. Hiring criteria for vp
b. Who on committee
c. Sorts of questions ask
d. Describe ideal candidate
9. Sensemaking process - arguing, expecting, committing, manipulation
a. In context new vp, which used most
b. Which most effective
c. Difference in what used individually vs. groups
10. How was idea developed
a. What were assumptions about organization/ premises for pursuing idea
b. expectation of what person will do
i. how expectations developed
11. Any arguments not to hire
12. Who first described idea to - describe situation
13. Actions taken to bring idea to fruition
14. What commitments been made to hire vp
a. Institutional, personal
156
15. What changes have needed to occur
16. Can envision any reasons university would decide not to hire vp
17. What are justifications for hiring at this time
Third Interview with Academic Vice President
1. What commitments have been made to hire new vp?
a. Institutional
b. Personal
2. What changes have needed to occur?
3. What impact is new vp expected to have on institution?
4. What are faculty expecting from person?
5. How is position related to university’s mission?
6. Describe socialization of new vp.
7. To what do you attribute turnover in senior level personnel?
8. What affect has this turnover had on the institution? Individual faculty?
9. How is institution helping staff to cope with personnel changes?
10. Mentioned globalization and increasing the number of foreign students. Can tell
me more about this?
11. You used the word heroic frequently in convocation speech. What is heroic
leadership?
12. What does “family” mean in context of institution?
13. What particular strengths do you bring to the position?
14. What are the expectations that you have of yourself, the deans, the faculty?
15. Describe how institution has changed since you arrived.
16. Five years down the road, how see self at JPU? What will be different?
17. What want from JPU experience – for self, for faculty and staff?
18. What makes JPU unique?
19. Give examples of “rules” at JPU.
20. Describe a walk as you would experience it across campus or down the hall.
21. What is the work ethic at JPU?
22. What surprised you about JPU after you arrived?
23. What has been the easiest aspect of the job?
24. What are the biggest challenges?
25. What is the role of a leader in the change process?
26. What is focused leadership that you have frequently referred to?
Fourth Interview with Academic Vice President
1. Can you tell me about the town hall meeting on Feb. 8?
a. How did it go
157
b. What did you hope to accomplish, did you?
c. Any surprises
2. You had said that AVP is “the most difficult job in the world,” why is it?
3. How do you assess your effectiveness in getting your message out?
How assess degree of confusion?
4. How determine whether those involved are attending to message?
How do you engage people so they hear message?
5. What are some of the assumptions, ways of doing things that people have that
prevent them from hearing the message?
6. What model are you trying to build for JPU?
7. How would you describe the climate of graduate council? How much do you,
can you influence that?
8. How do you establish commitment to change you want to bring about?
9. How deal with those not on board, if you do? Eg. Hiring of new vp.
10. One of changes is to work through deans, how assess whether message is being
conveyed or isn’t being corrupted?
11. Lots of change – comment on going more slowly in introducing changes vs
introducing changes all at once?
12. What about use of email as a tool for communicating messages?
13. What about ideas that have floundered? How do you assess that?
14. How do you hear messages from faculty as a body?
What is your responsibility in this regard?
15. Large part of how one makes sense of information is the cultural milieu one is a
part of. Many of faculty been here many years and there is a strong culture.
With all the many changes in and expansion of administration, isn’t there a
danger that there will be disconnect between them and the prevailing culture of
the faculty?
16. Why the emphasis on external, sponsored projects?
17. How select people to be on the hiring committee, how determine committee
composition?
18. How was person’s job defined?
19. What does JPU mean to you, As an institution?
20. What do you like best about JPU?
21. What do you envision for JPU 5 or 10 years down the road?
Interviews with Faculty and Staff
1. Explain my purpose and explain how will refer to them in dissertation.
2. Describe your background, and institutional role.
3. Describe JPU as an institution.
4. Define JPU as an institution of higher education in LA
5. Describe what are JPU’s fundamental values.
158
6. What makes JPU special?
7. A story that describes the institution.
8. Did you attend the avp’s convocation?
9. Describe those situations formal and informal where you interact with avp?
a. How do you fit into the situations?
10. I want to focus on hiring of new vp of graduate studies in the remaining
questions. Describe situation when first learned about this as a possible
position.
11. Did you favor or disfavor? Explain why.
12. Describe avp’s role in this.
13. What did you envision would be person’s institutional role.
a. Has this changed over time? How?
14. Describe what your role in process has been.
15. How have you interacted with avp in process?
16. Describe leadership style of new avp.
17. How is he perceived on the campus?
18. In what ways is he most effective?
19. How has he assisted institution and other people who are a part of it to process
change?
20. What is his agenda for the university?
21. In minutes, there is a transition from avp to senior avp to chief academic officer.
Can tell me about this?
22. What do you like best about JPU?
23. What do you envision university to be like in 5 years from now?
24. Other comments.
Abstract (if available)
Abstract
Despite the importance of the academic vice presidency in institutions of higher education, little research has focused on the nature of their work. This dissertation is case study which describes and examines the role of the academic vice president in facilitating a change process. It fills a void in the literature by providing an alternative, qualitative understanding of the academic vice presidency. The thick, rich description of the case presents an in-depth perspective of the work of the academic vice president.
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Asset Metadata
Creator
Panec, Marie Therese
(author)
Core Title
Sensemaking of an identity change: a case study in higher education investigating the role of the academic vice president in facilitating change
School
Rossier School of Education
Degree
Doctor of Education
Degree Program
Education (Leadership)
Publication Date
07/11/2007
Defense Date
06/12/2007
Publisher
University of Southern California
(original),
University of Southern California. Libraries
(digital)
Tag
academic vice-president,Change,OAI-PMH Harvest
Language
English
Advisor
Gallagher, Karen Symms (
committee chair
), Diamond, Michael (
committee member
), Dowd, Alicia (
committee member
)
Creator Email
panec@usc.edu
Permanent Link (DOI)
https://doi.org/10.25549/usctheses-m611
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UC1324824
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Legacy Identifier
etd-Panec-20070711.pdf
Dmrecord
518354
Document Type
Dissertation
Rights
Panec, Marie Therese
Type
texts
Source
University of Southern California
(contributing entity),
University of Southern California Dissertations and Theses
(collection)
Repository Name
Libraries, University of Southern California
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Tags
academic vice-president