seminar: transformational efforts in higher edu institutions

transformational efforts in higher edu institutions
UCLA
Prof. Sandy Astin

Greenwood, R. and Hinings, C.R. (1996). Understanding radical organizational
change: Bringing together the old and the new institutionalism. Academy of
Management Journal, 37 (3), 1022-1054.
Kerr, C. (1991). The great transformation in higher education, 1960-1980. Albany,
NY: State University of New York Press.
Kraatz, M.S. & Zajac, E.J. (1996). Exploring the limits of the new institutionalism:
The causes and consequences of illegitimate organizational change. American
Sociological Review, 61, 812-836
Kuhn, T.S. (1996). The structure of scientific revolution (3
rd
ed.). Chicago:
University of Chicago Press.
Rowley, D.J., Lujan, H.D., & Dolence, M.G. (1997). Strategic change in colleges
and universities: Planning to survive and prosper. San Francisco, CA: Jossey-Bass
Publishers.
Ch. 4: Planning to Fit the Institution’s Environment
Rowley, D.J., Lujan, H.D., & Dolence, M.G. (1998). Strategic choices for the
Academy. San Francisco, CA: Jossey-Bass Publishers.
Ch. 2: Strategic Change in the Wake of Controversy
Scott W.R. (1994). Institutions and organizations: Toward a theoretical synthesis. In
W.R. Scott and J.W. Meyer (eds.) Institutional environments and organizations.
Thousand Oaks, CA: Sage Publications.
Week 3: Organizational Culture
Readings:
Keup, J.R., Astin, H.S., Lindholm, J.A., & Walker, A.A. (2000). Institutional culture
and transformation. Unpublished manuscript, Higher Education Research Institute:
University of California, Los Angeles.
Schein, E.H. (1992). Organizational culture and leadership (2
nd
Ed). San Francisco:
Jossey-Bass Publishers.
Ch. 1: Defining Organizational Culture
Ch. 2: Uncovering the Levels of Culture
Tierney, W.G. (1988). Organizational culture in higher education. Journal of Higher
Education, 59 (1), 2-21.
Wilber, K. (1998). The marriage of sense and soul. New York: Random House.
Chapter 5, “The Four Corners of the Known Universe.”
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Guiding Questions:
• What is organizational culture? How do values and belief systems relate to
organizational culture?
• Why is it important to study the role of culture in institutional transformation?
• What are the characteristics of culture in higher education? Are there definable
sub-cultures in higher education? How do these various subcultures fit into the
larger culture?
• Can organizational culture be regarded both as an “input” and as a “product” or
outcome of the process of transformation?
• What are the common cultural sources of resistance to transformation, how do
they operate, and can they be changed?
Other resources:
Clark, B.R. (1984). Academic culture. Yale Higher Education Working Group
Paper.
Kabanoff, B., Waldersee, R., & Cohen (1995). Espoused values and organizational
change themes. Academy of Management Journal, 38 (4), 1075-1104.
Kuh, G.D., Schuh, J.H., & Whitt, E.J. (1991). Involving colleges. San Francisco:
Jossey Bass Publishers.
Ch. 4: Institutional Culture
Kuh, G.D. & Whitt, E.J. (1988). The invisible tapestry: Culture in American colleges
and universities. (Vol. No. 1). Washington D.C.: Association for the Study of Higher
Education.
Rowley, D.J., Lujan, H.D., & Dolence, M.G. (1997). Strategic change in colleges
and universities: Planning to survive and prosper. San Francisco, CA: Jossey-Bass
Publishers.
Ch. 5: Negotiating Campus Politics
Rowley, D.J., Lujan, H.D., & Dolence, M.G. (1998). Strategic choices for the
Academy. San Francisco, CA: Jossey-Bass Publishers.
Ch. 3: Cultivating Internal Readiness for Change
Schein, E.H. (1992). Organizational culture and leadership (2
nd
Ed). San Francisco:
Jossey-Bass Publishers.
Ch. 8, Deciphering Culture for Insiders
Ch. 9, Reporting About Culture to Outsiders
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Week 4: Leadership
Readings:
Astin, A. W. & Astin, H. S., (Eds.) (2000). Leadership reconsidered: Engaging higher
education in social change. Battle Creek, MI: W.K. Kellogg Foundation.
Ch. 1: Higher Education and the Need for Change
Ch. 2: Principals for Transformative Leadership
Ch. 3: College Presidents as Leaders of Institutional Change
Bolman, L. G. & Deal, T. E. (1991). Reframing organizations. San Francisco:
Jossey-Bass Publishers.
Ch. 18: Reframing Change: Training & Realignment
Ch. 19: Reframing Change: Conflict & Loss
Yee, J.A., Astin, H.A., Kuo, E.W., Lindholm, J.A. & Vogelgesang, L.J. (2000). The
role of leadership in institutional transformation. Unpublished manuscript, Higher
Education Research Institute: University of California, Los Angeles.
Guiding Questions:
• Who can or should initiate the transformation process?
• How do positional leaders undertake transformational efforts?
• What is the continuing role of leadership in transformational efforts?
• How do factors such as power, culture, and external forces interact with the
leadership process in institutional transformation?
• What role can (should) the college or university president play in the
transformation? What about other high-level administrators?
Other resources:
Astin, H.S. & Leland, C. (1991). Women of influence, women of vision: A cross-
generational study of leaders and social change. San Francisco: Jossey-Bass
Publishers.
Bensimon, E.M. (1989). New presidents’ initial actions: Transactional,
transformational, or ‘trans-vigorational’ leadership? Paper presented at the
national conference of the American Education Research Association, San Francisco
CA.
Bensimon, E. M. & Neumann, A. (1993). Redesigning collegiate leadership: Teams
and teamwork in higher education. Baltimore, Maryland: Johns Hopkins.
Drath, W.H. & Palus, C.J. (1994). Making common sense: Leadership as meaning-
making in a community of practice. Greensboro, North Carolina: Center for
Creative Leadership.
Hollander, E.P. & Offermann, L.R. (1990). Power & leadership in organizations.
American Psychologist, 45 (2), 179-189.
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Kauffman, J.F. (1982). The college presidency yesterday and today. Change,
(May/June) 12-19.
Sergiovanni, T.J. & Corbally, J.E. (1984) (Eds.). Leadership and organizational
culture. Chicago: University of Chicago Press.
Shapiro, H.T. (1998). University presidents then and now. In W.G. Bowen and H.T.
Shapiro, (Eds.), Universities and their leadership (pp. 65-114), Princeton, NJ:
Princeton University.
Yukl, G. & Van Fleet, D.D. (1992). Theory and research on leadership in
organizations. In Handbook of Industrial and Organizational Psychology, Vol. 3,
Dunnette, M.D. & Hough, L.M. (Eds.). Palo Alto, CA: Consulting Psychologist
Press, Inc.
Week 5: Assessment
Readings:
Astin, A.W. (1991). Assessment for excellence. San Francisco: Jossey-Bass
Publishers.
Ch. 1: The Philosophy and Logic of Assessment
Ch. 3: Assessing Outcomes
Ch. 11: Assessment and Public Policy
Astin, A.W., Lindholm, J.A., Walker, A.A., & Keup, J.R. (2000). Facilitating
transformative change efforts through the use of assessment. Unpublished
manuscript, Higher Education Research Institute: University of California, Los
Angeles.
Guiding questions:
• What is the purpose of assessment in transformation?
• How can assessment be used to 1) initiate, 2) facilitate, and 3) evaluate the
transformation process?
• Whose responsibility is it to perform, monitor and follow-up on the assessment
process?
• How does one determine the basis of comparison for the assessment? What are
the standards for assessment?
• What type of assessment is most appropriate for what kinds of efforts?
• What are the various technical options for assessment in transformation? How is
change/transformation operationalized?
• What is the role of feedback in the process of assessment? What is the role of
feedback in the overall process of transformation?
• What role can assessment play in collaborative efforts involving several
institutions?
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Other resources:
Astin, A.W. (1991). Assessment for excellence. San Francisco: Jossey-Bass
Publishers.
Ch. 7: Using Assessment Results
Ch. 8: Building a Data Base
Bullock, K. & Scott, B. (1992). Evaluating an innovation. Assessment and Evaluation
in Higher Education, 17(2), 111-126.
Ewell, Peter (1985). Assessing educational outcomes. San Francisco: Jossey-Bass.
Loacker, G. & Mentkowski, M. (1993). Creating a culture where assessment
improves learning. In Banta & Associates (Eds.), Making a difference: Outcomes of
a decade of assessment in higher education (pp. 5-24). San Francisco: Jossey-Bass
Publishers.
Mentkowski, M. & Loaker, G. (1985). Assessment and validating the outcomes of
college. In P.E. Ewell (Ed.), New directions for institutional research: Vol. 47.
Assessing educational outcomes. San Francisco: Jossey-Bass Publishers.
Palomba, C.A. & Banta, T.W. (1999). Assessment essentials: Planning,
implementing, and improving assessment in higher education. San Francisco:
Jossey-Bass Publishers.
Week 6: Theories of Change/Transformation
Readings:
Astin, A.W. & Colleagues (2000). The theory and practice of institutional
transformation in higher education. Unpublished manuscript, Higher Education
Research Institute: University of California, Los Angeles.
Rowley, D.J., Lujan, H.D., & Dolence, M.G. (1997). Strategic change in colleges
and universities: Planning to survive and prosper. San Francisco, CA: Jossey-Bass
Publishers.
Ch. 3: Creating a Unique Model of Strategic Planning for Higher Education
Senge, P.M. (1990). The Fifth Discipline. New York: Currency Doubleday.
Ch. 1: Give Me a Lever Long Enough . . . and Single-Handed I Can Move the
World
Simsek, H. & Louis, K.S. (1994). Organizational change as paradigm shift: Analysis
of the change process in a large, public university. The Journal of Higher Education,
65 (6), 670-695.
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Guiding Questions:
• For true transformation to occur, must change agents focus on all of the aspects
we’ve discussed thus far (i.e., leadership, external forces, organizational culture,
etc.) or is it possible to target one or two and the others will fall into place?
• How have you conceptualized the linkages among the different aspects of
transformation discussed in class so far? How has this led you toward
constructing your own theory of, or point of view about, transformation in higher
education?
• The assigned reading for this week presented several different models of change
and transformation. Did any of these perspectives resonate with your
interpretation of the transformation process? Why?
• How did the readings address or neglect the various components of
transformation we have discussed thus far? Did they bring up any aspects of
change we have not discussed?
Other resources:
Argyris, C. (1980). Educating administrators and professionals. In C. Argyris and
R.M. Cyert (Eds.), Leadership in the '80s, pp. 1-38. Cambridge, MA: Institute for
Educational Management, Harvard University.
Bartunek, J. M., and Moch, M. K. (1987). First-order, second-order, and third-order
change and organization development interventions: A cognitive approach. The
Journal of Applied Behavioral Science, 23(4), pp. 483-500.
Clark, B. (1970). The Distinctive College: Antioch, Reed and Swarthmore. Chicago:
Aldine Publishing Co.
Ch. 10: The Making of an Organizational Saga
Dervitsiotis, K.N. (1998). The challenge of managing organizational change:
Exploring the relationship of re-engineering, developing learning organizations and
total quality management. Total Quality Management, 9 (1), 109-123.
Lueddeke, G.R. (1999). Toward a constructivist framework for guiding change and
innovation in higher education. Journal of Higher Education, 70 (3).
Romanelli, E. & Tushman, M.L. (1994). Organizational transformation as
punctuated equilibrium: An empirical test. Academy of Management Journal, 37 (5),
1141-1166.
Tierney, W.G. (1997). Organizational socialization in higher education. Journal of
Higher Education, 68 (1), 1-17.
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Week 7: Strategies of Change/Transformation
Readings:
Astin, A. W. & Astin, H. S., (Eds.) (2000). Leadership reconsidered: Engaging higher
education in social change. Battle Creek, MI: W. K. Kellogg Foundation.
Ch. 7: We have the Power and the Opportunity to Transform Our Institutions
Eckel, P., Green, M., Hill, B., Green, M., & Mallon, W. (1999). On change III:
Taking charge of change: A primer for colleges and universities. Washington DC:
American Council on Education
Eckel, P., Hill, B., Green, M., & Mallon, B. (1999). On change: Reports from the
road--insights on institutional change. Washington DC: American Council on
Education.
Guiding Questions:
• How does one determine the best strategies and tactics for change in a particular
environment?
• How should we regard the issue of “change” in higher education (inevitable reality or
proactive tool)?
• How should the goals and tactics of the change be communicated to the campus
community (i.e., students, faculty, staff, alumni, parents, trustees)?
• When undergoing transformation is it best to focus on cultural or structural changes?
How do the two fit together in the process of change/transformation?
• What is the role of resistance in the change process? What are the most common
sources of resistance and what tactics may be used to deal with resistance during the
change process?
Week 8: Preliminary Discussion of Case Studies: Design, Planning, & Individual
Final papers
Week 9: Presentation of Case Studies
Student groups will do class presentations on the case studies they chose for their final
project. See below for details and guiding questions for the assignment.
Week 10: Return to Theory/ Theory Refinement/Theory Building
Guiding questions:
• Given what we have discussed and read in this course, what gaps do you see in
the research?
• What are the key areas for future study?
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• What aspects of theory seemed to be “settled?” Where are there continuing
uncertainties and ambiguities?
• How do we begin to bridge the gap between researchers and practitioners with
regard to transformation efforts?
• How can we begin to study change and transformation beyond the institutional
level, so that applicability can be made across the system of higher education?
• How do we begin to encourage more collaborative efforts as we develop further
insights into the process of institutional change and transformation?
Course Assignments:
Article Critique--Due week 5:
Choose a research article other than the ones listed on the syllabus that deals with change
or institutional transformation in the higher education literature. Please provide the
following:
1. A copy of the article to the instructor.
2. A brief (one paragraph) annotation of the article to distribute in class. Please bring
enough copies for everyone in the class.
3. A 5-page critique of the research article.
Final Project --Presentations will be week 9; Final Papers are due week 10:
Find a case study of an actual transformation in higher education (it can be one we’ve
discussed in class, one you are familiar with, or one you want to learn more about). It
can be a successful transformation, an ongoing effort, or an effort that did not prove to be
successful. In order to provide context please describe the transformation effort using the
aspects of change we have discussed in this course (organizational culture, leadership,
external forces, etc.). More importantly, please analyze the transformation based upon
the following questions:
1. What was being transformed and why?
2. What was the status of the policy, activity, or program prior to beginning the change
process?
3. What were the justifications for selecting the particular goals and changes?
4. How was the planning process conducted?
5. What was the process that guided implementation?
6. What were the specific implementation stages or steps?
7. What is your analysis and evaluation of the total process? Where does it stand today?
You are strongly encouraged to work in small groups per case study. We also encourage
you to utilize all possible means to gather information (published research, coverage in
popular press, existing theory, Internet, site visits, interviews, etc.--be creative but be sure
to cover the transformation thoroughly). In addition to your group presentation, each
member of the group will turn in an in-depth written analysis of a specific aspect of the
transformation effort (no more than 10 pages) using the questions listed above as
guidelines.