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Competencies for effectiveleadership in higher education

Marion SpendloveAston University, Birmingham, UK

Abstract

Purpose The purpose of this research is to set out to investigate the role of the Pro-Vice-Chancellor,Rector, or Principal of a university, and the competencies (attitudes, knowledge and behaviour) thatare needed for effective leadership in higher education.

Design/methodology/approach Semi-structured interviews were held with Pro-Vice-Chancellorsat ten UK universities representative of the sector.

Findings Most respondents perceived that academic credibility and experience of university lifewere crucial for effective leadership in higher education, and continued with their research and

teaching activities alongside their managerial roles. People skills, including the ability to communicateand negotiate with others, were also felt to be important. Most universities in the study had nosystematic approach for either identifying or developing leadership skills.

Research limitations/implications Although this was a relatively small study, the researchhighlights the need for a more proactive approach to identifying leadership competencies anddeveloping leadership throughout universities.

Originality/value The effective leadership and management of universities is a crucial issue forpolicy makers, leaders themselves, and for university staff. The research shows that universityleadership is fundamentally different from leadership in other contexts, and demands additionalcompetencies. It adds to debates about whether leaders in higher education should be academics, orprofessional business administrators.

KeywordsLeadership, Universities, Competences, Academic staff

Paper typeResearch paper

Leading universities may present a unique challenge. Because of the organizational

complexity of the university, its multiple goals and its traditional values, the nature of

leadership in higher education is ambiguous and contested (Petrov, 2006). Universities

have been described as organized anarchies with high inertia, unclear technologies

and problematic goals (Cohen and March, 1974). Leading academics has been likened

to herding cats, yet the very strength of the university system lies in the independent

thought, creativity and autonomy of the people who work in them. Unilateral top-down

leadership is clearly at odds with the traditional values of academic freedom and

autonomy, democratic participation and the variety of academic interests

(Middlehurst, 1993). What kind of leadership and leadership development are most

effective, when the collegial nature of most universities rests on collectivedecision-making?

This paper reports on an empirical scoping study to investigate how we can identify

and develop effective leadership in higher education institutions (HEIs). Studies of

The current issue and full text archive of this journal is available at

www.emeraldinsight.com/0951-354X.htm

The author would like to acknowledge Professor Graham Hooley and Dr Michael Grojean, AstonUniversity, and Professor Michael West, Aston Business School for their support and helpfulcomments on this study.

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DOI 10.1108/09513540710760183


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leadership in higher education tend to focus on the role of the Vice-Chancellor (VC),President or Rector (for example, Barghet al., 2000). We therefore have little knowledgeof what skills are needed by those at other levels of leadership. This researchinvestigates the competencies (attitudes, knowledge and behaviours) that are needed

by a Pro-Vice-Chancellors (PVC), or those who are second-in-command in a UKuniversity.

The role of the PVCThe role of PVC is an ambiguous and unusual organizational one, subject to differentinterpretations in different universities (Middlehurst, 1993). Appointees can have eitheracademic or professional backgrounds, or a combination of both (Whitchurch, 2006).Middlehursts (1993) seminal investigation into leadership in HEIs showed thatalthough PVCs were often officially part-time, varying between 50 and 75 per cent of afull load, most regarded the role as virtually full-time in terms of energy and timecommitment. For the rest of the time, they concentrated on keeping up with the

academic activities to which they would return at the end of their tenure.There appears to be some reluctance to appoint outsiders to leadership roles inhigher education (HE), despite the growing complexity of institutional management.As Barghet al. (2000) point out, the result is senior academic leaders who may not bewell suited to line or operational management. Yielder and Codling (2004) claim that inthe traditional university sector, promotion to senior management positions has tendedto be based on academic prowess, largely relating to research capability. Goodall(2006), in her documentary study, found that the most highly ranked universities hadleaders who are more highly cited. She admits it is not clear whether the universitiesare performing well because of these successful academics, or whether this is becausegood universities are able to attract successful academics.

Leadership theoriesAlthough there is some overlap between leadership and management, leadership hasbeen defined as a process of influence leading to the achievement of desired purposes.This distinguishes it from management, which involves the efficient and effectivemaintenance of an organizations current activities, and the implementation of policies(Bush and Glover, 2003). Leadership theory contends that the behaviour of individualscan significantly influence the behaviour of others. Thus it is argued that an effectiveleader can influence others to accomplish organizational goals. Leadership hastraditionally been conceptualized as an individual-level skill. The most influentialleadership model was proposed by Burns (1978), who characterized leader behaviouras either transactional or transformational. In transactional leadership, leaders andfollowers exchange needs and services to accomplish independence objectives, or a

form of leadership by bartering, and positive reinforcement is given for good work(Sergiovanni, 1991). Transformational leadership theory relates to the charisma,intellectual stimulation and consideration of individual leaders (Bass, 1985).

There is some evidence to show that a charismatic or transformational leadershipstyle may be more effective in an educational setting (Muijset al., 2006; Neumann andNeumann, 1999), or a combination of transformational and transactional dimensions(Pounder, 1999, 2001). However, models of leadership used in HEIs are largely derivedfrom business. The direct transfer of business practices to an educational context could

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be inappropriate (McIllhattonet al., 1993), and variations within the educational sectoritself have been found (Frenkel et al., 2006).

Leadership development theoriesLeader development is thought to occur through training in individual skills andabilities. However, leadership has been shown to be a complex interaction between thedesignated leader and the social and organizational environment. The underlyingassumption is that more effective leadership occurs through the development ofindividual leaders, and that leadership can be added to organizations to improve socialand operational effectiveness. A complementary perspective approaches leadership asa social process that engages everyone in the community. In this way, each person isconsidered a leader, and leadership becomes an emergent property of effective systems(Day, 2000). Leadership development can be defined as expanding the collectivecapacity of organizational members to engage effectively in leadership roles and

processes (McCauley et al., 1998). Rather than focusing on leader development, whichbuilds the human capital of individuals, leadership development focuses on buildingthe social capital of organizations (Day, 2000).

The competencies approachOver the past ten years research in leadership development has moved towardsidentifying the leadership competencies (knowledge, skills, abilities and behaviours) ofindividuals. Competences are defined as sets of behaviors that are instrumental in thedelivery of desired results or outcomes (Bartram, 2005). Although some are lessamenable to being learned than others (Tubbs and Schultz, 2005), defining particularcompetencies can guide strategic human resource management practices, such asrecruitment and succession planning. Competencies offer a useful tool for leadershipdevelopment (see, for example, McDaniel, 2002). Competency models are not aprescription for effective leadership, but represent an attempt to capture theexperience, lessons learned, and knowledge of seasoned leaders to provide a guidingframework for the benefit of others and the organization (Hollenbeck et al., 2006).

Studies adopting a competencies approach tend to focus on the outcomes of singleleadership development interventions (for example, McDaniel, 2002; Turnbull andEdwards, 2005). Although researchers have investigated the competencies needed byDepartment Chairs (Thompson and Harrison, 2000; Wolverton et al., 2005), we havelittle evidence of which particular competencies are needed by the top managementteam of a university, or those who are second-in-command. The research therefore

addressed the following questions:(1) What does the role of PVC entail?

(2) What leadership competencies are most effective in the role?

(3) To what extent are the models and theories derived from business adequate inHEIs?

(4) How do HEIs identify leadership competencies?

(5) What kind of leadership development is most appropriate in HEIs?


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MethodologyTwelve PVCs from English universities representative of the sector were selected andinvited to take part in the study. Respondents and their institutions were assured ofanonymity in the research. Ten PVCs agreed to participate: five from post-1992

universities (former polytechnics), and five from pre-1992 universities. Two of therespondents were women. The semi-structured interview questionnaire was testedwith three PVCs in my own institution, and the necessary amendments made. BetweenMarch and May 2006, ten individual face-to-face interviews were held with therespondents at their institutions. Each interview was tape recorded and lasted betweenone and a half and two hours. The tapes were transcribed verbatim.

AnalysisThe quantitative data derived from the interviews on the role of the PVC, recruitmentpractices and desirable competencies was set into tables. The data on competencieswas compared with Bartrams (2005) validated competency model, which aggregates

112 components under eight domains of work performance, or the Great Eight.Qualitative analysis was carried out to identify the major new unprompted themesin the interviews. These formed the basis of a coding grid which was then applied toeach transcript to determine the strength and frequency of each theme. Particularattention was paid to the context of each response, for example, whether therespondent was employed in a post-1992 or pre-1992 university.

The role of the PVCRecruitment practices varied. Three respondents had been recruited to the postthrough head hunters, three had responded to an advertisement and four had beenselected internally (for example, by the VC). Three respondents stated that there wasno job description when they came into the post. Five posts were permanent. Four of

these were in post-1992 universities, where incumbents were expected to spend 100 percent of their time undertaking management activities.

As in Middlehursts (1993) study, we found that tasks and duties varied acrossinstitutions although similarities were noted in the activities of the six respondentswho were responsible for research, enterprise and knowledge transfer activities. Theemphasis placed on each of these, and the amount of external work undertaken, tendedto depend on the particular strengths, interest and disinterests of the post holder. Thisconfirms Hollenbeck et al.s (2006) observation, that executives often change theposition to better suit their own knowledge, skills and attitudes. Eight respondents saidthat their roles had changed since they had taken up the post, confirming the need forflexibility in university leadership noted in earlier studies (Pounder, 1999; Ramsden,1988), and six of these reported that they had instigated changes to the role themselves.

Such changes included restructuring and focusing more strongly on research. Twoothers felt that changes had been brought about by other factors, such as changinggovernment priorities, or the appointment of a new VC.

When asked what perspective was needed in the role, in contrast to other roles theyhad held, all ten respondents replied that the role was strategic. However, the PVC whowas not an academic did not feel that managing a university was any different tomanaging any other complex organization. Boldt (1991) suggests that although thereare strong similarities between business and university strategic management, the

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differences make a universitys strategic management much more difficult. Forexample, the profit motive in business is not present in universities, faculty tenurerestricts freedom to reallocate resources, and governance limits the authority ofuniversity administrators.

Research and teaching activitiesMost of the PVCs continued their academic activities regardless of whether theircontracts were full-time or part-time in the PVC role. Five respondents had fixed-termcontracts for periods ranging from two to five years. Between 20 per cent and 50 percent of their time was specified for research or other academic activities. Theoretically,this allowed them the time to continue their academic work. However, in practice, allthe respondents who were academics found that time was a great constraint on theirresearch and teaching activities, because of the demands of the management role: Asone respondent said: Its the kind of job that tends to be 24/7. Three of the tenrespondents did not undertake any teaching, and three did not undertake research (two

in pre-1992 universities, one in a post-1992 university).The assumption in Middlehursts (1993) study was that continuing their academicactivities would ease the transition back to a full-time academic post at the end of theirtenure. However, when the respondents were asked what they were going to do next, itwas surprising to find that only two of them planned to return, or had returned, to anacademic career. What was not clear was why the other seven respondents who wereacademics would wish to continue research and/or teaching, when it was clearly sodifficult to balance with their responsibilities as PVCs. This is discussed later in thepaper.

Leadership competenciesTwo respondents reported that leadership competencies were identified in their

organization. One claimed that these were identified through government-fundedactivities around developing staff, the other said these were identified during theannual performance development review. Seven respondents reported that theirorganization did not identify leadership competences; did not identify them very well;or not enough. Further investigations at the tenth institution confirmed that therewas no system in place at the institutional level. Leadership competencies or potentialwere identified through word of mouth in individual schools. At another institution,the respondent reported that although leadership training was available: . . .theuniversity seems to be extremely selective in sending people forward for that. Anotherdescribed thead hoc approach at his university:

Some person in the university might come to prominence and people think, oh hes good, he

seems a sensible person, or she seems a sensible person, might be Heads of Department orgood Faculty Board Deans (pre-1992 university).

However, four of the respondents acted as coaches or mentors themselves, advisingindividuals about their careers, involving them in academic boards, developing theminto roles, and actively engaging in succession planning. Coaching and mentoring arekey competencies for leadership. The most common attributes cited for effectiveuniversity leadership were openness; honesty; the need to consult others; the ability tolisten, negotiate and persuade; the ability to think broadly/strategically; and to engage


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with people. These are all universal leadership competencies (Bartram, 2005), reflectinga transformational leadership style. However, some of the attributes that ourrespondents felt were particularly important for the role of PVC were very different tothose required in business, and are not included in existing competency models. These

were: academic credibility; being seen and respected as an academic; experience as ahead of department; willingness to be wrong/accept advice/support; discretion; fellowfeeling; not remote, visible/get into departments; outgoing, get around the place.The following knowledge was cited by the respondents as important: knowledge ofacademic life; how the university system works; knowledge of the academic coal face;the differences between a good and a bad university; and an understanding ofacademic processes.

In the qualitative analysis, the following themes were identified as the mostfrequent across all the interviews.

Credibility (reputation, respect)Academic credibility was the strongest unprompted theme in seven of the interviews,

and was a sub-theme in one interview. The concept was not mentioned by tworespondents: one of these had given up publication; the other was from a businessbackground. For the others, academic credibility was cited as a reason for continuingto publish and teach alongside a management role, and regarded as an importantattribute of effective leadership in HE. One respondent felt it was . . . more to dowith. . .having people at the centre who are actively involved in academia. . .who arenot just thought of as administrators. One respondent said that she still did a smallnumber of lectures a year and felt people respected that because they felt under terriblepressure themselves. Through continuing their academic activities, the respondentsprovided a role model for others. As one explained:

I think you have to maintain your academic credibility. You have to remain an academic. My

feeling is that if Im asking, if Im going to people. . .

and trying to gee them up and sayingwheres that fourth publication, wheres that grant, Ive got to show them Im doing it as well(pre-1992 university).

Shattock (2003) claims there are serious dangers for institutions when seniorappointments, such as PVCs or deans, are made on a permanent basis, or when thesenior management team comprises permanent appointments only. He suggests thatnot only do such individuals become identified irrevocably with certain policies, butthey can too easily lose touch with the academic culture within which they must work.However, to say that maintaining academic credibility, and keeping in touch withacademic life, were the only reason that our respondents continued in research andteaching is only telling half of the story. Eight respondents said that they continued tocarry out research because of interest, or enjoyment. They clearly had a strongpersonal commitment to their academic activities. Retaining an identity as anacademic, rather than as a manager, was fundamental. Identity underpinsself-awareness, one of the key competencies for leadership.

ExperienceThis was the strongest theme in five of the interviews and a sub theme in twointerviews. All the respondents had held at least three senior posts in a university,and/or industry and/or business. However, it was not merely management or

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leadership experience, but the experience of being an academic, or experience in auniversity setting that were reported as important prerequisites for the post of PVC.

For most of the respondents, there had been little leadership or managementtraining when they were younger. Two respondents were in the age range 40-49, five

were 50-59 and two were over 60 years of age. Although they had received varyingamounts of training, as in Johnsons (2002) study, their learning had occurred throughengagement in practice and social interaction. The only respondent who had receivedno formal training at all reported that he had felt unprepared when he first took up thepost of PVC, particularly as none of his previous roles had been strategic in nature.

The youngest respondent, who was not an academic, was highly trained inleadership and management, with experience in managing complex organizations.However, although this respondent was highly qualified, and had extensive experiencein senior posts in business, lack of experience of academic life had made the transitionto a university culture a difficult one. In the past, the respondent had found them verypuzzling and difficult to interact with, adding: I realized that we were talkingdifferent languages half of the time. In the current post, it was hard to juggle therelationships between people and difficult to get people to work across faculty. Theautonomous nature of academic work, and what another respondent described as alack of corporate consciousness were difficult problems to cope with:

The biggest shock is that people dont have a feeling of corporate identity. They dont say: Iwork for (institution) . . . so theres no kind of corporate identity. . . Well, working out how onearth you motivate people to do things. I havent been used to that (post-1992 university).

This respondent regarded academic work and management as two separate entities:Management, to me, should be totally divorced from your academic status. Membersof organizations share mental models and implicit theories about how organizationsfunction (Bass, 1990; Dorfman et al., 2004). When they do not share organizationalbeliefs, this can threaten effective leadership.

People skills/human aspectsThis was the strongest theme in four interviews, and a sub-theme in three interviews.Although most of the PVCs did not have line management responsibility for staff,some of the respondents felt that people skills were particularly important in theirroles. For example, delegation skills were necessary:

I cant do it all myself. You cant do that. Thats when other people come in again. The higheryou go, the more you work through people, and the more you need people skills (post-1992university).

The respondents felt that team building and effective communication were also

important attributes. There was broad agreement that managing academics was not aneasy task. The metaphor of herding cats was used by one respondent, whorecognized that that having independently-minded academics was a feature of a gooduniversity:

A bunch of academics behaving like cats means that youve probably got a good lot ofacademics that are doing all the good things that make the university a strong university.You want people who are independently minded, you want people who will go off and dotheir thing and explore the possibilities (post-1992 university).


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The skills in this category were: negotiation, delegation, motivating, mentoring,monitoring, team building and communication. All of these are included in Bartrams(2005) competency framework.

DiscussionThe findings show an anomaly in the way leadership in academe is perceived. Formost of the respondents, leadership equated to academic leadership. It involved beingseen and respected as a member of the academic community. It was a most particulartype of leadership, and one in which outsiders might struggle to understand. Only onerespondent the one from a business background perceived academic life andmanagement as two separate entities. Those who had lived and worked in academesaw them as inextricably linked. Thus, academic leadership may be fundamentallydifferent to business leadership, and require particular competencies and experience.

For most respondents, it was crucial to retain their identity as academics, ratherthan as senior leaders. Self identity relates to how individuals see themselves inrelation to others (London, 2002). As Henkel (2005) found, the discipline and academicfreedom were in many cases the sources of meaning and self-esteem, and what wasmost valued. Individuals with experience of business and industry can undoubtedlymake an important contribution to academic life, in bridging the gap between theoryand practice, and introducing fresh new ideas. However, there are clearly difficultieswhen professionals enter academic life and culture at the strategic level without thecredibility, knowledge and experience that their academic colleagues have gainedthrough their previous roles in academe.

Implications for theory, practice and future research

The results show that although limited informal succession planning was taking place,the HEIs in our study appear to have no organizational strategy for identifying ordeveloping leadership skills. Little has changed since a UK government-funded GoodManagement Practice project (HEFCE, 2001) showed that 70 per cent of HEIs had nosystematic approach to leadership and management development.

Hollenbeck et al. (2006) suggest an organization might start by identifying 5-10 ofthe most important leadership roles in that organization and designing a leadershipmodel for each role, specifying the mix and interactions of the competencies that aremost likely to lead to success. Table I provides a guiding framework, throughsummarizing the competencies that the PVCs in this study felt were the mostimportant for effective leadership. The emphasis placed on each of these competencieswill vary, depending on situational and contextual factors:

Concerning the ways in which leadership competencies can be developed in HEIs, itis clear from the research that leadership development interventions need to begin farearlier in the careers of those who work in academe, so that success is built from below,rather than from above. As one respondent proposed:

We should make this opportunity available to all academics. Because if you are training themin these kinds of skills, its going to be good if they stay as research academics. They aregoing to do their research better if they have these skills. So lets give everybody theopportunity (pre-1992 university).

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The emphasis should be not only on developing individual leaders, and buildinghuman capital, but on developing leadership throughout the organization, to developsocial capital and networked relationships (Day, 2000). However, this research showsthat such relationships can be problematic when others do not share the life-world ofan academic.

Bourdieu (1977) offers some theoretical explanations. He maintains that in auniversity, academic qualifications are to cultural capital what money is to economiccapital. Thus, in an academic culture, those who are not academics do not possess thesymbolic capital that is held within those credentials (Bourdieu, 1987, 1996) and whichis sustained and built through continued publication and teaching. Those who are notacademics also lack the social capital that is gained through networked relationships

within academe that are gained through research activities, academic seminars andconferences. Bourdieu (1977) sees this as a juxtaposition of power relations at theinstitutional level, rather than at the individual level. Thus, cultural capital will onlyfunction as authority within the institutions in which it was authorized. Effectiveleadership occurs where human and social capital overlap, or in the sphere whereinfluence, and therefore leadership, become possible. In this way, leadership issustained through the practices of academic life.

To conclude, this empirical study set out to identify and develop effective leaders inhigher education. It offers a theoretical explanation for why academic leadership maybe fundamentally different from leadership in other contexts. In presenting thecompetencies for leadership in HE, some of these were found to be universal. Otherattributes possibly the most important of all were particular to universities. Ratherthan borrowing models from business, the priority must be for researchers to use agrounded approach to build comprehensive, new models of effective leadership in HE.

References

Bargh, C., Bocock, J., Scott, P. and Smith, D. (2000), University Leadership: The Role of the ChiefExecutive, Society for Research into Higher Education and Open University Press,Buckingham.

Attitudes what good leadersare

Knowledge what good leadersknow

Behaviour what good leadersdo

Self-aware

FlexibleOpenHonestDiscreteVisible, outgoingWilling to be wrong/acceptadvice/supportSensitive to the views of others

Knowledge of university life

Understand how the universitysystem worksUnderstand academic processes

Work to maintain academic

credibility/respectAct as role modelsThink broadly/strategicallyEngage with peopleListen to othersConsult with othersNegotiateCommunicate clearlyDelegateMotivate othersAct as mentorsBuild teams

Table I.Competencies for

effective leadership inhigher education


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About the authorMarion Spendlove is a Research Fellow at Aston University and lectures on PostgraduateResearch Methods at Aston Business School. She can be contacted at: [email protected]


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