Copyright, 2005 NACUBO BUILDING ORGANIZATIONAL CAPACITY (BOC) NACUBO 2005 Annual Meeting Baltimore...

Copyright, 2005 NACUBO

BUILDING ORGANIZATIONAL CAPACITY (BOC)

NACUBO 2005 Annual Meeting

Baltimore Convention Center

July 9-12, 2005

James E. Morley, Jr., PresidentNational Association of College and University Business Officers

J. Douglas Toma, Associate ProfessorInstitute of Higher Education, University of Georgia


BUILDING ORGANIZATIONAL CAPACITY (BOC)THE PROJECT

The Building Organizational Capacity project is a research and development effort of the National Association of College and University Business Officers (NACUBO) supported by FIPSE


BUILDING ORGANIZATIONAL CAPACITY (BOC)

"We can't solve problems by using the same kind of thinking we used when we created them."

- Albert Einstein


BUILDING ORGANIZATIONAL CAPACITY THE TERM

“Building Organizational Capacity” describes the executive role of senior leaders to create and sustain organizations that perform consistently with high quality results.


BUILDING ORGANIZATIONAL CAPACITY (BOC)THE PROJECT

Provides a conceptual framework and strategies for implementation and problem-solving of high value priority initiatives


BOC IS DIFFERENT

BOC encourages systems thinking and a new vocabulary by addressing higher education leaders on both the academic and administrative sides of institutions


BOC is non-linear and not prescriptive, unlike some other frameworks• It centers on interrelationships among elements which are

more of a web than a linear progression


BUILDING ORGANIZATIONAL CAPACITY (BOC) THE CONCEPT

Encourages leaders to view their institution and its many parts as a complex “social system” with many elements that continuously interact with and affect each other


Perspectives from Jay W. Forrester Social Systems

• We live in a network of complex systems. • Few people realize the extent to which those systems

control human actions. • Complex systems actively mislead people into making

counterproductive decisions.

(Forrester, “Learning through System Dynamics”; 1994)


Perspectives from Jay W. Forrester Social Systems

• Policies in a system have very little leverage to create change.

• Most of the heated debates in communities, companies, and government are about policies that are not influential.

• Debates about low-leverage policies divert attention from the few policies that could lead to improvement.

(Forrester, “Learning through System Dynamics”; 1994)


THE EIGHT ELEMENTS


PURPOSE

The fundamental mission, goals, objectives of the institution or activity• Mission and goals almost always have specific or implied

multiple objectives that must be considered and understood


BOC ELEMENT QUESTIONS

PURPOSE• Are the mission, goals, objectives clearly stated and

communicated?

• Does the purpose imply more than one goal?

• Does the purpose define a measurable outcome?

• Are executives accountable for achieving the purpose, goals and objectives?

• Is the purpose viewed/accepted in the same way by all the key players?


GOVERNANCE

The exercise of authority, responsibility and control over goals, activities and results• Should be considered at each organizational level where

decisions are made and activity occurs.


GOVERNANCE

• Institutional—Trustees• Campus

• School

• Department

• Project



GOVERNANCE• Are all existing governance bodies known, properly charged and

their role(s) understood?• Will existing governance bodies/process/policies, formal and

informal, aid or impede mission attainment?• Are all other elements considered in support of required

governance?• Are policies clearly defined for all governance activities and

decision making?• Is the process of governance leadership clearly articulated for

outcomes and accountability?• Are information flows adequate and timely to all participants in

the governance process?


POLICIES

The core principles and practices guiding all aspects of the realization of the mission and purpose of an activity

• Forrester calls them decisions


POLICIES

• Vision, goals

• Decision authority• MOU for collaboration/joint ventures• Leadership hires


BOC ELEMENT QUESTIONSPOLICIES

• Are all the decisions needed to achieve the goal clearly identified?

• Are accountable individuals empowered to make appropriate decisions?

• Are policies clearly established for all processes that are necessary for goal achievement?

• Are potential conflicting policies identified and modified to avoid conflicts?

• Are appropriate policies identified for each of the other elements: Information, Infrastructure, Governance and Structure?

• How does unit Culture impact policy development, decision making, and implementation?


PROCESSES

The means by which the purpose and goals are realized

• Many commercial companies view core processes as important corporate assets, e.g. product distribution


PROCESSES

• Strategic planning• Enrollment management• Faculty hiring• Curriculum development• Communications• Assessment



PROCESSES• Are all essential processes required for success identified and

documented? • Are responsible individuals accountable for successful process

operation?• Are processes supported by appropriate calibration with the

other elements: Information, Infrastructure, Governance, Structure and Policies?

• How does unit/institutional Culture affect process outcomes?


STRUCTURE

The organization of people and activities aligned and identified to accomplish mission, goals and core processes


STRUCTURE

• Purpose/task alignment• Organizational relationships• Schools/colleges departments• Joint operating authorities• Project teams



STRUCTURE• Are all aspects of the organization and other elements organized

in a manner that allows the other elements to support purpose?

• Are accountable individuals identified to make appropriate decisions?

• Are staff and related leadership reporting responsibilities aligned so that accountable executives can carry out policies and processes?


INFORMATION

The supporting information and data used to promote effective communication, management and oversight


INFORMATION

• Research data• Information systems

• Student

• Financial

• Alumni and development

• Market Analysis• Informed Governance



INFORMATION• Have the information requirements for goal attainment, and as

they relate to each of the other elements, been identified and documented?

• Are the appropriate institutional and departmental information systems and communication processes in place to support goal attainment?

• Are the other elements supported by adequate information flows, especially: Policies, Processes, Governance and Culture?


INFRASTRUCTURE

The human, physical, and financial support assets as well as the related information systems used to create and sustain the entire effort as defined by the purpose


INFRASTRUCTURE

• Physical buildings

• Information technology

• Support units (i.e., technicians)

• Project budgets



INFRASTRUCTURE• Are there sufficient assets and resources planned for or

provided to ensure success of the purpose as assessed from the perspective of each of the other elements?

• Are infrastructure resources in the proper form to ensure success of each element in support of the purpose?


CULTURE

The overall character, values, beliefs of the organization—its essential personality

• Will affect ability to collaborate

• Requires strong leadership to change


CULTURE

• Institutional/unit

• Department

• Discipline



CULTURE• Are all levels (e.g. university, college, departmental) of culture

taken into consideration as they might affect the purpose and the other elements?

• What cultural aspects of the institution/unit will most affect, positively or negatively, the purpose and/or other elements?

• Does the purpose create conflict with existing culture(s)? Is success impaired as a result?

• How does unit culture impact policy development, decision making, and implementation?

• Does a new/altered purpose imply an intentional cultural change? If so, is this well understood?


Case Studies Completed with a Grant from The Fund for Postsecondary Education (FIPSE)


• The College of New Jersey (Ewing, New Jersey)

• Virginia Polytechnic Institute and State University (Blacksburg, Virginia)

• La Grange College (La Grange, Georgia)

• Seminole Community College (Lake Mary, Florida)

• Paul D. Camp Community College (Franklin, Virginia)

• Valley City State University (Valley City, North Dakota)

• University of Redlands (Redlands, California)

• University of California, Davis (Davis, California)

• Arizona State University (Tempe, Arizona)

CASE STUDIES


CASE STUDY PURPOSES

• Test the emerging BOC framework to find out if we have the “right” elements

• Analyze whether the boundaries are clear between each element

• Determine uses and applications of the BOC concepts and framework

• Expose a wide range of institutions to the BOC project


CASE STUDY RESULTS

• Initial testing supports the eight-element framework

• The BOC framework is developing good momentum

• Presentations• NASULGC• ACE • CIC• AACC• WHES• AJCU• CAUBO


SUPPORTING RESEARCH

• Research supported by comprehensive reviews of literature on:• Strategic management

• Organizational change

• Systems thinking and systems dynamics

• Each element (Purposes, Governance, Structure, etc.)

• Research summaries posted on BOC community tool


RESEARCH TEAM

• J. Douglas Toma, University of Georgia, Lead Researcher• Greg Dubrow, University of California at Berkeley• Matt Hartley, University of Pennsylvania• Adrianna Kezar, University of Southern California• Kevin Kinser, State University of New York at Albany• Christopher Morphew, University of Georgia• Kate Shaw, Temple University• Kelly Ward, Washington State University• Lisa Wolf-Wendel, University of Kansas• Theresa Wright, University of Georgia, Research Assistant• Anthony Knerr, Anthony Knerr & Associates, Consultant to BOC


PURPOSETHE COLLEGE OF NEW JERSEY (TCNJ)

• Purpose - why an institution is here and where it is headed.

• Launched a redesigned curriculum to enhance its reputation as a selective, comprehensive, public liberal arts college

• Began “academic transformation” by clarifying its fundamental purposes and significant aspirations.

• In realigning its curriculum, TCNJ changed everything -- the nature of student and faculty work, aspects of institutional culture, and administrative functions


GOVERNANCEVALLEY CITY STATE UNIVERSITY

• Governance - how an organization makes decisions.

• Implementing ConnectND, a statewide PeopleSoft enterprise resource planning software system for academic and administrative functions

• Governance and decision processes facilitate planning and implementation of the ConnectND project. (The project also had a strong formal structure.)

• State-wide and campus organizational structures aided ERP success

• Governance leadership from VCSU President, a key person in ERP implementation and success.


POLICIESLAGRANGE COLLEGE

• Policies - rules that articulate how an institution will proceed

• Enhancing faculty scholarship and integrating student research into the curriculum as a strategic initiative

• Changing faculty and student outcomes involves structural changes, additional infrastructure, and more.

• Policy changes required revisions in faculty evaluation policies and processes related to tenure and promotion


PROCESSESPAUL D. CAMP COMMUNITY COLLEGE

• Processes - how an institution gets things done • Improving the retention of students• Factoring advising into institutional policies on the evaluation

of faculty• Using an existing early alert program to identify enrolled

students not attending courses• Addressing the problem of students departing upon receiving

their financial aid disbursements


STRUCTUREVIRGINIA TECH

• Structure - how an institution is configured to do its work

• Developed the Math Emporium, a physical site for online instruction and one-on-one support in undergraduate mathematics

• Decentralized structure allowed for the launch of an entrepreneurial, relatively free standing venture

• The Emporium aligned with purposes, governance and policies

• Grounded in strong governance, with relations with the math department, EVP and deans

• Fit the culture of the institution

• Maximized advantage of the human, physical, technological and financial infrastructure at the university.


INFORMATIONUNIVERSITY OF REDLANDS

• Information - the generation and assimilation of facts and figures needed to inform and support decision-making

• A systematic, disciplined, and institution-wide approach, maximizing net tuition revenue through careful attention to financial aid policy.

• A working group meets regularly, including an outside consultant

• Information is broadly disseminated


INFRASTRUCTURESEMINOLE COMMUNITY COLLEGE

• Infrastructure - the human, physical, technological, and financial assets that comprise the organization

• Maintaining quality and building capacity given static or declining resources

• Positive, “can do” culture is at risk as personnel are overextended

• Lack of depth in a key infrastructure area, personnel• Pressure on governance - making timely decisions • New organizational restructures can help, enabling more

efficient and more rapid decision making processes


CULTURE

• Culture - the essential character of an institution – its shared norms, values, beliefs, and assumptions• VCSU: comfortable with technology, accustomed to being at the

cutting edge

• LaGrange: requires internalizing the teacher-scholar approach, building on changes in governance

• Seminole: the challenge of remaining “one college” as it adds new campuses and centers

• PDCCC: instituting a required first semester orientation

• TCNJ: An institution ready to become a true liberal arts college


A Project of the National Association of College and University Business Officers


BUILDING ORGANIZATIONAL CAPACITY “TOOLS”

Serves as a checklist for senior leaders of colleges and universities to

think holistically about the complexity of actions required to build organizational capacity for the long term.


BUILDING ORGANIZATIONAL CAPACITY“TOOLS”

• Project readiness test• Implementation checklist• Problem assessment checklist• Leadership transition assessment


BUILDING ORGANIZATIONAL CAPACITY (BOC): MOVING FORWARD

• A study of the applicability of BOC principles to endowment management is planned

• A BOC book is being written, for distribution nationwide.

• A BOC web community tool will be launched to encourage national conversations about BOC


BUILDING ORGANIZATIONAL CAPACITY (BOC): KNOWLEDGE NETWORK

• Go to www.nacubo.org/knowledgenetworks

• Visit NACUBO Central for a demonstration


DISCUSSION


A Project of the National Association of College and University Business Officers

Copyright, 2005 NACUBO BUILDING ORGANIZATIONAL CAPACITY (BOC) NACUBO 2005 Annual Meeting Baltimore...

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