Lumina Case Studies Leadership Test

8/20/2019 Lumina Case Studies Leadership Test

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Leading in

ToughTimes

WorkbookCase

Studies

for

Higher Education

Leaders

By Brent D. Ruben and Susan Jurow


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2 Leading in Tough Times: Case Studies for Higher Education Leaders

Copyright 2012, NACUBO

About

the

Authors

Brent D. Ruben is executive director of the University Center for Organizational Development and

Leadership and distinguished professor of communications at Rutgers University.

Susan

Jurow

is

leadership

consultant

for

the

National

Association

of

College

and

University

Business

Officers.

NACUBO would like to thank Lumina Foundation, an Indianapolis‐based private foundation dedicated to

expanding access to and success in education beyond high school, for supporting this project, and in

particular Kevin Corcoran, Lumina program director.

The authors would like to acknowledge and thank Donna Klinger for her editorial assistance.

© 2012 by NACUBO

All rights reserved. No portion of this publication may be reproduced or transmitted in any form or by any means,

electronic or mechanical, including photocopying, recording, or by any information storage and retrieval system,

without permission in writing from the publisher.

National Association of College

and University Business Officers

Washington, DC

www.nacubo.org


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Leading in Tough Times: Case Studies for Higher Education Leaders


3

Table

of

Contents

Using This Workbook…………………………………………………………………………………………………………………4

South Ridge State College: Role of the Chief Business Officer……………..…………….……………………..7

Abbreviated Version of Case Study………………….………………………………………….………………………7

Case Study…………………………………….…………………………………………….………………………………………8

Recorder’s Form………………..……………………………………………..……………………………………………….14

Skyline State University: Travel Policy Procedures and Practices Task Force………………….………..15

Abbreviated Version of Case Study………………………………….………………………..………..…………….15

Case Study………………………………………………………..…..…………………………………..………………………16

Recorder’s Form………………………………………………………………………………..………………………………24

Samuel Waters College: Budget Futures Summit Retreat………………………………………………………..25

Abbreviated Version of Case Study…………….…………………………………..…………………………………25

Case Study………………………………….……………….…………………………………………………………………….26

Recorder’s Form……………….…………………………….…………………………………………………………………32

Reginald Murphy College: Gender Equity Issues………………………….………………………………………….33

Abbreviated Version of Case Study……………………………….…………….……………………………………33

Case Study…………………………………………..………………………………………..………………………………….34

Recorder’s Form………………………………………………………………………..……………………………………..40

Timberline University: Art Gallery Faculty Exhibits Program Controversy…………….…….…………..41

Abbreviated Version of Case Study……………………………………………………….………………………..41

Case Study………………………………….……………………………………………………………………………………42

Recorder’s Form………………………………….…………………………………….…………………………………….49

San Pedro College: Staff Productivity and Morale………………………….….……………………………………50

Abbreviated Version

of

Case

Study………………………………………………….………………………………50

Case Study……………………………………………………………….………………………..…………………………….51

Recorder’s Form…………………………………………………….………………………………..………………………56


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Using

This

Workbook

In these uncertain times, campus stakeholders must learn to make the best decision possible in

ambiguous situations where there is less than optimal information available and the outcome

cannot

be

predicted.

The case studies in this workbook focus on financial, cultural, and ethical issues that have

occurred on many campuses. They raise issues that are not easily addressed or that are

resistant to easy consensus. They provide opportunities to practice nimble decision making and

engender a sense of shared responsibility. The higher education community can use these case

studies in a variety of ways to focus attention and foster discussion on operational and strategic

concerns.

Campus leaders can engage their constituents in substantive discussions about the impact of

the issues

raised

by

these

case

studies

on

their

campus,

helping

faculty,

trustees,

and

administration develop consensus about priorities for engagement, levels of resources

required, and/or the need for reallocation of resources. The cases also can be used in a

teaching or training environment. Because these cases outline contemporary campus issues,

they are useful in either a higher education administration degree program or a leadership

training program managed by a campus or higher education association.

Case Study Defined

A case study is a realistic scenario that outlines management and/or technical problems and

challenges in

a way

that

provides

practical

experience

with

how

best

to

approach

and

solve

them. It describes a situation, and then raises questions to enhance a participant’s

understanding of the range of issues that need to be addressed. It permits the participant to

propose and test solutions and strategies in a “safe” environment, one that does not have

immediate and practical consequences.

Case studies improve a learning experience because they get the participants involved and

encourage immediate use of newly acquired skills. They help participants develop skills that

they can use in the workplace. The skill set may include:

•

Problem identification

and

definition

• Analyzing, understanding, and

interpreting data

• Analytical and critical thinking

o Recognition of assumptions

and inferences

•

Exercising judgment

o Making and defending

decisions

• Understanding interpersonal

relationships

• Communicating ideas and opinions


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5

A case study may include some or all of the following:

• Setting the scene

o Details of the organization

o Description of the players or stakeholders

o

Outline of

the

particular

challenge

or

problem

• Available resources, if any

• Issues in the work environment that might affect the project

Case Study Components

The case studies in this workbook have five parts:

1. Short and Long Versions: Each case study is provided in two forms, so that their use can be

tailored to the time available for discussion.

2. Recorder’s Form: A form is provided for each case study to help guide discussion, to track

group consensus for reporting to a larger group, and to collect group discussion for further

analysis if desired.

3. Discussion and Interactive Options: These sections within the case studies suggest thought

provoking questions and provide guidance for managing a dialogue on the topic.

4. Debriefing (Themes and Leadership Competencies): The situations in these case studies

reflect issues, strengths, and flaws found in most, if not all, organizations. The case studies

are designed to focus on leadership competencies that can and should be exhibited at all

levels of the organization to mitigate weaknesses and support organizational effectiveness

and achievement.

The

competencies

suggested

in

these

case

studies

are

tied

to

What

Leaders Need to Know and Do by Dr. Brent Ruben, published by NACUBO, 2006.

5.

Readings: Additional readings are suggested for those who are interested in developing a

greater understanding of the topic under discussion.

Examples of Uses

These case studies can be used in several ways. The most appropriate approach will depend on

the subject matter, the time available, and the desired outcome. The more time expended, the

greater the depth of comprehension, skill utilization, and personal investment in the goals of

the organization

are

likely

to

occur.


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One Hour. With a short amount of time, a presentation or individual reading of the case can be

followed by a session of questions and answers to give a group the opportunity to clarify and

enhance their understanding of the topic under discussion. This might be open‐ended or more

carefully structured with specific questions designed to focus participants on particular aspects

of the problem or challenges in the case.

Two Hours. With more time, case studies can be used effectively in small groups to deepen the

discussion and insights. In this situation, the case studies are first read and discussed by small

groups, using worksheets to direct the dialogue. The responses of each group are reported to

the larger group in a plenary setting, and similarities and differences in problem definition and

approach can enhance the participants’ appreciation of the challenges inherent in the scenario

and their ability to think through the various ways of meeting them.

Four Hours. With additional time and preparation, role playing can be introduced into the case

studies.

Participants

can

be

asked

to

consider

the

situation

from

the

perspective

of

different

stakeholders and to present that individual’s concerns and point of view.


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7

South Ridge State University Case Study:

Role

of

the

Chief

Business

Officer

(Abbreviated

Version)

The Setting

South Ridge State College (SRSC) is a comprehensive state

institution with an enrollment of 22,000 primarily

undergraduate students. As with many colleges and

universities, SRSC is experiencing difficult years financially. State support has been declining

for higher education and other state‐funded agencies and activities.

To address the state funding situation, SRSC has increased tuition and student fees substantially

in recent years – to the point where this has become a topic in the local media. Because of the

budget situation,

the

university

has

imposed

a temporary

hiring

freeze

for

the

current

academic

year, which will likely continue for at least another year. There will be no salary increases this

year, and last year faculty and staff increases were limited to contractual payments due for

faculty promotions. Campus leaders remain optimistic about the long‐term, but they do not

expect the situation to improve in the next several years. Student tuition and fees will have to

increase considerably to help address the situation.

Your Challenge

In your capacity as CBO, a colleague in the budget office mentions to you that she has heard

from her

son—who

attends

SRSC

and

is

a member

of

the

Student

Life,

Campus

Programming

Committee—that the committee is planning to use student fees to hire a controversial

television reality show star as an evening entertainer for the annual new student orientation.

You understand that the proposed fee is $30,000.

Discussion

1.

What, if any, issues are of concern for you?

2. What constituencies might be concerned? What might their concerns be?

3. What, if anything, do you do or say, and to whom? What’s your rationale?

4. What, if anything, do you think should be done? Why?


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South Ridge State University Case Study:

Role

of

the

Chief

Business

Officer

Background

South Ridge State University (SRSU) is a comprehensive state

institution with an enrollment of 22, 000 primarily undergraduate

students. A majority of students major in liberal arts, although there is growing enrollment in

business, communication, and education degree programs. SRSU attracts a majority of its

students from within the state, drawing most heavily from the six counties surrounding Ridge, a

town of 45,000, which is the county seat and location of SRSU. Middletown, population

155,000, is located 33 miles to the northeast.

State support to SRSU has been declining in recent years, and it appears this pattern is likely to

continue. These

problems

are

not

unique

to

South

Ridge,

or

to

higher

education

in

the

state,

for that matter. In fact, all state‐funded agencies are going through difficult times. The

challenges to SRSU are compounded by difficult housing and job markets in the Ridge‐

Middletown area that show few signs of improvement. Exacerbating the gloomy financial

outlook is the flood of articles and stories in local media reminding the community of their

difficulties, pointing to the need for spending cutbacks on public sector activities, and

contributing to a lack of confidence in local and state leaders.

SRSU has offset cuts in state funding with rather substantial increases in tuition and student

fees in recent years, and that, too, has received local media attention. One recent editorial

page article

in

the

Middletown

Messenger , titled,

“Is

SRSU

Tone

Deaf?”

recounts

the

trend

of

tuition increases, noting that in most years increases at South Ridge surpassed state cuts to the

institution, and arguing that the university must begin a more fundamental reexamination of its

mission and operations and rethink its approach to fiscal management.

The article calls upon the SRSU administration to respond to their challenges as a business

would, by refocusing and reprioritizing rather than continually raising the cost of products and

services – tuition. The editorial severely criticizes SRSU’s commitment to revenue‐generating

varsity sports, and questions whether what were called “the excessive expenditures on

athletics” make sense in the current climate. “A business would ask how athletics contributes to

the core mission of the enterprise, and if the answer is that the contribution is peripheral, then

the activity

would

be

eliminated

or

downsized.

Why

should

the

approach

be

any

different

in

higher education?” The article also criticizes the use of “allegedly scarce resources to offer

courses and sponsor events that have no demonstrable educational value.”


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9

Viewed from the perspective of the leaders of SRSU, changes are being made to increase

efficiency and effectiveness and to be responsive to fiscal and public pressures. In this regard,

South Ridge leadership has decided to implement a temporary hiring freeze for the current

academic year, and it will likely be continued for at least another year. There have been no

salary increases this year, and last year faculty and staff increases were limited to contractual

payments due

for

faculty

promotions.

Campus

leaders

remain

optimistic

about

the

long

term,

but they acknowledge that there is no reason to expect the situation to improve in the next

several years. Clearly, salaries and vacated positions can’t be frozen indefinitely, and overhead

and administrative costs continue to rise. SRSU’s leaders clearly see that student tuition and

fees will have to be increased considerably in the years ahead to help address the shortfall.

Your Challenge

As the senior financial and administrative officer, you have a number of thoughts on the

challenges facing SRSU. You understand that the fiscal pressures are real and are unlikely to

dissipate soon. You also understand the basis of the critique that the institution is not

necessarily being run as a business would be, and you can appreciate the view of those who

point to the need to streamline and focus on the mission‐critical activities necessary to educate

tomorrow’s workforce. However, you also understand and can appreciate the “academic” view

that public higher education was never envisioned to be a business in the usual sense of the

term and that it has a special mission within society. It should serve not only the employment

needs of students and parents, but also should advance knowledge, promote general education

and critical thinking, and should thereby further the values of a democratic society. It also

should serve the community at large.

The essential challenge you face as chief business officer is determining how to reconcile the

various economic

and

marketplace

cross

‐pressures

that

confront

the

institution

and

deciding

how to act most appropriately on your insights. So, for example, what responsibility—if any—

do you have in promoting a leadership team discussion of and/or response to the critique that

the university is not being run using sound business practices or the attack on athletics? When

you hear about decisions being made that seem to reinforce the idea that higher education is

“tone deaf” to the fiscal realities and marketplace perceptions, what responsibility, if any, do

you have to address these issues?

Here’s one recent example: A colleague in the budgeting office mentions to you that she has

heard from her son—who attends SRSU and is a member of the Student Life, Campus

Programming

Committee—that

the

committee

is

planning

to

use

student

fees

to

hire

a

controversial television reality personality as evening entertainment for the annual new student

orientation. You understand that the proposed fee is $30,000, all of which will come from a

student fees set‐aside account.


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You are aware that the show and the celebrity in question have received a fair amount of public

criticism, particularly from conservative organizations, for the “excessively liberal” approach to

sexual activity and drug use portrayed on the program.

Discussion

Take 20 minutes to prepare a plan for how best to address the potential hiring of a

controversial television celebrity. As a group, consider what principles would guide your

thinking—as an individual, as a member of the senior administration of the institution, and as

the chief financial officer. As chief financial officer, what responsibility, if any, do you have to

raise concerns relative to this pending decision? What factors would you consider in arriving at

a decision in the matter? If you decided it was appropriate to “raise concerns,” what process

would be most appropriate?

Interactive Options

1.

The facilitator can provide reactions to the draft plan submitted, raise questions, raise

concerns, describe possible consequences, and/or add additional information for

consideration.

2.

Depending on goals of the session, the time available, and the size of the group, the

process can be structured, so that participants share responses across multiple tables

and analyze common themes, differences, and similarities.

3. Additional information or time pressures can be introduced, and the group can be asked

to develop a plan to address them.

4. The facilitator can introduce an additional context or higher level issue for

consideration. These issues might include feedback that indicates a significant concern

on the part of the faculty or threats from the state legislature regarding potential

consequences if the celebrity is hired.

Debriefing

Themes

•

Chief Business

Officer

Role:

What

is

the

CBO’s

role?

To

what

extent

do

the

responsibilities of the role extend to matters that occur outside of the scope of activities

of the individuals who report directly to you?

•

Leadership Principles and Values: What principles and/or values should guide day‐to‐day

decision‐making by senior leaders in general and CBOs more specifically? In situations


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11

where one’s principles and values don’t necessarily point in the same direction or

action, how should one prioritize?

• Role Expectations: In a situation such as the one described, what are the risks and

negative consequences of enacting your role in a manner that doesn’t align with other’s

ideas about

what

your

role

should

be?

What

possible

benefits

and

positive

consequences may result? Are the strategies available that may help to mitigate the

risks?

• Culture: In what ways is the culture of an institution and of higher education in general,

an important consideration in making a decision about how to handle a situation like

this? What differences, if any, between the academic and administrative cultures are

likely to come into play with this type of issue? How can these differences be best

addressed?

•

Communication

and

Language:

If

you

decided

to

address

the

issue,

what

process

would

be most appropriate? With whom would you communicate and in what sequence, and

what channels would you think most appropriate in this instance? In what ways are

communication style, word choice, message content, and tone important considerations

for a leader who chooses to address an issue such as this one?

In this case, what are some words and phrases that might be emphasized, such as

“potential benefits for all,” “avoid reinforcing a view of ‘institutional tone‐deafness’”,

“potential teaching and learning moment for student leaders if they are involved in a

discussion of risks and benefits of the decision” and others that should probably be used

with caution, such as “PR consequences of moving forward” and “political sensitivities”

in talking

about

this

project

because

they

may

be

red

flags

for

particular

groups

on

campus such as the faculty.

Leadership Competencies of Particular Importance

• Self ‐assessment: In this instance, as more generally, it is important to begin a task with

some critical self ‐reflection to identify one’s leadership principles, values, and

responsibilities associated with a particular role. Also important to consider are one’s

comfort level in addressing the situation and possible institutional and personal

consequences, as well as strategies for preparing and presenting one’s ideas if a

decision is

made

to

address

the

issue

in

some

way.

• Problem Definition: In what ways is problem definition and problem clarity particularly

critical for situations like this one? Is action required? From what perspectives is this a

“problem” that requires CBO action? Are there perspectives of this situation that lead

to a conclusion that it is not a problem, or at least, not a CBOs problem? How can

reflecting on the issue of problem definition be helpful?


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• Credibility and Influence: What credibility issues may be influences in a situation such as

this one? What might be done to enhance both credibility and influence should a

decision be made to address the issue?

•

Stakeholder Analysis:

In

situations

such

as

this,

there

are

a number

of

stakeholders

to

be aware of and to be concerned about—stakeholders who will hear and react to your

words and actions (if you decide to address the issue) What are some of the most

critical constituency groups, what issues will likely be of particular importance to each

group, and how might these concerns be addressed?

• Communication, Problem‐Solving, and Engagement: If you decide to address the issue,

how do you proceed? How do you decide who to communicate with, in what sequence,

and using what channels? Giving particular attention to identifying the most

appropriate sequence and messages for each stakeholder group would be quite

important

to

the

success

of

your

efforts,

and

to

minimizing

negative

consequences.

• Tolerance for Uncertainty and Risk Taking: Voicing your concerns in an instance such as

this may represent a departure from present practice—yours or the institution’s. If that

is the case, in what ways and for whom will issues of uncertainty tolerance and change

management come into play, and what strategies may be helpful in diminishing negative

consequences, and in fact, reinforcing the likelihood of future actions of a similar type

by you and others in leadership positions.

•

Teamwork and Collaboration: How might the handling of this situation contribute to, or

detract from, a sense of community and teamwork within the institution’s leadership?

What approaches

might

contribute

to

positive

outcomes

in

this

regard?

• Crisis Management: In a case such as this one, what are the potential crisis

management challenges that could result if the scenario proceeds as planned? How

might an understanding of the dynamics of crisis management help lead to the adoption

of preventative strategies?


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13

Readings

Becker, E., and Wortmann, J. Mastering Communication at Work . New York: McGraw‐Hill,

2009.

The

Chronicle

of

Higher

Education.

“What

the

Hell

Happened

to

College

Sports?

And

What

Should We Do About It?” December 11, 2011. http://chronicle.com/article/What‐the‐Hell‐Has‐

Happened‐to/130071/

Hignite, Karla. “Stewards by Nature,” Business Officer Magazine, December 2011, pp. 19‐25.

Kotter, J. P. What Leaders Really Do. Cambridge, MA: Harvard Business School Press, 1999.

Kotter, J. P. Urgency , Cambridge, MA: Harvard Business School Press, 2008.

Ruben, B. D. What Leaders Need to Know and Do: A Leadership Competencies Scorecard .

Washington, DC:

National

Association

of

College

and

University

Business

Officers,

2006.

Ruben, B. D. Understanding, Planning, and Leading Organizational Change. Washington, DC:

National Association of College and University Business Officers, 2009.

Stone, D., Patton, B., and Hen, S. Difficult Conversations. How to Discuss What Matters Most .

New York: Penguin, 1999.

Walaski, P. Risk and Crisis Communication: Methods and Messages. New York: John Wiley,

2011.

Zdziarski, E. L., Dunkel, N. W., Rollo, J. M. Campus Crisis Management A Comprehensive Guide

to Planning, Prevention, Response and Recovery . San Francisco: Jossey‐Bass, 2007.


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Recorder’s Form

South

Ridge

State

University

1.

What, if any, issues are of concern for you?

2. What constituencies might be concerned? What might their concerns be?

3.

What, if anything, do you do or say, and to whom? What’s your rationale?

4.

What,

if

anything,

do

you

think

should

be

done?

Why?

5.

Are there issues or principles you can generalize from this case?

For the

reporter

• Briefly summarize your case.

• List any major problems or issues.

• Document any strategies for addressing the problems or issues.

• Generalize issues or principles from the case.


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15

Skyline

State

University

Case

Study:

Travel

Policy

Procedures

and

Practices

Task

Force

(Abbreviated Version)

The

Setting

Skyline State University (SSU) is a comprehensive public institution

founded in 1922. With an enrollment of 26,000 students and its

4,300 faculty and staff, SSU plays a very significant educational role in

its city and region. Skyline meets a broad array of educational needs

through its undergraduate, graduate, and continuing professional education schools. Like

many other institutions, the university faces significant budget challenges in the period

ahead, and the situation is unlikely to improve in the foreseeable future.

Organizationally, SSU

has

two

major

divisions:

1)

the

Office

of

the

Senior

Vice

President

for

Academic Affairs to which all academic deans and directors report as well as the leaders of

other academic, student, and academic support functions, and 2) the Office of the Senior Vice

President for Administration and Finance to which budgeting, procurement, facilities, human

resources, public safety, auxiliary services, and all other administrative areas report.

The Challenge

SSU’s president has decided to form an Administrative Efficiencies Advisory Group, to be

headed by the senior vice president for business and finance. Its mandate is to conduct a

university‐wide review of administrative operations and to identify areas where potential

savings—time, human

resource,

and

dollar—can

be

realized.

The

senior

vice

president

of

business and finance has identified travel as an area with many potential opportunities for

efficiency and cost savings. He has appointed you, the new director of purchasing, who has

just arrived at the institution from a corporate setting, to head the Travel Policy Task Force,

charged with “reviewing current travel policies and practices and procedures, and

recommending change to enhance efficiency and effectiveness.”

In informal conversations with colleagues, you learn that travel policies and practices have

always been handled in a decentralized manner, which is consistent with the university’s

culture. Faculty and staff make their own travel arrangements, pay for travel themselves,

and then

submit

requests

for

reimbursement.

Based

on

your

experience,

you

know

that

SSU

could cut expenses by standardizing and centralizing travel policies and procedures.

Discussion

1. What are the key issues as you see it?

2. What do you propose? Why?


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16



Skyline

State

University

Case

Study:

Travel Policy Procedures and Practices Task Force

Background

Skyline State University, like many other institutions, faces significant

budget challenges, and there are few signs that the situation will

improve in the foreseeable future.

SSU’s president has decided that she will soon form an Administrative Efficiencies Advisory

Group (AEAG) to be headed by the senior vice president for business and finance. The

mandate to the AEAG is to conduct a university‐wide review of administrative operations

and to identify areas where potential savings—time, human resource, and dollar‐‐can be

realized.

Once

potential

targets

for

savings

are

identified,

the

AEAG

will

develop

a

list

of

high‐priority, high‐return improvement projects.

The senior vice president of business and finance will then form broadly inclusive project

task force groups, which will be charged with conducting an analysis, identifying options, and

making recommendations on a plan of action for each targeted area for improvement. The

details of the structure and process are still being worked out.

You are the newly hired assistant vice president for purchasing and procurement. You come

to SSU with private sector experience and have a number of ideas about areas where more

efficiency, better operations, and reduced costs are possible. Travel is one area in which you

see many

possible

cost

and

time

savings.

Talking informally to colleagues in preparation for this effort, you learn that faculty and staff

work‐related travel policies and practices have always been handled in a decentralized

manner, which is consistent with the general administrative traditions of the institution.

This means that faculty and staff throughout the institution make their own travel

arrangements, pay for travel themselves, and then submit requests for reimbursement.

Based on your experience in the travel area, it is clear to you that SSU could save

considerable money if the travel policies, procedures, and practices were standardized and

centralized.

You schedule a meeting with the senior vice president, to whom your report, to share your

thinking. The senior vice president is excited by your ideas and sees this as a perfect pilot

project given the upcoming AEAG effort that will soon be implemented. He decides to form

a Travel Policy Task Force Committee (TPTF) charged with “reviewing current travel policies

and practices and procedures and recommending change to enhance efficiency and

effectiveness.” Cognizant of your experience and appreciative that you have taken the


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17

initiative to bring the idea forward, he has decided to name you to head this important pilot

initiative. You are flattered by the confidence implied by the appointment, and you begin

thinking about the task ahead.

Your Challenge

The senior vice president asks you to develop a draft plan for the task force and to share it with

him before work begins. The draft is to include an agenda for the first three meetings, outlines

of initial memos or communication that might be needed, a list of materials that might be

distributed to the campus, and a list of major deliverables and milestones in the work of the

group with target dates for each.

Your task force will be a campuswide group including the following tentative list of members,

none of whom you know:

• University auditor

•

Assistant

director,

budgeting

• Administrative assistant, facilities

• Assistant director, athletics

• Distinguished professor, biology

•

Dean, School of Communication

• Academic department chair, public policy

• Assistant professor, School of Business

• Associate vice president for academic affairs

• Associate director, university media relations

• Assistant director, information technology


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Skyline

State

University

Profile

Skyline State University (SSU) is a comprehensive public institution

founded in 1922. With an enrollment of 26,000 students and its 4,300

faculty and staff, SSU plays a very significant educational role in the

Capital City and the region.

Skyline meets a broad array of educational needs through its

undergraduate, graduate, and continuing professional development

schools and

major

programs

in

arts

and

sciences,

business,

communication, public and community administration, health and

allied health sciences, education, and performing arts.

The institution’s mission emphasizes teaching and learning, research

and scholarship, and service and outreach. Growing emphasis is being

placed on research/scholarship grants, and training contracts are

becoming an increasingly important source of funding for the work of

the institution.

Organizationally, SSU has two major divisions: 1) the Office of the

Senior Vice President for Academic Affairs to which all academic deans

and directors as well as leaders of other academic, student, and

academic support functions report, and 2) the Office of the Senior Vice

President for Administration and Finance to which budgeting,

procurement, facilities, human resources, risk management, public

safety, auxiliary services, and all other administrative areas report.


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19

Discussion

Take 40 minutes to prepare a draft plan. As a group, consider what advice you might give to

the assistant vice president about how best to proceed with this project. Consider both the

perspectives of the people who will serve on the task force and the campus community who

will be

asked

to

make

significant

changes

to

the

manner

in

which

they

undertake

a basic

function.

Interactive Options

1. The senior vice president (the facilitator) can provide reactions to the draft plan submitted,

raise questions and concerns, describe possible consequences, and/or add additional

information for consideration.

2. Depending on goals of the session, the time available, and the size of the group, the process

can be structured, so that participants share responses across multiple tables and analyze

common themes, differences, and similarities.

3. Additional information or time pressures can be introduced, and the assistant vice president

for purchasing and procurement can be asked to develop a plan to address them.

4.

The senior vice president (the facilitator) can introduce an additional context or higher level

issue for consideration. These issues might include feedback to the senior vice president

from his academic counterpart that indicates faculty concern that the new approach is

being too aggressively pushed without sufficient campuswide consultation or cost‐benefit

analysis. Alternatively, questions of the AVPP’s credibility due to his lack of higher

education experience

could

be

raised.

Debriefing

Themes

•

Planning: What are the critical elements in planning for an initiative like this one? Why?

• Preparation: What kind of preparation is helpful for task force members? What, if any,

background materials, information, and/or assignments should be shared with task

force members,

and

when

is

it

most

appropriate

to

do

so?

•

Stages: What are the critical and predictable stages a task force will go through?

• Leadership Style: What leadership style or approach is most appropriate for this kind of

project? Does the value or impact of a particular style or approach vary with the stage


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of the effort? How so? What leadership competencies are particularly helpful in this

kind of scenario?

• Sponsorship: What role does ownership, sponsorship, and/or endorsement by senior

administrators play in the success of a project such as this? At what stages, with whom,

and in

what

ways

should

this

level

of

engagement

be

communicated?

What

should

be

the content and frequency of ongoing communication between the leader of the task

force and the project sponsor?

• Culture: What are differences between the academic and administrative culture? How

might these differences come into play in a project like this one? What leadership

strategies are helpful in addressing these differences?

• Vision: In what ways is it helpful or detrimental for the task force leader to begin the

initiative with a clear vision that she shares at the outset with colleagues on the task

force?

What

elements

of

a

vision

are

likely

to

be

helpful?

• Meeting Climate: What should be the ideal climate for the first meeting? What can be

done by the task force leader, with the room setup, in pre‐meeting communication, etc.

to increase the likelihood that this climate will emerge?

• Delegation and Roles: How might roles and responsibilities be structured within this

task force?

•

Timeline: Should a timeline of milestones or deliverables be established, and if so, when

and how?


•

Experience, Expertise, Familiarity with Task, Language and Vocabulary: Experience,

expertise, and familiarity with travel policy, procedures, and efficiencies are all

significant assets for this project.

• Knowledge of Sector: Lack of extensive knowledge of higher education may be a

detractor, either in fact or in the perceptions of others. Being attentive to potential

barriers this

lack

of

knowledge

and

experience

may

create

will

be

important

in

leadership of each phase of the project.

• Self ‐assessment: As assistant vice president of purchasing and procurement, it is

important to recognize strengths and vulnerabilities. You can easily recognize

experience and expertise that is relevant to the problem. Others may question the


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21

applicability of that experience because it derives from the corporate sector. For some,

this background could be seen as a liability.

• Problem Definition: One’s first impression may be that the primary problem in this case

relates to developing a new set of procedures and policies. In fact, overcoming cultural

traditions such

as

decentralization

is

the

more

critical

challenge.

Unless

the

traditions

of

centralization and faculty autonomy are considered, it is unlikely that any solution, no

matter how efficient and effective, will be embraced.

• Stakeholder Analysis: This case features many key stakeholders: the senior vice

president, members of task force, the senior administration, departmental

administrators, staff members, faculty members, travel providers, IT support personnel,

and others. Each of these groups will be affected by potential changes; each will have a

stake in the new approach. Identifying the needs and concerns of each group and

addressing them as a part of the process will help to assure the eventual acceptance of

the

plan.

• Analysis of Technology: Communication and information technology will be important

considerations as they relate to gathering and disseminating information as a part of the

planning process and in the implementation process.

• Enthusiasm, Personal Conviction, and Persistence: Maintaining and displaying

enthusiasm, personal conviction, and persistence will be helpful as a team leader,

particularly since the new policies and procedures will likely move in directions new to

team members and the university community. Persistence and patience will be critical

because the pace of change in higher education is predictably slower with more

consultation than

in

comparable

problem

‐solving

situations

in

corporate

settings.

•

Tolerance for Uncertainty and Risk Taking: Because new policies and procedures are

likely to differ from tradition, it will be important to convey and encourage a high

comfort level with the exploration of new paths and approaches.

• Credibility and Influence: Establishing credibility will be a key success factor. Being

named the task force leader by the senior vice president is likely to be helpful;

perceptions of the Administrative Efficiencies Advisory Group (AEAG) initiative are, as

yet, unclear. Credibility can be enhanced by sharing personal background with the task

force in

a low

‐key

way

and

conveying

the

belief

that

working

closely

with

colleagues

can

be helpful in enhancing the utility of this knowledge. To address the concerns of those

who question the relevance of corporate experience, the key will be to establish

credibility and influence through insights and good work rather than through asserting

credentials.


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• Interpersonal and Group Orientation; Listening, Question‐Asking, and Learning: These

competencies are always vital in group problem solving situations. Listening to and

learning from task force members and others in the community will help to identify

needs, questions, concerns, impediments, and opportunities to be leveraged. It also will

help to identify which individuals are potential sources of support or resistance.

• Vision Setting: Vital to the successful leadership of this task will be helping to keep the

team and the campus focused on a vision of what is possible and how the outcome will

be beneficial to the institution, faculty, and staff.

• Management and Facilitation: Competencies in this area are important in the planning,

preparation, coordination, and guidance of the work of the task force and its interaction

with various campus constituencies. Effective planning and implementation of pilot

projects are critical to the success of the overall project, in this case, the Administrative

Efficiencies Advisory Group (AEAG) initiative. They help to identify attributes and

problems

with

the

identification

and

implementation

of

useful

new

policies

and

procedures, and to build grass roots support for the larger effort.

• Information and Knowledge Management: An important facet of project leadership is

to determine what information to share with whom and when. Many critical decisions

will need to be made relative to sharing technical, best practices, and process

information with task force members and also with the campus community.


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23

Readings

HigherEdUtah.org. 2011 Efficiency Report . July 14, 2011 http://www.higheredutah.org/2011‐

efficiency‐report/

Kotter, J.

P.

Urgency ,

Cambridge,

MA:

Harvard

Business

School

Press,

2008.

Lederman, Doug. Maintenance Over Management: A Survey of Business Officers. Inside Higher

Ed , July 6, 2011. http://www.insidehighered.com/news/survey/maintenance‐over‐

management‐survey‐business‐officers

“New Ways to Create Savings.” Business Officer Magazine. September 2011.

http://www.nacubo.org/Business_Officer_Magazine/Magazine_Archives/September_2011/Sou

thern_Disclosure/New_Ways_to_Create_Savings.html

OhioHigherEd. Efficiencies, 2010. http://www.ohiohighered.org/efficiencies


Washington, DC: National Association of College and University Business Officers, 2006.



Strober, M. H. Communicating Across the Academic Divide. The Chronicle of Higher Education,

January 2, 2011.

Tromp, S.

A.,

and

Ruben,

B.

D.

Strategic

Planning

Higher

Education. Washington,

DC:

National

Association of College and University Business Officers, 2010.

University of California‐Berkeley. Operational Excellence 2012 ,

http://oe.berkeley.edu/process/index.shtml


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24



Recorder’s

Form

Skyline State University


2. What do you propose? Why?

3. What issues or principles can you generalize from the case?

For

the

reporter






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25

Samuel Waters College Case Study:

Budget

Futures

Summit

Retreat

(Abbreviated

Version)

The Setting

Tight budgets are the reality at Samuel Waters College (SWC) again this

year as they are at so many colleges and universities. With endowment

balances showing only modest gains, and other sources of support flat

or trending downward, even moderately aggressive tuition increases have not allowed SWC to

maintain level funding.

For the past several years, when funding shortfalls were more modest, SWC’s approach was to

ask faculty and staff to minimize waste and improve efficiency within their own departments.

SWC’s budgeting approach constituted minor savings from these requests coupled with across‐

the‐board cuts in operating budgets, largely in administrative areas, and annual tuition

increases. Unfortunately, cuts in operational areas and peripheral academic services have

resulted in work overloads and poor morale. Many units are barely able to fulfill their missions.

In light of this history, news that SWC is heading into a two‐ to five‐year period of intensifying

economic difficulty is particularly troubling. The customary budget‐cutting strategies of across‐

the‐board cuts (larger on the administrative side, smaller and more targeted on the academic

side) and

substantial

annual

increases

in

tuition

will

no

longer

be

satisfactory

to

carry

the

institution through the challenges of the next several years and beyond.

Your Challenge

To address daunting circumstances, President Swanson has announced that he will host a two‐

day College Budget Futures Summit Retreat at his home in three weeks. He has asked

members of his cabinet to come prepared to present their views of how SWC should consider

and address the next three year period, given that across‐the‐board cuts and generic calls for

“belt‐tightening” will no longer be adequate.

Discussion

1.

What options do you propose for consideration?

2. What are the benefits and downsides associated with each?

3. What option would you recommend? Why?


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Samuel Waters College Case Study:

Budget

Futures

Summit

Retreat

Background

Tight budgets are the reality at Samuel Waters College (SWC) again this

year as they are at many colleges and universities. With endowment

balances showing only modest gains, and other sources of support flat

or trending downward, even moderately aggressive tuition increases have not allowed SWC to

maintain level funding.

For the past several years, when funding shortfalls were more modest, SWC’s approach was to

ask faculty and staff to look for ways to minimize waste and to improve efficiency within their

own departments. SWC’s budgeting approach constituted minor savings from these requests

coupled with

across

‐the

‐board

cuts

in

operating

budgets,

largely

in

administrative

areas,

and

annual tuition increases. Unfortunately, cuts in operational areas and peripheral academic

services have resulted in work overloads and poor morale. Many units are barely able to fulfill

their missions.

Tuition increases don’t seem to be the answer. With recent increases, SWC is now near the

upper level of tuition compared to its peers. Even with the current tuition levels, the

perception—and reality—of the institution’s commitment to broad access are increasingly at

risk.

In light of this history, news that SWC is heading into a two‐ to five‐year period of intensifying

economic difficulty is particularly troubling. The customary budget‐cutting strategies such as

across‐the‐board cuts (larger on the administrative side, smaller and more targeted on the

academic side) and substantial annual increases in tuition will no longer be satisfactory to carry

the institution through the challenges of the next several years and beyond.

Your

Challenge

To address daunting circumstances, President Swanson has announced that he will host a two‐

day College Budget Futures Summit Retreat at his home in three weeks. He has asked

members of his cabinet to come prepared to present their views of how SWC should consider

and address

the

next

three

‐year

period,

given

that

across

‐the

‐board

cuts

and

generic

calls

for

“belt‐tightening” will no longer be adequate.

Each member of the cabinet has been asked to identify and briefly describe possible options

that the institution might consider to address this mounting crisis and to provide a high‐level

cost‐benefit analysis for each. In developing options, each cabinet member is urged to be


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27

creative and to think broadly about possibilities related to structure, programs, revenues, and

costs.

Members of the EC include the provost, vice president for administration and chief financial

officer, vice president for student affairs, general counsel, vice president for advancement, and

vice president

for

communication

and

public

affairs.

Discussion

At each table, one person should represent the perspective of each of the cabinet members.

Take 15 minutes to prepare a response to the questions below.

1. What options do you propose for consideration?

2. What are the benefits and downsides associated with each?

3.

What option would you recommend?

4. Why?


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Samuel

Walters

College

Profile

Samuel Walters College is an independent comprehensive liberal arts college, recognizedfor excellence in a variety of fields, and listed among the leading regional colleges byU.S. News & World Report and Barron's Best Buys in College Education.

Founded in 1914, SWC’s 165-acre campus overlooks Greenway Valley Reservoir, and islocated 50 miles east of Ellis City, with its population of 275,000.

SWC offers 52 B.A. programs, 15 M.A. programs, and various professional certificate programs taught by 250 full-time faculty and 400 adjuncts. Full-time undergraduatetuition is $31,000 and room and board costs are approximately $14,000 annually. Thestudent body consists of 6,250 students, 4,500 of whom are undergraduates. Nearly3,000 live on campus. SWC employs 475 faculty members and 460 administrative staff.

SWC facilities include 65 buildings, including 40 student housing facilities. In additionto the main campus, SWC has three satellite facilities and four overseas study andresearch sites operated in partnership with local higher education institutions.

Centralized administrative areas include: student affairs, budgeting and finance, legalaffairs, human resources, payroll, alumni affairs, office of development andadvancement, the library and information, planning and assessment services, university public affairs and media relations, IT, grants and contracts, and distance learning center.

Centralized services for students include: dining services (two full-service and twosatellite locations); student life and services, housing (15 residence halls) and residencelife, clubs and activities, college activities, health services, computer support, the

computer store, religious and spiritual, and public safety.

The major academic units include: the School of Business (with three departments),College of Liberal Arts (with 14 departments), School of Computer Science (3departments), College of Communication (5 departments), College of Fine Arts (4departments), College of Labor Studies (2 departments), College of Social andBehavioral Sciences (5 departments), College of Natural and Life Sciences (6departments), and the College of Law.

Each school and college also provides unit-based advising and career placement services, budgeting, human resources, IT services, student services, communication and publicrelations, and online courses and services.


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29

Each individual will report their responses to the group. The group will take 15 minutes to

decide which three options they will recommend in priority order to the president and the

rationale for their choices. Be prepared to discuss the process used to make the decisions.

Interactive Options

1. After reviewing suggested options, the SWC president (the facilitator) can provide

reactions to the draft plan submitted, raise questions, introduce concerns, describe

possible consequences, and/or provide further information for consideration such as an

additional context or higher level issue.

2. Depending on goals of the session, the time available, and the size of the group, the

process can be structured, so that participants share responses across multiple tables

and analyze common themes, differences, and similarities.

3. One or several of the proposed options may be selected and participants asked to go to

the next stage of planning—who should be involved with leading the change planning

and implementation effort, what communication plans should be developed, how the

new approach will be assessed, and other details.

Debriefing

Themes

•

Planning: What are the critical elements to be considered in the description and

analysis of options in this case?

• Preparation: What kinds of preparation (personal, informational, materials) should be

used for a task and meeting such as this one scheduled by the president?

• Goals: What personal, professional, and institutional goals would guide your thinking

about and preparation for the event?

•

Culture: In what ways is the culture of an institution and of higher education in general,

an important consideration in undertaking this kind of assignment? What differences

between the academic and administrative culture are likely to come into play in a

project such

as

this

one?

How

can

these

differences

be

best

addressed?

• Vision: In developing and advocating options for major change, what role does vision

play? How should this perspective be taken into account in preparing for and

presenting options to colleagues in a case like this one?


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• Communication and Language: In what ways are communication style, word choice,

message content, and tone important considerations for the leader? In this case, what

are some words and phrases that might be emphasized (e.g., “potential benefits for all”

and “greater efficiency”) and others that should probably be used with caution (e.g.,

“centralization” and “standardization”) in talking about this project because they may

be red

flags

for

particular

groups

on

campus

(in

these

examples,

the

faculty).


• Self ‐assessment: In this instance, as more generally, tone should begin a leadership task

with some critical self ‐reflection to identify strengths, vulnerabilities, and personal

goals, and to consider strategies for preparing and presenting one’s ideas. What might

be some of the benefits of this kind of reflective process?

•

Experience, Expertise, and Familiarity with Task: In this case, each member of the

cabinet

will

have

extensive

experience

and

intimate

knowledge

of

his

or

her

own

areas,

but more limited experience and knowledge of other units. How can this reality be

addressed in the planning and presentation of options?

• Knowledge of Sector, Information, and Knowledge Management: The challenges

confronting the institution in the case study are not unique, and a wealth of information

describes how other institutions have dealt with these issues. Some of the information

has been generated by higher education media, such as The Chronicle of Higher

Education, Business Officer Magazine, and Inside Higher Education. Consulting

companies, colleges and universities, and regional and national associations have

generated other information. Having a familiarity with national developments and

being able

to

consider

strategies

adopted

by

other

institutions

can

be

helpful

in

identifying and implementing various options.

•

Credibility and Influence: What credibility issues may be relevant in an assignment such

as this one?

• Problem Definition: In what ways is problem definition and problem clarity particularly

critical for situations like this one?

•

Problem‐Solving and Engagement: How do you involve other leaders and the campus in

general in

a major

change

initiative?

How

do

you

decide

who

to

involve

at

what

level?

• Stakeholder Analysis: There are a number of different stakeholders to be aware of and

to be concerned about in this case—stakeholders who will hear and react to your

options and stakeholders who will ultimately be affected by the proposals that will be

adopted. Who are some of the most critical constituency groups, what issues will likely


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31

be of particular importance to each group, and how might these concerns be

addressed?

• Tolerance for Uncertainty, Risk Taking, and Change Management: Because some of the

proposed options may suggest approaches that differ dramatically from present

practice, in

what

ways

and

for

whom

will

issues

of

uncertainty

tolerance

and

change

management come into play?

Readings

Becker,

E., and Wortmann, J. Mastering Communication at Work. New York: McGraw‐Hill, 2009.

Kotter, J. P. What Leaders Really Do. Cambridge, MA: Harvard Business School Press, 1999.

Kotter,

J.

P.

Urgency .

Cambridge,

MA:

Harvard

Business

School

Press,

2008.





Tromp, S. A. and Ruben, B. D. Strategic Planning in Higher Education: A Leader’s Guide.



32/56



Recorder’s Form

Samuel Waters College


2.

What constituencies might be concerned? What might their concerns be?

3.

What do you propose? Why?

For the reporter






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33

Reginald Murphy College Case Study:

Gender

Equity

Issues

(Abbreviated

Version)

The Setting

Reginald Murphy College, located in the foothills of the Rocky

Mountains, enrolls 16,000 undergraduate and graduate

students and employs just over 4,000 faculty and staff. At this

competitive institution, renowned for a beautiful campus and

exceptional facilities, the curriculum emphasizes liberal arts.

The college takes particular pride in its congenial and welcoming culture, and its many

programs that emphasize collaboration, collegiality, and good will among faculty, staff, and

students.

Your Challenge

Creating a welcoming and equitable environment for all staff has always been both a personal

and professional goal for you, and you take pride in having achieved that climate in your

administrative area.

Last week, one of the senior administrators in your unit, Gerry Watson, came to you to share a

recent conversation she had with Jane Martinez. Jane approached Gerry to discuss her

concerns about diversity issues and especially the treatment of women. Her perception is that

women are

not

treated

equally

in

hiring,

promotion,

and

professional

development.

She

also

feels that women are marginalized by golf outings, workplace conversations about sports, and

“working” lunches organized and attended primarily by the men in the office. She also

observed that men talk considerably more than women in meetings, and she believes this is

because men are more likely to have their comments and suggestions taken seriously.

At the conclusion of the meeting with Gerry, you expressed appreciation for the conversation

and indicate that you need to give the matter some thought. Because of your commitment to a

cordial and equitable workplace and your assessment that things are functioning well in this

regard, these comments surprise and trouble you.

Discussion

1. What are the key issues and/or problems?

2.

What strategies would you employ to address them?

3.

Who would you include in your process? Why?

4.

What process would be appropriate? What is your rationale?

5. Are there principles that you can generalize from this case?


34/56



Reginald Murphy College Case Study:

Gender Equity Issues

Background

Reginald Murphy College (RMC), located in the foothills of the

Rocky Mountains, enrolls 16, 000 undergraduate and graduate

students and employs just over 4,000 faculty and staff. At this

competitive institution, renowned for a beautiful campus and

exceptional facilities, the curriculum emphasizes the liberal arts.

The college also offers a number of professional programs.

Among the distinctive features of RMC is the particular emphasis on creating a congenial and

collaborative learning environment. The college explicitly recognizes the institution’s

commitment to

collaboration,

collegiality

and

respect

in

its

slogan

“Reginald

Murphy

College…

Where collaboration, collegiality and respect for others are core values.” The slogan is posted

on the RMC website and in prominent locations in many buildings.

Consistent with these values, welcoming activities for students—and for faculty and staff—are

extensive. The college has a number of residential learning communities where collaborative

learning is emphasized. Within student affairs and campus life, the RMC ideals are also a

conscious focus of attention.

Faculty “collegiality” is a familiar concept in describing ideals of faculty life, and “collaboration”

is often

mentioned

in

position

descriptions

for

staff.

Moreover,

service

to

the

RMC

college

community is a highly valued and recognized component of appointment and promotion

reviews for all employees.

Your Challenge

You serve as vice president of administra

Lumina Case Studies Leadership Test

Documents

Transcript of Lumina Case Studies Leadership Test