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Change or Transformation in Higher Education Prepared by Sandy Tarbox, Research Assistant Higher Education Transformation Workgroup For The Kellogg Forum on Higher Education Transformation June 2001 Marvin W. Peterson, Research Director
Purpose of Study Since the original survey and synthesis on Graduate Level Courses on Institutional Change and Transformation in Higher Education (1999) was undertaken in March of that year, a group of faculty specifically interested in the topic has organized under an initiative sponsored by the Kellogg Forum on Higher Education Transformation. The Faculty Network on Institutional Change and Transformation first convened in the Fall of 1999 at the Annual Meeting of the Association for the Study of Higher Education. A List-serve, dedicated to this group has been created, and members meet and correspond about interests and ideas related to the study of Change and Transformation. Additionally, the Higher Education Transformation Work Group at the University of Michigan produced an Annotated Bibliography on Change and Transformation (1999). This Bibliography is currently being updated as well, as the literature and interest in the area of Change and Transformation in Higher Education (2001) has grown. Since the early 1990s, Higher Education has experienced a number of “revolutionary challenges” (p.xix, Peterson, Dill and Mets, 1997) that make the topic of change and transformation even more relevant. Intensified competition from other education providers, calls for additional accountability in the face of increasing college costs, increased government regulation, rapid changes in educational technology and delivery, new markets for postsecondary education, globalization and an increasingly diverse population all make it necessary for educational institutions to be able to respond, adapt and change. This survey looks at some of the ways in which faculty in the field of Higher Education have answered the challenge by incorporating the study of change into their courses offerings, and in some cases, creating courses that are specifically focused on change and transformation as a central theme. Methodology The ASHE membership directory was used to identify institutions that had programs in higher education. In addition to requesting syllabi and course descriptions from the twenty-nine current members of the Faculty Network, a survey was sent to 153 universities with Higher Education programs identified from the ASHE list. Faculty members at these institutions were also invited to join the Faculty Network. A total of twenty-two syllabi were received from faculty members for analysis. In addition, a web search of the institutions that did not respond to the survey was completed, in an attempt to identify graduate level courses related to Higher Education Change and Transformation. Five additional courses or programs related to change and transformation were identified through the web search. The web search turned up several interesting facts. Many graduate education programs offer courses in studies of higher education organization, administration and governance, but do not necessarily identify change/transformation as a specific topic within the course. From a review of the syllabi that were received, it appears obvious that some of these courses may include change as a related topic, but not clearly delineate this in the information on the web. Obtaining actual syllabi from the web pages was practically impossible - only one complete syllabus was obtained in this manner. Faculty interested in sharing information on course development may want to begin making this kind of information more readily available via links from their School of Education page, or course description page, since researchers attempting to gather information such as this may not be able to link it to a specific faculty member’s name or a faculty member’s personal web page. Categories of Analysis The twenty-two syllabi received were analyzed for information related
to higher education change and transformation. As the goals of the analysis
of were to identify the types of change and transformation courses,
course objectives, the topics or content covered, and the books used
by the faculty in a way that would be useful to other faculty interested
in the same area of change/transformation, the following information
was collected and entered into a database for content analysis:
Types of Courses: Comprehensiveness
and Specificity Of the twenty-two syllabi received, twelve of the courses
were comprehensive - devoted to the topic of change/transformation.
Ten of the courses were identified as “partial” - having a section devoted
to the topic of change/transformation. (See Table A.) Fourteen were
specific to the field of Higher Education, while 8 were broader in scope
- including the study of change/transformation in primary and/or secondary
education and in other business and organization settings.
Course Goals The wide variety and focus of the courses offered create a broad spectrum of goals and objectives. In general, the partial courses (See Appendix B) have broader course objectives and goals that center around acquiring knowledge in the areas of higher education systems and structures, the organization and administration of higher education (with a particular emphasis on leadership and decision-making) and organizational theory and behavior. The comprehensive courses cover a wide array of goals and objectives, but some central themes emerge. (See Appendix A). The comprehensive courses emphasize knowledge of existing theories of change, various change models and strategies currently being used, leadership (managing and leading a change event), the exploration and development of frameworks with which to analyze change processes, and the intersection of theory and practice within the context of educational institutions and other organizations. Topics Covered In general, the twelve courses that were comprehensive had more extensive data on the topics covered in the course. A review of all twenty-two syllabi produced a list of thirteen discrete topics related to change and/or transformation, and a fourteenth topic which encompasses change and transformation in general. The syllabi were reviewed to determine which type of course (Comprehensive, Partial, Higher Education Specific and Broader) covered which topic. Table B summarizes this information: Table B. Topics Covered by Course
Type
By far, the most common specific area of focus in change/transformation
was the study of Leadership/Vision and change. This theme was common
in ten of the twelve institutions that offered a comprehensive course
in the study of change, and nine that offered it as a part of a broader
course. This was followed closely by focus on Theory, Management,
Organizational Behavior/Systems and Strategies/Models. Many courses
included broad introductions to the subject of change and transformation
in general - ten of the comprehensive courses and 5 of the partial
courses. Texts Resources Used A review of the primary texts used for each of the twenty-two courses (see Appendices A and B) indicates that some texts are used in multiple courses. Seven texts showed up more than once as a primary source in the surveyed courses. Table C summarizes the most commonly used texts in the surveyed courses. A complete listing of all primary texts and reference books used in the twenty-two courses, with full citations, can be found in Appendix C. Table C. Most Commonly Used Texts
in Surveyed Courses
A Synthesis of
Change: Courses by Type Comprehensive Change Courses - Higher Education Specific Of the twelve courses identified as “comprehensive”, four are focused
solely on higher education, while the remaining eight may include change/transformation
in K-12 education, in the private or corporate sector or generically.
Appendix A gives more detailed information on the name of the college
offering the comprehensive change course, the name of the course, the
faculty member teaching the course, whether the course is specific to
higher education, and a brief description of the goals and objectives
of each course. Of the four courses dedicated to higher education, three identify
themselves as “seminar” courses, and all use a variety of teaching approaches,
projects and written assignments. Appalachian State’s “Seminar in Postsecondary
Education” uses specific topics each week to guide the readings and
discussion. The course is an “inquiry” into institutional change, and
uses the following questions in focusing the readings:
Students are required to do a project on institutional change, a book
analysis, a take-home final examination and participate regularly in
class. UCLA’s “Seminar on Transformational Efforts in Higher Education Institutions”
seeks to “introduce and define the nature of change and transformation
in higher education; investigate research models for change as well
as practical change strategies; and review and refine theories regarding
transformation in higher education” (Syllabus). The class uses not only
discussion but presentations and guest speakers as well. Topics for
weekly discussions include: External Forces, Organizational Culture,
Leadership, Assessment, Theories of Change/Transformation, and Strategies
of Change/Transformation. Each week’s topics are guided by questions
to focus group discussion. Overarching guiding questions for the course
include:
Each student in the class is required to do an article critique and to analyze and evaluate a current change effort in higher education as a class project. Florida State University’s “Leading Change in Higher Education” seeks
to “provide the fundamentals of change theory (concepts, principles
and tools), a real world perspective on current problems and future
opportunities in higher education and capacity-building for educational
leaders and practitioners to understand and assist with the transition
of higher education in the future” (Syllabus). Along with instructor
presentations, the course uses guest speakers, experiential learning
opportunities, a whole-class collaborative project, case studies, outside
readings, homework problems, videos and a take-home final examination.
The course outline includes the following topics:
The University of Michigan offers the course “Managing Change and Transformation in Higher Education” which “examines the nature of organizational change and transformation in higher educational institutions. The focus is on understanding how colleges and universities balance internal pressures and external forces for change in both their academic and administrative functions, how they develop and manage the change process and how they maintain or enhance institutional quality and viability while doing so. The objectives of the seminar allow for exploration of what is known and what is not known about institutional change and transformation, for developing a framework for understanding these processes, and for exploring the implications for guiding institutions in the future” (Syllabus). The seminar class is organized around major topics, and used readings from higher education and organizational studies. Discussion, special student presentations, guest presentations and case studies are used. Students are expected to complete a major paper (either individually or in a group) that may be on a transformation issue or topic, or a case study of an actual change. In addition, students prepare brief annotations of about 15 readings on institutional change and transformation. Comprehensive Change
Courses - Education Specific Two courses in the survey are comprehensive (focused on
change) in the field of education, although not specifically higher
education. “Organizational Change in Education” at the University of
South Carolina looks at theories and theorists which have impacted organizational
change in education settings, various change models, the role of team
learning and collaboration, and assumption and value orientations which
characterize the change process. Besides daily readings and class discussions,
students do written and oral reports based on change articles they have
read, a major project that involves interviewing an organizational change
leader, and a final exam. “Planning and Educational Change” at Oklahoma State University looks at the “Organizational and environmental parameters, sources of change, barriers to change, and strategies for planning and implementing organizational change” (Syllabus,) and is designed for students from public schools and higher education institutions. The course emphasizes integration - blending personal experience with fields of knowledge together with theory and research-driven practice. Students are expected to understand the factors and processes of organizational change, and to formulate techniques for stimulating change in educational institutions. Students have required readings and book reviews, must complete an annotated bibliography of at least fifteen change related books, reports, articles or journal, have a final exam, and a major course project that focuses on planning, implementation and assessment of a change in an educational organization. Comprehensive Change
Courses - Organizational Studies and Education The six remaining comprehensive courses study change/transformation in education, the business/private sector, or change generally. The course on “Planning and Change in Education” at the University of Northern Colorado, actually examines the change process in business and policy arenas, as well as schools and colleges. The focus is on two dominant paradigms - the Diffusion of Innovation Perspective, and the Concerns-Based Adoption Model. Students are expected to become familiar with these approaches and to apply them to case examples and ongoing activities. Arkansas State University’s “Organization Development in Education” relies heavily on the use of online resources through “Blackboard”. The four themes used in the course - self, leadership, organizations and the change process - are integrated by students who use them to attempt to create their own personal plan (values, beliefs, strategies, principles, concepts, skills) for creating change in organizations. Although offered through the Department of Educational Leadership and Center for Excellence in Education, the course resources do not focus solely on education, but on broader themes of change strategies, leadership, the role of managers and facilitators, resistance to change and improving organizations. “The Social Change Model of Leadership Development” at Portland State University examines “emerging conceptualizations and forms of leadership and leadership development” (Syllabus), with particular attention paid to their application in education and social service organizations. The models used place value on individual diversity and collaborative relationships that facilitate collective action in affecting positive change. Each student in the class selects a leadership concept based on the Social Change Model and gives an oral presentation. Students also do an individual analysis of their own leadership skills, and have a mid-term and final exam. At Pepperdine University, “Transforming Organizations in a Global Community” presents a broad overview of organizational change theories, strategic planning and “visioning”. The course is a foundation course for the study and practice of planning and implementing change. Students keep a “reflective journal” which provides a summary of the main ideas or concepts from the weeks’ readings, interview a “change agent” of their choosing and presenting a brief oral summary of that interview as well as a written report, write two additional reports centered on assigned readings, and develop a change creation plan as part of a team of four students. The course description for the “Advanced Seminar in Organizational Change” at the University of Vermont states that the course “contains six modules or segments in which to understand and exert leadership as a change agent within organizations. The modules are the new science, orthodox approaches to organizational theory, non-orthodox approaches, leadership, change and multicultural organizational development. Students are assigned an experiential component project within each of the six modules, must facilitate at least class discussion, and do one research paper or student-initiated creative project. Professor Gaynor’s course (listed as SED AP 662) focuses on teaching a comprehensive planning method that involves designing project activities. The course is designed as a workshop to learn a set of planning techniques and then apply those techniques in the design of a project or program of the student’s own choosing. While students use a common text, class time is mainly devoted to clarifying and illustrating concepts and applications found in the text, and to work on individual projects. Partial Courses Ten universities offer courses that deal with the topic of change as part of a course that is broader in scope. All nine of the courses are specific to higher education - particularly the organization, administration and governance of higher education. The study of leadership, administration and management is the main theme covered in most of the classes, while organizational models and structures, and organizational behavior are also recurring themes. The most common texts used in these courses include Bolman and Deal’s 1997 book, “Reframing Organizations: Artistry, Choice and Leadership” (a total of four of the nine partial courses site this book as a resource) and Robert Birnbaum’s 1988 book, “How Colleges Work: The Cybernetics of Academic Organization and Leadership” used in five of the nine partial courses. Appendix B summarizes information for the ten courses devoted in part to change, but entirely to the study of higher education. Other Graduate Courses The web search came up with five courses or programs that may revolve around the topic of change and transformation, that bear further investigation. The University of Maine at Orono offers an Ed. D. in Higher Education Leadership, focusing on Leadership for Change. Boston College offers a course in “Educational Change” that focuses on the study of change theories and approaches, their application in educational reform, and their impact on teaching and learning. The course examines the history of educational change and considers the forces for and against change in schools and other organizations. The University of Alabama offers a course in “Power, Politics and Change in Higher Education Systems” - a study of higher education institutions as complex organizations within a framework of local, state, and federal domains. Attention is focused on the institution as dynamic political entity that continually undergoes change. State-level coordination and systems behavior are also examined. Pennsylvania State University offers a Special Topics Course (topic changes from term to term) but has in the past included Organizational Change as one topic, and the University of Pennsylvania offers a course titled “Strategic Planning in Higher Education” that studies the successful techniques and special difficulties of institutional change and development of strategic priorities for action. Conclusion The topic of higher education change and transformation continues
to increase in importance to colleges and universities across the country.
One result of this most recent survey of graduate courses in change
and transformation was the addition of eight new members to the Faculty
Network on Institutional Change and Transformation in Higher Education
- five of whom submitted syllabi for review, and three who have an interest
in pursuing this topic. Traditional survey courses on higher education
governance and administration (the ten partial courses reviewed in this
analysis) are including the study of change together with the more traditional
subjects of governance and administration. While many of the courses
surveyed continue to use texts and reference books from outside the
field of higher education, a substantial number of recommended reading
materials are now focusing particularly on change within the field.
Numerous journal articles, chapters in books and monographs on change
and transformation in higher education were included in the syllabi
to supplement the main texts and reference books. The number of comprehensive
courses (those devoted to the topic of change and transformation) has
increased from seven to twelve. The web search found five courses that
appear to be focused on change and transformation (syllabi were not
received for these at point of completion of this project) and a number
of courses that appeared similar in title and description to the “Partial”
courses reviewed in this analysis may also incorporate the study of
change and transformation, as those listed here have done. Clearly the
topic of change and transformation remains critical to students and
faculty in higher education, and it is hoped that this analysis will
be of use to those interested in pursuing the study of this issue.
Appendix A: Comprehensive
Courses in Change/Transformation
Appendix B. Courses Devoted
in Part to Change/Transformation
Appendix C - Citations for
Required/Primary Texts Used in Twenty-two Surveyed Courses A social change model of leadership development. (1996). Higher Education Research Institute - UCLA Ainscow, M., Hargreaves, D.H., Balshaw, D and Black-Hawkins, M. (1994). Mapping change in schools: The Cambridge manual of research techniques (1st ed.) Cambridge: UK Astin, A.W. (1991). Assessment for excellence. SF: Jossey Bass Astin. A.W., and Astin, H.S. (Eds.) 2000. Leadership reconsidered: Engaging higher education in social change. Battle Creek, MI: W.K. Kellogg Foundation. Bender and Schorske (1997) American academic culture in transformation: Fifty years, four disciplines. Princeton, NJ: Princeton University Press. Birnbaum, R. (1988). How Colleges Work. SF: Jossey-Bass Birnbaum, R. (2000) Management Fads in Higher Education SF: Jossey-Bass Bolman, L.G. and Deal, T. E. (1997).Reframing organizations: Artistry, choice and leadership. SF: Jossey-Bass. Bridges. W., (1991). Managing transitions: Making the most of change. Reading, MA: Addison Wesley Brown II, C.M. (2000) Organization and governance in higher education. ASHE Reader Series. Boston: Pearson Clark, B. (1983). The higher education system. CA: Berkeley Press Clark, B.R. (1998). Creating entrepreneurial universities: Organizational pathways of transformation. NY: Pergamon Press Conner, D.R. (1993). Managing at the speed of change. New York: Villard Dolence, M.C., Rowley, D.J. and Lujan, H.D. (1997). Working toward strategic change: A step by step guide to the planning process. SF: Jossey Bass. Fullan, M (1999). Change forces: The sequel. Philadelphia: Falmer Press Fullan, M. (1991). The new meaning of educational change. New York: Teachers College Press Gaynor, A. and Evanson, J. (1992). Project planning: A guide for practitioners. Boston: Allyn and Bacon Gladwell, M. (2000). The tipping point: How little things can make a big difference. Boston: Little, Brown and Co. Hall, G.E. & Hord, S.M. (1987). Change in schools: Facilitating the process. Albany, NY: SUNY Press Helgesen, S. (1995). The web of inclusion: A new architecture for building great organizations. NY: Doubleday Johnson Foundation (1993). An American imperative: Higher expectations for higher education. Johnson, B. (1996). Polarity management: Identifying and managing unsolvable problems. Amherst, MA: HRD Press Jossey-Bass reader on educational leadership. (2000). San Francisco: Jossey-Bass Kerr, C. (1994). Higher education cannot escape history: Issues for the 21st Century. Albany: SUNY Press Kerr, C. (1994). Troubled times for higher education: The 1990s and beyond. Albany: SUNY Press Kouzes, J. M. and Posner, B.Z. (1995) The leadership challenge: How to get extraordinary things done in organizations. Leslie, D. and Fretwell, D. (1996). Wise Moves in Hard Times. SF: Jossey-Bass Levine, A. (1980). Why innovation fails. Albany: SUNY Press. Lucas, A.F. & Assoc. (2000). Leading academic change: Essential roles for department chairs. SF: Jossey-Bass Martin, J. (1992) Cultures in organizations. Oxford University Press Maynard, H. and Mehrtens, S. (1996). The fourth wave: Business in the 21st century. SF: Barrett-Koehler Morgan, G. (1986) Images of organizations. Newbury Park, CA: Sage Publications Morrison, A. (1992) The new leaders: Guidelines on leadership diversity in America. SF: Jossey-Bass O’Connor, J. and McDermott, I. (1997) The art of systems thinking. Thorson Publishing Owen, H. (1997). Expanding our now: The story of open space technology. SF: Berrett-Koehler Palmer, P.J. (2000). Let your life speak: Listening for the voice of vocation. SF: Jossey-Bass. Peters, T. (1999). The circle of innovation. NY: Vintage Books Peterson, M.W. , Dill, D.D., and Mets, L.A. (Eds.) (1997). Planning and management for a changing environment. SF: Jossey-Bass Peterson, M. et.al. (Eds.) (1991). ASHE Reader in Organization and Governance in Higher Education (4th edition). Ginn Press. Riesman, D. (1980). On Higher Education: The academic enterprise in an era of rising student consumerism. SF: Jossey-Bass Rogers, E.M. (1995). Diffusion of innovation. (4th ed) New York: Free Press Rost, J. (1997) Leadership for the 21st Century. Westport, CT: Praeger Rowley, D.J., Lujan, H.D. and Dolence, M.C. (1997). Strategic change in colleges and universities: Planning to survive and prosper. SF: Jossey-Bass. Sarason, S. (1996). Revisiting “the culture of the school and the problem of change”. NY: Teachers College Press Schein, E. H. Organizational Culture and Leadership. (2nd Ed.) SF: Jossey-Bass Scott, R.W. (1992). Organizations: Rational, natural and open systems. Englewood Cliffs, NJ: Prentice Hall Senge, P. (1990). The fifth discipline: The art and practice of the learning organization. NY: Doubleday. Senge, P., Kleiner, A., Roberts, C. , Ross, R., Roth, G. & Smith, B. (1999) The dance of change: The challenges to sustaining momentum in learning organizations. NY: Currency Doubleday Walker, D.E. (1984) The effective administrator. SF: Jossey-Bass. Zohar, D. (1997). Rewiring the corporate brain: Using the new
science to rethink how we structure and lead organizations. SF: Berrett
Koehler
top Peterson, M.W., McLendon, M.K, Anderson, A.,Tarbox, S. and Park, L. (2001). Change and transformation in higher education: An annotated bibliography (2nd Edition). Higher Education Transformation Workgroup, University of Michigan. Ann Arbor Peterson, M.W., McLendon, M.K, Anderson, A. and Tarbox, S. (1999). Change and transformation in higher education: An annotated bibliography. Higher Education Transformation Workgroup, University of Michigan. Ann Arbor Peterson, M.W., Anderson, A. and McLendon, M. (1999). Graduate level courses on institutional change or transformation in higher education. Kellogg Forum on Higher Education Transformation. University of Michigan. Ann Arbor Peterson, M.W. , Dill, D.D., and Mets, L.A. (Eds.)
(1997). Planning and management for a changing environment. SF: Jossey-Bass |
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