Achieving restructuring: the keys to success by AUA

Achieving restructuring: the keys to success Includes case studies and lessons learnt

Good Practice Series number 38

This is one of a series of Good Practice Guides published by the AUA. Front cover image by Flickr user scorp84, licensed under a Creative Commons Attribution-NoDerivs 2.0 Generic (CC BY-ND 2.0) licence. ÂŠ AUA 2014 www.aua.ac.uk AUA National Office The University of Manchester, Sackville Street Building, Sackville Street, Manchester M60 1QD Tel: 0161 275 2063 Fax: +44(0)161 275 2036 Email: aua@aua.ac.uk

Written by Kathryn Fowler and Dr. Christopher Sarchet

The Authors

Contents

The Authors

Introduction

Universities are complex organisations

Decision making structure

Culture

Academic Culture

Drivers for change

through which all academic activity is managed at the University of Aberdeen. This involved co-ordinating a team of professional

The role of communication

administrators including, accountants, human resources, estates, IT

Case Study 1

Case Study 2

specialists alongside generalist administrators. The College has an annual turnover of cÂŁ40m, and has over 400 staff and 3,500 Full Time students.

Case Study 3

Cast Study 4

Conclusions

References

Kathryn Fowler A professional University Manager with more than 20 yearsâ&#x20AC;&#x2122; experience of the Higher Education system, Mrs Kathy Fowler is currently the Deputy Executive Director of the Aberdeen Institute of Energy. Prior to this she was the College Registrar (Director of Administration) for the College of Physical Sciences, 2003-2013. In this role she led the administrative team for one of the three Colleges,

Kathy has been involved in a number of major projects at College, University and Sector level. These include: Business Continuity Planning; Pandemic Flu Planning; IT risk assessment and continuity planning.

Review of Technical and Secretarial Support Services Business Planning to develop Archaeology as a new programme The development of the highly successful Northern Research Partnership in Engineering & Related disciplines since its inception in 2006/07 2

The development of the National Subsea Research Institute (NSRI),

Tel: +44 (0)1224 272190

from the development of the initial concept, through to its launch, and

E-mail: k.m.fowler@abdn.ac.uk

is currently an NSRI Board member Refurbishment and new build projects in support of the College Estates strategy. New software procurement and implementation projects for the

Dr Christopher Sarchet

University Christopher’s special interest is the In 2007/8 she convened a working group for the University to review

professionalisation of administration in

the University’s Student Record System. As a member of the Association of University Administrators (AUA), she has shared her

higher education and particularly the improvement of the management of

expertise and knowledge with colleagues through a number for

change.

journal articles, a Guide to Managing Change and leading conference sessions. She is currently a member and coordinator of the AUA Managing Change in Higher Education themed network. An AUA

Before working in higher education, Christopher worked for the Civil Service, Local Government and the Kings Fund as Administrator,

Fellow, Kathy has recently commenced a second term as a Board member.

Political Advisor and Facilities Manager. Christopher has 20 years practical experience of management in

Kathy’s previous experience includes: being the first ACT Officer in Scotland, Faculty Officer, Director of Wider Access Policy, heading up the Centre for Lifelong Learning (CLL), working in administration in industry (construction & leisure trades) and in the public sector

higher education both at faculty and central organisational levels at two post ‘92 universities. During this career he has managed and developed customer centred services for faculty administration (including provision of services for the business and health faculties),

(Community work project). She was educated at Dinnington High School South Yorkshire, and the University of Aberdeen, graduating with an MA Hons in English. She has undertaken a number of

fee collection, registration, assessment, and graduation. He has been responsible for managing:

professional development programmes including the UUK Continuing Professional Development Award and the International Leadership

Reorganisations

Management Development programme.

Introducing new software systems and processes

Contact details:

Development and implementation of new policies and processes A review of undergraduate and postgraduate curriculum

University of Aberdeen, Fraser Noble Building, Kings College, Aberdeen, AB24 3FX

A review of research The development of student and staff charters 4

He has Participative Process Review practical experience having worked

Introduction

with SUMS to develop the approach to be taken in a University. He is a Project and Programme Management Professional (Qualified PRINCE 2 Foundation and Managing Successful Programmes Practitioner) with practical experience of their use in a higher education institution.

Restructuring and reorganisations are stressful for all stakeholders

He is a qualitative researcher and completed a professional doctorate in Business Administration in 2009. His practical thesis ‘Managing in the

including the manager tasked with achieving it. University leadership introduce such changes as: ‘rationalisation’; ‘downsizing’; ‘mergers’;

middle, the practice of managing change in English universities’ led to

‘takeovers’; ‘efficiency gains’; ‘budget cuts’; ‘relocations’; ‘right

him establishing the AUA Managing Change in Higher Education themed network (he is the Convenor).

sizing; and even ‘restructuring with the emphasis on putting the customer first’. Whatever the terminology used, the staff involved present the largest and most coherent challenge as they may be

He is a Fellow of the AUA and works as the Director of the Strategic Programme Office at London Metropolitan University.

averse to the change and openly or passively resistant. Their perception may be that it is all a cost cutting exercise that is aimed at saving money and asking for more from less staff, even if a new

Contact Details: Strategic Programme Office, London Metropolitan University 166-220

management ‘buzz word’ is used. If a change programme is required to address an emerging threat and this is perceived to be for

Holloway Road, London, N7 8DB

positive reasons (e.g., the need to impose structure on areas subject

Tel: 0207 133 2496 E-mail: c.sarchet@londonmet.ac.uk

to growth and expansion), this can still be challenging for the programme manager. Organic, responsive growth can seem entrepreneurial and represent some opportunities for staff development and advancement although, in such cases, an “imposed” order can seem to be restraining and retardant. This Good Practice Guide provides advice from experienced practitioners on the ‘keys’ to successful restructuring, with the caveat that there is really no ‘magic wand’ or secret for success other than hard work, perseverance, good communication and a plan that is as transparent as it can be. We have included some case study material with lessons learnt to help the manager seeking guidance. These are based upon real life experiences gained in the sector and some have not been as successful as was planned or hoped. These case studies should be considered carefully however

Cartoons by Dr Christopher Sarchet 6

as they are written from one perspective: the manager who managed the change. Staff members who were involved in the change may have a completely different view of the events and the outcomes. Associated with the essential ‘keys’ of hard work, perseverance, good

A good understanding of the governance and management

communication and a plan, it is also important that the successful

structures of the institution in which they work (i.e. the decision

manager should have: An appreciation of the history of the development of the sector and

making process)

more importantly the institution that you are trying to achieve a

An appreciation of the culture of the higher education sector and the

restructuring in. (The authors have written a brief overview of the development of the sector to aid colleagues and this is available on

institution in which they work

request at: http://www.aua.ac.uk/ - see members’ resources).

An awareness of the drivers for change, the change process together with knowledge of good practice from change methodologies (particularly those that have been used successfully to achieve structural change in the higher education sector) In the final analysis we both believe that you need to be a ‘life-long learner’, as you can never stop learning and improving on your methods and acquiring new skills. You should be open to employing these new skills and using new tools, guidance and advice as they come along, e.g. using social media to effect change. We also suggest that access to a good network of support is a very powerful weapon in your armoury and suggest you consider joining the Association of University Administrators (AUA) and the Managing Change in Higher Education themed network.

References to other institutions’ experiences and structures and the relative pros and cons of a particular structure show a breadth of

Universities are complex organisations

understanding and openness that may disarm some of those seeking to obstruct a proposed change.

Institutions of higher education in the UK are complex organisations, each characterised by a distinctive ethos. Each institution is autonomous and responsible for the management and direction of its own affairs. Yet almost all depend substantially on central government funding and face many similar challenges.

Decision making structures Institutions have ‘executive’ and ‘collegial’ structures and decision making processes. The ‘executive’ may comprise of formally

Guide for Members of Higher Education Governing Bodies in the UK, Introduction; HEFCE: November 2008

established groups of senior staff who meet regularly and take ‘executive’ decisions. This may include structural and financial decisions and some organisational and structural changes may not need to be referred to the more formal ‘collegial’ structure or process

Universities in the UK are not all the same, and nor is it easy to put them into simple categories. It is too easy to fall into broad characterisations, but the breadth and diversity of history, culture,

which is comprised of the formal committee structure at the institution i.e. the boards.

mission and drivers creates a complex system. An overview of the development of the university sector in the UK will provide the manager with an understanding of the sector that will be useful when

An awareness of the roots and requirements (e.g. formal papers that propose change for an ‘executive’ and/or ‘collegial’ decision making process) is essential. In addition it is useful if you know the important precursors to getting the option you need i.e. who do you

communicating a structural change. Stakeholders and staff are always reassured when a change manager is aware of history and tradition and this should include research into the institutions’ individual history and traditions as well. The best starting point for this research is the institution’s website, which usually will contain a ‘history content page’.

need to see and persuade prior to submitting a proposal. Advice on the correct decision making structure to use should be

The AUA Managing Change in Higher Education themed network was established in

sought from the senior manager of the change manager. The process to be used will determine the type and form the

2008 with the objective of providing, “A network of collective wisdoms managing

restructuring proposal will take. This may include determining the

change, or organisational change, in higher education that members can draw on.”

use of a report that may include the business case and the use of a template from the institution. If there is not an institution based

The network has a three year strategy that includes an annual conference in London in July and the development of good practice guides. The network now has over 400

process in existence then the change manager may wish to create one. Either way the change manager may wish to conduct some desk

members and colleagues can join via the AUA website: http://www.aua.ac.uk/ pigroups-2Managing-Change.html

research on how similar change programmes have been managed in

Is the institution driven by collegial values?

the past and access committee papers via the Registry and/or

Does the institution see itself as mainly operating on a global,

Secretariat (those who are responsible for servicing the governance of the institution).

national or regional stage? How does the institution determine its successes â&#x20AC;&#x201C; is this being known for producing valued employees for industry, for ground breaking research, for valuing its employees? An institution can value a range of these, but it is important to understand the drivers which define the kind of institution, to understand what kind of change will succeed. It should also be acknowledged that the institution may be more accurately thought of as a group of communities which dwell within a wider region. Thus some beliefs and values will hold sway for all, whilst others will only be held in the smaller community clusters. This can create potential conflict â&#x20AC;&#x201C; for instance if a change is being driven by a perceived

Culture A successful change manager should be aware of the culture and values of institution in which the change is required. Sometimes this is directly related to these factors and is obvious, but this is a key part of delivering successful change at all levels: Is the institution risk averse or is it entrepreneurial? Is the institution driven by a business-oriented central management? 12

management need to be more efficient but is thought to threaten

interviewed Jarrett, the Chair of the Steering Committee that

discipline breadth.

reviewed efficiency in universities in 1985, when researching change and were informed that it was necessary to pay attention to the ‘invisible college’ because if it was ignored then success would not be achieved. Kogan and Hanney conclude that the sector believes itself

Academic Culture

to be ‘unique’ and, because of the need for academic freedom and the existence of the ‘invisible college’, business methods will be resisted because they are viewed as inappropriate.

Typically academics have divided loyalties and defend their freedom, and are loyal to their subject over their institution. This may result in resistance to any institutional change. Academic freedom has been identified as a concept that is jealously defended as a primary

Drivers for change

requirement for an independent sector (see, for example, Koch, 2003). A useful definition of the concept is provided by James Koch when he writes of the frustration of applying Total Quality Management;

It is also important to understand what the drivers for change are as well as understanding how the culture and history of an institution

“Faculty members traditionally have had the right to profess their disciplines as they see fit and to seek truth, wherever that search

may respond and might shape structural change as a result of these drivers.

leads them. The content of their courses, the nature of their research, and their professional values over the years have been subsumed under the umbrella of academic freedom”. (Koch, 2003, p329) Kogan and Hanney (1999) refer to this academic culture as one of

So what are the drivers for this change which is seeing a large number of universities amend their structure?

dual accountability to their academic colleagues or subject professionals as well as to their institution. The accountability to their professional subject colleagues can be more binding than that to their

resources, staff and students, and for influence. In a system which has more than 130 institutions in the UK, these represent not just economic success, but also contribute to the reputation of the

institution and causes potential friction during change and the management of change. Kogan and Hanney (1999) call this

institution and hence its ongoing success. However, as well as competing, universities will also combine and collaborate where this

accountability the ‘invisible colleges’. The ‘invisible college’ is not a

is in their interests, for example, bidding for government initiatives

recognised organisation but is formalised in the quality assurance processes that exist in the United Kingdom higher education sector,

such as Strategic Development Research Grants, or for EU grants. Paradoxically, the same universities will be simultaneously in fierce

such as the external examiner system and peer review of research. These processes may serve to formally reinforce the subject academic

competition and be working collaboratively.

community of the ‘invisible college’. Kogan and Hanney (1999)

Universities exist in a competitive environment. They compete for

The goal for many modern universities is to achieve the balance of

The following can be considered to be amongst the key drivers for

being able to deliver a high quality product (student experience,

structural change:

research outputs, new industry-ready applications etc.) whilst being effective and efficient. This goal has seen universities adopt models from business and industry (business process re-engineering, Kaizen



Economies of scale – creating larger units to compete nationally and internationally to increase resource for the institution (some universities have student bodies of 40,000+)

change techniques, PRINCE methodologies, etc.) as a means to



Business improvement – to deliver more effectively, through the

reducing bureaucracy and creating “leaner-meaner” organisations. Given the culture, governance and history described previously, this often creates conflict within the organisation and makes successful change more complex and harder to achieve. Conflict can occur not only between management and academics, but also within the

development of simpler management lines, or to enable resources to be more focused towards strategic priorities 

To enhance local delivery by creating units oriented to local needs



(business, arts/media, industry–focused). Change in management style – to increase local accountability, to

administration, where staff may reflect a business-oriented attitude and

centralise, to increase control (dependent on availability and scale

also a more traditional “civil service” or custodian approach.

of resource) Change in leadership: Universities replace their chief executive at defined intervals: this brings into play the “legacy” factor (outgoing



CEO) and the new broom/“first 100 days” factor (incoming CEO) To respond to external factors – Government imperatives or Funding Council influences



To enable the creation of new sub units (e.g. new disciplines or

The role of communication

research institutions )   

To respond to specific needs such as creating an RAE/REF unit of assessment To respond to economic problems – by pulling together support units

Effective communication is a ‘business critical’ ‘key’ to achieving change.

to enable downsizing, or by closing units

This business speak underpins the requirement for a good

Merger of two institutions (e.g. Manchester & UMIST) or, more rarely, de-merger into 2 or more institutions (e.g. St Andrews and Dundee)

communication plan that identifies the stakeholders that will be affected by the structural change and their engagement in the design of the solution. A good change manager will assess the stakeholders interests

In responding to these drivers, Universities will reflect their cultural approach and management style. Some universities will drive the

using their analysis of the history, culture and strategy of the institution or organisation (and, if necessary, the sub unit within the institution or

change from a small, strong central group, others will discuss, consult

organisation). They then can determine how they should be approached

and debate to achieve a slower but more collegiate change, with the dangers attendant that such slowness of pace may delay necessary change and achieve only a diluted change not addressing the

and communicated with, adding how they will be involved in the development of the new structure and how they may help or feedback on issues as they arise. There are tips for success that are useful and an

fundamental needs.

open approach that reassures stakeholders that you, as the change manager, know what you are doing is the starting point. Top tips to communicate change  A good change manager is a negotiator not a bully  Accept that you may not be able to take everyone with you, but that does not mean that you should not keep trying to do so!  



Careless words cost Do not do “cold call” emails – in person is best, by phone next best



Draft a communication strategy and use this as a template

 

Establish a clear vision of what is to be achieved Have a communication strategy and use it as the framework for



change Identify both key champions (pro the change) and major blockers



Be prepared and rehearse Be truthful – especially about limitations on the ability to amend the plan

(those who oppose) and nurture them both.



It takes time, persistence and commitment

accompanied by considerable difficulty in recruiting replacement



Learn lessons, share experience, make time for feedback and

staff. Student satisfaction was falling, and Key Performance



celebrate! Listening is more important than talking Never, ever respond in anger, especially by email

Indicators (KPIs) and economic indicators were all adverse and deteriorating. These problems had arisen over a number of years, with various solutions developed and implemented, but not



Project Boards can be very useful and effective, but beware size, if

successfully. The department had previously suffered internal division

necessary divide them up – an effective overarching decision making body and larger “stake-holder groups” to make recommendations on details

and was perceived to not be aligned with institutional imperatives.

Try to achieve quick and/or early “wins” and tell everyone about them

The Senior Management Group (SMG) was briefed by the Head of School at a facilitated Away Day that the ongoing issues had come to



Underpin the case with evidence - stakeholder analysis, key drivers

a head, and that the situation could not be sustained. The impact on



for change Use a variety of media - meetings, briefings, focus groups, community email messages, message-of-the-day, bulletins/

the rest of the School was also a concerning factor. The Away Day gave the opportunity for a confidential small group discussion and review of the options available, which led to the SMG arriving at a preliminary point of agreement on the broad strategy to be followed.



newsletters Use the best people



You may have the vision and see the whole journey, but each

Further detailed investigation was undertaken by officers to draw



member of your audience starts from a different place and sees the difficulties of getting to this unknown place You will not always be right – be prepared to adjust and change the

together full analysis of statistical and financial data. Consultation with staff within the department was initiated and with staff in cognate departments.



Problem identification, options appraisals and planning

plan in the face of good arguments, but not if that change will cause a train wreck 

Communication is time consuming and demanding and you must be prepared to persevere even when the going gets tough.

provided, and after reviewing the options fully, arrived at a proposed way forward. This was then discussed with the departmental staff.

Case Studies - Structural Change

Options which were rejected included maintenance of the status quo and expansion, both of which were not shown to be viable by the evidence provided, and complete closure, which was not felt to be

Case Study 1: Communicating a Structural Change Scenario: A department was giving the manager (Head of School) serious cause for concern: there was a significant and sustained staff turnover,

This resulted in a series of options being put forward which were then appraised, taking account of the strategic objectives of the College. The Senior Management Group considered the evidence

acceptable given the history, structure and culture of the organisation. 21

A proposal was drafted with the intention of realigning the department

HR professionals were engaged in supporting staff in the change

and merging it with a larger department; this would ensure a portion of

Trade unions were also involved (playing a valuable role in both

the activity was retained which most clearly matched the strategic objectives of the larger department and the College as a whole. Given the divisions within the department, the difficulty in recruiting staff, and

challenging/testing assumptions and also assisting in the process). Students were briefed and their concerns were addressed. Consultation and negotiation had to be undertaken with an external

the fall in student recruitment, this was seen to be playing to the

accrediting body (the professional learned society), and this proved

strengths available. The proposal involved the transfer of a small number of staff to another college, to which their teaching and research

to be both difficult and protracted. Student recruitment services were involved to ensure that applicants

interests were more closely matched. Staff members were given the

were advised and supported in making fully informed choices

option to elect for this transfer. This was viewed by the SMG as the option which was most likely to enable the unit to remain as part of the

Local stakeholders were briefed, consulted and engaged with in supporting the change.

portfolio and be the most cost-effective option.

Other local institutions with similar departments were consulted, both

A paper was prepared covering the steps taken, the options considered and the recommended actions. This was discussed by the Universityâ&#x20AC;&#x2122;s

to provide alternative choices for applicants or current students who might wish to transfer, but also to provide some teaching to meet commitments to existing students

Central Management Group (CMG), and was then put to the Senate and Court for discussion. Whilst the CMG and Court supported the proposals,

Press coverage was inevitable and the PR department was briefed and engaged in the process

there was a lively debate at Senate, where those academics who were

Other staff, not directly involved in the change, were briefed to

concerned about the proposed realignment and the loss of an independent academic unit pressed the management team closely. The value of the evidence gathering and previous debates and discussions were demonstrated by the ability to respond with rational arguments to

reduce the level of rumour and gossip Individual staff were offered 1:1 meetings with the Head of School and/or the Head of College Staff meetings were frequent

the points raised. Having secured approval to proceed, there was further consultation

Outcome: The change was implemented and all the problems were worked

about the best way to implement the change. This was a lengthy and wide ranging activity. The following groups were involved:

through, although some were protracted and not easily resolved. Compromise and negotiation characterised the process.

Senior staff from both disciplines where charged with developing plans and proposals to align teaching and research.

There was considerable opposition to the proposed change, from staff directly involved, from union representatives, from external

Management continued to be closely engaged Central administrative staff provided support (arranging meetings,

accrediting bodies and from the professional sector. This caused disruption, and rifts between staff for a period. It was a difficult and

providing analysis and papers etc.)

testing time for all staff involved, and for others not directly involved. The collegial system, which characterises many universities, was brought into play and strong sympathy from across the academic community was displayed. Management made considerable efforts to communicate and especially to talk to people and explain the position

the evidence as well as researching and analysing data. 

was still considerable shock and disbelief exhibited 

as neutrally as possible. Surprisingly, most other disciplines took the view that the underperformance was Department X’s responsibility. In some ways, facing up to this problem and dealing with it head-on gave the picture of a strong and engaged management. The staff survey carried out after the move had been affected and showed that concerns about management were restricted to the area directly affected.



Some managers found it hard to “upset” people



Continuous communication and consistency of message. Detailed work must be undertaken to enable scenario planning, to inform a planned way forward and to enable clear communication. This has to be underpinned by evidence, and should be as neutrally presented as possible.

with effectively because the PR office had been involved at an early 

The options should be set out clearly



There will be a need to repeat the information /plan



There is a need to listen and be flexible (where this is possible)



Consultation and discussion/debate is vital but there is a need to be aware that some staff will have a fear of speaking in public, and the loudest voice is not necessarily representative

The SMG team worked together, and supported each other and the proposed way forward.



Managers must provide leadership (including proposed solutions)

Previous attempts to “deal” with the problems in this department had



People have a tendency, especially when hurt and shocked, to mishear or to only take from a meeting what they want to hear



People feel hurt and undervalued when they think that their

Staff that remained were integrated into their new department and engaged positively. Some staff left, and although student satisfaction recovered after a short dip during the year of change, the integration of the unit was a long, hard process requiring ongoing support. Lessons learned: 



been undermined by concerns about negative publicity, adverse reaction within staff and student bodies, and a preference for not tackling the issues head on. 

but must also be prepared to seriously listen and empathise

involvement is not valued enough to be continued

The whole process was very stressful for everyone involved; management, staff and students.



Nimby-ism (not in my back yard-ism) and protectionism were demonstrated: this is normal and should be expected and understood

Inevitably there was a degree of adverse press coverage. This was dealt stage and therefore were able to contact senior management to provide quotes.

Even though it was evident that there was a serious problem, there

There was an enhanced workload for professional staff in providing 24



Gossip and rumour are persistent and pernicious



It is extremely important to recognise input to the process and to celebrate success

  



Case Study 2: Structural Change from Faculties to Colleges, in

During the year 2002/03, a major Costed Academic Planning (CAP)

a pre-1992 university

exercise was undertaken, the outcome of which was to demonstrate

1996-2003: Formative period

that “departmentalism” was still a strong factor, and that Schools, whilst ambitious, did not have the power or flexibility to make structural or significant changes.

1996: New Principal appointed 2000: Strategic planning/financial review 2002: University restructures from 4 Faculties and 40+ Departments to 5 Faculties and 15 Schools (the Fifth Faculty

This led to a proposal, hotly debated during the second half of the academic year, and enacted with the start of the academic year of

emerged from the incorporation into the University of the previously independent Education College) 2003: Further restructuring to 3 Colleges and 13 Schools

2003/4, that new Colleges be created, with significant movements of disciplines into these new structures. The period of the CAP had engaged staff across the Faculties in a more transparent way than

The decision to move from the structure which had operated for many years, that of operational management being devolved to departmental level, was reached relatively slowly, after a considerable period of review and planning. The University administration was restructured following the appointment of a new Secretary in 1998. By 2002, Funding Council income had become constrained, including realterm cuts in funding, and the outcomes of the RAE 2001, although bringing significant enhancements in ratings, had not led to the

previous planning exercises and staff were aware of the issues, and the drivers for change. At the latter end of the consultation period, the focus of the debate changed to more detailed and practical discussions about how to effect the more major change being planned. Each Faculty had a number of meetings with constituent staffing groups, through Away Days, Open Fora, committee discussions and small group meetings. Despite some opposition, the proposal was approved by both Senate and Court in June 2003.

growth in income desired. The University identified one of its key issues as being the number of submissions from small or medium

The new Heads of College were given equal status (Vice Principal level) with other central VPs, and became a full part of the top tier of

sized units. In addition there were pressures on student recruitment as student retention was declining. This mixture of external pressures and strategic objectives meant that the University decided to create larger scale budgetary units to enable it to address these concerns.

management, with responsibility for budgetary and staffing management of their Colleges.

For 2002/03, the Faculty structure was retained, and departments

To signal that Colleges were a “new” start, the College administrative team was selected through rounds of interviews, and new academic

ceased to have budgetary or staffing authority, with this invested in

leadership roles were created (Directors of Teaching & Learning,

larger conglomerations through a School structure. Deans of Faculty reported through a Vice Principal, and were not fully part of the top

Research, Graduate School). Central administrative sections identified staff to act as College liaison officers, with significant sections (IT,

tier of management. This created tensions, and encouraged

HR, Finance, Research support) physically locating these officers within the College teams, effectively making them near full-time

factionalism. 26

secondments. The intention was to create teams of professionals

who would be involved in the visioning, objective setting, strategic and

articles focused on current concerns, strategic plans, and new

operational planning of all activity at every stage. In recognition that

initiatives and developments. One of the attractive features for staff

this was a more complex management portfolio, three new roles were created, with these College Managers being given equal status to the Directors of central service sections The core College teams, Head of

was that decision making was relatively local, and if a case could be made, and resources identified, Colleges did not have to seek central approval for most developments. Staff satisfaction, measured through

College and admin staff, were embedded in the buildings occupied by

surveys, initially dipped but then perceptibly improved.

their College. 2007 – 2010: Growth period New governance structures (committees and reporting lines) within the Colleges were also developed.

 



Staff numbers grew, especially academic staffing load Student numbers grew sharply, especially UG & PGT



REF 2008: good results in most subject areas



Internationalisation strategy developed and was implemented



2003 – 2006: Internal restructuring 

As a result, although not always easy and straightforward:

2 voluntary severance schemes were run Reviews of support staff were undertaken (technical by consultants; other support, internal)

Budgets were generally balanced, there was higher staff morale,

A major recruitment campaign was launched, drawing on significant sums, drawn from the VS scheme and from University Reserves

alongside increased confidence in the College structure overall and with senior management. There were, inevitably, still pockets of concern, with some staff less supportive of the College structure on

As a consequence, in the early years of the College structure, staff numbers initially reduced, particularly within the technical staffing group, where the review highlighted over-provision and grade imbalance, with large numbers of promoted staff, and very few at

principle, especially where academics felt that discipline-profile had been diluted. Complaints were commonly about too much power being vested in a small number of people and a perception of additional layers of bureaucracy. The “Centre” also began to feel

entry or junior grades.

disenfranchised and marginalised from decision making, creating some tensions.

The first few years of the Colleges were characterised by significant change, and staff were subject to a number of pressures, including higher workloads following staff departures. Student numbers initially

2010 – 2012: change and turbulence  2010: appointment of a new Principal

shrank, but then stabilised. Considerable emphasis was placed on



2010-2015: New strategic plan developed

communicating within the Colleges, and each College developed its own approach, based on perceived needs and internal cultures. Each



Global financial meltdown New VS schemes – support staff positions lost

College had a Council, composed of elected staff, and held an annual Forum for all staff. Each College developed an in-house “Bulletin” with 28



The mixture of external forces, including the impact of divergent fee systems and fee differentials, along with the natural change in

management style and strategic priorities attendant on bringing in a new Principal, led to a period of change and uncertainty. This is still being worked through, but the College structure has been reaffirmed, although the internal composition may change. 2012 onwards: stabilisation and, hopefully, growth  Different approaches to business – greater use of business case formats, leading to more transparency  

Staff changes (natural turnover, along with the “REF transfer market” being in operation) 2012: funds released for a new staff recruitment campaign And so the cycle of change, adjustment and stabilisation goes on, albeit at a more focused and therefore faster pace. Lessons learned:



Embedding the core College Team within the College buildings has created a sense of partnership and mutual support. This has been traded off by the loss of some integration with the issues facing central services.



Where central professional staff members were embedded in College teams, this has proved to be highly successful. Care needs to be taken to ensure that broader knowledge is maintained, but the benefits include better staff morale, integration of service, mutual understanding and respect. The part-time nominated person approach has been less successful and these are areas where tensions, criticisms, and mutual suspicion tend to be highest.



The pattern of change is cyclical, rather like a series of waves, so be prepared for the downs as well as the ups!



Just when things are going well, that’s when it starts to go astray (brought on by complacency, taking the eye off the ball, etc.)



Survive and then thrive!

 30

Even experienced change managers go through the classic reactions!



Communication is a vital tool - between senior managers, across

Problem identification, options appraisals and planning:

the whole community (academic and professional support staff),

Prior to the decision to merge faculties there had been senior level

large group and small group meetings, one-to-one meetings, formal/informal, oral, written etc., all are necessary. Clarity and consistency of message is also important.

discussions concerning the perceived problems leading to option papers being produced. A paper proposing the merger was then provided for the University’s Executive and Academic Board for approval. This paper provided the rationale and delivery date of the

Case Study 3: Structural change, a merger of two faculties in a post-1992 university to create a business school

merger i.e. new academic year. The faculty registrar was not involved in this part of the process and was only involved in the merger after the decision was made to develop the business school.

Scenario: Two rival faculties were to merge for strategic, economic and

The start of the process of the merger for the faculty registrar was a

academic reasons to create a new business school for the university.

meeting with the dean and deputy vice chancellor where further

The merger would provide a focus for business education, research and enterprise for the county, and address falling student recruitment on flagship programmes. One faculty was predominantly

information was provided on the aims and objectives with an indication of the savings required. Following a brief discussion about the process the faculty registrar was left to develop a proposal to

undergraduate-focused while the other was postgraduate-focused. One was based in the town centre while the other was three miles

identify any problems/issues, options and planning. He was charged with providing a paper for the dean and the deputy vice chancellor

outside town in the countryside. One had increasing revenue streams

on the process for the merger of the two administrative units. This

while the other had falling revenue streams. The relatively new dean of the increasing revenue stream faculty and his faculty registrar were charged with facilitating the merger while the other dean and faculty registrar were reassigned. The University’s Executive Group and

included the development of a new customer focused ethos for the services of the two former faculties. This was in line with the culture of a post-1992 institution i.e. the student is all important.

Academic Board approved the merger after receiving a strategy document that had been drafted by the two deans of the faculties

Within five days of this meeting, the faculty registrar had drafted a paper concerning the key objectives of the new administrative support services for the new business school. This was after he had

concerned. An announcement was then provided from the Vice Chancellor’s office with a proposed date for completion of the merger.

met with the senior staff of the new faculty. The paper included an overview of the process to be followed. The process was agreed with

This included confirmation that the dean and faculty registrar were to

the faculty’s human resources partner and the Chair of the

lead and manage the process. The dean and faculty registrar attended staff meetings at both campuses to announce how they were planning

University’s support staff trades union (Unison). This paper was sent to the deputy vice chancellor, dean and the faculty’s human

to conduct the merger.

resources partner and approved prior to it being submitted to the new project group (this had been formed to develop the new 32

business school and led by the dean and senior staff within the

faculties). The emphasis for the new administrative organisation and

a post were understandably negative about the rationale behind the

structure was on customer care with service delivery being based upon

decision and were more challenging to manage. Some were verging

service need and location i.e. services provided close to the ‘customer’. This paper had a draft structure attached which emphasised that the number of posts was still a matter of development and the process for

on ‘inappropriate behaviour’ and acted ‘unprofessional’ (comments made by other staff). At other times these staff would have been subject to disciplinary action however this was deemed inappropriate

consultation was outlined. This process included one-to-one meetings

under the circumstances.

with all staff affected by the restructuring, as well as a series of open meetings with staff and service users.

Many questions could not be answered at the time of enquiry, due to

During the process the faculty registrar responded to questions in an open and forthright manner and job descriptions were developed for

how far along the process was e.g. ‘will I have a job when the merger is complete?’ or ‘will I have to be interviewed for my job?’ The complexity here was that at that time it was not clear how many

the new structure. The new structure, with numbers of posts and

posts would be created, revised or ring-fenced following a review of

agreed job descriptions, was then provided with more information on

service needs.

the process to be followed. Following this, another open meeting for

For example, if the job description of four current staff members

staff and further one-to-one meetings confirmed the process for staff submitting an ‘expression of interest’ for a particular post. Following this was a selection process, including interviews as required and

matched a new role, but where only two positions were available, it would be necessary to conduct interviews if more than two staff membered expressed an interest in the new position.

meetings advising staff of available options should no suitable post be available for them. The process was demanding emotionally and was labour intensive but proved effective.

The chair of the Trades Union complimented the faculty registrar on his leadership and management of the merger; in turn the faculty

Outcome:

and staff within the faculty. Some staff members subsequently were

The new faculty came into being as planned at the start of the new academic year with the merger process being conducted and managed by the dean and faculty registrar.

appreciative of the manner in which the process had been developed and managed, despite many others having found it stressful and some feeling angry and frustrated, leaving the employee of the

registrar was appreciative for the support of the chair of the Trades Union, senior faculty staff, professional support departmental staff

University believing to have been treated unfairly.

There were a number of redundancies of academic and administrative staff that were part of the merger which proved to be a difficult

Lessons learned 

process. This was because complex issues were raised by staff members that were difficult to answer openly despite a consultative approach having been adopted. Staff members who were not placed in 34

A clear process of how to develop a new structure is required. Ideally this should be open and consultative. There should be a rationale that includes the need to make savings (if required - this should be developed in consultation with professionals e.g. Human 35

Resources and Trades Union representatives). 

rather than service need. There was also an increasing problem with

A manager can be frustrated by the process and the lack of honesty i.e. where an area has been making a loss but this information cannot be divulged for political reasons



understanding among administrative staff as to ‘who was responsible

possible to answer some questions at certain times due to the

for what service’ and ‘their authority to get things done’ and this compounded issues associated with what we now call the ‘student experience’ and complaint resolution.

A communication strategy or process is essential, however this is demanding and can be impossible to get right to the satisfaction of all parties



A problem that was not highlighted by senior staff, until after the restructuring, was the requirement for a new student record database that could also be used as a customer care system to aid delivering administrative and student support. This meant that there was still a real problem in the structural solution identified, as the

Leaders of change need to be resilient and have strength of heart and mind, even in the face of difficult and challenging circumstances. Gossip and rumour are persistent and pernicious and every attempt needs to be made to nip them in the bud



offices to resolve their problems and a lack of ownership being taken over issues; this was highlighted in the rising number of student complaints. Associated with this poor customer service was a lack of

Openness and honesty are important, although it is not always current point in the process, much to the frustration of the enquirer.



students being asked to go to other

You can please most people at one time or another, but not necessarily at the time they want to be pleased; it is however next to impossible to please everyone all of the time! Case Study 4: Structural Change - Reorganisation of central and faculty based registry teams into centralised distinct units in a post-1992 University

implementation of the new structure could not materially address the level of student complaints. Alongside these compelling reasons for change, (and the fundamental problem of a lack of a customer care supported solution), was the issue that resources were under pressure within the institution due to poor student recruitment for core programmes. Associated with this was the need to cut costs through reorganisation of faculties. This cost cutting was added to the administrative review as an additional rationale. The senior management appointed a senior administrator to review

Scenario: The University administrative structure had evolved over time to

the administrative services and to identify and implement a new

include a central administrative core and faculty based administrative units. Services were being provided on the basis of whether the centre unit or faculty had sufficient resources and a supportive leader/dean 36

structure which would provide a ‘one-stop shop’ for student services, thereby improving the ‘student experience’. This reorganisation was also designed to save money (although this was not communicated clearly to the project leaders when the project commenced!). 37

Problem identification, options appraisals and planning:

In the meantime, and during implementation, there were ‘added

The senior administrator started the review with a consultation paper

problems’:

that identified the issues (see above i.e. the lack of a clear structure and a ‘one-stop shop ethos’) and this was presented for comments.



There was clarification that proposed structures identified from the review (conducted in a consultative manner by the four leaders) would not be funded and appropriately resourced following clarification of the previously unclear rationale to cut

A revised paper was drafted following meetings with multiple staff and service users that identified a new structure with four distinct units of staff. The intention was to provide centralised registry functions and

costs being added to the brief (a change of scope!). This meant there was a sizeable reduction in posts identified in the proposals and a subsequent reduction in service levels

administrative services, with an emphasis on customer care, that would be student focused and in line with the culture of the post-1992 institution (although there was no recommendation for software



One of the four prospective heads found new employment and it

development to support the new service structure).

was agreed that there would be now three units created rather than recruit to the vacant post (this would save costs). This

Four leaders of these units were appointed via a selection process and they were asked to provide their proposals for organisational

required a radical rethink. 

structures (including job descriptions) and service delivery standards with the identification of issues and proposals for their resolution. In

The senior manager was asked to stand down as the head of the project and the three heads of units were asked to report to two different senior managers (1:1 and 2:1).

effect, the four leaders were asked to provide business cases for their new departments with statements of their services and an organisation structure with key posts and job descriptions for the roles identified. A new consultative document was then published following extensive discussion between the four administrative heads that

The development of one unit had not progressed to the satisfaction of a key stakeholder which led to an additional rethink; one of the proposed unit heads was asked to propose a new structure with a further review (inclusive of a powerful stakeholder who would

included open and one-to-one meetings with all staff affected by the reorganisation (as well as students and other University staff). Issues were addressed in these meetings with the assistance of Human

influence the restructure and needed to approve the solution) The implementation went as well as could be expected when the ‘added problems’ were included and solutions found and approved. There was a lot of new work conducted and some difficult meetings.

Resources and advice was taken as to, for example, proposed changes to terms and conditions of employment and the process to be used to move to the new structure. The document was presented and

The main issue here was a lack of ownership with no one senior

discussed by executive and collegial decision making bodies and the process continued to gather pace with an identified implementation

manager responsible for administrative services, and the promise of better resources based upon a resource increase that was not then

date.

possible. The cost cutting rationale proved difficult and the lack of a customer care supported solution proved that the ultimate solution 38

and restructuring was doomed to be no better than the previous

of such changes.

structure.



Outcome: The new structure never lived up to the billing it was given and the promised improvement of the ‘student experience’ was therefore not achieved. Staff had new roles and responsibilities and there were some

impact upon service provision and effectiveness regardless of the structure proposed 

service improvements but not sufficient enough to stem the flow of complaints. In addition, staff in the faculties had been promised more support and this was not forthcoming which led to frustration. Within the next year a new administrative review commenced after the new vice chancellor had identified there were still many problems which

restructuring 

senior manager. The customer care supported solution was then partly solved by the provision of a new student record system as part of a separate project and student complaints were reduced.

Conclusions

of all issues it is envisaged will be addressed, ideally with the business need being approved and the process to be followed.

After careful reflection and some analysis of our experiences gained at three different institutions (one pre-1992 and two post-1992 HEIs), we conclude that a successful higher education structural engineer requires:

The University in this case did not manage the transformation programme effectively and this had a major impact on the effectiveness of the structural change.



It is easy to review in hindsight but difficult to plan for every eventuality in advance or during the project (e.g. the lack of an awareness that a customer care system would be required as part of the new structure).

Lessons learned  Prior to the start of any restructuring there needs to be clarification



A leader of a change project may not be totally in control of the project and may have manage issues in a highly political manner that can be quite challenging i.e. when issues arise, no matter how honest the change manager may be, they may not be able to influence senior managers and this can impact on the success of a

was overseen by a consultant. A new structure was then subsequently implemented under a new head of administration who was also a



Evaluating structural change projects is problematic as there may be issues concerning change of scope or lack of clarity that may

There needs to be absolute honesty regarding the main reasons for



A portfolio of competencies including hard work, perseverance,

any structural change and if this includes costs savings that may

good communication and a plan (ideally with the assistance of

include job cuts it is better to make this clear from the start

professional advice e.g. human resources). 

Any restructuring needs to have a review of risks and this should include any perceived issues such as changes in scope or circumstances and the review and implementation processes to be followed should be made clear to key staff following the recognition 40

An appreciation of the history of the development of the sector (and more importantly the institution that they are trying to achieve a restructuring in).



A good understanding of the governance and management

In the final analysis we both believe that you need to be a committed life-long learner, as you can never stop learning and improving on your methods. You should be open to employing new tools, guidance and advice as they come along, e.g. using social media to effect change.

References

Guide for Members of Higher Education Governing Bodies in the UK; HEFCE: http://www.hefce.ac.uk/pubs/hefce/2009/09_14/ structures of the institution in which they work (i.e. the decision making process). ď&#x201A;ˇ

ď&#x201A;ˇ

Koch J (2003), TQM, why is its impact in higher education so small,

An understanding of the culture of the higher education sector and the institution in which they work. An awareness of the drivers for change, the change process and awareness of good practice from change methodologies

The TQM Magazine, Vol 15 No 5 p 325-333 Kogan M and Hanney S (1999), Reforming Higher Education (Higher Education Policy), Jessica Kingsley Publishers

(particularly those that have been used successfully to achieve structural change in the higher education sector).