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Middlehurst R, Kennie T and Woodfield S (2010), Leading and Managing the


University – Presidents and their Senior Management Team. In: Penelope
Peterson, Eva Baker, Barry McGaw, (Editors), International Encyclopedia of
Education. volume 4, pp. 238-244. Oxford: Elsevier.
Author's personal copy

Leading and Managing the University – Presidents and their


Senior Management Team
R Middlehurst, Leadership Foundation for Higher Education, London, UK
T Kennie, Ranmore Consulting, Ranmore, UK
S Woodfield, University of Surrey, Guildford, UK
ã 2010 Elsevier Ltd. All rights reserved.

Introduction: Framing the Focus of role of rector of a continental European university, presi-
Enquiry dent of a university in the USA, and vice chancellors in
UK. The interplay between processes of leadership and
Organization, Roles and Context
management within institutions and the wider national
In some countries and some centuries the idea of leading and political context within which universities operate
and managing a university when linked to the responsi- also features in many studies from different parts of the
bilities of a president and his or her senior management world. These studies provide an opportunity to examine
team might be regarded as something of an oxymoron. the changing practices, as well as the structures and bal-
There are several reasons for this. The first concerns ances of power between the state and the institution.
conceptions of the university as an organization. Tradi- There is diversity, as well, between universities of
tional conceptions of the university as a community of different types, historical origin, and legal and financial
scholars, collegial institution, or organized anarchy sug- status within countries. Such factors also impinge on
gest different expectations of leadership and the role of expectations and analyses of the task of leading and man-
leaders from those associated with concepts of the univer- aging universities. To quote Madeline Green, a US
sity as a business or entrepreneurial venture. The second scholar of institutional leadership, ‘‘With more than
reason is associated with the nature of a president’s role. three thousand institutions. . .Diversity is the hallmark of
Election to this position as first among equals suggests a the American system. Just as there is no recipe for institu-
different view of how the leadership role is conceived and tional effectiveness, there is no single model of leadership.
executed from a situation in which the role is filled And definitions of effectiveness and of leadership require-
through internal or external selection and appointment ments inevitably change over time.’’
to the top rank in a hierarchy. A third reason is linked to
the term, management, and the role of the senior man-
agement team in leading and managing the university. Use
Leading and Managing the University
of this terminology locates our topic broadly in the latter
half of the twentieth and early twenty-first century and The literature associated with leading and managing the
positions it in relation to the political, economic, and university can be separated, in part, from the literature
social contexts of that era. This period, then, defines the associated with the role of president and the nature and
parameters of our enquiry. responsibilities of a senior management team. The unit of
enquiry in the first of these domains is the institution and,
in the second, the focus is on individual actors. However,
there are also studies that bridge the gap by examining
Diversity of Perspectives
actual or potential links between an institution and its
The variables identified above, namely, the university as performance and the profiles of leaders.
an organization, the locus and source of authority for Within the domain of leading and managing the
university leadership, and the context and time in which university, terminology again comes into play. In some
leadership occurs are important in framing how leader- studies, leadership is a dominant concept embracing man-
ship is conceived, organized, and delivered. These vari- agement; in other cases, managing is the primary focus,
ables are all reflected in the analytical framework adopted but embracing leadership. In continental European stud-
by Bargh and colleagues in their empirical and theoretical ies, the broader term, governance, is widely used to
study of University Leadership in the UK and in the include the role of rectors and boards within university
5-year study of Institutional Leadership Project (ILP) decision-making processes. Some studies also specifically
conducted by Birnbaum and colleagues in the US. Another disaggregate concepts of leadership and governance or
important variable is the national focus of studies – as leadership and management as well as the associated
Bargh and colleagues recognize and explore – there roles and responsibilities of each domain. In other cases,
remain organizational and cultural differences in the the discussion is of shared responsibilities for leadership

238
International Encyclopedia of Education (2010), vol. 4, pp. 238-244
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Leading and Managing the University – Presidents and their Senior Management Team 239

between governors or trustees and presidents. Such differ- Warwick, tracking the process of strategy formulation
ent approaches facilitate an examination of the dynamics through the interplay of various structures within the
of relationships between actors and the critical interde- institution. In a later article, Jarzabkowski extends the
pendencies of leadership, governance, management and analysis to three UK institutions: Warwick, the London
administration, and indeed, politics, in the running of an School of Economics (LSE), and Oxford Brookes Univer-
institution. sity, exploring some of the micro-practices of strategy.
An important topic in the corporate literature is the Further work in the UK by Taylor explores the relation-
link between leadership and organizational performance. ship between the overall organizational structure and
A recent literature review in the UK has examined institutional leadership through a case-study analysis of
research on leadership and institutional effectiveness in four UK institutions (all research-led premier league
higher education and has found a dearth of rigorous institutions) that had undergone major institutional level
empirical work. The most important studies identified restructuring in recent years. Most recently, another UK-
are included below. based empirical study is investigating the challenges and
changes associated with the composition of top manage-
University Presidents ment team structures in higher education institutions.
This research identifies changes in roles and responsibil-
The nature of the presidential role and the factors that
ities and examples of good practice, or good processes,
impinge both on expectations surrounding the role and
within institutions in the public and private sectors of
the way the role is exercised clearly offer a rich vein for
higher education.
research. UK and Australian studies, for example, focus on
the individuals occupying or seeking presidential roles
and examine their profiles, career paths, and remunera- Types of Literature
tion. These studies shed light on sustained or divergent
The types of available literature in relation to our topic
trends over time, the social and disciplinary profiles of
are wide ranging, which include field research of vari-
incumbents, the characteristics and capabilities sought for
ous kinds, scholarly reflections and analyses, personal
the role, rewards, and recruitment and selection processes.
accounts, policy reports, and media articles. Both quanti-
A number of hypotheses are posited or tested in these
tative and qualitative approaches are represented in the
studies including the relationship between disciplinary
research studies and research is undertaken in a variety of
and professional backgrounds and social and academic
disciplinary fields as part of the general social science and
status, as well as the power and influence of presidents
management literature and the specific literature relating
within the university or with external constituencies such
to studies in higher education. On the positive side, there
as government, funding bodies, and sponsors. Other stud-
is a rich array of knowledge and insights available. On the
ies in this territory explore barriers to entry, such as
negative side, however, there is an absence of recognized
gender or ethnicity, and examine strategies for develop-
and cumulative approach to knowledge generation and
ment and recruitment that seek to eliminate or reduce
many studies lack rigor either in terms of theoretical
barriers. The development routes and learning opportu-
underpinnings or methodological soundness. There is
nities offered to or taken by individuals provide another
also an imbalance between normative studies and reflec-
field for research linked to entry to the role of president or
tive accounts built on practice and experience, and theo-
member of the senior management team. The lens is also
retical and investigative research, with fewer studies in the
turned on leadership style and approach in studies that
second category.
concentrate on how the role of leader and management
team is exercised in practice.
Focus of the Enquiry
Senior Management Teams
The amount of published work on senior (or top) man- In the next section, we focus more deeply on two main
agement teams in higher education is limited. In the USA, areas: the roles and responsibilities of presidents in lead-
Bensimon and Neumann provide the most comprehensive ing and managing the university and senior management
analysis based on several focused dialogs with 15 presi- teams in order to identify findings, concepts, and issues
dents of US higher education institutions. Gioia and arising before concluding with suggestions concerning
Thomas undertook an extensive study of how senior future avenues for research. A few key texts are sampled.
management teams make sense of important issues that These have been chosen for their empirical base, practical
affect strategic change in modern universities. More insights, and their connections to the wider leadership
recent studies have emerged in the UK: Jarzabkowski literature so as to give an indication of the types of
and Wilson provide insights into how one senior team study available and their value for different purposes
formulated and implemented strategy at the University of and audiences.

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240 Higher Education – Management, Leadership and Governance

Leading Universities: The Role and studies by combining several types of data. The biograph-
Responsibilities of Presidents ical data are longitudinal, examining the changing career
experiences and backgrounds of vice chancellors for the
Two empirical studies of presidential leadership under-
period 1960–97. A total of 341 cases were collected in
taken in the last 40 years stand out because of the breadth
two linked databases. The study also includes compara-
of methods used, the range of data collected, the theoreti-
tive international data from four countries: the UK, US,
cal perspectives presented, and the new knowledge and
Sweden, and the Netherlands. These data comprised a
insights achieved from the research. The first was under-
literature review examining executive leadership in the
taken in the US over a 5-year period from 1988 to 1992
US and Europe and three questionnaire surveys of uni-
(the ILP); the second was undertaken in the UK over a
versity presidents, yielding more than 100 usable re-
2-year period. An earlier and smaller-scale empirical study
sponses. The third element of the research – aimed at
in the UK by Bargh and colleagues has also influenced both
getting a more grounded view of the day-to-day work of
the practice of leadership and leadership development in
vice chancellors – involved institutional case studies.
the UK and Europe. In the US, the work of Green and
These were based on semi-structured interviews in ten
Green as well as of McDade has had similar impact.
institutions (covering vice chancellors and other members
The US ILP is important for several reasons. First, the
of staff and governors) as well as nonparticipant observa-
authors examined theories of leadership from outside
tion of three further vice chancellors at work over a period
higher education and tested them in the context of uni-
of 2–3 weeks in their institutions.
versities. Second, they adopted an approach to study-
A second reason to value this work is that it focuses on
ing leadership that was closely linked to universities as
the rhetoric and the reality of a historical transition in the
organizations. By combining the two perspectives, the
role of institutional leaders – from academic to manage-
researchers were able to offer an integrated conceptual
rial leadership. This transition is still in progress in many
approach to strategy formulation and execution that made
countries as they experience governance reforms that
sense of the complexity of an institution in its particular
reflect continuing change in the relationship between
context and the stage of development. Building on initial
higher education and the state. Bargh and colleagues
work on the cybernetics of academic organization, the
demonstrate that the assumed trajectory from one form
project concluded with Birnbaum’s analysis of success
and style of academic and collegial leadership to manage-
and failure in the college presidency.
rial and corporate leadership is not so clear-cut. This is
This project is one of the few higher education
partly because of the diversity of institutional missions,
research studies that attempt to tackle the difficult ques-
histories, and cultures and partly because the transitional
tion of how leadership effectiveness can be depicted and
state encompasses both forms, as represented in new titles
evaluated. Birnbaum and his colleagues drew on the three
of vice chancellor and chief executive. The evidence
criteria defined by Cameron, namely, goal achievement,
drawn from their comparative research suggests that the
resource acquisition, and smooth internal functioning, to
British and European leaders and, to a lesser extent, their
arrive at a definition of good leadership in academic
US counterparts shared common experiences. Each in
institutions based around constituent support. The studies
different ways were coping with a complex and often
conducted by Birnbaum and his colleagues are collec-
conflicting set of pressures including the ‘‘the contradic-
tively valuable in emphasizing the importance of context
tions of free-market rhetoric, the apparent retreat of the
for the exercise of leadership and in placing presidential
state from planning and the competing demands of cor-
leadership within a wider framework of institutional
porate control versus creativity and entrepreneurship.’’
players, culture, and history that places limits on the
The authors conclude that the role relies on a set of
influence of a single individual. The individual studies
implicit and negotiated powers that align more readily
undertaken within the project are equally important.
with political organizations and processes than overtly
They focus on different stages of the presidential role,
commercial and corporate ones.
sampling new and experienced presidents. The social and
The study examines university leadership in detail,
cognitive processes that shape the symbolic and substan-
tracing the evolution of the role from 1945 in five succes-
tive aspects of leadership and how presidents learned
sive periods, all of which are closely connected to the
their job and assess their effectiveness are further themes.
prevailing sequential political contexts of consolidation,
The researchers also explored leadership and follower-
growth and innovation, as well as crisis and challenge.
ship as well as leadership, culture, and change. Each of
Through the empirical data and analysis, the authors
these avenues of enquiry is represented in the wider
highlight the impact of this context on the changing struc-
literature on leadership, beyond higher education.
tures of universities as well as the internal and external
The UK study by Bargh and colleagues is significant
role of their leaders. External accountability features par-
for different reasons. First, the research achieves greater
ticularly strongly as part of the new demands of the role.
depth and more comprehensive coverage than many other

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Leading and Managing the University – Presidents and their Senior Management Team 241

This includes traditional representational functions as an overview of the contexts and challenges facing South
well as managing and redefining the boundaries of the African institutional leaders, particularly those in histori-
institution with government and an array of new agencies cally disadvantaged institutions (HDIs). Some presidential
set up to assess, guide, or support the internal functions of roles are the same: developing mission, strategic planning,
the institution. External accountability also encompasses mobilizing support, increasing efficiency, and financial
relationships with the governing body. Since the research planning and management. However, the contexts are sig-
was completed, the role of the governing body has become nificantly different in terms of resources, political, social,
more prominent, and the range of business at board level and economic challenges, leading in a strongly unionized
heavier, more complex, and demanding. This is also true environment and dealing simultaneously with a variety
of the range of external partnerships and collaborative of crises.
ventures with which universities engage, from business Further useful contributions from this region have
and the community to international consortia. The exter- focused on the role of South African vice chancellors in
nal role of the vice chancellor or president is increasing in institutional transformation. Bell explores an African per-
most countries, and the balance of time spent on internal spective on transformational or transformative leadership
and external roles remains a preoccupation for institu- through interviews with ten vice chancellors of HDIs. No
tional leaders. However, Bargh and co-workers found commonality of perspective on leadership, or an African
much variation in practice with no agreement among style of leadership, emerged. Instead, Bell’s study high-
their respondents about the appropriate balance at any lights several conflicts that illustrate the tensions experi-
one time. enced in moving from scholarly notions of leadership
The study provides valuable insight into the internal (Scott’s donnish phase of governance) to a managerial
role of vice chancellor. Classic leadership responsibilities phase with strong expectations of democracy built into it.
are examined including developing the mission, strategy Kulati’s study is also about tensions; this time between
building and strategic planning, creating structures in reliance on governance transformation at the structural
support of strategy, and balancing continuity and change level while neglecting the role of institutional leadership
in relation to the values of the organization. The vice in shaping change. He too explores the shifting balance
chancellor’s role in academic leadership is also analyzed. between collegial and managerial forms of leadership,
This is seen as central to strategy and mission and, in a arguing the case for transformative leadership that facil-
modern university, involves managing the interface itates effective institutional management in the context
between governors and senior academic colleagues. The of a professional culture that eschews being. At the end
unique features of the vice chancellor’s role are described of his paper, Kulati raises important questions for fur-
as combining academic and symbolic leadership with ther research, namely, the agency versus structure tension
managerial expertise. Further fine-grained detail is and the personality versus environmental fit challenge.
provided of how the social practice of leadership is exer- In other words, to what extent are individual leaders and
cised. There are clear parallels here to the earlier US their senior teams critical to achieving success in challeng-
study – both sets of researchers, drawing on their data – ing times?
that emphasize the need to think of university leadership
in terms of the language and metaphors of complex polit-
Senior Management Teams
ical systems, ‘‘rather than engineering and simple linear
models of command and control.’’ Both the studies cited above not only consider the role,
The comparative data collected in the Bargh study style, and impact of individual leaders in leading and
highlight further points of convergence. For presidents, managing the university but also the part played by senior
rectors, and vice chancellors there are shared preoccupa- staff in the collective process of leadership. Other studies
tions: with strategy, with finding appropriate mechanisms also contribute to the picture: Gardiner surveyed a small
to link control with entrepreneurship and competitive focused sample of presidents to explore their role in team
advantage, and in dealing with the consequences of dwin- building and the characteristics of an effective presiden-
dling state resources for higher education. However, tial team. Middlehurst takes a wider view of group dimen-
beyond being subject to similar environmental forces, sions of leadership by examining the contribution of
there remains great diversity of leadership style and senior administrators, lay officers, and committees, as
behavior reflecting both situation-specific agendas as well as senior management groups, describing the inter-
well as the individuality of the incumbent. To provide a actions, relationships, and dimensions of symbolic, stylis-
further check on similarities, differences, and possible tic, and substantive institutional leadership as a complex
convergence in presidential roles and responsibilities, drama. Major studies of senior management teams in
we need to look outside Europe, North America, and higher education are, however, more limited than studies
Australasia. Transforming and transition countries are an of presidents. Two are selected: the first arose from the
important source of data. Cloete and co-workers provide ILP in the US and examines teams and teamwork as part

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242 Higher Education – Management, Leadership and Governance

of leadership, whereas the second is a UK-based study 6. evaluating both personal and team effectiveness;
recently completed by Woodfield and Kennie. 7. relationship building and interaction;
Bensimon and Neuman report the difficulties of lan- 8. reviewing succession planning, training, and develop-
guage (e.g. ‘‘a team is not always a team’’) and summarize ment; and
the advantages and disadvantages of teamwork. The au- 9. providing relevant support and resources for top team
thors also offer valuable insights into how presidents do or activities.
do not make use of their teams. They find that effective
The findings from the UK study are already beginning to
team builders construe the work of their teams in terms of
identify not only different modes of team operation but
three functions: utilitarian, expressive, and cognitive. The
also the range of challenges that top teams face in differ-
first is formal and task oriented, assisting the president in
ent types of institutions. The research also provides fur-
achieving a sense of rationality and control over institu-
ther evidence of tension, transition, and the need for
tional functioning. The second is social and integrative,
alignment in the ways that universities are led and man-
reinforcing a sense of connectedness between individuals
aged through a variety of formal and informal structures
involved in joint ventures. The third involves sense-
and groupings.
making with the purpose of enabling the group to behave
as a creative or corrective system able to see problems
from multiple perspectives, to question and challenge.
Bensimon and Neumann differentiate between real Future Research
teams that focus on all three dimensions and illusory
teams that focus only on the utilitarian function. They There are many gaps and avenues for further work in
note that the key difference between the two is how the the general territory covered above. First, the higher
team thinks together and again offer a useful conceptuali- education literature is more limited in range and scope
zation of eight thinking roles for a presidential team. than the corporate literature on chief executive leadership
These include five core roles, namely definer, analyst, and the operations of senior teams. Equally, bespoke
interpreter, critic, and synthesizer, as well as three roles research in higher education would benefit from wider
that support the core, disparity monitor, task monitor, and and deeper comparisons with other sectors, by including
emotional monitor. Understanding and balancing differ- interdisciplinary perspectives and by examining institu-
ent roles is an important contributor to effectiveness tions as organizations. The dynamics of change, transition,
in teams’ thinking, learning, and acting together. The and transformation (as well as continuity) could usefully
authors suggest that while they observed the process of be examined more fully, both in terms of stages of organi-
team learning at the micro-level, it was likely also to be zational and historical development and from the per-
reflected in the wider organization. These insights locate spective of different cultures and traditions.
this study in relation to wider research on the learning At a macro-level, the interplay between university
organization and also to the burgeoning field of shared leadership and the wider political, economic, and social
leadership and distributed leadership. system are worth exploring as institutions and their lea-
Woodfield and Kennie’s study of top team structures is ders are drawn more deeply into the rhetoric and reality
similarly empirically based and practically orientated surrounding the role of universities in developing or
toward helping institutional leaders and their teams ana- transforming societies. However, micro-level treatment
lyze their role and performance. Two conceptual frame- of this agenda is also needed for a deeper understanding
works have been created from evidence drawn across the of the part played not only by the president and his or her
UK sector. The authors relate these frameworks to the team, but also by other leaders, including professional
range of functions that top teams typically undertake and managers, senior academic managers and professors, and
suggest their suitability for different institutional contexts. teachers and researchers. While the career routes of pre-
From their desk research and interviews (to be supple- sidents continue to be charted and examined, the wider
mented by questionnaire data), the researchers highlight career and developmental experiences of members of
key issues related to the formation and operation of top senior teams are not so well researched. In this context,
teams that are likely to impinge on their operational the particular experiences of those leaders who move into
effectiveness. These include: and out of higher education should be explored. At the
individual level – and at the level of structural and cul-
1. clarifying the criteria for membership of the top team; tural processes – there remains a pressing need to
2. understanding the meaning of team work in a top team; research the experiences of would-be or could-be leaders,
3. deciding on the focus of top team activities and func- including women and ethnic minorities; Eveline’s recent
tions; work is a welcome contribution in this territory.
4. outlining agreed working practices; There are also disconnects that require bridging.
5. dealing with conflicts and competing priorities; There is a gap between: (1) theory and practice, (2) policy

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Leading and Managing the University – Presidents and their Senior Management Team 243

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