Abstract
In this article we discuss the experiences of academics who occupy middle-level leadership roles in higher education. We use the term middle management to describe personnel occupying positions below the level of dean and often referred to as associate deans or heads of school. Practitioners rarely turn their attention to their own organizations, and in this study we focus on Australian universities, including our own, and international university experiences. Our study was designed to gather qualitative data via semi-structured interviews, after which our data were crafted into narrative accounts. In answering our research questions, we found that these middle managers perceive their role as overwhelming, with a sense of huge responsibility and little power. They describe their role as reactive, they feel isolated and they enjoy making a difference in others’ lives. Participants acknowledge the importance of developing support structures by building relationships with colleagues.
Introduction
As colleagues employed in the tertiary sector, we regularly compared our own roles, responsibilities and actions in our leadership positions while also speculating on the experiences of others in similar roles. We adopted a qualitative approach to answer our questions: ‘How do associate deans perceive their leadership role in higher education?’ and ‘What support structures are the most useful to associate deans in higher education?’. Studies in the United States, the United Kingdom and Australia typically describe middle managers in higher education as personnel occupying positions below the level of dean, such as directors, associate deans, heads of school and faculty or institutional research registrars (Bryman, 2008; Inman, 2011; Preston and Price, 2012; Ramsden et al., 2007; Rosser, 2004). Multiple pathways to becoming academic leaders occur in higher education, with four recognized and researched stages summarized by Inman (2011) as formation, accession, incumbency and reclamation (or retirement). Accordingly, the majority of middle managers in higher education appear to follow the first two stages − not because they are achievement-driven as much as seeking opportunities to continue learning and being challenged (Inman, 2011).
Among the numerous challenges described by tertiary middle managers is dealing with poor performers and difficult people (Bryman and Lilley, 2009; Scott et al., 2008), a challenge also described by Ramsden (1998) as akin to herding cats. Others describe a sense of being sandwiched between competing expectations of central administration and departmental staff (Blackmore and Sachs, 2000; Bryman and Lilley, 2009; Rosser, 2004) or that an ‘us and them’ situation develops so that associate deans increasingly lose touch with their colleagues (Preston and Price, 2012). In a recent study from the UK, Floyd (2012) explains the growing perception that the pressures associated with being an academic middle manager outweigh the perceived rewards of the position. Interestingly, an Australian report sums up the Associate Dean (Teaching and Learning) role in an Australian Government funded research report title as ‘Caught between a rock and several hard places’ (Southwell et al., 2008). Another considers the challenges faced by higher education managers through the lens of ‘wicked problems’ (Krause, 2012).
Academics who step up to middle management frequently described their pleasure in the role as a result of their ability to make a difference for others. For example, in an Australian study undertaken by Scott et al. (2008) middle managers describe their role as satisfying because of achieving improvements across teaching and learning, helping staff achieve their goals and managing resources and strategy formation. In summary, they enjoy having an influence on learning and teaching policy and strategy. Others express their satisfaction in making a difference and their enjoyment of learning, and acknowledge the serendipity of events shaping their future (Inman, 2011). According to research among temporary leaders, many academics accepted the role owing to a desire to contribute to the strategic successes of the department or felt a sense of obligation and that it was their turn to lead (Preston and Price, 2012).
Two large Australian studies (Scott et al., 2008; Southwell et al., 2008) focus on institutional approaches to developing leaders in higher education. The work of Scott et al. (2008) acknowledges the rapid changes occurring in higher education and that learning and teaching is complex and under-researched much as Preston and Price (2012) describe the situation in the United Kingdom, and Fried and Zirakzadeh (2009) describe the New England setting. Key findings of the Scott et al. (2008) report confirm that flexible, responsive, role-specific, practice-oriented and just-in-time, just-for-me approaches are vital to assist the development of academic leaders (Scott et al., 2008). The research led by Southwell et al. (2008) resulted in a framework for developing institutional leadership in teaching and learning. This higher education framework offers suggestions for self-directed induction, links to relevant associations and advice from experienced leaders.
Methodology and data collection
We approached this research project as a pilot study and elected to gather qualitative data via semi-structured interviews. To complete our research, approved through the university ethics committee, we interviewed six colleagues whom we knew to be in positions suitable for the study. Our semi-structured interviews were conducted either face to face or via telephone with both researchers present. Semi-structured interviews enabled us to guide the interview while also allowing scope for further probing of participant comments as necessary. This also enabled us to pursue unanticipated lines of conversation and inquiry as the interview unfolded. Some examples of the questions asked of participants include: ‘Please tell us what you understand the role of the associate dean (leading learning and teaching in the tertiary sector) to be?’, ‘How do you lead others at your university?’ and ‘Please tell us of any tips you have to assist colleagues about to stepping into leadership of teaching and learning in higher education’. All interviews lasted for approximately 45 to 60 minutes and represent a snapshot of each individual’s perspective. Participants described their employment settings in several Australian states, the United Kingdom and New Zealand.
With participants’ permission our interviews were audio-taped for confirmation of the accuracy of our separate and comprehensive interview notes which we used to craft narrative accounts. Narrative accounts were chosen to represent our data because they offer a powerful qualitative research strategy as they permit life-like accounts focused on ‘the lived experience’ (Clandinin and Connelly, 2000). Such accounts also honour participants’ stories and descriptions of their experience (Hostetler, 2005; Pepper and Roberts, 2012; Pepper and Wildy, 2009). All narratives are written in the first person voice to tell a story and were forwarded to each participant for approval of its use in the study.
To analyse the data and document an audit trail we initially underlined and classified key phrases in the responses into different themes. We looked for repetitions of words, topics and ideas and after our initial classification we reviewed, discussed and then made changes to our classification in keeping with the strategy described by Ryan and Bernard (2003). This meant we reconsidered the themes identified several times before using our professional judgement to decide on the final five. At this stage we presented our early findings to an international conference audience where we obtained valuable feedback. Following the conference we re-examined our data, and spoke again with our participants to better identify both positive and negative elements of their responses, in addition to examining why they persisted and what satisfactions they achieved in the role.
Results and data analysis
Qualitative data are initially presented in this section of the article. Data analysis follows the narrative accounts, and the two research questions are answered in the final section.
Narrative accounts
From our collection of crafted narrative accounts three are included as exemplars. In the first narrative, ‘The meat in the sandwich’, Win describes her surprise appointment to the associate dean position at an interstate university.
The meat in the sandwich
When submitting my application for the associate dean’s position at a small regional campus of a large university, I had no idea what this would mean. Firstly, I was surprised to be interviewed and subsequently offered the job, as my main skills are in managing staff and teaching and learning rather than in research. Later I discovered that was an asset rather than a liability. During the first days settling into my new office, I was inundated with visits from academic staff wanting to put their case for lighter workloads, more support for research, and people expecting my advocacy. In these first few days, there were also meetings with my immediate superior (the dean) and the faculty management, as well as with the university hierarchy. At these meetings, it was made perfectly clear to me that my role was to keep the staffing budget within prescribed limits, and to demand better performance in teaching and research output from the academic staff. I was also charged with developing strategies to increase our enrolments. The job has proven to be one of juggling competing priorities: reacting instantly to staff and student issues (such as misconduct, appeals, bereavements) which need a quick response; completing endless paperwork and signing forms; performance management of staff; and implementing university policies which are decided upon with little or no input from those who have to put them into practice. It has been much busier than I would like, with little time for reflection or proactivity. I feel a great sense of responsibility and accountability resting on my shoulders but with little or no power attached to the position. The overriding feeling is that I am the ‘meat in the sandwich’. Although I have little influence on policy-making at the highest level, I am almost always the person who conveys the message to the staff of what has to be done. I am then the one that bears the brunt of the complaints and negative feedback when the requests appear to be (or are) unreasonable, unworkable or repetitive. For example, in my first semester, I was asked to collect and collate three different types of course reviews. Of course, the program coordinators had to complete the reviews for me before I could assemble the required data. Quite rightly, they questioned the need for the duplication. I had already discussed the same issues with my line managers, but was clearly instructed to follow through with their requests. Similarly, the workload calculations to which I was bound, although nominally reviewed by a working party of academic staff, were still constrained by the need to keep within a tightly controlled budget which was set well before any consultation was held. Fortunately this also offered me the opportunity to build relationships with and mentor staff, so they gained confidence in me and accepted higher responsibility. The guidelines used for decision-making at the board of examiners meetings are determined by the faculties at the main campuses, and we had no choice but to abide by them even when I felt some situations should be regarded as special cases. University-wide projects, such as major curriculum reform, do not take into account our situation as a small interdisciplinary faculty. My strong requests for face-to-face PD for our staff (which was supplied on the other campuses) mostly falls on deaf ears.
Michelle, the source of the second narrative, ‘Leadership responsibilities’, has experience across Australian states and internationally.
Leadership responsibilities
In my view, the main roles of an associate dean, teaching and learning, are ensuring the quality assurance paperwork is complete and improving the learning and teaching. I enjoy leading by example, to take the teaching team with me as we explore new approaches to learning and teaching. This includes embracing new technologies, and adapting to the specific student context in that setting. The biggest challenges in leading learning and teaching, for me, are inertia from staff who constantly complain of unreasonable workloads (although comparison with other places does not justify their opinions), a reluctance to embrace change (for example, technology) and a lack of understanding of the bigger picture, that is, the vision of the organization. With my own values centred on issues of social justice, I think it is important to contest the deficit thinking of the dominant culture so that accommodations can allow minority cultural groups to achieve success too. This means being prepared to ‘stick my neck out’ and take on challenging situations (or classes or projects) then take staff outside their comfort zone. For example, I led a project where degrees are offered in situ in remote Aboriginal communities. This required a high level of trust between the leader and the teachers so that they felt supported. I knew I did not have all the answers and the team could see they were not expected to either. It was important to keep the momentum and belief in the project so that the students could be successful. One university I worked at in New Zealand had a vision to be the provider of choice for Maori students. Alternative pathways into the university were common, and we provided extra support for these students. We set up a centre in a different location for easier access, but this required extraordinary commitment by academic staff to make sure student needs were met, including looking after their children. Most staff committed to the vision, in spite of the added workload and time involved. A highlight of my career was seeing staff glow with pride when these students achieved success. Despite great odds students were successful because we provided the support they needed. As I move up the leadership ranks, my influence and responsibility increases. Sometimes, I have solved problems by: innovative budgeting which led to just-in-time IT support; leading by example; fostering good relationships with staff; and developing a critical mass of staff who will take up the momentum of good teaching so that it does not solely rest with the head of school. It is clear to me that an adversarial approach to staff performance is not productive, and it is important to build positive relationships with as many people as possible before attempting to make wholesale changes. I also believe it crucial for those higher up the chain of command to see that it is a collective responsibility, and that funding will be necessary to achieve and sustain improvement in learning and teaching. We need to be respectful of the demands which academics face, such as the pastoral care of students, increasingly heavy teaching loads, the publish or perish dilemma, pressure to complete your PhD and to achieve that highly competitive research grant. We also need to bring others along rather than force them along a path they are resistant to. I like to keep my eyes firmly on the students – their success is our job satisfaction.
In the final narrative, ‘Stepping into the associate dean role’, Carmel describes her pleasure in unexpectedly assuming the acting associate dean position at her university.
Stepping into the associate dean role
Shocked and delighted were my immediate reactions when I was invited to step into the associate dean position in an acting capacity for five months. Although unsuccessful, I was interviewed for the position in the regional faculty, and when our newly appointed associate dean was unable to take up the position for several months the position needed to be filled temporarily. Despite my many self-doubts I welcomed, and felt grateful for, this unexpected professional development opportunity. I wanted to confirm executive confidence in my ability to perform satisfactorily in the role while aware that a ‘safety net’ existed because of the temporary nature of the position. From the outset, the faculty executive stressed that I was part of the team and, though ‘acting’ in the role for the next few months, I was to regard myself as the associate dean with the responsibility and authority associated with the position. I welcomed this approach and appreciated the support the team offered. Nevertheless, there were many moments when I felt overwhelmed by the unexpected tasks I was required to complete and the amount of information I needed to process and become familiar with. Early in the role I learnt that I was to complete several ‘management for performance’ interviews with faculty academics. My only knowledge of this process was my own two previous interviews with the Dean. I was astonished when several staff required pressure to attend this individual meeting, to discuss their work and future goals, and then dismayed when some staff attended their interview with paperwork either incomplete or missing. I quickly learnt that many were uncomfortable with the process and they sought my assistance to both answer questions and articulate their future goals. While I was willing to assist I viewed this as unprofessional of the staff involved, yet felt I must keep this opinion to myself. It appeared that while some academics speak of the need for independent responsibility, student-centred and independent learning for their own students, they did not associate this model for themselves. In the associate dean role, I was exposed to university-level policy development and an overwhelming avalanche of paperwork on topics such as curriculum reform, marketing strategies, community engagement strategies, human resource management and risk management strategies such as I had never previously seen. This meant I was relaying new information to faculty staff as quickly as I read about it, so I experienced a sense of constantly needing to catch up and scrambling to understand future directions. Similarly, I needed to rapidly become familiar with material reaching both the university and faculty teaching and learning committees and research committees. Throughout this ‘stepping up’ experience I enjoyed strong support from the faculty executive and thrived with such support. With hindsight I realized that perhaps I ventured into the role somewhat naively, confident of my theoretical leadership knowledge, and only in the position did I properly understand my lack of preparedness and my developing people management skills. As my temporary role neared completion I felt a sense of relief combined with a sense of regret. I welcomed handing over responsibility to the appointed associate dean aware of her experience and skill in confidently leading academics. Simultaneously, I experienced some regret that my steep learning experience was finishing and that the opportunities to implement the many new skills and knowledge I gained were now reduced.
Consistent across the three narratives is a focus on the overwhelming nature of the associate dean role and the strong sense of huge responsibility with little power. Three participants describe themselves as reacting to events and regularly ‘putting out fires’ while only one describes introducing initiatives. Each participant works to make a difference on their campus.
Data analysis
All participants were female and aged in their mid to late 50s. Two assumed acting associate dean positions and the others were tenured appointments. The longest-serving participant prior to her retirement remained in her position six years. On the one hand, significant commonality was revealed across the narratives where participants described their pathway to the position and their early experiences in the role. As many participants were located on a regional campus they also mentioned their connection to, and relationships with, staff on other campuses of their university in matters concerning the provision of professional development, collegial support or receiving directives from superiors. All participants mentioned their responsibility for workload allocation and the angst workloads caused among staff.
On the other hand, several differences in focus occurred across the narratives. For example, two participants describe their experiences including an international perspective, and two participants assumed the role on a temporary basis. Several participants sought promotion to the position, while one simply grew into the role by remaining on campus long enough. One participant describes the highlight of her career as seeing staff glow with pride at their students’ achievements, another describes her focus as surviving in the role and a third indicates her ambivalence in stepping away from the temporary role. In several cases participants combined their associate dean responsibilities with teaching and research activity.
How do associate deans perceive their leadership role in higher education?
To answer our first research question we identified five themes occurring across the study: the overwhelming nature of the role; huge responsibility and little power; constantly reacting to events; feeling isolated; and leading others. Elements linked to these themes include: paperwork, performance management, under-performing staff and staff inertia within the overwhelming nature of the role; curriculum reform and restructuring within huge responsibility and little power; putting out fires, dealing with complaints and workload issues within reacting to events, us−them perspectives and few opportunities to share within feeling isolated; and building relationships, leading by example and leading from behind within leading others. Rather than these elements crushing the incumbents, there were many success stories which seemed to sustain the middle managers in their role.
All participants describe a sense of being overwhelmed by their workload despite their level of experience in the role. Comments like ‘an avalanche of paperwork’, ‘juggling competing priorities’ and ‘for most of my time in the associate dean role I was challenged by university restructuring, shifting university priorities and rapid changes of senior staff’ are typical of the comments participants made and which we classified into the first theme. Generally, participants also describe the need to familiarize themselves quickly with new information before passing it onto other academics.
Being ‘the meat in the sandwich’ succinctly describes the participants’ sense of huge responsibility and little power, with comments that while she has little influence on policy-making at the university level she is the person who is required to implement any changes and also to field complaints about those changes. Others describe being caught in a situation of ‘us and them’ when speaking of the regional campus staff and the university leadership based in the cities. Phrases we identified as belonging in this theme include, ‘it was made clear to me that my role was to…demand better performance in teaching and research output’, ‘as I move up the ranks, I see that I have greater influence and therefore greater responsibility to lead’ and ‘in arguing successfully against this redundancy decision I gained more autonomy in the role than I expected’.
The third theme we identified from the data is reacting to events. Phrases we noted typical of this theme include, ‘reacting instantly to staff and student issues (such as misconduct, appeals, bereavements)’, ‘when her supervisor threatened to withdraw his supervision and force the student to leave I stepped in to support him and guided him successfully towards different approaches to help the student complete’ and ‘for the nine months I spent in the role I felt I was a manager dealing with complaints’. In the main, participants describe their sense of an inundation of problems on a daily basis requiring time, energy and tact to resolve. Several commented explicitly that there was little time for reflection or proactivity during their working day.
Feeling isolated emerged as our fourth theme, and phrases classified into this theme include: ‘in the main, it was an isolating experience for me and one where it was inappropriate to share my concerns and confidences with colleagues to lighten my load’, ‘this means being prepared to stick one’s neck out and take on challenging situations’ and ‘for much of the time in this leadership role survival was my primary goal’. Two participants describe situations where other staff did not take them seriously owing to the temporary nature of their role − one involving annual performance review and the other implementing a new marketing strategy. In the second example the participant did not apply for the position when it was next advertised.
The final theme we identified is leading others. All participants viewed their role as a leadership position at their university, and this represented the most positive aspect of the associate dean position. Participants described their pleasure in building relationships with academics in their own faculty and across their university, and their pleasure in mentoring and nurturing others. Phrases classified into this theme include: ‘staff saw I regarded their career plans seriously’, ‘I knew the importance of building relationships and that people enjoy being listened to and others taking an interest in them’ and ‘during this early period I also listened and maintained confidentiality about information provided by individuals while trying to assist them to resolve their issues’.
What support structures are the most useful to associate deans in higher education?
To answer the second research question we further interrogated the data and identified four themes across the study. These were participating in networks, engaging with professional development, accessing faculty support and keeping abreast of the big picture.
Participants described the value of participating in networks in many of the narratives. They indicated that meeting with others in similar roles enabled them to better understand the many facets of their role, to share ideas and to discuss alternative solutions to issues they faced. Phrases such as ‘I found the associate deans from the other faculties fantastic sounding boards who listened to my questions and shared their tips’ and ‘developing a critical mass of staff who will take up the momentum of good teaching so that it does not solely rest with the head of school’ were typical of those we placed into this category.
The second theme, engaging with professional development, included phrases such as ‘wherever possible I attended professional development opportunities to better understand the requirements of my role’ and ‘I attended several head of school retreats, all associate dean meetings and relevant offerings through human resources’. Participants valued opportunities to access professional development for their own improvement in addition to their faculty staff.
The third theme we identified, accepting faculty support, arose as a result of phrases such as, ‘it was a relief when he assumed responsibility for research, financial planning and staffing decisions’ and ‘several administration staff were invaluable in helping me learn the specifics of the role’. Participants recognized the importance of working with the assistance of others and building relationships to facilitate change in their faculties.
The final theme we identified is keeping abreast of the big picture, and phrases included in this theme are ‘communication between programs was weak though my understanding of what they were all trying to do was becoming clear’, ‘as a middle manager I saw the bigger picture’, and ‘as associate dean I understood I was required to implement university and faculty policy’. Participants also comment on the lack of understanding and access to elements of the bigger picture among other academics.
Discussion
Within this study, across three continents, two participants are recognizably located in the accession stage and three describe their incumbency stage according to Inman’s summary of the stages of the journey to academic leadership (Inman, 2011). Two participants occupy an associate dean position as the others have moved away, which supports the notion of the role as a phase rather than a future as described by Preston and Price (2012). In keeping with the literature, the majority of participants nod towards the serendipity of their appointment (Inman, 2011), and acknowledge a lack of preparedness for the role (Scott et al., 2008). Both aspects contribute immensely to the five themes identified among our participant interviews as most participants were elevated to the associate dean role without prior preparation and often because of being in the right place at the right time. In contrast, one participant in this study had a clear vision of how she wants to make a difference and has a strategic approach to achieve her goals.
The five themes identified across the data, overwhelming nature of the role, huge responsibility and little power, reacting to events, feeling isolated and leading others represent variations of the researched challenges and highlights described in the literature. For example, Bryman and Lilley (2009) and Scott et al. (2008) discuss the challenges of poor performers and difficult people, which we included in overwhelming nature of the role in our analysis. These researchers suggest that some leaders are unwilling to confront bad behaviour and perhaps it is this reluctance that prevents other academics from taking on leadership positions. Similarly, Blackmore and Sachs (2000), Bryman and Lilley (2009) and Rosser (2004) describe the angst felt by middle managers caused by the competing expectations of administration and departmental staff which we categorized as huge sense of responsibility and little power. A distinctive theme in interviews conducted by Bryman and Lilley (2009) is that middle managers are stuck in the middle, while Blackmore and Sachs (2000) suggest that middle managers as a source of leadership are institutionally powerless. Preston and Price (2012) describe mid-level leaders as becoming embroiled in operational issues rather than being involved in influencing strategy and developing policy. This description is similar to comments made by several of our participants but contrasts with the findings of Scott et al. (2008) where participants in a larger study cited their satisfaction in forming strategy and managing resources.
Our themes, reacting to events and feeling isolated, are also captured in the research of Preston and Price (2012) in their descriptions of ‘us and them situations’ and of losing touch with colleagues. For example, these researchers reported in 2012 that colleagues of associate deans expect them to get everything right and be terribly wise, in addition to having privileged access to information. In contrast, Floyd (2012) described middle managers in his study as possibly passionate about being seen as representative academics and protective of staff who they wished to support and help develop. Preston and Price (2012) also describe losing touch with colleagues as a serious issue among respondents in their study, generally because associate deans are required to insist that former peers do as they ask them. Our findings are consistent with contemporary research undertaken by Inman (2011), Preston and Price (2012) and Scott et al. (2008) as participants relished the opportunity to be challenged and continue learning while also welcoming the opportunity to assist others and make a difference. During the accession phase of the journey to leadership in higher education, Inman (2011) states that without exception participants in her study spoke of their desire to make a difference and their sense of impatience to contribute to driving their faculty forward. We recognized this as leading others.
No surprises emerged within our data providing information about useful support structures, and they were consistent with the research we encountered among the work of Bryman (2008), Bryman and Lilley (2009), Preston and Price (2012), Scott et al. (2008) and Southwell et al. (2008). All participants recognized the importance of maintaining communication with colleagues and described achieving this by participating in networks, engaging with professional development, accepting faculty support and keeping abreast of the big picture. Inman (2011) makes the recommendation that potential leaders should take on aspects of leadership early in their career, and Scott et al. (2008) strongly suggest that support should be responsive, problem-based and with a just-in-time, just-for-me component. Both recommendations have implications for future leadership preparation in higher education. In our pilot study the majority of participants do not describe any leadership preparation prior to undertaking the associate dean role, and several describe taking the initiative to access networking opportunities for themselves.
Conclusion
All participants in this study openly discussed their pathway to, and their perceptions of, the associate dean role. Interestingly, their reasons for taking on the role included the stimulating challenge of a tertiary institution leadership position, the opportunity to learn new skills, and their pleasure in mentoring and developing others and of being in a position to make a positive difference to someone else’s life. Participant responses to our first research question, ‘How do associate deans perceive their leadership role in higher education?’, were categorized into the five themes: overwhelming nature of the role; huge responsibility and little power; reacting to events; feeling isolated; and leading others. Four themes were identified among the responses to our second research question, ‘What support structures are the most useful to associate deans in higher education?’ These were: participating in networks, engaging with professional development, accessing faculty support and keeping abreast of the big picture. Several participants perceive their leadership role as a phase, and the majority identify a lack of preparedness for the position. This has implications for future leadership preparation. As this small study was undertaken by approaching academics known to the researchers for interview we are now encouraged to scale up the study for wider representation among local and international academics leading in middle management in higher education.