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Diagnosing Institutional Readiness to Engage in Successful Strategic Planning

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Diagnosing Institutional Readiness to Engage in Successful Strategic Planning University of Massachusetts Amherst ScholarWorks@UMass Amherst Doctoral Dissertations 1896 - February 2014 1-1-1997 Starting right : diagnosing institutional readiness to engage in successful strategic planning. Bryan C. Harvey University of Massachusetts Amherst Follow this and additional works at: https://scholarworks.umass.edu/dissertations_1 Recommended Citation Harvey, Bryan C., "Starting right : diagnosing institutional readiness to engage in successful strategic planning." (1997). Doctoral Dissertations 1896 - February 2014. 5542. https://scholarworks.umass.edu/dissertations_1/5542 This Open Access Dissertation is brought to you for free and open access by ScholarWorks@UMass Amherst. It has been accepted for inclusion in Doctoral Dissertations 1896 - February 2014 by an authorized administrator of ScholarWorks@UMass Amherst. For more information, please contact [email protected]. STARTING RIGHT: DIAGNOSING INSTITUTIONAL READINESS TO ENGAGE IN SUCCESSFUL STRATEGIC PLANNING A Dissertation Presented by BRYAN C. HARVEY Submitted to the Graduate School of the University of Massachusetts Amherst in partial fulfillment of the requirements for the degree of DOCTOR OF EDUCATION May 1997 Education © Copyright by Bryan Curtis Harvey 1997 All Rights Reserved STARTING RIGHT: DIAGNOSING INSTITUTIONAL READINESS TO ENGAGE IN SUCCESSFUL STRATEGIC PLANNING A Dissertation Presented by BRYAN C. HARVEY Approved as to W. Eve, Chair ey W. Jackson, Dee tool of Education To Charles and Leslie Harvey, who contributed to my curiosity in equal parts; to Art Eve, who one more time turned the impossible into the inevitable; and especially to Dr. Griesemer, who performed the miracle of pulling me through without ever seeming to push. ACKNOWLEDGEMENTS My work as a doctoral student has been supported by four extraordinary colleagues, teachers, mentors and friends. Art Eve, Dick Clark, Glen Gordon and Pat Crosson gave me the greatest gift any student can receive: the confidence to try my own way. Long before this document was written I had already learned a lifetime's worth of lessons from each of them, and I am very pleased to have this formal opportunity to acknowledge their influence on my work and my life. I am grateful to the University of Massachusetts at Amherst, which provided me with an education (twice), a career, and a case study, as well as the time and opportunity to undertake this project. I also acknowledge with gratitude my colleagues in the Provost's Office, the Office of Academic Planning and Assessment, and the Office of Institutional Research, who urged me on, listened to my musings, and shared my relief. I am particularly grateful to Martha Stassen, who cheerfully assumed the role of informed sounding board at a critical moment. Finally, I am grateful for the steadfast support and assistance of my fellow alumna, Sheryl Jablonski. v ABSTRACT STARTING RIGHT: DIAGNOSING INSTITUTIONAL READINESS TO ENGAGE IN SUCCESSFUL STRATEGIC PLANNING MAY 1997 BRYAN C. HARVEY, B.A., UNIVERSITY OF MASSACHUSETTS AMHERST M.P.A., HARVARD UNIVERSITY Ed.D., UNIVERSITY OF MASSACHUSETTS AMHERST Directed by: Professor Arthur W. Eve In the decades following World War II American higher education enjoyed a period of unprecedented growth and development. By the 1970s, however, it was clear that the growth curve was flattening. The prospect of fiscal stringency sparked interest in formal planning, and campuses experimented with Program Planning Budgeting Systems (PPBS) and other "rational" planning approaches. As the 1980s unfolded, however, the sense that fiscal problems would persist deepened, and the emphasis shifted to effectiveness. "Strategic" approaches to planning — emphasizing adaptive change in response to environmental analysis — came into wide use. The comprehensiveness and complexity of strategic approaches introduced new challenges for which institutions were poorly prepared, and many had disappointing experiences. The literature offered only fragmented and often inconsistent advice for institutions contemplating strategic planning. The author reviewed the literature with an eye toward identifying "conditions" that support successful planning. Five such conditions were identified: (1) consensus for change; (2) focus on institutional needs; (3) good "fit" between planning and the campus culture; (4) effective faculty participation; and (5) effective leadership. It is argued that an institution which satisfies these vi conditions increases its chances of success; conversely, an institution which falls short in these areas diminishes its chances. This hypothesis was explored in a case study of planning efforts at the University of Massachusetts at Amherst between 1971 and 1992. The campus engaged in seventeen planning efforts, nine of which were judged to be "strategic." Of the nine, only two could be considered "successful," both quite modest in scope. An examination of the campus's status with respect to the five "conditions" suggested that they were useful in understanding the planning outcomes. The five conditions were then recast as a "diagnostic" tool, a set of questions to be answered before embarking on strategic planning. This tool should help the institution understand its "readiness" to undertake strategic planning; identify areas in which ameliorative action is needed; form a more realistic set of planning expectations. A number of directions for future research are suggested to both test the predictive power of the five conditions and to enhance the usefulness of the diagnostic tool. Vll TABLE OF CONTENTS Page ACKNOWLEDGEMENTS . v ABSTRACT . vi LIST OF TABLES . xi LIST OF FIGURES. xii Chapter 1. THE QUEST FOR EFFECTIVE PLANNING . 1 The Evolution of Planning. \ The Origins of Strategic Planning. 6 Learning from Experience. 13 Conditions for Successful Planning... 20 Design of the Study. 22 2. CONDITIONS THAT SUPPORT EFFECTIVE PLANNING . 25 Building Consensus for Change. 25 Resistance to Change. 26 Factors that Contribute to a Consensus for Change. 31 Focusing on Institutional Needs... 40 The Power of Parochial Thinking. 42 Factors that Contribute to "Institutional" Thinking. 47 Ensuring Good "Fit" with Campus Culture. 51 Understanding Academic Culture . 55 Where Planning Comes into Conflict with Culture.”*”” ’ * * *’ ’ ** 64 Promoting Effective Faculty Participation. 70 Obstacles to Participation . 72 Why Participation is Indispensable. 75 What is "Real" Participation? . 93 Is Meaningful Participation Possible?. 97 Securing Effective Leadership. - ^05 The Challenge of Leadership... 206 Commitment from the Top. .210 Building a Planning "Culture". 216 The Leader as Catalyst . 220 The Organization as Leader... .223 Vlll Understanding the Organization.127 The Leadership Trap.146 3. A CASE STUDY OF THE UNIVERSITY OF MASSACHUSETTS AMHERST, 1971-92 ..r.152 Research Design.152 Choice of the Case Study Method ....154 Design of the Case Study.156 Descriptions of Planning Processes .158 Graduate Program Review ("Appley Report") October, 1971 - September, 1973 ...160 Five Year Academic Personnel Plan, 1974-79 ("Tenure Plan") October, 1972 - October 1974 ...161 Academic Program Review Task Force ("Bischoff Committee") March, 1974 - November, 1976.162 Commission on Missions and Goals at the University of Massachusetts at Amherst ("COMGUMA") September, 1974 - April, 1976 .164 Long Range Plan — First Stage ("Puryear Plan") January, 1977 - January, 1978 . 167 Planning for the 1980s ("Chancellor's Working Group") May, 1980 - December, 1982 .169 Long Range Plan for Academic Affairs ("Baritz Plan") May - October, 1982 .171 Long Range Plan ("Regents' Plan") — First Phase c. September, 1982 - c. October, 1986 .174 Strategic Planning ("Shirley/NCHEMS Model") c. September, 1983 - November, 1984 .177 Campus Planning Council ("O'Brien Model") November, 1984 - May, 1991 ..179 The Reallocation of Faculty Retirement Positions ("Reallocation 1985") c. July, 1985 - December, 1985 .182 Long Range Plan ("Regents' Plan") — Second Phase c. October, 1986 - November, 1989 .184 The Commission on the Future of the University ("Saxon Commission") March, 1988 - March, 1989 .186 The Reallocation of Faculty Retirement Positions ("Reallocation 1989") c. July, 1988 - May, 1989 . 189 The Reallocation of Faculty Retirement Positions ("Reallocation 1990") May, 1990 - November, 1990 . ..... 192 The Allocation of Budget Savings to Schools and Colleges ("Reallocation 1991") May, 1991 - May, 1992 .195 Planning to Plan ("Five-Campus Planning") February, 1992 - June, 1992.19 7 Analyses of Planning Processes. 199 Graduate Program Review ("Appley Report") .205 Academic Program Review Task Force ("Bischoff Committee").206 Long Range Plan — First Stage ("Puryear Plan").”'*206 IX Planning for the 1980s ("Chancellor's Working Group").207 Strategic Planning ("Shirley/NCHEMS Model") .208 The Reallocation of Faculty Retirement Positions ("Reallocation 1985").208 The Reallocation of Faculty Retirement Positions ("Reallocation 1989").209 The Reallocation of Faculty Retirement Positions ("Reallocation 1990").209 The Allocation of Budget Savings to Schools and Colleges ("Reallocation 1991") .210 Findings .210 Specific Findings...211 Summary Findings...218 4. ASSESSING READINESS TO PLAN.222 The Use of the Five Conditions as a Diagnostic Tool .222 Building Consensus for Change.225 Focusing on Institutional Needs.229 Ensuring Good "Fit" with Campus Culture.232 Promoting Effective Faculty Participation.235 Securing Effective Leadership.239 Putting the Answers in Perspective .245 5. SUMMARY
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