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Copyright and Use of This Thesis This Thesis Must Be Used in Accordance with the Provisions of the Copyright Act 1968 COPYRIGHT AND USE OF THIS THESIS This thesis must be used in accordance with the provisions of the Copyright Act 1968. Reproduction of material protected by copyright may be an infringement of copyright and copyright owners may be entitled to take legal action against persons who infringe their copyright. Section 51 (2) of the Copyright Act permits an authorized officer of a university library or archives to provide a copy (by communication or otherwise) of an unpublished thesis kept in the library or archives, to a person who satisfies the authorized officer that he or she requires the reproduction for the purposes of research or study. The Copyright Act grants the creator of a work a number of moral rights, specifically the right of attribution, the right against false attribution and the right of integrity. You may infringe the author’s moral rights if you: - fail to acknowledge the author of this thesis if you quote sections from the work - attribute this thesis to another author - subject this thesis to derogatory treatment which may prejudice the author’s reputation For further information contact the University’s Copyright Service. sydney.edu.au/copyright LEADING STRATEGIC PLANNING IN AUSTRALIAN UNIVERSITIES Therese Carmel Noble Howes A thesis submitted in fulfilment of the requirements for the degree of Doctor of Education Faculty of Education and Social Work University of Sydney August 2014 ABSTRACT Sharrock proposes that the introduction of strategic management in Australian universities can be categorised into two opposed positions: a sympathetic structural view and an unsympathetic ideological view (2012). The findings of this study suggests that Sharrock’s proposition can also be applied to the introduction of strategic planning in Australian universities. However, while the study data clearly reveals two opposed positions, there is also a common critical thread in the reflections that suggests a more complex ideological response to the introduction of strategic planning in Australian universities. This study collected data from in-depth interviews with nine purposively selected participants, including three current and former Vice-Chancellors, a Deputy Vice-Chancellor, a Dean and four members of the professoriate. The data was condensed and is presented as first-person case studies in the thesis (Seidman, 2006). The findings demonstrate that executive members of staff are likely to assume a sympathetic structural view of strategic planning, while academics not actively engaged in strategic planning at an executive level, may assume a more unsympathetic ideological view. The strategic planning approaches described in the participants’ case studies are discussed and referenced against Mintzberg’s Ten Schools of Strategy Development (1999). The leadership styles are compared and contrasted against the four leadership styles offered by the Situational Leadership Model II (SLII) developed by Blanchard, Zigarmi and Zigarmi (1985). The participants explain how and why strategic planning was introduced to Australian universities, what forms of leadership were most effective in driving this change and the organisational impact this had on their employer universities. Reflecting on how their approach to leading strategic planning may have changed throughout their careers, the participants offer recommendations to the next generation of leaders who will be tasked to lead strategic planning in Australian universities. The findings present the elements that should be reflected in an ‘effective’ Strategic Plan and a conceptual framework of leading strategic planning in Australian universities. i | Abstract ACKNOWLEDGEMENTS I would like to offer my thanks to the staff in the Faculty of Education and Social Work, The University of Sydney, for guiding and supporting me through the Doctor of Education program. I am especially grateful to my supervisors, Associate Professor Debra Hayes and Professor Andrew Gonczi, for their encouragement and support, particularly in the early years when I wanted to change my research questions and study focus almost every week. Deb’s patient guidance kept me within the research parameters when my natural tendency was to diverge into other areas; her gentle encouragement helped to keep me on task. Andrew’s extensive knowledge of the Australian university sector and interest in the topic kept me motivated for the six long years it took to complete this research project. Their comprehensive understanding of the research process, and different yet complementary methodological and disciplinary expertise, provided the breadth and depth of supervision I needed to complete this study. I would also like to thank Dr Lesley Scanlon, Convenor of the Doctor of Education program, for supporting me and my small cohort of part-time, mature-aged students, from our first EdD coursework unit of study to the submission of our theses. Lesley remains an inspiration for us all and always provides the right words of encouragement and motivation when we need to hear them. To Bronwen, Lisa and Kristen, thank you for sharing this journey with me and for being such intelligent and supportive learned friends. Thanks also to the staff in the Faculty of Education and Social Work Doctoral Office, particularly Venice Jureidini-Briozzo and Suin Jung, for making sure I completed the right forms at the right time so that my enrolment, progression, assessment and examination process was seamless – so far! To my children, Alice, James, Emily, Molly and Tom, who arrived in a rush during the early years of my marriage, your energy and enthusiasm for life played an important part in my pursuit of life-long learning. I wanted to lead by example so as to encourage you all to do the same. In many ways we have pursued our educational journeys together. My years of study as a mature-aged undergraduate student were often interrupted by childhood antics resulting in frequent trips to hospital emergency departments, not mentioning any names, music and ballet concerts, Tae Kwon-Do tournaments, Saturday school sport in five different locations, road trips in the 7-seater Volvo packed with excitement, school holidays with Nana and Pa at Cootamundra or the beach house in the Byron Shire, perhaps a few too many parties, as well as an HSC every two years for a decade. My years of postgraduate study coincided with your ii | Acknowledgements own university assignment crises, computer malfunctions and shared graduation occasions. This doctorate, by the joy of weddings and the blessings of grandchildren. It has been an absolute privilege watching you grow into intelligent, competent professionals, taking your rightful place in the world as parents of the next generation. I am also very grateful that you brought Klaus, Erik, Danielle, David and Mel into our family and for presenting us with seven gorgeous grandchildren (so far): Eva, Sebastian, Ruby, Isla, Dylan, Mckinley and Laura. These little people are the light of my life and my hope for the future. To my lovely mother Colleen, and late father Barry Noble, who sadly died before this thesis was finished, congratulations on the third doctorate in the Noble family. Thank you for instilling in me a love of learning together with the discipline and determination required to achieve a task of this magnitude. To Elva and Vernon Howes, who passed away long ago, my sisters, siblings-in-law on both sides of the family, nieces, nephews, great-nieces and great- nephews, thank you all for the joy you bring to our family life. We have also experienced tragedy and live everyday with the tragic loss of our talented and much loved nephew Malachy (2000-2013), darling niece Monique (1980-1993) and godson Edward (1987-2005). To all my friends, especially Nicky, who travelled all the way to Newport, Wales, to watch me deliver the preliminary findings of this study at the Society for Research into Higher Education Annual Conference in December 2013, and Jane, who shared my undergraduate student journey, many thanks for a lifetime of friendship, companionship and learning. Finally, to my husband Bill. It would not have been possible for me to complete this thesis without your loving support - this thesis is dedicated to you. I will be eternally grateful for your constant encouragement, endless cups of tea, more than occasional glass of wine and for the wisdom and support you so generously provided that gave me the strength to juggle the demands of a very busy family, full-time work and part-time study over the last twenty three years. Your optimistic belief that I would one day complete this doctorate helped me to overcome all the obstacles life seemed to constantly throw my way. I can’t thank you enough for understanding how important this was to me and for supporting me every step of the way. Because of you I was able to complete the final leg of this long, personal educational journey. A thousand thanks. iii | Acknowledgements CONTENTS Chapter 1: Preface 1-14 1.1 The Dawkins Reforms 2 1.2 A brief overview of the study 6 1.3 The researcher 10 1.4 The research questions 11 1.5 The research methodology 11 1.6 The professional doctorate 12 1.7 Structure of the thesis 14 Chapter 2: The study context 15-45 2.1 Developments in the Australian university sector 15 2.2 The ‘managerialisation’ of the Australian university sector 28 2.3 Australian university Strategic Plans – an overview 30 2.4 The role of the Vice-Chancellor 36 2.5 The study 39 2.6 The researcher as a reflexive practitioner 41 Chapter 3: Literature review 46-78
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