1 AN EXPLORATION OF THE APPLICATION OF LEAN CONTINUOUS IMPROVEMENT IN HIGHER EDUCATION A thesis presented by Kim-Marie M. Jenkins to the Graduate School of Education In partial fulfillment of the requirements for the degree of Doctor of Education in the field of Education College of Professional Studies Northeastern University Boston, Massachusetts July 13, 2018 2 Copyright Page 3 Abstract The purpose of this single instrumental case study was to understand the conditions and environments that prove successful in the application of Lean Continuous Improvement to an entire university. The perspectives of twelve staff and faculty from a public university in Maine were explored. The findings produced four themes. The Leadership theme revealed three things: the importance of campus leadership demonstrating a strategic vision and commitment to campus, the need to communicate clearly, and the need to exhibit clear value for students and employees through training and support opportunities. The Campus Involvement theme showed the campus members’ engagement on campus and with the broader community; there was an emphasis on employee engagement and working toward shared goals. The Perseverance theme illustrated the resolve of faculty and staff; despite policy and process barriers and reduced staffing levels, respondents revealed stories about hope and belief things were getting better. The fourth and final theme, Trust, indicated trust was required to build relationships, communicate with honesty, and act empowered in their work. The findings of this study suggest that administrators who want to implement LCI across an entire university could benefit from a) understanding the culture, b) applying LCI where there is a culture of committed and visionary leadership, communication, value for students and employees, perseverance, and trust, and c) if necessary, seeking to change the culture before applying LCI. Keywords: continuous improvement; cultural readiness factors; higher education; leadership; Lean; organizational change; organizational culture. Copyright 2018, Kim-Marie M. Jenkins 4 Contents Abstract ........................................................................................................................................... 3 Acknowledgement Page ................................................................................................................. 6 Dedication Page .............................................................................................................................. 7 Chapter One: Introduction to the Study .......................................................................................... 8 Context and Background .................................................................................................... 9 Rationale and Significance ............................................................................................... 12 Research Problem and Research Question ....................................................................... 18 Definitions of Key Terminology ....................................................................................... 18 Theoretical Framework ..................................................................................................... 20 Schein’s Model of Organizational Culture ........................................................... 22 Critics of the Theory ............................................................................................. 24 Rationale for using Schein’s Theory .................................................................... 26 Application of Schein’s Theory ............................................................................ 26 Conclusion ........................................................................................................................ 26 Chapter Two: Literature Review .................................................................................................. 27 Challenges in Higher Education in the United States ....................................................... 29 Challenges since 2008 .......................................................................................... 30 Impact on Services ................................................................................................ 32 Conclusion ............................................................................................................ 33 Characteristics Associated with the Application of LCI .................................................. 34 Lean Production .................................................................................................... 34 Continuous Improvement in Higher Education .................................................... 37 Conclusion ............................................................................................................ 41 Cultural Readiness ............................................................................................................ 41 Organizational Culture and Change ...................................................................... 42 Cultural Readiness Factors ................................................................................... 45 Conclusion ............................................................................................................ 47 Summary ........................................................................................................................... 48 5 Chapter Three: Research Design .................................................................................................. 49 Qualitative Research Approach ........................................................................................ 50 Participants ............................................................................................................ 56 Procedures ............................................................................................................. 58 Data Analysis ........................................................................................................ 63 Ethical Considerations .......................................................................................... 65 Trustworthiness ..................................................................................................... 66 Limitations ............................................................................................................ 69 Chapter Four: Findings and Analysis ........................................................................................... 70 Leadership ......................................................................................................................... 72 Campus Involvement ........................................................................................................ 88 Perseverance ................................................................................................................... 100 Trust ................................................................................................................................ 109 Conclusion ...................................................................................................................... 117 Chapter Five: Discussion and Implications for Practice ............................................................. 121 Leadership ....................................................................................................................... 124 Campus Involvement ...................................................................................................... 128 Perseverance ................................................................................................................... 130 Trust ................................................................................................................................ 133 Conclusion ...................................................................................................................... 135 Recommendations for Practice ....................................................................................... 137 Recommendations for Future Research .......................................................................... 140 References ................................................................................................................................... 142 Appendix A: UMPI Strategic Plan ............................................................................................. 165 Appendix B: UMPI Organizational Chart (2016) ....................................................................... 174 Appendix C: UMPI Organizational Chart (2017) ....................................................................... 175 6 Acknowledgement Page I would like to acknowledge important people who made my pursuit of this dream possible. My husband Paul Jenkins, who has believed in me since the day we met. He has been the chief parent to our two gorgeous girls and two pets, and the primary caretaker of everything in our world. His love, humor, and steadfastness keeps me grounded. My sister Candace Atkinson, M.Ed., who cheered me on through three degrees, and will be there for me regardless of what adventures are yet to come. My advisor Thomas Wylie, Ed.D., who let me know from our first meeting that he would be my advocate in this process; he was that and much more. I hope every doctoral student who follows me has the same kind of prompt