A case study of organizational change in a small, private ...

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A CASE STUDY OF ORGANIZATIONAL CHANGE IN A SMALL, PRIVATE JUNIOR COLLEGE

A doctoral thesis presented by

Melinda A. Cook

to The 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 March 2015

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Abstract The purpose of this case study is to investigate how a small junior college fully transformed into a baccalaureate institution. The Burke-Litwin (1992) model of organizational change provided a theoretical framework for this study's design and analysis, as did an understanding of transformational leadership. This study's primary research question is: What has been the role of leadership in creating the organizational change required to transform Fisher College from a private two-year junior college to a four-year private baccalaureate institution? Sub-questions include: (1) How was the institution led through this transformational process?; and (2) How do stakeholders describe Fisher College's transformation and the role of leadership throughout the process? Multiple stakeholders were interviewed across departmental levels and roles, representing the various perspectives of the faculty, staff, the Board of Trustees, and the President. Senior level executives, middle managers, full time faculty and program directors contributed to a full understanding of the College's transformation. Analysis of the interview data led to the emergence of ten primary themes, and three major ideas. The President's role in driving organizational change was the single-most attributed factor to the success of the transformation; Alignment with the Board of Trustees was instrumental in facilitating change, as was Fisher's small, collaborative environment, which contributed greatly to its ability to undergo a rapid transformation; and organizational change needed to occur in parallel throughout the Burke-Litwin (1992) dimensions. Keywords: transformational leadership, junior college, baccalaureate transformation.

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Acknowledgments It was a pleasure to study such amazing growth, evolution and transformation of this college over the past several years. As the college significantly evolved, so have I, and I owe this gift to many individuals in my life who have demonstrated support, encouragement and kindness. I thank my parents, for instilling an appreciation for education and for showing me firsthand that it can be done while balancing work and a family. I thank my brother Tom, for setting the bar exceptionally high and always encouraging achievement beyond expectations. I thank my husband and children for supporting me in these endeavors, which have taken significant time away from the family. I also wish to thank my mentor and friend, Dr. Thomas McGovern, who has been equally encouraging and demanding; without his support, motivation, counsel, and humor, none of this would have been possible to achieve. I am so very grateful to the participants in my study, who were candid and took time away from their busy schedules to share their stories and perspective. Without that honesty, I would still be digging for answers. I am appreciative of my co-workers for their cheerleading and support, and their continual vote of confidence. I am grateful to my best friends in the world who never gave up on me, despite my continual rejection of evenings out as my social life took a backseat to the pursuit of research and inquiry. You waited for me, and understood the importance ? THANK YOU. And where would I be without the Winter 2012 Cohort (aka The Family)? You all are key contributors to my success, and I value your humor and friendship. Dr. Corliss Brown Thompson, thank you for your advice, guidance and responsiveness. You have been a wonderful advisor, keeping me on track and pushing when necessary. Thank you also to my other committee members, Dr. Kelly Conn and Dr. Robert Maron, for your time and contributions to this study.

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Table of Contents

Chapter One: The Research Problem..........................................................................................7 The Topic..............................................................................................7 Organizational Change in Private Junior Colleges...............................................8 Research Problem...................................................................................10 Justification for the Research Problem...........................................................11 Deficiencies in the Evidence.......................................................................12 Relating the Discussion to Audiences............................................................14 Significance of the Research Problem ...........................................................14 Positionality Statement..............................................................................18 Research Questions.................................................................................21 Theoretical Framework.............................................................................22

Chapter Two: Literature Review...............................................................................................28 The Literature.......................................................................................29 Organization..........................................................................................29 Transformational and Transactional Leadership: Philosophy and Impact..................30 Characteristics of Effective Leaders....................................................31 Leadership at Small Private Colleges...................................................32 The Impact of Unionization and Shared Governance.................................34 Board Relations in the Small College Environment...................................36 Recommendations for Practice...........................................................38 Organizational Change.............................................................................39

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The Role of the Transformational Leader in Small College Turnarounds..........42 Role of the President in Small Colleges at Risk for Closure.........................43 Transformation Strategies of Small Colleges..........................................44 Case Studies on Junior College Transformations......................................45 Summation...........................................................................................52 Chapter Three: Research Design...............................................................................................55 Research Design and Tradition....................................................................57 Research Site.........................................................................................59 Participants............................................................................................60 Access.................................................................................................63 Recruitment...........................................................................................64 Data Collection......................................................................................64 Data Storage and Management.....................................................................67 Data Analysis Overview............................................................................68 Trustworthiness, Quality and Verification.......................................................70 Threats to Internal Validity/Limitations of the Study..........................................70 Chapter Four: Findings and Analysis........................................................................................73 Drivers of Change...................................................................................74 External Environment..............................................................................77 Changes over the Past Seven Years...............................................................80 Leadership............................................................................................84 Strengths of the Transformation..................................................................86 Weaknesses of the Transformation...............................................................88 Mission................................................................................................91

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Organizational Culture..............................................................................92 Presidential Leadership Style......................................................................97 Board of Trustee Involvement...................................................................101 Summation..........................................................................................103 Chapter Five: Conclusions and Recommendations.................................................105 Themes and Major Take-Aways.................................................................105 Implications for Practice and Research.........................................................117

Transformational Leadership............................................................117 Alignment with the Board of Trustees..................................................119 The Burke-Litwin (1992) Model.......................................................121 Limitations..........................................................................................122 References...................................................................................................124 Appendix A: Interview Protocol One......................................................................................132 Appendix B: Interview Protocol Two......................................................................................136 Appendix C: Data Collection Protocol.....................................................................................140 Appendix D: Informed Consent Form.....................................................................................142 Appendix E: Approval from Northeastern University...........................................................144 Appendix F: Approval from Fisher College............................................................................145

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Chapter One: Statement of the Problem The Topic

For several decades, the viability of the private junior college has been questionable, with a demonstrated decline in the number of private institutions offering a two-year associate's degree (Woodroof, 1990). The decline may be attributed to closings, mergers, and transformations as schools recognize the inability to maintain an enrollment model of less than 500 students, and demand for the private junior college degree continues to wane. Schools are further impacted by a lack of loyalty and alumni giving, and enrollment declines due to student transfers (Woodroof, 1990). Declining enrollments, small endowments and a decreasing demand for the credential all result in a nonviable business model, prompting the need for change (Kirby, 2011). There are fewer than 70 private junior colleges remaining, and their role continues to be scrutinized, particularly with community colleges offering affordable alternatives and more options than ever before (June, 2003). Even two-year community colleges have recognized the need for applied baccalaureate degrees, with eighteen states as of 2010 offering baccalaureate degrees through various models (Russell, 2010).

Junior colleges are considered small colleges, and are similarly at risk for changes in sustainability, as they are heavily tuition-dependent and rely on minimum enrollment thresholds for their annual operating budget (Fisher, 1983; Woodroof, 1990). Small private colleges are very susceptible to shifts in enrollment trends, and Cowan (1993) determined that successful turnaround was more contingent upon internal factors than upon external. Interestingly, many of the colleges reviewed in Cowan's (1993) study would have been positioned well for a positive outcome if the president had used data-driven decision making and put appropriate processes in

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place to understand statistics and trends. With junior colleges so significantly at risk for a change in sustainability, there is a need for these organizations to continuously evolve. Organizational Change in Private Junior Colleges

According to Weick and Quinn (1999), organizational change can be viewed in one of two ways ? "episodic, discontinuous, and intermittent," or, "continuous, evolving, and incremental" (p. 362). Episodic change comes from organizations that are moving away from an equilibrium position, due to internal (e.g. loss of a leader) or external events (e.g. new technology or disruptive competition on the scene) (Weick & Quinn, 1999). Continuous change is a pattern of evolving adaptation and modification over time; it is cumulative and ongoing.

For the purposes of this study, an understanding of change is important, as institutional responsiveness during episodic change is very different from a pattern of response during continuous change. The role of leadership is to generate awareness and understanding, perform strategic decision-making and be a mobilizing force (Pettigrew, 1987). Organizational change requires transformational leadership to assist the institution in conceptualizing the change process, and overcoming cultural resistance to fundamental change (Burke & Litwin, 1992; Tichy & Ulrich, 1984; Woodroof, 1990).

A strong president is one of the most significant elements at a small college undergoing transformation (Cowan, 1993; Woodroof, 1990). Cowan (1993) conducted an extensive analysis of five small colleges that had successfully achieved viability after hovering on the brink, and determined that leadership from a transformative president who could initiate comprehensive change successfully was critical in addition to acknowledgment of the decline, and implementation of a turnaround process that involved collaboration. (Cowan, 1993). The president or leader of a college is a key figure in all of these aspects of transformation. This is

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