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Leading and Managing ResearchUniversities: Why we Need Scholars in Charge
Dr Amanda Goodall www.amandagoodall.com
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My central argument is
If expert knowledge is the key factor that characterizes an organization, it is expert knowledge that should be key in the selection of its leader.
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My empirical setting
Research universities
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Background
• In 1209, Cambridge University, one of the world’s first universities, was established. Nearly 800 years later, Cambridge appointed its 344th and first woman Vice Chancellor, Alison Richard.
• Richard is a distinguished anthropologist who spent her academic career at Yale University, where she left the position of Provost to join Cambridge in 2003.
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• A year later, in 2004, another very old English university installed its 270th Vice Chancellor, John Hood.
• Hood became the first head of Oxford University (since the year 1230) to be elected to the Vice Chancellorship from outside the University's current academic body.
• Hood, a New Zealander, is not an academic. He spent most of his career in business.
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Why did Cambridge and Oxford choose such different individuals to
lead their ancient institutions?
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• The same year Alison Richard went east‐bound, the Nobel Prize‐winning biologist Paul Nurse left England to become Rockefeller University's ninth President.
• He is not the only Nobel laureate or highly cited scholar to run a top American university …
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– David Baltimore, Nobel & former President of California Institute of Technology;
– J. Michael Bishop, Nobel & Chancellor of University of California, San Francisco;
– John Hennessy, at Stanford, is a prominent computer scientist;
– Robert Birgeneau, a Canadian who heads Berkeley, is a top physicist;
– At UC San Diego, Chancellor Marye Anne Fox is an eminent chemist;
– UC Irvine, a renowned atmospheric scientist Ralph Cicerone was Chancellor until he left his position in 2005 to head the National Academy of Sciences.
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• California (population 36 Million) has some of the most distinguished scholars in the world leading their universities, and it has had one of the best public university systems.
• The success of UC is often attributed to its founding President, Clark Kerr, who was himself a distinguished economist.
The success of California
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My research question
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Who should lead research universities?
Good managers?
Good scholars?
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GOVERNING BODY
CHOICE OF LEADER ON CONTINUUM
Extreme researcher Extreme manager
Change in Research Performance of University
Long Term Strategy
IMPROVE RESEARCH PERFORMANCE
Appointment of a Scholar on a Continuum between Extreme Researcher and Extreme Manager
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Scholarship is not a proxy
• For management experience or leadership skills.
• Most academic administrators in senior leadership positions are tenured professors ‐ led departments, run research centres and laboratories, acted as deans or provosts.
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Key Findings
1. The best universities are led by top scholars
2. Top scholars seem to improve the later performance of their university
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The Research
• Two cross‐sectional studies100 top universities and 100 business schools
• Longitudinal studyPerformance of 55 universities in the RAE 1992, 1996 and 2001
• Qualitative data26 interviews with university leaders in the US and UK
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Stage 1 of research
Who are top universities currently appointing as their leaders?
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How do we measure a top scholar?
By hand‐counting and normalizing lifetime citations into a P‐Score
P‐Score = President’s lifetime citations normalised for discipline
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How do we identify a top university?
Academic Ranking of World Universities (2004), Institute of Higher Education,
Shanghai Jiao Tong University
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This study
Examines the relationship between the position of a university in a global ranking and the lifetime citations of its leader.
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Conclusion 1
The best universities are led by the most‐cited researchers.
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1-20 21-40 41-60 61-80 81-100
A Cross-Tabulation of Presidents' LifetimeCitation P-scores by World University Rank
(in quintiles)
Pres
iden
ts' L
ifetim
e C
itatio
ns
(Nor
mal
ized
into
P-s
core
s)
University rank (1 is Harvard)
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Is the Finding Statistically Significant?
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Pearson’s Correlation Coefficient
between Lifetime
Citations and Rank
(1) Presidents of top 100
universities(n=100)
(2) Female presidents
(n=15)
(3) US presidents
(n=51)
(4)Presidents from the rest of the world
(n=49)
0.344*** 0.690** 0.375** 0.140
Results of Cross‐Sectional Correlations of Presidents’ Lifetime Research Citations by University Rank from
Four Different Sub‐Samples
***p < 0.001 **p < 0.01
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How do US universities comparewith those in Europe?
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Share of Nobel Prizes Awarded to Individuals in Institutions in Europe
and the USA 1900‐1950
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Share of Nobel Prizes awarded to individuals in institutions in Europe and the USA 1900-1950*
USA
Europe**
** European Countries are: Austria, France, Germany, Italy, Netherlands, Sweden, Switzerland and UK. Data from www.nobelprize.org.
* Nobel Prizes awarded in chemistry, medicine and physics.
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As compared with:
Share of Nobel Prizes Awarded to Individuals in Institutions in Europe
and the USA 1951‐ 2007
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Share of Nobel Prizes awarded to individuals in institutions in Europe and the USA 1951- 2007*
** European Countries are: Austria, France, Germany, Italy, Netherlands, Sweden, Switzerland and UK. Data from www.nobelprize.org.
USA
Europe**
* Nobel Prizes awarded in chemistry, medicine, physics and economics (added 1969).
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0
10
20
30
40
50
60
1920 1940 1960 1980 2000
Number of Nobel Prizes awarded to individuals in institutions in France, Germany, UK and USA
per decade between 1900 - 2007*
FranceGermanyUKUSA
Num
ber
of N
obel
s
Year* Nobel Prizes awarded in chemistry, medicine, physics and economics.
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Results• The higher up the university is in the global ranking, the more likely it is that the citations of its president will also be high.
• In other words, better universities appoint better researchers to lead them.
• US universities select more distinguished scholars as leaders compared with universities in Europe and the rest of the world.
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What the cross‐sectional correlations tell us and what they don’t
Media‐generated league tables are not a dependable measure of quality.
The findings do not prove that top scholars actually make effective leaders.
Top universities and business schools may be more likely to seek out top scholars as leaders, and better institutions are also likely to be more attractive to the better scholars. Rational assortative matching.
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The correlations may be explained through unobservable heterogeneity.
Statistical coincidence of this time period? Unlikely that the same result would occur in both sets of institutions.
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So what evidence is there that scholar‐leaders improve performance?
5 October, 2010
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Conclusion part 2 of study
The higher a president’s lifetime citations, the more likely it is that their university will improve its performance in future Research Assessment Exercises (RAEs)
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Longitudinal Study
– Panel of 55 UK research universities.
– 147 university leaders.
– Improvement over time in Research Assessment Exercise (RAE).
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Results
First, the correlation exists in raw longitudinal data
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0
2
4
6
8
10
12
14
Universities that Improved the Most in the RAE Between 1992-2001 Were Led by Vice Chancellors With Higher Lifetime Citations
(n=55 universities)T
he M
ean
Life
time
Cita
tions
(nor
mal
ized
into
P-s
core
s)of
Lea
ders
Bet
wee
n 19
92-1
996
5 Most ImprovedUniversities
5 Least ImprovedUniversities
10 Least ImprovedUniversities
10 Most ImprovedUniversities
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I used multiple‐regression equations to identify a causal association.
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What is the size of the effect of P‐score?
A hypothetical 1 point move up in a president’s P‐score is estimated to be associated with 0.4 extra top departments in 2001
0.3 extra departments when other variables are included
NB: Mean P‐Score = 5Mean University Performance = 7
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Checking Robustness
1. Does this test ‘favour’ institutions that have further to move?
A check for this is to include a variable controlling for an institution’s original position. The main finding is robust to the inclusion of this variable.
Therefore, institutions that improve the most appear not to be doing so merely because they had the furthest scope to change.
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Checking Reverse Causality
2. Are today’s leaders not merely a reflection of yesterday’s performance?
Checks for reverse causality done in the equations by introducing a series of lags.
Second test (spirit of Granger causality). When leaders’ P‐scores in 2001 are regressed on universities’ RAE performance in 1992 there is no statistically significant relationship.
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Why Might it Matter if a Leader is a Top Scholar?
Four possible explanations arose from interviews with 26 heads in UK and US research universities.
Part 3 of the study.
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Explanation 1
A leader must be credible to followers. An accomplished scholar appears more credible, which enhances a leader’s influence.
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“The rationale for ranking academic excellence very highly is the enormous importance we place on the president having the respect of the faculty. Without that, it is very difficult to lead a research university.” Shirley Tilghman, President, Princeton
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Explanation 2
Leaders with high technical ability have developed expert knowledge about the organization’s core business ‐‐ research and teaching.
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“A leader who is an academic helps to mobilize people. People are much more important in academic institutions than conditions. Everything in a university flows from the academic value of faculty.” Anthony Giddens, former Director LSE
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Explanation 3
It is the responsibility of leaders to set the academic standards.
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“Leaders are the final arbiters of quality. Therefore it is right to expect the standard bearer to first bear the standard.” Patrick Harker, former Dean, Wharton School
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Explanation 4
Selecting a top scholar to lead a research university sends out a signal about priorities.
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“Being a researcher sends a signal to the faculty that you, the president, share their scholarly values and general understanding. It also sends an internal signal to colleagues that research success in the institution is important.” Amy Gutmann, President, University of Pennsylvania
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An important consideration• There must be a strategic fit between the leader and the organization.
• This means there is no point putting a Nobel Prize winner into an institution that sees itself as predominantly a teaching university.
• The head must be able to relate to his or her core workforce.
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What effect might scholar‐leaders have on faculty and university strategy?
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What is the core business of a research university?
1. Research and teaching.
2. The core workers are faculty.
5 October, 2010
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The conditions under which core workers will flourish
If a leader has prioritized research all their life, they may know the best conditions under which other scholars will develop and prosper.
5 October, 2010
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Managerialism in UK universities
Between 2004 to 2009 ‐ the number of managers rose by 33%
Academic staff up 10 %
Students up 9%
(Source: UK Higher Education Statistics Agency).
5 October, 2010
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To change a university you need to change people’s incentives
• Don’t use managerialism (box ticking) to change behaviour ‐‐ use incentives.
• Managerialism breaks down trust.
5 October, 2010
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Thank You
This work appears in the book
‘Socrates in the Boardroom’ published
by Princeton University Press, 2009.
Papers: www.amandagoodall.com
Email: [email protected]