BUILDING ORGANIZATIONAL CAPACITY (BOC)
NACUBO 2005 Annual Meeting
Baltimore Convention Center
July 9-12, 2005
James E. Morley, Jr., President
National Association of College and University Business Officers
J. Douglas Toma, Associate Professor
Institute of Higher Education, University of Georgia
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BUILDING ORGANIZATIONAL CAPACITY (BOC)
THE PROJECT
The Building Organizational Capacity project is a
research and development effort of the National
Association of College and University Business Officers
(NACUBO) supported by FIPSE
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BUILDING ORGANIZATIONAL CAPACITY (BOC)
"We can't solve problems by
using the same kind of thinking
we used when we created
them."
- Albert Einstein
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BUILDING ORGANIZATIONAL CAPACITY
THE TERM
“Building Organizational Capacity” describes the
executive role of senior leaders to create and sustain
organizations that perform consistently with high
quality results.
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BUILDING ORGANIZATIONAL CAPACITY (BOC)
THE PROJECT
Provides a conceptual framework and strategies for
implementation and problem-solving of high value
priority initiatives
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BOC IS DIFFERENT
BOC encourages systems thinking and a new vocabulary
by addressing higher education leaders on both the
academic and administrative sides of institutions
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BOC is non-linear and not prescriptive, unlike some
other frameworks
• It centers on interrelationships among elements which are
more of a web than a linear progression
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BUILDING ORGANIZATIONAL CAPACITY (BOC)
THE CONCEPT
Encourages leaders to view their institution and its
many parts as a complex “social system” with many
elements that continuously interact with and affect each
other
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Perspectives from Jay W. Forrester
Social Systems
• We live in a network of complex systems.
• Few people realize the extent to which those systems
control human actions.
• Complex systems actively mislead people into making
counterproductive decisions.
(Forrester, “Learning through System Dynamics”; 1994)
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Perspectives from Jay W. Forrester
Social Systems
• Policies in a system have very little leverage to create
change.
• Most of the heated debates in communities, companies,
and government are about policies that are not
influential.
• Debates about low-leverage policies divert attention
from the few policies that could lead to improvement.
(Forrester, “Learning through System Dynamics”; 1994)
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THE EIGHT ELEMENTS
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PURPOSE
The fundamental mission, goals, objectives of the
institution or activity
• Mission and goals almost always have specific or implied
multiple objectives that must be considered and understood
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BOC ELEMENT QUESTIONS
PURPOSE
• Are the mission, goals, objectives clearly stated and
communicated?
• Does the purpose imply more than one goal?
• Does the purpose define a measurable outcome?
• Are executives accountable for achieving the purpose, goals and
objectives?
• Is the purpose viewed/accepted in the same way by all the key
players?
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GOVERNANCE
The exercise of authority, responsibility and control
over goals, activities and results
• Should be considered at each organizational level where
decisions are made and activity occurs.
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GOVERNANCE
• Institutional—Trustees
• Campus
• School
• Department
• Project
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BOC ELEMENT QUESTIONS
GOVERNANCE
• Are all existing governance bodies known, properly charged and
their role(s) understood?
• Will existing governance bodies/process/policies, formal and
informal, aid or impede mission attainment?
• Are all other elements considered in support of required
governance?
• Are policies clearly defined for all governance activities and
decision making?
• Is the process of governance leadership clearly articulated for
outcomes and accountability?
• Are information flows adequate and timely to all participants in
the governance process?
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POLICIES
The core principles and practices guiding all aspects of
the realization of the mission and purpose of an activity
• Forrester calls them decisions
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POLICIES
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Vision, goals
Decision authority
MOU for collaboration/joint ventures
Leadership hires
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BOC ELEMENT QUESTIONS
POLICIES
• Are all the decisions needed to achieve the goal clearly
identified?
• Are accountable individuals empowered to make appropriate
decisions?
• Are policies clearly established for all processes that are
necessary for goal achievement?
• Are potential conflicting policies identified and modified to
avoid conflicts?
• Are appropriate policies identified for each of the other
elements: Information, Infrastructure, Governance and
Structure?
• How does unit Culture impact policy development, decision
making, and implementation?
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PROCESSES
The means by which the purpose
and goals are realized
• Many commercial companies view
core processes as important corporate
assets, e.g. product distribution
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PROCESSES
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Strategic planning
Enrollment management
Faculty hiring
Curriculum development
Communications
Assessment
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BOC ELEMENT QUESTIONS
PROCESSES
• Are all essential processes required for success identified and
documented?
• Are responsible individuals accountable for successful process
operation?
• Are processes supported by appropriate calibration with the
other elements: Information, Infrastructure, Governance,
Structure and Policies?
• How does unit/institutional Culture affect process outcomes?
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STRUCTURE
The organization of people and activities aligned and
identified to accomplish mission, goals and core
processes
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STRUCTURE
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Purpose/task alignment
Organizational relationships
Schools/colleges departments
Joint operating authorities
Project teams
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BOC ELEMENT QUESTIONS
STRUCTURE
• Are all aspects of the organization and other elements organized
in a manner that allows the other elements to support purpose?
• Are accountable individuals identified to make appropriate
decisions?
• Are staff and related leadership reporting responsibilities
aligned so that accountable executives can carry out policies and
processes?
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INFORMATION
The supporting information and data used to promote
effective communication, management and oversight
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INFORMATION
• Research data
• Information systems
• Student
• Financial
• Alumni and development
• Market Analysis
• Informed Governance
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BOC ELEMENT QUESTIONS
INFORMATION
• Have the information requirements for goal attainment, and as
they relate to each of the other elements, been identified and
documented?
• Are the appropriate institutional and departmental information
systems and communication processes in place to support goal
attainment?
• Are the other elements supported by adequate information
flows, especially: Policies, Processes, Governance and Culture?
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INFRASTRUCTURE
The human, physical, and financial support assets as
well as the related information systems used to create
and sustain the entire effort as defined by the purpose
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INFRASTRUCTURE
• Physical buildings
• Information technology
• Support units (i.e., technicians)
• Project budgets
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BOC ELEMENT QUESTIONS
INFRASTRUCTURE
• Are there sufficient assets and resources planned for or
provided to ensure success of the purpose as assessed from the
perspective of each of the other elements?
• Are infrastructure resources in the proper form to ensure
success of each element in support of the purpose?
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CULTURE
The overall character, values, beliefs of the organization—its
essential personality
• Will affect ability to collaborate
• Requires strong leadership to change
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CULTURE
• Institutional/unit
• Department
• Discipline
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BOC ELEMENT QUESTIONS
CULTURE
• Are all levels (e.g. university, college, departmental) of culture
taken into consideration as they might affect the purpose and the
other elements?
• What cultural aspects of the institution/unit will most affect,
positively or negatively, the purpose and/or other elements?
• Does the purpose create conflict with existing culture(s)? Is
success impaired as a result?
• How does unit culture impact policy development, decision
making, and implementation?
• Does a new/altered purpose imply an intentional cultural
change? If so, is this well understood?
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Case Studies Completed with a Grant from The
Fund for Postsecondary Education (FIPSE)
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CASE STUDIES
• The College of New Jersey (Ewing, New Jersey)
• Virginia Polytechnic Institute and State University (Blacksburg,
Virginia)
• La Grange College (La Grange, Georgia)
• Seminole Community College (Lake Mary, Florida)
• Paul D. Camp Community College (Franklin, Virginia)
• Valley City State University (Valley City, North Dakota)
• University of Redlands (Redlands, California)
• University of California, Davis (Davis, California)
• Arizona State University (Tempe, Arizona)
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CASE STUDY PURPOSES
• Test the emerging BOC framework to find out if we have the
“right” elements
• Analyze whether the boundaries are clear between each
element
• Determine uses and applications of the BOC concepts and
framework
• Expose a wide range of institutions to the BOC project
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CASE STUDY RESULTS
• Initial testing supports the eight-element framework
• The BOC framework is developing good momentum
• Presentations
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NASULGC
ACE
CIC
AACC
WHES
AJCU
CAUBO
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SUPPORTING RESEARCH
• Research supported by comprehensive reviews of
literature on:
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Strategic management
Organizational change
Systems thinking and systems dynamics
Each element (Purposes, Governance, Structure, etc.)
Research summaries posted on BOC community tool
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RESEARCH TEAM
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J. Douglas Toma, University of Georgia, Lead Researcher
Greg Dubrow, University of California at Berkeley
Matt Hartley, University of Pennsylvania
Adrianna Kezar, University of Southern California
Kevin Kinser, State University of New York at Albany
Christopher Morphew, University of Georgia
Kate Shaw, Temple University
Kelly Ward, Washington State University
Lisa Wolf-Wendel, University of Kansas
Theresa Wright, University of Georgia, Research Assistant
Anthony Knerr, Anthony Knerr & Associates, Consultant to BOC
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PURPOSE
THE COLLEGE OF NEW JERSEY (TCNJ)
• Purpose - why an institution is here and where it is headed.
• Launched a redesigned curriculum to enhance its reputation as a
selective, comprehensive, public liberal arts college
• Began “academic transformation” by clarifying its fundamental purposes
and significant aspirations.
• In realigning its curriculum, TCNJ changed everything -- the nature of
student and faculty work, aspects of institutional culture, and
administrative functions
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GOVERNANCE
VALLEY CITY STATE UNIVERSITY
• Governance - how an organization makes decisions.
• Implementing ConnectND, a statewide PeopleSoft enterprise resource
planning software system for academic and administrative functions
• Governance and decision processes facilitate planning and
implementation of the ConnectND project. (The project also had a strong
formal structure.)
• State-wide and campus organizational structures aided ERP success
• Governance leadership from VCSU President, a key person in ERP
implementation and success.
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POLICIES
LAGRANGE COLLEGE
• Policies - rules that articulate how an institution will proceed
• Enhancing faculty scholarship and integrating student
research into the curriculum as a strategic initiative
• Changing faculty and student outcomes involves structural
changes, additional infrastructure, and more.
• Policy changes required revisions in faculty evaluation
policies and processes related to tenure and promotion
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PROCESSES
PAUL D. CAMP COMMUNITY COLLEGE
• Processes - how an institution gets things done
• Improving the retention of students
• Factoring advising into institutional policies on the evaluation
of faculty
• Using an existing early alert program to identify enrolled
students not attending courses
• Addressing the problem of students departing upon receiving
their financial aid disbursements
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STRUCTURE
VIRGINIA TECH
• Structure - how an institution is configured to do its work
• Developed the Math Emporium, a physical site for online instruction and
one-on-one support in undergraduate mathematics
• Decentralized structure allowed for the launch of an entrepreneurial,
relatively free standing venture
• The Emporium aligned with purposes, governance and policies
• Grounded in strong governance, with relations with the math department,
EVP and deans
• Fit the culture of the institution
• Maximized advantage of the human, physical, technological and financial
infrastructure at the university.
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INFORMATION
UNIVERSITY OF REDLANDS
• Information - the generation and assimilation of facts and figures
needed to inform and support decision-making
• A systematic, disciplined, and institution-wide approach,
maximizing net tuition revenue through careful attention to
financial aid policy.
• A working group meets regularly, including an outside
consultant
• Information is broadly disseminated
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INFRASTRUCTURE
SEMINOLE COMMUNITY COLLEGE
• Infrastructure - the human, physical, technological, and
financial assets that comprise the organization
• Maintaining quality and building capacity given static or
declining resources
• Positive, “can do” culture is at risk as personnel are
overextended
• Lack of depth in a key infrastructure area, personnel
• Pressure on governance - making timely decisions
• New organizational restructures can help, enabling more
efficient and more rapid decision making processes
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CULTURE
• Culture - the essential character of an institution – its shared
norms, values, beliefs, and assumptions
• VCSU: comfortable with technology, accustomed to being at the
cutting edge
• LaGrange: requires internalizing the teacher-scholar approach,
building on changes in governance
• Seminole: the challenge of remaining “one college” as it adds new
campuses and centers
• PDCCC: instituting a required first semester orientation
• TCNJ: An institution ready to become a true liberal arts college
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A Project of the National Association of College and University
Business Officers
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BUILDING ORGANIZATIONAL CAPACITY
“TOOLS”
Serves as a checklist for senior leaders of colleges and universities to
think holistically about the complexity of actions required to build
organizational capacity for the long term.
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BUILDING ORGANIZATIONAL CAPACITY
“TOOLS”
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Project readiness test
Implementation checklist
Problem assessment checklist
Leadership transition assessment
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BUILDING ORGANIZATIONAL CAPACITY (BOC):
MOVING FORWARD
• A study of the applicability of BOC principles to endowment
management is planned
• A BOC book is being written, for distribution nationwide.
• A BOC web community tool will be launched to encourage
national conversations about BOC
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BUILDING ORGANIZATIONAL CAPACITY (BOC):
KNOWLEDGE NETWORK
• Go to www.nacubo.org/knowledgenetworks
• Visit NACUBO Central for a demonstration
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DISCUSSION
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A Project of the National Association of College and University
Business Officers
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