Assess your strengths and assets as well as limitations as an organization
One of the most important lessons of this study is that organizations engaged in change processes should first assess their strengths and devise strategies accordingly. This lesson is especially true when dealing with complex phenomena involving several organizations. Capitalizing on an organization’s strengths is crucial to effective change strategies. For AAU, these strengths included its ability: (a) to influence leaders such as presidents and provosts as well as other prestige and influence organizations; (b) to create and leverage networks; (c) to define overarching logics or value systems for the Initiative; and (d) to work across the higher education system, ranging from the National Science Foundation, to partners in STEM reform such as the Bayview Alliance.
The converse is also true: organizations need to identify their limitations and not take on strategies for which they maybe are less well-suited. For example, AAU was ill-suited to work directly with project sites because of its lack of resources and limited influence with local faculty and staff. Instead, site visits, which focused more on influence and information sharing, were a more effective way for AAU to work with individual project sites.
Using a systems approach is promising to scaling change
Every organization will have capacity to create change at some levels of the higher education system; few can work across the entire system. Some associations and organizations might be very well-prepared to work with individual faculty on professional development or curriculum reform efforts; other groups might be well-positioned to assist mid-level leaders such as deans and department chairs; other associations have regular workshops to help campuses institutionalize changes. AAU is one of the few organizations that can work across multiple parts of the higher education system and took advantage of that capability in its Initiative. Organizations should establish where they can work best within the overall system and strategically apply their efforts accordingly.
Research has shown that the more levels of a system that are impacted, the more likely changes are to scale and be sustained. One of the beneficial outcomes of the AAU Initiative was better alignment among various reform efforts in undergraduate STEM education. Alignment of various parties involved in the same general policy arena (CRUSE is one example) – in this case undergraduate teaching in STEM – increases the odds of the scaling of the reforms. The efforts to align organizations begun under the AAU Initiative were promising. They will require ongoing resources to keep the alignment in place.
Develop a multi-theory strategy for maximum impact
Using multiple theories of action to scale change can be very valuable in projects with multiple stakeholders and complex motivations. AAU project leaders adopted a multi-theory approach to the change process, which supported the trajectory and efficacy of its reform strategies. Systems change, learning, influence, institutionalization, cultural change, and networks are complex approaches to change. It is all too common for change efforts to adopt a simplistic approach to change. AAU’s deployment of various theories of action increased the impact of the Initiative. As the AAU example shows, embedding strategies which can be used in multifaceted ways is also an efficient way to use time and resources. Using multi-faceted strategies is a very effective way to incorporate multiple theories of action into a change process.
Understand and intentionally plan influence strategies
Few examples exist in the literature on change about the articulation, definition, and use of influence strategies. This study provided concrete examples of what an influence strategy might look like in higher education settings. The AAU influence-based strategy included setting up institutional competitions, peer and benchmark comparisons, branding, awards, site visits, and partnering with influential organizations, to name a few. Every organization can influence some set of groups. Identifying and targeting these groups is the most important part of an effective influence strategy. As noted throughout this report, influence is generally an implicit strategy. Organizations typically do not conduct strategic planning for the use of influence even though it is an important lever for change. This report articulates influence strategies that organizations might consider. AAU is in a unique position to influence the higher education system; few if any other organizations in the higher education system have AAU’s influence. Yet any organization might benefit from planning an influence strategy by mapping individuals, groups, and organizations with which the organization has influence.
Carefully evaluate the framing and language used to communicate the change
Little research about change processes exists that relates to the importance of the language, framing, and messaging of the intended new value system. Although much has been written about the role of language in change at a single higher education institution, little has been written about the process of altering or rearticulating “institutional logics” to guide whole system change. Just as an individual institution must carefully craft a vision of change in its strategic planning process, scaling efforts must also articulate a “common agenda” and, even more importantly, a compelling set of logics to enact that agenda. This study identified AAU’s process of articulating a new institutional logic and the ways in which it was both highly successful and less successful. The study found that attention to language is particularly important in scaling changes. Language embodies the new values, which become implicit assumptions and tacit collective norms which influence attitudes and behaviors. An important lesson from institutional theory is that the strongest and most sustainable way to scale change is to alter the underlying value system – termed the institutional logics. In sum, organizations attempting to scale change should carefully define their logics and craft appropriate language for enacting them.
Differences in language can also result in barriers or issues that upend change processes. This study found that the language appropriate for implementing the Framework, as one example, varied by role group. These findings suggest the importance of working with different groups involved in a change process to identify relevant language during early stages of adoption or even before adoption. Taking this step may reduce future misunderstandings that can adversely affect adoption and scaling.
Use networks to scale change
Networks are important actors in the change process. They serve many functions including information sharing, dissemination of logics/new values, brainstorming, learning, emotional support, influence, safety in numbers for risk taking, and resource development. The study also demonstrated the benefit of connecting multiple networks, providing support for networks, and developing leadership to maintain networks. Being intentional about the use of networks in change strategies is crucial in the change process. Organizations often allow networks to develop organically rather than considering ways to make strategic use of them to scale change. AAU’s effective use of networks in the Initiative came from careful planning of their various roles in the Initiative.
Apply strategies to facilitate learning and adoption, and examine barriers to learning in change processes
AAU used several strategies to encourage adoption through learning. The AAU found it difficult for its Initiative to promote learning within its member institutions. Processes to facilitate learning at academic institutions may require the type of work with campuses that many organizations are not suited to conduct. For example, projects that successfully foster organizational learning typically use in-depth facilitated processes, set up inquiry teams, and build up organizational data and information infrastructures. In addition, the study identified how barriers can emerge to learning and adopting change. These barriers include: (a) the attention of the Initiative to the uniqueness of local context and culture made it easier for faculty and administrators to reject lessons for reform from other campuses; (b) competition among campuses sometimes made them leery to learn from each other; (c) distrusting research and data from other sources – again related to the perception of unique context; (d) AAU not being known as a leader in teaching and learning; and (e) difficulties in encouraging collective problem-solving. Organizations can benefit from understanding the capabilities needed to help shape learning among the groups with which they are working.
This study also suggests the potential benefit of identifying barriers to learning during implementation and addressing them in a timely fashion. If some of these barriers had been identified early on, AAU might have been able to change its messaging and approach. Creating feedback loops in the change process can help with organizational learning and the adoption of new practices. It can also help improve communication of logics, influence strategies, and optimal use of networks.
Consider culture change at multiple levels
This study found that changing AAU’s own culture – with greater attention paid to teaching excellence – was a potentially important and as yet not fully realized part of the reform process. AAU was more engaged in encouraging change within its member institutions than in its own reform, especially in the criteria used for its membership. AAU has made considerable investment in the Initiative and has restructured its staff and resource allocation to better align them with improved teaching. Getting its member presidents and provosts on board, especially in considering expansions to membership criteria, is a complex but necessary task both to spread the reforms supported by the Initiative and to reexamine the role of membership criteria in the overall change process.
The plenary speaker at one AAU STEM Network meeting, Stan Deetz, noted that “culture eats strategy for lunch.” He went on to say that STEM reform (within departments and among individual faculty) are more likely to occur if AAU (as an organization and its member institutions) changes too. He underscored that trying to improve undergraduate education without fundamentally changing the nature of the university – its culture – will always be an uphill battle especially at research universities. To support reform of AAU’s culture the following relevant actions might be considered: expanding AAU’s membership criteria, messaging and engaging president and provost networks, revisiting AAU policy priorities, and creating a position paper outlining the American research university in the 21st century. All of these proposed actions reinforce a more active role by AAU in fostering cultural change among its member institutions and as an organization.
Create distributed leadership to improve STEM education
The literature suggests that leadership throughout the higher education system is critical for scaling changes. Interviewees acknowledged the importance of leadership in scaling change at each level of the system: the faculty, academic department, institution, AAU presidents and provosts, and academic disciplines. Distributed leadership emphasizes the impact of leadership throughout the system in creating change. It does not distinguish between formal and informal leaders. Distributed leadership also includes external positions of authority including faculty at other institutions, professional association employees, staff at disciplinary societies, and those in formal positions of external authority such as disciplinary association leaders and policymakers. Facilitating the development of leaders at various levels is an important step of the reform process to improve undergraduate STEM education. The AAU contributed to this goal through its annual meetings for the AAU Initiative and for presidents and provosts. Additional funds and other resources likely are needed to extend leadership development across the relevant role groups in undergraduate STEM reform.
Conclusion. The AAU STEM Initiative was a rare opportunity to examine the role of a national organization in improving undergraduate STEM instruction. This study provides important feedback for AAU to hone its reform strategy. More generally we have identified lessons for other national organizations seeking to foster improvements in undergraduate teaching. These lessons potentially apply to regional or local organizations as well. The key concepts for organizations to play an effective role in reforms are mapping strengths and capabilities, having a coherent strategy for influence, maximizing the use of networks, and using practices that maximize learning.
The study also highlighted lessons for funders seeking to scale teaching reforms, including the importance of funding a national group to align change efforts, and the need to establish or support an organization to coordinate leadership development at multiple levels of the higher education system.
Some important lessons in reforming undergraduate STEM instruction apply only to AAU. AAU as a prestigious organization is uniquely positioned to influence institutions and garner media attention. AAU plays an important role in the entire higher education landscape. Few if any other organizations in the U.S. higher education system can shape institutional logics and encourage reforms of such complex topics as faculty reward structures. For these reasons, AAU is an essential player in the process of achieving systemic change to undergraduate STEM education.