Handbook for Executive
Leadership of Research
Development
Craig McInnis, Paul Ramsden, Don Maconachie
Purpose of the research
leadership handbook
Commissioned by the Centre for Leadership in
Research Development (CLRD) in partnership with
Queensland University of Technology.
To support building the research capacity and
capability of Collaborative Research Network
Universities (CRN).
Intended to guide new entrants to executive
leadership of research development, and senior staff
aspiring to such roles.
Purpose of the research
leadership handbook
A source of advice for university executives about the leadership of research
Specific focus on research development in less research-intensive universities (and those that have lost momentum) seeking to:
expand their research profile
enhance their performance
compete more effectively for research funding.
Guiding perspectives
Focus on strategic leadership and productivity
What successful leaders do
No set formula for success
Different starting points and challenges
Relevant across different policy contexts.
Key evidence-based assumptions
1. Strategic leadership is the single most important
environmental factor influencing research productivity.
2. Institutional leadership is not simply research group or
department leadership on a higher level.
3. Leadership of research requires specialist skills and
knowledge about the conditions that contribute to
academic productivity.
and…
Key evidence-based assumptions
4. Strategic leadership must be both robust and
collaborative in order to enhance research
productivity.
5. ‘Assertive participative governance’, which combines
unambiguous objectives with devolved leadership of
research, is the key to success.
Our approach
1. Case studies of good practice in six universities
(Australia and UK)
2. Review of international literature
3. Developing core principles and elements that guide
the strategic leadership of research across an
entire institution.
Case Study Focus
factors that contribute to the research
performance of the university, and the lessons
they provide for new and aspiring leaders of
research development in less research-intensive
universities
identifying the contextual factors underlying
variations in institutional strategic responses to
the challenges of generating research activity
what effective leaders actually do to advance the
strategic research agenda of their institutions,
rather than generic attributes of leadership.
Case Study: Portsmouth
Research strategy 2012-2017
Theme 1: Research excellence and profile
Theme 2: Collaboration
Theme 3: Sustainable research environment
Theme 4: Supporting researchers and research
leaders
Theme 5: Research informs educational strategy
Theme 6: Social, economic and cultural impact
Portsmouth…
Vision: ‘A culture where everyone takes research
seriously’
Success depends on corporate buy-in: better, more,
upwards!
Remove obstacles to success: use peer review,
mentoring, rewards
Devolve leadership: cooperate on strategy and action
plans
Develop shared expectations of ‘research-active’
Ambitious targets to drive change (e.g. ↑20% in external
funds)
and….
Portsmouth
Central, competitive internal funding (£200k)
Focus on recruiting active researchers & experts
from outside
Tackle urban myths; allow room to fail
Integrate education and research
Don’t overestimate importance of data: focus on
clear principles
Acknowledge returns won’t be immediate
Case study A: From a plateau…
Transparency critical
Back to the basics of good research
Injection of new funds
Push responsibility back to the faculties and
researchers
Close tracking of progress (including income
prediction)
Aggressive stretch research targets
Reduced organisational complexity
Significant seed funding
Establish simplified research focus and structures
Major investment in new researchers
Keep moving - ready for a new research plan
Case study B: Towards a culture of performance
Clear intentions - deliberate steps
Long term view
University defined ‘research-intensive’
Analytical approach with hard evidence
Recruiting ambitious researchers
Team of robust and determined leaders
Reduced and simplified the structures
Focus on niche areas
Addressed a culture of entitlement
Confront the low performers
Case study C: Kick-starting from a low base
Improving overall research performance eg:
shift in the internal budget allocation to research
DVC takes a direct role in selection panels for new staff
target associate professor level to bring in new talent
reduce administrative staff with long-term contracts
appointed middle managers who were researchers
themselves.
performance management that sends out clear signals
and…
Key environment factors (Bland)
1. Clear, coordinating organisational goals that emphasise research
2. Leadership that is ‘research-experienced’ and highly participative
3. Recruitment and selection processes that bring in skilled,
research-driven academic staff
4. A positive group climate and shared culture that support and
highly value research
5. A mentoring program that advises staff on their research
activities, socialises them into the departmental culture, connects
them with relevant research bodies
6. Collaborations that help academics find new avenues for
research, stimulate their interest and advance their careers
7. Communication that nurtures professional networks and
promotes a culture of collaboration
Key environment factors (Ramsden)
Academics’ perceptions of whether the department is cooperatively
managed, with participative decision-making:
1. ‘Staff are consulted on matters of policy even when they are
not directly affected’
2. ‘Staff in the department often discuss research issues together’
3. ‘Teaching loads are negotiated cooperatively among staff’
4. ‘There is plenty of discussion on teaching and curriculum issues
among academic staff’
5. ‘There is little professional jealousy among the academic staff’
6. ‘Good teachers are highly respected in this department’
Leadership & environmental factors interact
Being highly regarded as a scholar – a mentor and peer model
Having a ‘research orientation’ – having assimilated and
incorporated within oneself the values of research and
scholarship
Being capable as a manager of people and resources, as a fund
raiser
and group advocate
Keeping the group’s mission and shared goals visible
Using an assertive and participative style of leadership (clear
objectives, expecting all members to contribute to decision-
making, making high quality information available, valuing group
members’ ideas and their ownership of projects)
Putting in place structures that facilitate productivity – such as
time allocations and reward systems
Understanding the workforce (McInnis)
Sense of academic identity critical to productivity and overall
work satisfaction of an individual’s autonomy to pursue personal
academic interests.
The main predictor of work satisfaction for academics, clearly
ahead of salary and job security, is the opportunity to pursue
their own academic interests.
Academic research is by definition about unpredictability and
personal commitment; it sits uneasily with management systems
that rely on command and control.
Because intrinsic motivation plays such a decisive role in
productivity, it is important for leaders to consider what factors
might attenuate this enthusiasm.
McInnis & Anderson 2005, McInnis 2010, 2012
Lessons from ‘world class’ universities
Uneven distribution of productivity; teaching focus; a
fragile base; barriers to new entrants
Clear directions and realistic appraisal; focus on winners
Research active, research uneasy, research negative
Recruit, re-invigorate, train, re-orient, enable
Reward, recognise and stimulate competition
Long term view
Strategies for newer universities
Research productive
institution
A supportive environment facilitates productivity
when leadership makes the environment’s
features available to a well-prepared staff
Institutional factors Resources, rewards, time
Recruitment and selection
Mentoring that guides, socialises and connects to the external
world
Clear co-ordinating organisational goals
Positive group climate
The value of research understood by all academics and staff
Assertive-participative governance
Collaborative and active research environment
Synergy between academic and support functions
Quality and quantity of communication
Individual factors Early interest in research
Involved in research activity
High intrinsic academic motivation
Autonomy and commitment
Work habits
Skills and content knowledge
Leadership factors Distributed leadership
Effective communication
Strategic research focus
Research experienced – scholarly
credibility
Capable management
Clear goals
Participative decision-making
Prepared for a
supportive
environment
Creates a
favourable
environment
Research productive institution
Institutional
factors
Individual
factors
Leadership
factors
Based on Bland et al Academic Medicine 2005
1
Institutional factors
Resources, rewards, time
Recruitment and selection
Mentoring that guides, socialises and connects to the external
world
Clear co-ordinating organisational goals
Positive group climate
The value of research understood by all academics and staff
Assertive-participative governance
Collaborative and active research environment
Synergy between academic and support functions
Quality and quantity of communication
Individual factors
Early interest in research
Involved in research activity
High intrinsic academic motivation
Autonomy and commitment
Work habits
Skills and content knowledge
Leadership factors
Distributed leadership
Effective communication
Strategic research focus
Research experienced – scholarly
credibility
Capable management
Clear goals
Participative decision-making
(Draft) Focus 1: Create an agenda for change
Principle 1. Create a compelling strategic vision
What in means in practice:
Provide a clear-sighted assessment of the university’s performance
Decide where the university should be positioned
Make the case for change
Create a sense of urgency
Test the vision
(Draft) Focus 2:
Develop a research-focused workforce
Principle 1. Invest in early career researchers
What it means in practice:
Establish university-wide programs for early
career researchers
Encourage links to the research culture in
undergraduate programs
Focus attention of deans on fostering early career
involvement and interest
Draft Focus 3: Support change through
assertive-participative leadership
Principle 1. Devolve senior research leadership
and management
What it means in practice:
Clarify the research development roles of senior academic leaders
Provide opportunities for high quality senior research leadership development programs
Align the research strategy and performance indicators at all levels
Draft Focus 4: Build institutional
research capacity
Principle 1. Provide clear focus and incentives to
grow capacity
What it means in practice:
Translate the vision directly into key performance indicators
Ensure the research strategy and performance indicators are reflected at all levels of planning
Build the academic connections between areas of strength in research and teaching