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Introducing the capabilities approach

by Gavin Moodie and Leesa Wheelahan

In 2015 in a blog for SRHE, Rajani Naidoo mentioned, almost in passing, the potential of the capability or capabilities approach to complement the wellbeing framework, which was the approach she advocated.  However, she did not elaborate the approach. Yet the capabilities approach is important for educational and general public policy, and has the potential to transform peoples’ agency. It has become increasingly important in the scholarly literature in all sectors of education.

The capabilities approach was developed by the economics Nobel laureate Amartya Sen and by the distinguished USA philosopher Martha Nussbaum. Sen argued that the aim of public policy should be ‘the expansion of the “capabilities” of persons to lead the kind of lives they value—and have reason to value’. Sen’s argument is that human capability is an alternative to utilitarianism, rights theories of justice, and to human capital theory. While the aim of human capital theory is to increase economic output which may benefit humans, the aim of capabilities is to increase peoples’ freedom, which requires economic resources, but importantly also other arrangements –

“At the risk of some oversimplification, it can be said that the literature on human capital tends to concentrate on the agency of human beings in augmenting production possibilities. The perspective of human capability focuses, on the other hand, on the ability — the substantive freedom — of people to lead the lives they have reason to value and to enhance the real choices they have. The two perspectives cannot be but related, since both are concerned with the role of human beings, and in particular with the actual abilities that they achieve and acquire.

But the yardstick of assessment concentrates on different achievements.”

As Belgian philosopher Ingrid Robeyns explained, the capability approach is a broad normative framework for evaluating and assessing individuals’ well-being and social arrangements, the design of policies, and proposals about social change in society. The capabilities approach is therefore not a list of desirable attributes that people may have, as is suggested by reductive and distorted presentations of the approach. It is not another term for competencies or for skills. It refers to the real freedom individuals have to pursue the things that matter to them, and to live a life they have reason to value, and to the social, economic, political, and the environmental resources and conditions that are needed to realise these opportunities. It is at its core, a relational approach that links individuals, their families and communities, with their society and asks about the social arrangements that are needed to support individuals to realise their aspirations.

Capabilities and functionings

The capabilities approach distinguishes between capabilities and functionings. Capabilities are people’s capacity to act, while functionings are the outcomes from people using their capabilities to achieve a particular goal. A complex set of capabilities provides individuals with the basis for making choices in their lives, whereas functionings are the outcomes they achieve when they exercise choice. A particular set of capabilities can produce any number of outcomes. Walker and Unterhalter explained that: “The difference between a capability and  functioning is one between an opportunity to achieve and the actual achievement, between potential and outcome”. Two people with similar capability sets may make choices that result in different functionings or outcomes. Capabilities cannot be regarded as isolated attributes or resources. Rather, they need to be understood as a ‘set’ or ensemble of interlocking capacities or potentials for action that allows people to make choices.

Agency

In addition to capabilities and functionings, a third key concept in the capabilities approach is agency. Agency is a person’s ability to pursue and realise goals that they value and have reason to value. People need agency to identify, value, and prioritise capabilities. For this Sen emphasised transparent scrutiny, general social discussion, and continued public reasoning. For Sen, capabilities are contingent on circumstances specific to their context and the purpose for which they are identified, and reflect the particular reality that any particular society faces.

The capabilities approach emphasises the importance of agency and distinguishes between different forms of agency, particularly between ensuring people have the freedom to choose how they will pursue their goals (process freedom) and the opportunities that are needed to realise their goals (opportunity freedom). However, it does not develop a full conception of the human agent, leaving this to different ‘capability theories’ and the uses towards which it is being put in different contexts.

We use the work of capability theorists, Bonvin and Laruffa, to think about human agency. They  draw on anthropology to argue that at the core of the capability approach is a conception of people as receivers (of support for vulnerable people, as we all are at different times of our lives), as doers (who are actors able to contribute to society), and as judges (who are political beings with aspirations, values and desires). Living a life that one has reason to value needs to incorporate all these aspects of our being, and allow us to fulfil multiple aspirations.

We also draw on the work of the late British sociologist and leading critical realist scholar Margaret Archer, who distinguished between individuals and social structures, arguing that each is different and irreducible to the other. She explained, for example, that individuals have the capacity for reflection and introspection, whereas societies have social structures and institutions. Archer argued that the self must simultaneously exist in the natural world, the practical world (for example, engaging in activities at work or at home) and the social world.

Archer argued that the way we mediate and navigate our way in each world is through our ‘internal conversation’, wherein we reflect, consider, make decisions, change our minds and so forth. She argued that the self is defined by the things that matter to us, including who and how we choose to love, and issues, problems or concerns such as these cannot always be reduced to self-interest. We build a social identity through our relational engagement with others and not just because of individual effort, even though our agency helps to shape the nature of this engagement.

This provides a foundation for considering human rights, the obligation that all of us have to each other and the social conditions that underpin civil and political life, which includes work, occupations, and the labour market. It also provides a basis for thinking about the purposes of education and the ways in which it can support human agency.

Conversion factors

Robeyns pointed out that a person’s capacity to convert resources into capabilities and thence functionings depends on three types of conversion factors: personal, social, and environmental.

Personal conversion factors may be relatively unchangeable such as being blind, or they may be more changeable such as not being able to read. Both of these conversion factors affect a person’s capability to read unless they are mediated in some way, such as braille or a text to voice conversion application for the person who is visually impaired, or literacy classes for the person who is not yet literate.

Thus, we see that personal conversion factors may be mediated by social conversion factors. These examples also illustrate that social policies should reflect people’s diversity to ensure that everyone has access to the social resources they need to participate fully in society and to achieve their aspirations. People’s capabilities are also influenced by other social conversion factors such as ‘public policies, social norms, discriminating practises, gender roles, societal hierarchies, power relations’.

The third type of conversion factors is environmental, such as geography, infrastructure, and climate. While most discussion is of the capabilities of individuals, we argue that it is also necessary to consider the capabilities of groups and the collective capability of society.

Broader resources

Capabilities therefore rest upon broader social, economic, cultural and technological resources. For example, people need to have the language, literacy and mathematical skills for engaging and progressing in study and work. They need to have access to the social and economic resources that facilitate their participation in study and work, such as the necessary housing, healthcare, transport and childcare, and enable their participation in civic society and in their communities.

People also need to have the knowledge, skills and attributes required to navigate, negotiate and engage in these aspects of life and in work as the capacity to be skillful in both emerges from broader knowledge, skills and attributes.

Application to education

As Sen and Nussbaum elaborated, clearly education is fundamental to expanding peoples’ capacity to understand and act in the world and thus lead the kind of lives they value and have reason to value. The capabilities approach has therefore been applied to education, and more recently to vocational education, as we elaborated in our open access book and as is explored briefly in our subsequent SRHE Blogs.

Dr Gavin Moodie is Honorary Research Fellow at the University of Oxford’s Department of Education

Leesa Wheelahan is Professor Emerita and William G. Davis Chair in Community College Leadership Emerita at the Ontario Institute for Studies in Education, University of Toronto, and Honorary Research Fellow at the University of Oxford’s Department of Education.


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Working environments: a short overview of the literature

by Nic Kipar

We rarely consider whether staff on our campuses are enjoying their work environments and are able to be their most creative and effective selves. We should ask individuals how they work best, to enable them to thrive. Staff should be given the freedom to experiment with different settings, without others imposing judgments based on their own limited perspectives. Here in the first of two blogs Nic Kipar reviews what we know from research about working environments; the second blog will look at what this might mean in practice.

Control over the workspace

A growing body of research underscores the significant role that control over the physical workspace plays in employee wellbeing, productivity, and job satisfaction. Studies consistently show that providing employees with autonomy over their work environment – such as control over lighting, workspace flexibility, and layout adjustments – can reduce stress and improve mental health (Colenberg et al, 2021). This sense of control fosters a positive psychological environment, as evidenced in both Swedish and Dutch Masters and PhD research. For example, Ghaemi Flores (2023) found that agile and activity-based workspaces, which allow for greater personal control, are rated more favourably by employees. Similarly, van der Vleuten-Chraibi (2019) observed that control over light levels even in shared spaces enhances workspace satisfaction and productivity.

Despite these benefits, the hierarchical tradition in workspace allocation—where higher-ranking employees receive designated offices—remains a barrier to the adoption of more flexible environments. Ghaemi Flores (2023, p44) notes that overcoming this cultural resistance is crucial for a successful transition to activity-based work settings.

Research also challenges the assumption that open-plan offices facilitate collaboration. Instead, these layouts often lead to increased distractions and reduced personal control, negatively impacting both productivity and employee wellbeing (Bernstein and Turban, 2018). Open-plan designs, especially cubicles, have been shown to disrupt natural collaboration, as employees may withdraw to avoid noise and distractions.

This body of research collectively suggests that providing employees with control over their workspace fosters a healthier, more satisfying work environment, positively affecting both personal and organisational outcomes.

Wellbeing and working environments

The psychological dimension of workspace design is essential to employee wellbeing and productivity. Ruohomäki et al (2015) identify key factors, such as privacy, personal space, and control over tasks and schedules, as critical for reducing distractions and supporting mental focus. Research by Danielsson and Bodin (2008) further supports the idea that private and agile office environments contribute to better emotional health, largely due to the sense of control they afford employees. Lee and Brand (2005) also proposed that offering more flexibility and control over workspaces could lead to significant benefits for occupants. This is consistent with findings by Laughton and Thatcher (2019, p837) that shared offices and agile spaces promote psychological wellbeing more effectively than reservable spaces or open-plan offices.

Morrison and Macky (2017) applied the established Job Demands-Resources model to explore the demands of shared work environments and hot-desking arrangements and found that open offices increase cognitive demands on employees, leading to higher job dissatisfaction. Similarly, Cvijanovic (2019) found that customised workspaces are linked to higher job satisfaction and lower stress, although they do not necessarily enhance productivity. High social density within a workspace has also been shown to reduce perceived control (MacMillan, 2012). The study by Cobaleda Cordero et al (2019) of wellbeing related to working spaces also supports these findings.

The role of greenspace in workplace wellbeing

Access to greenspace within the workplace has been shown to positively affect employee wellbeing. Research by Bratman et al (2015) and Berman et al (2008) showed that walking in nature or even viewing pictures of nature can improve directed attention and cognition, the latter supporting the theory of Attention Restoration. (Attention Restoration Theory, developed by psychologists Stephen Kaplan and Rachel Kaplan in the late 1980s, proposes that exposure to natural environments can help restore mental focus and relieve “attention fatigue.” This fatigue arises when we rely on directed, or focused, attention for extended periods.) Gilchrist et al (2015) went further by finding that time spent in workplace greenspace, as well as views of natural elements like trees and flowering plants, significantly boosted wellbeing. Interestingly, the mere presence of these natural elements, rather than subjective satisfaction with the view, appears to be sufficient to yield benefits.

A systematic review by Ricciardi et al (2022) suggests that greenspace exposure may benefit cognition, according to recent advances in environmental psychology. The review included six longitudinal and 19 cross-sectional studies focusing on schoolchildren, adults, and the elderly. Most studies used the Landsat Normalized Difference Vegetation Index, which is a widely used measure of live green vegetation on Earth, calculated from satellite images, to measure greenspace exposure and examined outcomes such as academic achievement, global cognition, attention/executive functions, and memory. Although findings are inconsistent, they indicate a potential cognitive benefit from exposure to greenspace.

Activity-based workspaces

Activity-Based Workspaces (ABWs) are designed to offer flexibility by providing different spaces tailored to specific tasks, encouraging employees to choose environments that support their current work needs. Originally introduced to stimulate creativity in IT start-ups, ABWs are intended to facilitate both collaborative and focused work. However, Haapakangas et al (2023) found that the use of ABWs varies widely among employees, influenced by factors such as age, job role, and ergonomic satisfaction. High cognitive demands and collaborative tasks were associated with more active workspace switching, while distractions in ABWs led to frustration and a decrease in perceived environment fit. Haapakangas et al (2018) noticed that difficulties in locating available workspaces led to frustration and perceptions of time loss and recommend implementing real-time information systems to help employees locate suitable workspaces and accessible quiet zones to address privacy needs.

Clearly, there will always be a need for quiet working spaces, which also highlights the benefits of flexible working that includes home office work (should the individual wish to do so and has a quiet home office working space, which may not be possible for everyone).

The value of silence, and the value of controlled noise

Silence in the workplace offers numerous benefits, such as enhancing wellbeing, productivity, emotional regulation, and focus for all employees, but particularly for neurodiverse employees or those sensitive to noise. Quiet spaces reduce sensory overload and support productivity, especially for individuals on the autism spectrum or those with sensory processing disorders (Asselineau et al, 2024, Cox et al, 2024, Szulc, 2024). Open-plan offices, however, often contribute to decreased wellbeing due to limited privacy and excessive noise (Delle Macchie et al, 2018, Laughton, 2017).

Interestingly, silence can have the opposite effect on some, with controlled noise being beneficial for some individuals and tasks. Research on ADHD (Sikström and Söderlund, 2007; Söderlund et al, 2007; Söderlund et al, 2010) suggests that moderate background noise may enhance focus by helping the brain filter distractions. ADHD is linked to unusual functioning of the brain’s dopamine system, a neurotransmitter crucial for motivation, attention, and learning. Under typical conditions, stable dopamine levels allow the brain to regulate its responses to new stimuli, “dampening” reactions to prevent overstimulation. However, in individuals with ADHD, dopamine levels are lower than average, which causes the brain to overreact to external stimuli, leading to heightened sensitivity and difficulty filtering out distractions. In environments with moderate stimulation (like gentle noise or activity), people with ADHD can often focus well. This phenomenon, known as “stochastic resonance”, suggests that a moderate level of noise can improve cognitive performance by making it easier to distinguish important signals. Though it may seem counterintuitive, the right amount of noise can push a weak signal over a “detection threshold,” allowing it to stand out more clearly.

Stochastic resonance, observed across systems from biological networks to electronics, demonstrates how controlled noise can sometimes enhance performance. In the brain, this effect helps neurons respond more effectively to subtle stimuli. For individuals with ADHD, who typically have lower dopamine levels, computational models suggest that a slightly higher level of background noise may be needed to achieve this beneficial effect, enabling the brain to filter out distractions. However, both extremes – very quiet (low stimulation) or highly chaotic (high stimulation) environments – can impair focus. Empirical evidence supports this theory, indicating that tailored environmental adjustments, such as specific levels of background noise, can help individuals with ADHD better manage distractions and maintain concentration.

Studies by Vostal et al (2013) also highlight the need for adjustable acoustic environments for those with ADHD, as a controlled level of noise or visual simplicity can improve task engagement. In classrooms, Batho et al (2020) found that quiet zones or low-level background noise are beneficial, depending on the cognitive task – findings that may be relevant to workplace design as well.

It is not only the noise or activity in an environment that can be beneficial; the environment itself plays a crucial role. Kat Holmes notes that “the objects and people around us influence our ability to participate” (Holmes et al, 2018, p2). Certain settings can create a sense of belonging, such as the feeling of being part of a learning community in student study spaces, which can enhance concentration and productivity. Humans are inherently social beings, shaped by evolution to thrive in environments that support connection – provided there are also sufficient opportunities for solitude and silence when needed.

Summary

This short literature review underscores the importance of control, flexibility, and environmental sensitivity in workplace design. The research suggests that workplaces need to cater to individual preferences and diverse needs to create supportive and inclusive environments that foster both personal and organisational success. No preference is better or worse, it all depends on the individual and what works best for them.

Nic Kipar leads the Academic and Digital Development team at the University of Glasgow. She played an instrumental role in the creation of the James McCune Smith Learning Hub, focusing on inclusive active learning. Nic co-leads the Enhancing Learning & Teaching Practice workstream, contributing to the university’s Learning & Teaching strategy and planning for the upcoming Keystone building, which will feature large interdisciplinary labs. Nic also chairs a working group on Pedagogy in Superlabs, pioneering these innovative spaces for the university.

References

Asselineau, A, Grolleau, G and Mzoughi, N (2024) ‘Quiet environments and the intentional practice of silence: Toward a new perspective in the analysis of silence in organizations’ Industrial and organizational psychology, 17(3), pp 326-340

Batho, LP, Martinussen, R and Wiener, J (2020) ‘The Effects of Different Types of Environmental Noise on Academic Performance and Perceived Task Difficulty in Adolescents With ADHD’ Journal of attention disorders, 24(8), pp 1181-1191

Bayne, S (2024) Future of learning spaces University of Edinburgh: Learning & Teaching Design workshop,  28.10.2024

Bayne, S, Wood, H-R, Simmonds, R, Drysdale, T, Murray, E, Lamb, J, Christie, B. and Nicol, . (2024) Futures For Our Teaching Spaces: principles and visions for connecting space to curriculum Edinburgh: University of Edinburgh

Berman, MG, Jonides, J and Kaplan, S (2008) ‘The Cognitive Benefits of Interacting With Nature’ Psychological Science, 19(12), pp 1207-1212

Bernstein, ES and Turban, S (2018) ‘The impact of the ‘open’ workspace on human collaboration’ Philosophical transactions of the Royal Society of London. Series B. Biological sciences, 373(1753), pp 1-8

Bratman, GN, Daily, GC, Levy, BJ and Gross, JJ (2015) ‘The benefits of nature experience: Improved affect and cognition’ Landscape and Urban Planning, 138, pp 41-50

Champion, L. (2024) RE: Evolution is based on variation. Personal communication to Kipar, N., 05.11.2024

Cobaleda Cordero, A, Babapour, M and Karlsson, M (2019) ‘Feel well and do well at work: A post-relocation study on the relationships between employee wellbeing and office landscape’ Journal of corporate real estate, 22(2), pp 113-137

Colenberg, S, Jylhä, T and Arkesteijn, M (2021) ‘The relationship between interior office space and employee health and well-being – a literature review’ Building research and information: the international journal of research, development and demonstration, 49(3), pp 352-366

Cox, CB, Krome, LR and Pool, GJ (2024) ‘Breaking the sound barrier: Quiet spaces may also foster inclusivity for the neurodiverse community’ Industrial and organizational psychology, 17(3), pp 350-352

Craft, A (2005) Creativity in schools: tensions and dilemmas London/New York: RoutledgeFalmer

Cvijanovic, M (2019) The relationship between workspace and office placement and workforce productivity and wellbeing Doctor of Philosophy, Walden University, Minneapolis, Minnesota

Danielsson, CB and Bodin, L (2008) ‘Office Type in Relation to Health, Well-Being, and Job Satisfaction Among Employees’ Environment and behavior, 40(5), pp 636-668

Delle Macchie, S, Secchi, S and Cellai, G (2018) ‘Acoustic Issues in Open Plan Offices: A Typological Analysis’ Buildings (Basel), 8(11)

Ghaemi Flores, S (2023) From cubicles to collaboration: A study on the transformation of government office spaces driven by cost-efficiency, digitilization, and modernization Master of Science, KTH Royal Institute of Technology, Stockholm

Gilchrist, K, Brown, C and Montarzino, A (2015) ‘Workplace settings and wellbeing: Greenspace use and views contribute to employee wellbeing at peri-urban business sites’ Landscape and urban planning, 138, pp. 32-40

Haapakangas, A, Hallman, DM, Mathiassen, SE and Jahncke, H (2018) ‘Self-rated productivity and employee well-being in activity-based offices: The role of environmental perceptions and workspace use’ Building and environment, 145, pp 115-124

Haapakangas, A, Sirola, P and Ruohomäki, V (2023) ‘Understanding user behaviour in activity-based offices’ Ergonomics, 66(4), pp 419-431

Holmes, K (2018) Mismatch: how inclusion shapes design Cambridge, Massachusetts: The MIT Press

Laughton, K-A (2017) The Effects of Workspace Office Layout on Aspects of Employee Wellbeing MA, University of Witwatersrand, Johannesburg

Laughton, K-A and Thatcher, A ‘Health and Wellbeing in Modern Office Layouts: The Case of Agile Workspaces in Green Buildings’ Proceedings of the 20th Congress of the International Ergonomics Association (IEA 2018), Florence, Italy: Springer International Publishing, pp 831-840

Lee, SY and Brand, JL (2005) ‘Effects of control over office workspace on perceptions of the work environment and work outcomes’ Journal of environmental psychology, 25(3), pp 323-333

Lin, Y-S (2020) ‘Possibility Thinking’ The Palgrave Encyclopedia of the Possible Cham: Springer International Publishing, pp 1-9

Morrison, RL and Macky, KA (2017) ‘The demands and resources arising from shared office spaces’ Applied ergonomics, 60, pp 103-115

Ricciardi, E, Spano, G, Lopez, A, Tinella, L, Clemente, C, Elia, G, Dadvand, P, Sanesi, G, Bosco, A and Caffò, AO (2022) ‘Long-Term Exposure to Greenspace and Cognitive Function during the Lifespan: A Systematic Review’ International Journal of Environmental Research and Public Health, 19(18)

Runco, MA (2007) Creativity: theories and themes: research, development, and practice Amsterdam; Boston: Elsevier Academic Press

Ruohomäki, V, Lahtinen, M and Reijula, K (2015) ‘Salutogenic and user-centred approach for workplace design’ Intelligent Buildings International, 7(4), pp 184-197

Sikström, S and Söderlund, G (2007) ‘Stimulus-Dependent Dopamine Release in Attention-Deficit/Hyperactivity Disorder’ Psychological Review, 114(4), pp 1047-1075

Söderlund, G, Sikström, S and Smart, A (2007) ‘Listen to the noise: noise is beneficial for cognitive performance in ADHD’ Journal of Child Psychology and Psychiatry, 48(8), pp 840-847

Söderlund, GBW, Sikström, S, Loftesnes, JM and Sonuga-Barke, EJ (2010) ‘The effects of background white noise on memory performance in inattentive school children’ Behavioral and Brain Functions, 6(1)

Szulc, JM (2024) ‘Embracing silence: Creating inclusive spaces for autistic employees’ Industrial and organizational psychology, 17(3), pp 357-359

Tasler, N (2024) RE: Aladdin Personal communication to Kipar, N 05.11.2024

van der Vleuten-Chraibi, S (2019) Lighting in multi-user office environments: improving employee wellbeing through personal control PhD, Eindhoven University of Technology, Eindhoven

Vostal, BR, Lee, DL and Miller, F (2013) ‘Effects of Environmental Stimulation on Students Demonstrating Behaviors Related to Attention Deficit/Hyperactivity Disorder: A Review of the Literature’ International Journal of Special Education, 28(3), pp 32-43


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Learned Words – how poetry might help staff in HE to feel more at home

by Sam Illingworth

Poetry has the potential to build communities and provide shelter for people who otherwise feel isolated. Whether using poetry as a method of spiritual and mental healing in palliative care or being used to foster community development and positive change, poetry has the power to heal, support, and engender action. Similarly, community engagement projects such as Talking Wellness and The Good Listening Project have been designed to develop social capital and enhance community engagement for often marginalised communities, encouraging participants to reduce the stigma around mental health and wellbeing by talking about it through poetry.

Poetry also has a long history of helping to explore issues of belonging, from using poetry to support women in prison, to aiding student nurses explore the complexities of compassion fatigue. Within the context of higher education, there are also examples of poetry being used to help students cope with stress and anxiety, as well as instances of poetry being used to improve presentational technique and to explore teacher-student relationships. However, to date there is a relative paucity of work exploring how poetry might be used to help staff working in higher education to address their own sense of belonging in what can, at times, be a somewhat harsh and unwelcoming landscape.

As a way of trying to address this gap, and to explore the potential for helping those working in higher education, we set up Learned Words as an anonymous repository of poetry; a place to curate the poetic reflections of people from around the world who support learning and teaching in higher education.

Whether it be the exclusivity evidenced in ‘Barred Doors’:

I know whiskey when I smell it
Down the hall and through the corridors
The chosen scent of patriarchy
Accept it or the doors are barred

Or the lack of institutional support discussed in ‘Imposter Syndrome’:

Is it imposter syndrome
When I strongly believe I should be here
Yet
You tell me I don’t belong.

Learned Words was set up so that readers might reflect on their own experiences and find solace and hope in the words of others. Poetry has the capacity to lay bare that which cannot otherwise be said, providing a frame for reflection, recognition, and perhaps even reconnection. We acknowledge that each poem will be encountered differently to each reader, and that what might resonate for some will contend for others; such is the subjective nature of the medium. In presenting these poems we also hope to provide some creative playfulness to complement the profound; something which readers might find in these lines from  ‘Inner Monologue at a Conference’:

Free wine and coffee combine to create
An atmosphere of compulsory enjoyment;
Conference assistants and helpers tell me:
This is the friendliest conference in humanity.
I see a former colleague and bow my head,
We pass like kidney stones in the night.

We welcome poems from anyone working in the higher education sector; there is no gatekeeping with regards to aesthetics, reputation, or succinctness of thought. Rather, we want to create a space were everyone is welcome to read, to write, and ultimately to belong.

Dr Sam Illingworth is an Associate Professor at Edinburgh Napier University, whose research centres on using poetry and games to help develop dialogue between communities. You can find out more about his research via his website www.samillingworth.com and connect with him on twitter @samillingworth. 


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Leadership in a changing landscape: the role of heads of department

by Jane Creaton and Claire Gordon

This blog post draws on research conducted as part of an ongoing study of the role of heads of department (HoDs) in universities in the UK. In particular, we are interested in the key factors influencing how the role of HoD is experienced and enacted, including disciplinary contexts, institutional structures and type of university. The project is concerned with the extent to which current leadership and management programmes provide adequate preparation and support for the role, which may be particularly vulnerable to work-related stress. It is also concerned with the creative and critical leadership responses that HoDs are adopting in response to the present changing and uncertain higher education environment. Our findings are based on a sector-wide survey and 18 in-depth interviews conducted in 2019, but are also informed by two earlier research projects that explored the role of HoD in teaching-focussed and research-intensive universities (Creaton and Heard-Laureote, 2019).

Uncertainty, change and lack of preparation: becoming a HoD

It is a particularly challenging time to become a HoD in UK higher education. In the external environment, HoDs have to grapple with growing sectoral-level demands and new forms of accountability – while the REF has been in place in one form or another since 1986, TEF, APP and KEF have brought new demands and targets. These are compounded by huge financial uncertainty given the possibility of a change to fee structures following the Augar review and continuing uncertainty over Brexit. The latter is likely to have consequences in future for: the presence of European staff and students at UK universities; the possibilities for student  mobility under Erasmus+; and European research funding. Within institutions, HoDs spoke of experiencing continuous restructuring and centralising, an exponential rise in demands from above and below, limited institutional power and authority compared to the past, and tensions between their academic and managerial identities. It is also worth noting that markers of esteem (Kandiko-Howson and Coate, 2015) – prior to taking on the headship – had been based on academic success indicators which do not translate easily into necessary skill-sets and areas of expertise required for the role. Some HoDs had received no preparation or training for the role and there was considerable variation in what had been received. One HoD took part in an innovative co-created developmental programme with other new HoDs, some participated in generic leadership programmes (which were generally considered to be ill-suited to the specific HE context), and others in formal or informal coaching and mentoring arrangements.

Wellbeing and work-related stress: the lived experience of being a HoD

The importance of staff and student mental health and wellbeing has been a high profile issue in the HE sector over the past few years. Reports from Universities UK, Healthy Universities, Wellcome Trust, and HEPI have indicated high levels of depression, stress and anxiety in universities and recommended institution-wide approaches to tackle support the mental health of their students and staff. In response, many institutions have developed mental health and wellbeing strategies. However, for many HoDs, this has simply added another layer of responsibility for staff and students within their department without addressing the issues which may affect their own mental health and wellbeing. Our interviewees identified the sheer quantity and breadth of daily demands on today’s HoDs. At the micro-level, HoDs were booking rooms, arranging chairs and chasing up Estates and at the macro-level, HoDs were contributing to high-level management committees and strategy development. And for many the most time-consuming and stressful elements of their role related to managing challenging colleagues, which took up inordinate amounts of time and energy.

The HoD job specification often seemed to include responsibility for everything that happened within the department. An expectation that the HoD is also responsible for the mental health and wellbeing of all their students and staff may locate the deficit with the HoD rather than with some of the wider structural and societal factors. While some were able to thrive in this environment, others could not help but be affected by the huge pressures they were operating under.

“There’s an emoticon on Skype for Business which is banging my head against a brick wall. … But it’s not always like that” (Interview with HoD, 2019)

Some HoDs had clearly developed effective coping strategies and support networks inside and outside their university, others spoke of loneliness and isolation including wakeful periods in the night and the constant flow of emails at every hour of the day and night.

‘The sense of shouldering the burden in the sense that it’s all consuming never goes away. You occasionally get called up in the middle of the night …’ (Interview with HoD, 2019)

What might we mean by creative and critical leadership in challenging times?

A quick Google search yields a range of approaches under the ill-defined notion of creative leadership. The fluidity of the term clearly allows rather liberal interpretation. At one end of the spectrum, we see evidence of the notion of creative leadership being co-opted as part of the discourse of the neoliberal university, providing a smokescreen for ever increasing demands on HoDs in face of the increasing metrification of higher education. A different approach to creative and critical leadership also came through in our research, where creativity lay in finding effective ways to subvert institutional expectations and norms. Some HoDs spoke of gate-keeping and others translating up and down the messages that were coming from the senior leadership as well as their departments, others made choices as to what to do and what to ignore.

‘There’s a translational bit, where I speak two languages, and then on either side they only speak one.” (Interview with HoD, 2019)

One of our HoDs highlighted their commitment to emphasising the intrinsic values of higher education and community as a counter to the ever-greater focus on metrics and accountability, with another purposefully prioritising relationship-building over emails. And finally, perhaps the most radical of all were the HoDs who insisted on prioritising self-care, modelling good work-life balance and ensuring informal support networks for themselves to enable them to flourish in their roles.

Jane Creaton is Associate Dean (Academic) for the Faculty of Humanities and Social Sciences and a Reader in Higher Education at the University of Portsmouth. She has been a member of the SRHE Governing Council since January 2019. Claire Gordon is Director of the LSE Eden Centre for Education Enhancement at the London School of Economics and Political Science. 

References

Creaton, J and Heard-Laureote, K (2019) ‘Rhetoric and reality in middle management: the role of heads of academic departments in UK universities’, Higher Education Policy https://doi.org/10.1057/s41307-018-00128-8

Kandiko-Howson, C and Coate, K (2015) The Prestige Economy and Mid-career Academic Women: Strategies, Choices and Motivation, Paper presented at the Society for Research into Higher Education Annual Research Conference, Newport, UK. 

This is the second in a ‘virtual symposium’ series which began on with Jane Creaton’s blog on 28 February 2020: Leadership in a Changing Landscape.