Resources

DEI in Higher Education

What is DEI?
Diversity, Equity, and Inclusion, commonly referred to as DEI, is a highly critical aspect of any organization; and DEI in education, specifically higher education, is especially important. DEI in higher education institutions encompasses the policies and practices designed to help ensure everyone in the institution, whether it is faculty, staff, or students, have equal opportunities for success and inclusion, no matter their background.
 
Understanding DEI
Diversity includes race, ethnicity, gender, religion, sexual orientation, geographical representation, and political beliefs, among many other factors. However, what diversity means varies amongst individuals. Studies have shown that race, gender, and sexual orientation are almost always the top three concerns for those working in the field, but inclusion is equally important.
 
DEI in Higher Education – why it’s important
Prioritizing DEI in higher education not only impacts students, faculty, and staff, but also the institution and entire campus. DEI provides advancement opportunities for underrepresented communities and comes into play when recruiting students, hiring faculty and staff, shaping campus culture, encouraging career advancement, setting up tenure processes, examining employment budgets, and making forward-looking decisions.
 
Benefits of DEI
DEI promotes personal growth, a healthy society, and fosters mutual respect and teamwork amongst the institution. DEI brings multiple perspectives and challenges stereotypical preconceptions, encourages problem-solving and critical thinking, and helps individuals learn how to communicate effectively with people of different backgrounds. Most importantly, DEI enriches the educational experience, as we learn from those whose experiences, beliefs, and perspectives are different from our own.
 
Why does DEI fail?
Although investing in DEI is never a waste of an institution’s time or resources, there are several reasons why DEI efforts are not as effective. Despite overwhelming evidence that institutions are becoming more demographically diverse, research has shown that more than half of employees feel excluded and isolated at work. Institutions with DEI initiatives are also experiencing employee fatigue because employees either feel exhausted, frustrated, or skeptical whether their DEI efforts provide expected tangible results.
Many employees are trying to improve DEI initiatives by starting either an employee resource group or a DEI Council to get things started. However, over time those same employees often end up feeling frustrated, burned out, and discouraged because they do not believe that their institution is equally invested and committed to advancing DEI due to lack of participation, support, and investment. Unfortunately, when employees feel their efforts are in vain, they eventually give up. This is especially difficult when management and those in leadership positions lack diversity and often underestimate and overlook the time, commitment, money, and effort needed to improve and sustain DEI.
 
How to build a more successful DEI strategy
For DEI initiatives and strategies to succeed, institutions need to set the tone at the top and have a top-down, systemic, business-led approach to demonstrate DEI is an essential part of the culture and institution. It is also imperative that institutions set clear, specific, and achievable goals, establish accessible protocols, build equity into the structure, and, most importantly, lead by example. Management and leadership need to take an active role in implementing initiatives and prioritizing DEI. This should not be the sole responsibility of the DEI employees.
 
What can Internal Audit do?
Internal Audit can get involved and support DEI initiatives by conducting DEI audits for their institution. The DEI audit will highlight how well the institution supports diverse and underrepresented employees and put a spotlight on areas where the institution is progressing, as well as identify issues and challenges that exist that need a little more attention. Having Internal Audit support DEI fosters an institution that embraces inclusivity, nurtures a sense of belonging, and amplifies opportunities for individuals from historically underrepresented backgrounds. Internal Audit’s strategic commitment aids in creating a stronger institution that thrives on a diverse array of perspectives and experiences. DEI audits are an opportunity to dig beneath the surface and reflect on the institution’s own priorities and goals. DEI audits are critical tools that, when done properly and consistently, can be a real advocate for institutional change.
 
Because DEI success does not happen overnight, creating a diverse, equitable, and inclusive institution is a continual process; one that requires constant growth from all levels: individual to the institute.
 
Editor’s Note: The ACUA DEI committee plans to send a survey to its members in the coming months. Your participation is greatly encouraged.

Creating an Intentional Culture of Inclusiveness:‎ A Conversation with ACUA Leadership on Diversity and Inclusion ‎

For many, 2020 will long be remembered as a year of reckoning and change in the U.S., marked by a global pandemic, an economic crisis, political unrest and racial tension. In response to a year like no other, ACUA’s President, Julia Hann issued a call for volunteers on July 2, 2020 as ACUA prepared to launch its first-ever Diversity and Inclusion Leadership Committee. In her note to the ACUA family, Julia stated that “the board is deeply committed to examining our core values and making sure inclusivity, respect, appreciation and embracing our differences is part of our foundation as an association,” and that the board wants “to ensure ACUA is welcoming to everyone.”

The group began by exploring the definition of diversity and inclusion (D&I) and identifying the committee’s goals and objectives. 
Within weeks, the call was answered. Approximately 15 members convened at the initial meeting. The group began by exploring the definition of diversity and inclusion (D&I) and identifying the committee’s goals and objectives. As the conversation unfolded, it was clear that D&I is a multi-faceted construct that extends beyond gender and race. It continues to gain importance as consumers hold organizations accountable for creating a measurable culture of inclusivity.

ACUA conducted a baseline membership survey and identified ACUA’s membership demographics are approximately 55% female and 41% male, with 4% providing no response or preferring not to answer. In terms of race, 67% of the members identified as white (not Hispanic or Latino), 12% Black or African American, 7% Asian, 6% Hispanic, Latino, or of Spanish origin and 1% Native American. The remaining 7% identified as multiracial or preferred not to answer. The survey also explored other aspects of diversity including age, religion, ACUA volunteerism and the size and location of members’ institutions.

In addition, studies show that D&I committees are most successful when leadership is on board with the initiative.
A 2020 study published by McKinsey & Company, a global management consulting firm, found that “the greater the representation, the higher the likelihood of outperformance and the likelihood of outperformance continues to be higher for diversity in ethnicity than for gender.”[1] In addition, studies show that D&I committees are most successful when leadership is on board with the initiative. Therefore, the work of the committee, in collaboration with the board, includes examining how to use this information to identify and shape ACUA’s strategic priorities and desired outcomes. During the board meeting, Deidre Melton, D&I Committee Chair, detailed the committee’s conversation in order to gain insight on how ACUA leadership ranks the importance of D&I work and what they expect to gain by creating the sub-group. The board spoke candidly on the topic as reflected in the summary below.

Q: When you hear the words “diversity and inclusion,” what does that mean to you?

A: Taking different viewpoints, membership needs and perspectives into consideration. Allowing all voices to be heard, while making room at the table and creating a safe space. Proactively supporting a platform and opportunities (in the structures and processes of the organization) for people from different groups or backgrounds, including those who have been excluded.

A: Accepting all people, irrespective of group affiliation. Willingness to listen to and acknowledge our differences in order to confront issues that create barriers to addressing and eliminating bias.

There are many different aspects of diversity, but inclusion comes first.
A: There are many different aspects of diversity, but inclusion comes first. How do we ensure we welcome everyone who wants to be involved? Once people feel included, they may be more interested in volunteering and taking on leadership positions.

Q: Why is it important for ACUA to tackle this sensitive topic as an organization and within our separate institutions?

A: We don’t know what we don’t know, and we owe it to our membership to be intentional about ensuring that all members feel included, supported and valued, and to make sure they can participate as much as they want to.

A: Higher education is sensitive to the cultural climate; therefore, this topic is important to our campus communities. Not every university offers training on D&I, but ACUA is positioned to train our members, offer education and provide resources.

A: We had more questions than answers and felt like we had a lot of growing and learning to do. We recognized possible issues, but also knew we needed help.

 A: As this is an important topic for everyone, for our growth as an organization and as individuals, we need to create processes and protocols that will support this issue. We need to act, not just put out a statement: walk the walk, not just talk the talk!


Q: What are some of the most beneficial things that can move the needle on inclusion or shift the culture within ACUA?

A: Being proactive and intentional with our plans to put this initiative at the top of the priority list for everything we do. Practicing [inclusivity] until it is second nature and an embedded part of our processes, planning and programming.

A: Adding D&I training at all levels, including the board, committees, members and volunteers. It should also be included as part of the volunteer recruitment process.

A: Building a future speaker’s program to help increase speaker diversity at our conferences and webinars.

A: Push our working partners to further their diversity initiatives and raise awareness of what steps they are taking at their organizations. Focus our work with likeminded groups that prioritize D&I as well.


Q: When thinking of successful outcomes for this committee, what does that look like to you?  What activities or initiatives would you like to see the committee lead?

A: Creating an intentional culture of inclusiveness where we encourage members to speak out.

A: Offering education and resources. Assisting members in evaluating their institutional D&I programs.

We all have a role to play, but we need the expertise of the D&I committee to help lead the association in the right direction.
A: Consultation, thought leadership and partnership with ACUA’s board and membership.

A: Diversifying speakers for conferences and webinars. Breaking the cycle of using the same people in the same way.

The conversation closed with this thought: We all have a role to play, but we need the expertise of the D&I committee to help lead the association in the right direction. As the committee’s final charter, goals and objectives take shape, the vision of creating a better tomorrow has never been clearer.

References

[1] https://www.mckinsey.com/featured-insights/diversity-and-inclusion/diversity-wins-how-inclusion-matters

Employee Engagement in 2021: What’s Feedback Got to Do With it? ‎

The definition of “feedback” in the Merriam-Webster dictionary is: “the transmission of evaluative or corrective information about an action, event, or process…”[1] As auditors, we should be great at this. We constantly give and receive feedback on our work through review notes. We should be masters of feedback!

But are we?

It doesn’t take much searching on the internet to find articles related to the latest and greatest team members in offices across the United States. Individuals from the Millennial and “Gen Z” demographics make up a growing percentage of the workforce, and research suggests that they want more feedback from their employers.

They aren’t alone. Lately, it seems that everyone would like more feedback. As a result, human resource departments have developed new strategies, such as upward, downward, anonymous and 360-degree performance feedback.

But employees don’t just want to receive more feedback; they also want it to be timely and constructive. To assist companies in meeting these expectations, HR software companies offer tools designed to generate feedback in real-time. For example, after giving a presentation, their systems allow you to send a request for immediate feedback using an app!

Many of us in leadership positions are expected to attend classes about how to give feedback, how to receive feedback and how to be candid with team members. In these classes we are taught opening phrases like: “Is now a good time for me to give you feedback?” We’re also told to “mirror” what we hear when we receive feedback by asking questions like: “Did I hear you say that I need to work on my communication skills?”

There are a plethora of books, articles and business journals full of information about better ways to give feedback. You may have picked up books along the way to help you have “Crucial Conversations,” maintain “The Growth Mindset” to fulfill your potential or discover how “The Feedback Imperative” will speed up your team’s success. These books provide specific tools to improve communication, stay open-minded and build resilience that is essential for living up to our potential. This is just a small sample of the resources available on this topic.

The 2017 State of the Global Workplace report[2] by Gallup lists six broad changes that organizations need to make to attract and retain the newest U.S. workforce generation. Two of these focus on feedback and emphasize the need to transition from a “boss” to a “coach” and from having “an annual review” to holding “ongoing conversations.”

Not long ago, a “60 Minutes” episode featured Bridgewater, the world’s largest hedge fund, which was founded by Ray Dalio. Mr. Dalio decided to build his company around a commitment to “radical transparency.” His book, “Principles,” is centered around this idea and offers 210 prescriptions for work and life. He believes that the way to be successful is to see the world clearly, no matter how positive or negative the reality is.

Every meeting at Bridgewater is videotaped and archived. These tapes are made available for all team members in the company to view in their “Transparency Library.” Employees are also able to score their colleagues in real time on an iPad after calls, meetings or other interactions. Bridgewater calls these real-time ratings a “baseball card.” Its intent is to hold each individual accountable for who they really are.

Because of his organization’s extreme stance on feedback, Dalio admitted that 30 percent of new hires leave within 18 months. But those who value the transparency and honesty stay.

Since research indicates that people want more frequent and robust feedback, then as the individuals responsible for employee engagement, our job is to help our team members get better at giving and receiving feedback.

At Stinnett, we’ve been focused on culture and employee engagement since 2014. We focus on building the culture that our team members want at work. Creating core values, guiding principles and a “why” statement that are authentic to who we are has required significant effort. Our culture was not manufactured by top leadership, but was created organically, by the team and for the team. This has allowed us to build a safe environment that encourages individuals to join and stay with the organization. This year, we were thrilled to earn a spot on the Great Place to Work’s Best Workplaces in Consulting and Professional Services. [3]

We’d like to provide you with four items that we believe must exist to make feedback work. We call these the STAR approach to feedback.

STRENGTHS –We know our team members want opportunities to learn and grow. We also understand that an individual’s greatest opportunity for growth and success is in their areas of strength, not weakness. Providing strength-based feedback inspires next-level performance.

As auditors, we are hardwired to review for errors. When we are reviewing the work of others, our first instinct is to look for mistakes and opportunities for improvement. Typical feedback also attempts to correct any negative behaviors or weaknesses. But research indicates that focusing on employee weaknesses doesn’t improve performance. Yes, critical feedback is sometimes necessary, but performance will be improved when feedback focuses on strengths as well as constructive criticism.

TRUST – We believe that no matter how many books you read or what software your organization invests in, feedback is only received well when managers first build trust. If you want to influence performance, people need to know you are interested in their development as a person. There is a quote, often attributed to Theodore Roosevelt, that we reference frequently when thinking about feedback: “They don’t care how much you know, until they know how much you care.”

Building trust begins with clarifying expectations. Each employee should be aware of their role and goals on the team or on the project, including discussions of appreciation for the employee’s strengths and the development opportunities the project brings. Once the project begins, the supervisor should check in with the employee frequently to stay abreast of their short-term priorities. This helps them see that the supervisor is invested in their day-to-day reality. Once or twice a month, managers should have a more in-depth conversation that focuses on short-term and long-term goals and priorities. This conversation deepens trust, as it is a frequent reminder that the supervisor is invested in the employee’s development and ensures that the goals set in the expectations discussion are being addressed.

ACCOUNTABILITY – What accountability looks like in feedback is the creation of agreements. If the manager has developed trust with the employee and provided clear expectations and ongoing communication, there is an agreement made that the employee will fulfill their obligations or communicate when they can’t. When these agreements are broken, either due to lack of clear communication or unfulfilled responsibilities, both parties must acknowledge their role in the broken agreement and agree to move forward. The underlying element of trust in the relationship allows each party to move on without blame.

RECOGNITION – In Marcus Buckingham and Ashley Goodall’s latest book, “Nine Lies about Work: A Freethinking Leader’s Guide to the Real World,” they dispel many of the accepted truths of the workplace today. Their fifth lie in the book is titled: “People Need Feedback.” Here, they argue against the theory that all people need feedback. Their research suggests that there are three theories related to feedback that are untrue. While we can’t hash out those three false beliefs in this article, they do reveal the truth that people need attention. Yes, feedback is attention. But Buckingham and Goodall argue that positive attention is 30 times more powerful than negative attention in creating high performance. The end goal should be to pay attention to what is working and help people build on it. Giving recognition and appreciation might be the most underused tool for increasing engagement and wellbeing.

Based on Gallup’s State of the Global Workplace report, employees in today’s workforce expect their managers to coach them. If you want employees who are engaged and high performing, we challenge you to utilize the STAR approach to feedback. Know and understand your employee’s STRENGTHS to create a field of inclusion and celebrate differences. Ensure you provide an environment of TRUST. Use ACCOUNTABILITY to promote a culture of reliability, and provide appropriate positive RECOGNITION and appreciation to increase positive energy across your entire team.
 
Further Reading:

  • “Crucial Conversations: Tools for Talking When Stakes Are High,” by Kerry Patterson, et al.
  • “The Feedback Imperative: How to Give Everyday Feedback to Speed Up Your Team’s Success,” by Anna Carroll
  • “The Growth Mindset: A Guide to Professional and Personal Growth,” by Joshua Moore and Helen Glasgow
  • “Nine Lies About Work: A Freethinking Leader’s Guide to the Real World,” by Marcus Buckingham and Ashley Goodall
  • “Principles: Life and Work,” by Ray Dalio
  • “StrengthsFinder 2.0,” by Tom Rath

References

  1. “Feedback.” Merriam-Webster.com Dictionary, Merriam-Webster, https://www.merriam-webster.com/dictionary/feedback. Accessed 22 Jun. 2021.
  2. Gallup. State of the Global Workplace. Gallup Press, December 2017.
  3. Great Place to Work. “Working at Stinnett & Associates.” (Certified Oct 2020-Oct 2021 USA). Great Place to Work®, www.greatplacetowork.com/certified-company/7022171.

Workplace Culture in Higher Education: Embracing Empathy

The focus of the summer 2021 issue of College and University Auditor is workplace culture, a topic which has moved to the forefront as employees assess their current work situation. ACUA members contributed articles related to emotional intelligence, professional feedback and changing stakeholders’ perceptions of internal audit. In this ConnectFurther article, we examine another component of workplace culture: empathy. Here, we provide some insight into what empathy is and how it can be utilized to enhance overall culture. We also reflect on the results of the workplace culture survey created by the ACUA journal staff. This survey asked our members how they view the culture at their workplaces and what methods they have introduced to foster a positive workplace environment.

Empathy is defined by the Cambridge Dictionary as: “the ability to share someone else’s feelings or experiences by imagining what it would be like to be in that person’s situation.”


Empathy is defined by the Cambridge Dictionary as: “the ability to share someone else’s feelings or experiences by imagining what it would be like to be in that person’s situation.”[1] While many of us were taught to be empathetic towards each other when we were young, exercising empathy in the workplace can be an entirely different challenge. For this to happen, we must all work to increase our awareness of and respect for the feelings, opinions, experiences and perspectives of our coworkers. This increased awareness may not happen overnight. However, by making this a focus of your institution’s communications and training, you can help to create an empathetic workplace culture. According to GovLoop[2], a knowledge-based training and thought leader for government and non-profit institutions, there are six key concepts related to fostering empathy in the workplace: Active Listening, Constructive Feedback, Emotional Intelligence, Conflict Management, Unconscious Bias, and Diversity, Equity & Inclusion.

Key Concepts

  1. Active Listening – This is the process of concentrating on the individual or individuals who are speaking, so that you can fully understand the information they wish to convey. Understanding what other people are trying to say is a vital component of being empathetic. In addition, active listening shows colleagues that you respect them and value their perspectives.Constructive feedback is extremely important in fostering a positive workplace culture.
  2. Constructive Feedback – Constructive feedback is extremely important in fostering a positive workplace culture. Instead of pointing out every negative aspect of an employee’s performance, practice empathy by giving feedback that recognizes their strengths while identifying how they could be more effective. This can increase employees’ openness to your suggestions and strengthen your organization’s overall workforce.
  3. Emotional Intelligence – While active listening allows people to understand each other’s perspectives or situations, providing training that increases emotional intelligence helps employees stay cognizant of their colleagues’ feelings as well. This enhances the productivity of communication between employees and fosters a supportive workplace culture.
  4. Conflict Management – Training in this area can help employees understand their unique style of conflict management and determine the style used by their coworkers. This knowledge allows employees to better navigate disagreements by approaching them from a place of mutual understanding rather than judgment.
  5. Unconscious Bias – Everyone is susceptible to unconscious biases formed by the content they consume and the experiences they have throughout their lives. Bias-related training can help employees identify and understand their own biases. Combining this awareness with the other elements of empathy can help break down unconscious biases by cultivating meaningful, thoughtful relationships.Senior management can set the tone throughout the institution by providing an open, non-judgmental forum for individuals to share their experiences.
  6. Diversity, Equity & Inclusion – Promoting practices that hold individuals accountable for fostering diversity and inclusion also creates a positive, welcoming workplace culture. To ensure a more diverse workforce, examine processes such as recruitment and conflict resolution using the elements of empathy. Senior management can set the tone throughout the institution by providing an open, non-judgmental forum for individuals to share their experiences.
     

Survey Overview

The ACUA journal staff created a workplace culture survey to gain a better understanding of how these six concepts have been implemented across our institutions. We received 25 responses, with 80% of respondents indicating they work in the public sector and 72% stating that they work in an audit shop of one to five individuals. Of these respondents, 68% hold the title of manager, director or Chief Audit Executive. In addition, 92% have been with their institutions for three years or longer, allowing them ample time to gain a good understanding of both the current workplace culture and recent changes.

Detailed Results

The survey asked a series of questions related to workplace culture. The first question (see chart below) asked individuals to rate their satisfaction with their current workplace culture from one (dissatisfied) to 10 (satisfied). Our respondents were largely satisfied with the culture at their workplaces, with 84% rating their current employers between six and eight, and 92% rating their institutions six or higher.




Although our response data is not comprehensive enough to draw comparisons against other industries, the results indicate that our ACUA members feel generally positive about their current workplaces and the efforts underway to enhance workplace culture.

Over 90% of the respondents acknowledged that their institutions have taken steps to address Diversity, Equity & Inclusion.


The next part of our survey explored which of the six key concepts of empathy respondents felt their organizations promoted or had taken steps to address. Over 90% of the respondents acknowledged that their institutions have taken steps to address Diversity, Equity & Inclusion. In contrast, only 33% recognized their organizations as promoting Empathy and Emotional Intelligence.



It is no surprise that the concept of Diversity, Equity & Inclusion ranked so high in our surveys, as this has been a hot topic in the United States of late. It is inspiring to see such a high percentage of our institutions actively working to address this issue and promote change. On the other hand, the relatively low percentage of organizations actively promoting Empathy and Emotional Intelligence highlights the challenges of implementing change in these areas.

The final question in our survey asked respondents to comment on methods their departments, organizations and institutions have utilized to promote these six key concepts. It is our hope that these responses may help to highlight steps that the rest of our community can take to continue building a positive workplace culture for everyone!

Approaches for Enhancing the Six Key Concepts of Empathy

  • Conducted mandatory training geared towards listening and communication
  • Established and required compliance with “Rules of Engagement” that address each of the six key concepts
  • Created open door policies and flexible scheduling
  • Formed Diversity, Equity & Inclusion committees to draft policies
  • Created a campus-wide Employee Engagement survey
  • Included Diversity, Equity & Inclusion in the university’s Strategic Plan
  • Created positions at the Vice President level to direct Diversity, Equity & Inclusion and Unconscious Bias training
  • Participated in a Franklin Covey[3] training series as a department
  • Embedded metrics centered around the six key concepts in the institution’s Human Resources review criteria

References

  1. Cambridge Dictionary. (n.d.). Empathy. In dictionary.cambridge.org dictionary. Retrieved June 29, 2021, from https://dictionary.cambridge.org/us/dictionary/english/empathy
  2. https://www.govloop.com/resources/empathy-in-the-workplace-a-govloop-toolkit/
  3. https://resources.franklincovey.com/culture-transformation