Louisiana State University LSU Digital Commons LSU Doctoral Dissertations Graduate School 7-2-2019 Strategically Engaging the Third Mission: A Comparative International Case Study of Alternative Revenue Strategies Between the U.S Flagship University and the European World Class University (WCU) Harry Michael Clayton Louisiana State University and Agricultural and Mechanical College, michael.clayton231@gmail.com Follow this and additional works at: https://digitalcommons.lsu.edu/gradschool_dissertations Part of the Educational Leadership Commons, and the Higher Education Administration Commons Recommended Citation Clayton, Harry Michael, "Strategically Engaging the Third Mission: A Comparative International Case Study of Alternative Revenue Strategies Between the U.S Flagship University and the European World Class University (WCU)" (2019) LSU Doctoral Dissertations 5014 https://digitalcommons.lsu.edu/gradschool_dissertations/5014 This Dissertation is brought to you for free and open access by the Graduate School at LSU Digital Commons It has been accepted for inclusion in LSU Doctoral Dissertations by an authorized graduate school editor of LSU Digital Commons For more information, please contactgradetd@lsu.edu STRATEGICALLY ENGAGING THE THIRD MISSION: A COMPARATIVE INTERNATIONAL CASE STUDY OF ALTERNATIVE REVENUE STRATEGIES BETWEEN THE U.S FLAGSHIP UNIVERSITY AND THE EUROPEAN WORLD CLASS UNIVERSITY (WCU) A Dissertation Submitted to the Graduate Faculty of the Louisiana State University and Agriculture and Mechanical College in partial fulfillment of the Requirements for the degree of Doctor of Philosophy in The School of Education by Harry Michael Clayton BS, McNeese State University, 1971 BA, Colorado State University, 1978 MAT, Louisiana College, 2013 MEd, Louisiana State University, 2016 PhD, Louisiana State University August 2019 © year/copyright Harry Michael Clayton All rights reserved ii ACKNOWLEDGMENTS I would like to express my deepest appreciation to my committee for their guidance, mentorship, flexibility, encouragement, and dedicated interest in my study Dr Jennifer Curry, Chair of my committee, generously shared her wisdom and vision as an academic, empowering me to broaden the boundaries of “my best” and turn my passionate effort, as a novice researcher, into a manuscript that qualified as a doctoral dissertation Dr Carlos Lee consistently remained by my side step-for-step, with an always–calming energy that strengthened my confidence and motivation, from the beginning of my master’s studies through delivery of my final defense Dr Margaret–Mary Solentic Dowell was amazing in her unwavering dedication to sharing with me her highly respected knowledge of academic writing and research, always reminding me, “You can it!” Dr Edward Benoit, as the graduate representative, provided the balance, interest, and valuable time of the much-needed support for me to realize success through my final defense Finally, Dean Roland Mitchell opened the door when I knocked and offered the opportunity for me to enter the privileged world of a doctoral student I would also like to extend a special thanks to Dr Mary Hidalgo, who patiently listened to my dissertation ideas and expertly questioned my initial written words, all of which provided the guidance I needed to finally develop a consistent path of research and writing for this study Ultimately, I give the deserving credit for my motivation and dedicated work necessary to successfully complete this study to the memory of my dad, and also to the pride and joy of my life: my son, Dr Sean Clayton, MD, who inspires me everyday to be a better person…and now, humbly, to be a better scholar iii TABLE OF CONTENTS ACKNOWLEDGMENTS iii ABSTRACT vi CHAPTER ONE INTRODUCTION Theoretical Framework –– Strategically Engaging the Third Mission 10 Structural and Cultural Changes of the European University 11 Traditional Funding of Higher Education in the U.S 12 Traditional Funding of Higher Education in Europe 13 Economic and Political Shifts, University Market Opportunities, and Privatization 14 Addressing the Social Contract 16 Methods 17 Summary 18 CHAPTER TWO LITERATURE REVIEW 19 Emerging Trends and Competitive Advantage 19 Political Economic Power in 2018 Versus Decline in Capitalistic Competition 23 High Tech Innovation and Regional Growth 28 Federal Funding for University Research and Development (R&D) and Patents 29 Alternative Revenue Streams for the U.S Flagship University 30 Political Economy and Policy in the U.S 36 The European Higher Education Area [EHEA] and Student Funding 38 The Intersection of Capitalism and Higher Education 43 The University-Urban Development Process 48 Transformative Worldview Considerations 50 Social Justice and Reducing Inequality 53 Through the Lens of a Radical Activist and Education Reformist 56 Failed State: A Documentary on American Higher Education 57 Moral Capitalism and Entrepreneurial Justice 59 Summary 61 CHAPTER THREE METHODS 63 Research Questions 63 Design 65 Participants 68 Data Sources 69 Data Collection 70 Ethical Issues 71 Analysis 72 Methodological Assumptions 76 Limitations 77 Summary 77 CHAPTER FOUR FINDINGS 78 Data Source One (Interviews) 78 iv Data Source Two: Parts A and B 131 Data Source Three 141 Data Source Four 142 Summary 149 CHAPTER FIVE IMPLICATIONS 150 Economic, Social, and Political Pressures and the Changing University Definition 150 Formulated Meanings of the Four Research Themes and Four Sub-questions 156 Gap Analysis Implications 159 Implications for Research 162 Conclusion 163 REFERENCES 168 APPENDIX A INTERVIEW PROTOCOL 180 APPENDIX B IRB APPROVAL 181 VITA 182 v ABSTRACT The risk of financial sustainability for the university in the U.S and Europe has been stressed by the reign of political authority in higher education disinvestment in the last four decades The institution’s purpose has since been questioned, weighted by economics versus academics Institutional priority and expanded centrality for strategic planning of societal engagement––the Third Mission––coupled with the Education and Research missions, promote clarity of the university’s purpose in this knowledge-based economy Transparency of intended opportunities for regional economic engagement and societal development is then demonstrated to university communities A comparative international case study of financial strategies between the U.S Flagship and European World Class University (WCU) was explored in a qualitative analysis of viewpoints from four notable academics in higher education––two from the U.S and two from Europe––and a gap analysis of strategic plans between Louisiana State University in the U.S and the University of Bologna in Italy Significant to the findings of this study, favorable institutional priority shifts in Third Mission strategic resources can imply ongoing university-community partnerships and growing revenue streams Organizational change and strategic alignment from the traditional disciplinary university structure to an interdisciplinary framework design enables an external orientation that can maximize community partnerships, and engages academics, research, and service to promote economic development and innovative social growth Leadership of the University of Bologna reframed its strategic framework in 2017, adapting all 17 of the United Nations 2030 Agenda Sustainable Development Goals (SDGs) to assist in achieving financial stability Further research may indicate university networks of common SDGs translate into a new model for success in university community and regional engagement, social growth, and significant influence on political power shifts across the globe vi CHAPTER ONE INTRODUCTION The Third Mission is defined within the context of three primary university missions: research, education/teaching, and economic and societal engagement (alternatively termed the Third Mission) Douglass (2016) characterized the Third Mission (from the United States (U.S.) perspective) as “a relatively new pursuit…not yet fully valued by an academic culture slow to adapt to a wider definition of the purpose of their institution” (p 6) Douglass added that many Flagship leaders view economic and societal engagement as a core mission that should be integrated into a “broader institutional strategy” (p 6) Zomer and Benneworth (2011) offered that the university Third Mission in Europe has been commonly acknowledged for delivering benefits to host societies They specified, “universities consciously and strategically make these societal contributions” (p 3) – other contributions included enterprising and innovative activities in parallel with the other core missions of research and teaching activities The gap between economic advancement and social mobility may justify research that is central to the purpose of the university and the risk of its financial stability Evolving global pressures – marketization and internationalization of businesses, governments, and civic society – has brought into question the definition of the university, with new market opportunities for students in emerging economies of the 21st century (Zomer & Benneworth, 2011) “Changes in economic conditions and shifts in political values and perceptions” (Lyall, 2009, p 82) has driven reconsideration of national higher education policies The changing economic, political, and societal views of how the university is valued would arguably shape that definition, perhaps along with debate favoring the academic institution’s greater financial stability and resulting impact on society The Third Mission, first identified in its current form in 1982 by the Organization for Economic Cooperation and Development (OECD) / Center for Education Research and Innovation (CERI) think tank (Zomer & Benneworth, 2011), was explored to set the context of this study in terms of purpose and scope, apart from the other two university primary missions of teaching and research The Third Mission involves university societal engagement and resulting economic contributions (Benneworth & Jongbloed, 2009), and potentially aligning strategic priorities in a reform process that may increase the centrality of its core mission The United Nations (UN) 2030 Agenda (UNRIC, 2015) contains sustainable development goals that will be used as standards for comparison between the United States (U.S.) Flagship University and European World Class University (WCU) for this study Selected UN Sustainable Development Goals (SDGs) will provide an assessment platform for a gap analysis review of these two universities The increased focus on internationalization has come with an increased availability to academic collaborators, which may have broadened the scope of the university definition to justify a comparative study between a representative U.S Flagship University and a WCU in Europe Societal contributions and economic engagement of the research university’s regional communities – the university’s Third Mission (Douglass & Sobotka, 2009; Zomer & Benneworth, 2011) – may provide a common link between the U.S and European universities for a comparative study of the institutions’ strategic priorities Global factors have introduced emerging changes in funding the higher education public university for Europe and the U.S., including assigned division of financial ownership among the state, the family, and the student (Lyall, 2009) Through this study, the researcher attempted to address the financial sustainability and risks of the university in the U.S and Europe, and the possible mitigation strategies to resolve financial stability for these academic institutions U.S state legislature disinvestment in higher education (Alexander, 2017) and European State policy reregulation (Zomer & Benneworth, 2011), at least since the 1980s,“trends in university fees and financing in the E.U [European Union] and U.S.” (Douglass & Sobotka, 2009, p 27) These trends may logically rationalize research into alternative revenue streams that potentially contribute to university financial stability in the wake of a “financial meltdown” (p 27) The respective impact on socioeconomic mobility and racial equity in the globalized community is an additional research concern, since both of these issues are at the forefront of global interests, selected as key goals of the United Nations (UN) 2030 Agenda (Ubertini, 2016) These issues are also shared strategic plan goals of the representative U.S Flagship University and European WCU in this study University financial sustainability may be assumed as a global problem; however, the scope of this study is targeted to universities in the U.S and Europe Changing trends in higher education finance may be characterized as a financial risk across the borders of most OECD countries, including the U.S as a member nation Economic pressure to create change in higher education finance presents a unique opportunity for countries 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Thousand Oaks, CA: Sage Zomer, A & Benneworth, P (2011) The rise of the university’s Third Mission In J Enders, H F de Boer, & D Westerheijden (Eds.), Reform of higher education in Europe Rotterdam: Sense Publishers [Draft 5.0, 2nd November 2010, 8750 words n/inc refs Reprint version of Chapter from Reform of Higher Education in Europe (pp.81-101), page references for in-text citations starting on page of the chapter] Retrieved from https://www.researchgate.net/publication/225213282_The_Rise_of_the_University's_Thi rd_Mission 179 APPENDIX A INTERVIEW PROTOCOL Interview Question One: How has the definition of the university possibly changed since the turn of the 21st century, as related to global socioeconomics? Interview Question Two: What potential challenge(s) might surface for [your university] by increasing institutional priorities for strategic regional economic engagement (Third Mission goals)? Interview Question Three: For [your university], which alternative revenue market appears to be the best long-term strategy? How come? Interview Question Four: How might universities best mobilize their partners to sway policymakers and politicians to support investment in higher education? Interview Question Five: How might [your university] advance global partnerships to challenge inequities of socioeconomics, race, and gender? Interview Question Six: What strategies might [your university] utilize to promote quality of life for underserved populations? Interview Question Seven: Do you see a relationship at [your university] between Third Mission strategy (regional economic engagement) and independent financial stability? 180 APPENDIX B IRB APPROVAL ACTION ON EXEMPTION APPROVAL REQUEST TO: Jennifer Curry Education FROM: Dennis Landin Chair, Institutional Review Board DATE: February 5, 2019 RE: IRB# E11482 TITLE: Strategically Engaging the Third Mission: A Comparative International Case Study of Alternative Revenue Strategies Between the U.S Flagship University and the European World Class University (WCU) Institutional Review Board Dr Dennis Landin, Chair 130 David Boyd Hall Baton Rouge, LA 70803 P: 225.578.8692 F: 225.578.5983 irb@lsu.edu lsu.edu/research New Protocol/Modification/Continuation: New Protocol Review Date: 2/4/2019 Approved X Approval Date: 2/5/2019 Disapproved _ Approval Expiration Date: 2/4/2022 Exemption Category/Paragraph: 2b Signed Consent Waived?: No Re-review frequency: (three years unless otherwise stated) LSU Proposal Number (if applicable): By: Dennis Landin, Chairman PRINCIPAL INVESTIGATOR: PLEASE READ THE FOLLOWING – Continuing approval is CONDITIONAL on: Adherence to the approved protocol, familiarity with, and adherence to the ethical standards of the Belmont Report, and LSU's Assurance of Compliance with DHHS regulations for the protection of human subjects* Prior approval of a change in protocol, including revision of the consent documents or an increase in the number of subjects over that approved Obtaining renewed approval (or submittal of a termination report), prior to the approval expiration date, upon request by the IRB office (irrespective of when the project actually begins); notification of project termination Retention of documentation of informed consent and study records for at least years after the study ends Continuing attention to the physical and psychological well-being and informed consent of the individual participants, including notification of new information that might affect consent A prompt report to the IRB of any adverse event affecting a participant potentially arising from the study Notification of the IRB of a serious compliance failure SPECIAL NOTE: When emailing more than one recipient, make sure you use bcc Approvals will automatically be closed by the IRB on the expiration date unless the PI requests a continuation * All investigators and support staff have access to copies of the Belmont Report, LSU's Assurance with DHHS, DHHS (45 CFR 46) and FDA regulations governing use of human subjects, and other relevant documents in print in this office or on our World Wide Web site at http://www.lsu.edu/irb 181 VITA Harry Michael Clayton has worked as an educator in the classroom, private industry manager and executive leader for multiple Fortune 500 companies, and first lieutenant in the U.S Army A career dedicated to facing complex problems and providing creative solutions in private industry has led to his passion for the challenging world of higher education academics and administration Research interests during his doctoral studies at Louisiana State University (LSU) have included strategic planning, revenue strategies, innovative university–community economic development and societal mobility, continuous improvement, and assessment His graduate studies include a Masters in Educational Leadership from LSU in May 2016 and Masters of Arts in Teaching from Louisiana College in December 2013, while he earned undergraduate degrees at Colorado State University in Business Journalism and McNeese State University in Business Administration earlier in this career He anticipates receiving his doctorate degree in Educational Leadership and Research in Higher Education Administration from Louisiana State University in August 2019 182 ... (2016) argued that education was a fundamental and universal human right and moral obligation to the community, and implied for educational policy, “…privatization an assault on the commons and the. .. loan defaults are mitigated and loans paid back efficiently, given the country has a reliable tax system (Chapman and Greenaway, 2006) They also cautioned that this system should allow, rather.. .STRATEGICALLY ENGAGING THE THIRD MISSION: A COMPARATIVE INTERNATIONAL CASE STUDY OF ALTERNATIVE REVENUE STRATEGIES BETWEEN THE U.S FLAGSHIP UNIVERSITY AND THE EUROPEAN WORLD CLASS UNIVERSITY