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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. Flagship University and the European World Class University (WCU) Harry Michael Clayton Louisiana State University and Agricultural and Mechanical College, michael.com Follow this and additional works at: https://digitalcommons.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. Flagship University and the European World Class University (WCU)" (2019). LSU Doctoral Dissertations.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. STRATEGICALLY ENGAGING THE THIRD MISSION: A COMPARATIVE INTERNATIONAL CASE STUDY OF ALTERNATIVE REVENUE STRATEGIES BETWEEN THE U. 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.

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. 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. 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 do 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. vi CHAPTER ONE. 1 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. 12 Traditional Funding of Higher Education in Europe. 13 Economic and Political Shifts, University Market Opportunities, and Privatization.

14 Addressing the Social Contract. 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. 30 Political Economy and Policy in the U. 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. 78 Data Source One (Interviews).

78 iv Data Source Two: Parts A and B. 131 Data Source Three. 141 Data Source Four. 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. 182 v ABSTRACT The risk of financial sustainability for the university in the U.

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. 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. and two from Europe––and a gap analysis of strategic plans between Louisiana State University in the U. 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.) 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. 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.

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.

1 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.) 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. 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. 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., including assigned division of financial ownership among the state, the family, and the student (Lyall, 2009). 2 Through this study, the researcher attempted to address the financial sustainability and risks of the university in the U. and Europe, and the possible mitigation strategies to resolve financial stability for these academic institutions. 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.

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. 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. 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. Changing trends in higher education finance may be characterized as a financial risk across the borders of most OECD countries, including the U. as a member nation. Economic pressure to create change in higher education finance presents a unique opportunity for countries to share knowledge.

International policy transfer (Chapman & Greenaway, 2006) refers to learning across borders. Achieving success in international policy transfer necessitates that countries have comparative political and institutional preconditions, policy objectives, and antireform lobbies (Chapman & Greenway, 2006). 3 Research Question Lyall (2009) further suggested that leveraging international policy transfer could possibly bridge the gap of “what we can learn from each other” [concerning] “market-driven trends in the financing of higher education” (p. Flagship’s financial sustainability has relied on continual disinvestment of local government, rising student tuition, and creative alternative revenue streams limited by competing stakeholder priorities.

The purpose of this study was, therefore, reflected in the following overarching research question: What comparative strategies for engaging the Third Mission might be identified from the U. Flagship and European WCU to assist in achieving financial stability? Sub-questions Four key sub-questions further represent the research objectives for this comparative international case study. These research objectives and the primary research question outline the key areas of interest that help define the scope of this study.