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A Study of Federal Academic Earmarks and Research Funding In The University of Southern Mississippi The Aquila Digital Community Dissertations Fall 12-2013 A Study of Federal Academic Earmarks and Research Funding in Relation to the Institutional Research Culture of Research University/High (RU/H) Institutions in Mississippi James Hubert Young III University of Southern Mississippi Follow this and additional works at: https://aquila.usm.edu/dissertations Part of the Higher Education Commons Recommended Citation Young, James Hubert III, "A Study of Federal Academic Earmarks and Research Funding in Relation to the Institutional Research Culture of Research University/High (RU/H) Institutions in Mississippi" (2013). Dissertations. 221. https://aquila.usm.edu/dissertations/221 This Dissertation is brought to you for free and open access by The Aquila Digital Community. It has been accepted for inclusion in Dissertations by an authorized administrator of The Aquila Digital Community. For more information, please contact [email protected]. The University of Southern Mississippi A STUDY OF FEDERAL ACADEMIC EARMARKS AND RESEARCH FUNDING IN RELATION TO THE INSTITUTIONAL RESEARCH CULTURE OF RESEARCH UNIVERSITY/HIGH (RU/H) INSTITUTIONS IN MISSISSIPPI by James Hubert Young III Abstract of a Dissertation Submitted to the Graduate School of The University of Southern Mississippi in Partial Fulfillment of the Requirements for the Degree of Doctor of Philosophy December 2013 ABSTRACT A STUDY OF FEDERAL ACADEMIC EARMARKS AND RESEARCH FUNDING IN RELATION TO THE INSTITUTIONAL RESEARCH CULTURE OF RESEARCH UNIVERSITY/HIGH (RU/H) INSTITUTIONS IN MISSISSIPPI by James Hubert Young, III December 2013 Nationally, reductions in public funding for higher education, a stagnate economy, looming sequestration, and a divisive political culture present a complex and challenging dynamic for research universities in pursuit of external funding for their research programs and infrastructure needs. These universities and their research initiatives have relied on significant federal investment in research and development as a source of competitive research funding for more than half a century. Over the last thirty years, congressionally directed funding for research, referred to in the study presented here and throughout the literature as academic earmarks, emerged as an alternative means to achieve research funding for institutions of higher education exclusive of the traditional, peer-review award system. The state of Mississippi and its public universities have benefited significantly from this alternative research funding mechanism. Since the cessation of the practice in 2010, the research universities in the state have been forced to adapt to a new reality – one without congressionally directed funding. This qualitative study explored the influence of academic earmarking on the institutional research culture of the research extensive universities in Mississippi by describing the attitudes, opinions, and practices of those individuals who shape that ii culture. Interviews were conducted with government representatives, university research administration officials, and research active faculty at the four RU/H institutions in the state that have been involved with the procurement of external funding for research. Data collected in interviews were analyzed for themes. The data analysis identified ten common themes in the opinions, attitudes, and practices of study participants as they relate to the influence of federal funding and academic earmarks specifically on the institutional research culture and infrastructure at the RU/H universities in Mississippi. Further, this study identified participants’ views on the prevailing factors, benefits, and detrimental effects associated with the 2010 congressional moratorium on earmarks, as well as expected trends in federal research funding in the coming years. Study findings suggested that academic earmarks have influenced the institutional research culture of the research extensive universities in Mississippi. iii COPYRIGHT BY JAMES HUBERT YOUNG, III 2013 The University of Southern Mississippi A STUDY OF FEDERAL ACADEMIC EARMARKS AND RESEARCH FUNDING IN RELATION TO THE INSTITUTIONAL RESEARCH CULTURE OF RESEARCH UNIVERSITY/HIGH (RU/H) INSTITUTIONS IN MISSISSIPPI by James Hubert Young III A Dissertation Submitted to the Graduate School of The University of Southern Mississippi in Partial Fulfillment of the Requirements for the Degree of Doctor of Philosophy Approved: ____________________________________ Director ____________________________________ ____________________________________ ____________________________________ ____________________________________ ____________________________________ Dean of the Graduate School December 2013 ACKNOWLEDGMENTS The author would like to thank his sister, Rebekah Young, for her encouragement, motivation, and friendship throughout the graduate school experience and the writing of this dissertation. The author would also like to thank his dissertation chair and advisor, Dr. Lilian Hill, for her advice, guidance, encouragement, and motivation, which have made significant contributions to the graduate experience and the writing of this dissertation. Further, the author would like to express his gratitude to distinguished committee members, Dr. Tom Lipscomb, Dr. Aubrey Lucas, Dr. Thelma Roberson, and Dr. Kyna Shelley, for their wisdom, guidance, assistance, and support. The author would like express his gratitude to his parents, Sarah Young and the late James H. “Jimmy” Young, Jr., for their love, prayers, encouragement, sacrifice, and support, which have profoundly influenced my self-confidence, drive, and ability to write this dissertation. The author also wishes to thank Pete, Jade, Hattie, and J.P. Young, for their love, support, and understanding. Further, the author would like to thank Rhonda Kraemer, Sandi Murphy, Jennifer Downey, Doug Rummells, Jill Rummells, Rebecca Holland, and Quint Hunt for their assistance with proofing, document management, and support. The author also thanks Eve Blakney, Arnecca Byrd, Rebecca Holland, Kent and Susan Johnson, Ruth Jones, Dr. Thelma Roberson, Dr. Jennifer Styron, Doris Vines, and Lori Wilcher, for their encouragement and support. The author would like to express appreciation to the Rummells, the McGees, and the Cornerstone Worship Team, for their understanding, prayers, and encouragement. Finally, the author wishes to thank Doug Rummells, Wes McGee, and Brian Carroll, for their consistent encouragement and support throughout the writing of this dissertation. iv TABLE OF CONTENTS ABSTRACT........................................................................................................................ ii ACKNOWLEDGMENTS ................................................................................................. iv LIST OF TABLES............................................................................................................ vii LIST OF ILLUSTRATIONS........................................................................................... viii CHAPTER I. INTRODUCTION .......................................................................................1 Overview Purpose Statement Problem Statement Justification Theoretical Framework Definitions Assumptions Delimitations II. REVIEW OF LITERATURE....................................................................19 Overview The Evolution of the Federal Government as Research Patron The Contemporary Research Culture of American Higher Education Earmarks Through the Lens of Institutional Theory: An Organizational Phenomenon The Political Dimensions of Earmarking The Resuscitation of Earmarking Mississippi as Chief Earmark Beneficiary Earmarks and the Culture of Research at Mississippi’s Research Extensive Universities The Development of a Localized Research Culture: An Isomorphic Journey at USM III. METHODOLOGY ....................................................................................77 Overview Purpose Participants Instrumentation v Data Collection Ethical Considerations Data Analysis IV. ANALYSIS OF DATA .............................................................................88 Overview Data Analysis Theme One: The Federal Government’s Fundamental Role in Funding Basic Research Theme Two: Leading Research Initiatives and Dynamics in Mississippi Theme Three: Criteria for Noteworthy Research Programs Theme Four: Recent Trends in Federal Research Funding Theme Five: Significant External Funding Awards - Quantified Theme Six: Earmarks and Institutional Culture Theme Seven: Economic and Political Forces as Prevailing Factors that Led to the 2010 Moratorium on Earmarking Theme Eight: Benefits and Detrimental Effects of the Moratorium on Earmarking Theme Nine: Administrative Considerations Theme Ten: The Future of Federal Funding for Research Earmarks V. SUMMARY.............................................................................................122 Discussion and Conclusions Limitations Recommendations for Practice Recommendations for Future Studies APPENDICES .................................................................................................................144 REFERENCES ................................................................................................................155 vi LIST OF TABLES Table 1. Research Funding Levels By Source and Number of Projects in Mississippi Public Universities...................................................................................................3
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