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, [email protected] 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 [email protected]. 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 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 .............................................................................................................. iii ABSTRACT ................................................................................................................................... vi CHAPTER ONE. INTRODUCTION ............................................................................................. 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.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 ...............................................................................................