Table of Contents
Preface ix
Part I Background
Chapter 1 The Research University Universe 3
A Not-for-Profit Research Universities and For-Profit Institutions 3
B The Challenge Posed by the For-Profit Sector 4
Chapter 2 The Research University's Intellectual Environment: Ethics, Motivation, and Power 15
A Power and the Ethics of Knowledge: The Moral Challenge 21
B "Knowledge Ethics" and Research in Practice 22
C "Knowledge Ethics" and Teaching in Practice 22
1 Using the Classroom as a Forum to Espouse Personal Views 22
2 Policies and Procedures that Encourage the Ethical Transmission of Knowledge about Teaching Methods Among Faculty 23
D Employing Extrinsic Motivators and Stimulating Intrinsic Motivators 24
E Guidelines for Leaders 26
1 Improve Process Based on Integrity 26
2 Balance Intrinsic and Extrinsic Motivation 28
3 Optimize the Entire Institution 30
4 Promote Collegiality 31
F Moral Rectitude and the Implementation of Necessary Decisions 34
G Power Centers 36
H Loci of Power: Authority of Position Coupled With Diffusion of Power 37
1 Board of Trustees 37
2 The President 42
3 The Dean of Faculty 42
4 Chairpersons 44
5 Legal Counsel 44
I The Challenge of Achieving Consensus 49
Part II Inherent Tensions that Challenge
Chapter 3 Tensions and the Academic Pecking Order 55
A The Dominance of the Ph.D. Degree 55
B Staffing Profiles 57
C Academic Snobbery 58
D The Professional Schools and the Arts and Sciences 59
E The Power of Tenure-Track Faculty 60
F Tenured Faculty and Unionization 63
G Non-Tenure-Track (Contingent) Faculty and Graduate Teaching Assistants 65
H The Role of the Dean 70
I The Faculty-Student Relationship 71
J Political Correctness, Freedom of Discussion, and Speech Codes 74
K Balancing Research, Teaching, and Service 79
L Data as an Indicator of Progress: The Dashboard 80
Chapter 4 Tensions Resulting from the Demand for Change 91
A Tensions Resulting from a Demand for Increased Quality and Quantity of Research 91
B Tensions Resulting from a Demand for Increased Effectiveness of Teaching 93
C Tensions Resulting from the Simultaneous Demand for Improved Teaching and Research 97
D Tensions Resulting from the Need for Cooperation Among Faculty 99
Chapter 5 Conflicts of Interest and Compensation "Inequities"-The Moral Challenge Revisited 103
A Conflicts of Interest 103
1 Definitions and Implications 103
2 Adoption of a Conflict-of-Interest Policy 105
3 Implementation of Policy 106
4 Technology Transfer (Inventions and Patents) 107
B Compensation Differences, Perceptions of Inequity, and External Markets 109
1 Compensation Differences 109
2 Perceptions of Inequity 112
3 External Markets: The Special Challenge of Division I Sports Programs 113
Part III Support Functions that Challenge
Chapter 6 The Budgetary Challenge 125
A Importance 125
B Characteristics of a Financially Healthy University 126
1 Short-Term Solvency 126
2 Retention of Reserves 126
3 Effective Management of Long-Term Debt 127
4 Effective Management of Plant and Equipment 127
5 Generation of Non-State Funding Sources 128
6 Consistency Between the Budget and the Institutional Strategy 128
7 Ability to Improve the Efficiency and Effectiveness of Critical Processes 129
C Budgeting for the Future: The NYU Case 129
D Balancing Revenues and Expenditures 132
E Mistakes to be Avoided 134
1 Failure to Invite Input from All Levels of Management 135
2 Failure to Understand Budgeting Methodology and Practice 135
3 Failure of Top Leadership to Exercise Direct Involvement Over Budget Preparation 136
4 Failure to Insist on Accurate and Timely Data 136
Chapter 7 Financial Comparisons of Non-Profit "Private" and "Public" Research Universities 139
A Endowments in Public and Private Universities: Some Implications 139
B The Role of Endowments: A Challenge in Budgetary Policy 140
C A Comparative Analysis 146
Chapter 8 The Fund-Raising Challenge 151
A Introduction 151
B Professionalization of Fund Raising 153
C Professionalization of Lobbying 154
D The Economic Environment and Fund Raising 155
E Fund-Raising Guidelines
1 Get the Board of Trustees "On-Board" with Fund-Raising Efforts 155
2 Endeavor to Improve the Image of Your University in the Communities in Which You Will Be Raising Funds, as Well as Generally 156
3 Establish Clear and Targeted Fund-Raising Goals that are Directly Linked to the University's Strategic Plan 156
4 Identify Critical Funding Sources for Each Goal 156
5 Competitive Solicitations 158
6 Pledges: A Potential Financial Pitfall 159
F Tips for Approaching Individual Donors 159
1 Select Prospective Donors Carefully and Study Their Iterests to Discover Possible Matches with University Objectives 159
2 Seek Only Gifts that are Consistent with the School's Mission and Strategy 160
3 Avoid Actions that Needlessly Aggravate or Alienate Important Fund-Raising Constituencies 160
4 Accept Only Gifts That are Adequate for Their Purposes 162
5 Set the Sights High 166
6 Show Appreciation 169
G Enhancing Revenues through Executive Education Programs 170
H Institutes and Centers as Fund-Raising Instruments 172
I Creating Other Resources to Support Research 173
J Fund Raising as a Source of Leadership Power 174
K Fund Raising from Public Sources 175
Part IV Beginnings and Endings
Chapter 9 Achieving and Leaving Leadership in the Academy: The Challenge of Stepping Up and Stepping Down 181
A Stepping Up 181
1 The Search Committee 181
2 The Qualities Sought in Prospective Candidates 183
3 The Interview 184
4 Paths to Stepping Up to a Top Leadership Position in a Research University 187
B Stepping Down 191
1 Voluntary Departure 191
2 Involuntary Departure 193
3 The Interim Appointment 194
Appendices
Appendix 1 Service Functions: A Secondary Source of Challenges 197
Appendix 2 Transformational Management: A Case Study of the School of Commerce at New York University (1965-1985) 223
Appendix 3 Comparative Financial Analysis of Selected Universities 251
Sources 291
Intex 295
About the Author 309
