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Increasing organizational capacity at a small college to deploy revenue diversification strategies: an evaluation study
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Content
INCREASING ORGANIZATIONAL CAPACITY AT A SMALL COLLEGE TO DEPLOY
REVENUE DIVERSIFICATION STRATEGIES:
AN EVALUATION STUDY
by
Kimberly L. Kvaal
A Dissertation Proposal Presented to the
FACULTY OF THE USC ROSSIER SCHOOL OF EDUCATION
UNIVERSITY OF SOUTHERN CALIFORNIA
In Partial Fulfillment of the
Requirements for the Degree
DOCTOR OF EDUCATION
May 2020
Copyright 2020 Kimberly Kvaal
ii
DEDICATION
Blessed Basil Moreau implored all educators to consider “the greatness of your mission
and the wonderful amount of good which you can accomplish” (Christian Education, 1856). This
study is dedicated to the many individuals who work tirelessly at small colleges and university in
service of students. We cannot let our institutions fail; our collective mission is too great and the
outcomes of our work too necessary for creating good in the world.
iii
ACKNOWLEDGEMENTS
I am a woman of many blessings. Through God’s grace, I met my husband, Jim, when I
was only 17 years old. Thirty-four years of marriage, two sons, four dogs, and a career that has
taken us to three universities in three different states are proof that we had no idea what we were
in for when we said, “I do.” I could not have accomplished any of this without Jim’s unyielding
support. His quiet strength, never-ending belief in my abilities, and his willingness to take on
more than his fair-share of household responsibilities made this dissertation (and so much more)
possible. Jim, more than anyone, calmed me during stressful times, encouraged me in periods of
doubt, and cheered me through each milestone. Thank you, honey, for your love and support.
I would be remiss if I did not mention others who encouraged me, held me up, and put up
with a certain amount of grumpiness on my part as I studied, attended classes, and spent time
researching and writing. These include my sons, Mitchell and Matthew; my sister, Kris, my
parents, my siblings, and extended family. I could not have endured these past three years
without you! Beyond my family, I have the honor of being friends with many amazing women.
Thank you, Cassondra, Cindy, Cyndy, Denise, Judy, Lisa, Paige, and Rebekah for keeping me
sane and being my cheering squad. I also owe a special thank you to my boss and mentor, Dr.
George E. Martin, for inspiring me to pursue a doctorate degree and to dream bigger than I had
previously imagined.
I must also thank USC OCL Cohort 9. I had no idea when I enrolled in this program how
important you would become to me! Your colleagueship, comradery, and shared-experience
brought a depth to this experience I had not known possible. Congratulations to each of you as
you complete your dissertations!
iv
Lastly, I am humbled and honored to have had the wisdom of Dr. Tracy Tambascia, my
dissertation chair, as well as Dr. Kimberly Hirabayashi and Dr. Salvador D. Aceves who served
as members of my dissertation committee. Thank you for your support, advice, and expertise!
v
Table of Contents
Dedication ....................................................................................................................................... ii
Acknowledgements ........................................................................................................................ iii
List of Tables ............................................................................................................................... viii
List of Figures ................................................................................................................................ ix
Abstract ............................................................................................................................................x
CHAPTER ONE: INTRODUCTION ..............................................................................................1
Background of the Problem .................................................................................................1
Organizational Context and Mission ...................................................................................3
Organizational Performance Goal........................................................................................5
Related Literature.................................................................................................................6
Importance of the Evaluation ...............................................................................................7
Description of Stakeholder Groups ......................................................................................7
Stakeholder Group’s Performance Goals.............................................................................8
Stakeholder Group for the Study .........................................................................................8
Purpose of the Project and Questions ..................................................................................9
Methodological Framework .................................................................................................9
Definitions..........................................................................................................................10
Organization of the Project ................................................................................................10
CHAPTER TWO: REVIEW OF THE LITERATURE .................................................................12
Influences on Small Independent Colleges ........................................................................12
Distinctive Educational Experiences .....................................................................12
Business Model Under Stress ................................................................................13
Online Graduate Programs .................................................................................................19
Online Learning Efficacy .......................................................................................19
Benefits of Online Learning...................................................................................20
Market Opportunities for Small Colleges ..............................................................21
The Role of Faculty ...........................................................................................................21
Shared Governance ................................................................................................22
Knowledge, Motivation, and Organizational Influences ...................................................22
Stakeholder Knowledge, Motivation, and Organizational Influences ...............................23
Knowledge and Skills ............................................................................................24
Motivation ..............................................................................................................26
Organization ...........................................................................................................30
Conceptual Framework: The Interaction of Stakeholders’ Knowledge and
Motivation and the Organizational Context ...........................................................34
Conclusion .........................................................................................................................36
CHAPTER THREE: METHODS ..................................................................................................37
Participating Stakeholders .................................................................................................37
Qualitative Data Collection and Instrumentation ..............................................................38
Documents and Artifacts Strategy and Rationale ..................................................40
Document Review Sampling Criteria ....................................................................40
Interview Sampling (Recruitment) Strategy and Rationale ...................................41
Interview Sampling Criteria ..................................................................................41
vi
Interview Protocol .................................................................................................41
Interview Procedures .............................................................................................42
Data Analysis .....................................................................................................................43
Credibility and Trustworthiness .........................................................................................44
Ethics..................................................................................................................................44
Limitations and Delimitations............................................................................................46
CHAPTER FOUR: FINDINGS .....................................................................................................47
Participating Stakeholders .................................................................................................47
Findings..............................................................................................................................48
Knowledge Findings ..............................................................................................48
Conceptual Knowledge ..............................................................................49
Procedural Knowledge ...............................................................................53
Motivation Findings ...............................................................................................58
Self-Efficacy ..............................................................................................59
Collective Efficacy.....................................................................................60
Expectancy Value ......................................................................................61
Organizational Findings .........................................................................................62
Cultural Model ...........................................................................................63
Cultural Settings.........................................................................................65
Lack of Understanding of the Business Model and Institutional Viability ...........68
Additional Findings ...........................................................................................................70
Communication and Collaboration Enhanced New Program Efforts ....................70
Summary ............................................................................................................................72
CHAPTER FIVE: RECOMMENDATIONS AND EVALUATION ............................................74
Organizational Context and Mission .................................................................................74
Organizational Performance Goal..........................................................................74
Description of Stakeholder Groups ........................................................................75
Purpose of the Project and Questions ................................................................................75
Recommendations for Practice ..........................................................................................76
Recommendation #1: Increase Conceptual Knowledge of the Business Model
and How New Revenue Sustains the Mission of the University ...............76
Recommendation #2: Increase Procedural Knowledge of the Faculty
Manual’s Process for Curriculum Approval ..............................................78
Recommendation #3: Increase Expectancy Value of NPC Members ...................78
Recommendation #4: Increase the Value of Participating in New Program
Launches to Achieve Incremental Revenue Growth .................................80
Recommendation #5: Redefine the Faculty Tenure and Promotion Process
to Include Participation in New Program Development ............................81
Recommendation #6: Resource Academic Departments to Support the
Student Dissertation Process ......................................................................82
Integrated Implementation and Evaluation Plan ................................................................84
Implementation and Evaluation Framework ..........................................................84
Organizational Purpose, Need, and Expectations ......................................84
Level 4: Results and Leading Indicators ....................................................85
Level 3: Behavior .......................................................................................86
Level 2: Learning .......................................................................................89
vii
Level 1: Reaction .......................................................................................92
Evaluation Tools ....................................................................................................93
Data Analysis and Reporting .................................................................................94
Summary ................................................................................................................96
Strengths and Weaknesses of the Approach ......................................................................96
Limitations and Delimitations............................................................................................97
Future Research .................................................................................................................97
Conclusion .........................................................................................................................98
References ......................................................................................................................................99
Appendix A: Interview Protocol ..................................................................................................111
Appendix B: Document Analysis ................................................................................................115
Appendix C: Information/Fact Sheet for Exempt Non-Medical Research ..................................118
Appendix D: New Program Committee Orientation Session Evaluation (Delivered
Immediately Following NPC Orientation).......................................................................121
Appendix E: New Program Committee Orientation Session Evaluation (Delivered at
the Conclusion of the NPC) .............................................................................................123
viii
List of Tables
Table 1: Percent of Undergraduate Students Awarded Pell Grants by Academic Year ..................5
Table 2: Organizational Mission, Global Goal, and Stakeholder Performance Goals ....................8
Table 3: Knowledge Influences, Types, and Assessments for Knowledge Gap Analysis ............26
Table 4: Motivational Influences and Assessments for Motivational Gap Analysis .....................30
Table 5: Organizational Influences and Assessments for Organizational Gap Analysis ...............33
Table 6: Sampling Strategy, Stakeholder Population, Number of Participants,
Data Collection Dates ........................................................................................................43
Table 7: Knowledge Influences .....................................................................................................49
Table 8: Motivation Influences ......................................................................................................59
Table 9: Organizational Influences ................................................................................................63
Table 10: Outcomes, Metrics, and Methods for External and Internal Outcomes ........................86
Table 11: Critical Behaviors, Metrics, Methods, and Timing for Evaluation ...............................87
Table 12: Required Drivers to Support Critical Behaviors ............................................................88
Table 13: Evaluation of the Components of Learning for the Program ........................................92
Table 14: Components to Measure Reactions to the Program .......................................................93
ix
List of Figures
Figure 1: University of St. Bernadette Enrollment Composition Fall 2013-Fall 2017 ....................4
Figure 2: Conceptual Framework for New Program Development at USB ..................................35
Figure 3: Interview Participant Demographics ..............................................................................48
Figure 4: Interview Participant Comments Related to the Need for New Revenue Sources.........51
Figure 5: Interview Participant Understanding of the Business Model .........................................53
Figure 6: Graduate Curriculum Approval Process Map ................................................................55
Figure 7: Procedural Knowledge—Graduate Program Approval Process ....................................57
Figure 8: Self0-Efficacy of NPC Members ...................................................................................60
Figure 9: NPC Member Expectancy of Improving Financial Health ............................................62
Figure 10: The Cultural Model of Shared Governance .................................................................65
Figure 11: USB Enrollment Trends ...............................................................................................69
Figure 12: Post Orientation Survey................................................................................................95
Figure 13: New Program Enrollment .............................................................................................95
Figure 14: New Program Revenue, Expense, and Margins ...........................................................96
x
Abstract
Based on the Clark & Estes (2008) evaluation model, this research study employed a case study
approach to develop a deep understanding of the knowledge, motivation, and organizational
factors impacting a revenue diversification strategy at one small college. The stakeholder groups
of focus for the study were members of two groups working independently on a new master's
degree program and the institution's first doctoral degree program. Members included faculty
within the discipline, the respective dean, and administrators who served on new program
committees. In total, thirteen individuals participated in face-to-face interviews. In addition to
interviews, document review was conducted to understand the institution’s current enrollment
trends, financial position, and documented academic program approval process as well as the
process undertaken to develop new programs and the resources needed for program development
and approval. Findings included a procedural and conceptual knowledge gap, a self-efficacy and
expectancy value motivation gap, and two cultural settings gaps related to promotion and tenure
review and structural and resource support for online graduate programs. The conceptual
knowledge and both motivation findings related to a lack of understanding of the business model
and the imperative for new revenue streams. Collaboration and effective communication
emerged as significant contributors of goal attainment. Based on the findings, this study
recommends interventions aimed at increasing organizational capacity by closing identified
knowledge, motivation, and organizational gaps that may impact deployment of revenue
diversification strategies.
Keywords: financial sustainability, small colleges, revenue diversification, online graduate
programs
1
CHAPTER ONE: INTRODUCTION
Small colleges are classified by the Carnegie Classification of Institutions of Higher
Education as four-year institutions with enrollment less than 2,999 full-time equivalent students.
Small colleges provide students with distinctive opportunities for learning, self-discovery, and
personal growth through small class size, frequent student-faculty interaction, and a liberal arts-
focused curriculum (Chessman, 2017). These institutions collectively enrolled 2.3 million
students in 2015, representing 17% of all students who attended four-year colleges (Indiana
University Center for Postsecondary Research, 2015).
For an increasing number of small colleges, revenue growth is constrained, with
approximately one-quarter of them reducing their stated tuition price by more than 50% for fiscal
year 2016 (Moody’s, 2017b). Small colleges are also experiencing financial stress due to
increased indebtedness, higher debt service, and increasing expense while lacking revenue or
cash reserves to support them (Denneen & Dretler, 2012). Moody’s Investors Service, in its 2017
Outlook stated, “Highly tuition dependent small colleges will face the greatest challenges, given
more limited prospects for tuition revenue growth and a typically more expensive business
model focused on small class sizes and low student/faculty ratios” (Moody’s, 2016, p. 7).
Background of the Problem
Like any business, a college must effectively manage revenue and expenses to assure its
financial health and viability. To increase enrollment and corresponding tuition revenue,
institutions offer financial aid to prospective students. Financial aid can be funded by federal,
state, and private sources. Alternatively, financial aid can also be unfunded, meaning the
institution lowers the tuition rate it charges, thereby reducing the cost to the student, which
results in reduced revenue to the institution. A substantial increase in unfunded aid is often a sign
of financial distress because it can result in decreasing revenue (Chessman, 2017; Fessenden,
2
2017; Supplee, 2014). The National Association of College and University Business Officers
estimated that in 2016–2017 tuition discounting, which is the term used to describe unfunded aid
provide to students to reduce the cost of attendance, would reach approximately 45% for small
institutions, a 10% increase from a decade earlier. This discount, unlike other awards, is
unfunded meaning it reduces the net tuition revenue an institution collects from students. The
undergraduate tuition discount rate at one in four small colleges exceeded 50% for fiscal year
2016-2017 (Moody’s, 2017b). Moody’s (2017a) warned that small colleges, whose revenue is
derived primarily from tuition, are facing the greatest financial challenges of all higher
educational institutions. Demographic shifts, affordability, and the questioning of the value of
higher education are pressuring tuition revenue growth. To that point, for 2015, 2016, and 2017,
small institutions were unable to achieve a median 2% tuition revenue growth rate (Moody’s,
2018b). Hunter (2012) posited that small schools are at significant risk of financial failure
because they lack the enrollment volume and reputational strength to withstand changes in
competition or enrollment fluctuations. In addition to constraints on revenue, small colleges are
also grappling with increasing costs resulting in decreased profit margins or even deficits. In its
May 2018 report, Moody’s (2018a) confirmed that 34% of small colleges reported operating
deficits for their most recent fiscal year.
Two significant expense pressures are wage and debt repayment inflation. A large
proportion of university expense budgets are dedicated to labor, commonly in the 60% range.
Moody’s (2016) warns that wage pressure, due to the strengthening labor market, will increase
labor costs unless efficiencies are identified and implemented. However, redeploying human
resources can be difficult due to faculty tenure, which can impede the reallocation of resources
(Brooks, 2017). Another pressure for increased wages is the recent unionization of adjunct
faculty and graduate students (Moody’s, 2016). In addition to rising labor costs, colleges and
3
universities are spending more on annual debt service, a result of both increased borrowing and
rising interest rates (Denneen & Dretler, 2012; Moody’s, 2016). With constraints on revenue
growth and rising costs, 74% of chief business officers at private nonprofit institutions (of all
sizes) believe higher education is in a financial crisis (Jaschik, & Lederman, 2017). Outlining the
challenges within the higher education industry, Shugart explained,
Higher education is being asked to achieve more with less, to serve a broader and more
challenged student population with fewer resources, and to achieve dramatically
improved outcomes: higher completion rates, more competent graduates in areas of high
demand such as the STEM disciplines, reductions in cost and student debt, more diversity
in the professions, and greater impact on the intergenerational pattern of poverty. These
are not trivial outcomes to achieve and will require significant changes in the institutions
themselves. (Shugart, 2020, p.7)
Organizational Context and Mission
The University of Saint Bernadette (USB) is the pseudonym for a private, faith-based
institution located in a growing urban city in the United States. Founded in the mid-1800s, USB
focuses on the liberal arts and the formation of the whole person. Undergraduate programs
include the humanities, sciences, and professions, where students become critical thinkers
employing moral reasoning to analyze and solve today’s most pressing problems. Students
receive a highly personalized educational experience through small class sizes and frequent
interaction with faculty, and are supported in the development of their personal values and their
responsibility to society. In addition to undergraduate programs, USB offers professional
graduate programs in business, education, and the sciences. Over the last two decades, the
university has achieved unprecedented enrollment growth, almost doubling the size of its
freshman class with undergraduate enrollment reaching approximately 3,600 full-time-equivalent
4
students in Fall 2017 (Fall Fact Book, 2017). Overall, the undergraduate student body is diverse
(Figure 1) with over 40% of its students identifying as Hispanic (Fall Fact Book, 2017).
Figure 1
University of St. Bernadette Enrollment Composition Fall 2013 – Fall 2017
With its focus on access and affordability, USB offers generous merit and need-based aid
to qualifying students. Over half of the fall 2017 freshman class received financial aid, with an
average award of approximately $29,000, reducing tuition from $44,000 to just over $15,000 per
year for this cohort (Tuition and Fees, 2017). Likewise, USB enrolls a significant proportion of
low-income students as demonstrated by the percentage of Pell-eligible students (Table 1);
approximately one-third of its overall student population qualifies for Pell aid. The Federal Pell
0.00%
10.00%
20.00%
30.00%
40.00%
50.00%
60.00%
70.00%
80.00%
90.00%
100.00%
FA13 FA14 FA15 FA16 FA17
Race and Ethnicity Unknown
Two or More Races
Native Hawaiian or Other Pacific Islander
American Indian or Alaska Native
Asian
Black or African-American
Nonresident Alien
Hispanic/ Latino
White
5
Grant program provides need-based aid to low-income undergraduate students at qualifying
institutions (Federal Pell Grant Program, 2017).
Table 1
Percent of Undergraduate Students Awarded Pell Grants by Academic Year
Academic
Year
% of
Undergraduate
Students
2016 33%
2015 35%
2014 34%
2013 34%
2012 35%
Organizational Performance Goal
With continuing undergraduate enrollment pressure, small colleges and universities must
diversify revenue streams to ensure long-term financial sustainability (Moody’s, 2017c; Tahey,
Salluzzo, Prager, Mezzina, & Cowen, 2010). The University of St. Bernadette set a goal of
introducing new online graduate programs at the master’s and doctoral level at an increasing
pace to diversify tuition revenue streams and to provide additional resources. USB’s goal is to
launch a new online academic program each semester beginning with a new master's degree
program in Fall 2018 and a second new master's degree in Fall 2019. After that, the new program
pipeline will launch one new graduate program each fall and spring semester through the
duration of its five-year strategic plan to achieve tuition revenue diversification and generate new
net revenue. This organizational goal was developed and adopted in September 2017 through a
year-long strategic planning process that garnered widespread stakeholder input from faculty,
staff, student, senior leadership, and the board of trustees (Strategic Plan 2022, 2017). New
program opportunities are identified through robust market research and approved by the
university's Graduate Council, president, and board of trustees. New programs are required to
6
achieve cash-flow breakeven by year three and subsequently return a minimum profit margin of
twenty percent. Startup costs for new programs will be funded from the strategic initiative fund,
a $1 million recurring resource within the annual operating budget. The operating margin,
calculated as program revenue less direct costs of the program and an overhead allocation for
support services like advising and information technology, ensures that new programs provide
new net revenue to the institution. It is expected that new online programs will strengthen the
university’s resources and assure financial sustainability.
Related Literature
Small colleges are an essential provider of higher education that promotes student success
through small classes, frequent faculty-student interaction, and robust support services
(Chessman, 2017; Gonyea & Kinzie, 2015; Gross, 2008; Schuman, 2008). However, the long-
term financial sustainability of these institutions is at risk due to constrained revenue growth,
tuition dependency, and increasing costs (Moody’s, 2018d). Institutions are responding through
various revenue diversification strategies including online programs (Legon & Garrett, 2017).
Online course delivery has grown significantly over the last decade (Saeed, 2019), allowing
small colleges to enter a marketplace that is not limited by the physical proximity to campus.
Shared governance distributes power among the board of trustees, president, and faculty
and generally acknowledges faculty primacy for curriculum, procedures of student instruction,
research, and faculty status (American Association of University Professors, n.d.). To achieve
organizational change, these stakeholders must work together with mutual respect and trust
within their areas of expertise (Bornstein, 2012). At USB, new academic programs must be
developed by the faculty, and approved through the Graduate Council of the faculty senate, the
president, the USB Board of Trustees, and the applicable accreditation body as part of its shared
governance model.
7
Importance of the Evaluation
Financial sustainability for small private college is critical to address for a variety of
reasons. Small colleges are a critical segment of the U.S. higher education industry, collectively
enrolling 17% of students who attend four-year institutions, representing 71% of four-year
college institutions in the United States (Indiana University Center for Postsecondary Research,
2015). Not only is the six-year graduation rate at four-year private institutions exceeding
graduation rates at four-year public institutions for the 2012 cohort by over 10% across all
races/ethnicities (National Student Clearinghouse Research Center, 2018), small colleges enroll a
higher proportion of first-generation college and low-income students than large institutions.
Graduation rates for low-income students are far below their more affluent peers despite efforts
to improve completion rates (Fischer, 2019). However, first-generation college and low-income
students are more likely to complete their bachelor’s degree in four years at a small college than
they are in six years at a public nondoctoral institution (Rine & Eliason, 2015). Through small
class sizes and a focus on teaching and learning, small colleges provide distinctive opportunities
for students to learn and grow (Chessman, 2017). In order to continue their mission, small
colleges must address these financial challenges. Left unaddressed, small colleges will cease to
operate. Without small colleges and their distinguishing type of education, the American higher
educational system “[…] will no longer be able to meet the diverse needs of the US student
population in 20 years” (Denneen & Dretler, 2012, p.3).
Description of Stakeholder Groups
As outlined in Table 2, there are many stakeholders involved in new program
development. Academic programming and content are the responsibility of the faculty as
described in USB’s Faculty Manual. Curricular changes must be approved by the Graduate
Council of the faculty senate and the president. Moreover, the USB Board of Trustees must
8
approve new programs before they are submitted to the applicable accreditation body. Once
approved by the board, the marketing and admissions team is responsible for generating interest
and enrolling students into the program. After enrollment in the academic program, student
success coaches begin retention efforts to ensure that students achieve satisfactory progress
towards degree completion and graduation.
Stakeholder Groups’ Performance Goals
Table 2
Organizational Mission, Global Goal and Stakeholder Performance Goal
Mission
At the University of St. Bernadette, every student will explore transformational pathways to
knowledge, experience, understanding, and achievement.
Performance Goal
By Fall 2022, USB will have eight new online graduate degree programs approved, launched, and
generating new institutional resources.
Stakeholder Goal
By September 2019, at least two New Program Committees will identify an online graduate
program and receive approval from the Graduate Council and the Board of Trustees.
Stakeholder Group for the Study
Although a complete analysis would involve additional stakeholder groups, for practical
purposes the stakeholder focus of this study will be the faculty and administrators participating in
the tuition revenue diversification strategy through new online program development.
Specifically, this study will focus on those staff and faculty who served as a members of a new
program committee. To date, two new program committees have achieved institutional and board
approval, the Master’s in Digital Marketing and Analytics (NPC1) and the Doctorate of
Education in Higher Education Leadership (NPC2). New Program Committees (NPC) were
chosen as the stakeholder group for the study because of their importance to the achievement of
9
the performance goal. If new program committees are unsuccessful in their process to identify
market opportunities that match the institution’s mission and competencies, or if they do not
receive required approvals, USB will be unable to launch these new programs and fail to
generate new revenue for the university, putting the institution’s financial sustainability at risk.
Purpose of the Project and Questions
The purpose of this project is to evaluate the knowledge, motivation and organizational
influences related to achieving USB’s goal of diversifying its tuition revenue stream through new
graduate degree programs. Questions that guided the evaluation study included:
1. To what extent is each new program committee meeting its goal? What factors are
helping and hindering progress?
2. How are knowledge and motivation related to USB’s tuition revenue diversification
strategy?
3. What is the interaction between USB’s culture and context and new program committee’s
knowledge and motivation?
4. What recommendations in the areas of knowledge, motivation, and organizational
resources apply to increase organizational capacity and promote new revenue generation
in other areas of the institution?
Methodological Framework
The design of this study incorporated Clark and Estes’ (2008) KMO model to assess the
new program committees’ effectiveness in diversifying tuition revenue through the development
and launch of new online programs. This project employed qualitative data gathering and
analysis. The new program committees’ performance was evaluated using document analysis and
interviews. Research-based solutions are recommended and evaluated comprehensively.
10
Definitions
This section includes definitions of key terms used throughout this dissertation to aid the
reader in understanding concepts critical to the study.
Accreditation – The primary means “to assure and improve higher education quality, assisting
institutions and programs using a set of standards developed by peers” (Council for
Higher Education Accreditation, 2010, p. 3).
Cash flow breakeven – The point at which the initial investment in a strategy is recouped. In
other words, the point where net income (revenue less expense) offsets the initial
investment.
Financial sustainability – The ability to maintain financial capacity over time (Bowman, 2011).
Margin – The amount by which revenue exceeds direct costs and overhead expressed as a
percentage.
New program committee – Members of the administration and faculty who are assigned to
investigate, propose, develop, and launch a new online graduate program.
Online education – A model for teaching and learning that uses the Internet as the primary
method to communicate, collaborate, and deliver content.
Shared governance – A decision-making framework within an academic institution that
distributes power among the board, president, and faculty facilitating broad participation,
collaboration, and accountability.
Organization of the Project
This study is organized into five chapters. This chapter provided the reader with the key
concepts and terminology commonly found in a discussion about the implementation of online
graduate programs. The organization’s mission, goals, and stakeholders and the evaluation
framework for the project were introduced. Chapter Two provides a review of the current
11
literature surrounding the scope of the study. Topics of the influences on small college, online
graduate programs, and the role of faculty will be addressed. Chapter Three details the
knowledge, motivation and organizational elements to be examined as well as methodology
including participant choice, data collection, and analysis. In Chapter Four, the data and results
are described and analyzed. Chapter Five provides recommendations for practice based on data
and literature as well as recommendations for an implementation and evaluation plan.
12
CHAPTER TWO: REVIEW OF THE LITERATURE
With small colleges enrolling almost one-fifth of students attending four-year institutions
(Indiana University Center for Postsecondary Research, 2015), they are an essential provider of
educational services in the United States. Most importantly, first-generation college and low-
income students are more likely to complete their bachelor’s degree in four years at a small
college when compared to public nondoctoral institution (Rine & Eliason, 2015). However,
small colleges are facing continuing financial pressure with costs rising faster than revenue
growth (Moody’s, 2018b). This chapter begins with a review of the literature about the
educational offering of small independent colleges, the increasing pressure on the business
model, new revenue opportunities through online graduate programs, and the concept of shared
governance to help inform the problem of practice. Next, the chapter reviews the Clark and Estes
(2008) model used in this study, examining the types of knowledge, motivation, and
organizational influences assessed and the assumed new program committee knowledge,
motivation, and organizational influences on performance. The chapter concludes with a
discussion of the conceptual framework informing this study.
Influences on Small Independent Colleges
Distinctive Educational Experiences
Small colleges offer distinctive educational experiences that support student success
through small classes, frequent faculty-student interaction, and robust support services
(Chessman, 2017; Gonyea & Kinzie, 2015; Gross, 2008; Schuman, 2008). Because they work at
schools that emphasize teaching, faculty at small institutions can foster deep relationships with
their undergraduate students (Schuman, 2008). Many faculty teach the same students from their
freshman year through graduation, unlike larger institutions where faculty more typically engage
with only their graduate students. Notably, small colleges offer a low student-to-faculty ratio
13
which allows for more personalized interaction with faculty inside and outside the classroom
(Gross, 2008). Students are encouraged to think critically, reflect on how their learning informs
their own identity, and engage more fully in civil discourse (Chessman, 2017; Gonyea & Kinzie,
2015). Further, small colleges employ high-impact practices to support student retention and
graduation such as service learning opportunities, research conducted with a faculty member,
study abroad, and culminating senior experiences (Gonyea & Kinzie, 2015). In sum, the benefits
of attending a small college include a highly personalized education that focuses on student
success and the development of the mind and heart of each student.
At the national level, student success is a significant concern given the rising cost of
attending college and poor student outcomes. According to the National Center for Education
Statistics (2017), the four-year graduation rate for students at public four-year universities is 34%
and 14% at for-profit institutions. However, 53% of students who attend private, four-year non-
profit universities graduate in four years. Not only are all students more successful at small
colleges, but low income, minority, and first-generation students are more successful at small
colleges with a 64% graduation rate compared to a 50% graduation rate at public research
universities (Ekman, 2015, Rine & Eliason, 2015; Zumeta & Huntington-Kline, 2017).
Moreover, according to Rine and Eliason,
The overwhelming majority of first-generation and low-income students at smaller
private colleges express satisfaction with the quality of their undergraduate education six
years after matriculation and are more likely to be satisfied than their peers from public
doctoral and nondoctoral universities. (p. 3)
Business Model Under Stress
The goal of any business entity is financial sustainability; however, this is an increasing
challenge at many small colleges that do not receive state funding, have large endowments, or
14
receive significant contributions from donors (Carlson, 2018; Chessman, 2017; Hunter, 2012;
Pierce, 2017). Most small colleges rely on tuition and fees as their primary revenue source, and
correspondingly, financial health is directly related to the ability to recruit and retain students
who have the ability to pay. Small colleges are under significant pressure to compete for
students; demographics as well as the willingness and ability to pay limit the numbers of
potential students in the pipeline for small colleges. Moody’s (2017c) changed its industry
outlook to negative, stating the market is increasingly sensitive to the cost of a degree and its
perceived value. This pressure on revenue growth, constrained by enrollment and increasing
tuition discounts, is compounding with increasing costs resulting in shrinking margins and in
some cases, operating losses and institutional closures. Long term, the business model for small
colleges may no longer be sustainable. Zemesky, Shaman, and Campbell (2020) warned that
non-selective four-year institutions may not be able to raise their prices sufficiently to offset
shortfalls in enrollment and increasing costs. In fact, in a recent survey of higher education
business officers, while expressing significant confidence in the future for wealthy private liberal
arts colleges, less than 25% of business officers had confidence in the financial sustainability of
non-elite, small institutions (Lederman, 2013). Because of their reliance on tuition revenue, small
colleges are especially at risk of financial decline (Carlson, 2018; Chessman, 2017; Hunter,
2012; Pierce, 2017) and must respond with systemic changes to assure institutional financial
health. Institutions must reconsider academic program offerings, tuition rate, and instruction
modality (Zemesky, Shaman, & Campbell; 2020).
Challenging Demographics Shifts for Small Colleges
Carlson (2018) noted that, “Two factors alone — the decline in the number of traditional-
age students and the limited buying power of American families — are enough to break fragile
institutions” (p. 62). At the beginning of the twentieth century, 80% of college students attended
15
a private college or university, with the remaining 20% attending a public institution (Wolfram,
1997). However, by the end of the century, enrollment shifted significantly, with only one out of
five students attending a private institution. During this period, as enrollment shifted to public
institutions, overall college enrollment grew substantially, with private colleges experiencing
modest enrollment gains. For example, between 1965 and 1995 enrollment grew by 8.2 million
students; however, public institutions absorbed 86% of this increase, resulting in a far smaller
increase for private colleges and universities (Wolfram, 1997). More recently, a study by David
Strauss, principal of the Art & Science Group, reported a growing student preference for larger
urban institutions with professional fields of study over smaller, liberal arts-focused institutions
(Pierce, 2017).
Projections of future enrollment growth add more concerns for small colleges (Chessman,
2017; Carlson, 2018; Murdick, Cline, Zey, Perez, & Jeanty, 2015). High school graduates are
expected to decrease between 2014 and 2030, making enrollment gains at small private colleges
challenging to achieve (Chessman, 2017). Moreover, college enrollment projections predict an
increase in students who do not possess the necessary resources to afford tuition. In 2010, almost
63% of students were non-Hispanic Whites, but by 2060, that proportion will likely drop to less
than 42% (Murdick, Cline, Zey, Perez, & Jeanty, 2015). Over the same period of time, students
with unmet financial need above $10,000 per year is projected to increase by almost 23%,
primarily due to an increase in minority students with limited resources. Further challenging
affordability is the increase in tuition rates, which are rising faster than any other primary
product or service (Dumestre, 2016; Wang, 2008). Since 1982, the amount a family pays for
college tuition has increased over 400% after adjusting for inflation (Wang, 2008), calling into
question the return on investment for a college degree. With family incomes stagnating since the
2008 recession, ever-increasing tuition rates, and increasing skepticism over the value of a
16
degree, fewer families are able or willing to pay full tuition (Carlson, 2018; Conner & Rabovsky,
2011; Goldrick-Rab, 2016).
Tuition Dependency
Higher educational institutions have various sources of revenue, including tuition and fee
revenue from students, state and federal grants, investment income, and patient fees (if there is
an associated hospital). Many small colleges are “tuition-dependent” meaning tuition is the
primary source of revenue. According to Moody’s (2018b), “Net tuition revenue [for small
private institutions] represents a median 74% of total operating revenue” (p. 2). As such, the
ability to increase revenue from tuition is critical to institutional financial health (Carlson, 2018;
Chabotar, 2010; Chessman, 2017; Hunter, 2012; Lyken-Segosebe & Shepherd, 2013; Moody,
2018b; Selingo, 2013). Institutions should be wary of increasing tuition discount rates to increase
enrollment as this pressures net tuition growth and can result in revenue declines (Chessman,
2017).
Increasing Costs, Decreasing Margins
Moody’s (2017a) reported that 34% of small institutions ended fiscal 2016 with an
operating deficit, up from 20% in fiscal 2013. Not only is revenue growth constrained, colleges
and universities are facing increasing costs due to labor inflation, labor expansion, and capital
expansion (Carlson, 2018; Dumestre, 2016; Greene, Kisida, & Mills, 2010; Lyken-Segosebe &
Shepherd, 2013; Moody, 2017a; Moody’s, 2018c; Selingo, 2013). Salaries and benefits represent
the most significant expense for most institutions at 60-70% of total expense, yet higher
education remains a labor-intensive industry which has not been able to capture efficiencies from
technology or other means (Moody’s, 2017c). Labor rates continue to increase and outpace net
tuition revenue gains. Salaries increased by 2.8% and 3.1% in 2017 and 2018, respectively
(Employment Cost Index Summary, January 2019). Further increasing labor costs, colleges and
17
universities are adding staff to address mandated compliance efforts and investing in student
support services in hopes of improving student outcomes (Carlson, 2018). Some researchers
suggest that the growth in non-teaching positions is unnecessary and adding to administrative
bloat (Carlson, 2018; Greene, Kisida, & Mills, 2010). Regardless, labor costs are outpacing
revenue gains, resulting in decreasing margins or operating losses (Lyken-Segosebe & Shepherd,
2013; Moody’s, 2017c).
Further pressuring financial performance is the increasing cost of facilities, both
maintaining existing facilities and building new facilities to attract students. Selingo (2013)
warned institutional leaders to carefully consider the consequences of additional debt for new
capital projects to ensure the repayment does not obligate too large a percentage of total
resources and to be mindful of existing facilities that may require capital investments. Moody’s
(2018c) states, “These increasing costs reflect the high-touch business model of most private
colleges, which provide comparatively low student-to-faculty ratios, an array of student services,
and campuses with amenities that must compete with larger and wealthier schools.” In sum, it is
challenging for small institutions to reduce their expenses while looking for opportunities to
increase their market positions (Carlson, 2018; Dumestre, 2016).
The Role of Endowments
Endowment funds act as a type of savings or reserve for future expenditures or as a buffer
against financial downturns. They are an increasingly valuable resource to help offset the rising
cost of education or to fund mission-critical initiatives (Dumestre, 2016; Kraus, Ochoa-
Brillembourg & Yoder, 2017). In particular, an endowment is a pool of institutional resources
accumulated primarily from donor contributions and operating surpluses and is managed by an
institution’s board of trustees (Hansmann, 1990; Hansmann, 2011; Kraus, Ochoa-Brillembourg
& Yoder, 2017). The board of trustees acts as a fiduciary and is responsible for setting the
18
investment policy that outlines the investment strategy, risk tolerance, and the spending
calculation (Kraus, Ochoa-Brillembourg & Yoder, 2017). Annual spending is the process by
which accumulated earnings are distributed from the investment pool and made available for use.
Given that the primary funding mechanism for endowments is contribution revenue, it is
important to note that the spending of these funds is subject to donor restrictions that limit
spending discretion. Funds not subject to donor restrictions, referred to as “quasi-endowment,”
are more easily directed to institutional priorities (Hansmann, 1990). A central concept for
endowment management is the preservation of intergenerational equity, which maintains the
purchasing power of the endowment for future generations. In other words, the investment goal
is to ensure that the endowment provides the same level of support to the institution in the future
as it currently provides (Hansmann, 1990; Kraus, Ochoa-Brillembourg & Yoder, 2017). This
entails selecting an investment strategy that not only increases the value of the endowment
commensurate with inflation, but also provides investment returns to fund capital distributions
each year.
Institutional wealth is highly concentrated at the most elite universities. The majority of
small colleges do not have large endowments to help sustain their operations especially for an
extended period (Carlson, 2018; Hansmann, 2011; Hunter, 2012; Moody’s, 2017a; Moody’s,
2018b). In fact, according to Moody’s (2017a), 70% of the total endowment value is attributable
to the 20th wealthiest universities. The remaining institutions are at a competitive disadvantage
as they attempt to compete for students while covering their costs primarily from student tuition
and fees (Carlson, 2018). Endowment spending at the wealthiest universities fund 17% of
operating budgets, yet for smaller institutions, endowment spending only funds 4% of the
operating budget (Dumestre, 2016). The pressure on resources has resulted in many institutions
19
depleting their endowments to fund current operations, putting at risk their long-term financial
viability (Jarvis, Kuhnel, Redd, & Edmonds, 2017; Kraus, Ochoa-Brillembourg & Yoder, 2017).
Online Graduate Programs
Many institutions have tuition revenue diversification strategies that include online
graduate programs. In a recent survey of over 100 chief online education officers, a majority
report that online learning is a revenue enhancement strategy, with almost 60% of private, four-
year institutions indicating net revenue gains from online programs (Legon & Garrett, 2017). A
2018 study reported an increase in online education enrollment for the 14th consecutive year
(Seaman, Allen, & Seaman, 2018). Notably, online graduate enrollment grew by 20% from 2012
to 2015 compared to 6% growth in online undergraduate enrollment, with 18% of all graduate
programs now offered in a fully online format (Legon & Garrett, 2017). Online graduate
programs currently enroll almost 800,000 students and represent 26% of total online enrollment
(Legon & Garrett, 2017). This growth is driving more institutions to offer fully online graduate
programs (Roback, 2016; Sener, 2010; Saeed, 2019), creating an opportunity for small colleges
to stabilize their revenue streams. Similarly, Moody’s (2019) in its most recent report states,
Over the longer term, social risks will continue to transform the US higher education
sector, with demographic changes presenting both challenges and opportunities. While
traditional-age enrollment may decline, expanding online programs and growing
workforce needs will provide new types of learners with access to higher education. (p. 1)
Online Learning Efficacy
Online learning, initially considered to be inferior to in-person instruction, no longer
suffers from skepticism about its learning efficacy. Research indicates that online delivery of
education is as an effective teaching modality as face-to-face learning (Sener, 2010, Siemens,
Gasevic, & Dawsom, 2015; Wright, 2014). Moreover, multiple meta-analyses conclude that
20
online courses are at least, if not more, effective than classroom instruction (Siemens, Gasevic, &
Dawsom, 2015; Wright, 2014). However, according to Wright (2014), not all subject matters are
equally suitable for online formats. Wright (2014) suggested that applied qualitative courses like
management and marketing are more appropriate for online delivery, while quantitative courses
like mathematics and statistics are more effective in a face-to-face delivery modality. Sener
(2010) posited that online education is “a worthy alternative” to in-person instruction, having
“demonstrated its effectiveness, achieved actual and perceptual parity with traditional classroom-
based education, and demonstrated its superiority to traditional education in meaningful ways”
(p. 7). Not only are students and faculty more accepting of online education as an effective
model of instruction, but employers also believe that online degree programs offer a high-quality
educational experience (Friedman, 2017; Haynie, 2015; Sener, 2010).
Benefits of Online Learning
Online education offers benefits for the student and the institution. Christensen, Horn,
Caldera, and Soares (2011) opined that “online learning appears to be the technology enabler for
higher education” (p. 3) by reaching students who were not previously served, and without the
need for institutions to increase buildings and tenured faculty. Specifically, online graduate
programs offer students flexibility and the ability to work and study simultaneously as well as
accommodate an increasing preference for technology-mediated courses (Frey, 2013; Legon &
Garrett, 2017; Roback, 2016; Saeed, 2019; Sener, 2010). Institutional benefits of online courses
include the avoidance of infrastructure costs related to the physical campus and the ability to
recruit faculty (tenured and adjunct) and students from a greater geographic area (Frey, 2013;
Roback, 2016; Sener 2010).
21
Market Opportunities for Small Colleges
Online course delivery has grown significantly over the last decade (Saeed, 2019),
allowing small colleges to enter into a marketplace that is not limited by the physical proximity
to campus. While public institutions enroll more online students, much of the growth in online
education is occurring at private, non-profit institutions, demonstrating the importance of this
sector in providing distance-based programming (Allen & Seaman, 2017). Online graduate
enrollment increased by 33% at private non-profit institutions from 2012 to 2015 (Allen &
Seaman, 2017). This growth is ameliorating declines in face-to-face undergraduate and graduate
programs (Saeed, 2019). With 18% of all graduate programs now offered in a fully online format
(Legon & Garrett, 2017), institutions are generating significant revenue streams by charging the
same tuition or a higher rate for online programs (Kelly & Hess, 2013).
The Role of Faculty
Faculty at higher education institutions play a vital role in the delivery of the educational
mission and the management of academic programs and content. In particular, a faculty
member’s professional activities include teaching, research, service, leadership, and civic
engagement. To protect faculty members from “unreasonable constraint on their professional
activities,” institutions operate with the concept of academic freedom as a fundamental value
(Frank & O’Neil, 2011). The purpose of academic freedom is to advance knowledge through
research and creativity, and to educate students (American Association of University Professors,
1940; American Association of Colleges and Universities, 2006; Frank & O’Neil, 2011). As
stated in the AAUP’s 1940 Statement on Principles on Academic Freedom and Tenure,
“Freedom in research is fundamental to the advancement of truth. Academic freedom in its
teaching aspect is fundamental for the protection of the rights of the teacher in teaching and of
the student to freedom in learning” (p. 1). To ensure the freedom of teaching and research and to
22
make the profession of teaching attractive to qualified individuals, the AAUP asserts that tenure,
a permanent employment contract, is “indispensable” to the success of institutions.
Shared Governance
Most non-profit higher education institutions operate within a model of shared
governance, in support of academic freedom, where faculty are granted authority over academic
matters including teaching and research (Frank & O’Neil, 2011). Shared governance at an
academic institution distributes power among the board, president, and faculty facilitating broad
participation, collaboration, and accountability in decision-making. While neither the
Association of Governing Boards (AGB) nor the American Council on Education (ACE)
formally adopted the AAUP’s 1966 Statement on Government of Colleges and Universities, it
has become the industry standard (Bornstein, 2012). Outlined in the statement, decisions
regarding significant actions compel participation by all institutional stakeholders with the
weighting of diverse opinions determined by the respective responsibility of each unit for the
matter at hand (American Association of University Professors, n.d.). The faculty have primary
responsibility for curriculum, procedures of student instruction, research, and faculty status.
Therefore, it’s imperative to have faculty engaged in curricular changes like new online graduate
programs. Similarly, faculty involvement in long-range planning is vital to successful shared
governance. MacTaggart (2018) warned, “Excluding the academic community from the process
of change is a recipe for no-confidence votes [in senior leadership], bad press, and chronic
resistance” (p. 13).
Knowledge, Motivation, and Organizational Influences
To improve performance and achieve organizational goals, research advocates for the use
of a systemic approach that includes an assessment of knowledge, motivation, and organizational
factors which may be contributing to suboptimal performance (Clarke & Estes, 2008, Rueda,
23
2011). Gap analysis provides the structure for investigating and validating the cause of under-
performance allowing for the alignment of resources and solutions in support of organizational
goals. Utilizing this framework, performance gaps can be broken into three areas: knowledge,
motivation, and organizational influences. The knowledge gap focuses on whether members of
the organization have the skills and knowledge necessary to achieve the goal. The motivation
gap explores whether members of the organization possess the motivation to achieve the goal.
The organizational gap investigates whether organizational barriers exist that negatively impact
goal achievement.
In the following section, these three factors, knowledge, motivation, and organizational
barriers, are examined within USB’s new program committees to achieve their performance goal
of new net revenue through new online graduate degree programs. First, the assumed influences
related to knowledge necessary to achieve the performance goal are explored. Next, the assumed
influences related to motivation necessary to achieve the performance are examined. Finally,
assumed institutional barriers that impact achievement of the performance goal are assessed.
Each of these assumed influences on performance are then further examined through the research
methods discussed in Chapter 3.
Stakeholder Knowledge, Motivation, and Organizational Influences
With many small colleges struggling to balance revenues and expenses, experts suggest
diversifying revenue streams to stabilize cash flows and assure financial sustainability (Barron,
2017; Denneen & Dretler, 2012; Moody’s, 2016; Supplee, 2014). To that end, the University of
Saint Bernadette (USB), a small private college, is implementing a tuition revenue diversification
strategy through new online graduate programs, lessening its dependence on undergraduate
enrollment. Their global goal, as described in USB’s Strategic Plan 2022, is to develop new
online graduate programs in niche markets creating new resources to assure its educational
24
mission. New Program Committees (NPC), comprised of faculty members and administrators,
are responsible for the fulfillment of this goal.
Clark and Estes’ (2008) gap analysis provided the structure for investigating and
validating the cause of under-performance allowing for the alignment of resources and solutions
in support of organizational goals. Utilizing this framework, performance gaps were explored
through the lens of knowledge gaps, motivation gaps, and organizational barriers that negatively
impact achievement of the goal. This literature review focuses on the knowledge and motivation-
related influences that are germane to the achievement of USB’s goal of diversifying its tuition
revenue stream through new online graduate programs. While presented discreetly, it is
important to acknowledge that the KMO variables are interrelated and reinforce each other as
part of an interacting system. Moreover, all three of these variables must be present and aligned
in order to achieve the organizational goal (Clark & Estes, 2008).
Knowledge and Skills
The research investigated knowledge and skill gaps, often called learning problems,
through the frame of behavioral, social cognitive, information processing system, cognitive load,
and sociocultural learning theories. Knowledge types are categorized as factual, conceptual,
procedural, and metacognitive (Krathwohl, 2002; Mayer, 2011; Rueda, 2011). Factual
knowledge includes the basic knowledge specific to a discipline whereas conceptual knowledge
includes knowledge of categories, principles, and models of a specific domain. Procedural
knowledge is the understanding of methodologies and techniques related to how to do
something. Lastly, metacognitive knowledge is the awareness of one's cognition, knowledge of
when and why to do something (Rueda, 2011), allowing contextual and conditional assessment
of options (Krathwohl, 2002).
25
A knowledge gap exists when individuals do not possess the requisite knowledge and
skills to function effectively (Rueda, 2011). Knowledge of USB’s financial model, campus
culture, and the requirements of the Faculty Manual are three knowledge-related influences that
are pertinent to the NPC’s goal of identifying and launching new online graduate programs.
Knowledge gaps can exist in all four knowledge types. Of the three identified knowledge
influences for the NPC, the university’s financial model relates to conceptual knowledge
navigating the campus culture and the requirements outlined in the Faculty Manual relate to
procedural and factual knowledge types.
Table 3 below outlines the organizational mission, organizational goal, and information
specific to knowledge influences, knowledge types, and knowledge influence assessments. As
Table 3 indicates, one conceptual and two procedural influences will be used to gain insight
about the New Program Committee members’ current and necessary knowledge to be successful
in achieving the organizational goal.
26
Table 3
Knowledge Influences, Types, and Assessments for Knowledge Gap Analysis
Organizational Mission
At the University of St. Bernadette, every student will explore transformational pathways to
knowledge, experience, understanding, and achievement.
Organizational Global Goal
By Fall 2022, USB will fully launch eight new online graduate degree programs generating
new institutional resources.
Stakeholder Goal
By September 2019, at least two New Program Committees will identify an online graduate
program and receive approval by the Graduate Council and the Board of Trustees.
Knowledge Influence Knowledge
Type
Knowledge Influence Assessment
NPC members understand the
university’s business model and
how new online graduate
programs provide resources
necessary to sustain the mission.
Conceptual Interview NPC members to determine their
understanding of the business model and
need for new resources.
Interview Prompt: “As you may already
know, the university has set a strategic goal
to launch new online graduate programs as
part of the tuition diversification strategy.
How does this strategy relate to the
university’s business model and the need
for new resources?”
NPC members know how to guide
new initiatives through the
university’s approval process.
Procedural Interview NPC members to determine their
understanding of the approval process.
Interview Prompt: “Describe the steps to
guide the new program through the
university’s approval process.”
NPC members create new ways to
improve the approval process for
new initiatives.
Procedural Interview NPC members to determine
what, if any, changes to their behavior they
employed to overcome obstacles.
Interview Prompt: “What, if any, new
habits/tactics have you developed that
improve the likelihood of gaining
university approval? Why were these
changes needed?”
Motivation
As stated above, research advocates for the use of a systemic approach that includes an
assessment of knowledge, motivation, and organizational factors to improve performance and
27
achieve organizational goals (Clarke & Estes, 2008, Rueda, 2011). A motivation gap exists when
individuals do not possess the requisite motivation to perform adequately (Rueda, 2011).
Utilizing the gap analysis framework, this section reviews motivation theory and explores three
motivation influences that may impact the New Program Committee’s ability to achieve their
performance goal.
Motivation to undertake and sustain a task is influenced by the decision to choose that
activity over another, the commitment to continue that activity over time, and the cognitive effort
needed to execute that task (Clarke & Estes, 2008, Rueda, 2011). These are commonly referred
to as active choice, persistence, and mental effort. Active choice occurs when the intention to
pursue a task is replaced by action, even if the individual did not select that task itself.
Persistence occurs when the individual continues at the task despite distractions. Mental effort
refers to the cognitive effort needed to generate new knowledge in pursuit of the task and is
significantly influenced by confidence in the ability to be successful at that task. Several factors
that influence motivation are self-efficacy, collective efficacy, interest, expectancy value, goal
orientation, and attributions (Rueda, 2011). The research project will explore the influence of
the NPC's self-efficacy, collective efficacy, and expectancy value towards the achievement of the
performance goal. It is essential to understand how these motivational influences contribute to
performance to formulate strategies to increase performance, productivity, and employee
engagement (Rueda, 2011).
Self-Efficacy
High levels of self-efficacy, defined as a belief in one’s ability and effectiveness, increase
performance (Clark & Estes, 2008; Grossman & Salas, 2011; Pajares, 2006; Pintrich, 2003). In
fact, an individual who has sufficient knowledge and believes he is capable and sufficient to
complete a task will achieve more than someone who is equally capable but doubts his ability to
28
be effective (Clark & Estes, 2008). According to Bandura (2000), self-efficacy impacts an
individual’s goals and aspirations, as well as reactions to impediments and opportunities.
Moreover, research demonstrates self-efficacious individuals are more likely to persist when
faced with challenges and achieve better performance (Rueda, 2011; Xie & Huan, 2014).
Members of the NPC must possess self-efficacy about their ability to generate increased tuition
revenue in support of financial sustainability through new program identification and approval.
Self-efficacy is formed through mastery experience (do it), vicarious experience (see it), social
persuasions (hear it), and physiological reactions (feel it) (Pajares, 2006). Two ways self-efficacy
for NPC members can be enhanced is through (1) conversations about the university’s business
model and the program approval process or (2) training on the business model and training on
the requirements of the Faculty Manual (Simmons, 2012). Additionally, similar to providing
feedback to students to build self-efficacy, to enhance performance, feedback to NPC members
should emphasize their effort rather than their ability (Pajares, 2006).
Collective Efficacy
Efficacy is both a personal construct as well as a group construct. Collective efficacy is
needed when individuals must work together to achieve goals, and this influences their group
effort and ability to overcome obstacles and disappointment (Bandura, 2000). In fact, research
indicates the higher the perceived group efficacy, the more persistence in the face of obstacles is
demonstrated and the higher the performance achievements. Likewise, group efficacy influences
how the group organizes, creates, and manages changing circumstances (Bandura, 2005).
According to Pajares (2006), “Organizations with a strong sense of collective efficacy exercise
empowering and vitalizing influences on their constituents, and these effects are palpable and
evident” (p. 2). Not only must members of the NPC believe they have personal efficacy, but they
must also believe in their collective efficacy to advance the new program initiative and generate
29
new resources. Similar to generating motivation in a class through group agency, members of the
NPC must develop a collective efficacy and shared capacity that encourages participation in the
group in support of the performance goal (Goggins & Xing, 2016).
Expectancy Value
The value one attaches to a task is a motivation indicator generally referred to as
expectancy value (Pintrich, 2003; Rueda, 2011). Expectancy value impacts one’s motivation to
start and persist with an activity or task such that the greater importance one places on the
outcome of the task, the more one is willing to begin and sustain effort towards this outcome.
Expectancy value includes one’s perception of ability (can I do this task?) as well as the task
value (do I want to do this activity?). The four dimensions of value are attainment value, the
extent to which undertaking the task is congruent with one’s self-image; intrinsic value, the
expected enjoyment of engaging in the task; utility value, the usefulness of the task; and cost
belief, the expected cost of undertaking the task (Eccles, 2006). Members of the NPC must
possess high expectancy value to initiate and persist in their efforts to develop new graduate
programs that will generate new resources for the institution.
Table 4 below outlines the organizational mission, organizational goal, and information
specific to assumed motivation influences and assessment. As Table 4 indicates, three motivation
influences will be used to gain insight about the New Program Committee members’ current and
necessary motivation to be successful in achieving the organizational goal.
30
Table 4
Motivational Influences and Assessments for Motivation Gap Analysis
Organizational Mission
At the University of St. Bernadette, every student will explore transformational pathways to
knowledge, experience, understanding, and achievement.
Organizational Global Goal
By Fall 2022, USB will fully launch eight new online graduate degree programs generating new
institutional resources.
Stakeholder Goal
By September 2019, at least two New Program Committees will identify an online graduate
program and receive approval by the Graduate Council and the Board of Trustees.
Assumed Motivation Influences Motivational Influence Assessment
Self-Efficacy - Members of the NPC
must have efficacy around the
business model and the way that
new program approval supports
financial sustainability.
Interview NPC members to explore their level of
confidence in their own ability to participate in revenue
generation.
Interview Prompt: “Although I am familiar with the
institution and members of the NPC, I do not participate in
new program ideation or program creation. How confident
are you that this new program will generate new resources
for the university?”
Collective Efficacy – Members of
the New Program Committee
believe they are capable of gaining
institutional approval for new
programs.
Interview NPC members to determine their confidence in
their collective ability to gain approval for new programs.
Interview Prompt: “What is your level of confidence that
the NPC team will accomplish its goal of launching a new
online graduate program?”
Expectancy Value - Members of the
New Program Committee value their
contribution towards generating new
net revenue.
Interview NPC members to determine their expectancy
value towards achieving new revenue production.
Interview Prompt: “How are you ensuring that new
programs will generate new resources of the institution?”
Organization
Organizational culture encompasses the norms, rules, values, and beliefs of an
organization that dictates how members of the organization work together to accomplish tasks
(Clark & Estes, 2008; Northouse, 2015; Schein, 2004, Schein 2017). One way to analyze
organizational culture is to consider the cultural settings and cultural models that guide behavior
(Gallimore & Goldenberg, 2001). Cultural settings occur when individuals join together to
31
perform an activity and include the individuals, their tasks, the manner in which tasks are
completed, and the interaction between the individuals. Cultural models represent the shared
behavioral, cognitive and affective elements of the group interaction. Cultural models occur
within settings and define how individuals perceive, think, and respond to conditions (Gallimore
& Goldenberg, 2001).
Analysis of the cultural model includes observing the differing levels of culture: Level 1
– Artifacts, including the structure and behavior of its members; Level 2 – Espoused Beliefs and
Values, including the ideals, goals and ideologies at play in the organization; Level 3 – Basic
Underlying Assumptions, including unconscious thoughts and perceptions that influence
emotional and behavioral responses (Schein, 2017). The Human Potential Philosophy suggests
that individuals need trust, an element of the cultural model Level 3, to function effectively
especially in changing environments (Schneider, Brief, & Guzzo, 1996). The trustworthy
behavior of management is reinforced through behavioral consistency, acting with integrity,
sharing and delegating control, the openness of communication, and demonstration of concern
(Korsgaard & Whitener, 2002). From a cultural model perspective, a culture of trust, mutual
respect, and cooperation must exist within the organization to support and sustain change efforts.
Shared Governance
The concept of shared governance heavily influences the cultural setting within any
educational institution. The American Association of University Professors (AAUP), suggests,
“[…] a college or university in which all the components [board of trustees, administration,
faculty, and students] are aware of their interdependence, of the usefulness of communication
among themselves, and of the force of joint action will enjoy increased capacity to solve
educational problems” (Statement on Shared Governance, Introduction). The AAUP, along with
the Association of Governing Boards (AGB) and the American Council on Education (ACE),
32
adopted the Statement on Government of Colleges and Universities (1966) that outlines elements
of shared governance and responsibilities for various stakeholders within an institution of higher
education. It states, “The faculty has primary responsibility for such fundamental areas as
curriculum, subject matter and methods of instruction, research, faculty status, and those aspects
of student life which relate to the educational process” (Statement on Shared Governance, The
Academic Institution: The Faculty). Therefore, to generate new revenue streams through new
academic programs, the faculty and administration must work together cooperatively with
transparency and mutual trust.
USB outlines its operating procedures, an element of the cultural setting, congruent with
best practice for shared governance in its Faculty Manual (USB Academic Governance, 2016).
The Faculty Manual defines the faculty role as encompassing teaching, service, and research.
Moreover, the Faculty Manual also stipulates faculty workload and requirements for promotion
and tenure. From a cultural setting perspective, two specific areas that may impact the
achievement of USB's performance goal are workload and the tenure and promotion process.
Mission, Vision, Values
From a cultural model perspective, the NPC must support and participate in change
initiatives like new program development. NPC members need to understand the changing
environment in higher education, the pressure on the business model, and the imperative for
institutions to adapt. The organization's mission, values, and history heavily influence the
cultural model. Established in 1850, USB’s culture has been formed by generations of
employees. According to Schein (2017), members of an organization become more alike in
thought and emotion over time which reinforces structural stability. This stability allows for the
daily functioning of the organization but may hinder the ability to adapt in changing
environments (Clark & Estes, 2008). Table 5 below outlines the organizational mission,
33
organizational goal, and information specific to assumed organizational influences and
assessment. As Table 5 indicates, one cultural model and two cultural setting influences will be
used to gain insight into the organizational influences needed to be successful in achieving the
organizational goal.
Table 5
Organizational Influences and Assessment for Organizational Gap Analysis
Organizational Mission
At the University of St. Bernadette, every student will explore transformational pathways to
knowledge, experience, understanding, and achievement.
Organizational Global Goal
By Fall 2022, USB will fully launch eight new online graduate degree programs generating
new institutional resources.
Stakeholder Goal
By September 2019, at least two New Program Committees will identify a new online
graduate program and receive approval by the Graduate Council and the Board of Trustees.
Assumed Organizational
Influences
Organization Influence Assessment
Cultural Model
Influence 1:
Within a shared
governance model, there
needs to be a culture of
trust between the faculty
and administration.
Interview NPC members to determine the levels of trust among
stakeholders within the shared governance cultural model
promoting goal attainment.
Interview prompt:
Describe your experience working on the NPC during this process.
How did trust or the lack of trust impact the process? How was
shared governance supported or undermined through the process?
Cultural Setting
Influence 1:
NPC faculty members
need a reduction in their
4-4 teaching load to
invest time in new
program development.
Interview NPC faculty members to determine how the allocation
of time among various responsibilities impacts goal attainment.
Interview prompt:
What strategies did you employ to ensure you had adequate time
to for this project?
Cultural Setting
Influence 2:
New program
development should be
heavily weighted in
promotion and tenure
reviews for NPC
members.
Interview NPC faculty members to determine how the weighting
of new program development impacts goal attainment.
Interview prompt:
Do you believe participating in this project will help advance your
career?
34
Conceptual Framework: The Interaction of Stakeholders’ Knowledge and Motivation and
The Organizational Context
The conceptual framework, a critical component of the research design process, serves as
the underlying structure that informs the study and includes the system of concepts, beliefs, and
theories that support the research (Maxwell, 2013; Merriam & Tisdell, 2016, Rocco & Plakotnik,
2009). Its purpose is to assist the researcher in defining the conceptual scope, outlining
relationships among concepts and identifying gaps in the literature (Rocco & Plakotnik, 2009).
As a lens that is applied to assist in the understanding of the phenomena (Merriam & Tisdell,
2016), the conceptual framework is also informed by the researcher’s own experience (Maxwell,
2013). In sum, the conceptual framework, presented below in both graphical and narrative form,
operates as the tentative theory of what is happening and demonstrates the relationships between
the variables.
35
Figure 2
Conceptual Framework for New Program Development at USB.
While this study presents and organizes the knowledge, motivation, and organizational
factors independent of each other, it is essential to consider and explore the overlapping
relationships between these variables. The conceptual framework (Figure 2) depicts the
interrelationship between the organizational factors and the knowledge and motivation of the
NPC as embedded circles. The NPC is shown as the inner, thinner-line circle to demonstrate how
36
this group operates within the organizational culture, displayed as the outer thicker-line circle.
Sitting outside the NPC and the organizational culture is the stakeholder goal of new program
development. The line connecting the stakeholder goal to the organization and the NPC
penetrates both the outer circle, depicting the impact of the goal on the organization, and the
inner circle, depicting the impact of the goal on the members of the NPC. To achieve the
organizational goal of new program development, faculty and administrators must possess the
knowledge and motivation to develop these new programs and be in alignment with the
organizational cultural settings and model.
Conclusion
This chapter outlined the financial challenges for small colleges and explored online
graduate programs as a tuition revenue diversification strategy. It then reviewed the literature
surrounding the business model for small colleges, online graduate programs, and the role of the
faculty in program development. Lastly, it described the literature related to the knowledge,
motivational, and organizational factors surrounding successful implementation of new graduate
programs. The following chapter will address the methodological approach, choice of
participants, data collection, and analysis for this study.
37
CHAPTER THREE: METHODS
The purpose of this project was to evaluate the knowledge, motivation and organizational
influences related to achieving the University of Saint Bernadette’s goal of diversifying tuition
revenue by introducing new online graduate degree programs. This chapter presents the research
design and methods for data collection and analysis utilized in this evaluation. Questions that
guide the evaluation study of the knowledge and skills, motivation, and organizational
influences, based on Clark and Estes’ (2008) gap analysis framework, include:
1. To what extent is each new program committee meeting its goal? What factors are
helping and hindering their progress?
2. How are knowledge and motivation related to USB’s revenue diversification strategy
through new online graduate programs?
3. What is the interaction between USB’s culture and context and each new program
committee’s knowledge and motivation?
4. What recommendations in the areas of knowledge, motivation, and organizational
resources apply to increase organizational capacity and promote new revenue
generation in other areas of the institution?
The remainder of this chapter outlines the participating stakeholders, data collection and
instrumentation, data analysis, credibility and trustworthiness, ethics, and limitations and
delimitations of this study.
Participating Stakeholders
Rather than exploring general questions about a broad population, this research employed
a case study approach to develop a deep understanding of the KMO factors impacting its revenue
diversification strategy through new program development at USB. The stakeholder groups of
focus for the study were the Master of Science in Digital Analytics-new program committee
38
(NPC1) that successfully launched USB’s first online graduate program for the Fall 2018 term,
and the Doctorate of Education-new program committee (NPC2) that launched the second online
program for Fall 2019. While some administrative staff served as members of both NPC1 and
NPC2, the deans and faculty members that participated in the committees represented two
different schools within USB and were unique to their committees. Both NPC committees
included the dean of the respective college for the program, three to four full-time tenure-track
faculty members, and three administrators (Academic Planning, Marketing & Enrollment, and
Registrar) for a total membership of approximately eight individuals per committee.
Qualitative Data Collection and Instrumentation
The design of this study incorporated Clark and Estes’ (2008) KMO model to assess the
NPC’s effectiveness in achieving their goal of developing and launching new online programs.
Specifically, the study focused on the knowledge and skills, motivation, and organizational
influences (KMO) that impact the development of new revenue streams. A qualitative research
methods approach was used for this study to explore and understand the KMO factors through
inductive inquiry. Characteristics of qualitative research include data collection occurring in the
participant’s setting, themes emerging inductively from data analysis, and the researcher
constructing meaning from the data (Creswell, 2014; Johnson & Christensen, 2015; McEwan &
McEwan, 2003; Merriam & Tisdell, 2016). For this study, two data collection methods were
employed to lessen the likelihood of bias that could distort the accuracy of the data (Bowen,
2009; McEwan & McEwan, 2003). Specifically, the study utilized document analysis and
interviews to triangulate data and extract meaning.
The qualitative nature of the research project indicated purposeful sampling as the
method of choice for data collection for both the document review and interviews (Maxwell,
2013; Merriam & Tisdell, 2016). In purposeful selection, particular settings, persons, and
39
activities were chosen deliberately to provide information relevant to the chosen research
questions, unlike random sampling that arbitrarily selects participants to represent the population
(Maxwell, 2013). The documents and participants for this study were deliberately chosen
because they are critical to understanding the knowledge, motivation, and organization
influences at play in revenue stream diversification.
Obtaining permission from the University of Southern California’s Institutional Review
Board (IRB) as well as the IRB at the University of St. Bernadette was the first step of this
research project. Once permission was obtained, the first data collection method was document
analysis, a structured examination and assessment of documents to provide useful information
that can inform the interview process about the culture and context of the organization (Bowen,
2009). Documents such as enrollment reports, financial statements, meeting minutes, and reports
from the Curriculum Committee, the board of trustees, and accreditation bodies were available to
the researcher and some provided information related the knowledge, motivation, and
organizational factors impacting achievement of the stakeholder goal as detailed in Appendix B.
The purpose of the document review was to understand the process undertaken to develop the
program, the timeline involved to receive approval, and the resources needed for program
development and approval, as well as to identify areas where roadblocks arose.
Interviews, often the primary data collection strategy in qualitative research (Merriam &
Tisdell, 2016), followed the document analysis procedure. The interview utilized a semi-
structured format with a preset list of questions to explore. With interview questions
predetermined in a set order, the semi-structured format allowed the researcher to be responsive
to the information that is shared through probing and question sequencing (Merriam & Tisdell,
2016). Interview questions explored the knowledge, motivation, and organizational influences
impacting goal attainment (Appendix A). The sample for interviews consisted of the faculty and
40
administrative staff who participated in the new program development process, collectively
referred to as the New Program Committee (NPC1 or NPC2). Approximately fourteen
individuals in total served on the two committees. While fourteen potential participants may
appear to be a limited sample size, it is appropriate in this situation given their unique experience
(Merriam & Tisdell, 2016). The purpose of the interview questions was to identify successful
practices employed during program development for the two successfully launched programs.
Documents and Artifacts Strategy and Rationale
The researcher had access to all documents about the new program committees including
meeting minutes, reports to the Curriculum Committee, the board of trustees, and accreditation
bodies. Review of these documents enabled the researcher to review the words and language of
the participants (Creswell, 2018). Additionally, the researcher reviewed financial statements,
enrollment reports, and the Faculty Manual. Similar to other data collection methods like
interviews and observation, document review was guided by the research questions and
emerging findings (Merriam & Tisdell, 2016). For this study, document review was intended to
reveal similarities between the two NPC processes; that is, what they have in common; as well as
contiguity-based relationships, that is, identifying the connections between the two committees’
work (Maxwell, 2013). After establishing the authenticity of the document and categorizing it,
the researcher coded the documents with the goal to “analyze unstructured data in view of the
meanings, symbolic qualities, and expressive contents they have” (Merriam & Tisdell, 2016, p.
179).
Document Review Sampling Criteria
Criterion 1
Documents related to new program development and approval. Documents include
meeting minutes, reports to the Curriculum Committee, the board of trustees, and accreditation
41
bodies that contain information related to the process, the timeline, and the resources necessary
to gain approval. Additional documents including financial statements, enrollment reports, and
the Faculty Manual were reviewed to provide insight into the university’s financial health and its
policies related to new program approval.
Interview Sampling (Recruitment) Strategy and Rationale
The purpose of the interview questions was to explore the knowledge, motivation, and
organizational influences impacting new resource development through new online graduate
programs. The sample for interviews consisted of the faculty and staff who participated in the
new program development process, collectively referred to the New Program Committee
(NPC#). A total of approximately fourteen individuals served on the NPC1 and NPC2. While
fourteen potential participants may appear to be a limited sample size, it is appropriate in this
situation given their unique experience (Merriam & Tisdell, 2016).
Interview Sampling Criteria
Criterion 1
NPC Member. Members have participated in a successful process that identified a viable
market, created online curriculum, and received institutional approval to launch a new program.
Interview Protocol
To validate the knowledge, motivation, and organizational influences impacting the work
of the new program committees, interviews were the primary data collection method using a
semi-structured format. Interview questions were predetermined in a set order within the semi-
structured format; however, the researcher was free to deviate from the order as well as probe
further when helpful for deeper understanding, (Merriam & Tisdell, 2016). Participants were
asked to respond to fifteen interview questions plus probes that explored the assumed influences
of knowledge, motivation, and organizational factors (Appendix A). Different types of questions
42
were used in the interview to stimulate responses from the participant (Merriam & Tisdell,
2016). Questions fell into the following categories; experience and behavior, opinion and values,
knowledge, and background relating to the KMO conceptual framework and assumed influences.
Interview Procedures
Permission was obtained from the University of Southern California’s Institutional
Review Board (IRB) as well as the IRB at the University of St. Bernadette before conducting
interviews. Similarly, document review was completed before conducting interviews as findings
from the document review might have influenced the prepared interview questions and probes.
Interviews were conducted onsite at USB in the participant’s office or a nearby conference room.
A predetermined interview protocol was used to aid the researcher in interview consistency.
According to Patton (2002), using an interview protocol increases the completeness of data and
allows for a more systematic data collection process. The interview protocol outlined the
instructions for the interview, the questions and probes, spaces for responses, and a final thank
you statement (Creswell, 2014). For this study, an information sheet (Appendix C) was provided
to each participant to explain that their participation in the interview was voluntary and that the
interview would be audio recorded. Participants were asked to provide verbal consent for their
voluntary participation and their agreement to be audio recorded. Thirteen participants were
interviewed individually, with each interview lasting no longer than an hour. Interviews notes
were transcribed from the audio recording within 24 hours of each interview.
43
Table 6
Sampling Strategy, Stakeholder Population, Number of Participants, Data Collection Dates
Sampling
Strategy
Number in Stakeholder
population
Number of
Proposed
Participants
Data
Collection
Start/End
Date
Documents: Purposeful There are approximately 20 sets of
meeting minutes for each NPC,
one report to the Curriculum
Committee, one report to the
Board of Trustees, and one report
to the accreditation body for a total
of 46 documents.
Of the 46
documents, I
will use 100%
in my analysis.
08/01/19-
08/31/19
Interviews: Purposeful There are 14 unique NPC
members.
Of the 14, I will
conduct at least
8 interviews
unless
saturation
occurs earlier.
09/01/19-
10/31/19
Data Analysis
Utilizing the conceptual framework, the researcher analyzed documents and artifacts for
evidence to affirm or disprove the assumed KMO influences related to new program
development. These observations informed the interview phase of research. Data analysis for
interviews began during the interview process itself and continued afterwards. Within 24 hours,
each interview was transcribed and coded. The first phase of analysis utilized open coding,
seeking empirical codes and applying a priori codes from the conceptual framework. The second
phase of analysis included aggregating a priori codes into analytical/axial codes. The final phase
of analysis identified patterns and themes from the document review and interviews that emerged
in relation to the conceptual framework.
44
Credibility and Trustworthiness
According to Merriam and Tisdell (2016), “All research is concerned with producing
[credible] and [trustworthy] knowledge in an ethical manner” (p. 37). Credibility relates to the
research findings and provides evidence that the findings are accurate and believable.
Trustworthiness relates to the researcher and the research process providing evidence that the
researcher conducted the research logically and consistently. Credibility and trustworthiness
were considered at each stage of the research process including study design, instrument design,
data collection, data cleaning and analysis, and reporting. One drawback to interviews is that the
researcher can misjudge, misinterpret, and misunderstand the views and feelings of participants.
Researcher bias may also impact the interpretation of interview data (McEwan & McEwan,
2003). Creswell (2018) recommends the use of multiple research approaches to enhance the
researcher’s ability to assess the accuracy of the findings. For this research project, strategies to
add credibility included triangulation through the use of multiple data sources, clarification of the
bias or reactivity the researcher brings to the study, and the use of rich descriptions of the
findings. Performing two data collection procedures, document analysis and interviews, allowed
for triangulation of findings. Lastly, researcher bias and reactivity was disclosed in the research
proposal and explained to participants as part of the interview protocol. Merriam & Tisdell
(2016) clarify, “[…] the goal in a qualitative study is not to eliminate [researcher bias], but to
understand it and use it productively” (p. 125). Accordingly, researcher bias was considered
throughout the research process.
Ethics
Ethically conducted research helps to ensure the validity and reliability of the research
data (Merriam & Tisdell, 2016). In fact, Patton (2015) states that the reliability and credibility of
the data depends upon the fidelity of the researcher who collects it. Principles of ethical research
45
include respect, beneficence, and justice for participants. These principles were applied through
obtaining informed consent to participate, allowing for voluntary participation, maintaining
confidentiality, and permitting the right to withdraw without penalty (Glesne, 2001; Krueger &
Casey, 2009; Merriam & Tisdell, 2016; Rubin & Rubin, 2012). Additional elements of ethical
research include obtaining a separate permission to record and ensuring the proper storage and
security of data. In sum, ethical research requires that the researcher, within her practice, show
respect, honor promises made, avoid pressuring, and ultimately do no harm to participants
(Rubin & Rubin, 2012).
This study utilized qualitative research that employed case study and narrative forms of
inquiry. Inductive inquiry of this kind used open-ended questions with the researcher bringing
personal values to the study to interpret and create meaning from the data. The very nature of
qualitative research creates risk for bias and subjectivity. Merriam and Tisdell (2009) suggested
that researchers identify and monitor for biases and subjectivities rather than attempting to
eliminate them altogether. For this study, the researcher is familiar with the institution and many
of the individuals involved in the new program development process. As detailed in the
interview protocol (Appendix A), each participant was informed that the interview was being
conducted to further research and was unrelated to the researcher’s primary role. While the
researcher’s familiarity with the institution aided in the document review procedure, of the
thirteen research participants, the researcher only had significant interaction (outside of the
research process) with one individual prior to the interviews. Participant responses to the
interview questions were used as the basis for the findings, allowing the words of the participants
to speak for themselves.
For this study, the researcher carefully reflected on the potential ethical considerations
and designed the study to protect participants according the principles outlined above.
46
Qualitative studies most often experience ethical issues in the data collection process or in
sharing findings (Merriam & Tisdell, 2016). Therefore, significant care was applied in designing
the data collection protocols. Specifically, informed consent was obtained verbally in advance of
interviews. Informed consent ensures participants understand that participation in the research is
voluntary, that participants may choose to leave the study at any point, and that all data will be
kept confidential (Glesne, 2011). At the beginning of each interview, an information sheet was
reviewed and permission to record the interview was obtained. To clarify the researcher’s role
and avoid potential confusion, the researcher explained to each research participant that the goal
is to understand the influences that impact the new program creation process and that the
researcher is acting in the role of researcher. After the interview was completed, participants
received a handwritten thank you note as a token of appreciation for their participation in the
study. It is important to note that no incentive was offered for participation to avoid any potential
for coercion or the perception of coercion.
Limitations and Delimitations
The design or methodology of this evaluation study, including instrumentation and
sampling methods, constrained the interpretation of the data and analysis. For instance, the
interview questions developed for this study were not validated for clarity or understanding.
Therefore, participants may have had differing interpretations of the interview questions or may
not have been truthful in their responses, which could call into question the trustworthiness of the
data. Furthermore, this study used a small, purposeful sample of new program committee
members at a single institution. A sample of this size limits the external validity, limiting the
applicability of study findings to other settings (Creswell, 2014). Further research is needed to
determine whether the findings apply to other institutions attempting to build organizational
capacity to diversify revenue streams.
47
CHAPTER FOUR: FINDINGS
The project evaluated the knowledge, motivation, and organizational influences related to
the University of Saint Bernadette's tuition revenue diversification goal through the deployment
of new online graduate degree programs. This chapter presents the findings from the qualitative
research methods, including document analysis and semi-structured interviews, described in
Chapter 3.
Questions based on Clark and Estes' (2008) gap analysis framework guided this
evaluation study of the knowledge and skills, motivation, and organizational influences:
1. To what extent is each new program committee meeting its goal? What factors are
helping and hindering their progress?
2. How are knowledge and motivation related to USB’s revenue diversification strategy
through new online graduate programs?
3. What is the interaction between USB’s culture and context and each new program
committee’s knowledge and motivation?
4. What recommendations in the areas of knowledge, motivation, and organizational
resources apply to increase organizational capacity and promote new revenue
generation in other areas of the institution?
Participating Stakeholders
This study employed a case study approach to develop a deep understanding of the
knowledge, motivation, and organizational factors impacting the revenue diversification strategy
through new graduate program development at USB. The stakeholder groups of focus for the
study were members of two groups working independently on a new master's degree program
and the institution's first doctoral degree program, and this included faculty within the discipline,
the respective dean, and administrators who served on new program committees. Some
48
administrative staff served on both new program committees (NPC); however, the deans and
select members of their faculty represented two different schools within USB and were unique to
their committee. In total, thirteen individuals participated in face-to-face interviews (Figure 3).
Of the four faculty, three are tenured at the associate professor rank, while the remaining faculty
member has post-probationary status at full professor rank.
Figure 3
Interview Participant Demographics
Findings
Knowledge Findings
The first step to closing performance gaps is to identify the potential cause of the gap by
analyzing people’s knowledge and skills, their motivations, and organizational barriers (Clark &
Estes, 2008). Table 7 comprises the complete list of assumed knowledge influences. Four
knowledge types are necessary for goal attainment: factual, conceptual, procedural, and
metacognitive (Clark & Estes, 2008; Krathwohl, 2002; Rueda, 2011). Factual knowledge
includes the basic knowledge specific to a discipline, whereas conceptual knowledge includes
knowledge of categories, principles, and models of a specific domain. Procedural knowledge is
the understanding of methodologies and techniques related to how to do something. Lastly,
0 1 2 3 4 5 6 7 8 9 10
Male
Female
Faculty
Dean
Administrator
Number of Participants
49
metacognitive knowledge is the awareness of one's cognition, knowledge of when and why to do
something (Rueda, 2011), allowing contextual and conditional assessment of options
(Krathwohl, 2002). As outlined in Table 7, two knowledge types, conceptual and procedural,
were assumed influences for USB’s goal of creating new tuition revenue through an online
graduate program strategy. Two of the three influences were validated as gaps.
Table 7
Knowledge Influences
Assumed Knowledge Influence Validated as a Gap?
NPC members do not understand the university’s business model
and how new online graduate programs create resources necessary
to sustain the mission. (Conceptual)
Validated
NPC members do not know how to guide new programs through the
approval process. (Procedural)
Validated
NPC members do not create new ways to improve the approval
process for new initiatives. (Procedural)
Not validated
Conceptual Knowledge
Categories, classifications, principles, and models relate to conceptual knowledge
(Rueda, 2011) and are essential to understanding the how, what, and why of performance goals
(Clark & Estes, 2008). For members of the NPC, conceptual knowledge includes understanding
the university’s business model and how new online graduate programs create resources
necessary to support the institution in meeting its mission. This conceptual knowledge allowed
NPC members to comprehend the importance of the revenue diversification strategy as an
imperative to financial health and long-term financial viability, as well as the increasing need to
generate revenue from other sources as traditional enrollment declines.
As detailed in Figure 4, one hundred percent of NPC members interviewed articulated an
understanding of the need for new revenue sources. Four interview participants (28%)
50
specifically mentioned the need to generate new revenue. Two interview participants (14%)
acknowledged the university’s tuition dependency and that tuition revenue is the primary
resource of the institution. One interview participant stated, "Revenue is critical to the survival of
the institution." Several others recognized that graduate programs contribute to revenues at a
higher level than undergraduate programs. One declared, “I've always said ever since I got here
that the university needs to put more emphasis on graduate education because graduate students
basically need an instructor and a classroom and a parking place.” Another participant observed,
“Because every [graduate] student is full pay, there's no discount with graduate [programs].”
One senior administrator had the most insight into the business model and asserted, “The
university is focused on developing new revenue opportunities to diversify its revenue based on
the existing challenges in higher education for traditional undergraduate enrollment. That was a
driver for new ideation and execution at the graduate level.” In sum, 100% of interview
participants demonstrated a basic understanding of the need for new revenue, while only 28%
acknowledged how new online graduate programs would contribute to this goal. Moreover,
except for the senior administrator, no other NPC member specifically mentioned the need to
generate resources to replace declining revenues in the undergraduate program.
51
Figure 4
Interview Participant Comments Related to the Need for New Revenue Sources
Evidence suggests a lack of in-depth understanding by 13 out of 14 NPC members of the
current institutional financial constraints and the financial risk of a failed revenue diversification
strategy (Figure 5). Only one member described declining financial health and potential
institutional closure if the loss in undergraduate revenue is not replaced by graduate programs or
other alternative revenue sources. One faculty member acknowledged that the online graduate
revenue strategy is "a way to generate money." However, when considering the revenue
diversification strategy, the faculty member suggested that “pride would be the major
consequence of failure” rather than further financial pressure. Another faculty member warned,
“[…] the wolf is out there" and speculated the reason for the online graduate program strategy is
the "need to get money from somewhere.” However, this faculty member did not suggest that the
online graduate program strategy is essential to maintaining long-term financial viability. A
third faculty member indicated the most significant risks related to the revenue diversification
strategy are the “undergraduate mindset” of the institution and the lack of structures to support
graduate programs, rather than deteriorating financial resources. Similarly, the fourth faculty
0.00 0.10 0.20 0.30 0.40 0.50 0.60 0.70 0.80 0.90 1.00
Need for new revenue
Tuition dependency
Financial survivability
Graduate program contribution
% of NPC Members
52
member did not mention financial pressures as a risk of failure for the revenue diversification
strategy. These comments indicated only a general understanding by the faculty of the financial
pressures facing the institution and a lack of understanding of the pressing need for new
resources and the associated financial risks of a failed strategy.
The deans demonstrated a slightly more in-depth understanding of the financial pressure,
but still did not mention the potential institutional risks of failure. One dean, while
acknowledging the need to cut expenses if revenue does not meet targets, suggested that a loss of
employee morale is the primary outcome. They stated, "We'll continue to have to cut and trim
[...] And then, ultimately salaries will be impacted, and then morale will be impacted.” The
second dean mentioned market challenges and the need to spend additional dollars attracting
students to the program, as well as uncertainty about the long-term viability of the strategy but
made no mention of long-term institutional financial impact should the strategy fail.
Administrators, like the deans and faculty, showed an overall understanding of the need
for revenue but lacked a deeper understanding of the institutional financial constraints. One
administrator acknowledged, “There's probably, you know, revenue shortfalls which lead to […]
cutting, cutting positions, cutting programming, you know, on the faculty and staff side.”
Another administrator stated, “I suppose if the program were not successful, you'd have to let
that faculty member go.” Another administrator suggested, “I think that we should always look
at, you know, possible ways to increase the footprint of [the] university [through online graduate
programs]” but does directly correlate this to an increasing need for new resources to sustain
financial health.
Overall, these comments indicated a general understanding by faculty, deans, and
administrators that revenue shortfalls result in downsizing. However, other than the one senior
administrator, no other interview participant articulated increasing financial constraints or
53
institutional closure as an outcome of a failed revenue diversification strategy. The lack of noting
financial distress as a consequence of strategy failure or the pressing need to find new revenue
streams to replace shrinking revenue in other areas of the institution is indicative of a conceptual
knowledge gap about the criticality of the strategy to the overall financial health of the institution
and a fundamental understanding of the institutional business model.
Figure 5
Interview Participant Understanding of the Business Model
Procedural Knowledge
Procedural knowledge relates to how to do something. As part of the KMO conceptual
framework (Clark & Estes, 2008), the assumed procedural knowledge gap of the NPC is related
to the new graduate program approval process. Understanding the procedural steps as defined in
the Faculty Manual in order to gain board of trustee approval for new graduate programs is
imperative for NPC members. The Faculty Manual and NPC meeting minutes were reviewed as
part of the document analysis procedure. In section 1.1.3 of the Faculty Manual, the Graduate
Council provides oversight of graduate programs and serves as the vehicle through which
0 2 4 6 8 10 12 14
Demonstrates an understanding of the
business model
Does not demonstrate an understanding of
the business model
# of NPC Members
54
graduate programs are reviewed and recommended for approval, through the provost and
president, to the board of trustees (USB Faculty Manual, 2019). Members of the Graduate
Council include the provost (chair), the deans of the schools offering graduate programs, the
director of each graduate program, one at-large graduate faculty member elected by graduate
faculty, and one student representative from each school offering graduate programs.
Unlike undergraduate curriculum changes, graduate programs at USB are not required to
be reviewed by the Curriculum Committee and the Academic Council before being
recommended to the provost. However, each school within the university may have a unique
procedure for programmatic change reviews by its faculty. Though the two schools represented
in this research project brought new graduate programs to a vote of the faculty within their
school before review by the Graduate Council, graduate programs may have different approval
processes depending on the originating school. Thus, members of the NPC must understand the
prescribed process (procedural knowledge) for new graduate programs in order to gain approval
by the board of trustees (Figure 6). According to Clark and Estes (2008), procedural knowledge
about individual procedural steps is often the starting point for developing expertise in a specific
domain.
55
Figure 6
Graduate Curriculum Approval Process Map
The data collection validated a procedural knowledge gap related to the graduate program
approval process. The four faculty members indicated only a vague understanding of the steps
necessary to obtain approval. One stated, "I think it's just Graduate Council that had to approve
it, and then it goes to the trustees," acknowledging uncertainty about their understanding of the
process. Another admitted, “It just goes right to the […] Graduate Council. And most of the time,
it feels perfunctory." A third faculty member shared, "So graduate programs get approved by the
school, but not a Curriculum Committee of faculty across the schools," and did not mention the
Graduate Council review process at all.
The two deans demonstrated a more accurate understanding of the process, yet one dean
was unclear about the appropriate approval committee, which may be due to being new in the
role. They stated, “So then [the NPC] takes the curriculum. They bring it to our faculty. We
approve it. We read it, and we discuss it. We approve it. Then it goes to the Curriculum
New Program
Committee
• Develop new graduate program
• Submit proposal to school committee (optional) or graduate council (required)
School
Committee
(Optional)
• Review and recommend new program to graduate council
Graduate
Council
• Review and recommend new program to provost and president
• Advance proposal to board of trustees
Board of
Trustees
• Review and approve new graduate program
• Submit to accreditation authority for approval
56
Committee.” This is inaccurate, as the next step in the process is submission to the Graduate
Council, not the Curriculum Committee. Per the Faculty Manual, the Curriculum Committee has
authority over the undergraduate curriculum only and does not have a role in graduate program
approval. The other dean correctly stated, "[The NPC] does a proposal. It goes the [school]
Curriculum Committee. The Curriculum Committee approves it or just [provides] feedback. We
make the modifications that [go] to Graduate Council [….] It cannot go to the trustees until after
[Graduate Council review].”
Administrators were less familiar with the requirements of the Faculty Manual and had
only perfunctory knowledge of the process. Two administrators assumed the approval process
included a review by the university budget council, which is erroneous, as the budget council has
no role in approving new programs. Regardless of their position, no interview participant was
able to describe the president's role in the approval process accurately. A faculty member
suggested, “I've never heard of presidential involvement, but I know that there must be, it must
be at some point.” An administrator incorrectly stated, “The president does not have a declared
role in the process other than being an ex officio to the [board of trustees].” One senior
administrator observed, “The Faculty Manual could not be more ambiguous about what this
process truly is other than it should originate with the faculty within the school.” Overall, there
was widespread confusion regarding the approval process, including which committees must
approve new graduate program proposals and the role of the president in this process (Figure 7).
This procedural knowledge gap could delay or put program approval at risk if the NPC does not
follow the prescribed approval process.
57
Figure 7
Procedural Knowledge – Graduate Program Approval Process
The second assumed procedural knowledge gap relates to seeking new ways to improve
the program development process. Data did not validate this assumed influence as a procedural
knowledge gap. An administrator who had worked on a previous initiative several years ago
noted that having “the right partner” to assist with course development and the right internal
structure to support the process were keys to success for this strategy. One administrator recalled
an unsuccessful prior experience with new program development and stated, “We've tried this
before and […] it's been faculty or individual deans or associate deans or a department trying to
do this on their own. […] But this time, [senior leadership] was behind this.” Another factor
supporting success for the administrators who served on both NPCs was their ability to apply the
experience gained from the first process (NPC1) to the second (NPC2). One administrator
shared, “Having gone through it once [helped] us do it better than the next time.” Another
administrator shared a similar observation, stating, “We went from non-existent to emerging
capability around new program ideation.” Concurringly, a faculty member reflected on the
individual course development process and stated, “The beauty of that is that everybody's getting
0
1
2
3
4
5
6
7
Faculty Deans Administrators
NPC member accurately describes the approval process
Yes No
58
better at it and little quicker at it.” Working through the development of individual courses,
another administrator remarked that the first course relied heavily on the external partner’s
expertise with each subsequent course development, meaning it needed less support from the
partner. They commented, “Then at the end we were doing all the design and we basically
haven't consulted with them for instructional design.” In sum, twelve of the thirteen interview
participants identified ways in which the process improved through individual experience and
structural changes that supported the NPC’s success.
Motivation Findings
Motivation to undertake and persist at a task involves active choice, persistence, and
mental effort (Clarke & Estes, 2008; Rueda, 2011). Active choice encompasses moving from
intention to action, whereas persistence is demonstrated by continuing with a task despite
distractions. Mental effort describes the cognitive effort required to pursue the task. Self-
efficacy, collective efficacy, interest, expectancy value, goal orientation, and attributions all
influence motivation (Rueda, 2011). The motivation influences listed in Table 8 reflect the
complete list of assumed influences before data collection. Assumed motivational influences for
members of the NPC were self-efficacy, collective efficacy, and expectancy value. Self-efficacy
and expectancy value were validated as a motivation gaps, whereas interviews and document
analysis did not indicate gaps in collective efficacy.
59
Table 8
Motivation Influences
Assumed Motivation Influence Validated
as a Gap?
NPC members lack efficacy around the business model and the way that
new program approval supports financial sustainability. (Self-efficacy)
Validated
NPC members lack belief in their ability to gain institutional approval for
new programs. (Collective Efficacy)
Not
Validated
NPC members do not see the value of new revenue streams generated
from online graduate programs to stabilize revenue and increase financial
health. (Expectancy Value)
Validated
Participant interviews found evidence of collective efficacy in the NPC’s ability to obtain
program approval but low expectancy value towards generating new revenue through graduate
programs. All NPC members expressed confidence in the team's ability to secure approval for
their respective new programs. Similarly, sentiments relating to goal orientation emerged from
interviews included, "I've always believed that we needed to do more graduate programs" and "It
just makes good sense that we're attuned to what the needs and the demands of our culture are
and trying to evolve to change to meet those needs." However, gaps were discovered within
self-efficacy related to the business model and how new online graduate programs contribute to
financial sustainability and expectancy value related to the significance of new revenue streams
from online graduate programs.
Self-Efficacy
Self-efficacy is confidence in the individual’s ability to generate new resources through
online graduate programs. Seventy percent of NPC members expressed initial doubts and
uncertainty in their ability to contribute to revenue generation through new graduate programs
(Figure 8). One participant confessed, "I was nervous about it, very nervous in fact. I think I
60
changed my mind when I realized just how broad-reaching [the online program management
partner] could be for us." Another participant expressed concern as to the feasibility of the
timeline for the project, stating, "I thought we could do it, but I wanted to take two years, and
they wanted to do in a year […]" One participant indicated significant doubt: “I don't know if
this is going to work […I was] sitting back and just kind of waiting for, you know, the other shoe
to drop." Another admitted they were "skeptically optimistic," expressing concerns about market
saturation and program distinctiveness. Overall, interview participants voiced initial doubts that
grew into greater confidence as the first online graduate program was successfully launched and
confidence continued to increase after the second successful program launch. Because high self-
efficacy positively influences motivation (Pajares, 2006), increasing the NPC’s confidence in
their ability to increase resources for the institution can positively impact goal attainment.
Figure 8
Self-Efficacy of NPC Members
Collective Efficacy
Collective efficacy is related to the confidence that members of the NPC had in their
collective ability to obtain program approval for new online degree programs. Findings from the
data suggested that collective efficacy was not a gap for either of the new program committees.
In fact, 100% of interview participants indicated a belief in their collective ability to gain
approval for the new degree program. An administrator noted, “We moved from emerging
0 1 2 3 4 5 6 7 8 9 10
Expressed initial confidence in their ability to
generate new revenue
Expressed growing confidence in their ability
to generate new revenue
# of NPC Members
61
understanding and desire for new program development to a functional and functioning new
program process.” A faculty member shared they had increasing confidence in the collective
efficacy of the NPC, stating, “I got more and more confident about the people working on this.”
Relating to faculty within one school, one dean observed, “I was coming to a group of people
who said, ‘we've got the talent and the talent pool, let's see what we can make happen.’” Another
administrator confided about the lead faculty on NPC2,
She is just so enthusiastic, and she had so much of this program already written out. So, it
wasn't like we were having to invent everything from the beginning. So, it seemed high
competence that it would be a quality program and that there would be a market and that
certainly seems to be true.
One participant said succinctly, “Everyone was excited about the potential.” Based on interview
responses, collective efficacy was not validated as a motivation gap.
Expectancy Value
In contrast to self-efficacy, which relates to one’s confidence in the ability to generate
revenue, expectancy value relates to the significance NPC members place on the revenue from
new online graduate programs and that revenue’s ability to stabilize institutional financial health.
Like self-efficacy, data suggests expectancy value is a motivation influence gap for the NPC,
with 50% of interview participants expressing doubt about the success of the strategy for
improving long-term financial health (Figure 9). One participant expressed concerns stating, "I
don't know anything about the financial part, but it's reduced tuition, and we're also sharing some
of the […] profits [with the program partner]." Another participant shared concern about the
long-term viability of the online graduate program strategy and its potential to erode the
reputation of the traditional undergraduate program. They stated, “My worry is that that negative
reputation will have even more pressure on our campus experience. I think if we feel like we're
62
under revenue pressure now, a crappy product will put even more pressure." A senior
administrator suggested that there is confusion about how new resources are being allocated,
implying an incorrect assumption that new resources will lead to increases in spending authority
rather than backfilling declining revenues in other areas of the university. He warned, "There's a
disconnect related to new resources for the university and the impact on your budget that hasn't
yet [been] resolved." Thus, the data suggested a belief that the revenue diversification strategy
may not be useful in contributing to the financial health of the institution. The desire to be
effective is a root motivation of human behavior (Clarke & Estes, 2008), and the lack of
expectancy could signal a motivation gap for the NPC.
Figure 9
NPC Member Expectancy of Improving Financial Health
Organizational Findings
Clark and Estes (2008) posited that performance gaps may be the result of inefficient and
ineffective organizational processes and inefficient allocation of resources, in addition to
knowledge and motivation influences. Rueda (2011) suggested that it is useful to consider
NPC member expressed the value of new online programs to generate
revenue and increase financial health
Yes No
63
organizational culture and structure, policies, and practices when analyzing performance gaps.
Organizational culture includes the values, beliefs, norms, and traditions that develop within a
group of individuals (Northouse, 2015; Schein, 2004). According to Schein, culture is created
and changed by leadership, while management acts within the culture. However, organizational
cultures change over time and can be different in different parts of the organization (Rueda,
2011). Therefore, organizational influences are a vital aspect of gap analysis. The organizational
influences listed in Table 9 reflect the complete list of assumed influences, one assumed cultural
model gap and two assumed cultural setting gaps. The third cultural setting gap related to
resource allocation surfaced during interviews as an organizational gap as indicated in the table.
Table 9
Organizational Influences
Assumed Organization Influence
Validated
as a Gap?
Cultural Model Influence 1:
Within a shared governance model, the organizational culture lacks trust
between the faculty and administration.
Not
Validated
Cultural Setting Influence 1:
NPC faculty members do not have time to invest in new program
development.
Not
Validated
Cultural Setting Influence 2:
New program development is not heavily weighted in the promotion and
tenure review for NPC members.
Validated
Cultural Setting Influence 3:
The academic department is not adequately resourced to support the
dissertation process for doctoral students.
Validated
Cultural Model
Cultural models define what is valued, who should participate in decision-making, and
the rules for interacting among differing groups (Gallimore & Goldenberg, 2011). A prominent
64
cultural model at USB, as with most private higher education institutions, is shared governance,
which is a distributed model for decision-making. The Faculty Manual, which was reviewed as
part of document analysis, is one artifact of shared governance outlining the formal role faculty
have within the institutional decision-making process and establishes that the faculty have
primacy over the curriculum. The Academic Council, Curriculum Committee, and Graduate
Council are the groups charged with making recommendations to the board of trustees regarding
new programs and changes to existing programs in accordance best practice as defined by the
American Association of University Professors.
All members of the new program committees, except for one faculty member, expressed
satisfaction with the process and its adherence to the model of shared governance (Figure 10).
One faculty member stated, “We had the faculty actually […] driving the development of the
curriculum.” They further elaborated, “[The lead administrator] was never oppressive.” Another
faculty member observed, “It's a very collaborative and collegial group that changes as we look
at different possible new degrees” and stated, “Transparency has been there.” A dean affirmed,
“The actual curriculum development to the faculty in alignment with the 1960s AUP statement
on shared governance that faculty should be the primary drivers of curriculum at an institution.”
Another dean noted, “I worked very hard to ensure my faculty that they were in charge of the
curriculum.” Reflecting the overall sentiment of administrators on the committees, one
administrator commented, “[The process has been] very collaborative and in fact people were
willing to jump in and help when they needed to.” Similarly, another administrator shared,
“There was certainly a lot of collaboration […] we worked together […] as that group […] to
make sure that all the milestones were checked off.” One administrator added, “[Leadership
was] really thoughtful in terms of ensuring that […] the right players [came] to the table”
65
concluding, “[There was] transparency in terms of where we're at as an institution, where we're
headed and why we're […] taking this next step.”
The sole dissenting viewpoint related to the cultural model of shared governance was
shared by a single interview participant who stated, "It was not indicative of shared governance
at all." They further stated, "[The process] was top-down... the dean literally sat here and said,
'You will do this program. You will do this in the timeframe required.'" Because the dean and
provost set the timeline, the participant felt disrespected, which eroded trust in the administration
and the process. While reflecting a single opinion, the cultural model gap for this participant
related to the conceptual model gap of understanding the business model and current financial
constraints.
Figure 10
The Cultural Model of Shared Governance
Cultural Settings
Cultural settings include individuals, their tasks, and how tasks are completed. Examples
of organizational influences on cultural settings include resource allocation, compensation and
Agree
93%
Disagree
7%
The process for new program development was respectful of shared
governance at USB.
66
rewards, and alignment of work to organizational goals. Clark & Estes (2008) theorize that
organizational performance increases when processes and resources are aligned with goals. The
interview and document analysis data indicated two organizational gaps related to cultural
settings: the lack of consideration for new program development in the promotion and tenure
review process, and resourcing of academic departments to support the doctoral dissertation
process. The third cultural setting influence related to the availability of time to devote to new
program development was not validated as a gap.
The Faculty Manual, in section 2.9.1 Evaluation Categories for Teaching Faculty,
stipulates that faculty holding teaching appointments are evaluated in three areas: teaching
effectiveness, service, and professional development. Teaching excellence is demonstrated by
command of the subject, knowledge of one's discipline within broader fields, pedagogical skill,
self-assessment and development, and advising. Within the area of service, faculty are expected
to be involved "in the ongoing life of the campus community" and demonstrate their
commitment to the university. Therefore, serving on a new program committee should be
considered as part of the tenure and promotion review as service and/or teaching effectiveness.
Nevertheless, 100% of the faculty interview participants expressed doubt that their participation
in online graduate program development would substantially increase their chance for tenure or
promotion. One faculty member stated, "I don't believe [serving on a new program committee]
really counts for very much of anything." Another faculty member wanted their efforts to be
considered for both teaching effectiveness and service: "I don't want the [Faculty Evaluation
Committee] to miss this, and I made a big point today it's also a [service] and teaching
effectiveness." One dean admitted that it was challenging to motivate faculty to participate in
new program development because they "don't have a lot of tools" to reward faculty for their
service. The other dean shared, "It's all about this piecemeal stuff of how you give this [faculty]
67
course load release, or you give him $5,000, and then they go off and do what they need to do.”
These comments confirm the general impression that participation in program development is
not highly valued in the tenure and promotion process, revealing a cultural setting gap that could
risk goal attainment for the institution.
Another cultural setting gap confirmed by data collection is structural support and
resource allocation for graduate programs and the doctoral process, with 50% of NPC members
noting concerns in these areas. One participant speculated, "We don't really have a graduate
studies office" and expressed concern about the "overwhelmingly undergraduate mindset."
Another participant expressed concern about faculty teaching assignments to properly staff
courses, stating, “That's an additional resource that the schools don't want to take on or the
departments don't want to take on.” Another voiced concern about “how resources are
distributed, how course load is thought about, and even how to compensate or how tenure
promotion is evaluated because it's going to look different.” Another interview participant
discussed the reallocation of resources to support doctoral programs, saying, “One of the deans
around the table will have to [dedicate resources] to get the [library] database.” One participated
advised "that the program [be] properly resourced" to ensure success. While discussions related
to organizational structure and resource allocation are already occurring according to another
participant, these comments reflect a perceived organizational gap that puts goal attainment at
risk if adequate resources and structures are not identified and implemented.
The last assumed cultural setting influence relating to the availability of time to devote to
new program development was not validated as a gap. In fact, twelve out of thirteen interview
participants indicated an ability to manage their time such that their work on new program
development did not negatively impact other responsibilities. Faculty were provided release time
or compensation for course development while serving on a new program committee. One
68
faculty member stated, “No I haven't gotten a course release […] I need to talk to [the NPC
leader] about the stipend.” Another faculty shared, “My class schedule gave me the second half
of the fall semester that I […] wasn't teaching any classes.” However, one faculty member was
highly concerned about the imposed timeline and stated, “We've got these tremendously
demanding course development schedules on top of our regular load. So how do we fit it in? We
fit it in. It wasn't pretty.” A dean stated, “I felt like we had the bandwidth internally that we could
manage the upstart of a degree without a lot of additional resources.” 100% of administrators
indicated an ability to manage the necessary time demands within their ordinary work schedules
and responsibility. Therefore, the data suggested that the availability of time to devote to new
program development was not a cultural settings gaps for members of the two new program
committees.
Lack of Understanding of the Business Model and Institutional Viability
Like many small institutions, USB is experiencing enrollment declines in its
undergraduate program (Figure 11), the primary source of revenue for the institution. Enrollment
nearly doubled from 1999 to its peak in 2016, creating an expectation of continued growth. One
interview participant stated, “I rode the boom. It's like, this is going to be forever, man. You
know, we're just going to keep going and going." However, enrollment has steadily declined over
the last four fiscal years. Document analysis revealed the loss of associated revenue has
necessitated downsizing of faculty and staff, as well as cuts to general operating budgets (USB
FY20 Operating Budget). Given the overall national demographic changes for high school
graduates seeking college, stabilization of enrollment is projected to come from online graduate
studies. Nevertheless, even with three years of projected graduate enrollment growth from online
programs, overall enrollment will not return to its previous peak. Therefore, any revenue
generated from the new online graduate programs represents replacement revenue to offset the
69
declines in the traditional undergraduate program and does not result in incremental revenue
gains.
Figure 11
USB Enrollment Trends
As previously stated, 13 out of 14 interview participants did not identify financial distress
as a consequence of online graduate program strategy failure, nor did they articulate the
immediate need for new revenue streams to replace declining undergraduate tuition revenue.
These are indicators of a conceptual knowledge gap about the criticality of the strategy to the
overall financial health of the institution and a fundamental understanding of institutional
financial viability. One outcome of the conceptual knowledge gap is its impact on motivation for
the NPC. NPC members do not have confidence in their ability to contribute to institutional
financial health because they do not understand the current financial situation, nor do they
possess an adequate understanding of how graduate programs contribute to institutional financial
health. This lack of deep understanding also impacts another motivation influence. NPC
members do not expect the online graduate strategy to contribute substantially to institutional
financial sustainability. Lastly, at least one NPC believed the administration violated the shared
governance model because of the short timeline needed to launch the first online graduate
4270
4294 4292 4236
4191
3921 4011 4082
4117
0
500
1000
1500
2000
2500
3000
3500
4000
4500
5000
2014 2015 2016 2017 2018 2019 2020 2021 2022
Actual Projected
Undergraduate Graduate Total Enrollment
70
program. The timeline reflected the institution's need to replace undergraduate tuition revenue as
soon as possible rather than the faculty member’s desire to have a longer timeline for curriculum
development. One dean suggested that a reason for the success of the online graduate strategy
was “helping faculty be attuned to the why behind we're doing [it]." This sentiment is accurate,
not only for faculty but for all members of any future new program committee. Each member
must recognize the financial implications of both failure and success of the strategy, which
begins with an understanding of the institutional business model, the current financial position,
and long-term financial viability. Closing the conceptual knowledge gap supports motivation and
the shared governance cultural model allowing these three variables to work congruently to
support goal attainment for the online graduate revenue strategy.
Additional Findings
The knowledge, motivation, and organizational influences on goal attainment were
presented discretely in the previous section but did not operate independently in the organization.
Instead, these variables are interrelated and reinforce each other as part of an integrated system.
This section explores an additional theme that emerged through data collection, which intersects
knowledge, motivation, and organizational barriers. To optimize organizational performance,
alignment of the knowledge, motivation, and organizational influences is necessary (Clark &
Estes, 2008).
Communication and Collaboration Enhanced New Program Efforts
According to Sirkin, Keenan, & Jackson (2005), employees must see organizational
leaders supporting change initiatives before they themselves will change and therefore advise
leaders to continually communicate the need for change. USB’s strategic plan, another artifact
used in document analysis, pinpoints financial sustainability as one of three key outcomes of the
plan through new program development. To enhance understanding of the university’s financial
71
model and why new programs are needed, during academic year 2018-2019, the vice president
for finance shared “Financing our Mission,” a discussion of USB’s current financial performance
and ways in which the university is responding to the marketplace changes, with constituents
across the university. Additionally, the provost presented updates regarding the strategic plan at
his Fall 2018 and Fall 2019 faculty meetings. Moreover, over the last several years, the president
discussed progress on the strategic plan and the online graduate strategy at his Fall and Spring
town halls, as well as at smaller gatherings of faculty and staff. One interview participant
commented that “signals” by leadership are particularly powerful at higher education institutions
stating,
You don't have people here all the day talking in the hallways. Faculty are there, do their
stuff and then they leave. So, they look for the signals and the signals come from the
[president] meetings with the faculty and the stuff that [the president] posts on [the
university communication platform].
The alignment of communication and internal messaging for the online graduate program
strategy contributed to goal attainment because members of the NPC understood that these new
programs were strategically important for the institution.
Further, interview data indicates that collaboration among the members of the NPC was
another factor that contributed to success of the new online graduate program initiative. All but
one interview participant mentioned collaboration as essential to the process of new program
development. One participant noted that despite the rotation of discipline expertise, “It's a very
collaborative and collegial group that changes as we look at different possible new degrees.”
Several participants commented on the collaboration among the group, specifically noting the
cross-functional representation on the committee as supporting success. One participant
explained,
72
Faculty representation [is key] because they're going to be involved in teaching the
courses. We've got to have the administrative representation because they're the backbone
behind the university. But then we also have to have all of the pieces in place for just the
nuts and bolts of how the program is going to work.
Another participant elaborated, “And by doing it in that structure, you've allowed it to be a
distributed initiative. It was not relying on one individual. [The NPC was] supported by multiple
areas of the institution.” The collegiality between the provost (who did not participate as a
member of the NPC) and the vice president for planning (who chaired both NPCs) was called out
by another participant as vital for success, “[The committee structure] worked beautifully
because [the provost and vp for planning] were able to [collaborate].” Overall, interview
participants valued the collaboration among NPC members and believed it contributed to their
success.
Summary
This chapter presented the results of the qualitative interviews and document analysis as
they related to the four research questions. The discussion included both the assumed and
validated influences presented in Chapter 3, the conceptual framework, and associated literature.
The findings suggest gaps that may impact goal attainment for the online graduate program
strategy. Data revealed two knowledge gaps, two motivation gaps, and two cultural settings gaps.
Several of these gaps relate to the institution's business model, financial position, and future
viability.
Next, Chapter 5 outlines recommendations based on organizational research that may
help close the knowledge, motivation, and organizational gaps. Also presented is an integrated
implementation and evaluation plan based upon the New World Kirkpatrick Model (Kirkpatrick
& Kirkpatrick, 2016). This model provides USB a roadmap to improve the knowledge,
73
motivation, and organizational influences necessary to achieve its goal of new revenue through
online graduate programs.
74
CHAPTER FIVE: DISCUSSION
Chapter 5 provides a discussion of recommendations related to the validated knowledge,
motivation, and organizational assumed influences identified through data collection and
examined in Chapter 4. Recommendations are presented utilizing the Clark and Estes (2008)
KMO framework. Then, an implementation and evaluation plan are provided based on the New
World Kirkpatrick Model (Kirkpatrick & Kirkpatrick, 2016) that includes reaction, learning,
behavior, and results.
Organizational Context and Mission
The University of Saint Bernadette (USB), founded in the mid-1800s, focuses on the
liberal arts and the formation of the whole person. Undergraduate programs include the
humanities, sciences, and professions. Additionally, USB offers professional graduate programs
in business, education, and the sciences. While most graduate programs are offered in a face-to-
face format, USB has recently launched two fully online graduate programs in business and
education. Over the last two decades, the university has achieved significant enrollment growth
with undergraduate enrollment reaching approximately 3,600 full-time-equivalent students in
Fall 2017 (Fall Fact Book, 2017). However, undergraduate enrollment has declined in the four
subsequent years and is projected to further decline over the next three years, resulting in
financial stress for the organization.
Organizational Performance Goal
To ensure long-term financial sustainability, small colleges and universities are searching
to diversify revenue streams through innovative programs and new market opportunities
(Moody’s, 2017c; Tahey, Salluzzo, Prager, Mezzina, & Cowen, 2010). USB’s strategic plan
(Strategic Plan 2022, 2017) specifies the launch of eight new online graduate programs at the
master’s and doctoral level to diversify tuition revenue streams and provide new resources by
75
fiscal year 2022. New program opportunities will be approved by the university's Graduate
Council, president, and board of trustees. Financial performance criteria, set by the institution
based on its internal return rate and budgetary capacity. include cash-flow breakeven by year
three and a minimum profit margin of twenty percent for each new program. A $1 million
recurring strategic initiative fund, within the annual operating budget, is available to provide
startup resources for new program initiatives. New online graduate programs are expected to
strengthen the university’s resources and assure financial sustainability.
Description of Stakeholder Groups
Stakeholders for this study include the administrators, deans, and faculty who
participated in new online graduate program development. USB’s Faculty Manual assigns
responsibility for academic programming and content to the faculty. Curricular changes must be
approved by the Curriculum Committee of the faculty senate before submission to USB’s board
of trustees and accreditation body.
Purpose of the Project and Questions
The purpose of this project is to evaluate the knowledge, motivation and organizational
influences related to achieving USB’s revenue diversification goal. Questions guiding the
evaluation study are:
1. To what extent is each new program committee meeting its goal? What factors are
helping and hindering progress?
2. How are knowledge and motivation influences affecting USB’s tuition revenue
diversification strategy?
3. What is the interaction between USB’s culture and context and new program committee’s
knowledge and motivation?
76
4. What recommendations in the areas of knowledge, motivation, and organizational
resources apply to increase organizational capacity and promote new revenue generation
in other areas of the institution?
Recommendations for Practice
The following section provides six recommendations to address the knowledge,
motivation, and organizational influences identified through interviews with the NPC members
and document review of meeting minutes, the Faculty Manual, financial statements, and
enrollment data. These recommendations are grounded in theory and are support by relevant
research.
Recommendation #1: Increase Conceptual Knowledge of the Business Model and How New
Revenue Sustains the Mission of the University
Findings from the study indicated 93% of NPC members lack conceptual knowledge of
why new revenue streams are critical to the university's overall financial health. An intervention
based upon cognitive load theory informs one strategy to close this knowledge gap. Cognitive
load theory suggests segmenting complex material into simpler parts or providing pre-training as
a strategy to effectively manage intrinsic load (Kirshner, Kirshner, & Paas, 2006). As a result, it
is recommended that faculty and staff who are involved in new program development participate
in educational opportunities to increase their knowledge of the university’s business model, its
constraints, and the impact of new revenue generated through online graduate programs prior to
beginning the program creation process. Educational sessions on the business model, broken into
segments or occurring in multiple sessions to address cognitive overload and increase transfer of
new information, should include a review of financial information, incorporating the balance
sheet, statement of activities, financial ratios, the operating budget, the endowment fund, and
department specific revenues and expenses. Financial trends and projections for future
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performance should also be reviewed to ensure NPC members understand the need for new
revenue to replace declining revenue in undergraduate programs to maintain financial health and
avoid further budget cuts. An additional benefit of an orientation session prior to a new program
committee commencing its work is the ability to facilitate relationship building, trust, and
collaboration among NPC members, which was important in goal attainment.
To increase performance, Clark and Estes (2008) suggested that education, meaning any
situation whereby participants acquire conceptual, theoretical, and strategic knowledge, be
provided for those who are not prepared to anticipate or solve new challenges. Accordingly,
effective education on the business model and overall financial performance to campus
stakeholders is imperative to institutional sustainability and long-term success. In a recent survey
of business officers, NACUBO reported that, “business officers who expressed less confidence
in their institutions' financial stability were significantly less likely to say that campus
constituents were well informed about the fiscal picture” (Lederman, 2018). According to
Soares, Steele and Wayt (2016), university leaders must, in order for their organizations to
remain financially viable, promote faculty and staff understanding of and ability to articulate the
business model and the relationship between inputs and outputs, and revenue and costs. Common
characteristics of successful higher educational institutions include (among other items) effective
communication of financial information to stakeholders (Tahey, Salluzzo, Prager, Mezzina, &
Cowen, 2010). Moreover, in its Statement on Government of Colleges and Universities, the
American Association of University Professors suggests that stakeholders, especially the board
and faculty, should receive information on the financial performance of the institution including
the annual operating budget with short and long-range projections (AAUP, n.d.). Therefore, it is
imperative to close this conceptual knowledge gap.
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Recommendation #2: Increase Procedural Knowledge of the Faculty Manual’s Process for
Curriculum Approval
The data indicate that ten out of thirteen NPC members lack an understanding of the
procedures required by the Faculty Manual to gain approval of new academic programs.
Information processing theory can be used to inform an intervention to close this performance
gap. Information processing system theorizes that new information connected to prior knowledge
can be stored more quickly and more accurately remembered, which reduces cognitive load
constraints (Schraw & McCrudden, 2006). This suggests that a visual representation of the
process could be effective in applying knowledge. The recommendation is to provide a job aid in
the form of a procedure map that outlines the steps of curriculum approval as defined in the
Faculty Manual. This strategy will increase the ability to apply knowledge about the process for
curriculum approval. The approval process should also be reviewed in the NPC orientation
session utilizing the job aid. This allows members of a new NPC to ask questions and seek
clarification about the approval process before engaging in program development.
According to Clark & Estes (2008), declarative knowledge about required steps of the
procedure is useful for acquiring skills and knowledge about a particular subject. Job aids are
appropriate when experience or simple procedures are needed for familiar and routine tasks.
Knowing what to do and when to do it are the most important aspects of performance
(Krathwohl, 2002). A procedure map to increase awareness of the procedures and steps
necessary to gain approval for curricular changes is a useful strategy to improve performance
(Clark & Estes, 2008).
Recommendation #3: Increase Expectancy Value of NPC Members
Approximately 70% of NPC members lack confidence in the effectiveness of online
graduate programs to generate new resources for the institution. A recommendation rooted in
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motivation theory has been selected to close this motivation gap. Positive expectations enhance
learning and motivation (Bandura, 2000; Lazowski & Hullerman, 2016; Pajares, 2006). NPC
members would exert more effort and be more committed to goal attainment with a stronger
belief that online graduate programs will enhance resources for the institution. Therefore, the
recommendation to close the expectancy value motivation gap is to provide case studies that
demonstrate the success of new online graduate programs at similar institutions. In this way, the
NPC has evidence of success for the revenue diversity strategy to increase their expectations of
positive results. The case studies can be discussed in the NPC orientation session after reviewing
the broader macro trends and institutional financial statements. Including case study review in
the orientation session would allow new NPC members to understand the success of prior efforts
and demonstrate the opportunity for the work they are undertaking.
Bandura (2000) stated, “Unless people believe that they can produce desired effects and
forestall undesired ones by their actions, they have little incentive to act” (p. 75). Self-efficacy
and expectancy value impacts the amount of effort expended and the level of resilience exhibited
towards goal attainment. According to Rueda (2011), individuals with higher beliefs in their
competency and higher expectations of a position outcome are more motivated to participate in
and sustain tasks/activities. In other words, higher levels of perceived efficacy and expected
positive outcomes result in higher levels of commitment towards the goal (Bandura, 2000;
Pajares, 2006). In sum, motivation theory suggests that improving expectancy value positively
impacts motivation and increases the likelihood of goal attainment. Therefore, increasing NPC
members’ expectancy is likely to increase their motivation for participating in the development
of new online graduate programs.
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Recommendation #4: Increase the Value of Participating in New Program Launches to
Achieve Incremental Revenue Growth
Half of NPC members did not express an understanding of the importance of new
revenue streams generated from online graduate programs to the institution’s financial
sustainability. Expectancy value motivational theory provides a potential solution for this
motivational gap. Value, generally described as the importance one attaches to a task, is an
indicator of one’s motivation to begin and sustain effort towards a task or activity (Pintrich,
2003; Rueda, 2011). The greater the value placed on a task, the more likely it is to begin and
persist with that task. If members of the NPC do not view revenue generation as an important
outcome of new online graduate programs, they may be less motivated to dedicate their time and
energy towards this initiative. To close this motivational gap, it is recommended that
management clearly communicate the importance of new revenue generation for financial
sustainability to members of the NPC. Increased communication can occur through the NPC
orientation session as well as through other regularly scheduled events such as the Fall and
Spring President’s Meeting, Faculty Senate, Staff Council, Budget Council, and University
Planning Committee meetings. In addition to face-to-face interaction, communication of the key
concepts can be supported through the use of Workplace, the institution’s primary internal
communication tool.
Expectancy value motivational theory considers an individual’s expectancy (can I do the
task?) and task value towards undertaking an activity (do I want to do the task?) (Eccles, 2006).
Task value incorporates four dimensions of value: attainment value, intrinsic value, utility value,
and cost belief. Attainment value considers the extent to which undertaking the task aligns with
one’s self-image. Intrinsic value is based on the expected enjoyment of engaging in the task.
Utility value evaluates the usefulness of the task towards supporting long-term goals. Cost belief
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is the expected cost of undertaking the task. According to Eccles (2006) and Pintrich (2003),
discussing the importance and value of a task can assist participants in developing positive
values, thereby increasing motivation to begin and sustain a task. Empowering faculty and staff
with an understanding of the higher education business model and the importance of new
revenue is necessary to support institutional change (Bornstein, 2012; Soares, Steele, & Wayt,
2016). A deeper understanding of the impact of new revenue on institutional financial health,
through small group discussions that include a review of actual financial performance, may
improve NPC members’ motivation to participate in new program initiatives. Enhanced
communication not only supports increased expectations for new revenue generation, it also
supports the cultural model of shared governance and collaboration among constituents which
was noted as a key to organizational goal attainment.
Recommendation #5: Redefine the Faculty Tenure and Promotion Process to Include
Participation in New Program Development
One hundred percent of faculty participants indicated that they did not believe their
service on the NPC to develop new online graduate programs would be heavily weighted in their
promotion or tenure evaluation. A proposed solution rooted in expectancy value theory has been
selected to close this cultural settings gap. An individual’s motivation is enhanced when that
individual values the task (Eccles, 2006). Pintrich (2003) posited that activities should be useful
and connected to an individual’s interest to increase motivation. Strebel (1996) suggested that an
employee’s personal commitment to the organization is based partly upon how hard they must
work and the associated rewards. Members of new program committees spend significant time
completing their assigned responsibilities to ensure the committee’s success. Consequently, a
faculty member’s motivation may be increased if she is confident that her efforts will increase
her chances for promotion and tenure. Therefore, the recommendation is for the promotion and
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tenure process to incorporate participation on the NPC to generate new university resources as
part of service or teaching effectiveness.
An organization’s policies and procedures must be aligned with organizational goals and
stakeholder commitment (Bolman & Deal, 2013; Clark & Estes, 2008). Faculty participation in
the online program development process is critical to the success of the initiative. Therefore, to
encourage faculty participation in this process, their contribution to the work of the NPC should
be recognized within the promotion and tenure evaluation process. Consequently, the cultural
model of shared governance must be considered for this recommendation to be put into practice.
The faculty themselves recommend the criteria upon which promotion and tenure is based (USB
Faculty Manual, 2019). Faculty are currently evaluated based upon their teaching, research, and
service to the institution. To enact a change to the promotion and tenure evaluation standards, the
faculty must amend the Faculty Manual to include new program development as a significant
service or teaching effectiveness activity. Additionally, participation in new program
development should also be considered as part of the post-tenure review process. In this way,
participation in the curriculum development process can benefit the institution as well as pre- and
post-tenured faculty.
Recommendation #6: Resource Academic Departments to Support the Student Dissertation
Process
As noted in Chapter Four as a cultural settings gap, seven out of fourteen participants in
this study indicated the lack of an organizational process, structure, or resources for managing
the graduate studies and the doctoral dissertation process. Organizational theory is used to
provide a possible solution for this cultural settings gap. Research indicates that performance is
increased when processes and resources are aligned with institutional goals (Bolman & Deal,
2013; Clark & Estes, 2008). To properly manage the dissertation process, USB must consider the
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financial and staffing requirements necessary for student success. For example, it may be
necessary to increase the spending budget of the library to ensure adequate research materials are
available to students undertaking dissertation research. Additionally, a graduate studies
department may need to be established to support both faculty and students in online graduate
programs. Further, the institution must determine how faculty will be assigned to dissertation
committees and the implications of this workload on faculty teaching loads. Therefore, the
recommendation to close this gap is to identify resources needed to adequately support the
graduate studies and the student dissertation process.
Jones and Johnstone (2016) cautioned that tuition revenue pressure and rising costs
requires colleges to be efficient and effective with resources. To reduce non-essential spending,
an analysis of enrollment patterns, majors, courses, and course sections is necessary (Carlson,
2018). Consequently, before new resources are added to address the structural issues related to
the online strategy and the student dissertation process, reallocation from under-capacity
departments should be considered. According to Brooks (2017), however, the contractual
requirements of tenure make it difficult to shift faculty resources from under-performing areas to
areas of high demand. Therefore, careful analysis and planning should be undertaken to
understand what resources are needed to graduate studies and support doctoral programs, and
where existing resources can be shifted to meet this need. A critical aspect of this analysis is to
ensure a collaborative process that includes key stakeholders to evaluate the institutional impact
of the online graduate program strategy and necessary resources across departments including
the academic department, library, information technology, admissions, financial aid, and
academic advising.
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Integrated Implementation and Evaluation Plan
Implementation and Evaluation Framework
The New World Kirkpatrick Model provides a framework to evaluate the efficacy and
success of the suggested trainings and interventions in pursuit of organizational goal attainment.
The model consists of four levels to evaluate these interventions: Level 1: Reaction, Level 2:
Learning, Level 3: Behavior, and Level 4: Results (Kirkpatrick & Kirkpatrick, 2016). Level 1:
Reaction generally focuses on the training participants’ overall satisfaction with the training
program, including job relevance. Level 2: Learning evaluates the degree to which participants
acquire the desired knowledge, skills, confidence, and commitment to apply the training to job
performance. Level 3: Behavior assesses the participants’ transfer of learning in the training to
on-the-job performance. Success at Level 3, transferring knowledge into action on the job, is the
most important factor for achieving organizational goals (Kirkpatrick & Kirkpatrick, 2016).
Level 4: Results considers the relationship between outcomes and the training including post-
training support and accountability. While presented here in ascending order, Kirkpatrick and
Kirkpatrick (2016) suggest starting at Level 4: Results and working backwards to Level 1:
Reaction. In other words, begin with considering the Level 4 Result, then consider what Level 3:
Behaviors support achieving this result. Next, consider the Level 2: Learning that is needed to
achieve the organizational goal, and lastly, consider the Level 1: Reaction to the training
interventions. In sum, the New World Kirkpatrick Model provides an effective framework to
evaluate the impact of training on organizational goal attainment as a result of improved on-the-
job performance.
Organizational Purpose, Need, and Expectations
The University of Saint Bernadette (USB) is implementing a revenue diversification
strategy to assure its financial sustainability. To that end, online graduate programs provide new
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market opportunities for USB and may offset the decline in traditional undergraduate markets
due to demographic and economic factors. Within a culture of shared governance, faculty and
administrators serve on new program committees to identify market opportunities for online
graduate programs, create the necessary curriculum, and achieve institutional approval to launch
these new programs. New online graduate programs are required to be cash flow positive within
three years and achieve a minimum profit of 30%. Interventions to address gaps in the
knowledge, motivation, and organizational factors are expected to improve the likelihood of
success for the revenue diversification strategy.
Level 4: Results and Leading Indicators
For USB, the Level 4: Results would be reflected in the generation of new revenue from
online graduate programs. Short-term observations and measurements to track stakeholder
progress to the Level 4: Results are listed in Table 10: Outcomes, Metrics, and Methods for
External and Internal Outcomes. Outcomes are divided into internal and external categorizes.
Internal outcomes focus on individual, team, and organizational metrics such as project
milestones, program approval, and speed-to-market. External metrics related to market and
student responses including lead generation, lead conversation, enrollment, retention, and
graduation as well as financial performance such as time to cash flow breakeven, and
profitability.
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Table 10
Outcomes, Metrics, and Methods for External and Internal Outcomes
Outcome Metric(s) Method(s)
External Outcomes
Launch market-
responsive online
graduate programs
Market responsiveness
- 80% enrollment or
better
Weekly enrollment report that includes the
enrollment funnel: lead generation, lead
conversion, and student enrollment
Achieve student
success
Student retention rate -
minimum of 85%
Semester reporting - student persistence
(fall to spring retention), student retention
(fall to fall retention), and graduation rates
Generate new
resources
Financial performance -
30% margin,
cash flow positive
within 3 years
Semester-based financial reports - profit &
loss statement, budget to actual, and
balance sheet
Internal Outcomes
Meet project
milestones
Project plan milestones Weekly project plan milestones and
deadlines
Achieve program
approval
Achieve approval - as
applicable throughout
the process
Approval by the Curriculum Committee,
Graduate Council, Board of Trustees,
SACSCOC (if required)
Seize market
opportunities
Program launch date -
launch new programs
within one academic
year
Weekly project plan milestones and
deadlines, approval pathway, and launch
date to assess speed-to-market
Level 3: Behavior
Critical Behaviors
The stakeholder of focus are the faculty and administrators who serve on the new
program committee. The first critical behavior for the NPC to understand the institutional
imperative for new revenue. The second critical behavior is to follow the correct approval
process for gaining institutional approval of the new program (and external approval by the
accreditation body, if required). The third critical behavior is to identify the resources necessary
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to support graduate programs and the doctoral student dissertation process. The final critical
behavior is increased motivation for faculty and staff serving on the NPC. The specific metrics,
methods, and timing for each of these outcome behaviors appears in Table 11.
Table 11
Critical Behaviors, Metrics, Methods, and Timing for Evaluation
Critical Behavior Metric(s) Method(s) Timing
1. Members of the NPC
understand the need for new
revenue and promote ways
for the university to
generate new resources.
Ability to
articulate
financial realities
of the institution
and how new
revenue
contributes to
financial
sustainability.
Open-ended survey At the
end of
training
session
2. Members of the NPC follow
the correct approval process
for gaining institutional
approval of the new
program (and external
approval by the
accreditation body, if
required)
The process is
followed
correctly.
Project milestones
and deadlines
Quarterl
y to
coincide
with
board
meetings
3. The institution identifies
resources to support the
dissertation process
Budget - to
actual reports
Assess the actual-to-
budget resources
activity to ensure the
budget authority
matches
expenditures
Monthly
budget
report
4. Members of the NPC are
motivated and fully
participating in the process.
meeting
attendance,
deadline
adherence
Monitor meeting
attendance and
adherence to project
milestones and
deadlines
monthly
project
report
Required Drivers
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The critical behaviors discussed above address the knowledge, motivation, and
organizational gaps that were identified through the research process. These behaviors must be
sustained through reinforcement, encouragement, rewards, and accountability. Table 12 details
the necessary drivers to reinforce, encourage, reward, and monitor the critical behaviors needed
to achieve USB’s revenue diversification goal.
Table 12
Required Drivers to Support Critical Behaviors
Method(s) Timing
Critical
Behaviors
Supported
1, 2, 3 Etc.
Reinforcing
On-the-job training: The CFO will host round table
discussions related to the financial position of the
institution.
Monthly from
September through
November and
February through April
(6 times per year)
1
Job aids: The Provost will provide to and review
with the NPC a process map that details the steps for
new academic program approval.
At the beginning of
each new NPC
appointment
2
Resource Management: The University Budget
Council will identify and make available the
necessary resources to support the student
dissertation process.
Before immediately
following approval of
each new doctoral
program
3, 4
Encouraging
Coaching: The Provost will check in with the NPC
periodically to monitor performance and provide
encouragement for progress.
Periodically throughout
the program ideation
and approval process
2, 4
Rewarding
Recognition: The president will publicly recognize
the efforts of each NPC at the Fall and Spring
president’s Town Hall.
Fall and Spring Town
Hall event
4
Recognition: The Faculty will consider amending
the promotion and tenure process to heavily weight
NPC participation in the evaluation process.
At the appropriate time
(TBD)
4
Monitoring
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Action Plan Monitoring: The chair of the NPC will
monitor and report to the president’s cabinet the
status of NPC milestones.
Monthly throughout the
ideation and approval
process.
2
(KPI’s) Key Performance Indicators: The president
will share key financial indicators of previously-
approved new programs.
Fall and Spring Town
Hall event
4
Organizational Support
Organizational support of the critical behaviors, outlined in Table 11, is necessary to
achieve the institutional goal of tuition revenue diversification through online graduate programs.
These behaviors address the KMO gaps identified through the research methods. Specifically,
two knowledge gaps, the approval process and the need for new revenue, will be addressed
through training and job aids. The motivational gap related to the tenure and promotion process
must be addressed by the faculty as a whole. However, public recognition of the NPC, to support
motivation, can be given by the president at the Fall and Spring President’s Town Hall events.
The organizational gap of resource management to support the doctoral dissertation process can
be addressed by identifying and making available the needed resources. Lastly, monitoring the
progress of in-process NPC activities and the financial performance of launched new programs
address accountability for the revenue strategy.
Level 2: Learning
Learning Goals
Following successful implementation of the recommended solutions, members of a New
Program Committee will be able to:
1. Apply the various steps and sequencing of new program approval through the
university’s internal process and external accrediting body’s process. (Procedural
Knowledge)
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2. Understand how new revenue from online graduate programs contributes to the
university’s financial sustainability. (Conceptual Knowledge)
3. Value the outcome of their work; the generation of new resources. (Expectancy Value)
4. Evaluate the resources needed to support the student dissertation process. (Cultural
Setting - Resources)
5. Value their participation in the new program creation process (Cultural Settings;
Expectancy Value)
Program
The learning goals 1-3, listed in the previous section, will be achieved through an
orientation session for each new program committee at the time its established. The learners,
members of the New Program Committee, will study topics pertaining to the higher education
business model, USB’s current financial position, the imperative for new revenue streams, and
the approval process for new programs. The program is in-person spanning four hours split
across two sessions.
Session One will focus on the higher education business model and USB’s financial
position. Support materials for this session include the most recent budget-to-actual report,
enrollment reports for the current academic year, and a 3-year projection of enrollment and
tuition revenue. During the second session, learners will be provided a job aid that details the
approval process workflow. Both sessions will provide ample opportunity for learners to ask
clarifying questions. The dialogue will enable the learners to check their understanding of the
topics covered as well as allow for a deeper understanding of areas of particular interest.
Following the in-person sessions, the learners will be provided the opportunity to apply their
knowledge as they map out project milestones and pro-forma financials for the new program.
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The two outputs, the project plan and pro-forma financials, will be reviewed by the provost and
approved by the president’ cabinet.
The fourth learning goal, evaluate the resources necessary to support the doctoral student
dissertation process, will be achieved through a special assignment of the vice president for
planning (VPP). The evaluation process will entail outlining benchmark data of like institutions
and available resources within USB that could be reassigned. Once known, the VPP will create a
recommendation for consideration by the provost and Deans Council to reallocate resources in
support of the dissertation process for the new doctorate of education program. Moreover, the
planning for additional new programs at the doctorate level should incorporate plans to allocate
the necessary resources at inception to ensure student success and faculty availability related to
the dissertation process.
The last learning goal (#5) for members of the new program committee (faculty will
value their participation in the new program creation process) must be addressed by the faculty
through a revision of the Faculty Manual. Therefore, the findings of this research study will be
shared with members of the faculty senate executive committee who can determine what, if any,
changes to the Faculty Manual ought to be considered to promote faculty participation in new
program committees.
Evaluation of the Components of Learning
Kirkpatrick and Kirkpatrick (2016) define Level 2: Learning as “the degree to which
participants acquire the intended knowledge, skills, attitude, confidence, and commitment based
on their participation in the training” (p. 42). Thus, it is important to evaluate the effectiveness
of the two orientation sessions towards achieving the desired learning outcomes (#1-#3) to close
knowledge, motivation, and organizational gaps. Table 13 below lists of evaluation methods as
well as timing for these components of learning.
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Table 13
Evaluation of the Components of Learning for the Program
Method(s) or Activity(ies) Timing
Declarative Knowledge “I know it.”
Knowledge checks using multiple choice During and after
Think in pairs and share out with everyone During and after
Procedural Skills “I can do it right now.”
Scenarios in which procedural knowledge is demonstrated in the solution During and after
Attitude “I believe this is worthwhile.”
Discussions about the value and rationale of the training sessions During
Confidence “I think I can do it on the job.”
Discussion in small groups of questions, concerns, barriers, etc. During
Mentorship, coaching, or peer check ins After
Commitment “I will do it on the job.”
Discussions of any issues, praise if applicable During and after
Level 1: Reaction
Level 1: Reaction assesses the degree to which learners find the training positive,
enjoyable/interesting, and relevant to their work (Kirkpatrick & Kirkpatrick, 2016). Assessment
will be achieved through a formative evaluation method providing the trainer immediate
feedback via attendance, meaningful questions, and “pulse checks” during sessions.
Additionally, a summative evaluation provides an economical and efficient way to gather post-
training feedback. Table 14 outlines the methods and timing to measure reactions to training.
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Table 14
Components to Measure Reactions to the Program
Method(s) or Tool(s) Timing
Engagement
Attendance records at the beginning of each session
Asking meaningful questions during the session
Relevance
Pulse check via discussion at the end of each session
Customer Satisfaction
Anonymous survey at the end of the session #2
Evaluation Tools
Kirkpatrick and Kirkpatrick (2016) suggest there are three reasons to evaluate training
programs: “To improve the program, to maximize transfer of learning to behavior and
subsequent organizational results, and to demonstrate the value of training to the organization”
(p. 5). To achieve these goals, evaluation of the orientation sessions will occur both immediately
following the program and at the conclusion of the NPC’s assignment. The assessments, through
both immediate and on-going feedback, allow continuing improvement of the orientation
sessions.
Immediately Following the Program Implementation
A summative evaluation (Appendix D) will be provided immediately following the new
program committee orientation sessions. The evaluation will be in the form of an anonymous
online survey and will be sent to each participant within 24 hours of the second orientation
session. The survey assesses the participant’s satisfaction with the training, the relevance of the
training to the participant’s work, and confidence to apply the learning to real world situations.
Delayed for a Period after the Program Implementation
At the conclusion of the work of the NPC, following its last meeting, members of each
NPC will be provided with a survey to assess Level 1, 2, 3, and 4 learning. Specifically, the
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survey will include questions to assess: the NPC member’s satisfaction and relevance of the
orientation sessions to make informed decisions about new program opportunities to create new
resources (Level 1); knowledge, skills, confidence, attitude, commitment and value of applying
training (Level 2);
applicability of the orientation sessions to NPC member’s ability to make decisions about new
programs (Level 3); and the extent to which they are able to make informed decisions about
resource development in the future (Level 4).
Data Analysis and Reporting
The Level 4 goal of the implementation plan is to provide members of new program
committees the knowledge, motivation, and organizational support necessary to successfully
launch new online graduate programs. The findings from immediate and delayed instruments
will serve as a useful tool to monitor the success of the training interventions. To assure
administrators as well as NPC members that the interventions achieve results, it is important to
clearly and easily communicate the results of the surveys. A dashboard that displays the results
with visual charts should be made available to those participating in new program creation and
the broader university committee (Figure 12). Most importantly, publishing the student
graduation and financial results of new programs is imperative to create broad support for and
understanding of the potential impact new programs have on financial sustainability (Figure 12).
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Figure 12
Post Orientation Survey
Figure 13
New Program Enrollment
0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%
Post Orientation Survey
I have the knowledge and skills to be successful
I am confident in applying the learning
the learning was relevant to my work
The orientation met expectations
Strongly Disagree Disagree Agree Strongly Agree
0
5
10
15
20
25
30
35
40
Fall 2020 Spring 2021 Summer 2021 Fall 2021
Budget Actual
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Figure 14
New Program Revenue, Expense, and Margin
Summary
The implementation and evaluation plan is based upon the New World Kirkpatrick Model
utilizing a backward design model (Kirkpatrick & Kirkpatrick, 2016). This model and the plan
presented here reflect interventions to achieve organizational results (Level 4), the necessary
supporting behaviors (Level 3), the learning outcomes for training participants (Level 2), and
participants reaction to the training sessions (Level 1). Implementing the suggested
recommendations and evaluating the success of these interventions increases the likelihood that
USB can increase the knowledge, motivation, and organizational influences necessary to achieve
its goal of new revenue through online graduate programs.
Strengths and Weaknesses of the Approach
Every methodological approach has strengths and weaknesses. The Clark and Estes
(2008) knowledge, motivation, and organizational influence conceptual framework provides a
0%
2%
4%
6%
8%
10%
12%
14%
16%
$-
$100,000
$200,000
$300,000
$400,000
$500,000
$600,000
Fall 2020 Spring 2021 Summer 2021 Fall 2021
Revenue Expense Margin
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logical model to study organizational goal attainment. However, there are many factors that
influence goal attainment for an organization and this model is only one approach. Another
approach may have uncovered different and/or additional factors impacting the organization.
Further, the KMO framework explores each variable as separate and distinct which made
identifying factors that influence more than one variable difficult to organize. Moreover, the case
study design of this project limits the generalizability to larger samples within or outside the
organization. The qualitative nature of the research poses a risk for bias and subjectivity.
Limitations and Delimitations
This study used a small, purposeful sample that included a total of 13 participants
representing administrative offices and two academic schools. Of the four faculty members, three
were from a single school. The small sample size limits the external validity of the results
resulting in uncertainty of applicability to other settings within or outside the organization.
Further, the instrumentation and sampling methods limits the interpretation of data and analysis.
Interview questions were not validated for clarity or understanding which could lead to differing
interpretations by participants. Additionally, participants may not have been truthful in their
responses to the questions. Further research is needed to determine whether the findings apply at
other institutions attempting to launch revenue diversification strategies.
Future Research
Colleges and universities are deploying many different revenue diversification strategies
to improve resources and enhance financial stability. Each strategy has differing consequences
for stakeholders and involves individuals who may have dissimilar areas of knowledge,
motivation, and organizational gaps. Including additional departments within USB or external
organizations implementing other revenue diversification strategies may validate the findings of
this study to a broader group and/or may validate additional influences. Moreover, future
98
research could study a wide range of institutions that have been successful in generating new
revenue streams from diversification strategies to identify common KMO influences that
impacted goal attainment.
Conclusion
Many small private colleges are experiencing financial stress necessitating revenue
diversification strategies to assure financial viability into the future. Stakeholders for this study at
USB included members of new program committees involved in launching new online graduate
programs. Using Clark & Estes (2008) knowledge, motivation, and organizational influences
model, findings included several gaps across all three areas. In particular, the lack of
understanding of the current financial stress of the organization was found to influence
knowledge, motivation and organizational culture. Understanding these influences may allow
USB and other institutions to better prepare the faculty and administrators involved in revenue
diversification strategies, improving the likelihood for organizational success.
99
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APPENDIX A
Interview Protocol
Introductory Comments
Hello and thank you for agreeing to meet with me today. Your participation in this study
is deeply appreciated. Before we begin, I want to provide a short summary of what we will be
discussing and address any questions you have regarding your participation. I am attempting to
gain an understanding of your organization’s process and ability to successfully launch new
graduate online programs.
Please be assured that the data I am collecting will be kept confidential and your identity
(as with all participants) will be protected. Any direct references or quotes will be attributed to a
pseudonym. Your participation is voluntary and you may stop, quit, or withdraw at any time. If
you wish to discontinue, please just let me know. This interview is planned to last no longer than
one hour. During this time, there are several questions to cover. If time begins to run short, it
may be necessary to interrupt you in order to push ahead and complete this line of questioning.
If you have any questions or concerns about this study, and you would like to speak to
someone other than me about it, please call the USC IRB. You can reach them using the listed
phone number and by referencing the IRB number indicated at the bottom of this sheet. (Provide
informed consent handout with referenced information at the bottom.)
Lastly, let me explain how I will be capturing your comments. I am using two recording
devices, my phone and my tablet, as a backup, to ensure that I accurately document our
conversation. At any time, if you would like to stop the recording, please let me know. I am
happy to do that. Immediately after the interview, the data will be transcribed and the recordings
removed from both devices. May I have your permission to record and get started? (Proceed
once verbal confirmation is received.)
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Ok, here we go.
Questions from Protocol with Transitions
Interview Background: “You recently participated in a new program committee that was seeking
approval by the faculty and Board of Trustees for a new online graduate program in support of
SP2022’s goal to strengthen resources.”
1. “Who else participated on this committee with you and who lead this effort?” “How long
did the process take, from ideation to board approval?”
2. “Have you had experience launching online programs before this one?”
a. “If so, how were these experiences similar? How were they different?”
Transition – “Working with a broad group of stakeholders on a major initiative can be both
rewarding and challenging.”
3. “You teamed with colleagues, both faculty and administrators, on this project. Tell me
about your experience working on the New Program Committee (Cultural Model
Influence)?”
a. Probe, if needed – “How did trust or the lack of trust impact the process? How
was shared governance supported or undermined through the process?
b. Probe, if needed – “Describe the ways in which mutual respect was or was not
demonstrated?”
c. Probe, if needed – “What facilitated and inhibited the group?”
Transition: “Developing online graduate programs is a strategic initiative for the university.”
4. “As you may already know, the university has set a strategic goal to launch new online
graduate programs as part of a tuition diversification strategy. Do you think this an
important strategy for the university Why or why not?” (Knowledge - conceptual)
a. Probe, if needed - “What happens if the strategy is not successful?”
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5. “How does this strategy relate to the university’s business model and the need for new
resources?” (Knowledge - conceptual)
a. Probe, if needed – “Why is this important?”
Transition: “Gaining approval for new academic programs has a prescribed process and I’d like
to better understand how that works.”
6. “Please describe the steps to guide the new program through the university’s approval
process.” (Knowledge - procedural)
a. Probe, if needed – “What is the role of faculty in the process? The administration?
The Board of Trustees?” (Knowledge - procedural)
b. Probe, if needed – “How, or from whom, did you seek clarity when you were
uncertain of the process?” (Knowledge – procedural)
Transition – “That’s a complex process and perhaps was also dynamic and evolved as you
moved through it”.
7. “What was most helpful to the success of the initiative?”
8. “What else was needed to better assure success?”
9. “What, if any, new habits/tactics have you developed that improve the likelihood of
gaining university approval? Why were these changes needed?” (Knowledge -
procedural)
10. “Although I am familiar with the organization and its financial constraints, I do not
participate in new program ideation or program creation. What is your level of
confidence that this program will generate new resources for the institution?” (Motivation
- self-efficacy)
a. Probe, if needed – “What’s fueling your confidence level?”
b. Probe, if needed – “Did your confidence change over the course of this process?”
114
11. “Within the current process, how are you ensuring that new programs will generate new
resources for the institution?” (Motivation – expectancy value)
12. “What is your level of confidence that the NPC team will accomplish its goal of
launching a new online graduate program?” (Motivation - collective efficacy)
a. Probe, if needed – “Did your confidence change over the course of this process?”
Transition – “It sounds like you’ve dedicated a significant amount of time to this project and to
your professional development. I’d like to understand how you managed your time.”
13. “What strategies did you employ to ensure you had adequate time to for this project?”
(Cultural Setting Influence)
a. Probe – “What challenges did you face related to time management?”
Transition – “For the final question, I’d like to better understand how participation in this process
impacts your career progression.”
14. “Why did you choose to participate in this process?”
a. Probe, if needed – “What drew you to it?”
15. “How will participation in the New Program Committee help or hinder your promotion or
tenure review?” (Cultural Setting Influence)
a. Probe – “Suppose participation in new program development does not assist in
your career advancement (Hypothetical). Would you still participate in future
projects and why?”
Concluding Remarks
Thank you, again, for spending time with me today exploring the new program process
and your experience in launching a new program. As I stated earlier, I will transcribe these notes
and then delete the recordings. If I need further clarification on anything we discussed, may I
email with those questions? If not, how would you prefer I contact you?
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APPENDIX B
Document Analysis
Organizational Mission
At the University of St. Bernadette, every student will explore transformational pathways to
knowledge, experience, understanding, and achievement.
Organizational Global Goal
By Fall 2022, USB will fully launch eight new online graduate degree programs generating
new institutional resources.
Stakeholder Goal
By September 2019, at least two New Program Committees will identify an online graduate
program and receive approval by the Graduate Council and the Board of Trustees.
Knowledge Influence Document
Examined
Notes
Conceptual: NPC members
understand the university’s business
model and how new online graduate
programs provide resources
necessary to sustain the mission.
Meeting minutes,
audited financial
statements, annual
budget reports
Review meeting minutes
for comments that connect
the purpose of online
graduation program
launches to the business
model and new revenue
generation goal of the
strategic plan. Review
financial statements and
budget reports to
determine the current
financial position and the
potential impact of new
revenue from diverse
income streams.
Procedural: NPC members know
how to guide new initiatives
through the university’s approval
process.
The Faculty Manual,
meeting minutes,
reports the
Curriculum
Committee and the
Board of Trustees
Review documents for
procedural references.
Map process outlined in
Faculty Manual to the
actual process followed.
116
Procedural: NPC members create
new ways to improve the approval
process for new initiatives.
Meeting minutes Review meeting minutes
for comments that indicate
procedural discussions
about process
improvement, obstacles
encountered and problem-
solving actions.
Assumed Motivation Influences Document
Examined
Notes
Self-Efficacy - Members of the
NPC must have efficacy around the
business model and the way that
new program approval supports
financial sustainability.
Meeting minutes Review meeting minutes
for comments that connect
the purpose of online
graduation program
launch to the business
model and the new
revenue generation goal of
the strategic plan.
Collective Efficacy – Members of
the New Program Committee
believe they are capable of gaining
institutional approval for new
programs.
Meeting minutes Review meeting minutes
for comments that indicate
confidence in the NPC’s
ability to generate new
revenue generation
through online graduate
programs.
Expectancy Value - Members of the
New Program Committee want to
generate new net revenue.
Meeting minutes Review meeting minutes
for comments that indicate
support for and
commitment to generating
new revenue through
online graduate programs.
117
Assumed Organizational
Influences
Document
Examined
Notes
Cultural Model Influence 1: Within a
shared governance model, there needs
to be a culture of trust between the
faculty and administration.
Meeting minutes Review meeting minutes
for comments that
indicate level of trust
between faculty and
administration.
Cultural Setting Influence 1: NPC
faculty members need a reduction in
their 4-4 teaching load to invest time
in new program development.
Meeting minutes Review meeting minutes
for comments related to
teaching load and ability
to serve on the committee
without course release-
time.
Cultural Setting Influence 2: New
program development should be
heavily weighted in promotion and
tenure reviews for NPC members.
The Faculty
Manual, meeting
minutes
Review the Faculty
Manual and meeting
minutes for information
related to participation in
the NPC and potential
impact on promotion and
tenure.
118
APPENDIX C
University of Southern California
Rossier School of Education
Organizational Change and Leadership
Waite Philips Hall
3470 Trousdale Parkway
Los Angeles, CA 90089
INFORMATION/FACTS SHEET FOR EXEMPT NON-MEDICAL RESEARCH
FINANCIAL SUSTAINABILITY FOR SMALL COLLEGES
AN EVALUATION STUDY
You are invited to participate in a research study. Research studies include only people who
voluntarily choose to take part. This document explains information about this study. You should
ask questions about anything that is unclear to you.
PURPOSE OF THE STUDY
The purpose of this project is to evaluate the knowledge, motivation and organizational
influences related to achieving USB’s goal of diversifying its tuition revenue stream through new
graduate degree programs.
PARTICIPANT INVOLVEMENT
If you agree to take part in this study, you will be asked to participate in a 60 minute audio-taped
interview. You do not have to answer any questions you don’t want to; if you don’t want to be
taped, handwritten notes will be taken.
119
PAYMENT/COMPENSATION FOR PARTICIPATION
You will not be compensated for your participation.
ALTERNATIVES TO PARTICIPATION
Your alternative is to not participate. Your relationship with your employer will not be affected
whether you participate or not in this study.
CONFIDENTIALITY
Any identifiable information obtained in connection with this study will remain confidential.
Your responses will be coded with a false name (pseudonym) and maintained separately. The
audio-tapes will be destroyed once they have been transcribed.
The data will be stored on a password protected computer in the researcher’s office for three
years after the study has been completed and then destroyed.
The members of the research team and the University of Southern California’s Human Subjects
Protection Program (HSPP) may access the data. The HSPP reviews and monitors research
studies to protect the rights and welfare of research subjects.
When the results of the research are published or discussed in conferences, no identifiable
information will be used.
INVESTIGATOR CONTACT INFORMATION
Principal Investigator: Kimberly Kvaal via email at kvaal@usc.edu or phone at 415-209-3832
120
IRB CONTACT INFORMATION
University of Southern California Institutional Review Board, 1640 Marengo Street, Suite 700,
Los Angeles, CA 90033-9269. Phone (323) 442-0114 or email irb@usc.edu.
121
Appendix D
New Program Committee Orientation Session Evaluation
(Delivered Immediately Following NPC Orientation)
Strongly
Disagree
Somewhat
Disagree
Neither
Disagree or
Agree
Somewhat
Agree
Strongly
Agree
1. The orientation
sessions met my
expectations. (Level
1)
2. The orientation
sessions were
engaging and held
my attention. (Level
1)
3. The learning was
relevant to the work
of the new program
committee. (Level
1)
4. I am confident in
applying the
learning from the
sessions to my work
on the new program
committee. (Level
2)
5. I have the
knowledge and
skills to be
successful in my
role on the new
program committee.
(Level 2)
6. I can explain how
new online graduate
programs contribute
to USB’s financial
122
sustainability.
(Level 2)
7. I know the required
steps (procedure) for
new program
approval by the
Board of Trustees
and the accreditation
body. (Level 2)
8. Overall, I was
pleased with the
training and found it
valuable. (Level 1)
123
Appendix E
New Program Committee Orientation Session Evaluation
(Delivered at the Conclusion of the NPC)
Strongly
Disagree
Somewhat
Disagree
Neither
Disagree
or Agree
Somewhat
Agree
Strongly
Agree
1. The learning at the
orientation session
was relevant to the
work of the new
program committee.
(Level 1)
2. Overall, I was
pleased with the
training and found it
valuable. (Level 1)
3. I was confident in
applying the
learning from the
sessions to my work
on the new program
committee. (Level
2)
4. I possessed the
knowledge and
skills to be
successful in my
role on the new
program committee.
(Level 2)
5. I am able to explain
how new online
graduate programs
contribute to USB’s
financial
sustainability.
(Level 2)
6. I meet project
milestones and
124
adhere to the
required steps for
new program
approval. (Level 2)
7. I am motivated to
work on new
program
committees. (Level
3)
8. I understand the
university’s
business model and
actively seek new
program ideas.
(Level 3)
9. I encourage other
faculty and staff to
participate in new
program committees
in their areas of
expertise. (Level 4)
10. I act as a university
ambassador and
encourage potential
students to apply to
our programs.
(Level 4)
Abstract (if available)
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Asset Metadata
Creator
Kvaal, Kimberly Lynn
(author)
Core Title
Increasing organizational capacity at a small college to deploy revenue diversification strategies: an evaluation study
School
Rossier School of Education
Degree
Doctor of Education
Degree Program
Organizational Change and Leadership (On Line)
Publication Date
04/21/2020
Defense Date
02/24/2020
Publisher
University of Southern California
(original),
University of Southern California. Libraries
(digital)
Tag
financial sustainability,Higher education,OAI-PMH Harvest,online graduate programs,organizational capacity,revenue diversification,small colleges
Language
English
Contributor
Electronically uploaded by the author
(provenance)
Advisor
Tambascia, Tracy (
committee chair
), Aceves, Salvador (
committee member
), Hirabayashi, Kimberly (
committee member
)
Creator Email
kimkvaal@gmail.com,kvaal@usc.edu
Permanent Link (DOI)
https://doi.org/10.25549/usctheses-c89-283116
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283116
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(contributing entity),
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Tags
financial sustainability
online graduate programs
organizational capacity
revenue diversification
small colleges