RESEARCH ORGANIZATION AND LEADERSHIP:
a BIBLIOGRAPHY

ANIL MITRA PHD, COPYRIGHT © 1988 – REV. December 2014

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CONTENTS

Introduction: Functions of the bibliography

Use in research organization, leadership and related functions

Management of creativity

1          Publishing

1.1    General

1.2    Scholarly, Specialty and Institutional

1.3    Editors, Reviewing, Proposals, Style

1.4    Agents

1.5    Publishing for Professionals

1.5.1         Publishing for Academic Authors

1.6    Self-Publishing

1.7    Publicity and Advertising

1.8    Desktop Publishing

1.9    Graphic Design and Calligraphy

2          Management of Research and Creativity

2.1    Research and Society

2.2    Research Management

2.2.1                  Research Management in General: Nature of Research and the Research organization

2.2.1.1   The Structure of the Organization

2.2.1.2   Management - the Research Administrator

2.2.1.3   Decision Making and Planning

2.2.1.4   Teamwork in Research or Cooperation and Creativity

2.2.1.5   Communication in Research

2.2.1.6   Motivation and Research

2.2.1.7   Evaluation and Measurement

2.2.1.8   Environment and Research Organization

2.2.1.9   Selection of Researchers

2.2.2         Research Management - Recent -1987

2.2.3         Research in Science and Technology: Methods and Administration

2.2.3.1                  Review: Sir John Cockroft, Ed., the Organization of Research Establishments, 1966

2.2.4         Entrepreneurial Management

2.3    Research Institutes and Universities

2.3.1                  Research Centers and Institutions: Sources of Ideas Especially for Facilities and Funds

2.3.2         Research Institutes: the University

2.3.2.1   Management of Research and Education

2.3.2.2   College and University Presidents

2.3.2.3   College Administrators

2.3.2.4   Leadership, Management and Planning

2.3.3         University Leadership: Selected Information

2.3.4         The University - Nine Reviews

2.3.4.1   Planning the Development of Universities

2.3.4.2   Efficiency in Universities

2.3.4.3   The Idea of a University

2.3.4.4   Vision and Purpose in Higher Education

2.3.4.5   The Uses of the University

2.3.4.6   The University

2.3.4.7   Searching for Academic Excellence

2.3.4.8   The Idea of a Modern University

2.3.4.9   The Idea of a World University

2.3.5         Consulting and Consultants

2.3.5.1   Consulting Engineers

2.3.5.2   Consultants: Directories

2.3.5.3   Government Consultants

2.3.5.4   Consulting - Wildlife

2.3.5.5   Consulting - Foresters

2.3.5.6   Education Consultants

3          Funding and Support of Research

3.1    Sources

3.1.1         General

3.1.2         References Organized By Type of Funding

3.1.2.1   Grants

3.1.2.2   Awards, Honors and Prizes

3.1.2.3   Funding for Specific Areas or Topics

3.1.2.4   Funding for Education

3.1.2.5   Funding for Individuals

3.1.3         References Organized By Type of Source

3.1.3.1   General

3.1.3.2   Foundations: Americas and General

3.1.3.3   Foundations: California

3.1.3.4   Foundations: Europe

3.1.3.5   International

3.1.3.6   Government:U.S

3.1.3.7   Government: California - General

3.1.3.8   Government: California - Service Grants

3.1.3.10 Corporate Sources: Business and Industry

3.2    Administration and Management

3.2.1         General

3.2.1.1   How to Secure and Manage Foundation and Federal Grants

3.2.2         Finding and Selecting Sources

3.2.3         Writing Proposals

3.2.4         Fund Raising

4          General Administration and Management

4.1    Corporations

4.1.1         Incorporation

4.1.2         Corporation Law - United States

4.1.3         Taxation

4.1.3.1   Business Tax, Employment Tax Credit, Enterprise Zones

4.1.4         Corporation, Finance, and Business Law

4.1.5         California Law on Corporations

4.2    Nonprofit Corporations

4.2.1         General and Registration

4.2.2         Research Institutes, Design and Planning

4.2.3         Finance and Management

4.2.4         Start Up

4.2.5         Handbooks

4.2.6         Computers for Non-Profits

4.2.7         Management

4.2.8         Marketing

4.2.9         Taxation and Tax Exemption

4.3    Small Businesses

4.3.1         Incorporation - Small Business

4.4    Public Relations

4.5    Advertising

4.6    Marketing and Sales: on Selling Creating and Persuasion

4.6.1         Marketing

4.6.2         Selling

4.6.3         Selling and Creating

4.6.4         Persuasion and Selling

4.7    Rhetoric and Persuasion

Latest Revision and Copyright


RESEARCH ORGANIZATION AND LEADERSHIP

Introduction: Functions of the bibliography

Use in research organization, leadership and related functions

These references are for use in forming, maintaining and working with a group or team. The focus is on pure and applied research but the work may also be useful in other kinds of innovative group or team activity

Team activity has a number of components. One is the division and organization of tasks. Another is the synergistic interaction deriving from the give and take of ideas. A third component or function of team activity is the mutual encouragement derived from common goals and from healthy competition. Finally, and this is important to my interest, a team can accomplish goals that isolated individuals cannot - this has both practical and conceptual dimensions. The practical dimension is fairly clear; the conceptual component is that there are some goals that can be only team - or social - goals

My initial purpose is to work on the evolution and design project as conceived in area 8 of evolution and design, in assist, in related works and ongoing development. The degree of formality and concretion of the group is an open issue. The functions include concept and knowledge synthesis at a global universal level, conceptual, detailed and organic foundation of such knowledge, application and consultation at all levels. The system conceives being and knowledge as an organic unity and therefore “application and design” are not separate entities from “knowledge.” Evolution from a research foundation to a design and consulting organization will be natural

The focus is on two areas: publication and support. Support is of two kinds:

1. Assistance or team work in the production of the ends of the evolution and design project as described above. This includes both research and auxiliary functions. Personnel and other resources such as computer, library, laboratory, and office equipment are included. These are detailed in assist and related work

2. Financial and related sources such as facilities that permit maintenance of the organization. The evolution from research foundation to a design and consultation organization implies that income will be a source of support. Other sources will be contracts, grants, donations…

These support functions can be called “management.” Management would be conceived in a general way to include all phases of operation including entrepreneurship, establishment, and personnel. In view of the long term design and consultation, general management will be useful

Accordingly, the topics or chapters of this bibliography are [1] Publishing, [2] Management of research and creativity, [3] Funding and support of research, and [4] General administration and management

Management of creativity

The references provide information on research management, creativity and management of creativity in general. In this function “management of creativity” is a topic of study… of interest in itself and for application and consultation

June, 1998


Publishing

General

International literary marketplace, 1986

Has publishers, booksellers, libraries, literary agents, prizes, ISBN system - international, except United States and Canada

R. R. Bowker, Literary Marketplace, 1987. Literary Marketplace: the Directory of American Book Publishing with Names and Numbers, 1987

Has United States and Canada: Publishers, Book Clubs, Literary Agents, Awards and Prizes, Consultants, Editorial Services

K. G. Saur Pub., International Directory of Booksellers, 1st Ed., 1978 -

K.G. Saur Pub., Publishers International Directory with ISBN Index, 1986. 1986 -

Danielle Bizzarro, Ed., Editor and Publishers International Year Book: the Encyclopaedia of the Newspaper Industry, 1987

Becky Hall Williams, Ed., 1987 Writer's Market, 1987

Contains Book Publishers, Consumer Publishers, Trade - Professional - Technical Journals, Literary Agents

Publishers, Distributors and Wholesalers of the United States, 1981

Scholarly, Specialty and Institutional

Tim Clark, Ed., R. R. Bowker Pub., International Academic and Specialist Publisher's Directory, 1975

UNESCO, International Association of Scholarly Publishers, International Directory of Scholarly Publishers, 1977

Irving Louis Horowitz, Communicating Ideas: the Crisis in Publishing in a Post-Industrial Society, 1986

Editors, Reviewing, Proposals, Style

Book Reviews; Book Proposals; Style

A. J. Walford, Ed., Reviews and Reviewing, 1986

Contains Religion and Psychology, Science, Medicine, Technology, Art, Literature, Language, History, Archaeology and Geography, and a General Section on Reviewing

Gerard Gross, Ed., Editors on Editing, Rev. Ed., 1985

Contains Copy Editing, Contracts, Scholarly Publishing

Michael Larsen, How to Write a Book Proposal, 1985

Contains: Market Potential, Compelling Introduction - Editors and Agents, Picking Editors and Publishers, Getting the Best Offer, Appealing to the Mentality of Editors (Most Are City Editors)

Walter S. Achtert, the MLA Style Manual, 1985

Includes Writing and Publishing

Agents

Diane Cleaver, the Literary Agent and the Writer: a Professional Guide, 1984

Publishing for Professionals

Fred J. Dorn, Publishing for Professional Development, 1985

Publishing for Academic Authors

Beth Luey, Handbook for Academic Authors, 1987

Self-Publishing

Dan Poynter, the Self-Publishing Manual, 1986

Robert L. Holt, How to Publish, Promote and Sell Your Own Book, 1985

Publicity and Advertising

Peggy Glenn, Publicity for Books and Authors, 1985

Desktop Publishing

These books contain information on hardware, software and use:

Tony Bove, Cheryl Rhodes, Wes Thomas, the Art of Desktop Publishing, 1986

Bill Grout, Irene Athanas Opoulous, Rebecca Kutlin, Desk-Top-Publishing from a to Z, 1986

Graphic Design and Calligraphy

John Laing, Cons. Ed., Do-It-Yourself Graphic Design, 1986

Contains information on basic graphics equipment

Jinnie Y. Davis and John J. Richardson, Calligraphy: a Source Book, 1982

A bibliography covering the following topics: general calligraphy, Latin, Mayan, Greek, Egyptian, Near Eastern, Arabic, Hebrew, Indian, Chinese, Japanese, Korean and Tibetan calligraphy and lettering

Heather Child, Ed., the Calligrapher's Handbook, 2nd Ed., 1986

Topics: writing instruments, pigments and media, writing surfaces, calligraphy, illuminations, handwriting, printing techniques, binding techniques

John Lancaster, Lettering Techniques, 1982

Contains history, basic calligraphy, italic handwriting, incised lettering, Chinese and Japanese lettering

J. I. Biegelsen, the a B C of Lettering, 1976

Contains: supplies and equipment, type and lettering terminology, lettering exercises, anatomy of lettering, spacing, reproduction lettering, hand-lettered alphabets, standard typefaces, photo-lettering, decorative and calligraphic lettering

Management of Research and Creativity

Research and Society

National Research Council, the Outlook for Science and Technology: the Next Five Years, 1982

The topics fall under: I human resources, II natural resources and environment, III research frontiers, IV research systems, v new technologies… the Selection of Topics within This Group Are Somewhat Special and of Limited Value in Directing Search for Funds in 1987 - ; However, the General Areas Change Less Rapidly… of Special Interest Here Is the Information in

Roger L. Geiger, to Advance Knowledge, 1986

Chronicles the development of the major research universities in America and the factors of growth: acquisition of social resources - through teaching; converting some of these resources into a capability for conducting research; development of extramural sources earmarked for research. Brief contents: history 1865 - 1930s; foundations and private funding

L. R. Bruce Smith and Joseph J. Karlesky, the State of Academic Science: the Universities in the Nation's Research Effort, 1977

Saad Z. Nagi and Ronald G. Corwin, Eds., the Social Contexts of Research, 1972

Contents: 1. Research enterprise: an overview, 2. Patterns of the institutionalization of research, 3. Basic and applied research, 4. Politics and research, 5. Economics of research, 6. Research settings, 7. Agencies of research support: some sociological perspectives, 8. Relations among scientific disciplines, 9. Relations between researchers and practitioners, 10. Forbidden knowledge in public and private opinions, 11. The case of educational research

John Irvine and Ben R. Martin, Foresight in Science: Picking the Winners, 1984

This book addresses funding policy for strategic research; that is, scientific-technological research

Alvin M. Weinberg, Reflections in Big Science, 1967

Weinberg, then director of oak ridge national laboratory, discusses the need, benefits, choices and problems of large-mission oriented laboratories. The discussion of needs and benefits focuses on the use of science in securing the future of humanity. The problems are the problems of communication due to specialization and the possible effect on development due to impaired cross- fertilization; the choices: among the scientific disciplines; basic and applied, “big” and “little”. He discusses internal factors (readiness of a field, competence of scientists) and external factors (technological, social and scientific criteria), specific fields; and the question of support for science as a whole including support for basic science as a branch of culture and as an overhead charge on applied science and technology. Finally, he discusses relations and unities among science and human values

Committee on Science, Engineering and Public Policy, National Academy of Science, National Academy of Engineering, Institute of Medicine, New Pathways in Science and Technology, 1985

Contains discussion of directions and facilities: sciences, mathematics and computation, technology; opportunities

Warren O. Hagstrom, the Scientific Community, 1965

Discusses sociology of science, social control in science, teamwork and competition, segmentation, the future of science

Stephen Strickland, Ed., Sponsored Research in American Universities and Colleges

Contains: university research administration - relation to graduate training, relation to academics, problems of sponsored research; social aspects ; examples of administrative and organizational arrangements: University of Michigan, Purdue University, Princeton University, University of Alabama, Tuskegee Institute, and Wesleyan University; concerns: research grants and middlemen, classified research, conflict of interest, cost sharing in government-sponsored research

David Eli Drew, Strengthening Academic Science, 1985

Concerned with efficiency in research programming, the book analyzes federal research funding schemes and relation to research, comes up with recommendations for federal-funding policy (total and division), and for institutions and scientists. Recommendations for federal-funding programs:

The thrust is catalytic funding programs that use existing but latent facilities; however, there is little analysis of type of research, pilot programs, etc. Fund more small-grant starter programs - to use and develop the resources of peripheral institutions; review of selection national science foundation program managers; reviewing reviewers; less reliance on program summary scores; reexamine proposals that someone considers excellent; more appeals; blind review of technical aspects of proposals - before considering institution; small-grant programs for faculty travel. For institutions: special considerations for junior faculty and new faculty; have a grants and contracts office, teach graduate students career development; consider creative treatment of indirect costs. For individual scientists: devote considerable care to obtaining the best first job possible; negotiate in advance conditions (load, seed money, equipment, research assistants and associates) conducive to research and grants; learn grantsmanship and persistence, resubmission… ; network; continue seeking appropriate jobs if institutions block progress

Research Management

Research Management in General: Nature of Research and the Research organization

Nedjelko D. Suljak, Administration of Research; a Selected and Annotated Bibliography, 1972

Suljak Was Librarian At University of California, Davis, Institute for Governmental Affairs… See the Summary of This Book, Below, Its Review Categories and Some of Its Reviews Pertinent to the Present Objectives

Though dated, this bibliography is still useful. Especially useful are the headings - a logical division of research administration into its component aspects. The headings and a few pertinent references are given below. Of the general references I have included only what seems to be basic; the rest are research-specific

The Structure of the Organization

Alfred E. Brown and Thomas S. Osdene, “Twelve Ways to Improve R&D Corporate Relations,” Research Management, 13 (May 1970), 183-190

George P. Bush and Lowell H. Hattery, Eds., Scientific Research: Its Administration and Organization, 1950

Contents: research organization, administrative process, research personnel, aids to research, research products, principles of administration in research environment

Clifford C. Furnas, Ed., Research in Industry: Its Organization and Management, 1948

James D. Grant, “the Future of Nonprofit Research and Development Organizations”, California Management Review, 7 (Summer 1965), 81-91

Carl Heyel, Handbook of Industrial Research Management, 2nd Ed., 1968

William Kornhauser, Scientists in Industry, UC Press, 1967

A. Joseph Litterer, “Research Departments within Large Organizations”, California Management Review, 12 (Spring 1970), 77-84

James G. March, Handbook of Organizations, Rand McNally, 1965

William Mayhall, Corporate R&D Administration, New York, American Management Association

Edward B. Roberts, the Dynamics of Research and Development, 1964

Jack a. Morton, Organizing for Innovation, 1971

James G. Partridge, “Organizational Conflict in Academia”, California Management Review, 12 (Spring 1971), 85-94

Harold F. Robinson, “Universities and Their Response to Research Needs”, Proceedings 21st National Conference on the Administration of Research, 1968, Denver Research Institute, 42-49

Management - the Research Administrator

American Management Association, the Management of Scientific Talent, 1963

The major theme is that “sound management techniques must be applied to the management of research and a balance must be maintained between the needs of the company and those of the individual researcher.”

C. J. Beattie and R. D. Reader, Quantitative Management in R&D, 1971

Discusses initiation, planning, control of projects; their evaluation and selection, and problems of communicating results

Theodore a. Burtis, “Defining the Role and Responsibilities of the Research Manager”, Management Report 76, 30-36, New York, American Management Association, 1963

Explores (1) running the research organization (2) maintaining contact with the rest of the company, coordination of goals

Peter Drucker, The Effective Executive, 1967

Drucker maintains that there is no single effective executive personality. Effective executives (1) know where their time goes, (2) focus on outward contributions, (3) build on strengths, (4) concentrate on the few major areas where superior performance will produce outstanding results and (5) make effective decisions

George C. Evans, Supervising R&D Personnel, New York: American Management Association, 1969

Covers (1) history and background of R&D, (2) effective management and supervision, (3) selection and assignment of scientists, (4) patterns of leadership, (5) training and development, (6) group structure, (7) motivation and morale, (8) development and use of creativity, (9) performance appraisal

Joseph Garbarino, “Managing University Research”, California Management Review, 12 (Spring 1970), 67-75

Richard Alan Goodman, “Organizational Preference in Research and Development”, Human Relations, 23 (August 1970), 279-298

Karl Hill, Ed., the Management of Scientists, 1964

James Hillier, “The R&D Manager Wears Five Hats”, Research and Management, 15 (July 1972), 33-41

The five hats are: financial, marketing, administrative, personnel, science

Thomas W. Jackson and Jack M. Spurlock, Research and Development Management, 1966

“Elucidates the steps in establishing a research and development capability, administering this capability, and sustaining a creative output.” Discusses: 1. General aspects of basic, applied and development research, 2. Nonprofit (state educational, private), private educational, private profit, governmental- and company-financed facilities, 3. Staffing: qualities, recruiting, costs, 4. Synergism re: parent company - research division, 5. Creativity, 6. Preparation and selling, 7. Selection and management of research and projects, 8. Presentation and writing, 9. Economic benefits of research

Delmar W. Karger and Robert G. Murdick, Managing Engineering Research: Principles and Problems of Managing the Planning, Development and Execution of Engineering and Research Activities, 1969

Eugene Raudsepp, Managing Creative Scientists and Engineers, 1963

Managing based on an understanding of the researcher and creativity

Chauncy Starr, “Problems in Making Research Contributions More Effective in the University”, Proceedings 22nd National Conference on the Administration of Research, Denver Research Institute, 1969, 48-57

Decision Making and Planning

William J. Abernathy, “Some Issues Concerning the Effectiveness of Parallel Strategies in R&D Projects”, IEEE Transactions of Engineering Management, 18 (August 1971), 80-89

An approach to the uncertainty inherent in research and development - conceptually applicable to other areas

Robert N. Anthony, Management Controls in Industrial Research Organizations, 1952

R. B. Brandenburg and a. C. Stedry, “Planning and Budgeting in a Multiphase R&D Process”, in the Research Society, Evelyn Glatt and Maynard W. Shelly, Eds., 1968, 393-418

C. K. Buell, “When to Terminate a Research and Development Project”, Research Management, 10 (July 1967), 275-284

P. A. Flinn and G. F. Bolling, “Is There an Objective Way to Spend Corporate Moneys on Scientific Research”, Research Management, 13 (January 1970),

63-74

Stuart G. Monteith, R&D Administration, 1970

Effective methods, organizational structures. Budget preparation. Planning and scheduling projects. Methods of control for work progress; and expenditure. Patents and international R&D organization

George S. Odiorne, Management Decision By Objectives, 1962

Gordon C. Teal, “Selecting Worthwhile Research Projects”, Management Report 76, 1968, New York: American Management Association, 60-68

Matching research to company goals. Selection and evaluation of research projects. Continuing problems

Teamwork in Research or Cooperation and Creativity

George p. Bush and Lowell H. Hattery, “teamwork and creativity in research”, Administrative Science Quarterly, 1 (December 1956), 361-372

_____, Eds., Teamwork in Research, 1953

Contents: 1. Organization, 2. Personnel factors, 3. Aids to teamwork. “principles that lead to teamwork in research are essentially those that lead to teamwork in any endeavor.”

W. M. Hoyt, “Building the Research Team”, Management Report 76, 1963, New York: American Management Association, 122-128

“The most effective research team will be composed of individuals with reasonably compatible personalities, but with different values, possessing a variety of skills and education as required by the project so that each performs near the upper limits of his capability in helping the group achieve its goal.”

Communication in Research

Columbia University Bureau of Applied Social Research, the Flow of Information Among Scientists: Problems, Opportunities and Research, 1958

Deals with the problem of keeping current. Special attention is given to the more obscure communication modes and unplanned accidental mechanisms for performing them

William D. Garvey and Belver C. Griffith, “Scientific Communication: its Role in the Conduct of Research and Creation of Knowledge”, American Psychologist, 26 (April 1971), 349-362

Robert E. Gee, “How Often Do Research Objectives Match Corporate Goals?” Research Management, 13 (November 1979), 451-459

John C. Kennedy and G. H. Putt, “Administration of Research in a Research Corporation”, Administrative Science Quarterly, 1 (December 1956), 326-339

Presents a tool for improving communication between researchers and research administrators and its use in planning a large-scale research program

Herbert Menzel, “Scientific Communication: Five Themes from Social Science Research”, American Psychologist, 21 (December 1966) 999-1003

Clifford J. Tharp, “The Researcher's Role as Communicator”, Personnel Journal, 50 (March 1971, 237-238

Motivation and Research

George Bucher and Richard C. Gray, “the Principles of Motivation and How to Apply Them”, Research Management, 14 (May 1971), 12-23

Motivation of engineers and scientists. Reviews selected motivation theories including Maslow's

Clagget G. Smith, “Age of R&D Groups: a Reconsideration”, Human Relations, 23 (April 1970), 81-96

Group performance tends to decline after a certain period of time. Concerned with some of the conditions which may enhance the performance of new and young groups or maintain the performance of old groups

John H. Dessauer, “How a Large Corporation Motivates Its Research and Development People”, Research Management, 14 (May 1971), 51-55

The “home-grown applied psychology” of John Dessauer, vice chairman of the board of Xerox Corp, Rochester, New York

Edward R. Frank, “Motivation By Objectives - a Case Study”, Research Management, 12 (November 1969), 391-400

“Management by objectives” as a planning method for activities and an educational method for improving the individual's responsibility…

Barney G. Glasser, “Differential Association and the Institutional Motivation of Scientists”, Administrative Science Quarterly, 10 (June 1972), 308-339

A scientist's motivation is based on the following internal factors: (1) degree and (2) firmness of commitment (motivation) to advance knowledge… examines propositions (external factors) related to the internal factors

Raymond M. Hainer, “Motivation of Group Research”, in Proceedings 11th National Conference on the Administration of Research, 1958, Denver Research Institute, 83-89

How to stimulate group creativity. 1. Group relations, 2. Processes that aid or hinder group strength, 3. Freedom of creativity, 4. Leadership, 5. Anatomy of group processes

Edward R. Hallenberg, “Dual Advancement Ladder Provides Unique Recognition for the Scientist”, Research Management, 13 (May 1970), 221-227

Describes the dual ladder system at Westinghouse and its positive effect on job motivation . An individual contribution ladder parallels the management ladder in rank, position and salary

Willard March, “Rewarding Inventors in Academia”, Research Management, 15 (January 1972), 71-74

1. Difference between inventors in industry and academia, 2. Appropriate rewards, 3. Types of award arrangement

Jud Morris, the Art of Motivating, 1968

1. Provides insight into what it takes to make individuals and teams achieve peak performance, and 2. Discusses help in self-motivation -- the first step in getting more accomplished through others

Kenneth a. Propp, “a Communication Challenge: Promoting and Recognizing Creativity”, Personnel Journal, 51 (August 1972), 596-598

Evaluation and Measurement

Frank M. Andrew, “Factors Affecting Manifestation of Creative Ability By Scientists”, Journal of Personality, 30 (March 1965), 140-152

Relation between creative ability and creative performance is factored into 1. Strength of motivation, 2. Probability of deciding to communicate ideas, 3. Adequacy of communication channels, 4. Probability of ideas being received

Ralph E. Burgess, “Criteria for Evaluation of Industrial Scientific Research”, Management of Scientific Talent, 1963, New York: American Management Association, 222-235

Criteria considered: importance to nation, industry, individual firm…

Ronald J. Burke, “Why Performance Appraisal Systems Fail”, Personnel Administration, 35 (June 1972), 32-40

Francis G. Caro, Ed., Readings in Evaluation Research, 1971

Unifies scattered material on evaluation research. Concerns: nature of evaluation, role in research programs of directed change, organizational context, methodological strategies

Dean V. Burton, Evaluating, Selecting, Controlling R&D Projects, New York, American Management Association, 1968

Idea generating and handling; project evaluation, selection and control; project compilation (completion) and termination; role of R&D management; impact of R&D on performance

E. C. Galloway, “Evaluating R&D Performance - Keep It Simple”, Research Management, 14 (March 1971), 50-58

Describes a simplified approach and its benefits (time saving, brevity and ease of understanding, communicating with management, basis of comparison with previous performance)

Robert E. Gee, “A Survey of Current Project Selection Practice,” Research Management, 14 (September 1971), 38-45

Discusses selection of projects as one of a series of interrelated steps in the total (research) management process

Edward M. Glass, “Methods of Evaluating R&D Organizations”, IEEE Transactions of Engineering Management, 19 (February 1972), 2-12

Summarizes techniques used by department of defense in evaluating effectiveness of its in-house laboratory systems

Everett C. Hughes, “Evaluation of R&D”, Research Management, 10 (September 1967), 353-369

Recommends qualitative and quantitative measures in performance factors

Ben-Ami Lipetz, Measurement and Efficiency of Scientific Research, 1965

Discusses the efficiency concept, its limitations, objectives and social value of science, scientific content, problems in research administration

Richard F. Moore, “the Quiet R&D Revolution: Ways to Meet the Increasing Pressure on R&D Organizations”, Research Management, 12 (January 1969),

25-36

Discusses research and development evaluation, continuing education of R&D people at all levels

W. D. Seyfried, “the Evaluation of Research”, Management of Scientific Talent, New York: American Management Association, 1963

“Evaluation is the process of judging performance in order to guide action”

Environment and Research Organization

Knut Holt, “Creativity and Organizational Climate”, Work Study and Management Services, 15 (September 1971), 576-583

W. D. Lewis, “Individual Creativeness in Group Research”, in Proceedings of the 11th National Conference on the Administration of Research, 15-21

George H. Litwin and Robert a. Stringer, Jr., Motivation and Organizational Climate, 1968

Need for achievement, power, affiliation-relation to organizational climate and effect on motivation. Contains practical guides to managers on motivation

S. M. Parmerter and J. D. Garber, “Creative Scientists Rate Creativity Factors”, Research Management, 14 (November 1971), 65-70

“One hundred scientists designated as creative (consistently devise effective and unique solutions to problems) by their peers, give their views on personal and environmental characteristics that influence effective R&D action.”

Donald C. Pelz and Frank M. Andrews, Scientists in Organizations: Productive Climates for Research and Development, 1966

Factors discussed include 1. Autonomy of scientists and their influence on subordinates, 2. Scientist's relations with others - in the organization or outside it, 3. Time spent on technical research; diversity of interests and organizational function, 4. Scientist's independent work, 5. Motivation, 6. Creativity, 7. Productivity…

Selection of Researchers

Glenn a. Basset, Practical Interviewing: a Handbook for Managers, 1965

Communication skills for the manager in interview, hiring process, need for job (assignment) definition. Types of interview: “tough-guy”, client-centered counseling, Freudian, intellectual discourse, chaotic

Marvin D. Dunnette, Personnel Selection and Placement, 1966

Includes a discussion of selection vs. Vocational guidance strategies

Harish C. Jain, “the Selection Process and Hiring the Engineer Scientist”, Canadian Personnel and Industrial Relations Journal, 18 (October 1971), 23-28

Selection processes for scientists and engineers engaged in research and development in Canadian industry

Donald H. Mclaughlin, “Research Personnel - Selecting and Understanding”, Personnel Journal, 43 (March 1964), 133-136, 148

“The interviewer should know something about the field, in order to evaluate the man”

Wilber C. Myers, “the Selection of Researchers”, Management of Scientific Talent, Jerome W. Blood, Ed., 1963, 113-121

Author suggests: locating applicant; evaluation by management of applicant, by applicant of position; decision and follow-up

Research Management - Recent -1987

Augustus Abbey, Technological Innovation: the R&D Work Environment, Gunter Duffy, Ed., 1982

Barry Bozeman, Et Al., Eds., Strategic Management of Industrial R&D, 1984

Marvin J. Cetron, Quantitative Decision Aiding Techniques for Industrial Research and Development Management, 1972

J. H. Dumbleton, Management of High Technology Research and Development, 1984

S. R. Epston, Et Al., Managing Interdisciplinary Research, 1984

E. M. Kipp, People Aspects of Research and Development Management: Attracting and Retaining R&D Personnel, 1967

Devendra Sahal, Research, Development and Technical Innovation, 1980

George S. Tolley, Et Al., Eds., the Economics of R&D Policy, 1985

Shiv Vishvanathan, Organizing for Science: the Making of an Industrial Research Laboratory, 1985

Research in Science and Technology: Methods and Administration

David Allison, Ed. The R&D Game: Technical Men, Technical Managers and Research Productivity, 1969

Part I. The man - creativity, diversity, freedom in research

Part II. Environment

Part III. The organization… includes designing the technical company

Sir John Cockroft, the Organization of Research Establishments, 1966

I decided that one approach to effective study of research organizations is to review descriptions of actual operations. This book, though twenty years old (1987), describes a number of leading British (mostly), American (bell labs), and European (CERN) research organizations in the words of (usually) their chief administrators. These men are leaders in their fields. A 1990's version of this book is needed. This type of book is a good complement to any “how to” publication… see a review and a summary of key points on research management

This book is reviewed below

Lewis E. Lloyd, Efficient Research, 1965

Discusses: a. Importance of research, b. Problem solving and creative thinking, c. Results and dissemination, d. Selecting problems and researchers; training, e. The research organization, g. Morale and motivation, h. Research equipment

Nick Moore, How to Do Research, 1983

Contents: 1. Objectives - statement, 2. Selecting best methods, 3. Proposal, 4. Getting support, 5. Organizing research projects, 6. Execution, 7. Review process, 8. Conclusions and recommendations, 9. The report, 10. Dissemination

Review: Sir John Cockroft, Ed., the Organization of Research Establishments, 1966

This is a valuable book describing experience in administration of research at a number of research establishments (eleven British, one United States - bell labs, and one European - CERN, European organization for nuclear research). The chapter authors are accomplished individuals - usually the directors of the organization. A spectrum of organizations is discussed - national, industrial, multinational (CERN). The function and operation of the organizations is considered as it relates to performance. Organization is considered in its situation specific and experiential aspects. An introduction and a final chapter discuss, in a more generalized way, conditions for creativity, quality and a well-run establishment

Introduction: John Cockroft

A good director, clear objectives, good selection of staff, a good intellectual environment, efficient but minimal organization - are important in basic research. Applied research is more complex: because of the size, and need, in industry, to choose profitable lines of work. The additional problems are organization of research and responsibility; selection, from among basic research findings, of projects which can be applied profitably to the objectives - that is, applied research projects which include the resolution of practical problems, often initially unforeseen; elimination of projects - it may be valuable to recognize at the original point of selection that some projects will not work out, and, in some optimal sense, work this into selection; the problems of development, including building of prototypes which comes after development

Additional considerations: focusing: the work of a group or groups of scientists - perhaps from several different disciplines; cross fertilization: between divisions and coordination - and prevention of growth of barriers; provision of a first-class information system ; human relations: the creative ideas of young scientists should flow upward and be quickly considered; provision of facilities; fair and democratic selection and promotion; recognition of “support” personnel (technicians, clerical staff, draftsmen, craftsmen, skilled and unskilled workers); good relations between scientists and administrators: facilitation of the scientists' work by provision of services and financial control - overall administration (such as, annual budget) is central, but detailed decision (expenditure within budget) are best done by divisions or groups (with administrative assistance for control); avoiding the inefficiency of over-administration

The Research Establishments

These chapters are interesting and useful. They show the genesis of principle; the response to specific needs; a variety of structures; interactions with industry, universities, government; role in overall socio-technical change; questions of centralization and size; role of leadership; and so on

What Makes a Good Research Establishment - Sir Edward Bullard

1. Objective: central problem of management of research - how to keep scientists happy and productive. Difficulties due to difference between research and university laboratories

2. Assessment: climate of opinion - a key in research productivity

3. Considerations: combining people with different attitudes to work: researcher, technician, etc. Researchers: “like working on problems of their own choosing, with adequate facilities, in a pleasant place, with colleagues of similar tastes, in a society that values the kind of work and is willing to pay a competitive price for it.”

4. Solutions: a pleasant environment is reasonably easy to provide but requires awareness and money. Scientists can be persuaded (often enough) to work on new problems of importance to the establishment provided the relevance of the problem to an important overall scheme or picture is shown and if the rest of the group is enthusiastic about the project work

On selection: projects: must be selected and revised within the constraints of budget, facilities and staff according to criteria of usefulness (practicability) and diversity (some); staff and facilities must not be overtaxed to the point of inefficiency; value of projects is determined by value if successful and probability of success. The problem of stopping work on a project that is no longer important or useful or budgetable must be addressed and acted on, but is difficult because of personal investment. Perhaps the best resolution lies in an understanding, and even involvement, by the staff of the factors of selection. This problem is also of importance to avoid individual stagnation and production of rounded and useful research personnel. The problem of importance - long term - is difficult. It is one of choices - but the author does not address the question of this choice. Chance is undoubtedly a factor. However, rationality is possible (1) through a network of research institutions - some regional, national or industrial coalition, and work at different levels (basic, applied), at universities, government facilities, industry and (2) factors of invention discussed in area 5.4 of “design” in evolution and design

On Administration

Balance between personnel and proper equipment is important. Selection of personnel is important. Equipment is important. The decision as to basic lines of research should be central, but beyond this a great degree of decentralization is desirable. The size of the autonomous groups will depend on the needs for research, the needs for autonomy and the limits of communication for group coherence. The scope of each division should be such that one first-rate scientist can cover it. The individual doing the job should be encouraged and advised, occasionally redirected, but not interfered with. Coordination of the divisions is both by “command” and by “communication”. Control is financial - including facilities - and by access to central services. As far as possible, within the limits of expense, “every group should control the tools of its trade”

Problems of Older Institutions

In new or expanding organizations, the atmosphere of impermanence, improvisation and chance is conducive to creativity. In an “equilibrium” environment means of maintaining efficiency are important. Part of the problem is turnover and promotion. If internal and external opportunities for situational, financial and status enhancement are limited, there is little external incentive. Part of the resolution must be in maintaining internal motivation and quality of the establishment - such factors are involved even in quality and excellence in growing establishments

A List of Possible Internal Motivation Factors

1. Personal - leadership, 2. Adventure - intellectual, 3. Academic advancement - recognition, publication, 4. Social commitment - contingency effort such as war, disaster; or humanitarianism, patriotism, 5. Universal factors - which are related to item 2

Entrepreneurial Management

Andrew Groves, High Output Management

Maintaining entrepreneurial spirit in a very big, rapidly growing company

Thomas Peters and Robert Waterman, in Search of Excellence: Lessons from America's

Best Run Companies, 1982

Management as a combination of: pathfinding (entrepreneurship) and decision making and implementing

Peter F. Drucker, the Concept of the Organization, 1946

_____, the Practice of Management, 1954

_____, the Frontiers of Management, 1986

Some topics:

1. Selecting people: job-assignment description is important; steps: a. Think through the assignment, b. Look at a number of potentially qualified people, c. Think hard about how to look at the candidates - what are the strengths each possesses and are these the right strengths for the job, 4. Discuss each of the candidates with several people who have worked with them, 5. Make sure the appointee understands the job

2. On quality education: the 1900 excellence in education was due to the need for education in escaping grueling labor. This had community support. This situation changed; but now knowledge will be at a premium again and education will return to excellence

3. The information-based organization: the traditional organization is based on command and authority. Information is generated at the top, and flows down. In the information-based organization information is generated at each appropriate level and flow is circular - and, according to need, this requires shared values (management by objectives) and shared language at all levels and self-discipline. As a result, organizational structure is “flat”, fast-acting, responding, flexible and conducive to diversity

4. The innovative organization (Citibank, 3M): management is encouraging of new ideas, development support, high risk; but knows when to pull out

Peter F. Drucker, Technology, Management and Society: Essays, 1970

Management = entrepreneurship + administration + public relations

John Naisbitt, Megatrends: Ten New Directions for Transforming Our Lives, 1982

“By observing grassroots endeavors, future national trends can be predicted. Following his own tenet, Naisbitt's consulting organization reads hundreds of local newspapers from around the country to identify incipient trends. The resulting observations and predictions have proven valuable to educators, business leaders, politicians and a broad spectrum of Americans interested in the future.”

Research Institutes and Universities

Research Centers and Institutions: Sources of Ideas Especially for Facilities and Funds

Trevor I. Williams, Cons. Ed., European Research Centers: a Directory of Organizations in Science, Technology, Agriculture and Medicine, 1982

Joseph C. Kiger, Ed.-in-Chief, Research Institutions and Learned Societies, 1982

Dennis Vieland, Comp., Catalog of Uncommon Facilities in Western Colleges and Universities, 1981

Carnegie Institution Handbook of Learned Societies and Institutions, 1966

Mary Michelle Watkins, Ed., Research Centers Directory, 19--

Katherine Gruber, Ed. Encyclopaedia of Associations, 19-

Union of International Associations, Ed., Yearbook of International Associations, 19-

Europa Publications, World of Learning, 19-

Contains: I. International section - UNESCO, International Institute of Educational Planning, International Bureau of Education, University, International Council of Scientific Unions, International Council of Philosophy and Humanistic Studies, International Society of Science Council, International Associations of Universities. II. All countries: academies, learned societies, research institutes, libraries, museums and art galleries, universities and colleges

Research Institutes: the University

Management of Research and Education

G. Murray Ross, the University: the Anatomy of Academe, 1976

James a. Perkins, the University as an Organization, 1973

Sidney Hook, Paul Kurtz, Miro Todorovich, Eds., The Idea of a Modern University, 1974

College and University Presidents

Also see §0 below

Ralph Prater, the College President, 1963

Michael D. Cohen, Leadership and Ambiguity: the American College President, 1986

College Administrators

Donald E. Walker, the Effective Administrator, 1979

Leadership, Management and Planning

Michael Cohen and James G. March, Leadership and Ambiguity: The American College President, 1974, 1986

Contains: presidential careers, metaphors of leadership, images of the president, process of choice, logic of choice in American colleges and universities, organization of time, presidential tenure, leadership in an organized anarchy, administrative leadership

Comments: interesting in general, specific to the present: 1. Metaphors of governance and leadership - eight metaphors of governance are competitive market, administrative (formal, defined objectives), collective bargaining, democratic, consensus (apparent), anarchy (each individual makes autonomous decisions), independent judiciary (leadership without a constituency), plebiscitary autocracy… each metaphor implicitly prescribes a role for the president. 2. Effect of social milieu and operational formulas on centers of power. 3. Process of choice: garbage can model (related to 1, 2). 4. Logic of choice: educational policy, academic tenure (is not as costly as it appears… inflation, research… ), planning, power… little discussion of research. Qualities of a president: entrepreneurial, administrative and political leadership

Keith G. Lumsden, Efficiency in Universities: the La Paz Papers, 1974

See review below

Kenenth R. Minogue, the Concept of a University, 1973

See review below

Ralph Prater, the College President, 1963

This book, by a college president, sees the role as more powerful, influential than the previous one. Contents: nature of the office, leadership in decision making, the continuum, personal and professional qualifications. The vista… the approach is quite different to the previous one, more personal and quite appealing

J. Victor Baldridge, David V. Curtis, George Ecker, Gary L. Riley, Policy Making and Effective Leadership - a National Study of Academic Management, 1978

A publication of higher education research institute; discusses research: 1. Development of comprehensive programs - should be done independently or through cooperative intercampus agreements and through need assessment, policy analysis, evaluation of institutional mission and impact, and forecasting. 2. Evaluation

Paul L. Dressel, Administrative Leadership: Effective and Responsive Decision Making in Higher Education, 1981

Contents: 1. Need for administrators, 2. Morals, ethics, values in higher education, 3. Improving administrative communication, 4. Conceptions of decision making, 5. Focusing on academic goals, 6. Internal organization and conflicts of interest, 7. Understanding external influences, mandates and controls, 8. Meeting university obligations and administrative responsibilities, 9. Facing up to crucial problems and issues, 10. Evaluating administrative performance

Chapter 5: focusing on administration of academic goals, discusses research administration - need for grants office to be involved with budgeting and support and programming and soliciting and predicting and visionary activity; also with education (programs, curricula, courses, modes, instruction and admissions)

Paul L. Dressel, Improving Degree Programs: a Guide to Curriculum Development, Administration and Review, 1980

_____, Handbook of Academic Evaluation, 1976

_____, Institutional Research in the University: a Handbook, 1971

_____, the World of Higher Education, 1971

_____, Undergraduate Curriculum Trends, 1969

_____, College and University Curriculum, 1968, 2nd Ed. 1971

Roger W. Heyns, Ed., Leadership for Higher Education: the Campus View, 1979

Contributions are by top level university administrators and consultants

Topics: 1. On becoming a leader, 2. Making the most of faculty leadership, 3. Designing new personnel policies, 4. Encouraging voluntary support, 5. New obligations to students, 6. Balancing student retention and academic standards, 7. Planning new departures in curricula, 8. Fitting graduate education to society's priorities, 9. Revising and cutting academic programs, 10. Responding to federal regulations, 11. Influencing state higher education policies

Cynthia C. Ryans, William L. Shanklin, Strategic Planning, Marketing and Public Relations and Fund-Raising in Higher Education, 1986

Interesting. Comments on strategy: brevity. Comments on problems of tenure - make it difficult to marshall resources to seize opportunity

George Keller, Academic Strategy: the Management Revolution in American Higher Education, 1983

Keller has been employed as a planning consultant by over 200 colleges since publication of this book (as of 1986). Question: what is the market for this work?

Victor G. Onushkin, Planning the Development of Universities, Vol. I 1971, Vol. II 1973, UNESCO, International Institute for Educational Planning

See review below

Robert D. Peck, Entrepreneurship and Small College Leadership, 1983

“Defines opportunity consciousness as a leadership attitude whereby opportunities are expected to occur, opportunities to get things done, to advance the institution and help realize its potential despite all appearances to the contrary. Such opportunity consciousness is a continuing attention to changes in the environment, in the attitudes of people, and even in the values of society, to any change that can be turned to the advantage of the institution.”

Clark Kerr, Presidents Make a Difference, 1985

Clark Kerr, “Leadership Begins with Your President”, Agb Reports, (January-February 1985)

Kerr claimed that pressures on leadership in America have become tremendous, and this is especially true in academia where fifty percent of presidents are prevented from effective leadership by state boards, students, faculty, media, federal, state and local government… however, Kerr maintains that the college president is the key to effective leadership… and that the president must remain involved in academic leadership decisions

Torsted Husen and T. Nevill Postlethwaite, Eds., the International Encyclopedia of Education, 10 Vols., 1985

Asa S. Knowles, Ed., the International Encyclopaedia of Higher Education, 10 Vols., 1977

Lee C. Deighton, Ed., the Encyclopedia of Education, 1971

University Leadership: Selected Information

J. Wade Gilley, Et Al., Searching for Academic Excellence: Twenty Colleges and Universities on the Move and Their Leaders, 1980

This work is reviewed below

Clark Kerr, the Uses of the University, 3rd Ed. 1982

This work is reviewed in below. It includes a list of “research” universities

The University - Nine Reviews

Planning the Development of Universities

Victor G. Onushkin, Planning the Development of Universities, Vol. I 1971, Vol. II 1973, UNESCO, International Institute for Educational Planning

Objectives of the IIEP Project “Planning the Development of Universities”:

1. Analyze important tendencies in development of universities; valuable experiences in university planning and management

2. Formulate a system of university planning and management tools and methods to (a) reveal hidden or under-utilized resources and (b) better adapt the university to socio-economic needs, (c) meet a variety of contingency needs

Efficiency in Universities

Keith G. Lumsden, Efficiency in Universities: the La Paz Papers, 1974

“The book is concerned with the crucial issue of how university education can be improved. The papers tackle the issue from many angles, but they share the economic framework of analysis… “

Contains: I survey of the issues, II the role of the university, III the university as a productive unit, IV new techniques in universities; references

The survey considers problems in planning the university. In II the following roles are considered: a. As a symbol, repository and as a source of advance of civilization; b. As a home for “research” - the advance of production of knowledge; c. Information storage - media and human; d. Teaching - professional and general education… the economic function of university education falls under three conceptions: the “maturation” hypothesis, the “filtering” hypothesis, and the “human capital” hypothesis

The Idea of a University

Kenenth R. Minogue, the Concept of a University, 1973

This book argues that the nature of a university is not to be found in any one of its “functions” - in fact, that the notion of function is an external notion (the appropriateness of concern with function is not in question). Four aspects (at least) are identified:

The academic: concern with knowledge - verification and growth; a slow process of evolution; the occasioned adventure (religious in nature!); the steadfast refusal to turn understanding into a kind of vulgar esotericism

Intelligence: by no means the essence or prerogative of academics (though not absent from academics)

Practicality: concern with ends of various individuals and socio-economic types: ideology, social transformation, journalism, dialectic

Intellect: an aspect of function

It is the gathering of people together for the first purpose, the academic, which defines the origin and intrinsic nature of the “university”

Vision and Purpose in Higher Education

Raymond F. Howes, Ed., Vision and Purpose in Higher Education: Twenty College Presidents Examine Developments During the Past Decade, 1962

Interesting as a historical record of higher education in the United States in the 1950s. Topics include:

1. Education of Americans in values of democracy and American policing for a free world (Keith Chalmers: “education and America's need”);

2. Problems - selection and enhancement of “genius”; purpose, enrollments and related issues - teachers, plant, money, freedom, curriculum; development of teacher-scholars; retirement policy - relation to enrollment, fixed age or other; education in international relations; diversity and strength; universities as agencies of conservation or question and exploration (Margaret Clapp, “major problems in higher education”);

3. Functions - education for international understanding in an age of persuasion - specialized training for individual independence; balance of specialization with overview of breadth and education for learning; development of communication skills; fostering of wisdom - including how to learn select knowledge relevant to a particular problem - this should permeate the entire educational program; an understanding of commitment to democratic ideals and way of life; thinking in global, national and local terms - includes understanding of the social, economic, political and military problems of the world (Milton s. Eisenhower, “education for international understanding”);

4. The problems of expanding enrollments and the junior and community college, state university, research university (California) system;

5. Quality in quantity: “near the dawn of our civilization, Aristotle wrote 'all who have meditated on the art of governing mankind have been convinced that the fate of empires depends on the education of the youth'. Today he most certainly would have to revise his statement: it is civilization itself that is at stake.” (Erica Walker);

6. Problems - education for a new age; dual mandate of quantity and quality; economy of time and effort; social interpretation of education; diversity of institutions and integrity of function; size; liberal arts; tradition and change; excellence (Virgil M. Hancer, “the challenge we face”);

7. Public support - understanding and backing (Nathan M. Pusey, “the need for public support”);

8. Ideas: great ideas on great issues that lead to successful practical action;

9. Problems and solutions: teaching and research should include teaching as a topic - to improve teaching; education should self-review and change as society and the interdependent institutions change;

10. Research priorities: problems - unevenness in spread of research among disciplines and across activities; inadequate emphasis on basic research (basic, applied. development, design… without basic research there is no foundation for the rest); contributions of university research: training of research workers, knowledge pool, advisory and consultative faculty function regarding business and government; foundation for research: faculty salaries, funding - amount and relatively unrestricted to permit basic research programs, space and equipment are as important as fellowships and awards, the role of the research teacher in society should be more broadly understood to attract young talent to teaching; the relation between the research function of higher education and business and government progress should be given greater public display… the public should understand the relation between education and general prosperity and security (David a. Henry, “new priorities in research”);

11. On teaching and research: both are forms of learning and in both, in the university, the student and teacher work together: in teaching, the teacher encourages the student to learn and develop learning skills from sources of recorded knowledge and by simulating or initiating learning from nature; in research student and teacher learn together from nature and experience, the student benefiting from the teacher's experience. This continual learning is “essential” because human “ignorance is so colossal”… in research “younger men and older men are learning together”… the “moderately difficult barrier which must be passed when we go from the known to the unknown… is not as high as one might think. To understand scientific principles by confining oneself to reading books has proved for most people to be not very feasible or satisfactory. One must go to nature with questions - sometimes to verify, sometimes the better to understand what has been reported. It is often then but a step to ask new questions and secure new answers.” (Lee A. Dubridge, “companions in zealous learning”),

12. “Lyman Bryson says that universities may be the only instrumentalities in our society which are adequately fitted to deal with what he calls the 'strategy of culture'“… overriding priority must be given to teaching and intellectual inquiry (research, etc.), But there is, additionally, a changing role of universities: the interaction with society. Three types of interaction are: (1) independent faculty consultation and research. Not necessarily requiring administrative action but with certain hazards - the danger of interference with the primary objectives of the university; however, the potential for generating moving ideas is great: on the principle of withdrawal and return to the world; (2) those activities, because of the extent of involvement and commitment, require administrative action and require examination as to compatibility with and benefits to the central values and missions of the university; (3) fields in which the university has continuing institutional responsibility; examples in this group are pre-college education; professional education and leadership in the professions; and international affairs… however these should not detract from the university's central missions. Teaching and intellectual inquiry: these are the springs of the university's strength and vitality and the starting point of any coherent conception of the university's role in our society

The Uses of the University

Clark Kerr, the Uses of the University, 1963, 2nd Ed. 1972, 3rd Ed. 1982

An attempt to describe and evaluate some significant new developments in American higher education. The key historical ideas are the concepts of the university, according to Cardinal Newman (1852: “the high protecting power of all knowledge and science, of facts and principle, of inquiry and discovery, of experiment and speculation”… it prepares an individual “to fill any post with credit, and to master any subject with facility”. In John Henry, Cardinal Newman, The Idea Of a University ) and according to Abraham Flexner (1930: “the idea of a modern university… is not outside, but inside the social fabric of a given era” whereas the individual student and eternal “truths of natural order” were among Newman's ideals, there were, for Flexner, the needs of society and discovery of the new. Instead of the generalist, there was the specialist, observes Kerr of Flexner's university… for Flexner the university became “an institution consciously devoted to the pursuit of knowledge… and the training of men at a really high level”… in Abraham Flexner, universities: American, English, German, 1930). The writings of Newman and Flexner coincided with the decline of their concepts of the university. The developments discussed by Kerr are the “multiversity”… and “the federal grant university”. Projected areas of change are growth, shifting academic emphases, and involvement in the life of society. Changes for the future include instruction, unity and unification of intellect: responsiveness of administrations; especially in large universities, to the needs of faculty and students - at individual levels; and the problem of maintaining excellence in populist society

The University

Murray G. Ross, the University, 1976

Contains a brief history of the university (which is by no means the history of knowledge of even of science) and a discussion of the central issues of a university

Searching for Academic Excellence

J. Wade Gilley, Kenneth a. Fulmer, Sally J. Reithlingshoefer, Searching for Academic Excellence: Twenty Colleges and Universities on the Move and Their Leaders, 1986

Twenty universities - “good and verifiable cases of schools seeking for new levels of effectiveness, excellence, and or recognition, and achieving a degree of success for their efforts” form the basis of the work. Authors emphasize that the twenty not presented as the only or the best… and that their findings cannot necessarily be generalized to all of higher education… the universities were selected through a process of nomination, questionnaire and elimination… twenty universities were visited for detailed field studies

Qualities sought: improving quality, promoting efficiency, addressing major societal or educational issues, seeking new levels of excellence anticipating trends and issues

Major findings:

1. In no instance did state-level boards provide the initiative. Rather in the public institutions state agencies were one of the most significant obstacles to innovation and change

2. Ten characteristics were found, each common to at least three-fourths of the twenty institutions despite great variety in size, mission, control and location

3. The motivation forces to attainment of new levels of effectiveness, excellence and recognition were location, (overcoming) adversity and, most importantly, leadership

4. Most leaders brought with them to the presidency a parallel perspective - that is, experience with similar problems and situations

5. Nine emerging administrative trends among the twenty institutions

Ideas and suggestions for boards, presidents, others

1. Criteria of health:

Presence of a well-defined strategic mission (a statement ends and means - or goal and direction)

The strategic mission is well known

The strategic mission addresses relevant issues

Financial resources are increasing in real terms

External recognition is growing

Number and quality of students is increasing

Faculty quality is improving

Faculty initiative abounds

Strong proactive leadership is present… initiates action, rather than reacting to developments

The Idea of a Modern University

Sidney Hook, Paul Kurtz, Miro Todorovich, Eds., the Idea of a Modern University, 1974

The essays are from the university centers for rational alternatives conference, Rockefeller University, New York City, February 21-22, 1972. In the wake of the disruptions of academic life, 1968, etc., Universities were required to regroup their defenses (Todorovich's word) at a basic level. By late 1971 university campuses were “quiet” again. The reason for the collapse of academia was felt to be lack of commitment to academic, intellectual integrity. This, and related issues, are the theme of this book. The essays are grouped into three areas: I university higher education: promise or illusion?, II higher education under fire, and III the crucial problems of the modern university

The book is dated, but still of interest since some of the academic problems of the university in 1987 stem from the ethos of the 1965-1973 era. The contributors form a pantheon of stars from the universe of American humanistic education of that era

Many of the academic problems inherited from that era are only now, in 1987, being resolved on an operating level in American higher education

The Idea of a World University

Michael Zweig, the Idea of a World University, 1967

Contents: 1. Need for a world university (states needs for international higher education: political and educational; symbolic and unifying… educational should be modified to learning), 2. The developed alternative to a world university (proposes that no existing institutions meet the needs and that a world university would), 3. History of the idea of world education, 4. Proposals to international bodies, 5. Some projects and experiments, 6. What needs to be done… appendices: a. Existing international institutions which approximate, or might become, world universities, b. A selection of organizations and associations interested in the concept of world education, c. Some proposals for a world university, d. The idea of a world college (by Harold Taylor)

Consulting and Consultants

Janice Mclean, Ed., Consultants and Consulting Organizations Directory: a Reference Guide to Concerns and Individuals Engaged in Consulting for Business, Industry and Government, 1973-, 1984

Hubert Ingram Bermont, the Complete Consultant: a Roadmap to Success, 1982

Consulting Engineers

Alberto Aráoz, Ed., Consulting and Engineering Design in Developing Countries, International Development Research Center, 1981

Stanley C. Maxwell, the Consulting Engineer, 2nd Ed. 1982

Consultants: Directories

Gale Research: Consultants and Consulting Organizations Directory, 1984 Ed

Government Consultants

Paul L. Wasserman, Ed., Who's Who in Consulting; a Reference Guide to Professional Personnel Engaged in Consultation for Business, Industry and Government, 1973

Peter L. Szantow, Not Well Advised, New York: Russell Sage Foundation: Ford Foundation

Arnold J. Meltsner, Policy Analysts in the Bureaucracy, 1976

John Hanrahan, Government By Contract, 1983

Daniel Guttman, the Shadow Government: the Government's Multi-Billion-Dollar Giveaway of Its Decision Making Powers to Private Management Consultants, “Experts”, and Think Tanks, 1976

Morris Davis, Interpreters for Nigeria: the Third World and International Public Relations, 1977

David Rogers, Can Business Management Save the Cities? the Case of New York, 1978

O. N. Denny, an American Adviser in Late YI Korea: the Letters of Owen Nickerson Denny, 1984

Paul a Sabatier, the Sacramento Connection: Linking the Legislature with the University, 1978

Herbert Goldhamer, the Adviser, 1978

Guy Benveniste, the Politics of Expertise, 1972

Consulting - Wildlife

E. Lee Fitzhugh and W. Paul Gorenzel, Wildlife Consultants in California: a List of People and Companies Offering Wildlife Consulting Services, 1983

Consulting - Foresters

Society of American Foresters, Consulting Foresters, 1984

Education Consultants

Duane Brow, Consultation, Strategy for Improving Education, 1979

Funding and Support of Research

Funding and support of research is organized according to source and administration. These main topics are divided into sub-topics. A number of the bibliographic items fit more than one topic and such items may be repeated

Sources

Categories include grants, research grants, contracts, fellowships, scholarships, donations, gifts, rewards awards, honors, and prizes

General

Virginia P. White, Grants: How to Find out About Them and What to Do Next, 1975

Marquis Academic Media, Grantsmenship: Money and How to Get It

Linda Peterson, Ed. Annual Register of Grant Support

References Organized By Type of Funding

Grants

Virginia P. White, Grants: How to Find Out About Them and What to Do Next, 1975

W. K. Wilson and B. L. Wilson, Comp., Directory of Research Grants, 19-

Oryx Press, Directory of Research Grants, 1987

Awards, Honors and Prizes

Gita Siegman, Ed., Awards, Honors, and Prizes, 1985. Vol. 1 United States and Canada; Vol. 2 International and Foreign

Funding for Specific Areas or Topics

Karen Cantrell, Denise W. Allen, Funding for Anthropological Research

Oryx Press, Directory of Grants in the Humanities, 1986

Funding for Education

Francis C. Prey, Ed., Handbook for Educational Fundraising, 1981

David G. Bauer, the Complete Grants Sourcebook for Higher Education, 1985

Public Management Institute, the Complete Grants Sourcebook for Higher Education, 1980

Funding for Individuals

Ronald Gross, the Independent Scholars Handbook, 1982

References Organized By Type of Source

General

Foundations: Americas and General

Foundation News, Volume 1- (September 1960), J. Bimonthly; the Foundation Center

Ann Stromberg, Philanthropic Foundations in Latin America, 1968

Public Management Institute, Corporate 500. The Directory of Corporate Philanthropy, 1980-

Elan Goranzic, Ed., the Foundation Grants Index, 19-

The Foundation Center, the Foundation Directory, 19-

Theodore M. Lawe, How to Secure and Manage Foundation and Federal Grants in the 1980s, 1980

Foundations: California

Patricia B. Tobey, Ed., Where the Money's At, 1978: How to Reach Over 500 California Grantmaking Foundations, 1978

Morton Gould, Guide to California Foundations: Northern California Grantmakers

Foundations: Europe

Fondazione Giovanni Agnelli, Guide to European Foundations, 1978

International

Martinus Nijhoff, Constitutions of Nations, 1965

Government: U.S

Matthew Lesko, Getting Yours: the Complete Guide to Government Money, 3rd Ed. 1987

Donald R. Whitnah, Ed.-in-Chief, Government Agencies: the Greenwood Encyclopedia of American Institutions, 1983

Roy a. Grishham, Jr. And Paul D. McConaughy, Eds., Encyclopedia of U.S. Government Benefits, 1981

Washington Researchers: Michele M. Newman, Ed., Researcher's Guide to Washington Experts, 1982

Theodore M. Lawe, How to Secure and Manage Foundation and Federal Grants in the 1980s, 1980

Catalog of Federal Domestic Assistance, Federal Office of Management and Budget

There are over 1000 federal grant programs. This source is (1980) considered most comprehensive and reliable. Provides information on (1) program descriptions listed by department and agency, (2) information on authorizing legislation, appropriations, eligibility requirements, regulations and guidelines, and types of assistance offered

The Federal Register, Federal Government

Published daily - the most up-to-date source on new programs, changes in regulations and guidelines. Indexed monthly

Commerce Business Daily

Offers opportunities for private sector and nonprofit organizations; announces contract offers by the federal government; provides information on getting requests for proposals which include detailed information on contract award criteria, application and performance procedures and requirements and program intent

The United States Government Manual, Federal Government, Published Annually

Valuable for description of all federal agencies and activities; addresses, phone numbers and contact names. (not a guide to grants per se .)

Government: California - General

California State Publications, 1982-1986 Index, “Grants-in-Aid”

Includes a microform index of publications on grants-in-aid

The California Reporter, Published Annually

The California Roster, Published Annually, Has Addresses, Telephones of Personnel in California Government

Government: California - Service Grants

Robert E. Geller, Plain Talk About Grants: a Basic Training Handbook, 1982

Focuses on service but includes research grants. A source of some ideas on the role of grants as seed money in starting an organization. A starting point for California (and later states ) grants programs (Robert Geller was chief of California Department of Mental Health grants program)

3.1.3.10 Corporate Sources: Business and Industry

Sam Sternberg, National Directory of Corporate Charity, 1984

Lists corporations and what kind of donations they make

Fortune 500 List

A list of the larger corporations - which do most of the giving. Once the corporations have been identified, further information can be obtained from:

Standard and Poor's Register of Corporations

Dun and Bradstreet’s Million Dollar Directory

The Taft Group, Corporate Giving Yellow Pages, 3rd Ed. 1986

Morgan Gould, Ph.D., Guide to California Foundations, 6th Ed. 1986

Geographical and subject information included

Patricia Blair Tobey, Ed., Where the Money's At - 1978: How to Reach Over 500 California Grantmaking Foundations, 1978

Administration and Management

General

Virginia P. White, Grants: How to Find Out About Them and What to Do Next, 1975

Virginia P. White, Grant Proposals That Succeed, 1983

Marquis Academic Media, Grantsmenship: Money and How to Get It

Ronald Gross, the Independent Scholars Handbook, 1982

Grants to Individuals, Collections Operated By the Foundation Center, Cooperating Collections Tax Deductions for Independent Scholarship as a Business, University Presses in North America, and Copyrighting

How to Secure and Manage Foundation and Federal Grants

Theodore M. Lawe, How to Secure and Manage Foundation and Federal Grants in the 1980s, 1980

Useful in that types of grants, sources, fund raising, application (and its planning), review of proposals, management, contract research (targeted research and request: for proposal), and program evaluation are discussed in a brief space. These activities, in some form, are all necessary if applications, and projects are to be successful and for continued success in funding. A number of sources for grants are given. These sources include:

Finding and Selecting Sources

Judith a. Margolin, About Foundations: How to Find the Facts You Need to Get a Grant, 1977

Joseph Dermer, Ed., Where America's Large Foundations Make Their Grants, 1983

Jill R. Shellon, Grant Seekers Guide, 1985

Community-based programs, social and economic justice projects

Writing Proposals

Cortez Williams, a Grantsmanship and Proposal Writing Manual, 1979

Donald G. Orlich and Patricia R. Orlich, the Art of Writing Successful R&D Proposals, 1977

Virginia White, Ed., Grant Proposals That Succeed, 1983

Joseph Dermer, How to Write Successful Foundation Presentations, 1980

The Eckman Center, the Grantsmanship Workplan, 1970

Fund Raising

Jon S. Greene, Grantsmanship: Money and How to Get It

Armand Lauffer, Grantsmanship, 1983

The Eckman Center, the Grantsmanship Workplan, 1974

Howard Hillman and Marjorie Chamberlain, the Art of Winning Corporate Grants, 1980

Thomas E. Broce, Fund Raising: the Guide to Raising Money from Private Sources, 1979

Margaret M. Fells and Stella Koenig, How to Raise Funds By Mail, 1950

Paul Danneley, Fund Raising and Public Relations: a Critical Guide to Literature and Resources, 1986

Joan Flanagan, the Grassroots Fundraising Book: How to Raise Money in Your Community, 1977

General Administration and Management

Corporations

Incorporation

Anthony Mancuso, the California Professional Corporation Handbook, 1983

Corporation Law - United States

John J. Mcgonagle, Master Guide to Control of Corporations: with Checklists, Forms and Agreements, 1985

Taxation

Business Tax, Employment Tax Credit, Enterprise Zones

Corporation, Finance, and Business Law

John J. Mcgonagle, Jr., Carolyn M. Vella, Vito T. Vella, John D. Davis, Jr., Master Guide to Control of Corporations: with Checklists, Forms and Agreements, Institute for Business Planning, 1985

Prentice-Hall Editorial Staff, the Prentice-Hall Encyclopedic Dictionary of Business Law, 1961

Michael D. Rice, Prentice-Hall Dictionary of Business, Finance and Law, 1983

Covers business law, includes corporate law, taxation, contracts, commercial paper, secured transactions, securities regulation. Antitrust, bankruptcy, labor… and recent products of federal regulation: administrative law, environmental law, pension and profit-sharing plans, banking regulation and transportation regulation

California Law on Corporations

B. E. Witkin, Summary of California Law, 8 Volumes, 8th Ed. 1973, 9th Ed. 1987

Nonprofit Corporations

General and Registration

Tracy Daniel Connors, the Nonprofit Corporation Handbook, 1980

Anthony Mancuso, the California Non-Profit Corporation Handbook, 1986

Research Institutes, Design and Planning

Finance and Management

Frea E. Sladek and Eugene L. Stein, Grant Budgeting and Finance: Getting the Most Out of Your Grant Dollar

Robert Lefferts, the Basic Handbook of Grants Management, 1983

Othniel a. Pendleton, Fundraising: a Guide for Non-Profit Organizations, 1981

Theodore M. Lane, How to Secure and Manage Foundation and Federal Funds in the 1980s, 1980

Start Up

Carole C. Upshur, How to Set Up and Manage a Nonprofit Organization, 1982

Handbooks

Computers for Non-Profits

Kenneth L. Gilman, Ed., Computer Resources for Non Profits, 1984

Management

John Fisher, How to Manage a Non Profit Corporation, 1978

Israel Unterman, Strategic Management of Not-for-Profit Organization, 1984

Leslie Grayson and Curtis J. Tompkins, Management of Public Sector and Non-Profit Organization, 1984

Fred Stterburg and Kary Schulman, Beyond Profit: Everything You Need to Manage the Nonprofit Organization, 1985

Thomas Wolf, the Nonprofit Organization: an Operating Manual, 1984

Marketing

Armand Lauffer, Strategic Marketing for Not-for-Profit Organizations, 1984

Taxation and Tax Exemption

Susan Rose-Ackerman, Ed., the Economics of Nonprofit Institutions: Studies in Structure and Policy, 1986

4.2.10 Insurance

4.2.11 Finance

Joseph P. Shimini, How to Raise Money in a Not-for-Profit Organization, 1983

Richard F. Wacht, Financial Management in Nonprofit Organizations, 1984

Charles Waldo, a Working Guide for Directors of Not-for-Profit Organizations, 1986

James C. Crimmins and Mary Keil, Enterprise in the Nonprofit Sector, 1983

Small Businesses

Clifford Mason Baumback, Baumback' S Guide to Entrepreneurship, 1981

Deaver Brown, the Entrepreneur's Guide, 1980

Edward a. Gazjoda, the Harvard Entrepreneurs Society's Guide to Money Making; or, the Tycoon's Handbook, 1983

Joseph R. Mancuso, Have You Got What It Takes?! How to Tell If You Should Start Your Own Business, 1982

George Delaney and Sandra Delaney, the #1 Home Business Book, 1981

Bernard Kamoroff, Small-Time Operator: How to Start Your Own Small Business, Keep Your Books, Pay Your Taxes and Stay Out of Trouble, 1987

Michael Phillips and Salli Rasberry, Honest Business a Superior Strategy for Starting and Managing Your Own Business, 1981

Incorporation - Small Business

Anthony Mancuso, How to Form Your Own California Corporation, 1985

Public Relations

Philip Lesly, Lesly's Public Relations Handbook, 3rd Ed. 1983

Information on: Educational Institutions, Government, Business…

Philip Kutler and Karen F. A. Fox, Strategic Marketing for Educational Institutions, 1985

Advertising

David Ogilvy, Ogilvy on Advertising, 1983

Richard H. Stansfield, the Advertising Manager's Handbook, 1982

Valerie Noble, the Effective Echo: a Dictionary of Advertising Slogans, 1970

Done E. Schultz, Strategic Advertising Campaigns, 1979

Marketing and Sales: on Selling Creating and Persuasion

For persuasion and rhetoric see §0 below

Marketing

Selling

Steven J. Shaw and Joseph W. Thompson, Salesmanship: Modern Viewpoints on Personal Communication, 1967

Broad contents: part 1: behavioral sciences in selling; 2: nature of selling and some important types; 3: the selling process

Richard M. Baker, Jr. And Greg Phifer, Salesmanship: Communication, Persuasion, Perception, 1966

Robert B. Miller and Stephen E. Heinman with Tad Tulesa, Strategic Selling: the Unique Sales System Proven Successful By America's Best Companies, 1985

Selling and Creating

Michael Le Bouef, Imagineering: How to Profit from Your Creative Powers, 1980

Persuasion and Selling

Herbert Cohen, You Can Negotiate Anything, 1980

Phillip R. Lund, Compelling Selling; a Framework for Persuasion, 1974

Garth S. Jowett and Victoria O'Donnell, Propaganda and Persuasion, 1986

Rhetoric and Persuasion

Carroll C. Arnold and John Waite-Bowers, Eds., Handbook of Rhetorical and Communication Theory, 1984

Edward P. J. Corbett, Classical Rhetoric for the Modern Student, 2nd Ed. 1971

Richard B. Gregg, Symbolic Inducements and Knowing: a Study in the Foundations of Rhetoric, 1984

Richard a. Cherwitz and James W. Hilkins, Communication and Knowledge: an Investigation in Rhetorical Epistemology, 1986

These two books above are studies in modern rhetoric

 

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