Introduction

To build a viable advancement program it’s important that you along with your deans and directors understand the ins and outs of fundraising, as every good development officer will tell you.  Private support offers the greatest opportunity for institutional advancement.  The better you are able to navigate these waters, the more success you can expect from your team.  You can improve your fundraising potential, and that of your staff, by ensuring that you and they are well-versed in fundraising fundamentals.  Whether your institution uses a centralized or decentralized model for fundraising, you still need to understand what makes for good implementation of a fundraising plan.

Fundraising is about building relationships and laying a solid foundation for the “Ask”.  Fundraising is as much of an art as it is a science. However, there are some fundamental rules that will help create realistic expectations in a capital campaign and when negotiating gift agreements with donors.  Chief Academic Officers are often called upon to create campaigns and approve gift proposals for colleges and programs.  This checklist will help demystify fundraising and ensure that you have the right information BEFORE accepting a donor’s gift.  The checklist is prepared in two parts. Part One focuses on the fundamentals of fundraising.  Part Two presents more in-depth information about capital campaign planning and success.

After some time as a Provost, you will get to know the personalities of those who report to you.  Some will be more enthusiastic than their colleagues and some will be more relaxed and laid back.   Some will have lots of questions for you and others will only ask questions when the need additional information.  Some will produce things you ask for quickly and some will take more time even though both meet the deadline you set.  Some of those who report to you will produce outstanding reports and some will produce reports that fill the requirement but are not outstanding. Some of those who report to you will always be present with a positive mood and attitude and others will fluctuate in their mood and attitude.  After many interactions, you will get to know how each of those who report to you do their job and how they generally present themselves to you. 

It is important that you pay attention to any change in the behavior, attitude, or mood on the part of those who report to you.  Noticeable changes in these characteristics could be a sign that something is wrong with them that needs your attention.  I had an administrator who was a very productive person.  He was hard working, enthusiastic, and his reports and other documents were among the best I had ever seen.  He had a good relationship with his peers and some close relationships with a few of his colleagues.  After several years, I noticed that he seemed to be on edge a lot.  His emails were more negative and questioning than they had ever been, and he seemed annoyed when I gave him some tasks to complete.  He seemed to have changed and not for the better.  After some time, I sent him an email asking him how he was doing.  I said that I noticed a change in his behavior and mood, and I was concerned that he may be having problems that were affecting him.  I was careful not to be accusing or punishing in what I wrote.  He responded to my email apologizing for his behavior. When I responded I said he had nothing to apologize for and that I was concerned that he might be going through something with which I could provide some support and help.  In his response, he thanked me for my concern and support and asked if he could speak to me.  He gave me a call and we discussed what I had observed.  It turns out that there were several personal issues that were weighing on him and that it was difficult for him to focus on his work and these problems were affecting his mood and attitude.  I never asked him about personal problems, but simply offered my support and help.  I told him that I didn’t want to intrude into his personal life and told him that  I was available to help in any way I could.  He said he really appreciated my concern and willingness to help but he was handling those personal issues himself and was confident he would be able to work things out.  After that interaction, I would ask him how things were going. He would tell me he was fine and that he had been dealing with his problems well and he again thanked me for my concern.  I noticed that his behavior, mood, and attitude began to return to his normal state.  I mentioned that to him on occasions.  During all of our interactions, I was careful not to get involved in his problems but reminded him that I was available for help and support when he thought he needed it.  I also was careful not to ask him how he was doing every time we interacted so that I would not be putting additional stress on him by continually bringing up the issues. As a Provost, it is important for you to be seen as a person who is supportive and helpful.  Being negative or punishing to a productive person who reports to when they make a mistake or go through a rough time in their lives only makes things worse.  It demoralizes that person and communicates to the rest of those who report to you that you are not willing to understand human fallibility when it comes to dealing with issues and problems. 

The Office of Civil Rights (OCR) of the United States Department of Education, by virtue of its special place within the US Department of Education (ED), is the enforcer ensuring that hate has no place on college and university campuses.  OCR applies a series of laws to protect all students from discrimination on, among other things, the basis of race, ethnicity, religion, color, national origin, ancestry, sex (including pregnancy, childbirth or related medical condition), age, disability, medical condition, marital status, genetic information, sexual orientation, gender, gender identity, and gender expression. When it comes to religion, OCR derives authority from Title VI of the Civil Rights Act of 1964 (Title VI) which protects students of any religion from discrimination, including harassment, based on a student’s actual or perceived, “shared ancestry or ethnic characteristics, or citizenship or residency in a country with a dominant religion or distinct religious identity.”  

The regulation implementing Title VI, at 34 C.F.R. § 100.3, provides that no person shall, on the basis of race, color, or national origin, be excluded from participation in, be denied the benefits of, or otherwise be subjected to discrimination under any program to which Title VI applies.

Chief Academic Officers are used to being tied to their email inbox, and one of the things you likely read on a daily basis are compendia from the higher ed press, much of which is filled with stories related to legal complexities in some form or other on campuses nationwide. Whether it is a new high-profile lawsuit, a debate over free speech, a contract dispute with a president or coach, a governance squabble, a set of new regulations or guidance, or new proposed legislation that would require institutional compliance, the legal environment is now inextricably tied with higher education.

Our recent book, All the Campus Lawyers: Litigation, Regulation, and the New Era of Higher Education [link to https://www.amazon.com/All-Campus-Lawyers-Litigation-Regulation/dp/0674270495/] (Harvard, 2024), tells the story of the current and trending legal controversies embroiling American higher education and their evolution over the last several years. Much of the inspiration for the book came from our own lives. One of us (Jacobsen) was the Provost and Chief Academic Officer at Wesleyan University before coming to Hobart and William Smith Colleges as President. The other of us (Guard) is the General Counsel at Hobart and William Smith Colleges and has spent many an hour in meetings with the CAO. Here are some points for you to consider regarding your relationship with your legal Counsel, whether inside or outside the institution. Of course, we also think you should consult our book for more advice, as well as to consider the wide range of legal and quasi-legal issues that you either already deal with or may deal with in the future!

As a Provost you have a number of people that report to you.  You will most likely have the most contact with Deans and your staff including Assistant and Associate Provosts as well as administrative assistants. You will also have some contact with faculty members who may come to you with a problem with which you can help.   It is important that you find out if the faculty member has discussed the matter with her or his chair before coming to you.  If not, you would be wise to have her or him do that before you speak to them.  

In your dealings with these people, you will often have a small number of those who report to you who continually complain about their situation.  They will often express dissatisfaction with a wide variety of issues, some of which are not in your control.  In many cases you have no basis for dismissing them either because they are good at their job, and they may make important contributions or because they have job security in the form of tenure.  

Shared governance is a concept that is valued by many in higher education. Through it, faculty, administration, and governing boards are oriented toward working together to achieve the university mission. Having been a member of various higher education institutions, I’ve had the opportunity to see all that shared governance can contribute. I’ve also seen the challenges it can present, particularly regarding organizational change.

Several years ago, I had the privilege of working on a leadership team charged with reimagining a regional comprehensive university in a rural New England town. A new president brought a unique vision; as dean, I was on the team to make that vision happen. It was an exciting and heady time during which we reworked gen ed and overhauled the curriculum to embrace an integrated, project-based approach to undergraduate education. We were on a tight timeline (4 years) to update the mission and remake the institution to enhance enrollment and meet board expectations. It was going to require the engagement of the entire community. We knew we needed to build our organizational capacity for change if we were going to succeed. We needed to find a way to be innovative while respecting past practices.

As a Chief Academic Officer, you may have handled numerous non-renewals and terminations throughout your career. However, it is always beneficial to use a checklist to ensure you have addressed all necessary aspects. This checklist highlights key issues that can help you determine whether additional assistance is required, when to consult counsel, or when further action is needed before proceeding with a non-renewal or termination. Taking the time to complete a thorough non-renewal process, supported by proper documentation, can make the process smoother for everyone involved. I hope you find this checklist helpful.

Checklist: For Terminations or Non-Renewals of Faculty or Staff¹

Faculty, staff, and administrators are trying to understand AI's potential benefits and risks to higher education. Colleagues from MIT recently published a handy guide  that provides good advice on topics ranging from “guidelines, guardrails, and governance” to “acceptable AI use.” In recent months, much has been written about the potential for AI to decrease the workload for campus administrators—from admissions to advancement and from counseling services to the registrar’s office. 

Instructors, on the other hand, have had mixed feelings at best with the arrival of ChatGPT and other large language model-based programs. Although a fair share of essays have expressed instructors’ feelings of loss and nostalgia, there is also a sizable number of professors who embrace AI in their classrooms, knowing that students will need to be AI literate for life after college. They realize AI is here for good and will change everything, including classroom instruction. We are, of course, only at the beginning of the AI revolution, and time will tell how drastic changes will be over the next decade.

Introduction

As a past board secretary and frequent speaker for the  Association of Governing Boards, I can tell you that most board members need guidance and support from institutional administrators.  After all, serving as a board member of a college or university is not their permanent job, nor should you assume that they have sufficient expertise in higher education administration.  Most board members are faithful alumni and/or major donors who have a keen interest in the success of the institution.  And although the President is primarily responsible for the care and feeding of the board, the Chief Academic Officer also has a role to play. Many Chief Academic Officers are charged with leading the discussion of the board’s academic affairs committee, and most CAO’s also provide annual reports on the state of the division or reports on accreditation issues and tenure decisions. You can help your board with careful preparation of your board materials and presentations.  The checklist below is designed to prompt your thinking about your role in educating and inspiring your public or private government board.¹

A student cannot be successful in class if they do not have the reading materials that form the basis of assignments.  Yet in more cases than one might imagine, students do not purchase the required reading due to rising costs of text, whether in print or available in electronic format for download.  This is because a growing number of students on tight budgets have housing and food insecurity and they must make survival choices that cannot prioritize expensive books.  Without the learning material, student success suffers as they fall behind, neglect to the do the work, fail to achieve a passing grade or overall required gpa to stay in their course of study, and they become another negative statistic for retention and graduation rates.  

The purchasing of textbooks is just one more “hidden” cost or fee that goes along with rising tuition rates. While students may scour the internet for deals on used books (careful to ensure they are purchasing the correct edition, translation, etc), savvy students may select courses based on the expense of the required reading materials, and they may look to see whether copies of the texts are available in the library and under what conditions they may be borrowed (e.g., a couple of weeks or a couple of hours due to reserve policies to enable maximum sharing).  Some students may also form a “collective” and purchase one set of reading materials to share amongst the group. This too limits the flexibility and sometimes focus of class preparation. 

Taking on the role of a Chief Academic Officer (CAO) is a significant responsibility, one that demands a delicate balance of strategic vision, operational oversight, and empathetic leadership. Having served as the Interim CAO at a university with three distinct colleges for the past year, I've gained invaluable insights into what it takes to succeed in this pivotal position. Here are some pieces of advice for new CAOs embarking on their journey.

When I first stepped into the role, I quickly realized that no amount of preparation can fully equip you for the breadth of responsibilities and challenges you'll face. Be prepared to learn continuously. Seek guidance from your predecessor, if possible, and don't hesitate to reach out to other experienced CAOs for advice and support. Your willingness to learn will set a positive example for your colleagues and help you navigate the complexities of your role.

In today's highly regulated and litigious business environment, which includes colleges and universities, it is crucial for provosts/chief academic officers to stay updated on legal matters relating to the delivery of academic programs. This includes ensuring the legal adequacy of policies, contracts, and compliance practices, as well as being proactive in identifying potential legal issues that could impact the institution. Your institution’s legal counsel is a vital partner in navigating these challenges, especially since most provosts are not lawyers, and even those who are do not function with responsibility of providing legal review/advice.

Sometimes audits are conducted by internal auditors or other offices, and often the provost is involved on the academic side.

According to a July 2023 report by McKinsey & Co, since 2020, the number of mergers and acquisitions in higher education has increased nearly threefold from 11 between 2001-2005 to 31 between 2016-2020. Since 2016 Higher Ed Dive has been tracking college closures and mergers.  Last updated on April 29, 2024, New York has had the most activity with 11 schools closing, merging or planning to do so. Massachusetts follow with 10 schools, 9 in Illinois and 8 in California.

The National Student Clearinghouse Research released in January 2024 reveals that there are still more than one million empty seats on college campuses as compared to five years ago, and there is still no growth among Freshman 20 years old and younger (this number is 5.3% below 2019 levels).  Further, undergraduate enrollment overall is down and remains 3.3% below pre-pandemic levels. 

There is no doubt that serving as the campus Provost is more than a full-time job.  In fact, rarely does a day finish as was initially planned in the morning, and there is an endless “to do” list that is constantly subject to reprioritization based on the continuous need to triage.  As the chief academic officer, most provosts arrive in their positions having been elevated from the ranks of the faculty (often coming from a deanship or chair position subsequent to a faculty position). While it is true that provosts must possess a range of skills including exceptional interpersonal communication and management prowess, provosts must also be creative and innovative, and they should possess entrepreneurial and business savvy.  To excel in the role, provosts must be student-centered and they should appreciate the challenges facing faculty particularly when it comes to policies and procedures, professional development and the balancing of teaching, scholarship and service responsibilities.

Keeping a foot in the classroom during the academic year is a smart way for provosts to stay connected to students.  An immediate reaction for provosts (and their presidents) may be that the provost has no time to spend in course and classroom preparation, providing formative and summative assessments throughout the semester, and being available to students for extra help, academic advising and/or career advising. However, quality academic time with students can be professionally rewarding for provosts and it is worth the extra effort to model the best practices we advocate for the rest of the faculty.  

The evaluation of faculty members is an important process at colleges and universities.  Faculty play the major role in the functioning of colleges and universities and the performance of the faculty is a significant factor in determining the quality of institutions of higher education.  National institutional accrediting organizations (e.g., Middle States, WASC, etc.) require that colleges and universities present evidence on the method that is used to evaluate faculty members and the way that information is used.  Specialized program accreditors (e.g., AMA, ARC-PA, ACOTE, etc.) also require that the programs they accredit have a carefully constructed plan to evaluate faculty and a plan for the use of that information.  

Faculty members have three major responsibilities: teaching, scholarship, and service.  Colleges and universities, and the schools and programs therein, place different weights on each of these factors depending on the goals and objectives of that college, university and program.  Teaching is usually evaluated using student course evaluations and some institutions use peer reviews.  Student course evaluations can be helpful, but they should be considered as just one piece of evidence. It is important to view these course evaluations for purposes of promotion considerations and future employment as longitudinal data points. For example, the faculty member may be a rigorous grader or attendance taker and students may react negatively to this. There may also be occasional conflicts between faculty and student expectations that can lead to harsh evaluations. On the other hand, there may very well be merit to constructive student feedback. Chairs and deans are in the best position to assess these situations.

Inside Higher Ed, together with Hanover Research, recently released its annual Survey of College and University Chief Academic Officers, providing insight into the priorities of and challenges facing higher education institutions. With 331 provosts fully or partially completing surveys (a 13% response rate), the survey covered a wide range of topics including artificial intelligence, diversity, equity, and inclusion, campus speech, the future of academic programs, and more. While the comprehensive key findings and data tables can be found in the report, below is a highlight of several major areas.

Artificial Intelligence: Artificial intelligence continues to be an evolving focus at many institutions. 92% of provosts responded that faculty and staff members asked for additional training related to the developments in generative AI. Seventy-eight percent (78%) have offered training in response to faculty concerns or questions about generative AI within the last 18 months and an additional 20% have planned training. For students, only 14% of provosts said that their institution has reviewed the curriculum to ensure that it will prepare students for AI in the workplace, though 73% plan to do so. The use and future of AI is far from settled. Although 47% of provosts are moderately concerned, 20% very concerned, and 6% extremely concerned about the risk generative AI poses to academic integrity, only 20% of institutions have published a policy or policies governing the use of AI, including in teaching and research. An additional 63% have a policy under development. However, in contrast to those concerns, 40% of provosts are moderately enthusiastic, 32% very enthusiastic, and 11% extremely enthusiastic for AI’s potential to boost their institution’s capabilities. Several institutions are using AI for virtual chat assistants and chatbots, research and data analysis, Learning Management Systems, predictive analytics to predict student performance and trends, and in other capacities. This is an area where we can expect rapid developments in the coming months.

The rapid growth of Artificial Intelligence (AI) is creating both excitement and angst on where and how to begin safe, effective integration. While there are many ways AI can be applied, these suggestions are focused on educational delivery. For those who have begun applying and engaging student-facing AI, the vertical evolution requires structured and continuous development of institutional-level AI governance to maintain safe and ethical use. Governance structures should consider continuous growth of policies, guidelines and directives for use, approval processes, and staged training for faculty, staff, and students based on the speed of changes occurring in the market. 

Lacking or vague policies, structure, or training approaches may leave administrators, faculty, and students without the guidance needed to reap the benefits of AI use. Lacking governance structures or broad policies may unintentionally promote unsafe or unethical use of AI on the part of students, faculty, staff, and instructional designers who may not have the proper guidance to integrate. This can lead to compromised course design and program content, AI hallucinations, misinformation, and privacy breaches to proprietary university content, impacting the university and quality of education.