Journal of Higher Education Policy and Management

Published by Taylor & Francis (Routledge)
Online ISSN: 1469-9508
Publications
Article
This journal was published under the title International Journal of Institutional Management in Higher Education up to Vol. 12, No. 2 when a new series under the title Higher Education Management began with Vol. 1, No 1. Index to volumes 4-8 appeared in issue Vol. 9, No. 1. The following section contains a list of all contributions published in Volumes 9/1997 to 13/2001. They have been listed under broad analytical headings denoting the main areas of interest within which they fall. The analytic headings are as follows:
 
Article
The following section contains a list of contribution published in Volume 13/2001. The list is organised in alphabetical order of authors. The title of articles is listed only once in the case of multiple authors. Appropriate articles are abstracted/indexed in Current Index to Journals in Education (ERIC).
 
Article
The UK 2004 Higher Education Act generated important debates about the relationships between higher education (HE), economic growth and social progress. The range of positions expressed in relation to the increase of annual tuition fees raises crucial questions about the public and private funding of higher education and its individual and social economic benefits. Such controversies have a strong resonance in France where discussion about HE underfunding has already emerged. This article seeks to inform these current debates by combining economic and historical perspectives within a quantitative approach. The analysis of new historical series on funding and development of UK universities since the 1920s and the comparison with similar data for France has put into evidence a long-term link between HE funding and economic fluctuations. In both countries, the expansion in university resources was not linear and may be related to the impact of long economic cycles on public funding. Moreover, in the UK case, private funding periodically increased in order to replace diminishing public funding, rather than taking the form of additional resources. In consequence, private funds did not provide an overall rise in the universities’ income. The considerable fluctuations of funding, combined with a more consistent growth of enrolment, led to a recurrent mismatch between resources for and access to higher education. This can explain the wide fluctuations of resources per student over the period and the current underfunding situation. Such historical trends question whether, in the future, increased fees will be a substitute for public spending. Or will variable fees be combined with even greater increases in public funding as part of a national project to support HE students from all social backgrounds and to boost expenditure per student?
 
Article
This article explores the changing roles and personal characteristics of deans of faculties and heads of academic departments in Australian higher education institutions over a twenty-year period from 1977 to 1997. While deans and heads continued to be academics with superior qualifications and impressive research achievements, the gap between the research records of deans/heads and other academics narrowed between 1977 and 1997 but the gap between deans/heads and professors widened. Deans/heads in 1997 were somewhat less likely than in 1977 to have been professors or associate professors. Work patterns of deans/heads and other academics remained remarkably stable between 1977 and 1997, except that for both works hours per week increased. However, interest by both deans/heads and other academics in administration and committee work declined sharply between 1977 and 1997.
 
Article
This article will look at some of the key objectives of Government policy in the UK over the last 20 years, including increasing efficiency and accountability, expansion of student numbers, selectivity in research funding, regionalisation, widening participation, wealth creation and increasing contributions to the quality of life, and at the various measures used to implement such policy. It will contrast the use of "sticks" (i.e. incentives to deliver desired outcomes), and will consider which have been more successful in achieving the goals of Government policy. The article will also address the implications of such tools of policy on the freedom and autonomy of individual institutions and on diversity within the higher education system. It will consider the role of Government policy in shaping higher education, as compared with other forces for change, including shifting patterns of student demand, rapid developments in technology and methods of learning, new patterns of research and innovation, and the internationalisation of higher education.
 
Article
This article examines trends in Australian university staffing through an analysis of ten years’ staff statistics, 1994-2003. An introduction which considers definitions, methodological issues, and overall changes in patterns of casualisation, sex and the distribution of academic and general (“non-academic”) staff categories is followed by an examination of changes in participation of university staff by sex and by age. Although most of the focus in the discourse about university staffing concerns academic staff, these staff comprise only 42% - 43% of total university staffing in Australia. Therefore it is relevant to investigate changes which have occurred in the majority group of university staff. The characteristics of academic and general staff are quite different, so each category has been considered separately. In particular the progress of women in senior academic posts and in university management is considered, as are patterns of aging, particularly in academic fields of education.
 
Article
The term “university” has a longstanding history, yet its definition remains highly contentious at the turn of the century. According to conventional scholarship, the first university initially appeared as far back as the 12th century with the formation of the University of Paris and the University of Bologna (circa 1150 AD). Other scholars, however, contend that the university may have begun many centuries earlier, depending on the definition employed (Neave, 1999; Welch and Denman, 1997; Patterson, 1997). The intent of this article is to suggest a classification of universities for the 21st Century, with emphasis placed on the university's role in disseminating and advancing knowledge through scholarship and research. Drawing upon major historic events that have shaped universities in their various forms, this article discusses whether universities are designed to cater to market forces or are catalysts for change in an increasingly “knowledge-based” society.
 
Article
This paper explores a range of perceived similarities and differences between male and female academics in the context of contemporary European Union “gender mainstreaming” policy. It concentrates upon the higher education systems of Germany and the United Kingdom, and is based upon questionnaire responses. A large majority of respondents believe that more needs to be done to remedy inequalities arising from maternity leave and child rearing, and that their universities are still gendered organisations with too few women at the top. Many females regard themselves as less strategic than males in managing their careers, and believe that they need to behave the same as men to succeed. They think that men have historically dominated in their subject area and still do so. Relatively small percentages of men endorse these opinions in relation to women, and their responses are often positive in their perception of female academics. It is almost universally agreed that women are doing a good professional job, and very few employees (either male or female) experience gross forms of bullying and harassment at work. A certain convergence between the genders in some respects may indicate the erosion of binary gender hierarchies in the current policy environment.
 
Universities and the number of faculties, by broad field
List of participating faculties 
Article
This paper reports on an empirical study of research planning in Canadian universities. Drawing on data compiled during interviews with senior administrators from 27 academic units in 10 universities, the paper analyses how strategic planning has been applied to the research mission over the past decade. Findings reveal variability in processes and attitudes about planning, while suggesting that the scope of planning activities in most cases has been somewhat narrow and short-term. The implications of these findings for the administration of research are discussed.
 
Article
This paper is based mainly on responses – nearly 300 – to a web-based survey of academic staff in UK higher education. The survey examined their personal and professional values and their views on the values that should underpin higher education. Their perceptions of current reality in terms of national policy and processes and of institutional management expectations, with examples provided of events that disturbed them, raise questions about the longer term health of higher education as it has been understood. The project was seen as a pilot aiming to provoke debate about how well traditional values and standards “fit” with mass levels of higher education provision, and government emphases on the economic role of higher education. The findings are set in a theoretical context drawing on models by Clark (1983), Becher and Kogan (1992) and the author (McNay, 1995, 2005a).
 
Article
Historically, the definition and measurement of academic standards in British higher education have been the exclusive prerogative of the academic community. The calibration of standards across institutions was the responsibility and purpose of the external-examiner system. But the mechanisms in place to achieve these ends have broken down under the weight of the massification of UK higher education, the need to recruit international students to sustain revenue streams, and the league-table or rankings culture that has resulted in academic standards being sacrificed in order to maintain or improve institutional image. In 2008 the House of Commons inaugurated a wide-ranging inquiry into these matters. Its August 2009 report proposes radical solutions, the adoption of which will represent a definitive break with the traditions of the past. Définition des critères de qualité et évaluation des performances universitaires : Une perspective britannique Traditionnellement, la définition des critères de qualité et l’évaluation des performances universitaires dans l’enseignement supérieur britannique étaient la prérogative exclusive de la communauté universitaire. L’étalonnage des critères de qualité dans l’ensemble des établissements relevait de la responsabilité du système d’examinateurs externes dont c’était l’objectif. Cependant, les mécanismes mis en place à cette fin se sont effondrés sous le poids de la massification de l’enseignement supérieur britannique, la nécessité de recruter des étudiants internationaux pour maintenir les flux de revenus, et la culture des classements qui a conduit au sacrifice de la qualité afin de préserver ou d’améliorer une image institutionnelle. En 2008, la Chambre des Communes a inauguré une vaste enquête sur ces questions. Son rapport d’août 2009 propose des solutions radicales, dont l’adoption constituera une rupture définitive avec les traditions du passé.
 
Article
This paper draws on two empirical studies to consider the impacts of policy change on academic identities in the United Kingdom. It thus offers a limited examination of claims that social, political and economic transformations at the end of the 20th century have undermined the structures and relationships, within which academic identities have been sustained, particularly those of the discipline and the higher education institution. Its main conclusions are that academic identities remained surprisingly stable in the period under study, although the longer-term outlook remains uncertain.
 
Article
Academic staff in Ukraine face a convergence of institutional and professional pressures precipitated by a national economic crisis, projected declines in enrolment and dramatic changes to institutional procedures as institutions implement the Bologna Process. This article examines the extent to which these pressures are reshaping the way academic staff engage in their day-to-day work, their careers and their role in their university. Findings indicate that faculty are caught in a confluence of conflicting demands that elicits adaptive coping strategies and threatens to undermine national efforts to modernise Ukraine’s higher education system.
 
Article
Over the last few years, university professors’ careers have undergone a change approaching a true revolution: a major diversification in career models, from fundamental research to professional innovation to knowledge transfer; increased use of computerised tools and the Internet in both teaching and research; the all but mandatory requirement to form research teams and networks, often multidisciplinary in nature; the growth in partnerships with industry for both training and research; and ever more complex and demanding regulations governing intellectual property. We also see more competition, often ferocious, among universities and between academe and private companies to attract the most promising candidates. In this context, it has become more vital than ever before for universities to put in place reinforcement systems that are both fair and capable of motivating excellence and of attracting and retaining the best people. In past decades, the traditional reinforcers were the merit pay system and tenure, not counting other incentives used on a random and situational basis, generally in the absence of well-established rules. The current context demands a richer, more complex, more transparent and more diversified reinforcement system that will integrate a set of incentives that are more closely tied to current academic needs and faculty members’ quality of life. This article, which is based on the experiences and thought process of the Faculty of Arts and Sciences at Université de Montréal and on the orientations of a number of North American universities, illustrates an integrated approach to academic reinforcement systems, from hiring to retirement, and a merit pay model adapted to the university of the 21st century. The need to review promotion criteria and standards is particularly emphasised...
 
Article
Smaller universities may produce research which is on a par with larger, elite establishments. This is confirmed by a recently developed mathematical model, supported by data from British and French higher education research-evaluation exercises. The detailed nature of the UK system, in particular, allows quantification of the notion of critical mass in research. It is shown that research quality increases with group quantity, but only up to a limiting size referred to as the upper critical mass. The condition for smaller universities to produce top-quality research is that they contain research groups of sizes above the upper critical masses appropriate to their respective disciplines. Policies which concentrate support into progressively fewer, larger institutions are therefore unjustified for high-quality academic research. Instead, to amplify overall research strength, support for medium-sized groups should be prioritised to help them attain upper critical mass.
 
Sources of university revenue 1991 to 2000 
Support and recognition strategies 
The paradox of the innovative university 
Article
Academic staff and the academic research, teaching and scholarship they undertake are quite properly the prime focus in universities. However, in the modern university, these functions could not be carried out without the input of general (AKA “nonacademic”) staff. Staff who are not members of academe represent about 50% of all staff, and as a group are treated with antipathy by many academics. The terms “governance” and “administration” are misunderstood by many academics and used interchangeably when it suits them. This paper considers the binary divide between “academic” and “non-academic” staff, and considers the importance of terminology in ensuring that the total university can operate as efficiently as possible...
 
Article
This paper outlines the need for adopting a more scientific approach to specifying and assessing academic standards in higher education. Drawing together insights from large-scale studies in Australia, it advances a definition of academic standards, explores potential indicators of academic quality and looks at approaches for setting standards. As learner outcomes need to be placed at the forefront of work on academic standards, this paper concludes by exploring the implications of this position for student assessment and institutional change.
 
Article
The impacts of market-related policies and revenues on higher education are not uniform but globalisation has opened most institutions to new pressures. The public funding models developed 50 years ago underestimated the full cost of mass higher education as an entitlement while the sheer scale of resources needed to sustain a comprehensive research university demand a more nuanced balance of research and teaching for most institutions. These same pressures threaten equitable access if rising tuition fees are not fully matched by adequate need-based financial aid while in the absence of tuition pressures, unfunded increases in student participation undermines the quality of higher education. In this environment, justifications of increased funding are often based on utilitarian goals affecting the motives of research and scholarship and distorting the balance of curricular developments. In contrast, the increased range of revenue streams has created opportunities for more creative and less regulated institutional priorities. The potential impacts of private interests on higher education are well recognised but a politically vulnerable and often singular dependency on state funding is also capable of deflecting academic values. As institutions of higher education clarify their values to cope with global pressures to provide mass higher education and to meet the needs of the knowledge economy, they must also serve as places of imagination, innovation, disputation, scepticism and questioning. Those values are also critical as leaders in higher education attempt to confront themselves with the changes that they themselves need to make to their institutions.
 
Article
Proliferating excellence gold standards in the global academic system tend to obscure the far-reaching diversification of academic missions, practices, ambitions and identities brought by massification. This article approaches this topic by a review of theory on academic scholarship and how it has changed in the wake of academic massification and the development of binary higher education systems. In addition, the article reports on the first results of a study on research groups in “newcomer” higher education institutions in Sweden. By synthesising findings and arguments about institutional constraints and the individual ambitions of researchers, the article offers a few preliminary conclusions. It also calls for more scholarly attention to the existence of an academic labour force that corresponds to a widened or altered definition of academic scholarship and that seems to be predominantly found in newcomer academic institutions.
 
Article
The purpose of this article is to explore how time resources for research are allocated among academic staff members in institutions where research qualifications differ much between individuals. Norwegian university colleges are used as a case. These resources, which can be regarded as scarce goods, are of two kinds: the share of working hours that can be used for research, and definitive periods during which one is free to dedicate work hours to research. Of the many factors to consider when allocating scarce resources between individuals, the article distinguishes between the following: a) type of good; b) decision-making levels; c) size of the good; d) circle of recipients; e) allocation principles; f) allocation criteria; and g) allocation procedures. The article concludes that the allocation of time resources for research among individual staff members is to a large extent made up of compromises between different allocation principles, allocation criteria and allocation procedures, and can be understood only in reference to the historical and social context of each institution and its various departments. L’affectation des ressources temporelles pour la recherche entre membres du personnel enseignant : le cas des instituts universitaires norvégiens Cet article analyse la méthode d’affectation des ressources temporelles entre les différents chercheurs dans les établissements où ceux-ci ont des degrés de qualification différents. Ce rapport est illustré par l’étude de cas des instituts universitaires norvégiens. Ces ressources temporelles, que l’on peut considérer comme des ressources rares, sont de deux types : elles peuvent tout aussi bien désigner la répartition des heures de travail utilisables pour la recherche que des périodes déterminées durant lesquelles l’individu est libre de consacrer son temps à la recherche. De tous les facteurs dont il faut tenir compte, lorsqu’il s’agit de répartir des ressources rares entre plusieurs individus, l’article distingue les différents aspects du processus de décision : a) le type de bien ; b) les niveaux de prise de décision ; c) la taille du bien ; d) le groupe de destinataires ; e) les principes d’affectation ; f) les critères d’affectation ; et g) les procédures d’affectation. L’article parvient à la conclusion que l’affectation des ressources temporelles pour la recherche au sein d’une équipe est, dans une large mesure, faite de compromis entre différents principes, critères et procédures, et ne peut être comprise qu’à la lumière du contexte historique et social d’un établissement et des départements qui le composent.
 
Article
The world financial meltdown is causing a reassessment of the strong market ideology that dominated policy making since the days of Reagan and Thatcher. For universities, the issue is not whether to pay attention to market forces – most schools have no choice given that their economic viability depends on some combination of enrollments, sponsored research and the sale of other services. The question is how to give the market its due while remaining true to our academic values. Balancing academic values and market forces is not easy, as we shall see. My purpose in this essay is to provide a conceptual overview that can explain the issues and point the way toward their resolution in today’s financially challenging environment. Les valeurs académiques sur le marché La fusion financière internationale provoque une réévaluation de la puissante idéologie de marché qui a dominé la politique depuis les époques Reagan et Thatcher. Pour les universités, la question n’est pas de savoir s’il faut prêter attention ou non aux forces du marché : la plupart des écoles n’ont pas ce choix puisque leur viabilité économique dépend à la fois des inscriptions, de la recherche subventionnée et de la vente d’autres types de services. La question est de savoir comment donner son dû au marché tout en restant fidèles à nos valeurs académiques. Comme nous le verrons, trouver un équilibre entre les valeurs académiques et les forces du marché n’est pas chose facile. L’auteur de ce rapport cherche ici à fournir une vue d’ensemble conceptuelle permettant d’expliquer les problèmes et de suggérer des pistes de solutions dans l’environnement de défis financiers qui est aujourd’hui le nôtre.
 
Article
The greatest challenge for institutions of higher education in most OECD countries since the 1970s has arguably been to cope with reduced public support. Many institutions responded to reductions in funding, first, by cutting costs and lobbying governments to reverse cutbacks, and then – when it became clear that funding levels would not be restored – by seeking out new sources of revenue. Some institutions decentralised resource allocation in order to encourage units to generate non-government revenue. Recent research into the revenue generation strategies of Canadian universities suggests, drawing upon the work of Pierre Bourdieu, that such measures, while potentially effective in stimulating resource acquisition – and beneficial in other important respects – change internal values and conditions in ways that may ultimately undermine universities’ autonomy, public credibility and capacity to create knowledge. Can leaders and managers enable their institutions to secure vital revenue, without diluting the values and conditions that have made universities unique and valuable to society? Can decision makers in government foster entrepreneurialism and responsiveness on the part of higher education institutions without compromising their raison d’être? This paper sheds light upon these questions.
 
Article
In many respects, adjustment to the new commercial environment has been painful and damaging to the academic profession in Australia. The profession is now more fragmented and has lost political influence and standing. Academic salaries have failed to keep pace with professional salaries and many academics are highly critical of changes in government higher education policy, reduced government financial support for universities and structural and management changes within their institutions. Many feel a strong sense of frustration, disillusionment and anger. However, not all adjustments have been negative. Australian academics today are better-qualified, work harder and are more productive in research than they were in the 1970s. They continue to be deeply interested in key academic roles and many still find their jobs satisfying. Many have made successful transitions to involvement in research links with industry and other entrepreneurial activities, without jeopardising their academic integrity. But the views of PhD students give cause for concern, especially dissatisfaction about course experience, uncertainty about future careers and highly negative views of both universities and academic employment...
 
Article
The policy debate on accountability in higher education has been vigorous in many countries, but it has focused primarily on broad objectives or approaches. Limited attention has been paid to the mechanisms by which universities would implement accountability objectives and to the critical role of academics in developing ways to assess learning outcomes. Yet, giving members of the professoriate a central role in accountability is vital: implementing accountability requires decentralised implementation linked to the differing circumstances of study fields and levels. Academics must be involved in a sequence of tasks – developing assessments, testing and refining them against new evidence, making sense of accountability results, and responding with changes in programmes or delivery. This paper outlines a process showing how universities and other tertiary institutions could develop and use outcome measures for student learning. It also recognises that professional and disciplinary associations (e.g. business, education, chemistry, literature and social welfare), nationally and internationally, could contribute to these developments in their specialty fields. En quoi les professeurs de l’enseignement supérieur peuvent-ils contribuer à « responsabiliser » leurs établissements ? L’idée d’une responsabilisation de l’enseignement supérieur a donné naissance, dans de nombreux pays, à un débat politique houleux. Toutefois, ce débat vise essentiellement à définir des objectifs ou des approches génériques, et s’intéresse relativement peu aux mécanismes grâce auxquels les universités pourraient avancer sur la voie des objectifs de transparence. De même, il faudrait s’interroger davantage sur le rôle clé que pourraient jouer les universitaires pour concevoir de nouvelles méthodes d’évaluation des retombées de l’apprentissage. Il est en effet essentiel que les membres du corps enseignant jouent un rôle central dans les initiatives visant à accroître la responsabilité et la transparence des systèmes d’enseignement supérieur : pour fonctionner durablement, ces initiatives doivent être menées de façon décentralisée, au vu des spécificités propres à chaque discipline et à chaque niveau d’études. Dans cette optique, les universitaires ont bel et bien un rôle à jouer à différents stades : il leur faut élaborer des outils d’évaluation, mais aussi tester et adapter ces outils au vu des résultats de recherche les plus récents, interpréter les résultats obtenus en termes de responsabilité et modifier si nécessaire les programmes ou les méthodes pédagogiques. Ce rapport propose un cadre théorique utilisable par les universités et les autres établissements d’enseignement supérieur pour concevoir puis utiliser des outils permettant d’évaluer les retombées de l’apprentissage. L’auteur suggère par ailleurs que certaines professions et disciplines (telles que les entreprises commerciales, le secteur éducatif, l’industrie chimique, le monde littéraire ou encore les organismes de protection sociale) pourraient contribuer, à l’échelon national et international, à promouvoir cette évolution dans leurs domaines respectifs.
 
Article
Framed in terms of the Third Mission, the “enterprise” or “entrepreneurial” university has increasingly become normalised in public policy; however there remains much contention about the implication of third stream activities. There is little rigorous evidence as to whether the Third Mission adversely affects teaching and/or (basic) research. Martin and Etzkowitz (2000) note there is some anecdotal evidence that the Third Mission has had a positive impact. Indeed, it is to this debate that this paper seeks to contribute. It considers how the Third Mission can positively reinforce teaching and research activities and how this is arguably more significant than the Third Mission itself. Indeed, it proposes that triangulating teaching, research and third stream activities should reinforce the respective dynamics of each through their recursive and reciprocal development. Conceptualising institutional engagement with the third stream holistically in terms of entrepreneurial architectures may enable universities to stimulate institutional development beyond the Third Mission. The paper concludes by reflecting upon and looking towards the future of higher education policy and the management of higher education institutions.
 
Article
This paper examines the development of policies designed to widen access to higher education policy in the United Kingdom. These policies have evolved in the context of the devolution of political authority to the Scottish Parliament and Assemblies in Wales and Northern Ireland, which has resulted in some policy variation. The paper examines the “post-code premium” paid by the funding authorities to universities based on the students from poorer areas. By using Northern Ireland data the paper demonstrates the major problems to this approach arising from the “ecological fallacy”. The paper concludes by expressing surprise that policy developed with little apparent awareness of these problems....
 
Article
Dalarna University has doubled its student numbers during the past five years, and now has the highest proportion of students from non-academic backgrounds of Swedish universities (37%). The province of Dalarna combines steel and paper industry in a number of relatively small towns with large areas of sparsely populated countryside. By tradition, people in Darlarna have one of the country’s lowest rates of university-level education and the establishment of the university in 1977 did little to change this situation. This was true up until the late 1990s, when the University began to set up a number of steering councils together with representatives of different areas of working life. The external representatives chair the councils and have in practice a considerable amount of influence on two undergraduate programmes. The first of these, which was established together with the education authorities in the region, has for example had a major impact on the structure of teacher education, on the types and rates of in-service learning and on the development of the schools themselves, combining research and practice. The Council for Educational Development was followed by similar bodies for the social services, for healthcare and for industry. The article discusses the opportunities and hazards involved in a university establishing this type of body. The article also discusses the collaborative establishment of Learning Centres in the fifteen municipalities of the province and how these have contributed to major increases in tertiary participation, particularly in rural areas. Both these types of development make new demands of staff and university administration.
 
Article
Given that higher education systems everywhere have opened to the masses, this paper analyses to what extent this phenomenon has really been accompanied by an effective democratisation of access and success in Portugal and Brazil. It looks at the expansion of higher education and discusses how the political system and higher education institutions have responded to the need for better educated populations and increased demand for tertiary education. Equity of access is analysed by comparing the ratio of candidates from different socio-economic backgrounds to overall capacity. This indicates that the apparent democratisation of academic access is in fact only relative; on this basis, there are grounds for concern as disadvantaged social backgrounds seem to generate high rates of academic failure and dropout.
 
Article
This article examines the most recent data on the cost and financing of a post-secondary education. It also examines the burgeoning debate in Canada about the relationship between tuition fees and access to post-secondary education. In recent years longitudinal data collection has improved and there is now a relatively wide body of research tracking the effect of higher tuition fees and student debt in Canada. After outlining this data landscape, the author interrogates the question of equity and access in light of what we now know. Recent discussions about access have focused on the constrained finances of national governments and the funding shortages experienced by universities. The outcome of these discussions has, more often than not, been the downloading of costs to students and their families. That shift in the financing of an education from the state to the individual begs a series of questions about equity and access. Questions such as: Is the shift to individualized financing inevitable? If not, what are the politics of this shift? What is an acceptable level of student debt? At what point does debt become a prohibitive factor for low income families? Do “innovative” policy ideas like a graduate tax or savings schemes really cushion the blow of fee hikes? Is increased financial assistance (i.e. loans) an equitable answer? To what degree do other intersecting social and economic factors affect access? How does the prospect of increased debt and fees depress the participation rate of those already lacking social and financial capital? Though it offers few definitive answers to these questions, hopefully the article will contribute to highlight some new dilemmas that are decidedly missing from the largely econometric analysis of fiscal reforms in higher education. Although the data are primarily Canadian, the article also makes the case that many of these dilemmas are at forefront of recent developments in European higher education policy. In particular, the recent and heated debate about “top up” fees in Britain closely mirrors the ongoing national debate in Canada about equity, access and the cost of post-secondary education.
 
Article
Social inequality with regard to education seems to be mainly the result of two factors: the reduced success of certain socio-economical categories within the education system and distinct educational requirements once the compulsory education period is over. In this article, we shall focus on the inequality stemming from the choices and personal decisions of individuals by highlighting the influence of social origins as a factor capable of inducing an under-investment in education. Thus, we shall examine how an auto-selection process contributes to the iniquity of the education system. This analysis is based on the theoretical framework of human capital investment developed by Gary Becker (1964) and principally underlines the effects of expectations, uncertainty and cost perception in the differences in evaluations of the profitability of education according to social background. It brings to light reflections on the educational policy.
 
Article
From the start of the 2001-2002 academic year, people who had not completed secondary school were able to enter higher education based on documented non-formal learning, realkompetanse. Based on interviews with key personnel at selected universities and university colleges, and on quantitative data from the applicant register, this article presents results from an evaluation of this reform in Norwegian higher education. The evaluation indicates that the reform, by and large, works according to the lawmakers’ intentions in providing a second chance for learners not usually linked with higher education. Still, findings suggest considerable variations in how the universities and university colleges have adjusted to the reform. Geographical location and supply of students are factors contributing to the institutions attitude to the reform. University colleges in rural areas with a low number of applicants, in general, react more positively to the reform and it seems to be easier for applicants to be assessed as qualified for studies, in such institutions.
 
Sources of research income, 1996-97 Total £ 2 456 m
Instruments of quality assessment
Exchange relations in Dutch higher professional education
RAE 1996 and 2001, outcomes by units of assessment
RAE 1996 and 2001, outcomes by staff numbers
Article
This article aims to examine the new mechanisms of accountability and incentives for higher education institutions (HEIs) that are emerging at regional level in relation to the development of knowledge-based economies and new structures of governance. A new landscape of higher education emerging in a particular region in the United Kingdom will be analysed, and the influence of multiple levels of public policy instruments will be considered, including national and European policy initiatives as well as the influence of the globalisation of the economy. The seeks a new conceptualisation of “accountability” in a decentralised national framework in light of the formation of “localised learning systems” in the global learning society. The different roles and functions ascribed to universities at various geographical levels, namely, local, regional, national and international, are becoming highly complex, and universities will need to share more effectively some of their key functions with other institutions in society. Incentive mechanisms are needed to create links between “entrepreneurial universities” and other stakeholders in society within a strategic framework.
 
Article
Since 1997, the Canadian federal government has introduced a variety of new incentives to enhance significantly the funding of university research in this country. While these funding initiatives have been welcomed by Canadian universities, they are accompanied by a heightened emphasis on accountability which dictates new eligibility conditions for universities’ access to these funds. Given that research and innovation have become more central and significant spending categories for the federal public purse, universities in Canada are increasingly subject to public scrutiny, due to concerns for public accountability and safety. The new programs often involve more strategic central co-ordination and consequently require that the university administration, and not just faculty, justify funding requests. Universities are also expected to demonstrate compliance with a growing array of federally codified guidelines and regulations. These federal expectations of accountability are multiplying as both the investment in research and the different types of funding ...
 
Article
In the past decade, accountability has become a major concern in most parts of the world. Governments, parliaments and the public are increasingly asking universities to justify the use of public resources and account more thoroughly for their teaching and research results. Is this a favourable development for tertiary education? Or is there too much accountability, at the risk of stifling initiative among university leaders? This article analyses the main dimensions of the growing accountability agenda, examines some of the negative and positive consequences of this evolution, and proposes a few guiding principles for achieving a balanced approach to accountability in tertiary education. It observes that the universal push for increased accountability has made the role of university leaders much more demanding, transforming the competencies expected of them and the ensuing capacity building needs of university management teams. It concludes by observing that accountability is meaningful only to the extent that tertiary education institutions are actually empowered to operate in an autonomous and responsible way. By Jamil Salmi, Tertiary Education Coordinator, The World Bank The findings, interpretations, and conclusions expressed in this paper are entirely those of the author and should not be attributed in any manner to the World Bank, the members of its Board of Executive Directors or the countries they represent. This paper is derived from a short think piece published in October 2007 in International Higher Education. The author wishes to thank all the colleagues who kindly reviewed earlier drafts and generously offered invaluable suggestions, in particular Michael Adams, Svava Bjarnason, Marguerite Clarke, Graeme Davies, Elaine El-Khawas, Ariel Fiszbein, Richard Hopper, Geri Malandra, Sam Mikhail, Benoît Millot and Alenoush Saroyan. Full responsibility for errors and misinterpretations remains, however, with the author. Les universités face aux exigences accrues de transparence et de responsabilité : Une évolution bénéfique ou dangereuse ? Ces dix dernières années, les notions couplées de transparence et de responsabilité sont devenues incontournables dans la plupart des régions du monde. Les gouvernements, les parlements et le public attendent désormais des universités qu’elles justifient leur utilisation des ressources publiques et rendent davantage de comptes au sujet de leurs activités d’enseignement et de recherche. S’agit-il d’une évolution bénéfique pour l’enseignement supérieur ? Ou cette exigence accrue de transparence et de responsabilité risque-t-elle au contraire de tuer dans l’œuf les initiatives des dirigeants d’universités ? Cet article analyse les grandes problématiques qui sous-tendent cette évolution, étudie certaines des conséquences négatives et positives et propose un certain nombre de principes directeurs permettant aux établissements d’enseignement supérieur de répondre de façon réfléchie et mesurée à cette exigence nouvelle. L’auteur constate que la demande universelle de responsabilité et de transparence dans l’enseignement supérieur s’accompagne de contraintes nouvelles pour les dirigeants d’universités, en modifiant les compétences que l’on attendait d’eux jusqu’à présent et en obligeant, par voie de conséquence, les équipes de direction des établissements à renforcer leurs capacités. L’auteur termine en faisant remarquer que cette obligation redditionnelle ne fait sens que si les établissements d’enseignement supérieur ont effectivement la possibilité de mener leurs activités de façon autonome et responsable. Par Jamil Salmi, Coordinateur des programmes d’enseignement supérieur, La Banque mondiale. Les observations, interprétations et conclusions exprimées dans ce rapport sont exclusivement celles de l’auteur et ne sauraient en aucune manière être attribuées à la Banque mondiale, aux membres de son Conseil des Administrateurs ni aux pays qu’ils représentent. Le présent rapport est extrait d’un bref article de fond publié en octobre 2007 dans la revue International Higher Education. L’auteur tient à remercier l’ensemble des collègues qui ont eu la gentillesse de réviser les versions précédentes de ce rapport et de l’enrichir de leurs précieuses remarques et suggestions. Il tient à remercier particulièrement Michael Adams, Svava Bjarnason, Marguerite Clarke, Graeme Davies, Elaine El-Khawas, Ariel Fiszbein, Richard Hopper, Geri Malandra, Sam Mikhail, Benoît Millot et Alenoush Saroyan. L’auteur est toutefois seul responsable des erreurs et interprétations erronées que pourrait contenir ce rapport.
 
Article
Thank you for inviting me to make some concluding remarks at this important conference. My brief is to reflect on the themes of the conference and to bring forth insights of how these ideas play out in different settings. In his instructions to me Richard Yelland, Head of Programme, added that after two days of concentrated discussions on the challenges facing the managers and leaders of higher education institutions, participants would be looking forward to a provocative address on incentives and accountability in higher education...
 
Article
The allocation of funds to public colleges based on performance criteria rather than activity or enrolment criteria is often described as performance funding. In the United States, performance funding policies have become a frequently used instrument of higher education accountability. The history of such policies, however, is a complex one, with some states implementing such policies while others discontinue them. This paper describes and evaluates the first and the longest-standing performance funding policy in the United States, one designed and implemented in 1980 and remaining in effect for over 25 years.
 
Article
Observers have frequently pointed to a lack of openness in French universities and university institutions, but I may say that for several years now French universities, and more generally the entire higher education system in France, have been engaged in efforts to make the process more open in all respects. The institutions of French higher education are moving towards increasing autonomy. I shall seek, in this article, to show that the French system is equipped with a number of incentive mechanisms. These are both collective, institutions having the opportunity to generate their own resources, and also individual, taking the form of personal bonuses. In the same way, universities are subject to much more frequent monitoring than is thought, which could lead to elements of a system of evaluation. But the oversight that the French Government has over public higher education and research institutions is both excessive and inadequate: it is finicky and poorly targeted and therefore badly organised and ineffective from the point of view of meeting society’s legitimate expectations. The idea I should like to promote is in fact quite simple: it is by making institutions more accountable by actually increasing their autonomy that we shall promote incentive systems both for individuals and for institutions and that we shall impose an effective method of evaluation – the only ways of ensuring real change at the heart of our system of higher education and research. Incentive systems are needed to motivate people, institutions need increased autonomy if their action is to be more effective and a real system of evaluation is needed to ensure management and decision-making accountability for partners and to assess the ability of institutions to achieve the strategic objectives they have set themselves
 
Article
There have been calls to increase the autonomy of higher education institutions in Europe for a number of years. They have been counterbalanced by demands for increasing accountability and a European quality assurance system. In London in 2007, the European ministers of education decided to implement a European register of accredited quality agencies, and defined standards for registration. Being part of the register requires “substantial compliance with all standards” instead of “full-compliance”. This might take into consideration the context of the national higher education system, the role of the agency in the quality assurance system, and even the national culture and traditions, allowing for different interpretations, some imprecision, and diverse degrees of flexibility and compliance. Indications from the United States suggest an emerging desire at the federal level to play a more visible role in regulating higher education through intervention in the accreditation system to ensure increased institutional accountability. This may have a parallel in the European situation. While in the United States the attempts at increased federal control have so far apparently failed, in Europe quality systems linked to higher education institutions were replaced with “independent” accrediting agencies. We analyse these changes and offer a possible interpretation for the differences on the two sides of the Atlantic. Accréditation supranationale, confiance et autonomie des établissements : Contrastes du développement de l’accréditation entre l’Europe et les États-Unis À l’échelon européen, certains soulignent depuis plusieurs années la nécessité de conférer une autonomie accrue aux établissements d’enseignement supérieur, alors même que d’autres exigent que ces derniers rendent davantage de comptes concernant leurs activités et leurs performances. À Londres en 2007, les ministres européens de l’éducation ont décidé la mise en place d’un registre européen où figureront les agences accréditées et où seront définies les normes auxquelles ces agences devront se plier pour être autorisées à y figurer. Les conditions à respecter pour pouvoir être inscrit au registre européen sont ainsi passées d’une « conformité totale à l’ensemble des normes » à une « large conformité ». L’interprétation de ces normes pourrait s’effectuer en tenant compte des spécificités propres à chaque système d’enseignement supérieur national, au rôle de chaque agence au sein du système d’assurance qualité, voire de la culture et des traditions nationales, laissant la voie ouverte à des divergences d’interprétation, à une certaine marge d’imprécision et à divers degrés de flexibilité et de conformité. Des indications provenant des États-Unis suggèrent l’émergence d’un souhait, au niveau fédéral, de jouer un rôle plus visible dans la régulation de l’enseignement supérieur, via l’intervention du système d’accréditation pour assurer un développement de la responsabilité institutionnelle. Cette tendance incite naturellement à établir un parallèle avec la situation observée en Europe. Tandis qu’aux États-Unis, les tentatives visant à renforcer le contrôle par les autorités fédérales semblent avoir échoué, en Europe, les systèmes de qualité liés aux établissements d’enseignement supérieur ont été remplacés par des agences d’accréditation « indépendantes ». Dans ce rapport, les auteurs proposent une analyse de ces changements et suggèrent une interprétation possible des différences existant des deux côtés de l’Atlantique.
 
Article
“System accreditation” is a new approach developed for German universities to conduct the mandatory accreditation of all their study programmes. A pilot project at Johannes Gutenberg University in Mainz is playing an important role in paving the way for this alternative to prevailing programme accreditation. This article describes how system accreditation, an innovative approach towards organisational adaption to national regulations, was conceived and how it functions. Based on the experience of Johannes Gutenberg University, the article explores the potential of system accreditation to improve quality assurance and the development of study programmes. System accreditation faces three global challenges: that of creating an integrated approach, establishing a solid evidence base and fostering the effectiveness of evaluation efforts.
 
Article
Accreditation and quality assurance at universities have gained new meaning in Switzerland - as in other European nations - through the concurrent increase in autonomy, new educational institutions offering international courses and the implementation of the Bologna Declaration. With respect to these developments the Swiss government together with the university cantons agreed to jointly establish an Accreditation and Quality Assurance Board which would be responsible not only for accreditation questions, but also for quality assurance and quality promotion at the universities. The discussions surrounding the creation of an institution, which critically examines quality in the area of higher education, provoked a controversial debate in Switzerland. However, after several months of intensive discussions between universities and political bodies (government and administration) the different points of view eventually led to a model that today enjoys the broad support of all of the parties involved. This model has the following advantages: It focuses not only on accreditation i.e. fulfilling of minimum standards, but also on implementation of quality assurance mechanisms to guarantee sustainable quality development at universities and it provides accreditation for institutions as well as programs.
 
Article
Following prolonged discussion, the Austrian government has passed a new University Act which will provide universities with a semiautonomous status. The reform is the most incisive change of the university system for the past 150 years and has been preceded by an equally momentous change in the status of the teaching faculty and staff, all future appointments no longer providing civil servant status any more. Major points in discussions between the Rectors Conference, the organizations representing the professoriate and staff, and the Ministry have been the balance of power between the institutions, representatives from outside, and the Ministry, as well as the amount of control to be exercised by the Ministry. In the view of the institutions, the legislation is heavily weighted towards the latter leaving too little room for initiatives from the faculties and participation in the central steering groups....
 
Article
Since 1990, research and teaching activities of academic staff in Spanish universities have been periodically assessed. There are national, regional and institutional assessments. Each evaluation is organized in a different way and the organisation itself reflects the importance given to each activity. In most cases, positive assessment are linked to a salary increase and other perk benefits. In this article, we analyse the evaluation system of teaching and research activities and how they could be, in fact, orienting to promote research activities and, as a consequence, to devaluate teaching activities.
 
Article
In times when excellence is at the top of the research agenda of all research and innovation policies, especially in Europe, research universities are the implicit reference model of most policy makers and most public debates. However, the implications, that is a major geographical concentration of public means and the existence of a dual system of training, are rarely highlighted; it is on the contrary, often when there are references to "cohesion". This paper suggests that, although this trend is clearly visible, the situation is more complex. In particular, the analysis overlooks another central role of universities: they have also become the main proximity knowledge provider. Both trends combine and result in radical transformation of university organisation – the separation of teaching departments from research structures, may these be called groups, units, centres, institutes or laboratories. This leads to question whether their present organisation is relevant to the socio-economic environment: I argue that the very fast increase of not-for-profit associations/foundations closely linked to universities are a lasting and promising feature of the university-society connection. These changes call for more study of university governance, certainly a pressing issue in countries like France.
 
Article
Measures of student learning are playing an increasingly significant role in determining the quality and productivity of higher education. This paper evaluates approaches for estimating the value added by university education, and proposes a methodology for use by institutions and systems. The paper argues that value-added measures of learning are important for quality assurance in contemporary higher education. It reviews recent large-scale developments in Australia, methodological considerations pertaining to the measurement and evaluation of student learning, and instruments validated to measure students’ capability, generic skills, specific competencies, work readiness and student engagement. Four approaches to calculating value-added measures are reviewed. The first approach computes value-added estimates by comparing predicted against actual performance using data from entrance tests and routine course assessments. In the second approach, comparisons are made between outcomes from objective assessments administered to cohorts in the first and later years of study. Comparisons of first-year and later-year students’ engagement in key learning activities offer a third and complementary means of assessing the value added by university study. Feedback on graduate skills provided by employers is a fourth approach which gives an independent perspective on the quality of education. Reviewing these four approaches provides a basis for their synthesis into a robust and potentially scalable methodology for measuring the value added by higher education. This methodology is advanced, along with its implications for instrumentation, sampling, analysis and reporting. Case studies are presented to illustrate the methodology’s potential for informing comparative analyses of the performance of higher education systems. Quelle différence ? Un modèle pour mesurer la valeur ajoutée de l’enseignement supérieur en Australie L’évaluation des connaissances acquises par les étudiants est désormais un outil indispensable pour déterminer la qualité et la productivité de l’enseignement supérieur. Ce rapport examine les différentes approches permettant d’évaluer la valeur ajoutée de l’enseignement supérieur et propose une méthode utilisable à la fois au sein des établissements et à l’échelle des systèmes d’enseignement supérieur. L’idée centrale qui sous-tend ce rapport est la suivante : la mesure des acquis des étudiants est l’un des piliers de l’assurance qualité au sein des systèmes d’enseignement supérieur modernes. L’auteur passe ainsi en revue les tendances majeures observées récemment en la matière en Australie, analyse les problèmes méthodologiques inhérents à la mesure et à l’évaluation des acquis des étudiants, et enfin étudie les instruments couramment employés pour mesurer les capacités, les compétences génériques et spécifiques, l’aptitude au travail et l’implication des étudiants. Quatre méthodes de calcul de la valeur ajoutée sont ainsi passées en revue. La première consiste à estimer cette valeur ajoutée en comparant les performances escomptées et les performances réelles des élèves, à l’aide des résultats des tests d’admission et de ceux des évaluations réalisées en cours de cycle. La deuxième approche compare les résultats d’évaluations objectives d’étudiants pour chaque année d’étude (première année et suivantes). La troisième méthode utilisée pour évaluer la valeur ajoutée de l’enseignement secondaire, de nature complémentaire, consiste à comparer l’implication des étudiants dans certains modules d’apprentissage clés durant la première année et au cours des années suivantes. Enfin, la quatrième méthode étudiée envisage la qualité de l’enseignement supérieur selon une perspective différente, puisqu’elle tient compte des retours d’expérience de certains employeurs sur les compétences des jeunes diplômés. L’examen de ces quatre approches permet ensuite de les synthétiser et d’obtenir une méthode fiable pour évaluer la valeur ajoutée de l’enseignement supérieur, ladite méthode consolidée offrant en outre le potentiel de s’adapter à différentes échelles. Il s’agit d’une approche sophistiquée, aux implications complexes en termes d’instrumentation, d’échantillonnage, d’analyse et de présentation des résultats. Une série d’études de cas permet à l’auteur de démontrer le potentiel offert par cette méthode pour étayer l’analyse comparative des performances de différents systèmes d’enseignement supérieur.
 
Article
The purpose of this article is to assess the interaction between higher education and societal development. The question addressed is whether higher education engineers societal change or adjusts to global requirements. The answer is both. However, the impact of higher education is not easy to measure. It depends on the interventions undertaken by the stakeholders: the university, government, private sector, and civil society. These interventions may have contradictory effects. Education based on students’ desires can create highly skilled people who may not be required by society. The societal requirements of government, the private sector, or civil society may conflict. These conflicting requirements particularly can become conspicuous when higher education institutions perform in a global network.
 
Article
Based on an analysis of policy contexts in several OECD countries, this article examines the rapidly changing policy environment in Japan exemplified by the 2004 transformation of national universities into “incorporated” entities. The role of universities in the knowledge society is examined in light of the emergence of new research and learning systems, conditioned by forces of both globalisation and regionalisation. This historic legal change affects state-university relations in a number of distinctive ways. It is generally assumed that universities will find themselves in a more competitive environment accompanied by cuts in public funding and that there will, therefore, be a growing need to find external sources of funding as well as more efficient and responsive management approaches. The Japanese Government is further opening the higher education system to society and industry, which has resulted in new forms of competition and collaboration among local and global strategic partnerships. The impact of these new relationships can be perceived in four principal dimensions: economy, human resource, governance and community. Based on the conceptual notion of “constructed advantage”, this paper highlights spatial knowledge networking capabilities between institutions/agents at local, national and global levels. Universities are formulating new strategies in networking knowledge, whilst future state policy and evaluation mechanisms warrant close investigation.
 
Article
The South African Higher Education Funding Framework uses funding as a lever to achieve equitable student access, quality teaching and research, and improved student retention and success. Maximising a university subsidy from the national Department of Education necessitates innovative strategies at the pre- and post-student admission stages. This paper describes how the resource base of the Faculty of Health Sciences at the University of KwaZulu-Natal was increased by the Academic Development and Student Support project which enabled the Faculty to meet enrolment targets and increase graduation rates.
 
Article
This article analyses the innovation agenda of the European Union (EU), places it in the context of globalisation and explores its foundation in the theoretical innovation systems perspective. It analyses a number of the central policy domains of this agenda: higher education, doctoral education, research and knowledge transfer. In the second part of the article, some major challenges of the EU innovation agenda for European higher education and research are discussed. These challenges concern: future shortages of higher education graduates, the issue of access and equity, limited world-class research excellence, the need to further increase knowledge transfer efforts, the lack of private funding in higher education and research, and the processes of academic stratification and regional differentiation. Programme-cadre de l’UE en matière d’innovation : les défis de l’enseignement supérieur et de la recherche en Europe Cet article propose une analyse du programme-cadre de l’UE (Union européenne) pour l’innovation, qu’il place dans le contexte de la mondialisation et dont il explore les fondements à la lumière des systèmes d’innovation théoriques. Il examine différents domaines politiques fondamentaux constituant ce programme-cadre : l’enseignement supérieur, les thèses de doctorat, la recherche et le transfert des connaissances. Dans une seconde partie, l’article propose une réflexion sur plusieurs défis importants qui attendent ce programme-cadre sur l’innovation pour l’enseignement supérieur et la recherche en Europe : la pénurie future de diplômés de l’enseignement supérieur, la question de l’accès et de l’équité, le niveau d’excellence limité de la recherche à l’échelle mondiale, la nécessité d’accroître les efforts liés au transfert des naissances, le manque de financement privé dans l’enseignement supérieur et la recherche, et les processus de stratification académique et de différentiation régionale.
 
Article
Over the last several years the author conducted 126 interviews and held four focus groups with academic staff, administrators and others associated with Australian universities, about the problems and challenges they believed faced the system of tertiary education. Widespread concern and pessimism pervaded the interviews about the future of tertiary education in Australia. Approximately three quarters of the interviewees said that the system was worse, or certainly no better, today than a decade ago; a similar number held out little hope that the system would improve, if not deteriorate further, in a decade. In this article the author outlines what he sees as systemic barriers to change and then offers suggestions for ...
 
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