Presentation on theme: "Introduction to Higher Education"— Presentation transcript:
1 Introduction to Higher Education Presented atUnisa Young Academics Programme3 August 2009Professor George SubotzkyExecutive Director: Information & Strategic Analysis, Unisa
2 Overview DISA Source material Higher education as a scholarly field of studyWhat is higher education?DefinitionPurposesKey issues & termsPost-1990 policy processContemporary context of higher educationThe changing high education workplaceGender equity in higher education (time permitting)
3 Make Unisa intelligible to itself DISA MandateExternal environmentUNISAMake Unisa intelligible to itselfBusiness UnitsSingle I&A and IR Ref Pt33Business Units/ConvergenceBusiness UnitsDISAODLPol. Ec.Business UnitsBusiness UnitsHEDev.HEPolicyContextualisationBusiness Units
4 plan change act review Strategic Management Framework Vision, Mission, SP & Business Model (ODL)Integrated Strategic Management FrameworkDATA TO INFORMATION + ANALYSIS = STRATEGIC INTELLIGENCEplanchangeSTRATEGIC MANAGEMENT AND ANALYTICAL SUPPORT SERVICESFormal & informalBI supportSTATUTORY REPORTINGHEMISOther External Stakeholder RequirementsINFORMATION & ANALYSIS/IR OUTPUTSCalendarisedPeriodicAd hoc RequestsStrategic Discussion ForumINSTITUTIONAL INFORMATION & ANALYSIS PORTALInstitution-wide Web-based BI Analytic ToolDownloadable I & A outputsStrategicManagementFramework4 types of Outputs/ServicesBI/IRENTERPRISE ARCHITECTUREactreviewDATAICT + IRDISAExternalDATA
5 Source materialTaught modules in UWC Masters/PG diploma in Higher Education Studies: Policy Analysis, Leadership & Management (PALM)Introduction to Higher Education StudiesThe Contemporary Context of Higher EducationOverview of the post-1990 Higher Education Policy Process in South AfricaChanges and continuities in the higher education workplaceChallenge of adaptation: included slides, recapitulation & detailPrevious publications & recent analyses – self-citation
6 Higher education studies as a field Relatively new as a field of scholarly studyMost developed in the USA: Pre-requisite for appointment in highly professionalised workplaceMany qualification & professional development programmes, including Europe & South AfricaNumerous academic & professional organisations, journals, conferences & networksSARDHE; AERA; ASHE; SRHE; AIR, EAIR, SAAIRConsiderable body of knowledgeMulti-disciplinary in nature
7 Approaches to HE Studies Theoretical paradigms:Positivist, Interpretive, CriticalModernist, Post-modernist/post-structuralistSociologicalHistoricalPhilosophicalPolitical SciencePolitical EconomicEconomicComparative/International
9 What is Higher Education? DefinitionWhat is ‘higher’ about higher education?What distinguishes it from other levels of education?PurposesMultipleConflicting
10 Functions/Purposes of HE Science/knowledge production, dissemination & preservationIntrinsic value: formative education, cultural & intellectual enrichmentInstrumental value: Growth/Development/Transformation – problem solving, innovationProfessional/Vocational education & training to serve HRD & labour market needsPublic goodCommunity engagementCritical independent spaceGrowth/Development/TransformationIdeological: reproduction & social mobility
11 What is distinctive about HE? Epistemology/knowledge dimensionsScholarship & researchSystematically elaborated and conceptualised, theoretically informed knowledge construction, pursuit of truth, meaning and objective knowledge, both within and across disciplines and institutional boundariesKnowledge structure: verticalSpecialisation (fragmentation?) of knowledge: the disciplines and subdisciplines – in-depth authoritative expertiseHigher order theoretically informed and evidence-based thinkingProfessional/ academic/vocational education & trainingOutcomes/ontological dimensions: graduatenessPreparedness for labour market & citizenship commensurate with high-level knowledge framework
12 Higher education as socially situated activity HE has had a long history – among the most enduring institutions in societyHE is a socially situated and contested activity, and therefore inevitably serves particular ideological interestsIt takes on different features according to historical, political economic and geographical specificities. Different emphasis on its multiple purposes and a variety of shifting institutional forms are the result of changing relations with society, namely:StateGlobal institutionsCorporate sectorCivil societyTechnology
13 Proliferation of forms of HEIs Carnegie (re)classification: 2-year colleges, 4-year UG (liberal arts colleges), comprehensives, research intensive, etcTraditional research model: still dominant?Graduate schools (major US contribution)Differentiation and articulation: wide variety of binary & trinary systems (comprehensives, specialists)Specialised professional institutions: eg graduate business schoolsResidential, commuter, distance education/ODL (6 generations)Virtual universities (‘click’)Hybrids (‘brick & click’)Corporate universities
14 Contested vs shared concept Many institutions claim university status. Therefore, the key questions are:Can we derive a general, universal definition despite contestations, historical, geographic and ideological differences (Modernist view – Barnett, Holiday)?Does the proliferation of forms and purposes preclude this (postmodern view – Scott, Castells)?
15 Barnett Weakness of the field: paradox No educational theory of higher educationNo theoretical frameworkIntrinsic vs instrumental/functionalist valueAttempts to construct an educational and epistemological theory of HE, based on the assumption that there is something universally common about HE despite its historical and geographic variations, and defines this in terms of a reconstructed version of liberal HEArgues for defining the value and nature of HE as a unique and special critical process
16 Holiday: The Idea of an African University Relevance of Newman’s The Idea of a University for African Educationalists“Africans in their quest for a form of university education which will harmonise with their Africanness are driven by an innate conviction … that such education will have to be inseparable from their own spirituality and religious commitments” (p 1)This is under threat in the dominant climate of scientism and secularism
17 HolidayThe idea of the university is not reducible to a list of typically observable features: there are varying cases outside of observed categories: this is so much more the case in contemporary times, given the variety of new forms: eg the corporate university, the virtual university (‘click’ institutions) and hybrid (‘brick and click’)Main claim: The idea of a university denotes something universal. Therefore, something must be a university (in generic terms) before it can be properly called an African university (in particular terms).
18 Holiday (cont)Problem of retro-defining the university in terms of an interpretation of Africanness: eg in RDP or African Rennaissance terms: any institution which purports to address these goals is therefore automatically a university.“The truth is no matter how noble are motives for wishing it otherwise, there are real constraints on what may be allowed to count as a university”New Zealand contemporary example: rejection of notion of universities of technologySuggestion: Africanness as a common identity can be interpreted as “identification with and commitment to challenges of context” and therefore to development priorities, rather than in cultural, spiritual, nationalist, genetic or metaphysical terms
19 Universities as dynamic systems of contradictory functions (Castells) General theoretical claim: In all societies, universities perform basic functions implicit in the role assigned to them by society through political power or economic influenceThese functions are specific to historical, cultural ideological and scientific context4 Main (general) functions (at the theoretical level) whose specific weight in each historical and geographic context defines the predominant role of the system and the specific task of institutions:Ideological apparatusesSelection of dominant elitesGeneration of new knowledge: science functionProfessional training
20 4 Functions of HE Generation and transmission of ideology Not just reproductive of dominant ideology but reflecting within them external ideological struggles“The formation and diffusion of ideology has been, and still is, a fundamental role of universities, in spite of the ideology of their ideology-free role”(Castells, 2001: 206)Selection of dominant elites (adapting this to the historical & cultural characteristics of each society)SelectionSocialisationFormation of networksCodes of distinction
21 4 Functions of HE (cont.)Production and application of knowledge: science function (research)Late development: 19thC GermanyException rather than rule: 200/3500 in USAResearch diffused in society, especially in Europe (central research labs) and Japan (government-funded corporate R&D)Grew out of professional university as research needs grew (US graduate school model)Land Grant Institutions: prototype of HE-industry links in regional development (foundation for expansion in S&T and humanities)Boosted by military needsProfessional training of skilled labour force (development-related teaching)Training of the bureaucracySuccessive waves: Church, Medicine, Law, Engineering, Business, Social Services/Health/Education, ITProfessional university gave rise to the science university
22 Source of the contradictory reality In addition to performing their role assigned to them by society (ie the particular balance of the 4 main functions):“Universities as organisations are also submitted to the pressures of society, beyond the specific roles they have been asked to assume, and the overall process results in a complex and contradictory reality”
23 Contradictory functions In contemporary times, a new function: Social Demand for HE “Massification”Implicit role: surplus labour absorption: where can youth be? “Warehouse function”SA potential of this?Contradiction: equity and development (p 30)Universities “combine and make compatible the seemingly contradictory functions simultaneously although within different emphasis” Castells, 2001: 211; Singh p 81)“It is not possible to have a pure … model of the university” – key point for policy-makers to understand.Contemporary pressure is for them to function as a “productive force in the new informational economy” (as technology institutes, research universities, university-industry partnerships) – instrumental aspectBut they remain “conflictual spaces” (Is this so in UoTs?)
24 Challenge for developing countries “The ability to manage such contradictions, while emphasising the role of universities in the generation of knowledge and the training of labour in the context of the new requirements of the development process, will condition to a large extent the capacity of new countries and regions to become part of the dynamic system of the new world economy”(Castells, 2001: 212)
25 Functions of Developing Country Universities Universities in the 3rd world are “historically rooted in colonial past”: they perform an ideological function in post-colonial period“The recruitment of social elites, first for the colonial administration, later on for the new political elites created with independence, became the fundamental function of universities in the 3rd World” (Castells, 2001: 213)Educational and economic functions backgrounded because of the initial dominance of the political function – led to considerable braindrainNeed for skilled labour as part of development tasks gave impetus to educational functionProfessional function: colonial and “homeland” administration (HBUs)Massification, but in traditional fields: law, humanities and social sciences (HBUs)Attempts to develop S&T fields difficultStructural and institutional impediments to expansion of science function (see page 215)Castells recognises the need for autonomy from political pressure: “The necessary distance and independence of academic research vis-à-vis the immediate pressures of political conflicts …”
26 Challenges for Dev C. universities Rise of technological institutions, but science function lags behind training functionInability to manage contradictory functions and interaction between ideological/political/cultural, science, technology, economy and societyTechnical universities not able to fulfil scientific needs – without cross-fertilisation and self-determination (detachment): no discovery (Castells, 2001: 216). Need “complete systems”.“Only possible to apply science that exists” – cf Mode1/2Castells argues for: a) undifferentiated comprehensive university as key to development; b) for inter-disciplinary flexible programmes and c) selected research centresSuggestions for rejuvenating HE in dev. countries
27 Challenge for Dev Country HE If 3rd World countries are also to enter the Information Age and reject an increasingly marginal role in the world system, development policies must include the impulse and transformation of HE systems as a key element of the new historical projectBridging the divide between 1st and 3rd worlds
28 Interdependence …Interdependence argument for multilateral Marshall PlanMoralFunctionalPoliticalEconomic: “The development of the 3rd World is in the (rational) economic self-interest of the OECD countries and their corporations”“It will not be possible to integrate 3rd World countries in a dynamic world economy without creating the necessary infrastructure in higher education”Prospects and challenges?? What do you think?
29 Towards a definition/statement of purpose HE is concerned with the legitimation, production, dissemination, reproduction and perservation of high-order academic & vocational knowledge in order to:Prepare graduates for the labour market and citizenshipProvide formative education and to enrich cultural and intellectual lifeEnhance socio-economic growth, development & transformation, in particular by solving problems and creating opportunities for social mobilityContribute to the public good through community engagement and by providing a critical, independent space
34 Key Issues & Terms: Equity Access & admissionsEqualityEquityInclusivitySuccess & throughput/residentsMassificationSocial demandAssimilation vs transformationPolicy tensions (real & imagined):Equity & ExcellenceEquity & DevelopmentShifting equity discourse in South Africa
35 Key Issues & Terms: Value & Purpose Intrinsic: Knowledge for its own sakeInstrumental: Knowledge in service of an ideological or socio-economic purposeLiberal/formative educationEmancipatory education (critical theory)Science functionProfessionalisationVocationalisation
36 Key Issues & Terms: Institutional & Academic Identity Vision, Mission, Niche (strategic identity), Business ModelInstitutional differentiation (universities, UOTs, comprehensives – the ‘size and shape’ processes & debates, contact & distance)AfricannessStatus and reputationAcademic identityTeaching/Research/Community Engagement balanceProfile: Professoriate, TenureTeaching and learningProgramme and course: PQMCurriculum and pedagogyAdmissions, assessment policiesDelivery ModelGraduatenessResearchBasic, Applied & StrategicService/outreach/Community EngagementService learning
37 Key Issues & Terms: Institutional Organisation/Governance/Management LeadershipManagement: strategic & operational, academicCollegialism vs managerialismAdministrationStudent ‘Affairs’: Support/DevelopmentAcademic: Teaching and LearningResearchHuman ResourcesFinanceOther support/enabling mechanisms: business architecture
38 change plan act review Strategic Management Framework STRATEGY FORMULATIONMission, Vision, Business Model (ODL)Strategic PlanStrategic Outcomes, Objectives & Performance Measures (all shaped by Social Mandate)CHANGE MANAGEMENTStrategic Change InitiativesContinuous Improvement InitiativesThese are identified through ongoing review process, and then find expression, as the case may be, in:New or revised Strategy or Strategic ProjectsObjectives and Actions in the IOPChanges to Operations, the Business and Enterprise Architectures and Enabling ConditionsIOP & STRATEGIC PROJECTSStrategically-aligned Outcomes, Objectives, Outputs & Performance MeasuresplanchangeFUNCTIONAL PLANSeg Academic, Research, HR, Estates, ICT etcProjectsFunctional Outcomes, Objectives, Outputs & Performance Measures, Integrated SchedulingStrategicManagementFrameworkRESOURCE ALLOCATION (SRAM)BudgetACHRAM & PADRAMOPERATIONSFunctional/Operational UnitsInputs, Processes, Outputs, Outcomes & Performance MeasuresStrategic ProjectsINSTITUTIONAL PERFORMANCE & STRATEGIC MANAGEMENTMonitoring and Evaluation(BI/Institutional Research)Quality Assurance/ServiceIPMSRisk ManagementOngoing:Strategic Reflection/ReviewEnvironmental ScanningactreviewBusiness & Enterprise ArchitecturesShaped by strategy - the optimal configurations of:People/capacityProcesses/SystemsResources/InfrastructureTechnologyEnabling Conditions(in addition to appropriate Business & Enterprise Architectures)Effective Leadership & ManagementConducive Climate & Culture
39 Key Issues & Terms: Current Impacts Marketisation or market-like behaviourAcademic capitalismEntrepreneurialisationManagerialismGlobalisationInternationalisationICTsResponsiveness/engagementNew public accountability; new instrumentality (North: competitive position in new economy; South: the development University)Changing relations between state, society & the AcademyCounter trend: public good, community development, service learning
40 HE Studies Policy Analysis Leadership and Management Sub-Module 1B:The Contemporary Context of Higher EducationMarch 2004Associate Prof George Subotzky
41 Key Issues & Concepts The multi-faceted nature of globalisation The nature of the ‘network’ society and the role of knowledge, information and technologyThe emergence of new modes of economic production and new organisational modes of knowledge productionThe various impacts and implications of globalisation on higher education
42 Key Issues & Concepts (cont.) In particular, the marketisation of HE and the rise of managerialism, and the corresponding constriction of the civic role of the academy and its contribution to the public goodAlternatives to the dominant patterns of globalisation and marketisation of HE (to the entrepreneurial university)The role and responsive of HE not only towards the competitive global knowledge-driven economy but also towards democracy, equity and basic reconstruction and development
43 Assumptions: Key Aspects of HE (see Intro.) HE is a ‘socially situated’ activitySocial relations are contested, unequal and ideologically contestedHE shaped by, and responds to external environment: global forces/ institutions, the nation state and society (private/market corporate sphere and public/civil society)Reproduces and/or transforms unequal social relationsKey aspects and levels of external environment: Global level: globalisationChanging economic production patterns and social relationsRole and modes of knowledge and informationChanging function, role and forms of HENew relations between HE and state, private sector and communityNew ICTs: cross-border provisionInternational level: Internationalisation of HE (Scott, 1998)
44 Key aspects of HE (cont) National level:Public & macro-economic policy, political economyHE policy formulation & implementation: government and other agenciesRegional level:Contribution towards regional developmentRegional collaboration & competitionInstitutional level:Complex, loosely coupled organisationsContested sites: Multiple centres of authority and interestsDisciplinary organisation vs departments (feudal fiefdoms) vs inter-disciplinary cross-cutting organisationManagerial vs collegial tensions‘Local’ vs ‘Cosmopolitan’ Allegiances: Academics and Managers engaged in multiple networksAcademic vs non-academic staff interests
45 What is globalisation? Your understanding and definition? Key feature of contemporary society, impacting - directly or indirectly - on all aspects of life in every society (eg HIV/AIDs), including HEGeneralisability of trends and patterns? Problem of extrapolation of part to the whole eg Internet economy, flexible labour, new modes of knowledge productionDifferent perspectives from ideological positionsSupporters: assume inevitability: ‘There is no alternative’ (TINA)Opponents: question this & assume alternativesTherefore different definitions & interpretations – ie good and bad dimensions: threats & opportunities
46 GlobalisationGlobalisation is the intensification of trans-national relations/exchanges/integration in the sphere of economics (services and production), culture and media, knowledge, science and technology, through the advancement of ITCs and the process of progressive deregulation which primarily serves the interests of global capital, transnational corporations and the advanced industrial nationsNetworking and partnerships in development leading to interdependence and connected resultsUnified space and time of various exchangesUnavoidable and feared (conspiracy??), supported by the wealthy: inevitable and sustainable in its current form??Positive potential – reasons for participation: global competitiveness avoid marginalisationCultural imperialism
47 Dimensions of Globalisation Ideological: Castells (2001):Globalisation is both a code word for the new emerging world system and “the banner to rally both the determined march of global corporate capitalism and the worldwide sources of resistance to it”Economic (focus of Castells, 2001)Technological, Space/time compression (Urry, 1998)Regional, National and Local responses: homogenisation and heterogenisation - Conceptualising mediating levels and processesCultural and Media/IT: implications for identity (“transnational imaginaries” and local responses - solidarity (Stromquist & Monkman, 2000, see also McGrew, 1992), power, gender, knowledge (technological vs social)
48 Economic Globalisation Castells (2001, 2-3): The New EconomyKey sociologist of globalisation – SA contestations of his views in CHET bookWorldwide and CapitalistNot the Internet economy: “It is the economy of all kinds of businesses and all kinds of activities whose organisational form and source of value and competition are increasingly based on information technologies, of which the Internet is the epitome and organising form” (Castells, 2001: 2)But: Labour is still the basis of the economyCan be defined as the combination of 3 inter-related characteristics (see Castells, 2001: 2)Various dimensions of economic globalisation
49 The New Economy 3 inter-related characteristics (Castells, 2001, 2-3): “It is an economy in which productivity and competitiveness are based on knowledge and information … powered by IT”This new economy is a global economy“The global economy … has the capacity [in relation to its core activities] to work as a unit in real time, on a planetory scale”“This capacity [comprises of] 3 aspects:Technological capacity: its ability to structure the entire planet through telecommunications and informational systemsOrganisational capacity: firms and networks working in this economy organise themselves to be active globally … [in relation to both] supplies and marketsInstitutional capacity: governments create the institutions on the new economy through deregulation and liberalisation “which opens up the possibility for this new economy to operate globally”
50 Financial Globalisation “The heart of the global economy is the global financial market”Globalisation refers to core activities: “Global financial markets, the integration of capital markets and money markets in a system which works as a unit in real time”Indicators: eg currency market trading in 1999 = $2-trillion = 20% more than UK GDP per day! (Castells, 2001: 4); current crisisGlobal interdependence and speed, size and complexity of financial markets are the result of 6 developments:Deregulation/liberalisationTechnological infrastructure (speed, size & complexity): trading through electronic networks which allow rapid movement of capital in real timeInterdependent nature of financial productsSpeculative movement of financial flows: systemic volatility: vast gains from small fluctuationsMarket valuation firms: sentiment and perceptions, not performance – open to manipulation? (SA bemused: fundamentals are there, but Foreign Direct Investment isn’t following)International financial institutions: conditionality
51 Summary“What we have is a new kind of system in which global financial markets are integrated, interdependent and at the same time, highly unstable in their processes. If capital markets and currencies are interdependent, so are monetary policies and interest rates, and therefore, so are economies everywhere. Capital flows become global and increasingly autonomous, at the same time vis-à-vis the actual performance of the economies. What is the relationship between the performance of an economy and what happens with its financial system? It is a very undetermined equation.” (Castells, 1999: 6)
52 Transformation of International Trade Transformation of composition of international trade a) from commodities and raw materials to advanced services b) within manufacturing from low value-added/low tech to high value-added/high techWTO want to include HE in GATS. What are the implications? HE and FTAs (Mallea, et al 2002, SA Minister of Education, 2003, CHE)OECD: 19% pop and 74% trade, but developing countries’ share of international trade increased substantiallyAfrica – most internationalised region – why?Trading blocs and regional integrated economies: neither integrated regions nor single global economy: instead: networks of trade.
53 Internationalisation of Production Core of the matter:“What really has happened in the world in the last 20 years is that the core of production of goods and services in every sector has been internationalised through transnational networks of production, distribution and management” (Castells, 2001: 8).Internationalisation of the production process through a layered networkTransnational Corporations (TNCs): decentralised networked units formed through FDI in the form of mergers and acquisitionsMuch wider than usually assumed: TNCs30% of global GDP (15% within same TNC), 66% of global trade, but employ fraction of global labour marketSubsidiary networks: SMMEs and informal sector
54 (Selective) Globalisation of S&T Science & Technology (S&T) is globally integrated through connections to developing countriesBut with tremendous asymmetry: S&T very highly concentrated in ‘core’/ leading economiesNetworks are (somewhat) interactive, with diffusion to developing countries (eg India) is possible
55 Summary“A key characteristic of the new economy is that it is organised in networks … a set of interconnected nodes. These … are in the large corporations [and are] decentralised. Small and medium businesses connect to each other, forming networks [which] connect to these decentralised networks of the corporation, forming networks of networks [increasingly using] e-commerce. The new technological basis for the new economy is the Internet . The Internet is not simply one more technology. The Internet is the equivalent of electricity and of the electrical engine of industrialisation. It induces the networking form, just as the fusion of the electrical engine allowed the formation of the industrial factory, at the heart of the development of the large capitalist corporation (Castells, 2001: 10).“If knowledge is the electricity of the new network society, then HE is the power station”
56 Networks and global reach Networks: a set of interconnected nodes: key characteristic of the new economyNew economy and survival activities are the two key sectors in the worldRelation between old & new economy (p 10-11)“Double logic” of network society: clear patterns of inclusion and exclusion: does not integrate everyone but affects all (p 11 - see below)“It is a very lean efficient system of including and excluding”Integrated global networks and excluded local societies: Cuts across North and South divide, which no longer prevails.East Palo Alto and Bangalore examples – do you agree?“Globalisation does not integrate everybody. In fact, it currently excludes most people on the planet but at the same time , affects everybody”
57 Transformation of Labour Markets New technologies and unemployment – jobs are lost “under some conditions”: therefore we must “create dynamism in other sectors” (unclear and fuzzy regarding interventionist role of the state??)Flexible labour and individualisation of labour-capital relationships have become the norm“Self-programmable” vs “generic” labour – key issue for education (Castells, 2001: 10)“Self-programmable labour [has] the built-in capacity to generate value through innovation and information, and has the ability to reconstruct itself throughout the occupational career on the basis of this education and this information. Therefore it is always at the source of the creation of [added] value” (Castells, 2001: 13)2 key issues: global search for talent and pressure for access to developed world – migrations including women (Stromquist and Monkman)Capital is global, labour is local: Majority of labour not globalised
58 Globalisation and developing countries Leap-frogging technology – possible?New production modes: Manufacturing not disappearing but changing: “Post-Fordism” (Kraak, 2001: 38): manufacturing plus automation, innovation, flexible responsive output, high-tech, connected to information and global markets2 phenomena: a) Devaluation of low-skilled generic labour, leading to b) expansion of informal, survival and criminal sectors, which are linked to new economy
59 Globalisation, inequality and poverty Impact on LDCs: dual society (p 15; Smythe in Subotzky, 1999)4th world – marginalised discarded societies: (p 15)What is Castells suggesting about alternatives here?New economy: “simultaneously highly productive and extraordinarily exclusionary through the process of networking and segmentation” (p15)Well documented indicators of asymmetries in distribution of benefits and wealth: 4 axes - inequality, poverty, polarisation and social exclusion – see examples (p 16)What is responsible? Correlation and causationProblem of personifying globalisation!Key issue: relationship between this new mode of development – info development – and the overall process of intergration
60 6 Factors re: exclusionNature of networks [and the interests underlying them] allow for exclusionExtreme under-development of technological infrastructure in most of the worldLikewise, education, technological literacy and R&D extremely unevenly distributed: not just massification “warehousing” but also quality [resources & capacity!]Impact of integrated market volatilityBypassing and restraint of national states by international finance institutions [World Bank and IMF]Parallel criminal economy, and social crises: migration, urbanisation without conditions to integrate, corruption strife, ecological crisis, impacting most on women and children – all “the contradictions of development are sharper than ever”
61 Sustainability? Alternatives? Proponents: TINA and the trickle-down approach: “redistribution through growth”Opponents: Inherent contradictions make it unsustainable:Underlying tensions: (Subotzky p 58/9)Crisis of Interdependency: unregulatable systemic volatility of markets, ecology, social cohesionCrisis of overcapacityCrisis of supply of talentLeft: Castells, Chomsky, NSMs as well as Orthodoxy: Sachs, Fisher, Stiglitz – socially and politically unsustainable as well
62 Alternatives?Global turning point: realisation of rational self-interest in avoiding negative global impacts – idealistic optimism or real hope?Role of state:minimal state vs regulatory/interventionist (Stromquist & Monkman, 2000: 22-23)diminished role or not?Position of SAExplaining current political economy (Subotzky, 1999: 60-61):Dual development path and current privileging of globalComplementary development path? Settlement?TINA or not?
63 Subotzky (1999)Situates the impacts of globalisation within political economyTensions underlying globalisationSA political economySeeks complementary alternatives to the HE-industry partnership and market-oriented knowledge production – model of CSL: an instance of serving the public good and RDPTracks impacts of globalisation: tensions and the SA case; SA HE; impacts on HE
64 Additional issues Impacts of Globalisation on HE Reinserting the public good (Singh)Changing modes of knowledge production (Kraak, Subotzky)Changing functions of HE: shift from elite to mass HE (Kraak, Scott)Massification, internationalisation and globalisation (Scott)Approach issues through close reading of cross-cutting debates in various sources: analysts’ critique each others’ accounts
65 Forces of Change acting on HE Multiple impacts of globalisation:New global economy & ICT-driven knowledge societyShifting purposes and role of HE in innovation and competitiveness driving economic development : the new instrumentalism – the call for ‘responsiveness’New public accountability to national government & society mainly in terms of contribution to economic development: quality assuranceNew relations between HE and state, private sector and communityNeo-liberalism and the emphasis on fiscal constraint and efficiencyMarketisation, Vocationalisation, Managerialism and PrivatisationNew knowledge production (Kraak, Subotzky)Impact on faculty life (Stromquist & Monkman, Subotzky - June)Internationalisation (exchange, curriculum, collaboration, Scott)Social Demand: increased access: “Massification” (Scott, Kraak)ICTs – the rise of new Distance Education, Multimedia instruction, virtual universities, corporate universities (Scott)Counters: Reinserting the public good (Singh, Subotzky)
66 Reinserting the Public Good Responsiveness primarily interpreted in economic terms (Singh, Subotzky)Impacts of Globalisation: Social Purposes of HE losing groundHold multiple purposes in balance (also Castells)Strategies to operationalise public good:Analytic clarity: public good and marketInterrogating relevant knowledge and skillsIdentifying strategic possibilities: TINA issueOperational opportunities (eg Community Service Learning - Subotzky)Implications for leadership and managementGood practicesRole of State and donor communities
67 New Modes of Knowledge Production Kraak paper: outline of debate and centrality of Mode 2 debate in HE policyKey factors in the emergence of Mode 2: Globalisation + democratisation – simultaneous impact led to a ‘major shift in the institutional organisation and delivery of HE programmes since the late 1980s (too simple?)Globalisation:post-Fordism (new modes of economic production): flexible specialisationIT & the facilitation of internationalisation of capitalThe networked firmNew educational demands: highly skilled labour force – specialised skills + generic competencies – ‘portable’ skills, self-programmableDemocratisation/massificationEgalitarian pressure for wider accessDiffussion of skilled professionals, knowledge workers and research organisations outside HE institutions
68 Impacts of Changes (Kraak) Impact 1: The shift from a closed to an open HET system:New programme offerings – beyond discipline-based degree qualifications, based on open-learning methods (see Scott in Kraak, 2000: 8)Economic (new skills needs) and educational responses (accommodating non-traditional students)Eroding of the dominance of elite academic cultures [FE or HE slippage?]Shift from closed to open intellectual systems (dynamically interactive with outside social interests and knowledge structures) incorporating the values of non-elite communities [optimism about knowledge equivalences, interfaces and seamless mobility?]4 key changes (Scott) [dichotomous from-to pattern?]:From courses to creditsFrom departments to programmesFrom subject-based teaching to student-based learningFrom knowledge to competenceUnified system and institutional differentiation
69 Impact 2: From Mode 1 to Mode 2 Mode 1: Disciplinary knowledge production:‘basic/blue sky/curiosity-driven + ‘applied’formulated within disciplinary boundariesMode 2:Transdisciplinary knowledge productionApplications driven: generated in the context of applicationOrganisational diverse (transient teams) and heterogeneousNew forms of quality controlSocially reflective
70 Interpretations & Critique of Mode 2 Kraak: optimistSubotzky (1999) argument: cautiously exploratoryThe Gibbons Thesis: promise or peril for LDCs? (Subotzky; Muller and Subotzky: critically cautious – the debate moves on)Alternative interpretations (Rip, Etzkowitz, Subotzky et al, 2003)Key issue: Uncritical uptake and interpretation of policy
71 Massification, Internationalisation & Globalisation Scott: Tension between massification and internationalisation? International mission vs responsiveness to local circumstances?Myth of:universities as international institutions – they are national institutions created to fulfil national purposesInternational community of scholars believing in universal values – contemporary world is much more complex, diverse and pluralisticCharacteristics of mass systems (shift from elite to mass):InclusiveDiversified institutions: including ‘local’ institutionsNew managerial approachQuality assurance and regulationInternational dimensions of mass HEStudent flows (across boundaries and market-driven)Staff flowsResearch and teaching collaborationFlow of ideas (postmodernist pluralism – globalisation not just about real time IT-driven markets)
72 Globalisation and Internationalisation World-order dominated by [certain] nation states involving increased cross-national flowsGlobalisation:“National boundaries rendered obsolete [weaker? – danger of totalising tendencies] by the transgressive tendencies of high technology and world culture”
73 Recap: The multifaceted nature of globalisation Various dimensions:IdeologicalEconomicCultural (identity)Technological, space/time compressionMediating responses – national, regional and localThe nature of the network society: inclusion and exclusion
74 Recap (cont.) Globalisation and Developing Countries Inequality, Poverty, Polarisation and Social ExclusionSustainability and alternativesInterdependence and Internal Contradictions: Possible turning points?Political-economic position of SA: choices?Role of state and transnational civil society formations in relation to globalisation and fostering alternativesTINA or not?Conditions for developing alternatives
75 HE Studies Policy Analysis Leadership and Management Sub-Module 2B:Overview of the Post-1990 Policy Process in South AfricaMarch 2004Associate Prof George Subotzky
76 Context for HE transformation in SA Opportunity and imperative for this:1990 political changes – offered opportunity for fundamental reconstructionLegacy of apartheid: unequal, ineffective, inefficient, distorted and dysfunctionalScale of fundamental transformation unprecedentedPolicy framework characterised by two key factors:GlobalizationDual social structureDual national development priority:Engagement in the competitive global economyAddress the basic needs of the majority poorOngoing challenges of impacts on HE of:GlobalisationInternationalisation
77 Historical overviewSA history: characterised by intense political conflicts and socio-cultural divisionsHE system therefore shaped by prevailing balance of forces in successive historical periodsColonialism and underlying conflict between British and Afrikaner nationalismPhases of economic development (agriculture, mining, industrialisation)ApartheidMultiple institutional system: result of intense rivalry between 2 dominant politico-cultural linguistic groups: British colonialists and Boer Afrikaners
78 Post-1990 Policy ProcessPeriod of negotiation and re-entry into international communityEngagement with multilateral & development assistance agencies: international and local studiesProgressive policy formulation through key processes and documents:National Education Policy InitiativeANC manifesto and IPETNational Commission on HEGreen Paper, White PapersHE ActSize and Shape reportsNational PlanNational Working Group – MergersImplementation of 3 regulatory levers: funding framework, QA, enrolment planning
79 PeriodisationPre-1990Apartheid planning, control, repressionOpposition, activism, analysisNegotiations and realisation that post-apartheid policy framework would be requiredMultilateral and bilateral agencies: 1st studies and quantification of apartheid inequalitiesNational Education Policy Initiative (NEPI)Policy options by progressive educationistsEquity and development issuesANC Education and Training Policy Framework: election manifestoImplementation Plan for Education and Training (IPET): plan of action for new minister
80 Consultative Process of Formulation of Macro-policy FrameworkNational Commission on Higher Education (NCHE) (1996)Comprehensive framework for single, unified but institutionally differentiated programmes-based systemWide consultation, general consensusWhite Paper on Higher Education Transformation: 1, 2 and 3 (initial contestations, wide consensus on final version) (1997)3 imperatives:RedressRDP needsGlobal competitiveness8 policy goals (p. 550)
81 3 Overarching HE Goals Equity: access and success redress: social and institutionaldemocratic, “co-operative” governanceEffectiveness:relevance (responsiveness to societal needs: contributing to global and basic development)qualityquantity: graduate and research outputsEfficiency:delivery (within fiscal constraint)removing inefficiencies of apartheid
82 Post-1997 Immediate DOE Priorities Implementation diverted:Creating/strengthening required structures and bureaucracy: HE Branch and Council for HEIncorporation of collegesRegulation of private HEInstitutional management/finance crisesNorms and standards for teacher educationHEMISNSFAS
83 1997 – 2001: “Implementation vacuum” Between White Paper and National PlanSymbolic vs substantive policyConditions not ready: policy naivety to policy maturity; capacity, other preoccupationsRole of state: (structural intervention and market regulation to achieve equity, effectiveness, efficiency) vs minimal stateTension between regulatory national planning and autonomy (without denying accountability)New Minister (1999)
84 Partial Regulation and Market Conditions Partial regulation 2 conditionsa) market conditions - various institutional responses:Entrepreneurialism: Local and transnational DE and telematics, satellite campuses (HWAUs)Academic restructuring towards programmes and inter-disciplinarity (HWEUs) - ‘Disciplinary’ vs the ‘credit accumulation and transfer’ positionsPrivate Sector needs (HWUs and some Techs)b) greater inequalities and dysfunctionality of some HDIs – no substantial redress policy
85 Size and Shape Debate Preoccupation with restructuring: Rationale? CHE 1st Discussion Document (May 2000) 2nd Discussion Document (July 2000)Huge controversy
86 National PlanOperationalises WP goals: objectives, targets and strategies, timeframe.Indicative targets:participation rate 15% to 20%;graduation rate benchmarks;shifting enrolments between the humanities, business and commerce, engineering and technology from the current ratio of 49:26:26 to 40:30:30 respectively; andstudent and staff equity targets.Regulatory steps to ensure diversity of institutional mission and programme differentiation (PQM). Institutional programme mixes to be determined on basis of current profiles, relevance to national priorities, and demonstrated capacity for proposed new programs.
87 National PlanRestructuring of institutional landscape through the reduction in number of institutions but not delivery sitesVarious immediate institutional mergers are recommended while further potential ones and regional collaboration will be guided by a National Working Group, heavily laden with economists – signaling a strong efficiency intentionPrinciple of differentiation and restructuring accepted (as far back as NCHE): detaching differentiation from disadvantage
88 3 Regulatory LeversNational/Institutional goal and results oriented Planning framework:3-year Rolling Plans; Strategic Plans; PQM; Enrolment PlanningFunding framework: new docGoal oriented, earmarked and block grantsSeparate research fundingTeaching inputs/outputsMinimalist government: ‘funding in the last resort – lever for market solutionInstitutional factors: ‘redress’: size and African/Col enr.Quality Assurance: HE Quality CommitteeAccreditation of programmesInstitutional site visits
90 Restructuring Reduce 36 to 22 institutions but retain 48 sites: 11 Universities; 6 Comprehensives; 5 Technikons10 mergers from 23:U of Natal and UDW = UKZNMEDUNSA & North = U of NorthRAU and Wits Tech (Comprehensive) = U of JohannesburgPort Elizabeth Tech and UPE (Comprehensive) = Nelson Mandela UoTPotchefstroom & N West Univ.(Comprehensive) = U of NorthwestUNISA, Tech SA and Vista Distance (Comprehensive) = (new) UNISACape and Pen Techs = Cape Peninsula U of TNatal, ML Sultan and Mangosuthu Techs = DITNorth West, N Gauteng and Pretoria Techs = Tswane U of TUnitra, E Cape and Border Techs = Walter Sisulu U of S&T, EC (compr)12 Untouched:Wits, UCT, Stellenbosch, Pretoria, Free State U, Rhodes, UWC, Fort Hare, Venda (UoT), Zululand (C), Free State Tech, Vaal Triangle Tech
91 Descriptive Overview of Current System 36 Institutions, reducing to 22Ambiguous Binary SystemHistorical Categories: HAIs and HDIs (still valid??)Unexplained fluctuations in enrolments
92 The “Skewed Revolution” (Cooper & Subotzky, 2001) Some important aggregate changes, but apartheid imprint intact in many waysDisaggregations reveal race and gender groups concentrated by institutional type, field and level (new public-private partnerships)Staff:Largely unchanged14% professors are womenInstitutional capacity still highly uneven
93 Key HE Challenges Planning & Implementation Capacity HE Policy shaped by political-economic choices: Reconciling conflicting policy imperatives: equity and developmentIntegrated Policy-making: avoiding ‘immediatism’ (demonstrable change which may not meet goals of equity, efficiency and effectiveness) and ‘big bang’ policy (change the world)HIV/AIDS: major humanitarian and HRD challenge for planning and management
94 Higher Education Challenges EquitySocial and individual redress: need for political settlements and alternative funding sourcesHE and the Public Good, service, and contributing towards basic Reconstruction and Development, critical function of HEAccess and success: assimilation vs transformation: RPL, NQFGreater representivity/diversity: staff, students & outputs
95 Higher Education Challenges EfficiencyInstitutional landscapeManagement and leadership crisesThroughput and success ratesTensions between managerialism and marketisation of HE and collegiate culture
96 Higher Education Challenges Effectiveness:HRD, Labour market needs and dual development path in the context of globalisation‘Graduateness’/quality‘Responsiveness’: Curriculum, disciplinarity and interdisciplinarity new knowledge issues, partnershipsPeril or promise for developing countries:Uncritical policy uptake?
97 The Nature of Policy“Policy is the authoritative allocation of values”Policy is a complex process, which involves far more than the documented texts to which the term usually refers. It involves several formal and non-formal non-sequential elements, a variety of agents in different settings, and consists of various types. Without fully grasping these aspects, policy-making, implementation and analysis will remain inadequate.
98 Components of the Policy Process Research and the identification and privileging of areas and optionsFormulationInterpretation, Adoption and Adaptation (necessary prioritisation and emphases)PlanningImplementationMonitoring (tracks change) and evaluation (formative and summative – explains change)These are not linear steps which can be rationally determined, but inter-relate in complex ways, are subject to multiple determinants
99 Policy AgentsGovernment (including the ministry, other ministries and cabinet);Parliament (including Portfolio Committee and ANC study group on education);The civil service (which involves the bureaucratic function of policy);The organised business sector;Civil society (organised labour, teacher and student organisations, academics, researchers and other stakeholder bodies); andForeign advisors, multilateral and bilateral development agencies and philanthropic foundations.
100 Policy Models Rational Model Complexity Model Conceived as a cycle comprising linear stepsAssumes outcomesComplexity ModelPolicy process as unwieldy, complex, contradictory, indeterminate subject to unequal power relations, interests and contestationsThese have methodological implications
101 Types of PolicyAdapted from Dudley & Vidovich, 1995:14-15 and Taylor et al. 1997:33-35Distributive: favour all groups in allocation of resources and benefitsRedistributive: distribute additional resources to one set of beneficiaries for equity reasons.Regulatory: limit or direct behaviours of particular groups through conditional resource allocation
102 Types of PolicySymbolic: signifies general values, principles and normative ideals with very little or no indication of implementation procedures or resource allocations. Provides benchmark for evaluation and its political function is to achieve consensusSubstantive: concrete actions governments want to take: the content of decisionsProcedural: indicate how decisions are to be implemented, eg guidelinesMaterial: show commitment to implementation through the allocation of resources.These are not discreet elements but part of overall policies.
103 Types of Policy (cont.)Rational: Outlines a set of guidelines for new policy development independently of practiceIncremental: dependent upon previous or existing policies and practices.Top-down: Developed by an authoritative structure and distributed downwards through the system in a top linear, hierarchical process. Linked to the notion of ‘forward mapping’ (Elmor, 1980).Assumes those closest to the source of policy have greatest authority and influence, and that responding to problems in complex systems depends on clear lines of authority and control
104 Types of Policy (cont)Bottom-up: Builds on existing practices, analysing the conditions at the coalface of implementationSeek to create conducive behaviours (compliance, knowledge, skills, capacities and resources) among practitioners which will support successful implementationRelates to Elmore’s concept of ‘backward mapping’Assumes that those closest to the source of the problem have the greatest ability to influence it and that problem-solving in complex systems on maximizing discretion at the point where the problem is most immediate (Elmore 1980:605).
105 Types of Policy (Cont.)It is important to note that not all policies fall neatly into one or other of these distinctive categories. In practice, they are typically a combination of the categories and/or their components (Taylor et al., 1997).
106 Consequences for Implementation Successful implementation rests on a number of necessary conditions:Adequate human, financial and other material resources necessaryClear planning strategiesUnderstanding, capacity and political opportunity to turn symbolic policy into substantive, material and procedural policyUnderstanding the dynamics various components of the policy process in the specific context
107 Consequences for Implementation Among the various agents involved – their differentiated ‘behaviours’ which might facilitate or obstruct implementation (Elmor)Understanding the various roles, interests, motives, possible recalcitrance, priorities, capacities, technical skills, knowledge and the required discretionary ability and opportunities to deal with contingenciesSuccessful implementation thus involves attaining supportive compliance, which in turn depends on sufficient ideological consensus and trusting belief in the symbolic value, substance and planning strategies of policyAs this always varies, successful implementation also depends on monitoring, evaluation, review, accountability, and, where necessary, sanctions.
108 Policy TensionsPolicy is necessarily a contested and indeterminate process, inevitably subject to competing interests, ideologies and valuesShaped by unavoidable resource constraints which lead to competing prioritiesHow do these abstract considerations find concrete expression?In South Africa, given its sharply polarised history, these tensions take on a particular character, which can be seen to be the outcome of both structural and conjunctural conditions