HEEM/MPhil in Higher Education Peter Maassen Introductory semester, Unit 3, lecture 2 Oslo, 25 September 2007 Unit 3 Condi...
Starting points <ul><li>The national conditions </li></ul><ul><li>Discussion of the governance (steering, coordination, co...
Literature <ul><li>Literature: </li></ul><ul><li>Gornitzka, Å. (1999) Governmental policies and organisational change in h...
Policy-making in higher education <ul><li>What is a POLICY?! </li></ul><ul><li>values, purpose, direction </li></ul><ul><l...
Policy-making in higher education <ul><li>State models </li></ul><ul><li>Steering models </li></ul><ul><li>Governance mode...
Policy-making in higher education <ul><li>What can governments do to influence, if not </li></ul><ul><li>steer, the nation...
State/steering models <ul><li>Gornitzka (1999): Analyzing the relationship between governmental policy and organisational ...
State/steering models <ul><li>c) Normative/theoretical basis of a policy  (legitimation: knowledge; values and beliefs,  i...
State/steering models <ul><li>-  The  institutional state  (protect academic values and traditions) (England before Thatch...
State/steering models <ul><li>- The  corporate-pluralist state  (state is not the only legitimate power) </li></ul><ul><li...
State/steering models <ul><li>- The  supermarket state  (minimal state, private actors important, market as the regulating...
Change versus continuity <ul><li>- Europe: from sovereign state model to  </li></ul><ul><li>corporate state model, and </l...
Change versus continuity <ul><li>- Related terms and concepts: </li></ul><ul><li>a) ”The evaluative state” (Neave) </li></...
External versus internal factors <ul><li>Conditions under which HE operates </li></ul><ul><li>External versus internal fac...
Theoretical approaches <ul><li>For discussion: </li></ul><ul><ul><li>Theoretical approaches (or explanatory frames) for  i...
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The conditions under which higher education operates: the national conditions

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This lecture looks at the governance (steering, coordination, control) models used by nation states with respect to their higher education system.

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The conditions under which higher education operates: the national conditions

  1. 1. HEEM/MPhil in Higher Education Peter Maassen Introductory semester, Unit 3, lecture 2 Oslo, 25 September 2007 Unit 3 Conditions under which HE operates: National conditions
  2. 2. Starting points <ul><li>The national conditions </li></ul><ul><li>Discussion of the governance (steering, coordination, control) models used by nation states with respect to their higher education system </li></ul><ul><li>Starting-point: </li></ul><ul><li>How do national governments want to affect their higher education systems? What are the major recent changes in these efforts? </li></ul>
  3. 3. Literature <ul><li>Literature: </li></ul><ul><li>Gornitzka, Å. (1999) Governmental policies and organisational change in higher education. Higher Education , Vol. 38, pp. 5-31. </li></ul><ul><li>Gornitzka, Å. and P. Maassen (2000) Hybrid steering approaches with respect to European higher education. Higher Education Policy, Vol. 13 , pp. 267-285. </li></ul><ul><li>Gumport, P. (2000) Academic restructuring: Organizational change and institutional imperatives. Higher Education, Vol. 39, pp. 43-66. </li></ul><ul><li>Jongbloed, B. (2000) The funding of higher education in developing countries. In: B. Jongbloed and H. Teekens (eds.) The Financing of Higher Education in Sub-Saharan Africa , pp. 13-43. </li></ul>
  4. 4. Policy-making in higher education <ul><li>What is a POLICY?! </li></ul><ul><li>values, purpose, direction </li></ul><ul><li>Strategy paper (incl. Problems and solutions, actions measures) </li></ul><ul><li>Guidelines for responses </li></ul><ul><li>Laws and rules wrt HE </li></ul><ul><li>Frame of reference </li></ul><ul><li>Directive (guide) </li></ul><ul><li>Organised, systematic attempt to influence reality </li></ul><ul><li>Instruments, mechanisms for reaching goals </li></ul><ul><li>Continuously reviewed/evaluated </li></ul><ul><li>Program of action to achieve specific goals </li></ul><ul><li>Decision by politics </li></ul><ul><li>Policy for defining boundaries </li></ul>
  5. 5. Policy-making in higher education <ul><li>State models </li></ul><ul><li>Steering models </li></ul><ul><li>Governance models </li></ul><ul><li>Efforts to systematize the various approaches </li></ul><ul><li>governments can use to govern ‘their’ society </li></ul>
  6. 6. Policy-making in higher education <ul><li>What can governments do to influence, if not </li></ul><ul><li>steer, the national higher education system? </li></ul>
  7. 7. State/steering models <ul><li>Gornitzka (1999): Analyzing the relationship between governmental policy and organisational change </li></ul><ul><li>Characteristics of policy process and content (definitions and understandings of ”policy” – debates, green/white papers, degree of formalisation) </li></ul><ul><li>- Policy process (bargaining, policy arenas, policy actors, level of conflict, policy traditions) </li></ul><ul><li>- Policy content </li></ul><ul><li>a) Policy problem </li></ul><ul><li>b) Policy objectives (changing, adjusting or maintaining behaviour) </li></ul>
  8. 8. State/steering models <ul><li>c) Normative/theoretical basis of a policy (legitimation: knowledge; values and beliefs, ideology) </li></ul><ul><li>d) Policy instruments (Information, regulations/law, organisation, resources) </li></ul><ul><li>e) Policy linkages (coherence/consistency) </li></ul><ul><li>System-level characteristics (which constrain, facilitate, mediate change: state-models) </li></ul><ul><li>- The sovereign state (strong control) </li></ul><ul><li>a) Top-down </li></ul><ul><li>b) Hierarchy </li></ul><ul><li>c) Change happens as a response to political initiatives </li></ul>
  9. 9. State/steering models <ul><li>- The institutional state (protect academic values and traditions) (England before Thatcher…) </li></ul><ul><li>a) defend academic freedom </li></ul><ul><li>b) decision-making is specialist and traditionalist </li></ul><ul><li>c) division of power and authority </li></ul><ul><li>d) change happens as a consequence of evolution and historical development </li></ul>
  10. 10. State/steering models <ul><li>- The corporate-pluralist state (state is not the only legitimate power) </li></ul><ul><li>a) role of HE reflect many interests in society </li></ul><ul><li>b) policy-making takes place through a corporate network having diverse status </li></ul><ul><li>c) decision-making processes is closed arenas, through negotiations </li></ul><ul><li>d) change happens as a result of changes in power and influence </li></ul>
  11. 11. State/steering models <ul><li>- The supermarket state (minimal state, private actors important, market as the regulating mechanism) </li></ul><ul><li>a) Role of HE is to deliver services to the public </li></ul><ul><li>b) Role of the state is that of the ”bookkeeper” – overseeing the market </li></ul><ul><li>c) Institutional autonomy depends on the ability to survive </li></ul><ul><li>d) Change happens as a consequence of changes in the environment (market) </li></ul>
  12. 12. Change versus continuity <ul><li>- Europe: from sovereign state model to </li></ul><ul><li>corporate state model, and </li></ul><ul><li>supermarket model </li></ul><ul><li>- Other countries? </li></ul>
  13. 13. Change versus continuity <ul><li>- Related terms and concepts: </li></ul><ul><li>a) ”The evaluative state” (Neave) </li></ul><ul><li>b) ”Self-regulation” (van Vught) </li></ul><ul><li>c) Accountability (reporting requirement) </li></ul><ul><li>d) ”Marketplace” (pointing to the increasing use of market-like tools) </li></ul><ul><li>Gumport: </li></ul><ul><li>the underlying idea of the university is changing </li></ul><ul><li>from a social institution to a part of the economy </li></ul><ul><li>(industry). Change versus continuity? </li></ul>
  14. 14. External versus internal factors <ul><li>Conditions under which HE operates </li></ul><ul><li>External versus internal factors: </li></ul><ul><ul><li>Tendency to emphasise externalities (policies, international developments [globalization]) </li></ul></ul><ul><ul><li>Studies show that internal dimension should not be underestimated </li></ul></ul>
  15. 15. Theoretical approaches <ul><li>For discussion: </li></ul><ul><ul><li>Theoretical approaches (or explanatory frames) for improving understanding of higher education change, e.g. </li></ul></ul><ul><ul><li>emphasis on: </li></ul></ul><ul><ul><li>1. Change as a consequence of environmental processes of competitive selection. </li></ul></ul><ul><ul><li>2. Change product of strategic choices of managers and leaders. </li></ul></ul><ul><ul><li>3. Change takes place in a complex ecology of actors, processes and determinants. </li></ul></ul><ul><ul><li>Are there some universal principles concerning how to govern and organise higher education? </li></ul></ul>

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