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Adam, Stephen (2005). New Trends and New Providers in Higher Education. In Luc Weber and Sjur Bergan (Eds.), The Public Responsibility for Higher Education and Research. Strasbourg: Council of Europe Publishing.
| Adam highlights new trends and new providers in European higher education, and the different dimensions that ‘public responsibility’ might encompass. Adam concludes that (1) new trends and new providers will have an increasing impact at local, national, and international levels; (2) the academic community needs to assume a more active role in shaping the newly emerging educational world; and (3) that borderless education poses a unique set of challenges requiring a more sophisticated and effective response by states. |
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Albornoz, Orlando (2003). Higher Education Strategies in Venezuela. Caracas: Bibliotechnology Ediciones.
| Albornoz provides an analysis of the history of Venezuelan higher education, paying particular attention to higher education under the Chavez Government and the relationship of the university to society in turbulent times. Albornoz adopts a sociological perspective, and discusses increasing governmental control over higher education, while laying out the consequences for the future of science and scholarship. |
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Albrecht, Douglas, and Adrian Ziderman (1992). Funding Mechanisms for Higher Education: Financing for Stability, Efficiency, and Responsiveness. Washington, DC: World Bank Discussion Papers.
| Albrecht and Ziderman examine the mechanisms through which governments allocate resources to higher education, particularly in developing countries, in order to establish effective means to transfer subsidies to institutions. The discussion of funding mechanisms develops within the context of three major types of government restrictions impacting institutional behavior: (1) controlling student enrollments; (2) imposing high financial dependency on universities through prohibiting revenue diversification; and (3) imposing restrictions on the extent to which institutions are able to allocate their funding as they see fit. These restrictions have resulted in institutional deterioration. The challenge is to find a way to grant universities more autonomy over decision making while ensuring accountability to the providers of the funding. One solution is the use of buffer funding bodies that lie between the government and the institutions. Another solution is to change the criteria for allocation of resources. |
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Alexander, F. King (2003). Comparative Study of State Tax Effort and the Role of Federal Government Policy in Shaping Revenue Reliance Patterns. In F. King Alexander and Ronald G. Ehrenberg (Eds.), Maximizing Revenue in Higher Education. San Francisco: Jossey-Bass.
| Alexander compares state support by institutional sector and highlights drastic variations in taxpayer assistance by state and institutional sector. Alexander also analyzes the role of the federal government in influencing state higher education funding and policy. Alexander concludes that there is sufficient reason to be concerned about funding strategies and fiscal inequalities in American higher education. The substantial disparities in per-student state expenditures and state tax effort demonstrate the severity of these inequalities. |
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Altbach, Philip (2000). Academic Freedom: International Realities and Challenges. In Philip Altbach (Ed.), The Changing Academic Workplace: Comparative Perspectives. Chestnut Hill, MA: Boston College CIHE.
| While most countries and academic systems recognize academic freedom and express a commitment to it, academic freedom is hardly secure. Those responsible for leading and funding higher education are too concerned with finance and management issues. More attention needs to be given to the mission and values of the university. Without academic freedom universities cannot achieve their potential nor fully contribute to the emerging knowledge-based society. |
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Altbach, Philip (2004). Globalization and the University: Myths and Realities in an Unequal World. Tertiary Education and Management, 1.
| Altbach takes to task the perspective that all of the contemporary pressures on higher education are the result of globalization. The purpose of this essay is to ‘unpack’ the realities of globalization and internationalization in higher education and to highlight some of the ways in which globalization affects the university. Of special interest is how globalization is affecting higher education in developing countries. |
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Amaral, Alberto (2001). Higher Education in the Process of European Integration, Globalizing Economies and Mobility of Students and Staff. In Jeroen Huisman, Peter Maassen, and Guy Neave (Eds.), Higher Education and the Nation State: The International Dimension of Higher Education. Oxford: IAU/Pergamon Press.
| The issue of quality assurance has come to the forefront in most European countries. The issue of subsidiarity prevented the European Commission from explicitly developing policies at the supra-national level. Amaral believes that developments in quality assurance could pose a threat to variety and diversity across systems. Therefore quality assessment should be carried out at the level of member states. Supranational interference should be limited to checking whether proper mechanisms for quality assessment are applied, and to encouraging institutional audits along the lines established by the CRE. |
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Amaral, Alberto, and Teresa Carvalho (2004). Autonomy and Change in Portuguese Higher Education. In Andris Barblan (Ed.), Academic Freedom and University Institutional Responsibility in Portugal. Bologna: Bononia University Press.
| Amaral and Carvalho analyze the major problems of the Portuguese higher education system, which has gone through a period of very fast expansion of the number of candidates to higher education. The crisis has resulted in attacks on institutional autonomy, the academic drift of polytechnics, the questioning of the governance mechanisms of higher education institutions and increased state interference. |
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Amaral, Alberto, Glen A. Jones, and Berit Karseth (2002). Governing Higher Education: Comparing National Perspectives. In Alberto Amaral, Glen A. Jones, and Berit Karseth (Eds.), Governing Higher Education: National Perspectives on Institutional Governance. Dordrecht: Kluwer Academic Publishers.
| The authors identify trends in institutional governance. First, they observe that the stepping back of state ministries in many European countries from direct control; detailed regulation has in effect left a vacuum which institutions have been expected to fill. Second, the traditional pact between the university and society has been questioned leading to new expectations with respect to the socioeconomic role of the university. Third, in many countries public investment in higher education has decreased, leaving universities looking for new, non-governmental income sources. |
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Amaral, Alberto and Antonio Magalhaes (2003). The Triple Crisis of the University and its Reinvention. Higher Education Policy, 16(1), 239-253.
| Universities are living a triple crisis of hegemony, legitimacy, and institutional orientation. This crisis is coterminous with the fiscal crisis of the state and the crisis of the welfare state. The loss of legitimacy of the welfare state gave rise to an increasing role of the market and to the change of the university from a ‘social institution’ to a mere ‘social organization’ while new managerial values seem to be replacing the traditional modes of academic governance. It is necessary for higher education to be reinvented and for academics to present again the case for higher education. But this needs to be a new case, not a restatement of former arguments. |
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Arimoto, Akira, and Egbert de Weert (1994). Higher Education Policy in Japan. In Leo Goedegebuure, Frans Kaiser, Peter Maassen, Lynn Meek, Frans van Vught and Egbert (Eds.), Higher Education Policy: An International Comparative Perspective. Oxford/New York/ Seoul/Tokyo: Pergamon Press.
| Arimoto and de Weert begin with a discussion of the Japanese higher education system; moving onto a discussion of authority within the system and related policy; and conclude with ‘reflections’ on the impact of structure, authority, and higher education policy on institutional governance and management. They conclude by identifying the following trends: (1) most national and public universities, save a few prestigious research universities, have been regulated and controlled to a considerable degree by the government budget and resource allocation; (2) the most remarkable trend is the beginning of a shift toward market-driven coordination as seen in a series of policy-making processes; and (3) government’s policy seems to provide more substantive autonomy to individual institutions through deregulation. |
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Bain, Olga (1999). Reforming Russian Higher Education: Towards More Autonomous Institutions. International Journal of Educational Reform, 8(2), 120-129.
| Bain discusses the status and prospects of the government’s state policy promoting institutional autonomy in Russian higher education. She offers that institutional operations are fraught with serious problems. As the result, institutional financial sustainability, decentralized government control, and the internal balance of power are in jeopardy. |
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Bain, Olga (2001). Cost of Higher Education to Students and Parents in Russia. Tuition Policy Issues. Peabody Journal of Education 76(3/4), 57-80.
| Bain describes the long-standing Russian tradition of free higher education for Russian students, and how this situation is unraveling in the face of severe state austerity and the development of market relationships in education. The State is forced to confront the significant sociopolitical issue of recognizing the reality of self-financed individuals. Meanwhile the proposals of policymakers and the responses of individual institutions indicate an unwillingness to confront the issue head on. It in indecisive policy climate, there is room for the pursuit of conflicting individual interests. |
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Balan, Jorge (1993). Governance and Finance of National Universities in Argentina: Current Proposals for Change. Higher Education, 25(1), 45-59.
| Balan examines university policies proposed by Argentina’s constitutional government since 1983, focusing on controversy over the then-current administration’s proposed shift towards cost recovery. Implications for relationships between schools, state, and the market are discussed. Other policy issues such as accreditation and research support are addressed in this context. |
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Balan, Jorge (1998). Higher Education Policies in Argentina in the 1990s: Regulation, Coordination, and Autonomy. In Jorge Balan, Rollin Kent, and Carlos Navarro (Eds.), Higher Education Reform in Latin America, Latin American Program: Woodrow Wilson International Center for Scholars.
| Balan considers the Argentine higher education reform policies of the 1990s aimed at addressing the accumulated problems of poor quality and lack of coordination within a mass higher education system shaped largely by uncontrolled growth. The approach followed by the Higher Education Law of 1995 is based upon new regulatory and coordinating mechanisms designed to limit the entry of new institutions and to provide quality assurance through program assessments. Balan concludes that regulation by an autonomous agency, and coordination by consensus achieved at the Council of Universities, may have limited effects upon the system unless accompanied by widespread reform, including in the budgeting process. |
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Barr, Nicholas (1998). Higher Education in Australia and Britain: What Lessons. Australian Economic Review, 31(2).
| The British and Australian university systems share common roots and recently also share one another’s problems. The solutions they have adopted, however, show significant divergence. In many ways, the main lesson that Britain can offer Australia on the funding and organization of higher education is how not to do it. |
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Barr, Nicholas (2001). The Welfare State as Piggy Bank: Information, Risk, Uncertainty, and the Role of the State. Oxford: Oxford University Press.
| Section four of this book, which argues that the welfare state has a major and continuing role in facilitating insurance and consumption smoothing, is dedicated to education. Barr first sets out the core issues in the economics of education. He then discusses the presence (and absence) of information problems; the design of student loans in the face of the capital market imperfections; the options for financing higher education suggested by economic theory; and reviews selected international experience. The final chapter of this section turns to twenty-first century issues: the role of private funding in higher education; the design of student loans in an era of international labor mobility; rationalizing the funding of tertiary education; and the development of individual learning accounts. |
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Barr, Nicholas (2004). Higher Education Funding. Oxford Review of Economic Policy, 20(2).
| The expansion of higher education throughout the OECD – and beyond – is both necessary and desirable. But it is costly, and faces competing imperatives for public spending. Higher education finance is therefore salient to an extent that is not yet fully appreciated in all countries, and is also immensely sensitive politically. Barr sets out the core lessons for financing higher education deriving from economic theory and puts them alongside lessons from country experience. The UK reforms announced in 2004 are assessed against the backdrop of those two elements. |
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Barr, Nicholas, and Iain Crawford (1998). Funding Higher Education in an Age of Expansion. Education Economics, 6(1).
| This paper seeks to establish a coherent strategy for the reform of British higher education involving (a) a wide-ranging system of student loans, (b) flexibility to allow universities to charge variable fees, and (c) a move away from the central planning of higher education. This paper discusses the design and implementation of a student loan scheme with income-contingent repayments collected by the tax or national insurance authorities; considers how to arrange the scheme so that a significant fraction of student borrowing derives from private sources; and reports on a simulation exercise suggesting the likely repayment performance of the proposed scheme. |
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Baumol, William, and Sue Anne Batey Blackman (1995). How to Think About Rising College Costs. Planning for Higher Education, 23, 1-7.
| Baumol and Blackman discuss of the changing economic climate for higher education and look at college costs in relation to other indicators. They address the costs of higher education in other countries and hypothetical changes in spending and productivity in coming decades. They conclude that while the situation looks bleak, a preconception of practices and reallocation of resources can ameliorate it. |
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Benner, Mats, and Ulf Sandstrom (2000). Institutionalizing the Triple Helix: Research Funding and Norms in the Academic System. Research Policy, 29, 291-301.
| The authors address the shortcomings of the ‘triple helix’ model of knowledge production by adding an institutional complement. The article analyzes the institutional regulation of academic research, with a special emphasis on how norms in the academic system are constituted via research funding. It is argued that funding is a key mechanism of change in the norm system since its reward structure influences the performance and evaluation of research. The empirical analysis is based on the public financing of technical research in Sweden. In all the countries studied, reforms have emphasized the commercial potential and the societal relevance of the research supported, and the dominant modes of research funding are being replaced by a catalytic mode. |
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Berdhal, Robert (1990). Public Universities and State Governments: Is the Tension Benign? Educational Record.
| Berdahl examines the relationship between the state and the university. He makes a distinction between academic freedom and university autonomy. He makes a further distinction between what he calls substantive autonomy (the power of the institution to determine its own goals and programs) and procedural autonomy (the power of the institution to determine the means by which it will pursue its goals). Berdahl argues that state intervention limiting academic freedom or creating excessive procedural controls is counterproductive. He claims that while the state should play an important role in decisions that affect the substantive autonomy of higher education, the state must seek a "constructive partnership." Berdahl suggests that coordinating boards have not yet lived up to their potential and that institutional leadership has not made the commitment to "unreluctant participation" in the coordination process. He warns that if institutions do not learn to live with state boards, they will have to face a much less benign state demand for accountability from those outside of higher education. |
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Berdhal, Robert (1996). The Quasi-Privatization of a Public Honors College: A Case Study of St. Mary’s College in Maryland. ASHE Annual Meeting Paper.
| This case study concerns the 1992 Maryland legislation which granted St. Mary’s College, a Public Honors College, a lump sum budget and exemption from most normal state controls. This case study asks what have been the major consequences of a hybrid public/private status, whether the state government yielded too much autonomy to the college, and whether accountability has been lost. |
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Berdhal, Robert M. (2000, May). The Privatization of Public Universities. A Speech Delivered at Erfurt University, Erfurt, Germany.
| Berdhal concludes that American public and private universities are growing increasingly alike. Private universities all receive some form of public subsidy; and public universities have long been the beneficiaries of private support. Today, private universities rely on public support, in the form of federal grants to be excellent, and public universities cannot be excellent without private support. He cautions that institutions do not yet understand what ‘strings are attached’ in the solicitation of funds. |
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Bergan, Sjur (2005). Higher Education as a ‘Public Good and Public Responsibility’: What does it mean? In Luc Weber and Sjur Bergan (Eds.), The Public Responsibility for Higher Education and Research. Strasbourg: Council of Europe Publishing.
| Bergan broadly examines the question of the public responsibility for higher education and research from a political and institutional perspective. Bergan concludes that (1) public authorities bear the main responsibility for developing the framework of higher education; (2) public authorities bear the main responsibility for ensuring equal opportunities in higher education; (3) public authorities should have an important role in the provision of higher education; and (4) public authorities have an important financial responsibility to higher education. |
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Birdsall, Nancy (1996). Public Spending on Higher Education in Developing Countries: Too Much or Too Little? Economics of Education Review, 15(4), 407-19.
| Birdsall discusses problems with reallocating public resources for education in developing countries from higher to lower education levels. Birdsall argues that there is a case for maintaining and even increasing higher education spending as long as public funds can be directed to research and other ‘public good’ functions. Birdsall speculates that the true social rate of return to certain higher education components is high. |
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Bleiklie, Ivar (1998). Justifying the Evaluative State: New Public Management Ideals in Higher Education. European Journal of Education, 33(3), 299-316.
| Bleiklie discusses the introduction of New Public Management as the ideological foundation of the Evaluative State within the Norwegian university in a historical perspective. He positions this idea in three different contexts: the normative ideals surrounding university activity, the organizational ideals related to university governance and, finally, the recent reform in Norway. Bleiklie concludes that the universities’ role as civil service agencies is changing, rather than being weakened. The university is moving towards integration within a comprehensive public higher education system where civil service responsibilities will increasingly permeate the whole range of commitments to education and research at the university level. |
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Bleiklie, Ivar, Roar Hostaker, and Agnete Vabo (2000). Policy and Practice in Higher Education: Reforming Norwegian Universities. London: Jessica Kingsley Publishers.
| This volume describes and analyzes the interplay of actors at all three levels in the transformation of higher education, using Norway as a case study. The book details the intensive change and how it has redefined the location and mission of higher education. At the institutional level, the processes of growth, diversification, and integration are analyzed. The authors then look at recent organizational trends towards managerialism, theoretification and hierarchization. The authors examine the influence and identity of the academic profession and knowledge formation for the future ‘knowledge society’. |
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Bloland, Harland G. (1995). Postmodernism and Higher Education. Journal of Higher Education, 66(5), 77-88.
| Bloland examines postmodernism and higher education by presenting four seminal postmodernist authors’ ideas that provide a framework for discussions for much of the literature on postmodernism: Jacques Derrida, Michel Foucault, Jean-Francois Lyotard, and Jean Baudrillard. The postmodern concepts of these authors are discussed in terms of their implications for merit, community, and autonomy; three crucial characteristics of modernist higher education are discussed as they are situated in American society. Twelve reactions to the postmodern are introduced, each of which purports to interpret the consequences and illuminate the uses of postmodern thought. A summary of postmodernism’s legacy for higher education concludes the discussion. |
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Bloom, Allan (1987). The Closing of the American Mind: How Higher Education Has Failed Democracy and Impoverished the Souls of Today’s Students. New York: Harper Touchstone.
| As Saul Bellow describes in the foreword of this text: “The heart of Professor Bloom’s argument is that the university, in a society ruled by public opinion, was to have been an island on intellectual freedom where all views were investigated without restriction. Liberal democracy in its generosity made this possible, but by consenting to play an active or ‘positive’, a participatory role in society, the university has become inundated and saturated with the backflow of society’s ‘problems’. Preoccupied with questions of Health, Sex, Race, War, academics make their reputations and their fortunes and the university has become society’s conceptual warehouse of often harmful influences. Any proposed reforms of liberal education which might bring the university into conflict with the whole of the U.S.A. are unthinkable. Increasingly, the people ‘inside’ are identical in their appetites and motives with the people ‘outside’ the university.” |
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Blumberg, Peter D. (1996). From ‘Public or Perish’ to ‘Profit or Perish’: Revenues from University Technology Transfer and 501 (c) (3) Tax Exemption. University of Pennsylvania Law Review, 145(89), 89-147.
| The tax-exempt status of the university is predicated on its serving a public purpose. When a university engages in activity that is separate and distinct from this public purpose (such as the operation of a hotel or restaurant), the Tax Code has an appropriate solution--the unrelated business income tax. Revenues from university technology-transfer activities present a hard case: while scientific research is clearly inseparable from the mission of the research university, it is equally clear that research activities can be of such a type or conducted in such a manner that they bear little or no relation to the educational and scientific public purposes which originally justified the exemption. Certain aspects of the technology-transfer research enterprise--publication, exclusive licensing, student involvement, diminishment of academic freedom and basic research, and conflicts of interest raise the question of whether such income should be subject to UBIT (unrelated business income tax). |
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Bo’bbels-Dreyling, Brigitte (2003). University Financing Alternatives: The German Example. Higher Education in Europe, 28(2), 165-71.
| Following the formulation of the “Incentives and Accountability” leitmotiv in Germany, substantial changes have taken place in relation to the financing of higher education. A change of paradigm occurred that involved movement from detailed input-oriented state control to an output-oriented form of global control. Almost all the Landers are working with highly flexible institutional budgets and with indicator-based allocations of funds. A new salary scheme for professors, based on performance criteria has been introduced. In some Lander, contracts between state and universities – which describe the performance expected of the institutions – have been concluded. |
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Breneman, David W. (1993). Higher Education: On a Collision Course with New Realities. Boston: American Student Assistance.
| Breneman offers policy recommendations for each of the four major ‘players’ in financing higher education (institutions, states, the federal government, and philanthropy). Breneman offers that the early 1990’s financial crisis is different because a fundamental restructuring of the society, while having serious repercussions throughout the higher education community. |
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Breneman, David W., James L. Doti, and Lucie Lapovski (2001). Financing Private Colleges: The Role of Tuition Discounting. In Michael B. Paulsen and John C. Smart (Eds.), The Finance of Higher Education: Theory, Research, Policy, and Practice. New York: Agathon Press.
| The authors examine the analytics of tuition discounting as the predominant means by which many private colleges and universities achieve enrollment targets for their freshmen classes. They present a microeconomic theory of behavior of private colleges to examine college decision-making behavior in terms of the key relationships between tuition, enrollment, composition of the student body, and tuition discounting practices. The analysis addresses the changing roles of merit-based and need-based institutional aid in achieving enrollment goals. |
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Brint, Steven (2005). Can Public Research Universities Compete? In Carol Colbeck and Roger L. Geiger (Eds.), The Future of Public Research Universities, forthcoming.
| Brint discusses the competitive position of public research universities. He develops two ‘business models’ for higher education: one based on low volume/high cost (the private research university model); the other based on high volume/lost cost (the public research university model). He shows that the private model, at its best, generates a higher proportion of future leaders, stronger educational reputations, and leads to the accumulation of more wealth. However, the public model remains viable and successful, principally because it typically generates larger faculties. Convergence between these two models has been caused by the pressures on private universities to increase the size of their students bodies and faculties, as well as by declines in state appropriations for public universities. |
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Brooks, Chris W. (2003). Globalization: A Political Perspective. In Gilles Breton and Michel Lambert (Eds.), Universities and Globalization: Private Linkages, Public Trust. Paris: UNESCO.
| Brooks, representing the OECD, sets out a political approach to the globalization of higher education. From his perspective, the issues raised by globalization for the economic and academic worlds essentially relate to political choices. To highlight a few examples, governance, corruption, and public goods are key concerns in a world that is seeking new points of reference and in which universities could be mediators between the state and civil society, and the guardians of a new ethics that can respond to the global challenges with the required ‘intellectual honesty’. |
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Calhoun, Craig (1999). The Changing Character of College: Institutional Transformation in American Higher Education. In Bernice A. Pescasolido and Ronald Aminzade (Eds.), The Social Worlds of Higher Education. Thousand Oaks, CA: Pine Forge Books.
| Calhoun argues that part of the transformation of higher education in the 20th century is the emergence of a highly differentiated system of colleges and universities, stratified by access to resources, by selectivity of admissions and composition of student bodies, and by rewards and working conditions for faculty. Calhoun suggests that a ‘one size fits all’ approach to higher education will unwittingly fail, and it is imperative to instead acknowledge the diversity among institutions. |
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Calhoun, Craig (2000). The Specificity of American Higher Education. In Ragnvald Kalleberg (Ed.), Comparative Perspectives on Universities. Oslo: Institute for Social Research.
| The possibility – and potential pitfalls – of an ‘Americanization’ of European higher education are widely discussed. Calhoun argues that it is important to base comparisons and considerations of possible emulation on a stronger understanding of the specificity of American higher education. He stresses the importance of seeing this as a system with highly differentiated institutions and complex contextual relations. The paper also summarizes dramatic changes that have transformed American higher education in recent years, and others that are beginning to transform it further. This shows the system to be internally dynamic and also influenced by important external conditions (including matters of finance, public policy, and new technology). The U.S. system is only understood if analyses locate specific patterns in relation to these structural transformations. Such specificity should inform future comparative research. |
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Calhoun, Craig (2002). Structural Transformation of the University: Contradictory Ideals and Institutional Compromises in American Higher Education. Presented to the Thesis 11 Center for Critical Theory at LaTrobe University.
| Calhoun focuses on changes within American research universities, and specifically on the relationship between the funding of such institutions and their character and social contributions. Calhoun maintains a belief in the centrality of the university, but insists that the university has undergone, and will continue to undergo, a ‘structural transformation’. This transformation is the result of a multitude of forces, not just dwindling state support, commercialization, or changes in philanthropic giving. |
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Callon, Michael, and Dominique Foray (1994). Is Science a Public Good? Fifth Mullins Lecture. Science, Technology, and Human Values 19(4): 395-423.
| From the standpoint of economics, science should be considered as a public good and for that reason it should be protected from market forces. Callon and Foray show that this result can only be maintained at the price of abandoning arguments traditionally deployed by economists themselves. It entails a complete reversal or our habitual ways of thinking about public goods. In order to bring this reversal about, the authors draw on the central results obtained by the anthropology and sociology of science and technology over the past several years. Science is a public good, not because of its intrinsic properties but because it is a source of diversity and flexibility. |
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Cantor, Nancy, and Paul N. Courant (2003). Scrounging for Resources: Reflections on the Whys and Wherefores of Higher Education Finance. In F. King Alexander and Ronald G. Ehrenberg (Eds.), Maximizing Revenue in Higher Education. San Francisco: Jossey-Bass.
| Cantor and Courant consider the question: “as we scrounge for the resources to support higher education in the twenty-first century, to what extent do we risk losing sight of essential elements of higher education?” They conclude that if universities are to garner support, they must be prepared to talk persuasively and honestly about the value of liberal education, of community, of strong disciplines, of the ability to cross boundaries, and the benefit of a wide swath of society learning and teaching about a variety of subjects from diverse perspectives. |
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Checkoway, Barry (2001). Renewing the Civic Mission of the American Research University. Journal of Higher Education (Mar. – Apr. 2001).
| Checkoway wrestles with the question of whether the American research university should have a strategy for renewing its civic mission in a diverse democratic society, and if so, what should this strategy entail. |
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Chevaillier, Thierry (2002). University Governance and Finance: The Impact of Changes in Resource Allocation on Decision Making Structures. In Alberto Amaral, Glen A. Jones, and Berit Karseth (Eds.), Governing Higher Education: National Perspectives on Institutional Governance. Dordrecht: Kluwer Academic Publishers.
| One of the instruments for change in the French higher education system has been the development of multi-year contracts between the state and individual universities. Chevaillier analyzes the relationship between this new approach to financing French universities and university governance. Drawing on resource dependency theory among others, he discusses the complex relationship between resource allocation and organizational structure. |
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Clark, Burton R. (1995). Complexity and Differentiation: The Deepening Problem of University Integration. In David D. Dill and Barbara Sporn (Eds.), Emerging Patterns of Social Demand and University Reform: Through a Glass Darkly. Oxford/New York/Tokyo: Pergamon Press.
| Clark explores challenges to university coherence and integrity posed by external and internal pressures for organizational differentiation and fragmentation. An obvious and tangible effect of current policy changes is reform in university financing. Clark offers that much adaptive differentiation is unplanned, and allowances must be in place for this virtual ‘anarchy of production’. |
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Clark, Burton R. (1998). Creating Entrepreneurial Universities: Organizational Pathways of Transformation. Oxford: Pergamon Press.
| Clark examines issues related to the entrepreneurial transformation of five universities (the University of Warwick, the University of Twente, the University of Strathclyde, Chambers University of Technology, and the University of Joensuu). Clark concludes that the university-environmental relationship is characterized by a deepening asymmetry between environmental demand and institutional capacity to respond. Universities require not only an enlarged capacity to respond to changes in the external worlds of government, business, and civic life but also a better honed ability to bring demands under control by greater focus in institutional character. An overall capacity to respond flexibly and selectively to changes taking place is necessary. |
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Clark, Burton, R. (2004). Sustaining Change in Universities: Continuities in Case Studies and Concepts. Maidenhead, England: New York.
| Clark argues that sustainable, adaptive universities do not depend on ephemeral personal leadership, but rather on collective responses that build new sets of structures and processes that steadily express a determined institutional will. Clark also sets forth a ‘third way’ of university-environment relations going beyond portraying universities as either state-led or market driven. According to Clark, such institutions face the challenge of moving from passive autonomy that risks stagnation in the status quo to proactive autonomy that risks the uncertainties of change. |
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Collis, David J. (2004). The Paradox of Scope: A Challenge to the Governance of Higher Education. In William G. Tierney (Ed.), Competing Conceptions of Academic Governance: Negotiating the Perfect Storm. Baltimore: Johns Hopkins University Press.
| Collis explains why the governance of higher education is more problematic than ever before by drawing on recent research in the strategy field that has identified ‘the paradox of scope’. The university still has the same scope of responsibilities, but its authority over those activities has been reduced. Globalization, technology, the massive growth of tertiary education, the emergence of the knowledge economy, and the intrusion of market forces into the sector, among other forces and trends, all threaten to disrupt the academe. Collis foresees an ever more conservative institution in response to the increasing inability of current governance structures to respond to external events. He concludes with proposed improvements for these structures. |
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Connell, Helen (2004). University Research Management: Meeting the Institutional Challenge. Paris: OECD Publishing.
| This publication is focused squarely on the challenges facing higher education management in the face of government transformation. Connell discusses the issues now facing universities as they confront the increasing pressure to ‘produce’ research to keep the competitive edge. Drawing on eight case studies (Australia, Belgium, Brazil, Germany, Ireland, Malaysia, Portugal, and Turkey), the report focuses on four key themes: (1) the growing significance of the research mission to higher education; (2) strengthening structures and processes for research management; (3) funding and resourcing university research; and (4) nurturing research careers. |
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Conraths, Bernadette and Hanne Smidt (2005). The Funding of University-Based Research and Innovation in Europe: An Exploratory Study. Brussels: European University Association.
| This study illustrates the needs and potential methods for gathering systemic data and analyzing key elements of the funding of research and innovation in Europe. The study addresses the enormous diversity in national funding structures; increasing institutional expenditures on research and innovation; diversified funding sources; and reform of university management and accounting structures. |
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Cowen, Robert (2000). The State, Civil Society and Economies: The University and the Politics of Space. In Jules L. Peschar and Marieke van der Wal (Eds.), Education Contested: Changing Relations between State, Market and Civil Society in Modern European Education. Lisse, The Netherlands: Swets & Zeitlinger.
| Cowen argues that the modern university is the result of interplay between the state, market, and civil society. His analysis focuses on the nationally formulated goals in various countries, but does not concentrate on the market in particular. However, when discussing the ‘university of the future’, Cowen does concentrate on the market, and argues that a global university is emerging through new ICT-technology and further globalization and internationalization. Old patterns of state, market, and civil society cannot easily be traced in this new concept; the relevance of state and civil society appears to diminish or at least still has to develop in the global society, and therefore the market is the dominant mechanism of influence. |
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Currie, Jan (2003). Australian Universities as Enterprise Universities: Transformed Players on a Global Stage In Gilles Breton and Michel Lambert (Eds.), Universities and Globalization: Private Linkages, Public Trust. Paris: UNESCO.
| Currie believes it is possible for (traditional) universities to resist globalization, defined as an essentially economic process representing the neoliberal ideology. Drawing on a case-study of three Australian universities (Murdoch, Monash, and Melbourne), she shows how they have gradually changed into enterprise-universities and views this as the emergence of a new type of university player. However, since the results of these universities’ actions are mixed, she thinks that there is still hope for the role of traditional universities. |
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Daniel, John (2003). Scientific Communism and the Capitalist Economy: Universities in the Era of Globalization. In Gilles Breton and Michel Lambert (Eds.), Universities and Globalization: Private Linkages, Public Trust. Paris: UNESCO.
| Daniel, representing UNESCO, explains how education must remain a public good while knowledge should be ‘made freely available on the Web’. He believes that it is wrong to reduce the contribution of universities to mere economic growth and suggests that their intellectual, cultural, and social influence be emphasized. He concludes with a passionate plea for cross-border education, provided that a system of quality assurance and accreditation is established worldwide. |
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Dill, David D., and Barbara Sporn (1995). University 2001: What Will the University of the Twenty-First Century Look Like? In David D. Dill and Barbara Sporn (Eds.), Emerging Patterns of Social Demand and University Reform: Through a Glass Darkly. Oxford/New York/Tokyo: Pergamon Press.
| Dill and Sporn systematically explore the implications of the postindustrial environment for the organizational design of universities. Dill and Sporn recommend the network model of organization as a useful metaphor for understanding the types of incremental reforms that may be needed for the university to adapt to its new environment. |
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Donahue, John (1989). The Privatization Decision: Public Ends, Private Means. New York: Basic Books.
| Donahue presents a useful framework for thinking about privatization and the domain of social spending. He defines the public realm and examines various rationales for paying for goods and services collectively; takes up issues of organizational architecture and assesses alternative institutional structures for enforcing accountability in public tasks; looks to specific public tasks where private delivery is being tried, or considered, or has become the norm (weapons procurement, local government service contracting, prison privatization, and subsidized training programs). He concludes that there are real opportunities to make public undertakings more efficient and accountable by enlisting the private sector, but also that the imperatives of organizational design and political feasibility are at odds with one another. |
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Duderstadt, James J. (2005). The Future of Higher Education in the Knowledge-Driven, Global Economy of the Twenty-First Century. In Glen A. Jones, Patricia L. McCarney, and Michael L. Skolnik (Eds.), Creating Knowledge, Strengthening Nations: The Changing Role of Higher Education. Toronto/Buffalo/London: University of Toronto Press.
| Duderstadt focuses on four major external challenges to universities: the skills race, the markets, technology, and global sustainability. He argues that the discussion of how to transform the university to address these challenges must focus on a series of issues, beginning with a reconsideration of ‘values of the university that should be protected and preserved during a period of change’. The increasing importance of diversity should also be recognized. Duderstadt notes that universities are only one component of a broader network of institutional types composing the higher education sector, and the various roles of all the institutions must be reconsidered. |
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Duderstadt, James and Farris W. Womack (2003). Beyond the Crossroads: The Future of the Public University in America. Baltimore, MD: Johns Hopkins University Press.
| The former President and the former CFO of the University of Michigan provide an overview of the central problems facing American public universities. Among these are the issue of financing, the role of market forces, technology, leadership and governance, and the role of the public university in a changing society. They argue that public universities must change to meet the challenges of privatization and the other challenges of the current period if they are to continue to flourish. |
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Dunn, Delmer D. (2003). Accountability, Democratic theory, and Higher Education. Educational Policy 17: 60-79.
| Policy making works best with a blending of elected and nonelected officials’ values and preferences. Developing this kind of relationship in higher education will be especially challenging given the history of autonomy of higher education professionals, the difficulty of measuring effectively what higher education does, and the values of academic freedom that can speak truth no matter how painful that may be. |
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Eisenberg, Rebecca S. (1996). Public Research and Private Development: Patents and Technology Transfer in Government-Sponsored Research. Virginia Law Review, 82(8).
| Patents have a critical role to play in facilitating technology transfer in some contexts. But they can also interfere with technology transfer and with the broader goal of promoting continuing technological progress. These goals may sometimes be better served by allocating new knowledge to the public domain. Government is uniquely situated to enrich the public domain. It is reasonable to be wary of disabling the government from performing this critical function. |
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Etzkowitz, Henry (2004). The Evolution of the Entrepreneurial University. International Journal of Technology and Globalization, 1(1).
| A second academic revolution, integrating a mission for economic and social development is transforming the traditional teaching and research university into an entrepreneurial university. The Triple Helix thesis postulates that the interaction among university-industry-government is the key to improving the conditions for innovation in a knowledge-based society. Innovation is defined as the creation of new arrangements among the institutional spheres that foster the conditions for innovation. Invention of organizational innovations, new social arrangements and new channels for interaction become as important as the creation of physical devices in speeding the pace of innovation. This paper draws for data on interviews conducted by the author in the USA, Sweden, Brazil, Italy, Portugal, and Denmark. |
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Fernandez, Raquel, and Richard Rogerson (1995). On the Political Economy of Education Subsidies. Review of Economic Studies, 62, 249-262.
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Standard models of public education provision predict an implicit transfer of resources from higher-income individuals to lower-income individuals. Many studies have documented that public higher education involves a transfer in the reverse direction. This paper shows that this pattern of redistribution is an equilibrium outcome in a model in which education is only partially publicly provided and individuals vote over the extent to which it is subsidized. The article characterizes economies in which poorer individuals are effectively excluded from obtaining an education and their tax payments help offset the cost of education obtained by others. Fernandez and Rogerson show that increased inequality in the income distribution makes these outcomes more likely and that the efficiency implications of this exclusion depend on the wealth of the economy.
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Fisher, Donald, and Kjell Rubenson (1998). The Changing Political Economy: The Private and Public Lives of Canadian Universities. In Jan Currie and Janice Newson (Eds.), Universities and Globalization: Critical Perspectives. Thousand Oaks, CA: Sage Publications.
| Fisher and Rubenson examine the changing role of universities in Canadian society against the backdrop of ‘fundamental shifts in the relation between capital and labor and between public and private spheres’. They focus on the university in capitalist democracies as an institution engaged in the ‘exercise of mutual legitimation’. The authors stress that the governments promoting drastic reductions in public spending and increased reliance on the public sector are themselves very active. They also point out that while budget cuts are important, they are not the only issue. The combined effects of governments’ fiscal policies and the merging of education with training have led toward differentiation and specialization within and among higher education institutions, and well as increasing vocationalism in university curricula. |
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Garratt, Rod and John Marshall (1994). Public Finance of Private Goods: The Case of Higher Education. Journal of Political Economy.
| This paper describes a contract theory of public finance of college education that explains why everyone pays for the college education of a lucky minority. The contract provides gambles that families desire. Optimizing the contract determines the taxes paid by all members of society, fees paid by those whose children go to college, the fraction of children who are admitted to college, and the quality of college education. Changes in wealth lead to changes in taxes and admissions, but fees and quality are invariant. The practice of using a cutoff level of precollege achievement to determine admission to college is justified by the theory. |
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Gibbons, Michael (1995). The University as an Instrument for the Development of Science and Basic Research: The Implications of Mode 2 Science. In David D. Dill and Barbara Sporn (Eds.), Emerging Patterns of Social Demand and University Reform: Through a Glass Darkly. Oxford/New York/Tokyo: Pergamon Press.
| Gibbons explores the other major post-war rationale for public support of universities. He provides evidence of a recent change for the university’s role as a primary agency for basic research. Gibbons concludes that if more and more knowledge is produced outside of the university and is not ‘codified’ in conventional ways, university presidents and senior administrators must contemplate their positions and adapt appropriately. |
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Gilmer, Scott W. (1997). The Winds of Privatization: A Typology for Understanding the Phenomenon in Public Higher Education. Paper presented at the Association for the Study of Higher Education, Albuquerque, New Mexico.
| In defining privatization, this paper makes the distinction between privatizing and contracting, and notes six areas where a good or service can be owned or managed by the government or by the private sector: ownership of physical property, production management, financing, allocation, and regulation. Gilmer also examines the underlying forces behind privatization, including a changing political climate, declining public confidence in higher education, declining state government appropriations, and the belief that more efficient allocation of resources will lead to better services at a reduced cost. |
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Goedegebuure, Leo, Frans Kaiser, Peter Maassen, Lynn Meek, Frans van Vught, and Egbert de Weert (1994). International Perspectives on Trends and Issues in Higher Education Policy. In Leo Goedegebuure, Frans Kaiser, Peter Maassen, Lynn Meek, Frans van Vught and Egbert de Weert (Eds.), Higher Education Policy: An International Comparative Perspective. Oxford/New York/ Seoul/Tokyo: Pergamon Press.
| The authors ground their discussion in the country policy reports constituting the first twelve chapters of this edited volume. Their discussion concentrates on: (1) diversity in higher education systems; (2) authority, governance, and management in higher education systems; (3) policy instruments; (4) quality and accountability; and (5) the state of transition. |
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Goldstein, Harvey, Gunther Maier, and Michael Luger (1995). The University as an Instrument for Economic and Business Development: U.S. and European Comparison. In David D. Dill and Barbara Sporn (Eds.), Emerging Patterns of Social Demand and University Reform: Through a Glass Darkly. Oxford/New York/Tokyo: Pergamon Press.
| The authors explore the principal means by which the universities have an economic impact on their regions, and weigh the relative merits of contemporary approaches to stimulating development. The authors conclude that universities face a broader and more complex set of demands, and whether a university should become involved in a particular set of activities depends both on the university structure and its region and economy. |
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Gornitzka, Ase (1999). Governmental Policies and Organizational Change in Higher Education. Higher Education, 38, 5-31.
| This article presents a theoretical framework for a comparative research project on how organizational change in universities is affected by governmental policies and programs. The framework is based upon the resource dependency and neo-institutionalism perspectives. The article suggests that these models offer insight into how and why governmental steering approaches have changed over time. |
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Gornitzka, Ase and Peter Maassen (2000). Analyzing Organizational Change in Higher Education. In Ragnvald Kalleberg (Ed.), Comparative Perspectives on Universities. Oslo: Institute for Social Research.
| Two theoretical perspectives on organizational change are outlined. First, a resource dependence perspective emphasizing that organizational change must be understood by looking at how organizations perceive their environments; and second, a neo-institutional framework for studying change in higher education organizations emphasizing the cognitive and normative elements in the environment. Both perspectives represent valuable analytical frameworks that can be combined fruitfully. The article also focuses on the role of the state. With reference to both resource dependence theory and neo-institutional perspective relevant aspects of policymaking as well as characteristics of the content of policies and programs are presented. It is argued that there is a need for seeing interaction of the government with universities and colleges as located in an overall system of state steering of higher education. Four state (or governance) models have been discussed grasping different approaches to national policymaking, steering, and governance of higher education in Europe and the way these affect change processes in universities and colleges. |
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Graham, Hugh Davis (1989). Structure and Governance in American Higher Education: Historical and Comparative Analysis in State Policy. Journal of Policy History, 1(1), 80-107.
| Graham provides an overview of the literature on governance in American higher education, beginning with a discussion of the "benchmarks" in the statewide coordination literature: Moos' and Rourke's The Campus and the State, Glenny's Autonomy of Public Colleges, and Berdahl's Statewide Coordination of Higher Education. Graham provides an overview of state trends in statewide governance and coordination, from acceleration toward "superboards" in the 1960s and 1970s to the movement toward coordinating boards in the 1980s. Graham concludes by arguing that the lessons of history indicate that the strength of higher education in the U.S. derive in part from the competitive diversity that exists under the decentralized systems of control. He argues that "jockeying for advantage" should not be seen as inefficient, but rather as the "engine" that has made the system the envy of the world. |
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Green, Madeleine, Peter Eckel, and Andris Barblan (2002). The Brave New (and Smaller) World of Higher Education: A Transatlantic View. Washington, DC: American Council on Education.
| This paper outlines the impact of globalization, competition, and resource restrictions on higher education, and advocates for a long-term, holistic view of university responses to these impacts. Such a perspective is necessary for institutions to determine the ‘fundamental mental values’ of higher education; consider how higher education can serve a function beyond career preparation; find accessible ways of demonstrating the benefits of higher education; consider how the university best serves the state as a partner, consumer, and regulator; and consider how institutions become agile and adapt to changing environments. |
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Greer, Darryl G. (1993). Fulfilling the Promise of Educational Opportunity. In Financing Higher Education in the 21st Century. Washington, DC: National Commission on Responsibilities for Financing Postsecondary Education.
| Green questions whether colleges in times of fiscal restraint are truly asking what they can do or what they can afford to do. He emphasizes the need for innovative approaches to financing in all areas of higher education. He also argues for the continuation of a similar division of resources as in the past, but with more efficiency and commitment to stability. The financing approaches Greer recommends include: clarifying the shared responsibility for finance; disaggregating functions by mission and developing rationales to support missions; and improving financial aid through more closely linking federal and state financial aid with basic educational policy. |
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Gumport, Patricia (2000). Academic Restructuring: Organizational Change and Institutional Imperatives. Higher Education: The International Journal of Higher Education and Educational Planning, 39, 67-91.
| A perennial challenge for universities and colleges is to keep pace with knowledge change by reconsidering their structural and resource commitments to various knowledge areas. Reflecting upon changes in the academic landscape of public higher educaiton in the United States over the past quarter of a century, Gumport diagnoses a macro-trend whereby the dominant legitimating idea of public higher education has changed from higher education as a social institution to higher education as an industry. Three interrelated mechanisms are identified as having advanced this process: academic management, academic consumerism, and academic stratification. |
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Halstead, Kent (1996). State Profiles: Financing Public Higher Education, 1978 to 1996 Trend Data. Washington, D.C.: Research Associates of Washington.
| Halstead produces a model of the principal factors governing state support of public higher education. Halstead presents raw state data, indexed data, weighted state comparisons, and national overviews; and analyzes state FTE, appropriations, and net tuition data, along with data gathered from the Census Bureau, the Department of Treasury, and the National Center for Education Statistics, and created tables displaying state support, tax capacity, and family share of funding. |
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Hayrinen-Alestalo, Marja, Karolina Snell, and Ulla Peltola (2000). Pushing Universities to Market Their Productions: Redefinitions of Academic Activities in Finland. In Ragnvald Kalleberg (Ed.), Comparative Perspectives on Universities. Oslo: Institute for Social Research.
| During the last decade Finnish universities have been obliged to respond to changing socioeconomic pressures. In the welfare state period, the university policy emphasized social and regional equality and democratization. The universities were expected to contribute to the common good. But from the end of the 1980s, the goals of the welfare state have been complemented or substituted by the neo-liberal ideals that rely on the logic of market forces. This has meant new social values and a new role for universities. The universities are pushed to specify their areas of expertise and compete for both public and private resources. These pressures stem from national technology and innovation policies as well as from the policies of the European Union. Two periods of university change are explored. Because the universities differ in size, disciplinary composition, and background they also experience the pressures differently. The authors examine the three leading Finnish universities during these two periods and their responses to the almost opposite pressures of welfare state ideology and neo-liberalism. |
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Hearn, James C. (2001). The Paradox of Growth in Federal Aid for College Students, 1960-90, In Michael B. Paulsen and John C. Smart (Eds.), The Finance of Higher Education: Theory, Research, Policy, and Practice. New York: Agathon Press.
| Hearn addresses the historical roots of the paradox of significant growth in the federal aid programs in concert with an ongoing absence of many of the contextual characteristics assumed, under rationalist models of policy development, to be prerequisites for growth. Hearn looks at the ways in which well-intentioned and capable policy advocates and administrators, backed by continuing pro-student aid sentiment, have succeeded in substantially improving programs. Hearn provides five explanatory frameworks that may aid understanding of this paradox. |
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Heller, Donald E. (2001). Trends in the Affordability of Public Colleges and Universities: The Contradiction of Increasing Prices and Increasing Enrollment. In Donald E. Heller (Ed.), The States and Public Higher Education Policy. Baltimore and London: Johns Hopkins University Press.
| Heller provides an overview of the rise in college prices and how this can be reconciled with increasing college enrollments. Data on tuition prices, financial aid availability, and family incomes are used to construct measures of affordability based on the ability of students and their families to pay for college. Heller includes an examination of how affordability has changed for students in different income groups and different racial and ethnic groups. |
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Heller, Donald E. (2004). State Oversight of Academia. In Ronald G. Ehrenberg (Ed.), Governing Academia. Ithaca and London: Cornell University Press.
| Heller first discusses the history of state governance of higher education and what the social outcomes of American higher education are likely to be. He then asks whether how states choose to administer higher education has any impact on the end results. |
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Hesketh, Anthony J. (1999). Towards an Economic Sociology of the Student Financial Experience of Higher Education. Journal of Education Policy, 14(4).
| Hesketh reports on an ongoing research project exploring the perceptions of finance held by undergraduate students and how these perceptions modify over time. It examines changing government policy on student finance in an historical context before moving on to provide a critique of contributions made to the sociology of the student experiences thus far. The rationale underpinning the case for a new economic sociology of the undergraduate financial experience of higher education is presented and then augmented by way of empirical data. The final section then examines some of the implications of the research findings for the new and arguably still evolving government policy on student finance. |
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Hilmer, Michael J. (2001). Redistributive Fee Increases, Net Attendance Costs, and the Distribution of Students at the Public University. Economics of Education Review, 20, 551-62.
| Hilmer examines the effect of policies that increase tuition at public four-year colleges while returning a substantial portion of the revenue to economically disadvantaged students in the form of increased financial aid awards. Such ‘redistributive fee increases’ are demonstrated to have potentially important effects on the distribution of students choosing to attend in-state public four-year colleges. Specifically, if in-state public four-year net attendance costs increase by themselves, then high-test students are far more likely than low-test students to choose alternative paths. If the net attendance costs of alternative paths also increase Black and Hispanic students are most likely to choose alternative paths. |
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Hossler, Don (2004). Refinancing Public Universities: Student Enrollments, Incentive-Based Budgeting, and Incremental Revenue. In Edward P. St. John and Michael D. Parsons (Eds.), Public Funding of Higher Education: Changing Contexts and New Rationales. Baltimore: Johns Hopkins University Press.
| Hossler addresses the role of strategic enrollment management in generating tuition revenue in public universities. Revenue theory argues that in their pursuit of excellence, institutions raise all the revenue they need. Resource dependency theory argues that institutions substitute for the erosions of one revenue source by increasing revenue from other sources. Hossler illustrates that in pursuit of excellence, institutions are raising tuition and using student aid in strategic ways to promote enrollment. |
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Hufner, Klaus (2003). Governance and Funding of Higher Education in Germany. Higher Education in Europe, 28(2), 145-65.
| Hufner provides a short description of the overall development of German higher education, and an explanation regarding the functioning of decision making relating to legal, administrative, planning, and financial matters. Hufner addresses the increasing privatization of German higher education and the ensuing legal and financial problems in detail. He also considers the implications of the introduction of new funding schemes based on performance indicators. |
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Hufner, Klaus (2003). Higher Education as a Public Good: Means and Forms of Provision. Higher Education in Europe, 28(3).
| The issue of higher education as a public good is discussed from three perspectives: 1) the economic perspective, 2) the legal perspective, and 3) the normative-political perspective. Hufner concludes that higher education is best described as a mixed good, or both public and private. Its efficiency of delivery would be increased by its being somewhat marketized. |
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Irwin, Alan, and Mike Michael (2003). Science, Social Theory, and Public Knowledge. Maidenhead: Open University Press.
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Irwin and Michael consider it a significant social challenge to establish a more productive relationship between science and the wider society. This book sets out to explore how citizens, policy makers, social scientists and campaign groups have responded to that challenge. They argue that there is substantial scope for social learning and mutual education within the relationship between science, social theory, and public knowledge.
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Johnes, Geraint (2004). The Evaluation of Welfare Under Alternative Models of Higher Education Finance. In Pedro Teixeira, Ben Jongbloed, David Dill, and Alberto Amaral (Eds.), Markets in Higher Education: Rhetoric or Reality? Dordrecht/Boston/London: Kluwer Academic Publishers.
| One of the ways governments traditionally regulated the higher education sector was through degree of publicness. Privatization can be implemented through the adoption of private-like behavior by public institutions or by the emergence of private institutions in traditionally public dominated systems. Using an economic model, Johnes defines the critical issues arising once societies allow for the coexistence of public and private funding sources. Johnes raises questions associated with the definition or priorities of social spending and the distribution of public funds among different social groups. Moreover, he highlights the fact that in contemporary society higher education may find itself trapped on a level of low investment. |
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Johnstone, Bruce (2004). The Economics and Politics of Cost Sharing in Higher Education. Economics of Education Review, 23(4), 403-410.
| Cost-sharing, or the shift in at least part of the higher educational cost burden from governments to parents and students, is a worldwide trend manifested in the introduction of tuition fees, user chargers for lodging, food, and in the diminution of student grants. Johnstone examines the rationales for cost-sharing as well as the continuing ideological, political, and technical opposition to it, even in the face of extreme austerity and the virtual inevitability of higher education revenue diversification. |
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Jones, Glen A. (2002). The Structure of University Governance in Canada: A Policy Network Approach. In Alberto Amaral, Glen A. Jones, and Berit Karseth (Eds.), Governing Higher Education: National Perspectives on Institutional Governance. Dordrecht: Kluwer Academic Publishers.
| Jones focuses on university governance in Canada by reviewing the findings of a series of complementary studies of university governing board members, senate members, faculty associations, student associations, and university presidents. He uses a policy network approach to describe the complex interrelationships between the individuals, unions, associations, and formal governance structures that are associated with institutional decision-making processes. |
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Kaiser, Frans, Hans Vossensteyn, and Jos Koelman (2001). Public Funding of Higher Education: A Comparative Study of Funding Mechanisms in Ten Countries. The Netherlands: Center for Higher Education.
| The authors focus primarily on the funding mechanisms for higher education. They consider how public resources are allocated among higher education institutions in order to achieve both governmental as well as institutional goals. They limit their analysis the funding mechanisms, rather than focus on the optimal level of public funding of higher education. |
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Kalleberg, Ragnvald (2000). Universities: Complex Bundle Institutions and the Projects of Enlightenment. In Ragnvald Kalleberg (Ed.), Comparative Perspectives on Universities. Oslo: Institute for Social Research.
| Kalleberg’s main theme is the peculiar, bundled processes of learning and inquiry going on in universities. Kalleberg locates Burton Clark’s Places of Inquiry within a broad framework of science studies, with general social theory and ‘new institutionalism’ included in the theoretical framework. Using Haberma’s two-tier theory of modern societies, as systems and lifeworlds, Kallberg argues that the university bundle is rooted in basic reproduction processes in the lifeworld, tied to individual identity formation, cultural reproduction, and social integration. Such disciplinary bundling of tasks is probably indispensable for viable civil societies and the sociocultural sustainability of complex, modern societies. Lastly, Kalleberg claims that it is as important to grasp the research-dissemination nexus as the research-study nexus, in order to understand what goes on in research universities and the conditions for fruitful and relevant development of disciplines. |
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Kane, Thomas J. (1995). Rising Public College Tuition and College Entry: How Well Do Public Subsidies Promote Access to College? Working Paper Series No. 5146. Cambridge, MA: NBER.
| Kane evaluates the price sensitivity of college for youth, using several sources of non-experimental variation in costs. The bulk of the evidence points to large enrollment impacts, particularly for low-income students and for those attending two-year colleges. The states have chosen to promote college enrollment by keeping tuition low through across-the-board subsidies rather than using more targeted, means-tested aid. As public enrollments increase, this has become an expensive strategy. Means-tested aid may be better targeted. However, the evidence of enrollment responses to such targeted aid is much weaker. After a federal means-tested grant program was established in 1973, there was no disproportionate increase in enrollment by low-income youth. These two sets of results should be reconciled. |
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Keller, George (2004). A Growing Quaintness: Traditional Governance in the Markedly New Realm of U.S. Higher Education. In William G. Tierney (Ed.), Competing Conceptions of Academic Governance: Negotiating the Perfect Storm. Baltimore: Johns Hopkins University Press.
| Keller considers whether the traditional forms of college and university governance are still appropriate, and whether the conditions inside and outside colleges have shifted so profoundly that the old forms are becoming obsolete. Keller concludes that mass higher education, with its more varied institutions and newly heterogeneous teaching faculty, greater size of its institutions, more competitive conditions, heavier financial needs, and new sensibilities of its students, faculty, and administrators have rendered the dogmas of ‘our quieter academic past’ inadequate. |
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Kerr, Clark (1994). Higher Education Cannot Escape History: Issues for the Twentieth Century. Albany: SUNY Press.
| In this third publication in the series, Clark Kerr draws upon his numerous essays and speeches to outline the conflicts and contradictions that higher education in the United States, as well as abroad, must face in the new century. These include: national versus international issues; equality of treatment versus merit in academic pursuits; tradition versus the challenges of the present and future; and differentiation of function versus homogenization of institutions. The essays outline possible solutions to these dilemmas. |
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Kerr, Clark (1994). Troubled Times for American Higher Education: The 1990s and Beyond. Albany: SUNY Press.
| This collection of essays discusses the challenges facing higher education in the 1990s and the years beyond and contrasts this with the 1980s, which Kerr calls an "easy decade" for higher education, since enrollment growth was moderate and financing was stable. In various essays, Kerr identifies a series of challenges facing higher education in the 1990s, including concern over the quality of undergraduate education, ethics in higher education, the impending "racial crisis," and increased competition for resources. He concludes that in order to operate effectively in these troubled times, higher education must be dynamic and make changes. |
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Kirp, David L. (2003). Education for Profit. Public Interest, 152, 100-12.
| Kirp focuses on the largest for-profit U.S. schools (the University of Phoenix and DeVry University). He notes that these schools are in fierce competition with community colleges, regional state universities, and private schools. He further notes that school opponents complain that such schools are operated as profit-driven businesses that deemphasize learning and do not promote public values. |
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Kramer, Martin (1993). Changing Roles in Higher Education Finance. In Background Papers and Reports of the National Commission for Financing Postsecondary Education. Washington, DC: National Commission on Responsibilities for Financing Postsecondary Education.
| This report reexamines the questions in the Carnegie report, Higher Education: Who Pays? Who Benefits? Who Should Pay? Kramer argues that the claim that higher education can be viewed as an investment with very high returns is only partially accurate, as it does not take into account the many benefits society receives from educating its populace. Higher education as an investment in employees is also partially accurate, but many employers are only interested in non-transferable benefits. And lastly, intergenerational equity also is a concept that has much merit, but does not take into account the eventual complexity of financing higher education. |
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Kwiek, Marek (2001). Globalization and Higher Education. Higher Education in Europe, 26(1).
| This article links the role of higher education in society and culture with two parallel processes: 1) the questioning of the nation-state in the global age, and 2) the gradual decomposition of the welfare state in the majority of OECD countries. Kwiek argues that a major redefinition of the general responsibilities of the state vis-à-vis the familiar type of society characterized by the welfare state is underway, along with a major revision in thinking about the role of the state in contemporary policies and economies brought about by the process of globalization. The article is written in reference to Europe, but has global relevance. |
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Leslie, Larry L., and Paul T. Brinkman (1987). Student Price Response in Higher Education. Journal of Higher Education, 58(2), 181-204.
| The results of twenty-five empirical student demand works are standardized and analyzed using meta-analytic methods. Leslie and Brinkman show that higher prices reduce higher education enrollments, that students historically have been more responsive to tuition prices than to (offsetting) student aid, and that low-income students are most sensitive to price changes, as are students in public versus private institutions. |
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Levy, Daniel C. (1986). Higher Education and the State in Latin America: Private Challenges to Public Dominance. Chicago: University of Chicago Press.
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Levy is concerned with how each higher education sector relates to the state and to the private sphere. He is concerned with privateness and publicness as measured against ideal types relating to finance, governance, and function, and is concerned with evaluative comparisons that revolve around notions of freedom, choice, equity, and effectiveness. This book does not address the public-private balance in detail.
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Lingenfelter, Paul E. (2004). The State and Higher Education: An Essential Partnership. In William G. Tierney and Vicente M. Lechuga (Eds.), Restructuring Shared Governance in Higher Education. San Francisco: Jossey-Bass.
| Lingenfelter offers up the perspective of state officials, who are increasingly disenchanted with university management and missions. He does not call for increased state involvement, but points out that the evolving purposes of higher education necessitate structural change. Lingenfelter does not believe that states will relent in pursuit of accountability. |
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Lohmann, Susanne (2004). Darwinian Medicine for the University. In Ronald G. Ehrenberg (Ed.), Governing Academia. Ithaca and London: Cornell University Press.
| Lohmann treats the university as an institution whose organization has evolved over a long history to held solve problems of information and commitment. She stresses that aspects of the university that may appear to outside observers to be defects, such as the tenure system and impermeable departmental boundaries, are actually subtle design solutions that have evolved to help facilitate the university’s goals. Thus any proposal to reform university governance needs to be crafted very carefully, with a full understanding of the institution’s local history and environment. While institutional governance rules tend to get etched in stone, it is important to judge carefully whether they are defects of the system that need to be changed or defenses of the system that help it to achieve its goals. |
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Lucas, Christopher J. (1996). Crisis in the Academy: Rethinking Higher Education in America. New York: St. Martins Press.
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First, Lucas argues that American higher education is so diverse and varied in character that the most sweeping generalizations about its overall condition are practically meaningless. He asserts that if there is indeed a crisis in the academy, it is primarily a crisis of purpose. He ascribes to the belief that the American higher education is overbuilt and overinvested, and that first and foremost, universities must again become places of instruction. The modern professoriate has a professional obligation to struggle with the age-old problem of restoring greater coherence and intelligibility within a common undergraduate curriculum. Lastly, institutions must learn how to best respond to public demands for accountability.
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