Higher Education: Handbook of Theory and Research Volume XXIII
Senior Associate Editor William G. Tierney, Ph.D. Rossier School of Education University of Southern California USA wgtiern@mizar.usc.edu Associate Editors Ben Baez, Florida International University, USA (Social Context) Alan E. Bayer, Virginia Polytechnic Institute and State University, USA (College Faculty) Corinna A. Ethington, University of Memphis, USA (Research Methodology) Simon Marginson, Monash University, Australia (Comparative and International Education) Michael K. McLendon, Vanderbilt University, USA (Governance and Planning) Raymond P. Perry, University of Manitoba, Canada (Curriculum and Instruction) Brian Pusser, University of Virginia, USA (Systems and Organizations) Edward St. John, The University of Michigan, USA (Finance and Economics) Scott L. Thomas, The University of Georgia, USA (College Students)
John C. Smart Editor Higher Education: Handbook of Theory and Research Volume XXIII Published under the sponsorship of the Association for Institutional Research (AIR) and the Association for the Study of Higher Education (ASHE)
Editor John C. Smart College of Education University of Memphis USA jsmart@memphis.edu ISBN: 978-1-4020-6958-1 e-isbn: 978-1-4020-6959-8 ISSN: 0882-4126 Library of Congress Control Number: 2008920070 2008 Springer Science + Business Media B.V. No part of this work may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, microfilming, recording or otherwise, without written permission from the Publisher, with the exception of any material supplied specifically for the purpose of being entered and executed on a computer system, for exclusive use by the purchaser of the work. Printed on acid-free paper 9 8 7 6 5 4 3 2 1 springer.com
Contents Contributors................................................... vii Economic Models and Policy Analysis in Higher Education: A Diagrammatic Exposition............................ 1 Michael B. Paulsen and Robert K. Toutkoushian Rankings and Classifications in Higher Education: A European Perspective......................................... 49 Marijk van der Wende Institutional Transformation and the Advancement of Women Faculty: The Case of Academic Science and Engineering................................................ 73 Mary Frank Fox The State, the Market and the Institutional Estate: Revisiting Contemporary Authority Relations in Higher Education............................................. 105 Brian Pusser Interests, Information, and Incentives in Higher Education: Principal-Agent Theory and Its Potential Applications to the Study of Higher Education Governance............ 141 Jason E. Lane and Jussi A. Kivisto Toward a Theory of Faculty Professional Choices in Teaching That Foster College Student Success.................... 181 John M. Braxton Financial Aid and Student Dropout in Higher Education: A Heterogeneous Research Approach.................... 209 Rong Chen v
vi Contents Theorizing Research Policy: A Framework for Higher Education............................................ 241 Amy Scott Metcalfe Studying the Effectiveness of Programs and Initiatives in Higher Education Using the Regression-Discontinuity Design............................... 277 Sally A. Lesik From Creation to Cultural Resistance and Expansion: Research on American Indian Higher Education............................................... 299 Roger Geertz González Using Holland s Theory to Study Patterns of College Student Success: The Impact of Major Fields on Students.............................................. 329 Kenneth A. Feldman, John C. Smart, and Corinna A. Ethington Name Index.................................................... 381 Subject Index.................................................. 391 Contents of Previous Volumes.................................... 395
Contributors John M. Braxton is Professor of Education in the Higher Education Leadership and Policy Program at Vanderbilt University. His research interests include faculty teaching and scholarship role performance. In addition to numerous journal articles, Braxton has published two books on these topics: Faculty Misconduct in Collegiate Teaching (1999) co-authored with Alan E. Bayer and Institutionalizing a Broader View of Scholarship Through Boyer s Four Domains (2002) co-authored with William Luckey and Patricia Helland. He has also published three edited books on faculty issues. Professor Braxton serves as a Consulting Editor for the Journal of Higher Education and Research in Higher Education. He is also a Past-President of the Association for the Study of Higher Education. Rong Chen is an Assistant Professor of Education Leadership, Management and Policy at the Seton Hall University, and teaches courses in quantitative methods, research design, and policy analysis. She received her Ph.D. in higher education from the University of Michigan in 2007. Her research focuses on student financial aid, college student dropout behavior, and socioeconomic and racial equity in higher education opportunities. Her recent work on these issues has been published in Research in Higher Education. Chen is the recipient of an American Educational Research Association Dissertation Grant and an Association for Institutional Research Dissertation fellowship in 2005. Corinna A. Ethington is Professor of Educational Research and program coordinator for Educational Research at the University of Memphis, where she teaches statistics and research methods. Her research interests include college students and the broad domain of gender differences at all educational levels, with a decided focus on performance, persistence, and achievement in mathematics and scientific fields. She serves the University of Memphis as chair of the Committee for the Protection of Research Subjects. Kenneth A. Feldman is Professor of sociology at Stony Brook University. Along with authoring a wide array of articles, he has written or edited several books, vii
viii Contributors including The Impact of College on Students (with Theodore Newcomb), Teaching and Learning in the College Classroom (with Michael Paulsen), and Academic Disciplines (with John Smart and Corinna Ethington). Among his awards are two from the American Educational Research Association (Wilbert J. McKeachie Career Achievement Award of the Special Interest Group for Faculty Teaching, Evaluation and Development; Distinguished Research Award of the Postsecondary Education Division) and one from the Association for the Study of Higher Education (Research Achievement Award). Mary Frank Fox is Advance Professor in the School of Public Policy, and co-director of the Center for the Study of Women, Science, and Technology, at Georgia Institute of Technology. Her research focuses upon gender, science, and academia; and her publications appear in over 50 different scholarly and scientific journals, books, and collections. Her current research projects include a study of programs for women in science and engineering, supported by NSF; the research component for the NSF ADVANCE Institutional Transformation award to Georgia Tech for which she was Co-PI; and a study of faculty careers in computing, supported by NSF through the National Center for Women and Information Technology. Roger Geertz Gonzalez is an Assistant Professor at Florida International University (FIU). He is also a Research Associate at the Center for Urban Education and Innovation and Fellow for the Center for the Study of Spirituality at FIU. His research focuses on: Indigenous students and higher education, Latino and White ethnic identity, Minority Serving Institutions, college student civic engagement, and comparative higher education policy. Jussi A. Kivisto is Assistant Professor (acting) in Higher Education Administration and Management and a member of the Higher Education Group at Department of Management Studies, University of Tampere, Finland. Born in Tampere, Finland, in 1976, he received in 2001 M.Sc. (Admin.) and in 2007 Ph.D. (Admin.) from University of Tampere, Finland. His research interests include principal-agent theory, funding and governance of universities, higher education policy, and organization theory. He is also part-time lecturer teaching undergraduate courses of administrative science. Kivisto is married and has two children. Jason E. Lane is an Assistant Professor in the Department of Educational Administration and Policy Studies at the University at Albany, SUNY. His research focuses on higher education governance, accountability, and politics and works toward developing institution and system capacity, effective governance structures, and knowledgeable leaders and administrators. Dr. Lane is author of several journal articles and book chapters, has co-edited (with M. Christopher Brown) two monographs on institutional accountability (Examining Unique Campus Settings: Insights for Research and Assessment and Studying Diverse Students and Institutions: Challenges and Considerations) and is an associate editor of the forthcoming sixth edition of the ASHE reader: Organization and Governance in Higher Education.
Contributors ix Sally A. Lesik is an Associate Professor of Mathematical Sciences at Central Connecticut State University. She earned a bachelor s degree in Engineering from the University of Hartford, a bachelor s degree in Mathematics from Trinity College, a master s degree in Statistics from Yale University, a master s degree in Mathematics from Wesleyan University, and a doctorate in education from Harvard University. Her research interests are in applied educational statistics and institutional research. Amy Scott Metcalfe is an Assistant Professor, Higher Education in the Department of Educational Studies at the University of British Columbia. Dr. Metcalfe s recent work focuses on academy-industry-government structures and faculty labor in relation to the research mission of colleges and universities. She is also principle investigator for the Images of Academic Science project, which examines photographic evidence of scientific research at the University of British Columbia. Michael B. Paulsen is Professor of Higher Education at the University of Iowa. His scholarly work on economics, finance and policy in higher education has been published in journals such as the Journal of Higher Education, Research in Higher Education, The Review of Higher Education, Economics of Education Review, Journal of Education Finance, Educational Evaluation & Policy Analysis, and Higher Education: Handbook of Theory and Research, as well as in his books on The Finance of Higher Education: Theory, Research, Policy & Practice (with John Smart); Applying Economics to Institutional Research (with Robert Toutkoushian); and College Choice. Brian Pusser is an Assistant Professor in the Center for the Study of Higher Education of the Curry School of Education at the University of Virginia. His research focuses on the politics of higher education, the organization and governance of postsecondary institutions, and the role of international, national and state policies in shaping the postsecondary arena. John C. Smart holds a joint appointment in the Department of Counseling, Educational Psychology and Research and the Department of Leadership (Higher and Adult Education) at The University of Memphis. He has served as Editor of Research in Higher Education since 1990 and formerly was Editor of The Review of Higher Education (1980 1986). Professor Smart is the recipient of the Distinguished Career Research Award from the American Educational Research Association (Division J, 1997), the Sydney Suslow Award from the Association for Institutional Research (1998), and the Career Research Achievement Award from the Association for the Study of Higher Education (2001). Robert K. Toutkoushian is an Associate Professor of Educational Leadership & Policy Studies and chair of the Educational Leadership program at Indiana University. He received his Ph.D. in economics from Indiana University, and teaches courses in education finance, economics of education, and quantitative methods. His scholarly
x Contributors work on economics, finance and policy in higher education has appeared in Research in Higher Education, Economics of Education Review, Education Economics, Journal of Higher Education, The Review of Higher Education, and the Higher Education: Handbook of Theory and Research. He also serves as the editor-in-chief for the journal New Directions for Institutional Research. Marijk van der Wende is a Professor of higher education at the Centre for Higher Education Policy Studies (CHEPS) at the University of Twente and at the Vrije Universiteit Amsterdam. Her research focuses on the impact of globalization on higher education and related processes of internationalisation and Europeanization. She published widely on how these processes affect higher education systems, their structure and governance, institutional strategies, curriculum design, innovation, quality assurance methods, and the use of technology.