Institutionalization of World-Class University in Global Competition

Institutionalization of World-Class University in Global Competition

The Changing Academy The Changing Academic Profession in International Comparative Perspective 6 Series Editors William K. Cummings, The George Washington University, Washington, USA Akira Arimoto, Kurashiki Sakuyo University, Kurashiki City, Okayama, Japan Editorial Board Jürgen Enders, University of Twente, Enschede, the Netherlands Amy Metcalfe, the University of British Columbia, Vancouver, Canada Christine Musselin, CSO Research Interests Higher Education and Research, Paris, France Rui Santiago, University of Aveiro, Portugal Simon Schwartzman, Institute for Studies and Labour and Society, Rio de Janeiro, Brazil Ulrich Teichler, University of Kassel, Germany Charles Wohluter, Northwest University, South Africa Scope of the series As the landscape of higher education has in recent years undergone significant changes, so correspondingly have the backgrounds, specializations, expectations and work roles of academic staff. The Academy is expected to be more professional in teaching, more productive in research and more entrepreneurial in everything. Some of the changes involved have raised questions about the attractiveness of an academic career for today s graduates. At the same time, knowledge has come to be identified as the most vital resource of contemporary societies. The Changing Academy series examines the nature and extent of the changes experienced by the academic profession in recent years. It explores both the reasons for and the consequences of these changes. It considers the implications of the changes for the attractiveness of the academic profession as a career and for the ability of the academic community to contribute to the further development of knowledge societies and the attainment of national goals. It makes comparisons on these matters between different national higher education systems, institutional types, disciplines and generations of academics, drawing initially on available data-sets and qualitative research studies with special emphasis on the recent twenty nation survey of the Changing Academic Profession. Among the themes featured will be: 1. Relevance of the Academy s Work 2. Internationalization of the Academy 3. Current Governance and Management, particularly as perceived by the Academy 4. Commitment of the Academy The audience includes researchers in higher education, sociology of education and political science studies; university managers and administrators; national and institutional policymakers; officials and staff at governments and organizations, e.g. the World Bank. For further volumes: http://www.springer.com/series/8668

Jung Cheol Shin Barbara M. Kehm Editors Institutionalization of World-Class University in Global Competition 123

Editors Jung Cheol Shin Department of Education Seoul National University Korea, Republic of (South Korea) Barbara M. Kehm University of Kassel Germany ISBN 978-94-007-4974-0 ISBN 978-94-007-4975-7 (ebook) DOI 10.1007/978-94-007-4975-7 Springer Dordrecht Heidelberg New York London Library of Congress Control Number: 2012953388 Springer Science+Business Media Dordrecht 2013 This work is subject to copyright. All rights are reserved by the Publisher, whether the whole or part of the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction on microfilms or in any other physical way, and transmission or information storage and retrieval, electronic adaptation, computer software, or by similar or dissimilar methodology now known or hereafter developed. Exempted from this legal reservation are brief excerpts in connection with reviews or scholarly analysis or material supplied specifically for the purpose of being entered and executed on a computer system, for exclusive use by the purchaser of the work. Duplication of this publication or parts thereof is permitted only under the provisions of the Copyright Law of the Publisher s location, in its current version, and permission for use must always be obtained from Springer. Permissions for use may be obtained through RightsLink at the Copyright Clearance Center. Violations are liable to prosecution under the respective Copyright Law. The use of general descriptive names, registered names, trademarks, service marks, etc. in this publication does not imply, even in the absence of a specific statement, that such names are exempt from the relevant protective laws and regulations and therefore free for general use. While the advice and information in this book are believed to be true and accurate at the date of publication, neither the authors nor the editors nor the publisher can accept any legal responsibility for any errors or omissions that may be made. The publisher makes no warranty, express or implied, with respect to the material contained herein. Printed on acid-free paper Springer is part of Springer Science+Business Media (www.springer.com)

Preface Current discussions on the world-class university (WCU) have focused on national policy development, effectiveness studies of WCU programs in each country, and exploring models for WCUs. For example, in his recent discussions on WCUs, Philip Altbach (2010) in his edited book, Leadership for World Class University, focused on WCU leadership in developing countries. Jamil Salmi (2009) in his report The Challenge of Establishing World Class Universities compared three models of WCUs and discussed directions for the role of the World Bank as an international agency for economic development. Liu, Wang, and Cheng (2010) also focused on national policy and institutional experience in their edited book Paths to a World-Class University (2010). The recent book by Altbach and Salmi (2011) The Road to Academic Excellence: The Making of World-Class Research Universities is in the line with these publications. The policy development approach provides rationales for developing WCUs and provides information on how to build WCUs, particularly in developing countries. This discussion will help policymakers and university administrators in designing and building a research university. On the other hand, in this book, we move the WCU discussions forward from a developmental perspective to a sociological perspective. Our interest is in how WCUs have been institutionalized as social systems as well as culturally in each country, at both the institution and the individual faculty level. Specifically, we focus on how WCUs have been institutionalized as a policy at the governmental level and how the policy is interpreted and adopted by university administrators and individual professors. This book reviews nine countries: three countries with non-english-speaking advanced systems (Germany, France, and Japan), three non-english-speaking developing systems (Korea, China, and Taiwan), and three English-speaking developing systems (Malaysia, Singapore, and Hong Kong SAR). These countries have set out to build competitive world-class universities. Each contributor discusses their national higher education context and has chosen representative research universities to demonstrate how they institutionalized a WCU at the institutional and individual professor levels. In the case study, authors highlight some unintended side effects of WCUs as well as describe the institutionalizing processes. What is interesting from v

vi Preface a sociological point of view is that many researchers are rather skeptical about the idea of WCUs and global rankings. This book consists of four parts. Part I provides a theoretical and practical grounding for the theme of institutionalization of a world-class university. In Chap. 2, Prof. Shin discusses the world-class university from a conceptual framework of the global, national, and local perspectives. He then proposes dimensions of institutionalization of a world-class university from national policy, university, and individual professor levels. In Chap. 3, Prof. Ma describes the development of a world-class university from her long involvement in WCU discussions. She uses the term global research university because a world-class university focuses on research, and she tries to compare global research universities with traditional research universities. She also discusses how American research universities are functioning as global teaching universities through branch campuses and cooperative programs in other countries, such as in the Middle East and China. In Chap. 4, Prof. Heyneman expands the academic discussions from Jamil Salmi s discussion to the issues of sector-wide requirements for world-class university. Professor Heyneman proposes ten requirements for a world-class university, and he evaluates the extent to which the requirements are satisfied in eight OECD countries.in Chap. 5, Prof. Marginson discusses the growing competition from East Asian countries in the global rankings. He pays attention to the Confucian tradition in the region and compares the Confucian model with the US and the Westminster model (UK, Australia, and New Zealand). Finally, he develops his discussion of a world-class university in relation to national, cultural, and educational issues within a framework of comparative and global higher education. Part II of the book introduces the institutionalization of world-class universities in selected non-english-speaking advanced countries (Germany, Japan, and France). The strong government initiatives for a world-class university in the region may be related to the governments taking a lead in the sociocultural structure of these countries. In Chap. 6, Prof. Kehm describes the policy development for a worldclass university in Germany where horizontal diversity has been longstanding. She shows how the initiative has been approached by individual universities and academic units and evaluates whether the policy initiative has accomplished its primary goals. According to her, there are both positive and negative outcomes from the excellence initiatives. In Chap. 7, Cremonini, Benneworth, Dauncey, and Westerheijden focus on France where its universities are not ranked highly globally although its higher education has a long history as a model of the modern university. They explain how the French government has approached excellence initiatives through its contract with universities and the impact of its contract-based approach. In Chap. 8, Prof. Yonezawa discusses how Japan established a world-class university in the 2000s and how policy initiatives have been influenced by political changes and the recession. Special focus is given to how the governance changes of incorporation of national universities affect the world-class university initiatives among leading Japanese universities including Tokyo University and Nagoya University. Part III introduces the institutionalization of a world-class university in selected non-english-speaking developing Asian countries (Korea, China, and Taiwan). In

Preface vii Chap. 9, Prof. Shin and Jang focus on how perspectives about a world-class university differ by government, universities, and professors. In the chapter, they conclude that governments are proactive, universities are responsive, and professors procrastinate. To demonstrate this, they selected Seoul National University as a case study. In Chap. 10, Prof. Luo discusses a brief history of the Chinese government s policy efforts to build knowledge centers in the global economy since the early 1990s. Professor Luo selected Tsinghua University as a representative Chinese university demonstrating the institutionalization of a world-class university. The Tsinghua s case is impressive in terms of its progress in the global rankings. Luo shows, however, how the rapid growth in research productivity has impacted the academic profession there. In Chap. 11, Prof. Chang discusses how Plan to Develop World-Class Universities and Top-level Research Centers which was launched in 2005 has impacted Taiwanese higher education. His main focuses are on how the project changed the institutional mission, governance, administration systems, faculty personnel policy, resource allocation, and faculty workloads in different campuses. In addition, he examines the impact of the WCUs project on Taiwanese higher education at the national and institutional levels. Part IV introduces the institutionalization of a world-class university in selected English-speaking developing Asian countries (Malaysia, Singapore, and Hong Kong SAR). In Chap. 12, Prof. Sirat introduces the Malaysian government s recent initiatives the National Higher Education Strategic Plan 2020 to build a worldclass research university. Professor Sirat focuses on how each individual university interprets the government initiative from their own perspective and how they respond to the initiative. The Malaysian case shows that each university interprets the initiative differently based on their own contexts and has developed their individual strategy. The top-ranked Malaysian universities focus on research, while the other universities focus on teaching or their relationship with industries. In Chap. 13, Prof. Ho discusses the Singapore case which is quite different from that of other countries. As a global city country, Singapore aggressively attracted international scholars and students to do better manpower development as well as to enhance research capacity. In addition, Singaporean scholars and students are actively engaged in international collaboration. In Chap. 14, Prof. Postiglione and Jung introduce worldclass university initiatives in Hong Kong, China. They highlight the Hong Kong University of Science and Technology (HKUST) as a case study of how to build a world-class university through establishing a new research university. This strategy is quite different from other countries where the government has strengthened the research capacity of traditional national flagship universities. Interestingly enough, it took only 20 years for the Hong Kong University of Science and Technology to become a top-ranked Asian university following its establishment in 1991. They discuss what different strategy the HKUST applied to build a world-class university and how its academic culture, governance, and funding are different from other universities. Chapters 15 and 16 are the concluding sections of this book. In Chap. 15, Prof. Ramirez and Meyer analyze and interpret the cases of nine countries from a sociological perspective and extract implications from the world-class university

viii Preface initiatives at a government policy, university, and professor level. This chapter sums up the cases through a theoretical lens focusing on how the world-class university has been disseminated and institutionalized in the world. In Chap. 16, the concluding chapter, Prof. Shin and Kehm highlight the similarities and differences between countries or between historical and cultural traditions in their approaches toward a global competition for a world-class university. They then expand their discussion to the challenges that a world-class university confronts. We thank Hoon Ho Kim and Yangsun Kim, Ph.D. students at Seoul National University, for their contribution to the editorial works. We could not have completed our editing in a timely manner without their help. (Seoul National University, South Korea) (Kassel University, Germany) Editors: Jung Cheol Shin Barbara M. Kehm

Acknowledgement This work was supported by the National Research Foundation of Korea Grant funded by the Korean Government (NRF-2010-330-B00232). ix

Contents 1 The World-Class University in Different Systems and Contexts... 1 Jung Cheol Shin and Barbara M. Kehm Part I Background of WCU Worldwide 2 The World-Class University: Concept and Policy Initiatives... 17 Jung Cheol Shin 3 The Global Research and the World-Class Universities... 33 Wanhua Ma 4 World-Class Universities: The Sector Requirements... 45 Stephen P. Heyneman and Jeongwoo Lee 5 Nation-States, Educational Traditions and the WCU Project... 59 Simon Marginson Part II WCUs in Non-English Speaking Advanced Systems 6 To Be or Not to Be? The Impacts of the Excellence Initiative on the German System of Higher Education... 81 Barbara M. Kehm 7 Reconciling Republican Egalité and Global Excellence Values in French Higher Education... 99 Leon Cremonini, Paul Benneworth, Hugh Dauncey, and Don F. Westerheijden 8 Challenges for Top Japanese Universities When Establishing a New Global Identity: Seeking a New Paradigm After World Class... 125 Akiyoshi Yonezawa xi

xii Contents Part III WCUs in Non-English Speaking Developing Systems 9 World-Class University in Korea: Proactive Government, Responsive University, and Procrastinating Academics... 147 Jung Cheol Shin and Yong Suk Jang 10 Building World-Class Universities in China... 165 Yan Luo 11 The Challenges for Establishing World-Class Universities in Taiwan... 185 Dian-fu Chang Part IV WCUs in English Speaking Developing Systems 12 Malaysia s World-Class University Ambition: An Assessment... 205 Morshidi Sirat 13 Peering Through the Dust of Construction: Singapore s Efforts to Build WCUs... 225 Kong Chong Ho 14 Frameworks for Creating Research Universities: The Hong Kong Case... 237 Gerard A. Postiglione and Jisun Jung Part V Conclusion 15 Universalizing the University in a World Society... 257 Francisco O. Ramirez and John W. Meyer 16 The World-Class University Across Higher Education Systems: Similarities, Differences, and Challenges... 275 Jung Cheol Shin and Barbara M. Kehm Author Bios... 287 Index... 295