A 'QUALITY' POLICY TRAJECTORY: FROM GLOBAL HOMOGENISATION TO LOCALISED
DIFFERENTIATION
LESLEY VIDOVICH
SCHOOL OF EDUCATION
MURDOCH UNIVERSITY
PERTH, WESTERN AUSTRALIA
RE: VIDOL97. 114A
PAPER PRESENTED TO THE AUSTRALIAN ASSOCIATION FOR RESEARCH IN EDUCATION
CONFERENCE, BRISBANE,
30 NOVEMBER - 4 DECEMBER, 1997
DRAFT ONLY
THE DATA PRESENTED IN THIS PAPER FORMS PART OF A PHD THESIS.
**PLEASE DO NOT REPRODUCE OR CITE WITHOUT PERMISSION FROM THE AUTHOR.
INTRODUCTION
In Australian higher education, a ministerial policy statement, Higher
Education: Quality and Diversity in the 1990s, released in October 1991
was a key turning point in the rise to prominence of the notion of
'quality'. As 'quality' had already appeared on the higher education
policy agenda of many countries during the 1980s, it seems that
Australia was simply picking up an established global trend. However,
it was also embarking on a reconstruction of the notion of 'quality'
which was specifically adapted for the Australian higher education
context.
In 1991, the minister responsible for higher education, Peter Baldwin,
referred the issue of quality to the Higher Education Council (HEC)
which produced discussion papers and a final report during 1992. In
1993, the Committee for Quality Assurance in Higher Education (CQAHE)
was established to refine the quality policy text for application at
the institutional level. Institutions were invited to produce a
portfolio to demonstrate quality and then to receive a visit from a
CQAHE team which would verify the claims made in the portfolio and
report back to CQAHE. Subsequently CQAHE ranked universities into bands
according to performance and allocated reward funding of $76 million
annually for the period 1993-95.
For analytic purposes in this study, three levels of the quality policy
process were distinguished: a macro level - the minister and HEC; an
intermediate level - CQAHE; and a micro level - individual
institutions. The larger PhD study, from which this paper originates,
conducts a detailed analysis at all levels but only the findings of
interviews conducted at the micro institutional level are presented
here, with some limited comparisons with CQAHE at the intermediate
level.
Defining quality
Despite its growing prominence in policy documents, the concept of
quality remains elusive (Becher, 1994), generating a variety of
interpretations. Harvey and Green (1993) offer a useful overview of
various definitions of quality as employed by different stakeholders.
They are:
* 'quality as exceptional' - with variants of quality as distinctive,
excellence and passing required standards;
* 'quality as perfection or consistency' - aiming for zero defects in
the process;
* 'quality as fitness for purpose' - related to customer specification
or mission, and which includes quality assurance mechanisms;
* 'quality as value for money' - focussing on accountability and
performance indicators;
* 'quality as transformation' - where the participant is enhanced
through value-addedness and/or empowerment.
In another useful contribution to clarifying the notion of quality,
Sachs refers to Harvey and Green's multiple and competing views of
quality, but she condenses their five fold typology into two: QA
(quality assurance) for accountability and QI (quality improvement)
(Sachs, 1994). According to her definition, QA has an external
(government driven) locus of control and is associated with
centralised/bureaucratised administrative structures, with external
auditors measuring quantitative indicators of success. By contrast, QI
has an internal (employee driven) locus of control and is associated
with devolved/facilitative administrative structures, which use peer
review to assess more qualitative indicators of success. Whereas QA is
about control, QI is about empowering the participants. Notwithstanding
this conceptual distance between the two dimensions of quality, Sachs
argues that they can be brought together as more complementary
processes in the long term interests of both internal and external
stakeholders. Sach's 'QI' directly parallels the 'transformation'
notion of Harvey and Green, but her 'QA' is closer to their 'value for
money' with an emphasis on accountability and performance indicators.
Combining the approaches taken by Harvey and Green, and Sachs, three
different constructions of the notion of quality can be extracted as an
aid to teasing out the different discourses associated with quality
policies: 'quality as excellent standards'; 'quality as accountability'
(QA); and 'quality as improvement' (QI). The argument developed at
length in the larger PhD study is that despite the rhetoric about
'quality as excellent standards' and 'quality as improvement' (QI) in
the Australian policy documents, it is 'quality as accountability' (QA)
which has prevailed.
Theoretical framework
The analysis of data in this study makes extensive, though not
exclusive, use of a theoretical framework offered by Stephen Ball. The
relevance of his work is his concern to "problematize policy through
several of its 'levels' or 'dimensions' or 'moments' of activity and
effect" (Ball & Shilling, 1994, p. 2). Ball emphasises the complex and
the contested (Ball, 1990) nature of education policy as a process
rather than an end product (Ball, 1994; White & Crump, 1993). His
desire to capture the messy realities of the policy process (Ball,
1994) is consistent with the goal of this study.
In Reforming education and changing schools (Bowe, Ball & Gold, 1992),
Ball and his co-authors urged against the separation of policy
formulation and implementation phases, because a linear top-down
viewpoint ignores the struggles over policy and reinforces a
managerialist rationality. Instead, they proposed a continuous policy
cycle which allows for the recontextualization of policy throughout the
process. They distinguished three primary policy contexts: context of
influence (where interest groups struggle over construction of policy
discourses); context of policy text production (where texts represent
policy, although they may contain inconsistencies and contradictions);
and finally, context of practice (where policy is subject to
interpretation and recreation). This conceptual framework is useful for
what Ball calls policy trajectory studies which trace "policy
formulation, struggle and response from within the state itself through
to the various recipients of policy" (Ball, 1994, p. 26).
Ball's book, Education reform: a critical and post-structural approach
(Ball, 1994), further developed themes from his earlier writings, and
included an extension of the conceptual framework for policy trajectory
studies. He added a 'context of outcomes', which considers policy
effects of both the first order (practice/structure) and the second
order (social justice), as well as a 'context of political strategy',
where the unmasking of power may be used by those who are subject to
it. This final context parallels Foucault's emphasis on empowerment. In
fact throughout the book Ball draws heavily on the work of Michel
Foucault, especially the notions of surveillance, disciplinary power
and normalisation, and he also makes repeated use of Lyotard's concept
of performativity. Although he claims that this book continues a
theoretical standpoint which straddles the invisible divide between
modernism and postmodernism, he does seem to favour a more postmodern
inclination. His work has been criticised (Hatcher & Troyna, 1994)
primarily on the basis that he does not pay sufficient attention to
state control models of policy formulation, such as those proposed by
Dale (1989) and Ozga (1990). However, the understandings Ball draws
from postmodern sources, when added to a more state-centred analysis of
the policy elite, offers valuable insights into the quality policy
process in Australian higher education. For the purposes of this
current study, only the original three contexts of the policy process
(influence; text production; and practice) will be employed as the
framework.
THE CONTEXT OF INFLUENCE
This section briefly overviews factors influencing the initiation of
quality policies at the global level; presents an emerging 'global'
model of quality in universities; and then identifies several features
of the Australian context which might contribute to a unique, localised
quality policy process.
The global context - economic, political and ideological shifts
In higher education, quality emerged as a key issue in North American
and Western European countries during the 1980s (Goedegebuure, Kaiser,
Maassen & de Weert, 1994; Van Vught & Westerheijden, 1994). By 1993,
with the first conference of the International Network of Quality
Assurance Agencies in Higher Education, 45 countries participated (both
developing and industrialised), demonstrating the preoccupation with
issues relating to quality in higher education across the globe
(L'Ecuyer & Lenn, 1993).
Not only was quality featured in higher education policies in
individual countries, but there were growing pressures, often from
economic organisations, to adopt a 'global' model of quality in
universities. Lenn (1993) outlined some of the sources of demands for
international linkages in higher education quality assurance
mechanisms: the Organisation for Economic Cooperation and Development
(OECD); regional trade agreements; global assistance organisations
(such as UNESCO - United Nations Educational Scientific and Cultural
Organisation - and the World Bank); the export and import trade in
higher education; professional bodies; international higher education
associations.
Economic factors are implicated in the ascendancy of the 'global'
quality movement in universities in much of the literature. The rapid
expansion from elite to mass higher education systems and a concurrent
need for constraint to limit public expenditure in a climate of
economic downturn are referred to frequently (Goedegebuure et al.,
1994; Green, 1993; Harvey & Green, 1993; L'Ecuyer & Lenn, 1993;
Pritchard, 1994; Van Vught & Westerheijden, 1994). This transition from
elite to mass higher education had been a deliberate policy of
governments, based on an underlying human capital assumption that
higher education could provide a skilled workforce which is required
for economic development to enhance a country's position in the
competitive global marketplace. By the start of the 1990s, this
perspective was dominant, even though such human capital assumptions
had been consistently questioned since the 1970s (Harman & Meek, 1988;
Marginson, 1993).
However, the prominence of quality agendas in universities has been an
expression of more than economic concerns associated with providing
mass higher education at limited cost. It is also an expression of a
shift in political ideology which operates to legitimise certain
approaches to policy and to marginalise others. The particular
construction of quality which has dominated higher education policy
discourse reflects the ascendancy of the New Right or economic
rationalist ideology which redefines education as a servant of the
economy (Sachs, 1991). The market ideology prevails, featuring not only
privatisation but also corporatisation of the public sector, including
universities (Burchell, 1994; Elliott & Maclennan, 1994; Porter,
Lingard & Knight, 1994; Sachs, 1991). Neave (1991) has observed that
adoption of a market ideology in universities results in an increased
number of external stakeholders. In particular, governments and
business/industry have gained a more legitimate status in determining
university policy, including the construction of quality policies
(Green, 1993; Van Vught & Westerheijden, 1994).
A 'global' model for quality in universities?
Van Vught and Westerheijden (1994), after surveying recent developments
in North America and Western Europe, outlined the features of a general
model of quality in higher education. Although their model seems to be
abstracted from a combination of current practice as well as a proposed
model of 'best practice' it provides a useful 'benchmark' against which
the Australian policy process can be examined. The five components of
their model are:
* meta-assessment independent of government;
* self-evaluation to enhance 'ownership';
* peer review, including site visits by 'experts' who represent a range
of constituencies;
* reporting the results of peer review, without rankings, and an
opportunity to comment on draft reports - but there are variations
between publishing reports and guaranteeing confidentiality;
* direct, rigid relationship between quality review and funding should
be avoided - danger is a compliance culture;
This model is an example of a mechanism which has been variously
referred to as 'steering at a distance' (Kickert, 1991),
'self-regulation' (Neave & Van Vught, 1991), 'tight-loose coupling'
(Lawton, 1992); 'separating the steering and rowing functions'
(Cuttance, 1994) and 'remote control' (Goedegebuure et al., 1994).
Instead of maintaining control by tight prescriptive regulations, the
centre requires local sites to demonstrate accountability for achieving
certain outcomes (Cuttance, 1994; Knight, 1994). Thus, both policy
formulation and accountability are centralised but the processes by
which local sites choose to achieve the outcomes can vary, in theory at
least. Steerage by the centre is not abolished but changes form. Whilst
the rhetoric associated with 'steering at a distance' is characterised
by increasing autonomy to the local level, a number of observers have
noted that enhanced autonomy for institutional managers (consistent
with corporate management practices) is increasingly impinging on the
individual autonomy of academics, especially in situations where the
interests of management and staff are different (Bartos, 1990; Bessant,
1995; Goedegebuure et al., 1994; Neave, 1991). Thus, Van Vught and
Westerheijden's claim that their model for quality in universities
allows for autonomy of both institutions and individual academics
whilst also satisfying external accountability would be strongly
contested.
In presenting their 'global' model for quality in higher education, Van
Vught and Westerheijden (1994) also emphasised that in addition to the
common elements they identified, different countries will have their
own special characteristics suited to their own particular
circumstances. L'Ecuyer and Lenn (1993) have cautioned that a single
model of quality is not appropriate to all countries. In particular,
they highlight the differences between developing and industrialised
countries, with the former adopting a minimum standards approach and
the latter aiming for highest possible performance. Thus, whilst they
acknowledge the quality movement as a global phenomenon, they reject a
universal model of quality, as they maintain that local contexts will
have a major influence on both the problems and the possible solutions.
Local contexts for quality include both historical and current
circumstances (Brennan, Williams, Harris & McNamara, 1997) as well as
differing values frameworks (Neumann, 1994).
The following section focuses on the 'local' Australian context as a
background framework for understanding similarities and differences
between the Australian quality process and the 'global' model. An
approach which puts a microscope on differences is less deterministic
than a potentially homogenising global model.
The Australian Context
Whilst Australia experiences the changing economic, political and
ideological influences from the global level as much as many other
countries, it has a certain combination of contextual factors which
creates its own unique position, just as other countries can also be
characterised by a particular local context. For the purposes of this
discussion two particular factors will be highlighted as significant in
creating a slightly different context for quality in universities in
Australia than that experienced elsewhere. The first is the Australian
federal structure which sees the Commonwealth occupying a relatively
powerful position compared to the State governments (largely due to
vertical fiscal imbalance), and the second is the longevity of
Australia's Labor Government at the Commonwealth level through the
1980s to the mid-1990s.
Despite the fact that State governments have legal responsibility for
education in Australia, in the higher education sector the Commonwealth
took over full financial responsibility for universities under the
Whitlam Labor Government in 1974. Although the potential for
Commonwealth intervention in universities using financial levers
existed earlier, it was not until Minister Dawkins took responsibility
for the education portfolio in 1987 that the full force of the 'power
of the purse' was brought into play. Minister Dawkins immediately set
about restructuring the education portfolio by creating a mega
Department of Employment, Education and Training (DEET), signalling
that the economy would 'drive' education policy. He also abolished the
large, independent education commissions (staffed mainly by experts)
and replaced them with a smaller, less autonomous National Board of
Employment Education and Training which had greater representation of
the powerful elites from government and business/industry sectors.
Thus, educational decision making was at once streamlined and brought
more directly under ministerial control, reflecting a key feature of
the corporate managerial style of administration (Lingard, 1993).
Given the financial dependence of higher education on the Government,
it was 'logical' for Minister Dawkins to initiate his package of
educational reforms in that sector first. His Green and White Papers of
1987 and 1988 triggered a 'revolution' in higher education (Karmel,
1990). By 1991 (the end of the first triennium of operation of the new
Unified National System combining universities and former colleges),
most of Dawkins' policies had been successfully implemented, although
not without considerable controversy and backlash. Management reforms
were among the few Dawkins policies which were not readily implemented.
In terms of the focus of this study, the White Paper policies
transformed Australian higher education from an elite to a mass system
and instituted moves to increase the accountability of universities to
external stakeholders, especially Government, through annually
negotiated institutional profiles and the proposed use of performance
indicators to determine funding levels. Thus, Australian higher
education policy was moving in the direction of the global trends.
However, by the early 1990s adoption of a performance indicator
approach to funding had stalled, despite the work of the Linke
Performance Indicator Group (Linke, 1991). Negative reactions to many
of the White Paper reforms were gaining momentum, but at the same time
the Commonwealth was facing an annual $5 billion bill for higher
education. It was within this context that the minister announced the
quality policy for Australian universities in 1991, including an
incentive of $76 million annually for 3 years if universities could
demonstrate 'quality'. Thus, again the Commonwealth had wielded the
'power of the purse'. Birch and Smart (1989) have argued that such use
of financial levers to dictate policy to universities is an example of
coercive federalism. However, the Commonwealth was apparently backing
off from the compulsory use of performance indicators to determine
operating grants and instead opted for voluntary participation by
universities in a program which would yeild them marginal extra funds.
The second feature of the local context which might contribute to a
somewhat different course for higher education policy in Australia was
the Hawke Labor Government's (1983-91) retention of a social democratic
orientation to a greater extent than other countries in the 1980s. In
particular, the UK and the US (which arguably have traditionally had
the biggest impact on Australia's education policy directions) had
conservative governments lead by Thatcher and Reagan, respectively.
These governments epitomised the 'full-blown' New Right approaches to
public policy, including education, in the 1980s (Marginson, 1993) when
the Australian government was still trying to maintain some
(minimalist) social policy alongside increasingly conservative economic
policy (Beilharz, 1994).
Australia's Labor Government had coopted the trade union movement into
the policy elite through the Accord (a formal agreement between the
Government and the unions to allow 'worker' representation in the
process of economic restructuring for the price of industrial peace).
The result was a tripartite 'settlement' (Freeland, 1991; Seddon, 1994;
Sedunary, 1996) with unions added to the government and
business/industry policy making elite witnessed elsewhere (Knight &
Wary, 1996; Lingard, Knight & Porter, 1993; Porter, 1993; Sachs, 1991).
This three part coalition in Australia was then able to dominate the
education policy agenda, and arguably the inclusion of 'workers' kept
issues such as equity on the 'stage' at least, even if not under the
'spotlight'.
Despite some retention of social democratic principles by the Hawke
Labor Government in the mid-1980s, after its re-election in 1987, with
a ballooning deficit, cries of a 'banana republic' initiated by
Treasurer Keating, and looming financial crisis, there was a dramatic
acceleration of the Government's micro economic reform agenda. Arguably
it was also facing a crisis of legitimation (Dudley & Vidovich, 1995)
and needed to act quickly to head off any claims that it was about to
repeat the mistakes of the Whitlam Labor Government (1972-75) in
neglecting fiscal and economic realities (Knight & Wary, 1996). By the
1990s under Prime Minister Keating, there was clearly a "triumph of
'economic rationalism' over a Labor Government" (Painter, 1996, p. 287)
to the puzzlement and shock of some, although given the global trends
this should not have been surprising. I would argue, however, that this
'triumph' was not complete. Despite the power of the Commonwealth in
the higher education sector, the Australian Labor Government's approach
to both performance indicators and quality in universities was 'softer'
(less interventionist) than that in the UK. The quality policy for
Australian universities was constructed in a way which was specifically
adapted to the Australian context.
The focus question for this paper then becomes:
Within the overall Australian context, how did the quality policy for
universities 'play out' in all of the localised contexts at the
institutional level between 1991 and 1995?
METHODOLOGY
This paper focuses on the findings of institutional level interviews
designed to examine the way in which the 1991 quality policy
constructed at the macro level influenced practices at the micro level
of individual universities. To obtain an institutional sample, three
universities were selected from Western Australia (WA) and three from
New South Wales (NSW), and an attempt was made to roughly 'match' these
institutions according to their historical contexts. They represented
three different 'types' of institution, as outlined below. The year of
establishment and approximate student population at the time of the QA
program is provided for each institution:
* 'traditional':
Sydney University (SU) - est 1851; 30 000 students.
University of Western Australia (UWA) - est 1911; 12 000 students.
* 'alternative':
Macquarie University (MAC) - est 1964; 11 000 students.
Murdoch University (MU) - est 1973; 8 000 students.
* 'former colleges':
The University of Western Sydney (UWS) - est 1989; 20 000 students.
Edith Cowan University (ECU) - est 1991; 17 000 students.
For ease of communication, these three groups will be referred to by
the bolded term above in the subsequent analysis, however, there is no
intention to assume that each 'type' is a homogeneous group as
differences are clearly evident. The 'traditional' universities are
sometimes distinguished from the other two types on certain issues.
These universities are increasingly known to be part of the 'Group of
8' (G-8) higher status universities pushing for a greater share of the
higher education budget on the basis that they are capable of competing
internationally. The G-8 consists mainly of the original university in
each mainland state or territory. The category 'newer' universities is
relative to the 'traditional' category, and the term 'newer' refers to
both 'alternative' universities and 'former colleges'. 'Alternative'
universities were established in the 1960/70s with an ethos of greater
participatory democracy than evident in the traditional universities.
The 'former colleges' which began life as teachers colleges, and later
became colleges of advanced education, were organised along more
bureaucratic lines.
Contact was made with a senior manager in each university and they were
then asked to identify the major players in the 1993-95 QA program at
their institution. From the lists of names provided, four respondents
at each of the six universities were selected and invited to
participate in the study. Although the precise titles of respondent
positions varied between universities, they were all chosen on the
basis of closest possible involvement in the preparation of quality
portfolios and visits from CQAHE teams. They were mostly senior
academics who were in management positions. Only one invitation to
participate was declined and that person nominated another manager as
his substitute.
It is important to locate the timing of these institutional interviews,
as the success, or otherwise, of each university in the quality
rankings may be a factor in 'colouring' the responses to some of the
questions. Interviews were conducted between the publication of the
results of Rounds Two and Three. The portfolio and visits for Round
Three were complete but the final results had not yet been released.
For each quality round the results were published at the beginning of
the following year, and therefore by the time Round Three results were
available at the beginning of 1996 a number of the personnel could have
moved on to other positions, and also their attention would have been
refocussed on the forthcoming year, including a federal election and
new agendas for higher education. Further, a central player, the Chair
of CQAHE, was retiring and moving to Europe at the end of 1995 and it
was considered important to conduct interviews with CQAHE and
institutional respondents concurrently so that the different
perspectives at a particular 'moment' in the policy process could be
compared.
The six universities in the study were located at different levels in
the quality hierarchies resulting from Round One (with a 'general'
theme and resulting in a six band league table) and Round Two (with a
focus on teaching and learning, and resulting in a three band league
table). From these two rounds preceding the interviews, the rank order
of the universities in this study was as follows:
University Round 1 rank Round 2 rank
UWA 1 1
Sydney 2 1
Macquarie 4 2
Murdoch 5 2
UWS 6 2
ECU 6 3
This paper presents only some of the data obtained at the institutional
level from the larger PhD study. It outlines the responses to the
questions about the context of practice or effects of the quality
policy. Responses about the context of influence and the context of
policy text production (two of the other levels in Ball's policy
trajectory framework) are reported elsewhere.
The numbers of respondents in the different categories which emerged
from the data are cited in order to provide signposts to the degree of
consensual or conflicting viewpoints across the total respondent group.
Predominant response categories for particular types of universities,
and sometimes for individual universities (when there was a wide
variety of responses), are also identified. There is no intention of
claiming statistically relevant samples, given that the total number of
respondents is twenty-four at this level in the policy trajectory.
Instead the intention is to gain greater depth of understanding of the
issues and for this reason, extensive use is made of respondent quotes
as a vehicle to reveal many of the complexities and context-specific
examples. The university to which the respondent belongs is given in
parenthesis after each quote, {followed by the response category in
curly brackets}.
The intent of this paper is to focus on context-specific differences
between institutions as well as inconsistencies and contradictions
within institutions. It is not simply a matter of summarising general
trends, but of teasing out the differential policy processes at six
different local sites, and thus the writer begs the reader's patience!
THE CONTEXT OF PRACTICE (EFFECTS)
Ball's 'context of practice' in this study refers to the effects of the
Australian QA program on institutions and the system. Both CQAHE and
institutional respondents were asked the same questions about their
perceptions of the context of policy practice (or effects) and
therefore for each subheading in this section, response patterns at the
institutional level are followed by comparisons and contrasts with
those from the CQAHE level.
Changing institutional decision making structures and processes
When institutional respondents were asked whether they perceived any
changes to the decision making structures and processes in their
university as a direct effect of the QA program, responses were
relatively evenly divided between 'yes' and 'no', as indicated in the
table below.
Changed decision
making structures Number
Yes 12
No 11
Don't know 1
By contrast, CQAHE respondents were more likely to perceive changes to
decision making structures and processes (6 of the 7 respondents). Just
as there was no clearly predominant response about whether changes to
decision making had occurred in the six institutions studied, there was
also no consistent pattern for different types of university. In fact,
the two 'traditional' universities showed completely opposite response
patterns, with Sydney all 'yes' and UWA all 'no' to changes in decision
making as an effect of the QA program. Perhaps Sydney's poor quality
ranking relative to expectations (Band 2 in Round One) contributed to
the impetus for change, whereas UWA's top ranking (for both Rounds One
and Two) meant that the QA program did not cause that institution to
significantly modify its structures/processes. The 'alternative'
universities, Murdoch and Macquarie, showed similar patterns to each
other, with 'yes' to decision making changes predominating. By
contrast, at the 'former colleges', ECU and UWS, the 'no' response was
predominant.
Quotes have been chosen to represent the predominant response at each
university, as there was considerable context-specific variation on
this issue.
Changes were already happening within this university but I also saw
some changes with the quality process itself. After the first year we
appointed an external group of quality experts to advise us. We
referred our submission to them and looked at their feedback. ... I
think initially people might have been wary about something like that
being referred to an external group, but it's become obvious that such
people can add value, insights. (SU) {Yes}
The whole quality process has resulted in some new powerful committees
- a strong response at Macquarie. The Education and Teaching Quality
Committee (established for Round Two). ... That committee continued and
will continue. It's a standing committee of Academic Senate. A Research
Quality Committee was established for Round Three and it's also a
standing committee of Academic Senate. (MAC) {Yes}
The Board of Research has moved from being a representative body to
being a non-representative body in the sense that we don't have members
for each school. The Board is small. ... The big challenge facing
Murdoch is to make sure that our administrative structures on the one
hand allow for people to have an input but without them being so
involved in administrative processes that they have no time to really
concentrate on the core functions of research and teaching. ... I think
we are grossly overwhelmed with committees and I think we need to have
a much cleaner structure. (MU) {Yes}
I wouldn't have said there was any link. The changes in the management
structure of UWA pre-date quality. I think it comes back to the VC's
ability to foresee the trends. (UWA) {No}
No changes. As VC, I have been a strong believer in the devolution of
the institution, both in terms of fiscal responsibilities and also
involvement in policy structure. You need a balance between the
efficiency and leadership - which a good executive gives - but you need
to have those processes owned and you need strong collegial input into
the working of a modern university. (UWS) {No}
I think that Roy's (the VC) role has been much more significant than
even the QA thing. We've been going against the corporate management
trend ... I do see that trend happening in other universities quite a
lot but universities are different sorts of bodies and you'd hope they
would be a lot more collegial than the traditional business sort of
thing. So I think we're going counter-trend.
(ECU) {No}
The term 'corporate management' was used to describe the nature of the
changes to decision making by around one-third (7) of the institutional
respondents. Typically, they described a smaller and more powerful
senior executive group at the top, with generally more streamlined
decision making designed to facilitate faster responses.
Improving outcomes of core activities
Respondents were asked whether they perceived any improvements in
outcomes from the core activities of teaching-learning, research and
community service as a direct effect of the QA program. The majority of
institutional respondents believed that the quality of outcomes in at
least one of these strands had increased as a direct result of the
program, as indicated in the table below.
Improved outcomes Number
Yes 20
No 2
Don't know 2
Somewhat surprisingly, institutional level respondents were generally
more positive than CQAHE respondents about improved outcomes, as only 4
of the 7 CQAHE members interviewed associated the QA program with
improved outcomes of core activities. However, each of these CQAHE
members singled out teaching as the area for greatest improvement,
consistent with the opinions of around half of the institutional
respondents. There were some small differences between institutional
types, with respondents at the 'traditional' universities more likely
to describe improved outcomes in general, and improved teaching in
particular, than the 'newer' universities. The following respondent
outlined his view of the improvements at Sydney.
With this university, the quality in teaching may have done some good.
Having taught quite a long time in North America, one of the classical
things that was always done there is the students were asked to comment
on the teaching at the end of the course. ... We did not have any such
organised program here before the quality program because the Academic
Board, in its own wisdom, said that was an intrusion upon their
precious privacy. But when the bad result for the first round came out
they did agree that they should have the surveys, so it was a big step
forward. (SU) {Yes - improved teaching}
By contrast, the following respondent reflects the resultant
frustration when quality ranking for teaching did not match her
perceptions of the teaching strength at a 'former college'.
Teaching was always important in the old Nepean (UWS). Our background
is different, we have come from that stronger emphasis on teaching. We,
unlike the sandstone ('traditional') universities had in place course
working parties that rigorously 'bashed you up' if you had crappy
programs and they just wouldn't let you put them on, so we were already
doing quality control, but it hasn't given us anything, has it, because
they still ranked the others higher. (UWS) {No}
Increasing competition between universities
When asked about the effect of the QA program on competition between
universities, the majority of institutional respondents believed that
competition had increased, as indicated in the table below.
Increased competition Number
Yes 20
No 4
Increased competition was also the predominant response for CQAHE (6 of
the 7 respondents) and as with institutional respondents, most saw the
effect of the QA program as augmenting an existing trend rather than
initiating the change. There was little difference between respondent
opinions at the three types of university.
The following quotes are typical of the predominant response that the
QA program increased competition, and that whilst competition can be
productive, an excess can operate against cooperation/collaboration
which would ultimately make more efficient and effective use of scarce
resources across the higher education sector. Each type of university
is represented.
QA has not detracted from it (competition) but did not start it rolling
either. It's good if it doesn't get out of hand. If it's not taken too
seriously, it can be productive, but you do need to share information
or otherwise how do you benchmark? You must have the trust of other
institutions. (SU) {Yes}
It's undoubtedly sharpened the competitive edge. ... Competition is
probably quite healthy but where it gets unhealthy is where
collaboration becomes impaired. ... I think we have no alternative but
to collaborate because as a nation we don't have the resources. (MU)
{Yes}
I think there should be far greater collaboration between universities.
I think competition is OK up to a point but there's only one market and
in competing somebody always loses and another one gains, whereas in
cooperation everybody can gain and we probably can rationalise our
resources a little.
(ECU) {Yes}
Redifferentiating the sector
Respondents were asked whether they believed that the QA program had
encouraged the return of a differentiated sector, resulting in a status
hierarchy of universities (such as the pre-1988 binary divide between
colleges and universities). A large majority of institutional level
respondents believed that greater differentiation between universities
in both status and resource allocation would flow on from the QA
program, as revealed in the following table.
Redifferentiation Number
Yes 21
No 3
CQAHE respondents were by contrast more reluctant to associate the QA
program with the return of a binary divide. Whilst over half (4 out of
7) acknowledged that Round One could have created that impression, only
one CQAHE member believed that Rounds Two and Three would also have
that effect. However, most CQAHE respondents indicated that they were
well aware of, and sensitive to, this criticism from the institutional
level and consequently they had worked hard to try to avoid accusations
of favouring 'traditional' universities. For example, the assessment
components for Round Three included research improvement in addition to
research management and outcomes, giving the 'newer' universities a
greater chance to score highly. Further, the presentation of Round
Three results in a matrix format rather than a single ladder created a
greater mix of institutions.
The following institutional respondent outlined her perception of the
rejigging of the differentiation between universities, summarising a
number of the points made by other institutional respondents, although
within a more positive framework than most. For example, she talks
about universities resorting themselves, whereas other respondents
(especially from 'newer' universities) talk about having certain status
ascribed to them by outside forces.
A lot of organisations needed to be kick started. The ones fighting in
a sea of ivy and sandstone needed somebody to say "you are going to
have to compete in this environment, you've got no choice". The
redbrick - middle of the road - universities like Macquarie, had always
been fighters and survivors to a certain extent. But suddenly they had
a whole lot of new people swimming around in the same pool (the 'former
colleges'). It (the QA program) has underlined the binary divide and
made it even more accentuated. But the 'big seven' has changed. It
might be the 'big seven plus six' or something. I think that has been a
good thing out of the process. The market isn't the same market we were
looking at five years ago. It's a much more competitive/aggressive
market. The market is probably dividing itself up nicely - binary is
probably not the right word - a whole lot of strata. They are shaking
themselves down and grading themselves. ... Finding your position is
very difficult for some universities. (MAC) {Yes}
Threatening autonomy and diversity
Despite the fact that the Minister's policy statement on quality in
1991 incorporated 'diversity' in the title (Higher Education: Quality
and Diversity in the 1990s), and despite also the continued insistence
by ministers and DEET that quality was not incompatible with either
autonomy or diversity (Department of Employment Education and Training,
1993), for many observers there was an increasing gap between the
rhetoric and the reality as the QA program continued. There was a
widespread belief that the end result of all universities trying to
'second guess' CQAHE's criteria and emulate 'best practices', as for
example those identified in CQAHE's Good Practice in Higher Education
(Committee for Quality Assurance in Higher Education, 1995) in order to
attract the greatest rewards would be convergence towards a single
model, which would in turn impact on the diversity across the sector.
When institutional respondents were asked whether they perceived that
the QA program had threatened either institutional autonomy or
diversity across the sector, there was no predominant response for
autonomy, but a majority believed that diversity was threatened. In the
table below, the relatively large number in the 'don't know' category
for autonomy reflects many respondent comments that the concept of
autonomy was a 'tricky one'.
Threatened Autonomy Diversity
Number Number
Yes 9 13
No 9 8
Don't know 6 3
By contrast, none of the 7 CQAHE respondents saw a threat to autonomy
and only 2 saw a threat to diversity.
In the subsequent quotes about autonomy, each type of institution is
represented.
It (the QA program) has demonstrated that the Government has a carrot.
A mule, if it wants to feed, has to go in the direction of the carrot.
So if that is loss of autonomy then yes it has been threatened. (SU)
{Yes - autonomy threatened}
The quality thing is just symptomatic of what's happening - that
progressively universities are more and more accountable to everybody
... but there is the potential to bring about political interference.
(ECU) {Yes - autonomy threatened}
Certainly autonomy has not been threatened. I think it just
strengthened people's autonomous position. Institutions should become
more aware of their strengths and operate more assertively with them.
(MAC) {No - autonomy not threatened}
In the subsequent quotes about diversity, all three types of
institution are represented.
I believe we have a real problem in the whole funding system in that
the use of very specific performance indicators at the system level
will incline the system to uniformity as people seek to maximise their
behaviour against these measures. In the long term it could drag
everybody along the same pathway, so I think there are threats to
diversity in the Unified National System and the QA program plays a
part in that.
(UWA) {Yes - diversity threatened}
The standard response we always get (from CQAHE) is that we are
assessing you against what you say about yourself. Now it's difficult
to know whether that's true or whether they do in fact have some model
in their mind about how universities really should be run. But I would
be very surprised if the University of Queensland's structure didn't
fit at least in the mind of one person as a significant way in which to
go about modelling universities. (MU)
{Yes - diversity threatened}
Note: The CQAHE Chair was the VC of The University of Queensland.
We found it very hard to get the message through that our diversity
should be recognised. That's what they said that they were trying to
encourage - diversity. Now our experience at the beginning was that
they really didn't like the diversity that we brought and wanted to
judge us against that, so it's a bit hard to say. (UWS) {Yes -
diversity threatened}
Thus, institutional level respondents were more critical about the
effects of the QA program on autonomy and diversity than CQAHE members.
The pattern of responses for both autonomy and diversity was quite
similar for 'traditional' and 'former college' universities, but
respondents at the 'alternative' universities were more likely to
express opposite views from those in other institutions. The majority
of respondents in 'alternative' universities did not believe that
either autonomy or diversity was threatened. It may be that these
institutions had, up to that point in time, been able to maintain much
of the distinctive character they had forged at their inception in the
1960s and 70s, although big changes were evident at Murdoch,
particularly, with a new VC appointed soon after these interviews.
One respondent noted the changing dynamics of autonomy and diversity
over the 1990s, suggesting that the QA program had contributed to a
decline in these dimensions, with its encouragement of benchmarking and
models of best practice. However, he also noted that as
redifferentiation was beginning to occur, the universities which were
not in the G-8 would not be seen in the same playing field. Therefore,
they would be free to find their own niche, resulting in increasing
institutional autonomy and diversity across the sector.
As we move to benchmarking and discipline models, there will be a
tendency for less diversity in the system. It raises an interesting
question - those institutions not financially able to compete have no
incentive to participate and they may as well try to do the things they
feel are appropriate to their local communities. That may well lead to
greater diversity. (MU)
{Yes then No - autonomy and diversity}
Summarising the interview
By way of summarising the interviews and also providing a 'check' on
the researcher's extraction of key issues from earlier questions,
respondents were asked for their opinion on the main strength and the
main weakness of the QA program.
In terms of strengths, the large majority of institutional respondents
identified the self reflection induced by the program as its major
strength, as it established a climate for continuous improvement.
However, the particular nature of the perceived improvements varied
across the six universities. Improved status for teaching was cited
most at 'traditional' universities, and improved documentation for
accountability purposes was cited most at 'alternative' universities.
The frequencies of response categories are presented in the table
below.
Strength Number
Self reflection 18
Improved teaching 2
Improved documents 2
Other 2
The following quotes reflect the predominant theme from all three types
of institution.
It forced institutions to look at themselves very very carefully and
see how they perform - identify weaknesses and try to improve. That has
been a very positive outcome. (UWA) {Self reflection}
We began to really look at what we actually do and began to try to
measure outcomes, and put in processes, so we could actually see if
we're improving. That's been valuable. (MU) {Self reflection}
We were already in a state of conflict when it was going on but people
did actually start to pull together and realised what Nepean was on
about. It fostered a sense of identity within the institution. (UWS)
{Self reflection}
Weaknesses identified at the institutional level were grouped into four
categories, with league table damage as the predominant response, as
shown in the table below.
Weakness Number
League table damage 9
Unclear criteria 7
Superficiality 4
Cost 4
Quotes have been chosen to represent the two major response categories
across the three types of institution.
The damage that it can do in the league tables. I think if it can't
find a way of avoiding that, then it really needs to weigh up the
damage done against the good that it has done. (SU) {League table
damage}
Grouping universities into league tables was bad. Lack of mobility from
year to year means that there wasn't much that universities at the
bottom could do to cross the great divide. This resulted in lack of
morale - being bottom of the heap. They didn't look ahead to see the
likely outcomes of the groupings. ... Next time a central agency asks
to conduct such an exercise, they won't respond.
(ECU) {League table damage}
Failure to establish clearly in the media or on the committee the
difference between investigation of processes or of 'quality'
(outcomes) within the university system. (MU) {Unclear criteria}
At each of the six universities, different combinations of strengths
and weaknesses of the QA program were identified. Whilst no clear
evidence emerged that respondents at certain types of institution
reacted in particular ways, the major themes to emerge from this
summary question overall were consistent with those revealed during
earlier interview questions, providing a measure of the internal
validity of the data.
CQAHE level respondents identified the same predominant strength and
weakness as the institutional respondents: self reflection and damage
from the league tables, respectively. However, weaknesses were usually
cited before the strengths and elaborated in more detail by
institutional respondents, whereas, CQAHE respondents tended to focus
more immediately and in greater depth on the strengths (unsurprisingly,
given their greater personal investment in the whole operation). There
was also a wider range of weaknesses identified at the institutional
level, along with the implication from many respondents that the
weaknesses outweighed the strengths. The opposite viewpoint (that the
strengths surpassed the weaknesses) was true for CQAHE respondents.
CONCLUDING DISCUSSION
The literature on globalisaton describes a dual effect of unification
or homogenisation on the one hand and localised plurality or
differentiation on the other (Hall, Held & McGrew, 1992; Sharp,
1994/95). Analysis of Australian higher education's quality policy for
the period 1991 to 1995 (part of the larger PhD study) reveals a
reasonably high degree of consistency between the Australian version of
quality and that in other OECD countries. First, the preconditions for
the initiation of quality policies in these other countries -
transition from elite to mass higher education at a time when public
expenditure was being constrained - were evident. Second, as with these
other countries, quality has been construed as accountability to
external interest groups, giving governments in particular an
unprecedented stake in higher education policy. Third, there were many
features in common with the general (global) model of quality presented
by Van Vught and Westerheijden (1994), featuring an emphasis on self
assessment and peer review. Fourth, Australian quality policy is an
example par excellence of the policy mechanism described by Kickert
(1991) and Ball (1994) as 'steering at a distance', where policy goals
(or ends) are specified by the centre but the processes (or means) used
to achieve these goals are devolved to local sites.
However, despite an overall parallel with the global patterns,
Australian higher education's quality policy also reveals some unique
features. Namely, the 'whole institutional' approach, performance
banding or ranking and the use of incentive funding did not feature
elsewhere. The Australian quality policy process (1991-95) was
specifically adapted to its own local context and in particular,
provided a much needed alternative strategy to the more direct
Government control using quantitative performance indicators as a basis
for funding which was proposed in the White Paper of 1988. Furthermore,
analysis has revealed that Australia's quality policy continued to be
negotiated, resisted, transformed and differentiated as it evolved
along multiple pathways throughout its life cycle. Using Ball's notion
of a continuous policy cycle which extends from the context of
influence to the context of policy text production to the context of
practice, the messy, complexities and contested realities become
apparent. As the process moved from the government minister, to the
government advisory body (HEC) to the ministerial committee (CQAHE) to
individual institutions, political compromises continued. Ultimately,
there were variations in the policy effects at different sites with
some offering greater transformation and/or resistance than others.
Thus, the localised plurality incorporated into models of globalisation
were evident in this quality policy example all the way down to the
level of institutions and individual academics.
The specific interview findings reported in this paper reveal that
there was no consensus within the institutional respondent group or the
CQAHE respondent group about the nature of the effects of the QA
program, although there was greater agreement on some issues than
others. CQAHE (intermediate level) respondents were in the greatest
agreement that changed decision making structures/processes, as well as
increased competition, were the major effects of the QA program. For
institutional (micro level) respondents, however, there was greatest
agreement that outcomes of core activities (especially teaching) had
improved; that the QA program had further differentiated the higher
education sector (towards a multi-strated hierarchy, if not a binary
divide); and that competition between universities had been heightened
by the QA program. Thus, it was only increased competition which was
cited by a clear majority of both CQAHE and institutional respondents
as a major effect of the QA program. Institutional respondents were
much more likely than CQAHE respondents to believe that the QA program
had threatened the autonomy of institutions and diversity across the
sector. CQAHE respondent opinions were more consistent with the
ministerial position that QA was not incompatible with either autonomy
or diversity.
The different historical context of each institution, grouped for
convenience into three categories (although not to imply homogeneity
within each category), appeared to make a difference to the way in
which the university experienced the effects of the QA program. Such
findings provide evidence of the messy realities of the policy process
and the considerable localised variation in response to what has not
only been a national policy but a global policy direction.
To conclude, I return to the different conceptions of quality outlined
in the introduction and refocus on the tensions between QA for
accountability to external stakeholders and QI for internal
improvements, as distinguished by Sachs (1994). The literature reveals
a growing push for a combination of these approaches to move the
quality agenda forward, and to provide a sound basis for maintaining
the important position of universities in society (Green, 1993; Sachs,
1994; Van Vught & Westerheijden, 1994). Although Australia's QA program
between 1993 and 1995 exhibited some traits of QI according to Sach's
definitions (especially the use of qualitative judgements by peers),
the conclusion here is that it was still heavily weighted towards
accountability rather than improvement. There is a need to tip the
balance further in favour of QI, driven from within universities by
academics whose professionalism and autonomy is respected. In theory,
the policy mechanism of 'steering at a distance' should allow quality
to evolve in different ways which reflect the different contexts at
different institutional sites.
The new Conservative Coalition Government elected in 1996 dismantled
the Labor Government quality processes (1991-95) described in this
paper. However, it is interesting to see that the notion of quality was
retained in the 1996 Budget Statement (Vanstone, 1996) and that the
rhetoric of internally-oriented QI was emphasised even though the HEC,
which was to conduct the process, came up with a long and prescriptive
list of performance indicators against which quality would be assessed.
Is the notion of 'quality' still sufficiently useful to the policy
making elite as an apparently less interventionist means of achieving
accountability than quantitative performance indicators, or is
'quality' approaching its 'use by' date? Inevitably more of the 'messy
realities' of the Coalition quality policy process will emerge as it is
recontextualised at the various levels of practice.
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