講演記録 比治山大学高等教育研究所第３回ワークショップ （2009年 10月16日）

Tradition and Change in Universities:

The Case of Australia

Simon Marginson＊ Komban wa! I am deeply honoured to have the opportunity to speak with you. Today I will discuss tradition, globalization and change in universities, with emphasis on their role in relation to knowledge in teaching and research. I will also discuss Australian higher education, which shares with higher education in Japan an exposure to the forces of modernization, national corporatization and the global challenge. Australia has different traditions to those of Japan, but in the two nations’ experiences of higher education there is also much in common.

WORLDWIDE HIGHER EDUCATION So, to begin with worldwide higher education. Historically research universities combined the Humboldt tradition with their own national traditions The dominant form of modern higher education institution around the world is a university devoted to all of teaching, scholarship, research and public service. This ‘conglomerate’ mission was established by Wilhem Humboldt in Germany and has spread across the world, though different universities combine these missions in a varying proportion. In all, teaching is underpinned by the spirit of scholarship (with roots in both Confucian thought and the Mediaeval Catholic Europe). And since the nineteenth century all universities have been drawn into the Socratic tradition of inquiry, which feeds into the scientific mission, though only some universities have the resources to undertake major science-based research programs. At the same time, in all nations, these elements common to the university as a worldwide institution are joined together with the different national cultural traditions and different political economies of nations. This has produced considerable variation between universities in different countries. Globalization is the new element The new element in all of this is globalization, ‘the widening, deepening and speeding up of interconnectedness on a world-wide scale’.

＊Visiting Professor, Research Institute for Higher Education (RIHE), Hiroshima University, Japan

Professor, Centre for the Study of Higher Education (CSHE), University of Melbourne, Australia

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Globalization has … Globalization in the field of knowledge, in graduate employment, and in policy imitation and emulation, has created a dynamic process of modernization in higher education all over the world. This is fostering partial convergence between university practices worldwide, and the part integration of universities into a single network on the world scale. Globalization makes international comparison, global competition and cooperation more important than before. Many universities struggle to be Global Research universities, or more powerful versions of that model. Many are recruiting fee paying intentional students. In some respects globalization has also weakened the role of national government and tradition in shaping higher education, though these are still important. Institutions operate in three dimensions at the same time In this period higher education institutions operate in three dimensions at the same time. They combine their inherited national traditions, national policy and funding, and local mission and character, with a Humboldtian research university tradition that has now been reworked as the Global Research University. Global competition: Top nations in level of investment in higher education At the same time, nations vary in the size of their systems and the level of public and private investment in higher education. The stronger the national and local base of support, the better equipped are universities to succeed globally. By far the greatest national investor in higher education is the United States. It spends seven times as much on higher education each year as the number two country, Japan. I do not have figures for China here. It is likely that China now spends almost as much as Japan on higher education and research. Spending in China has increased during the global recession. ‘HiCi’ researchers (top 250-300 in worldwide field), USA & Asia-Pacific The incredible resources of American higher education help to explain its world leadership in knowledge and research and the prestige of its leading institutions. For example the USA houses a large part of the world’s leading researchers. Top nations in research volume The USA also publishes much the largest volume of scientific papers in English. Note also that Japan is second nation in the world on this measure. World top 100 universities Because it is the largest investor in higher education, its system is second largest in student numbers after China, and it has the bulk of the world’s leading researchers, it is not surprising that the US also provides more than half of the top 100 research universities on measured research performance, according to the annual Shanghai Jiao Tong ranking. The United States has 17 of the top 20 universities, led by Harvard. The other three in the top 20 are Cambridge and Oxford in the UK, and Todai, the University of Tokyo. The UK has 11 of the top 100 research universities, followed by Japan and Germany each with six.

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Average annual growth of spending on research, 1995-2005 (%) However, worldwide higher education is changing. The last decade has seen the rise of knowledge economies in China, Taiwan China, Singapore and Korea. China is now the number two investor in R&D in the world and its rate of participation in tertiary education is approaching one third. In the next generation these nations will shoot up the global research tables. Along with Japan they will turn East Asia into the world’s third great zone of research and innovation, alongside North America, and Western Europe. The USA will be less overwhelmingly dominant in knowledge though it will still be global leader. Much depends on the extent to which the East Asian nations can build a cooperative approach to research as the nations of Western Europe are doing.

THE AUSTRALIAN HIGHER EDUCATION SYSTEM Let me now turn from the worldwide picture to Australia and the case of the Australian higher education system. Australia First, Australia. Australia is much bigger than Japan in land, deserts, beaches, kangaroos and the number of flies in summer. But smaller than Japan in people, history, economy and culture. Australia spends 5.8% of GDP on education, and 1.6% of GDP on tertiary education, which is a little more than Japan. In both nations private investment in higher education, spending by households and corporations, is high by international standards. Japan, with its large private sector, spends 0.9% of GDP in private investment. Australia spends 0.8%; most of this is tuition paid by students in the public sector universities. Both governments underfund on the public side. Relentless efficiency pressures and ultra-competition for scarce resource dominate both systems. Governments use funding scarcity to control and shape the institutions. We have that in common. Tertiary education in Australia Australian education was founded in the British tradition and there are still many similarities with the UK in both policy and institution-level provision. Australia has 1.67 million students in vocational education and training and 1.03 million in higher education, mostly in public universities. Today I will talk about higher education, where most students do three year degree programs or more. Higher education in Australia Australia has just over a million higher education students, 95% in the public sector. One quarter of the students are enrolled at graduate level. Just over 4 per cent of all students are doctoral students, but as in many other national systems non-research graduate degrees have grown in importance. In many professional occupations Masters degrees are required. In business studies, with so many business graduates in the labour market, a Masters is becoming essential. The role of graduate degrees in Australia is more important than it is in

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Japan. In Australia there are many more women students than men, as in most OECD countries. Strangely though only about 15 per cent of our professors are women. We have 273,000 international students, that’s 26.5% of all students. This is the highest proportion of international enrolment in the OECD nations. The public sector In Australian higher education the public sector is overwhelmingly dominant, enrolling 19 students in every 20 and carrying out nearly all research. Public universities in Australia are relatively large, with Monash exceeding 50,000 students. The public institutions have been corporatized since the end of the 1980s and now have significant business functions, for example in international education, which provides 15% of funding. Local students provide 21%. Just 44% of the total funding of public higher education is from government. High quality research is concentrated, with two thirds of all research conducted by the eight top universities. These are each more than fifty years old. Research has to be subsidized and with public funding scarce, newer universities have not been able to build research capacity to the same level, which is much the same as in Japan. The traditionally strong universities, the old leaders, still rule the sector. The private sector The private sector has two universities that might become comprehensive research universities in future. It also includes specialist providers in business education and health sciences, small religious training institutions, and colleges specializing in commercial international education. It has played a minor role in Australia but is growing. Its students now have access to an income contingent loans system that is equivalent to that provided for the payment of tuition by public university students - low interest loans underpinned by government repaid through the tax system on the basis of income level. Graduates pay back tuition loans only when they have the capacity to pay. This form of tuition charge moderates the deterrent effects of the relatively high level of Australian fees. Staff in higher education Moving to staffing in higher education, with tight budgets, the ratio of students to academic staff has markedly increased and is now at more than 20 students to the equivalent of one full-time staff member. About half of all teaching is done by casual staff - the Americans call this ‘part-time staff’ – people teaching who are not employed in stable academic posts, who receive wages on an hourly basis and lack access to entitlements such as holiday pay and full pension funds. To break into a formal post it is essential to have a publications record but casual staff rarely have access to research funds or time to write. Despite these unfavourable conditions, in policy and management the emphasis on quality of teaching has increased, as a result of targeted government funding programs focused on teaching excellence, quality assurance, and student evaluations. Participation and equity In Australia the participation of young people in tertiary education used to be well above the

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OECD average but many other countries are catching up. Japan is stronger than Australia in the participation of young people, while Australia is stronger in adult education, though many adult places are occupied by students who have already done previous university study, rather than those who missed out first time around. The national government has identified the relatively low participation of indigenous people, rural families and students from the bottom socio-economic quartile, as problem areas that institutions should address. Shares of world’s foreign students I mentioned earlier that the level of internationalisation of enrolments is very high in Australia, more than one student in four. Australia has 10% of the world’s international students, remarkable for a country of 21 million people. Nearly all these students pay full cost tuition. There are few scholarships. Australia treats international education primarily as a money-making business, rather than a source of high quality talent in research, or a process of international cultural exchange. Government educational policy, immigration regulation and university management focus on building a large volume of medium talented students in fields cheap to provide, such as business and communications. Government funding reductions have driven market growth. Four largest export sectors Australia 2007, AUD $s billion As a result of this approach Australia has built education into the nation’s third largest export industry. This can be seen as Australia taking advantage of globalization, which has seen a pronounced growth in both the international mobility of skilled labour and in international education numbers. The one global language is English and Australia has used its position as an English-language nation to ‘capture’ part of the global flow of students. The other nations taking this approach to international education are the UK and New Zealand. Main countries of origin, international students, Australia, 2007 About 80 per cent of all Australia’s international students come from Asia. China, Malaysia, Singapore, India and Indonesia are the main source countries. About half of all Australia’s international student graduates become migrants to Australia. Through international education Australia is moving away from the ‘White Australia’ tradition inherited from Britain and integrating more closely with the Asia-Pacific region, while sustaining functional aspects of the British tradition such as a stable and transparent legal, economic and political system.

GOVERNMENT-INSTITUTION RELATIONSHIP

Finally I will comment briefly on the relationship between government and higher education institutions in Australia, where there are interesting parallels with Japan. Government and universities 1 In Australia government has organized universities as a national competition for public and private esteem and funding. That is similar to Japan except that in Australia, the real competition is nearly all within the public sector. After twenty years of corporatization,

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university managements in Australia have more financial and entrepreneurial freedoms than in Japan. The culture of institutions is businesslike, managed, transparent and performance focused. Budgets are managed internally. There is no prescriptive medium term forward planning by government , though there are annual negotiations on priorities, and from 2012 government will no longer even decide student numbers. Quality assurance is light-touch, focused on self-regulation by universities not external evaluation, although it is now widely felt that this approach to standards has been too loose. Government and universities 2 This sounds like the best of all higher education worlds, university autonomy plus efficiency, but it is not. The downside is the over-dominance of revenue raising objectives, the weakening of academic cultures, and the government and university micro-management of research which weakens curiosity-driven basic research and inhibits academic freedom. In some respects the climate for research is more healthy, and research is better funded, in Japan. Teaching is no better off in Australia because of severe resource constraints. Money earned from international students is mostly ploughed back into the commercial business (marketing, recruitment, services, new facilities, etc) not deployed to build teaching and research. Australia is still following a British model, the New Public Management. But like the UK its system has become more American than before, though without the American levels of funding of higher education. International student fee revenue, Australia, higher education, 1995-2007 The pressure on the business-like Australian universities to raise export revenues from international students have driven rapid growth in those revenues. In summary, Australian higher education is: Australian higher education as been shaped by the British heritage but is now increasingly focused on Asia-Pacific. The system is highly modernized and business like, compared to most national systems. Australia is a very strong export nation and a middling to good research nation. Universities are uniform in character but uneven in capacity and performance. A private sector is emerging. Raising participation, and the improving standards despite the scarcity of public funds are the main challenges of the next period. Australia shares with Japan the problem of extreme scarcity of public spending when compared with China or parts of Western Europe or North America. But Australia and Japan are at different points on the modernization curve, and in Japan a more distinctive national tradition modifies the Global Research University model. National language not global language are dominant in Japan and more than 95% of staff have PhDs from Japan. In Australia a high proportion are foreign trained. Thank you for listening! Looking beyond the Australian case, let me leave you with two conclusions. First, higher education institutions now have to meet two requirements. Many strive to become World Class Universities, global research universities. At the same time, while engaging in global activities they must sustain and develop their own mission and identity. Otherwise they will be

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enveloped by globalization, which in this period means becoming Americanized. Institutions need to both maintain, and also change and develop, their national and local selves and traditions. Second, global higher education involves more than just competition between nations. Increasingly, we work in common systems of knowledge that span across the nations. Cooperation is probably the most important aspect. Along with the economy and communications, higher education and research are key influences in shaping the global society of the future. What we are doing in higher education is very important.

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Tradition and Change in Universities

Power Point Page 1

Tradition and change in universities:

The case of AustraliaPresentation at Hijiyama University, Hiroshima 16 October 2009

Simon Marginson, Visiting Professor, Research Institute for Higher Education, Hiroshima UniversityCentre for the Study of Higher Education, University of Melbourne, Australia

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WORLDWIDE HIGHER EDUCATION

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Historically research universities combined the Humboldt tradition with

their own national traditions (despite some tensions between the two)

‘The state… must therefore seek to maintain intellectual activity at its liveliest and most productive level… The state must always remain conscious of the fact that it never has and in principle never can, by its own action, bring about the fruitfulness of intellectual activity. It must indeed be aware that it can only have a prejudicial influence if it intervenes. The state must understand that intellectual work will go on infinitely better if it does not intrude’.

~ Wilhelm von Humboldt, Berlin,1809, p. 244

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Globalization is the new element‘The widening, deepening and speeding up of interconnectedness on a world-wide scale’

- David Held, et al., Global Transformations, 1999, p. 2

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Tradition and Change in Universities

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Globalization has …

• Driven continuous modernization to enable national systems and institutions to respond and adjust

• Made global competition and cooperation much more important

• Heightened worldwide comparisons of university (and national) capacity and performance especially in global science

• Driven all research universities to try to become ‘World Class Universities’ or ‘Global Research Universities’. University rankings have become a powerful measure of performance

• Encouraged many other institutions to recruit fee paying international students

• Weakened in some respects, but not eliminated, the role of national government and tradition in shaping higher education

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Institutions operate in three dimensions at the same time

They combine inherited national traditions and local character with a Humboldt research university tradition now reworked as the Global Research University

GLOBAL

NATIONAL LOCAL

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Global competition: Top nations in level of investment in higher education

National investment in higher education, 2005, USD $s billion

(OECD and World Bank data sets. Data for China not available)

360

14 13 11 10

27 27 27 26 25

21 15 14

51

0

50

100

150

200

250

300

350

400

USA

Japa

n

Korea

German

y

India

Fran

ceCan

ada UK

Italy

Mexico

Spain

Brazil

Russia

Austra

lia

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‘HiCi’ researchers (top 250-300 in worldwide field), USA & Asia -Pacific

Thomson-ISI data, 2008

USA 4034Japan 258

Australia 112China & Hong Kong 20

India 11Singapore 4

South Korea 3

Philippines 1Pakistan 1

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Tradition and Change in Universities

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Top nations in research volumeNumber of science, technology and social science papers in 2005: NSB USA

0 50,000 100,000 150,000 200,000

Australia

South Korea

Spain

Italy

Canada

France

China

Germany

UK

Japan

USA

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World top 100 universitiesShanghai Jiao Tong University 2008

USA51%

UK11%

Japan6%

Germany6%

Canada4%

Others4%

Sweden4%

France4%

Switzerland3%

Australia3%

Netherlands2%

Denmark2%

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Average annual growth of spending on research,

1995-2005 (%)constant prices, OECD. China data for 2000-2005 only

1.31.9 2.0

2.5 2.9 2.94.1

4.7

6.97.8

18.5

0

2

4

6

8

10

12

14

16

18

20

France UK

Australia

Germany

USA

Japan

Sweden

Canada

Korea

Finland

China

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THE AUSTRALIAN HIGHER EDUCATION SYSTEM

University of Sydney

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Tradition and Change in Universities

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Australia

AUSTRALIA JAPAN

Land area (square kms) 7741.2 377.9

Population (millions) 21.0 127.8

GDP (US dollars billion) 821.0 4384.3

Gross National Income per head ($) 35,760 37,390

Education spending % GDP 5.8 4.9

Tertiary education spending % GDP 1.6 1.4

Public/private tertiary spending 0.8 / 0.8 0.5 / 0.9

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Tertiary education in Australia

• Approximately 2.70 million students (2007 data) are enrolled in all forms of tertiary education

• This includes 1.03 million in higher education and 1.67 million in vocational education and training (VET)

• VET is not classified as higher education in Australia. It mainly provides course at diploma level (two year programs) and below but there is a growing number of degree programs

• Australia is a federal system. The state/ territory governments have the main responsibility for VET. The federal government is the main policy and funding agency in higher education

• This presentation focuses largely on higher education

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Higher education in Australia

• Originally shaped along British lines in the 1850s

• 1,029,846 students in 2007 - one person in every 20• 39 pubic universities, 67 private providers• 976,786 students (94.8%) in listed public universities• 53,060 students (5.2%) in private sector

• 42,704 doctoral students (4.1%), all but 349 public sector• 225,673 other postgraduate students (21.9%)• 679,061 undergraduate students (65.9%)

• 68.0% of all students are full-time

• 537,960 female students (55.1%), 438,826 male• 273,099 international students (26.5%)• 9370 indigenous (Aboriginal) students

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The public sector

• Carries out nearly all research functions in higher education• Nearly all institutions present themselves as comprehensive

research and teaching providers. The actual distribution of funded research activity is highly uneven with about 70% concentrated in the leading eight universities out of the 39 institutions

• All institutions are active in for-profit export of education• Higher education is 45% funded by government (41% by the

federal government). 21% of income from local students and 15% from foreign students. Another 4% is investment income and 5% is form consultancy and contract research (2007 data)

• Largest institutions are Monash U (55,765), U Sydney (46,934), U Melbourne (44,251), RMIT U (43,251) and U New South Wales (42,933). Very few small public sector institutions

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Tradition and Change in Universities

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The private sector

• Minor role in research• Students now have access to income contingent loans (low

interest loans repaid through the tax system on basic of income level, i.e. capacity to pay). So private sector is growing rapidly

• Still fairly small sector with just one student in every twenty• Dependent on international market and low cost vocational

business training. Some small religious training institutions• Largest individual institutions are Notre Dame University (6224)

and Bond University (5344), which may develop as comprehensive universities in future; and Sydney Institute for Business and Technology (4030) and Australian College of Natural Medicine (2886)

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Staff in higher education

• There were a total of 101,475 effective full time staff in 2008 including casual teachers

• By some measures casual teaching provides half of all university teaching. Some casuals work in several institutions.

• In 2008 there were 37,522 classified academic staff and 49,102 non-academic staff - not including casual staff

• Of the academic staff 66.0% are classified teaching and research, 2.5% teaching only and 31.5% research only

• The average student-staff ratio has increased from 14 in 1993 to 20 in 2007

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Participation and social equity

• In Australia the educational participation rate of 15-19 year olds in tertiary education is 81%, only just above the OECD country average. High drop out rates before the end of secondary school are a continuing concern. Japan does better here.

• Adult education is stronger. The participation of people in their 20s and 30s is among the highest in the world. In this, and in its larger graduate degree programs, Australia is ahead of Japan

• Less than 15% of all students in higher education are drawn from the bottom 25% of the society’s socio-economic classification. This figure has not improved in the last decade despite policy concern about it

• Indigenous participation rates (Aboriginal students) are at half the level of the population as a whole

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Shares of world’s foreign students UNESCO data for 2005, includes ELICOS programs

21%

12%

10% 9% 9%

5% 4%3%

2% 2% 2%

21%

0%

5%

10%

15%

20%

25%

USA UK

Austra

lia

France

Germany

China

Japan

Singapo

re

Malays

ia

New Zeala

nd

Canad

aothe

rs

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Tradition and Change in Universities

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Four largest export sectorsAustralia 2007, AUD $s billion

$20.8

$16.0

$12.5 $11.5

0

5

10

15

20

25

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Main countries of origin, international students, Australia ,2007

China PRC 58,588

Malaysia 29,604

Singapore 29,374

India 25,042

China Hong Kong 22,829

Indonesia 11,860

USA 9771

Vietnam 7672

Korea South 5705

Thailand 4978

Canada 4529

Japan 4343

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GOVERNMENT-INSTITUTION RELATIONSHIP

Julia Gillard, Deputy PM and Minister for Education

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Government and universities 1

• Government has organized universities as a national competition for public and private esteem and funding. That is similar to Japan except that in Australia the competition is nearly all within the public sector

• University managements in Australia have more financial and entrepreneurial freedoms than in Japan. Budgets are managed internally. There is no prescriptive medium term forward planning, and quality assurance is light-touch, though there are annual negotiations on priorities.

• The culture of institutions is businesslike, managed, transparent and performance focused.

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Government and universities 2

• This is modified by strong academic cultures in some institutions. But academic freedom is weakened by over management and too much government influence

• As in Japan, national funding is scarce, and eroded annually by a cut of 1-2%, driving all institutions into volume building in the international student (export) market. This setting opens institutions to policy control via small additional parcels of funds.

• Micro-management of activity from a distance, particularly research, via output measures, output funding and competitive bidding schemes. Arguably the level of intrusion is high (compare with USA or Germany)

• It is a UK rather than USA approach to system management. Australia continues to be a British sytem in many ways, though as in the UK and many other nations, the American example has an increasing influence in Australia

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International student fee revenue, Australia, higher

education, 1995-2007AUD $s million, DEEWR data

531.7627.3

701791.7

1163.5

1700.9

2168.5

2375.4

2598.3

1946.6

1449.8

947.1

441.2

1995

1996

1997

1998

1999

2000

2001

2002

2003

2004

2005

2006

2007

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• Shaped by the British heritage (that’s the only tradition) and now increasingly focused on Asia-Pacific (the future)

• A very strong export nation and a middling to good research nation

• Highly modernized and business like -‘corporatization’ happened 20 years ago

• Universities are uniform in character but uneven in capacity and performance. A private sector is emerging

• Raising participation and the need to improve standards despite scarce $s are the main challenges of the next period

In summary, Australian higher education is:

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http://www.cshe.unimelb.edu.au/people/staff_pages/Marginson/Marginson.html

Published by Peter Lang, New York, January 2009

Published by Peter Lang, New York, early 2010

Thank you, and don’t forget to have a look at these books on globalization and creativity

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