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ORIGINAL ARTICLE
Changing
autonomy
in Chinese
? Jan Currie
Received: ? Springer
online:
3 June 2006
In China, the central government has released a series of key policy initiatives Abstract over the last twenty years to foster decentralisation of control over higher education, giving
prominence to discourses of increased autonomy for both universities and academics. This
article reports findings of an empirical study of changing autonomy in Chinese higher education and it focuses on the effects of these key policy developments in two case study
universities. This research was part of a larger study of new power relationships emerging
from changing policies on accountability and autonomy inMainland China, Hong Kong and Singapore, located within a broader context of the impact of globalisation on higher
education. The focus on the three regions was selected to begin to redress a Western
hegemony in such research. The larger study is premised on the principle that globalisation is characterised by ongoing tensions between global commonalities and context-specific differences, and that it is important not to gloss over the complex and often contradictory national and local mediations of "global" policy trends.
Keywords education Autonomy ? Policy ? China ? Devolution ? Globalisation ? Governance ? Higher
(El) of Education, Monash University, 3800, Australia Clayton, Victoria e-mail: rui.yang@education.monash.edu.au Faculty L. Vidovich The University J. Currie Murdoch University, Perth, Australia of Western Australia,
R. Yang
Clayton
Campus,
Crawley,
West
Australia,
Australia
fi
Springer
fundamental challenge
sponse, higher the education
in its history
significant
(Scott, 2000).
In re?
&
restructuring a paradoxical
(Currie
Newson,
university,
the
makes
a contribution
reporting
research
Republic
hegemony
of China
of research
to begin
education.
As China moves
market principles, universities. This
'world-class'
move
Chinese universities. Using document and interview data from Nanjing University (NU) and Nanjing University of Science and Technology (NUST), this article analyses how has changed in these two universities. The findings presented here are based autonomy upon fieldwork carried out by the authors in late 2003 and early 2004. The aim of the study
was to capture some of China's experiences of autonomy for universities and academics set
within
China, textual worked better
its cultural complexities. Thus, the early part of the article is devoted to contex tualising the case studies within the broader scene of the higher education landscape in
using both primary for of how the years and case secondary studies at a Chinese economic sources. was Gaining by This an one article, and understanding of the of researchers attempts international the con? who to background for a number understand facilitated
University.
expanding and
globalisation and
relations between China and the rest of the world is having implications at the ground level
for the goals, functions autonomy of universities academics that country.
Chinese China's
the most
higher
education
in historical
context is of major
the world's
repositioning
populous and
1997). By the close of the 18th century, China had developed a durable political system with a unique civilisation that had evolved during 2000 years of imperial his?
tory. During this time, its influence had spread to other countries, particularly to its own those
surrounding
cation few system external
higher edu?
logic with (shuyuan)
set of
were key elements of ancient Chinese higher learning (Hayhoe, 1996). Higher educa? tion circles confined their dissemination of knowledge to the provincial level and re? mained isolated from the rest of the world. As these institutions lacked a liberal arts tradition and autonomy to decide their own directions, they could not be called
universities 1 University constitutional in the western sense.
in Hong Kong, Macau and Taiwan autonomy terms, they are all parts of China.
is not considered
in this article,
although,
in
Springer
577
The 19th century saw the diffusion of the European model of the university throughout much of the world under conditions of imperialism and colonialism. During this period, Chinese higher education focused on training traditional Confucian scholars with little knowledge of the outside world, and it did not introduce science and technology to pro?
mote limited. economic However, development. as China reformers China's became suggested communication gradually enmeshed with the West was in the West-centred be invited intentionally worldwide into Chinese
developments,
that Western
instructors
institutions. Starting from the 1860s, Western style professional schools were established to train technicians. China's first modern university was founded in 1895 (Chen, 1986) and reforms of traditional higher learning institutions ensued. By 1905, normal and vocational
schools were established, and students were also sent abroad for training, mainly was to Japan,
established in tune with the then prevailing world trends. The lack of central government from 1911 to 1927 provided Chinese higher education with the opportunity for vigorous experimentation. This period saw the first real efforts to establish 'universities' in the
western sense of their defining values of autonomy and academic freedom (Hayhoe, 1996).
Different
influences,
strands of China's
facilitated by Chinese
own evolving
scholars who
various
and
foreign
Japan.
countries
The Chinese university of the Republican Era (1912-1949) began to develop into amature institution, achieving a balance between its Chinese identity and its ability to link with
universities in other parts of the world.
In 1949, the Chinese Communist Party (CCP) came into power and founded the People's Republic of China (PRC). Subsequently, the PRC began to be isolated from the
West, leading to its leaning towards the Soviet Union. Mao Ze-dong even announced in
1949 that the CCP must "lean to one side". Russians replaced departing Americans and Europeans in Chinese universities, so that by 1952, the Chinese higher education system
imitated Ideas Soviet from other administration, countries, teaching especially methods, those of textbooks, the West, were and even classroom rejected. actively design. on Based
Russian experience and advice, China's First Five-Year Plan (1953-1957) focused on the development of heavy industry. Plans to reform institutions of higher education so as to emphasise technical education were finalised in 1951. Copying Soviet reliance on man? power planning, the Chinese adopted a unified set of plans for student enrolments, job
assignments and curriculum content.
1956, China experienced political turmoil including the Great Leap Forward that devastated higher education (1958-1966) and the Cultural Revolution (1966-1976)
along with the fortunes of a generation of teachers and students. When Deng Xiao-ping was and
From
policies
to modernisation,
restoration of the educational system (Reed, 1988). The post-Maoist changes in educational policy saw the re-emergence of the old system with its residue of foreign models (Hayhoe, World Bank, began 1984). In the 1980s and 1990s, supranational organisations, such as the to influence Chinese higher education policy. More recently with China's entry into the
World Today and icine, Trade Organisation, higher market education Chinese ideologies is a state are system permeating without their a universities. degree-granting significant
private sector. Its institutions are of various types including general universities
social sciences/humanities), and foreign technical languages) universities, and specialised colleges. institutions Despite agriculture, teacher-training
(natural
med? in
(e.g.
reforms
578 High Educ (2007) 54:575-592 higher education institutions follows the vertical and horizontal patterns of general public administration in China (Cheng, 1998). The vertical system is controlled by the central (national) government and the horizontal system is controlled by local authorities, mainly provincial governments. This differentiation of universities is a major factor influencing
the level of autonomy for universities and academics.
In doing this, we do not wish to impose these concepts on to the Chinese context but to explore their applicability to Chinese higher education. In our concluding comments, we return to the analysis of how autonomy appears to be developing in Chinese universities. is at the heart of the concept of a 'university'. Derived from the Greek Autonomy
words for "self and "law or customary usage", the word describes the practice of self
that is considered
of
a right and responsibility of colleges and universities (1980) provided a working definition of autonomy in higher edu?
authority "somewhere (of within the components self-government)" university" (p. 7). This (p. 4), characterisation or "as is
over
compatible with Berdahl, Graham and Piper's (1971) classical definition where autonomy is seen as the power of a university to govern itself without outside control. Berdahl et al. further suggested a distinction between substantive and procedural autonomy where the
former pursue" refers and to the the latter "goals, refers and programs that an institution policies, to the "techniques to achieve the selected has chosen chosen goals" to
1971, p. 10). More recently, Ordorika (2003) adopted a pluralist per? spective by assessing the extent of autonomy in three broad areas of institutional self (Berdahl et al.,
government: autonomy administrative and course includes to Ordorika, and financial. academic, According appointive appointive, the hiring, of professors, and dismissal and rectors, deans, promotion, career includes choice curriculum academic autonomy policies, personnel; of degree and academic and establishment freedom; selection, requirements, has focussed in higher education boards and universities within on an
Slaughter,
notion academic of
articulation framework. More recent approaches (Gumport & Pusser, 1995; Hardy, 1996; 1993; Slaughter & Leslie, 1997) have focussed on political economy and the
academic capitalism For example, capitalism. on university autonomy researchers and found have that one looked of at the the obvious impact results of is
the diversification of funding sources. A key argument has been that university autonomy can be enhanced and protected through diversifying university funding bases (e.g., Goedegeburre, 1994). While independence from a single source of funding may potentially increase autonomy, there is every possibility that itmay also introduce different types of
constraints when institutions accept private funding. It may be necessary for public uni?
versities to completely break away from government funding to form private institutions (as several UK universities have threatened to do, like Oxford and Cambridge, and US universities, like the University of Virginia and the University of Michigan) to gain greater
autonomy. Another change that traditionally central allowed considerable autonomy has been a
shift from unstipulated or block grant funding to targeted funding, which tends to increase
higher education dependence on governments and place additional constraints on
579
of
These
trends towards an "audit society" or "performative society" (Amit, 2000; Ball, 2000). It is against such a global policy context that higher education became a tool for achieving an integrated global knowledge system along market lines (Ball, 1998). The change in governance ideology in higher education towards market principles has altered the ways in which universities are managed (Braun & Merrien, 1999; Currie & Vidovich, 1998; Flynn, 1997; Marginson & Considine, 2000; Slaughter & Leslie, 1997). Arguably,
while there may be some level of enhanced administrative autonomy, increasing financial
and accountability pressures continue to limit the power of universities self govern. This is arguably the case for Chinese universities. Chinese national policy on autonomy
and academics
to
According toNeave and van Vught (1994), there are two models of government steerage in higher education: the state-supervised model and the state-controlled model. The Chinese higher education system has traditionally employed the latter. In the 1950s, the central (national) government assumed the responsibility for formulating higher education poli?
cies, search allocating resources, exercising administrative controls, curriculum, textbooks, staff, developing choosing to university The government-university graduates. universities little with down, autonomy. University enjoying as stated direct central control, by the Provisional government's jobs and re? teaching employing students and assigning recruiting was one-way and top relationship operation was under of Higher the
Regulations
Education Institutions under theDirect Jurisdiction of theMinistry of Education the 1960s as follows:
The establishment, change and cancellation of programs in all these universities
(MoE) in
must
be approved by the MoE... University teaching should be according to the syllabi designed or approved by theMinistry...No programs, syllabi and textbooks should be changed easily. Any substantial changes must be approved by the Ministry. (Shanghai Higher Education Bureau no date, cited in Hu, 2003, p. 4) The 1980s saw a turning point in government-university relationships in China. The transformation from a planned economy (imported from the former Soviet Union) to a market economy from the 1980s under the open-door policy led to profound changes in all
The education of Chinese aspects society. higher was to reforming in a context turned governance sector of was no exception, of the and attention Gov? rapid expansion sector.
ernance reforms were introduced from 1985 when the CCP Central Committee issued the Decision on the Reform of the Educational System (hereafter referred to as the 1985 Decision) at theNational Education Conference, indicating that university autonomy was a priority:
The core part tight of the current over higher education reforms is to change institutional the central under gov? the control to improve their
ernment's
institutions,
autonomy
national principles and plans, so that institutions can build up their closer links to
industry and other sectors, and foster initiatives and capacity to meet economic
Springer
580
In 1993, the Program for Education Reform and Development in China (hereafter the 1993 Program) was promulgated to reaffirm the 1985 Decision that the central government
was to refrain from direct control of education. Instead, it was to act as a facilitator, giving
all universities more autonomy (Mok, 1999). In 1998 university autonomy was further protected by China's Higher Education Law (Sun, 1999), which legitimated the "Presi? dential Responsibility" system. According to this law, university presidents would become responsible for the formulation of their own institutional policies and long-term devel? opment plans. For example, according to Article 34 of theHigher Education Law (1998) "Based on their own teaching needs, higher education institutions take the initiative in designing their own teaching plans, selecting textbooks and organising teaching activities" (Sun, 1999, p. 62). Likewise within a university, faculties/departments are also meant to
much greater enjoy resource allocation. autonomy in matters relating to teaching, research, personnel and
With a strong push towards decentralisation of higher education (Bray, 1999), including a strengthened role for provincial governments, coupled with marketisation of the higher
education domains of sector, the autonomy research of and universities administration. was, in theory, as to be reported increased by Wang across the teaching, However, (2000),
based on his questionnaire survey of full and associate professors from more than 200 universities in 2000, academic staff recruitment was the only item where more than half of the respondents (55%) considered their institutions had relatively more autonomy than in the past. Autonomy in the other six areas identified in the survey was considered lacking. Specifically, the majority of respondents believed that autonomy was lacking in student recruitment (70%), academic programs (66%), organisational structure (65%), allocation of funds (57%), promotion (55%), income allocation (53%), and recruitment of senior administrators and departmental heads (52%). By the early 2000s, tuition fees were becoming widespread inChinese higher education
as a direct portion of result of reduced from government the central funding government and policies had steadily of of marketisation. decreased. The From pro? 1993 investment
expenditure decreased from 83% to 70% during this period. The percentage in 2001 was dramatically lower at 53%, demonstrating a significant proportional decline in government resources devoted to higher education. In 2002, the MoE set limits to higher education tuition fees, with different caps for different majors and higher learning institutions with
different relations status. and Thus, the central since the 1980s, the market has become has government to state stepped a "market into university-government manager". this affected The relationship
is
of
The
case
study
universities
case
study
approach
was
adopted
in this
research
to gain
a deeper
understanding
of
institutional autonomy within individual universities in their unique settings. The univer? sities selected were Nanjing University (NU) and Nanjing University of Science and (NUST). As the main method of data collection, we conducted 21 semi Technology structured interviews in Chinese (Davies, 1997; Punch, 1998) at the two case study sites. fi
Springer
581
university policies
sites, contacts had
before we
colleagues,
respectively,
to facilitate
scholars participants. Then, working by
senior
sampling, so
with
in the
knowl?
university.
in Chinese
variation by
level and
university policies of
the rank, age, and disciplines among gender, was in selecting their rep? interviewees we also wanted to interview those who knew The spread those of those interviewed was not
quite as dispersed throughout the two campuses as we would have liked but we managed
interview quite individuals and especially who were more senior
to
in the two
universities and who tended to be more aware of higher education policies. We interviewed 11 full professors, 6 associate professors and 4 lecturers; there were 14 males and 7 and the females. In terms of disciplines, 5 were from the sciences/engineering/computing
rest from law, literature, linguistics, education, and the social sciences. In terms of ages,
they ranged from their 50s (7), 40s (6), 30s (5), to their 20s (3). The two case study institutions represent the two most common kinds of universities in contemporary China (Yang, 2002), so the practices of NU and NUST may throw some
light on the general conditions at many similar Chinese universities. However, this article
does not claim that its findings are directly generalisable to other universities inChina. NU is a national university (in the vertical system). It is one of the oldest higher learning institutions in China, consisting of 17 faculties including the humanities, law, international
business, foreign studies, science, engineering, geoscience, life sciences, and medicine,
with 47 departments, the Graduate School and the School of Adult Education. NU runs 70 undergraduate, 180 masters, 116 doctoral programs, and 18 postdoctoral centres.2 It has 75
laboratories on campus, among which are 7 national key laboratories and 3 national
specialised laboratories. There are 28 nationally designated and 10 provincially designated key disciplines. In 2004, there were 38,500 students and of its 2,150 faculty members, 632 were full professors, 23 were members of the Chinese Academy of Sciences and 3 of the Chinese Academy of Engineering, and 3 were Fellows of the Third World Academy of
Sciences. NU has very strong programs in the humanities and social sciences as well as
natural sciences. By contrast, engineering is relatively weak, although it is beginning to build engineering programs. During its long history it has consistently ranked at the top in China, although its rank has slipped in the last few years from third to sixth and this has
been the source of some concern by those within the university. These rankings are
area in 1985 to make use of centres began to emerge within Chinese campuses by discipline Post-doctoral needs holders. They are associated with leading national research and their establishment talented Doctorate to be approved by the Ministry For an account of the work of the post-doctoral of Education. centres, see (1989). Hayhoe
fi
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582
conducted by non-government organisations but are widely published and frequently referred to (Liu & Liu, 2005). NUST was founded in 1953 under the direct jurisdiction of the Commission of Science, Technology and Industry for National Defence. In 2002, this Commission and Jiangsu provincial government decided to jointly develop NUST. Its jurisdiction was completely transferred to the Jiangsu provincial government in 2003-2004.The University has now turned into a multi-disciplinary institution including faculties of science, engineering,
information technology, liberal arts, economics, management, adult education and law,
with special emphasis on engineering. It has been particularly specialised in engineering, with relatively weaker humanities and social science programs. It has 57 undergraduate, 82 Masters and 33 Doctoral programs and 11 post-doctoral centres. In 2004, 29,626 students were enrolled, with 16,599 undergraduate and 5,626 postgraduate students. It had 3,047 full-time staff, of which 1,565 were academics and 3 were members of the Chinese Academy of Engineering. While enjoying a good reputation within the higher education system, NUST does not have the status of NU, nor is it characterised by the liberal
orientation evident at NU. It originated as a military college, and continues to maintain
close links with themilitary. In 2004, the year the data were collected, itwas ranked forty fifth nationally. currently Although universities in the vertical system (national government-controlled) occupy about 5% of Chinese higher learning institutions, their officially designated high status makes them the most influential within the system. Meanwhile technology univer? form the biggest group sities in the horizontal system (provincial government-controlled) among various types of Chinese higher institutions. A detailed discussion of the policies and practices at NU and NUST should begin to shed light on the current state of autonomy in Chinese higher education.
distinguished
refers with
former especially
to a university's governments,
is akin to the notion of academic freedom. Although there is clearly significant overlap between institutional and individual autonomy, they are not
example, be exercised a high degree of institutional autonomy does not necessarily
guarantee a high
autonomy could
for academics
of individual
the views
separately. Most of
are presented
the two case they to
differences to allow
institutions from
existed, respondents
the data
be revealed, and an audit trail is provided with respondents numbered and identified by institution as NU or NUST. We start with the views about institutional autonomy. Institutional autonomy
There was almost now total than consensus ago, among respondents as exemplified by: that universities "Compared with in China the past, have more
autonomy
a decade
autonomy
fi
Springer
High Educ (2007) 54:575-592 given by the country (national government) is much more" (NUST7). However, respondent argued for further enhancing autonomy by marketising more fully:
583 one
The government still uses the thinking of a planned economy. The university should be totally put into themarket and let themarket say if the quality of the university is good or not. It is like farming. The MoE controls what the university should seed; but when there are too many plants, it will blame the university. (NU2) Opinion was divided on international comparisons, which different views: Autonomy
Chinese Western
is reflected
in these two
(NUST3)
more than universities in rights, maybe wants more to employ if the university
teachers, it has to be approved by theMinistry of Culture. In China it is very easy. The university has the right to decide. (NUST2) The latter quote points to the increasing autonomy of universities
although there are still limitations. For example, one respondent noted
in appointing staff,
that:
In our province there is an official document specifying that if people from North Jiangsu want tomove to work in South Jiangsu, itwill not be easy. Itmay be easier if you bring talent from abroad. The personnel file and residence registration file was
not easily transferred. It is a little better now because you may be able to reconstruct
a new file, but it relies on your 'good relationship' (guanxi) with the university authorities, if they support you. But if this residence file cannot be transferred, itwill
make things difficult for the university to recruit to arrange an apartment are for academics and for
(central government]
you restricted
emphasise nation?
their general
within
plan. (NU5) Another respondent noted that "Universities still have no rights to dismiss teachers, except if they offend party discipline and national law" (NUST7). University presidents and secretariats are still appointed by the national and/or provincial governments but
academics nationally. Universities pressure means with The some from placing its desire have increasing, although still limited, to link enrolments the government education. autonomy to human is also As one over enrolments. planning, enrolments explained: There which overall is resource from professors down are now being appointed institutionally, rather than
increasing respondent
higher every
almost
dormitories,
laboratory
the government
that so we have to. There is bargaining between theMoE and universities. They say we should enrol 3000, we say 2000 and they say 3000. But only where students can find jobs does the government encourage enlargement of those fields. (NU 12)
Respondents believed that national universities (e.g. NU) generally have more auton?
(e.g. NUST).
of autonomy
tend to
lesser not but
the enrolment
?) Springer
584
NUST). If a university has gained permission from theMoE to have a Research Graduate School (approximately 50 across the country), it can offer Masters places, but Doctoral
places this ments, enrolments has are still controlled to change. universities by now the national with have some more government, level of although there control are some over signs total that enrol? of begun some Even government over internal their distribution autonomy as one respondent at NU noted:
between
departments,
although
is slightly better,
cannot of students make for a
course based on a changed situation after the National Higher Education Entrance
Examinations. Almost all That's respondents new courses. Students majors programs. not allowed. reported Some also and (NU5) that autonomy over the curriculum has increased
greatly in recent times, although again this varies across different universities. The MoE
usually courses past. approves themselves. change their doctoral universities, that some across they the have of sector however, greater lecturers. in the can autonomy They trend also towards introduce than have new in the more remarked have
choice
Variation
increasing
and curriculum
is reflected
in the following
quote from a
en? new
and has
some given
have some
not. We
have
of set
speaking
are not to
complete
autonomy
universities.
Universities except that
(NUST5)
are generally to political free to decide where on course content design, the national government and evaluation, The
relating
education
intervenes.3
issue of individual academic freedom in teaching is taken up in the next subsection. The majority of respondents noted tensions between the level of resources and the level of autonomy, as exemplified by: "The University has lots of autonomy but resource allocation still has problems...The government should provide enough funding, including
human resources. If our University cannot provide high salaries to professors, no-one will
come" The
common
(NU4). introduction of tuition fees set by individual universities was one of the most
examples respondents gave of increasing university autonomy, especially at
NUST.
lation
this continues
were
to be a highly controversial reform in Chinese higher that fees are too high relative to the ability of the popu?
seen by many respondents to breach the "rightful"
as dramatically
3 on political education are compulsory at university "Two courses" level). One (including postgraduate centres on Marxism, Leninism, Mao Ze-dong Thought and Deng Xiao-ping Theory, and more recently on (1) CCP should always represent the most advanced production power Jiang Zemin's Three Representatives: in science and technology; (2) CCP should always indicate the future direction towards which the advanced culture of China should go; (3) CCP should always represent the basic benefits for the mass of the Chinese people. The second course is on political character and moral education.
?} Springer
585
the MoE
they
the university
because
high. The reason is that this year inwestern China, a student suicided and last year a parent suicided because the family could not afford tuition fees. The media had a
series of reports and lots of people said fees should not be raised. In western
countries the tuition fee is a limited percentage of people's not have enough to pay. (NUST8)
On the one hand, almost all respondents were largely
positive
about
towards
market principles "freeing up" the centralised controls of the Communist past. Unlike the situation in theWest where the decreasing involvement has been criticised, such a trend in China, due to the different historical and contemporary social, has been welcomed economic and political contexts, in particular the longstanding tradition of reluctance to encourage a direct link between education and industry and the lingering discord caused by
the planned On system. hand, many were uncomfortable with the degree more of change?it was for the other
them too far and too fast. The following quotes reflect the tensions between centralised
control and the Most autonomy of the of universities quoted to operate here freely marketplace. respondents argue for various in a higher education forms of compromise to achieving the goal
or "mixed modes"
of rejects a 'world the notion class'
of a market
as antithetical
The national government transfers the responsibility it should have to universities and parents. My view is that the country should raise the funds and the university should
also adopt appropriate market ways. The national investment should be over 70%, and
universities
China must
to a market
is to educate
has started to ask students to pay an annual fee; it had to be done, otherwise
burden for the country is too heavy. The university also needs the application
the
and
commodification of research to obtain economic profit. The aim of making profits is for the development of education. It is different from a company that does everything only for obtaining profits. (NUST5) and Tsinghua?the best (mainland Chinese) Universities such as Peking
universities?should not be evaluated according to market criteria, but the majority
of universities should be?if the products can be sold and get a good price. If the student graduates are not good, then the reputation of the university will decline and it should answer to the market. The market is fairer. (NUST7) I think if the university wants to be first class in the country or in the world, it should
not use the administrative aim company. The way of a company of companies. is for pursuing The cannot be run like a university maximum which is the worst profits,
thing for running a university because the university is for cultivating people's spirit and it should be full of human culture. The environment should be more relaxed. The
people who want to earn lots of money should not come to university. However, the
university must provide an honourable life for people who are willing education. (NU6)
to contribute to
Springer
of negative
from fees.
implications for
For example: money to not
enrolments entering
university
reluctant
phenomenon
On top of the tensions with the transition from centralised control to deregulated markets in Chinese higher education is the complication of a political system which has evolved from Communism, as highlighted by a majority of respondents across both uni? versities and exemplified in the following quotes:
Teachers do not answer to the market, they answer to the (political) leaders. ... If
totally following
(NUST7)
Economic reform is following the track of a market economy and doing very well. Now is the problem of political structure reform. (NUST7) Several respondents from NU, the higher ranked case study university, believed that the government should give different levels of autonomy to differently ranked universities, for example: "Universities ranked in the first 30 should be given autonomy of curriculum set up because those universities will not do any banned things. As to lower level universities,
the autonomy them" (NU2). should From not be given and the government "To develop could enhance the management of should another respondent: education, the government
and make
has
autonomy
still significant limitations (including low levels of resourcing) which are the source of tensions. One respondent gave an example of the President of Nanjing University putting a to this respondent, the case, publicly, for more autonomy from the MoE. According President was likening reforms within Nanjing University?a "flattening" of the structure
of colleges and departments?to the need for national reforms to devolve more power from
theMoE
this university said to him face to face He meant that we?the university?did
between government control and university autonomy in Chinese higher education might best be characterised as a "hybrid" of centralisation and decentralisation which takes
variable forms across the sector. In the next section the focus moves from the level of
translate into increasing autonomy for individual academics. Almost all respondents in this study reported a high degree of individual autonomy or academic freedom in their re?
search. For example, "Nowadays we are advocating academic freedom, and there is much
freedom fi
in research"
(NUST5). Although
Springer
587
those
providing the funds. The availability of funds can also be subject to guanxi, which is a form of interpersonal relationship building where junior staff members are sponsored by senior powerful allies. These themes are reflected in the quotes below: For national projects, which
allowed to have autonomy,
aim to benefit
and also for those
not be
you
must follow the needs of the company. (NU3) There is freedom in research except around political issues, but you cannot be guaranteed funding. Funding depends on the private relationship you have with the person who is in charge of funding (guanxi). (NUST7) Another
would not
respondent gave examples of political research that could be too sensitive and
be allowed by the government: "You cannot do research on the June 4th
Incident?its merits, demerits, historical position?or on the Four Basic Principles4?whether to stick to them or not. But you may wish to study Bill Clinton and no-one will interfere with you" (NU5). There was a high level of consensus from respondents that there is increasing freedom in teaching (except in politics where the curriculum is set and students must pass national
exams). students' Chinese learning too many lecturers as they can please. as generally Beyond decide this, what to say in class and how to assess inter? the national government now rarely
the MoE
the
con?
the curriculum...Now
student
outcomes"
However, into autonomy university
(NU6).
autonomy for to universities academics be very from the MoE on over does individual can to decide curricular these translate necessarily always and pedagogy issues. Some One respondent at NU
departments
prescriptive
domains.
gave examples of restrictions applied at both administration and department levels: At the beginning of the semester, our department (linguistics) will hold a meeting. It will decide on what kinds of materials (such as texts) and teaching methods should
be used. If you do something special, you will be criticised. ...Some of my colleagues
tried to give students more American movies to practice their listening (in English). Others didn't think itwould work because they thought that students would only look at the Chinese characters (subtitles) instead of listening to the dialogue. My col? leagues were criticised by the teaching administration department. (NUI) One respondent at NUST observed that where individual teacher autonomy does exist,
it is not time how though always consuming. to evaluate nascent to longstanding because is very instituting changes practices to choose this respondent felt there was freedom example, although use of examinations, in reality al? there was almost exclusive students, were of examinations "The way is changing changes emerging: gradually. taken up, often For with the other such as oral tests but not
Teachers do not want to change their ways because they feel it is simple to give a test. The
workload is heavier ways the government does
4 or "Four Cardinal Principles", in 1979. They introduced the "Four Basic Principles", Deng Xiao-ping are: "We must keep to the socialist road. We must uphold the people's democratic dictatorship. We must the leadership of the Communist Party. We must uphold uphold Marxism-Leninism-Mao Ze-dong Thought."
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compared with
accountability a single towards
accountability prescriptive
accompanies
structures/functions
model
respondent:
A famous university must be all flowers in bloom and does not only follow one model. If there is accountability demanded by senior staff, we will do it just to muddle through but it wastes manpower and money. The university is not a
mechanical factory to create standard products. It is to cultivate students. Therefore,
the environment
As noted by
several
the higher requirement it asks for. It requires our university to be a 'world class' university and the pressure increases" (NU9) and "The MoE gave us several hundred million (yuan),
but is always to referring despite dance evaluating the pressure the rhetoric us, on of so how can we and be free?" universities increasing and more academics when Another respondent, out? to account for measurable ' are shackles 'After your explained: (NU8). or perform some
comes,
autonomy,
in a cage. If you undo your shackles, you will not fly away;
elegantly, not overcautiously
(NU5).
Concluding University
which based
remarks autonomy
Chinese with
universities economy,
develop.
freedoms.
government
has
autonomy
state-supervised international
to a
to
How?
ever, it still operates basically within a restricted, national market for both students and
staff; and, in some cases, this becomes limited to a provincial market. There
continues to be a lack of mobility for students and staff that one might find in theUK or the USA. The central government still has control over key aspects of Chinese higher edu?
cation our policy. two case Some study of these aspects were detected summarizing in our these, interviews with academic to note staff that in this universities. Before it is important
study captured only one point in time in the lives of a small number of academics in two Nanjing universities. Furthermore, our findings have to be understood within the context of
a country Having in a state said of flux. detected several significant, if sometimes, contradictory trends. A that, we
good
about increasing
would will that argue mean
accountability
limited. However,
it is
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the respondents'
(both institutional and individual) in the last two decades, while also identifying distinc?
the rhetoric controls there were of and of government "the reality" of policy government example, freedom constraints, appointment a "freeing suggesting up" of centralised to experience. For constraints continued they when said that they had greater respondents
contradictions
evident
in terms
and research and at the same time there were continuing teaching areas of research in terms of political and the sensitive education, especially and party central of the President secretaries within authorities. universities by
These examples
higher The education. issue of
inevitably
the purposes of universities themselves. Institutions of higher learning have always served their societies; they have never been the isolated ivory towers of popular imagination. Since their inception, they have engaged with the issues of their day, discovered and distributed whatever was at the time deemed useful knowledge and established various,
often last idiosyncratic, two decades financial as with patrons, relationships the Chinese decided government to become more donors, to expand and governments. the sector Over towards the mass
higher education,
allow room
for non-state
marketisation
educational citizens. At more the same public
in the Chinese
resources and
instrumental in mobilising
opportunities for
more
learning
Chinese
time,
China, Greater
like many
countries, to external
began
opening
up
to of
scrutiny.
accountability
constituencies
means
the traditional values of universities are often challenged (Kennedy, 2003). When this happens, Kennedy suggests that the task of universities is to develop strategies that will retain the best of what universities have traditionally stood for while responding to new pressures and priorities. The analysis here shows that China is trying to do just that. It has
maintained works via a strong increased role for the state even and accountability a regulator, our it is being though steers at a distance. reconstituted. Considering even The China's state now social,
research
engaging with globalisation and market competition and thatmarket ideologies may be an even stronger influence in Chinese higher education than inmany OECD countries. But, markets can also be deaf and blind (Yang, 2003) and thus there may be a role for the state in ensuring equity. Within universities, the challenge is, as suggested by Kennedy (2003),
to identify authorities structures that allow academics, managers decision-making to work in partnership. Outside of universities, partnerships and can governing also extend
beyond
taken.
the university
as Derek
This
However,
of Harvard,
diversifying
constraints different
academics,
funding.
Balancing
590
is associated with relationships of power and authority. Clark's Autonomy distinction between state (regulatory) and market control as policy mechanisms
useful here. Market-based interventions incorporate financial incentives to change use
behaviours of market participants, and the incentives can subsidise the cost of production
or change price incentives faced by market participants. Regulatory interventions non
market or non-price strategies. They do this through changing regulations or legislation to facilitate, prohibit or regulate certain behaviours. They can also introduce funding pools
that do not give autonomy to market participants but require special submissions or
applications to access the available funds. China is trying to utilise both state and market control mechanisms. This is in line with what Coaldrake (2000) has highlighted in the
Australian context, that is, bureaucrats emphasizing regulating at strategies and conservative
politicians
strengthen market and
practices.
state, often
In Clark's
(1983)
of
is to
or
the expense
is to get the mix right among the trinity of the state, the
In relation to general patterns of control in higher education across the globe, Ordorika (2003) identified three types of domains in which universities could have autonomy. It appears that Chinese universities now have greater freedom in the appointive domain for
academics and in the academic domain of self-government over curricular decisions and
they also have some additional financial independence from government in the form of private funds, as neoliberal policies come to dominate. But this latter freedom is a mixed
blessing due to increased regulation of performance-related pay and tuition caps. Olssen,
Codd and O'Neil (2004), writing about educational restructuring in England, point to the dangers of neoliberal policy options that tend to deprofessionalise academics by replacing
autonomy essence and of trust with new forms involves of contractual models accountability a specification and of control. tasks and They duties, argue which that "the is fun?
damentally at odds with the notion of delegated responsibility" (p. 186). It may be too early to raise alarm bells about the influence of neoliberal policies that may change the relationship between the state and universities and individual academics in China. Nev?
ertheless, procedural we can discern but, a shift in the nature of of autonomy, substantive resulting autonomy in some autonomy arguably, a narrowing (Berdahl greater et al.,
1971) with the central government at the helm in China, steering higher education to in a context of globalisation. This has resulted in a type of increase its competitiveness
regulated their autonomy have that been is reminiscent removed, of one they were of our still shackles claims respondent's in a cage". "dancing that even though
Financial support by the Australian Research Council Discovery Acknowledgements Project is gratefully We thank the reviewers for their valuable insights. We also want to thank the participants in acknowledged. the two Chinese that gave us their time to be interviewed. Finally, we are particularly grateful universities for the assistance and the hospitality provided by Professor Gong Fang and Assistant Professor at the Institute of Higher Education Research, University and Director Zhao Min of Nanjing, of Science and Technology. Education Research Institute at Nanjing University Qu Mingfeng of the Higher
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