University of Macau / Faculty of Social Sciences. / Department of Government and Public Administration

In 2002 New Zealand�s government set out to "accelerate" the nation�s "transformation into a knowledge society" (Ministry of Education, 2002a, p. 16). Underpinning the development of this so-called 'knowledge society' was a new approach in the way tertiary education was funded. This included introducing a new contestable model of research funding called Performance-Based Research Funding (PBRF). The research reported here was conducted at a critical juncture in the ongoing development and implementation of PBRF because it captures the experiences of fifteen academics as they encounter PBRF and the Quality Evaluation exercise for the first time. Their experiences of the inaugural 2003 Quality Evaluation exercise were examined using a discourse analysis approach informed by Michel Foucault�s (1926-1984) ideas of 'subjection' and 'governmentality'. 'Subjection' occurs when individuals shape their identities by responding to the multiple discourses that are available to them at any particular time and within any historical context (Foucault, 1969). 'Governmentality' refers to a particular instrument, technique or activity that guides and shapes conduct by producing a compliant human subject capable of supporting the interests and objectives of the state (Foucault, 1994a). In the case of academics this might mean conforming to PBRF policies and practices and participating in the development and transformation of a new 'knowledge society'. In this thesis I examine the potential for PBRF to reshape and redirect the nature of research and suggest that some assessment elements of the 2003 Quality Evaluation were flawed and, as a result, a number of participants in this study were now making decisions about their research that appeared contrary to their best interests. I also investigate PBRF as a field of compliance and argue that the Quality Evaluation exercise represents a technology of government that targets the activities and practices of New Zealand�s research academics with the effect of manifesting a more docile and compliant academic subject. I then question PBRF�s impact on the career aspirations and opportunities of academics and claim that the PBRF Quality Evaluation framework has already shifted from being a mechanism for distributing funds for research to one that identifies and rewards the most 'talented' researchers via institutional appointments and promotions. Finally, I interrogate the pursuit and practice of academic freedom and argue that as a consequence of PBRF, a number of participants in this study have positioned themselves in ways that could diminish and constrain their traditional rights to academic freedom. PBRF has the potential to locate academics within a new status-driven hierarchy of professional validation whereby the Quality Evaluation exercise will purportedly measure, evaluate and reward the most 'talented' researchers and the 'best' research. In this thesis I argue that the PBRF Quality Evaluation framework operates as a form of disciplinary power exercised as part of an international trend of intensifying audit and assessment practices in higher education. In this sense, I claim that PBRF exists as an instrument of governmentality capable of constituting a new type of academic subject by significantly shifting the way academics will have to think and conduct their professional selves in relation to their work and research.

In 2002 New Zealand�s government set out to "accelerate" the nation�s "transformation into a knowledge society" (Ministry of Education, 2002a, p. 16). Underpinning the development of this so-called 'knowledge society' was a new approach in the way tertiary education was funded. This included introducing a new contestable model of research funding called Performance-Based Research Funding (PBRF). The research reported here was conducted at a critical juncture in the ongoing development and implementation of PBRF because it captures the experiences of fifteen academics as they encounter PBRF and the Quality Evaluation exercise for the first time. Their experiences of the inaugural 2003 Quality Evaluation exercise were examined using a discourse analysis approach informed by Michel Foucault�s (1926-1984) ideas of 'subjection' and 'governmentality'. 'Subjection' occurs when individuals shape their identities by responding to the multiple discourses that are available to them at any particular time and within any historical context (Foucault, 1969). 'Governmentality' refers to a particular instrument, technique or activity that guides and shapes conduct by producing a compliant human subject capable of supporting the interests and objectives of the state (Foucault, 1994a). In the case of academics this might mean conforming to PBRF policies and practices and participating in the development and transformation of a new 'knowledge society'. In this thesis I examine the potential for PBRF to reshape and redirect the nature of research and suggest that some assessment elements of the 2003 Quality Evaluation were flawed and, as a result, a number of participants in this study were now making decisions about their research that appeared contrary to their best interests. I also investigate PBRF as a field of compliance and argue that the Quality Evaluation exercise represents a technology of government that targets the activities and practices of New Zealand�s research academics with the effect of manifesting a more docile and compliant academic subject. I then question PBRF�s impact on the career aspirations and opportunities of academics and claim that the PBRF Quality Evaluation framework has already shifted from being a mechanism for distributing funds for research to one that identifies and rewards the most 'talented' researchers via institutional appointments and promotions. Finally, I interrogate the pursuit and practice of academic freedom and argue that as a consequence of PBRF, a number of participants in this study have positioned themselves in ways that could diminish and constrain their traditional rights to academic freedom. PBRF has the potential to locate academics within a new status-driven hierarchy of professional validation whereby the Quality Evaluation exercise will purportedly measure, evaluate and reward the most 'talented' researchers and the 'best' research. In this thesis I argue that the PBRF Quality Evaluation framework operates as a form of disciplinary power exercised as part of an international trend of intensifying audit and assessment practices in higher education. In this sense, I claim that PBRF exists as an instrument of governmentality capable of constituting a new type of academic subject by significantly shifting the way academics will have to think and conduct their professional selves in relation to their work and research.

Thesis (Ph. D.) - University of Göttingen, 2004.

Thesis (MBA)--Stellenbosch University, 2001. / ENGLISH ABSTRACT: The theme of this study is an investigation of the financing issues of Universities, with specific reference to the Graduate School of Business of the University of Stellenbosch. The goal of the study is to determine what influence the successful or non-successful completion of studies at the Management School have on the subsidies that the University of Stellenbosch, and therefor the Business School, receive from the state. The following critical factors influence the University's revenue from subsidies. Firstly, time plays a role. It is a fact that when a student is successful in obtaining a degree within the minimum period or longer, or not al all, this directly influences the funding of the University, and therefor also that of the specific department, because each cost unit at University and Faculty level is directly influenced by the number of enrolled students who successfully complete their credits. The principles of the subsidising of instruction inputs and outputs causes that it is more important for the university that students attain their specific credits and therefor their degrees in the minimum prescribed period of time, rather than eventually attaining their degrees. If a student enroll for a number of credits in a specific year, but he does not attain those credits that year, it means that the university will effectively only receive half of the normal subsidy amount, because subsidy will not be calculated for the next year for success. The second factor is the demographic profile of students. Because of the entry of previously disadvantaged communities, and their bigger demand and need for training, there will in future be more and more pressure on the funding principles and the subsidies that universities receive from the government. This will force universities to find ways to support students, and encourage them to attain their degrees within the prescribed time frame, without compromising standards. The third factor is that the central government does not pay the subsidies that it should pay in terms of the so-called subsidy formula. These factors make it imperative that enrolled students should attain their degrees as soon as possible. This study focuses therefor on the so-called subsidy formula and how the success ratio of MBA-students impact on the financing of current expenditure of the Business School of the University of Stellenbosch. In order to make recommendations on which actions the Business School needs to take in the light of successful completion of studies, the following work method was followed. Various personnel of the Administrative Department of the University of Stellenbosch (US), as well as the Business School of the University of Stellenbosch (USB), was interviewed to determine how the formula is used within the framework of the University, as well as to obtain information and statistics on the study patterns of students of the USB. A study was conducted of previous, the current and future funding formulae. Personal interviews were conducted with people at the Management School of the University of Potchefstroom to compare their MBA-course with that of the USB. The most important finding of this study is that Universities should do everything in their power to ensure that students successfully obtain their course credits within the prescribed minimum period, as the subsidy payable for non-successful students are half of that payable for successful students. / AFRIKAANSE OPSOMMING: Die tema van hierdie studie is 'n ondersoek na die finansieringsvraagstukke van universiteite, met spesifieke verwysing na die Bestuurskool van die Universiteit van Stellenbosch. Die doelwit van die studie is om te bepaal watter invloed die afstudering of nie-afstudering van studente aan die Bestuurskool (USB) het op die subsidie wat die Universiteit van Stellenbosch, en uiteindelik die Bestuurskool, van die Staat ontvang. Die volgende kritieke faktore beïnvloed die Universiteit se inkomste uit subsidies. Eerstens speel tyd 'n rol. Dit is 'n feit dat indien 'n student suksesvol binne die minimum tydperk of langer afstudeer, of glad nie, dit 'n direkte invloed op die befondsing van die Universteit, en uiteindelik die befondsing van die departement het, omdat elke koste-eenheid op Universiteits- en Fakulteitsvlak direk geraak word deur die getal ingeskrewe studente wat hulle krediete suksesvol voltooi. Die beginsels ten opsigte van die subsidiëring van instruksie-insette en -uitsette veroorsaak dat dit belangriker is vir die universiteit dat studente hulle spesifieke krediete en dus hulle grade binne die voorgeskrewe minimum periode moet behaal, eerder as dat hulle uiteindelik grade moet behaal. Indien 'n student inskryf vir 'n aantal krediete in 'n sekere jaar, maar nie in daardie jaar sy krediete behaal nie, beteken dit dat hy effektief net die helfte van sy normale subsidiebedrag vir die universiteit beteken, aangesien daar vir die volgende jaar nie weer subsidie bereken kan word ten opsigte van sukses nie. Die tweede faktor is die demografiese profiel van studente. Die toetrede van die voorheen agtergeblewe gemeenskappe, en hulle groter eise en behoefte aan opleiding, veroorsaak dat daar in die toekoms meer en meer druk op die befondsingsbeginsels en die subsidie wat universiteite van die staat ontvang, gaan wees. Dit sal universiteite noodsaak om wyses te vind om studente te ondersteun en aan te moedig om hulle grade binne die voorgeskrewe tyd te behaal, sonder om standaarde te verlaag. Die derde faktor is dat die sentrale regering vir die afgelope paar jaar al, nie die volle subsidies betaal wat hy behoort te betaal ingevolge die sogenaamde subsidieformules nie. Hierdie faktore noodsaak dit dat ingeskrewe studente dus so vinnig as moontlik moet afstudeer. Die studie fokus derhalwe op die sogenaamde subsidieformule en hoe die suksesratio van MBA-studente impakteer op die finansiering van lopende uitgawes van die Bestuurskool van die Universiteit van Stellenbosch. Ten einde aanbevelings te maak oor watter optredes die Bestuurskool in die lig van suksesvolle afstudering behoort te neem, is die volgende werkswyse gevolg. Onderhoude is gevoer met verskeie persone verbonde aan die Administratiewe Departement van die Universiteit van Stellenbosch (US), sowel as die Bestuurskool van die Universiteit van Stellenbosch (USB), om te bepaal hoe die formule binne die raamwerk van die Universiteit toegepas word, asook om inligting te opsigte van die afstuderingstendense van studente aan die USB te bekom. Daar is 'n studie gedoen ten opsigte van vorige, die huidige en toekomstige subsidieformules. Die respondent het ook onderhoude gevoer met persone verbonde aan die Bestuurskool van die Potchefstroomse Universiteit vir Christelike Hoër Onderwys om vergelykings te tref tussen hulle MBA-program en die van die USB. Die belangrikste bevindings van hierdie studie is dat Universiteite alles in hulle vermoë moet doen om te verseker dat studente hulle kursuskrediete op tyd suksesvol voltooi, aangesien die subsidie betaalbaar ten opsigte van nie suksesvolle studente die helfte beloop van die subsidie wat betaal sal word vir 'n suksesvolle student.

This study compares the perceptions of presidents and academic and fiscal vice presidents of Texas public senior colleges and universities and with those of (appointed) members of the Texas Coordinating Board. A survey instrument was developed, based upon appropriate coordinating board functions discussed in the literature review, A five-point scale was used to measure intensity or agreement or disagreement. Responses were subjected to one way analysis of variance to determine differences between administrators and board members. Differences significant at the .05 level are reported. Administrators and board members differed significantly on all statements related to centralized control versus internal autonomy. Board members endorsed a greater variety of roles and a higher level of activity for the board than did administrators, although members were not expansionistic. Administrators indicated diverse opinions regarding the board's role. Responses related to formula funding were similar. Board members believed that requests to the legislature for higher education funding needs should be presented in terms of a statewide system; administrators indicated uncertainty. Both agreed on the increasing importance of long-range planning in formula development, but administrators were unsure whether such planning would help provide stability and realistic expectations in funding. Both groups endorsed a greater role for the board in collecting, interpreting, and disseminating information regarding higher education institutions. Neither subgroup offered an opinion regarding subjection of higher education budget requests to the criteria used for other state agencies. Board members and administrators disagreed as to whether private business standards were appropriate for higher education institutions. The relationship between funding recommended by the board and appropriations passed by the legislature was not considered appropriate for evaluating board success. State appropriations for higher education were seen as an investment in the state's economic future. Administrators did not believe college and university faculties understood the board s role in funding; board members were undecided.

The purpose of this study is to provide research on the funding of state senior higher education in Texas. The focus of this work is on the pressure group-policy process. At the beginning of the study, several questions were raised to assist in establishing boundaries for the research, the collection of data, and the construction of a heuristic model to conceptualize the policy process. The historical and legal factors which affect the funding of higher education were then examined. Attention was focused on the constitutional and statutory provisions which pertain to general appropriations and capital outlays for public higher education. Formula and non-formula items were examined as well as the sources of capital funds.

Government policies on subsidising higher education institutions may have a direct impact on the behaviour of researchers and managers respectively. Therefore, this thesis looks for clues on how higher education institutions respond to the government funding policies, with special reference to the New Funding Framework (NFF) introduced in South Africa in 2001. The funding framework specified that research funding would be determined only on the basis of research output. The NFF puts emphasis on the number of publications produced by higher education institutions per annum to determine their subsidy amounts. Governments use quantitative formulas to allocate research funds to higher education institutions based on their production of output. The current South African funding framework is arguably consistent with some international suggestions of the role that government funding can play in the implementation of national higher policies. This thesis uses higher education research output as a measure of knowledge production. As such, the thesis was set out to determine the effects that the research subsidy component of the NFF might have had on South African public higher education institutions‟ knowledge production between 2001 and 2006. The thesis argues that the subsidy component of the NFF has had positive effects on the knowledge production of South African public higher education institutions (HEIs). An empirical analysis of the output trends of South African HEIs for the period under review has shown a steady increase, more especially from 2003. The thesis attributes the new trend in higher education research output to the successful implementation of the NFF. It is thus concluded that considering the output trends of the period under review, the implementation of the NFF is yielding positive effects towards achieving its intended goal of increasing research output of South African public HEIs. / Public Administration / D. Admin. (Public Administration)

Government policies on subsidising higher education institutions may have a direct impact on the behaviour of researchers and managers respectively. Therefore, this thesis looks for clues on how higher education institutions respond to the government funding policies, with special reference to the New Funding Framework (NFF) introduced in South Africa in 2001. The funding framework specified that research funding would be determined only on the basis of research output. The NFF puts emphasis on the number of publications produced by higher education institutions per annum to determine their subsidy amounts. Governments use quantitative formulas to allocate research funds to higher education institutions based on their production of output. The current South African funding framework is arguably consistent with some international suggestions of the role that government funding can play in the implementation of national higher policies. This thesis uses higher education research output as a measure of knowledge production. As such, the thesis was set out to determine the effects that the research subsidy component of the NFF might have had on South African public higher education institutions‟ knowledge production between 2001 and 2006. The thesis argues that the subsidy component of the NFF has had positive effects on the knowledge production of South African public higher education institutions (HEIs). An empirical analysis of the output trends of South African HEIs for the period under review has shown a steady increase, more especially from 2003. The thesis attributes the new trend in higher education research output to the successful implementation of the NFF. It is thus concluded that considering the output trends of the period under review, the implementation of the NFF is yielding positive effects towards achieving its intended goal of increasing research output of South African public HEIs. / Public Administration and Management / D. Admin. (Public Administration)