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PROGRAM
FOR RESEARCH ON
PRIVATE
HIGHER EDUCATION
Working Paper No. 1
Unanticipated Development:
Perspectives
on Private Higher Education’s Emerging Roles
Daniel C. Levy
April 2002
Education Administration & Policy Studies
Unanticipated
Development: April
2002 Distinguished
Professor, State Department
of Educational Administration & Policy Studies, University at
Albany-SUNY The
author thanks Andrés Bernasconi and other PROPHE members for comments on
earlier drafts, colleagues at
Perspectives on Private Higher
Education’s Emerging Roles
Daniel C. Levy
ABSTRACT
The global explosion of private higher education, astonishing in extent and intensity, often catches government and most other observers by surprise. Rarely is the private surge centrally designed or even widely anticipated (despite being related to visible and broad economic, social, political, and international trends). Public policy commonly emerges only in delayed fashion.
Although not all private growth is unanticipated, the unanticipated share is large and it encompasses a startling range of otherwise contrasting settings. It is useful to identify and analyze the settings, quite common ones, where unanticipated development is most characteristic. These settings include demand-absorbing institutions, which dominate private growth in most countries. They include countries with little or no private higher education tradition, particularly in the developing and post-communist worlds. They also include situations in which private higher education is notably different from public higher education.
ANALYZING THE UNANTICIPATED
While
interest and debate surround the roles that private higher education plays,
analysis lags far behind. Promoters routinely glorify roles, which critics
demonize. Policymakers tend to adopt simple views of what private higher
education does, or what they want it to do, while participants tend to
generalize from their own institution. Public discussion thus revolves around
oversimplified and misleading declarations. When it comes to private higher
education and the roles it plays, the gap is large between self-serving or
ill-informed views and more complex reality.
Roles are
most poorly understood in countries where private higher education has just recently
gained prominence--and that is much of the world. A few decades ago, private
higher education was absent or marginal in most countries. Today it captures a
major or fast-increasing portion of enrollments in Eastern and Central Europe,
the Middle East and both North and Sub-Saharan Africa, East and South Asia, and
This
working paper aims to advance analysis of private higher education’s roles by
focusing thematically on a crucial and common but generally ignored
characteristic: Private higher
education’s roles emerge mostly unanticipated, not following a broad
preconception or systemic design.
Surprise is
common. This is true even for those actors most engaged in higher education, as
policymakers, participants, or analysts. Some of the surprise comes as actors
anticipate a certain size and shape for private development that then fails to
correspond to reality. Mostly, surprise comes against the background of little
serious anticipation of any sort. Private higher education did not seem to be
an important topic. Few imagined a large-scale future. Indeed, surprise is
often such that shock is an apt description.
A corollary
to the theme of surprise concerns public policy (henceforth “policy,” or
“central policy,” except where stated as referring to multiple policies at
institutional or other micro-levels.) For the most part, central policy does not create, design, or even anticipate emerging
private sector roles. This point goes beyond the important but less
remarkable finding that implementation and outcomes differ from plans. It is
not so much that major explicit policy gets derailed, though that happens. It
is more that government gets caught off guard, not having much contemplated
massive private emergence. It is more about a lack of vision than about a
concrete vision dashed.
If
governments have rarely launched private higher education sectors by specifying
what roles private higher education should or would play, neither have scholars
or other higher education actors drawn up guiding blueprints or foreseen what
and how roles would develop. On the contrary, roles have more often emerged
from a generally uncoordinated multiplicity of choices and constraints. [2]
Some identification of these choices and constraints is needed to show the lack
of central design but elaboration is a research challenge beyond this paper.
Research on how roles really emerge is especially pressing in systems where
vibrant change was barely anticipated before the 1980s or 1990s. [3]
As the
paper’s approach is empirical and conceptual—identifying and providing
analytical perspectives on emerging private roles—it is not normative. It does
not defend or criticize any role and it does not call for any role to be
abandoned or to be paramount. Unlike much commentary on private higher
education roles, the tone is not one of rousing injunction. [4]
The paper
develops its theme globally, and thus will require testing and adaptation for
national or even institutional cases. National experts must work through
history, political context, the pertinent characteristics of evolving public
sectors, and many other factors. [5]
Furthermore, private configurations are changing rapidly. This is true even in systems
with a continuous private higher education history, such as
Our
analysis of the mostly unanticipated, undirected emergence of roles covers
diverse private higher education realities. We consecutively consider three
inter-related contrasts:
1.
Roles linked to various types of private higher
education
2.
Roles in new and established private sectors
3.
Distinctive and non-distinctive roles, compared to
public roles
TYPES OF PRIVATE HIGHER EDUCATION
The lack of anticipation and central policy in determining (or even usually trying to determine) private higher education roles is impressive across different types of private higher education, where mixes of motivations, actors, and forces vary greatly. Particular mixes translate into different roles. Where there are sufficient patterns and a sequential sense to the mixes, we discern “waves” of growth evolving into different types (or sub-sectors) of private higher education.
The region about
which we have the closest analysis of private growth against the background of
public monopoly is
Shock is evident
in the reaction to each such wave—shock over the end of public monopoly, shock
over the end of clear public superiority, and shock over a major shift in enrollment
proportions from public to private as well as from “high” university to “low”
or non-university institutions. None of the waves has been predominantly
planned either in
Rarely did a
negotiated plan between state and church deprive the church of its traditional
role in Latin American universities in exchange for a church right to create
its own (private) universities; such creation generally surfaced as the
church’s second-best alternative, after being pushed aside within existing
universities. As religious or other culturally oriented roles often dominate in
a first wave of private growth in other regions as well, with examples from
Regarding most
elite undertakings, we do not imagine that policymakers in any region set out
to make public universities less attractive in order to create a demand for
private institutions pursuing elite roles. Such creation surprised most
observers in the first Latin American countries in which it occurred, and then
(however surprisingly in retrospect) managed to surprise observers in other
countries of the region. Elite roles have emerged in only some countries in
other regions, and in only some private institutions within those countries.
But attempts from
Regarding what was the third wave for Latin America, but varies in whether it appears initially or subsequently in other regions’ evolution, a key is that (more than other private growth) this growth involves small and also non-university institutions. This helps explain why the sense of unanticipated proliferation is greatest here. And this is crucial since in recent decades this has been the most common form of private higher education growth worldwide. Where public budgets do not meet the still rapidly growing demand for higher education, students pay for alternatives. [9] But there is great diversity even within this growth—a diversity that goes beyond the original identification of the third wave (and thus demands fresh research globally). Some of these private institutions play a “role” of little more than taking in tuition while dishing out poor education and then weak degrees to those who do not drop out; thus the “role” is perhaps one of making profit. More positively, many have roles of providing access for those who could not otherwise get into higher education. This may be seen as an equity role. Others provide a choice related to access. [10] They rarely assume or claim to assume academic elite roles complete with doctoral education, basic research, large laboratories or libraries, or mostly full-time academic staffs. This provides an opening for critics to belittle these institutions as not “true universities,” not fulfilling university roles. [11] Yet the same private institutions may assume leadership roles in fast-growing entrepreneurial fields. These include business, administration, accounting, management, tourism, English, and areas of computer or informational sciences. For their business-oriented roles they are simultaneously vilified by many and increasingly attractive to many others. Either way, the key initiating force is not a government blueprint so much as an entrepreneurial mix involving either big or small business (often family business) and quite uncoordinated student demand.
Today’s sudden
growth of for-profit higher education strengthens the notion of third wave or
demand-absorbing growth as essentially market-driven rather than government
designed. [12]
Rarely did a plan or debate launch or anticipate the for-profit surge. In fact,
this is an eruption in certain respects against the law, or on its fringes.
That is one reason many essentially for-profit higher education institutions
declare themselves nonprofit, not going “public” onto a stock exchange or
formally distributing profits to shareholders but nonetheless generating
profits from their core activities. Legislation often proscribes for-profit
higher education but the key point here is how rare it is that legislation
specifically allows for-profit institutions; where no mention is made of
for-profits, this reflects the reality that they were not envisioned. For
various reasons, then, for-profits often arise in legally ambiguous settings,
not contemplated in the legal framework. As in
The for-profit
surge dramatically illustrates certain facets of legal status that have for
some time characterized unanticipated non-profit private higher education
emergence. The lack of legal foresight or provision has frequently meant
decades of de facto existence amid legal ambiguity, as in
Internationalism is a related development in which the recent for-profit surge dramatizes a longer-standing phenomenon of private emergence outside government policy. Indeed, the international and for-profit tendencies increasingly overlap. As Sylvan Learning and other large companies open or buy up private higher education institutions around the world, and as increasing numbers of for-profits are parts of international networks, both policymakers and scholars scamper to figure out what to make of this, or how to respond. [15]
Of course, certain actors involved in a particular wave or type of private higher education development are not totally surprised. On the contrary, as already suggested, some may be planners of change but usually micro-planners, operating at the level of one or a few institutions, with neither authority nor necessarily even concern to envision a sector overall. However successfully they may plan their own growth and change, they surprise others and are surprised themselves by what transpires elsewhere in the private higher education sector, including its scope and variation. Thus, for example, managers of Chile’s established private and public universities acknowledge their great surprise at the success of the new private institutions and the vibrancy of the sector overall. [16] Initiators’ actions are rarely coordinated and are more often competitive or just isolated as they involve different terrain, means, and purposes.
Furthermore, no claim is made that roles emerge in different types of private higher education without any central policymaking whatever. A change in legislation is often required for private higher education to be born or at least to gain official status. State-church accords are part of what allows the first private institutions to evolve in certain countries, or to have survived in a few European instances under communism.
And probably the
major sense of state policy leading to private roles concerns the demand-absorbing
growth in several Asian countries--
So even where there is state planning of roles for one or another type of private higher education, it is usually limited and reactive. It often involves recognition of trends—including roles--already developed outside any central vision or policy design. This includes the clarification of, or at least tinkering with, the fuzzy legal status cited earlier. With the recognition sometimes come policy efforts (as in China) to facilitate the trends and roles, as in using private institutions to absorb a major enrollment growth that the public sector could not accommodate financially or could not accommodate without further loss of quality. [18] Legislation sometimes lifts barriers that impede private growth or were intended to impede it.
The reactive character of state action is strongly shown by a widespread pattern of delayed regulation. Private higher education growth catches government by surprise and then government tries to figure out what roles are played and what roles should be curbed. Lack of regulation followed within a few years by a strongly reactive government hand characterizes Romania, Ukraine, Georgia, Russia, Chile, Peru, El Salvador, South Africa, and Quebec, and many other cases. [19] National accreditation systems are prominent examples of mechanisms springing up or being revamped in part to respond to unanticipated private growth.
A final
consideration here about the limited policy detailing or anticipation of
emerging roles in different types of private higher education concerns the
influence of the roles pursued by public higher education. (Later in the paper
we consider how the public sector may condition the distinctiveness or
non-distinctiveness of private roles.). Although the influence of the public
sector’s roles can be great, it is often ignored in academic and policy
discussions of emerging private roles. This ignoring reflects the fact that
public sector roles—however much they are or are not themselves centrally
prescribed--are rarely hatched in terms of how they will influence private
roles.
In fact, private
roles often turn out to depend on what roles public sectors do not undertake.
The public unawareness or purposeful avoidance allows some groups, including
entrepreneurs, to perceive a need or opportunity for private action. The point
is relevant to all types of private higher education. For “academically light”
roles the public sector does not deign to undertake, there is sometimes a true
sense of intentionally leaving roles to private institutions; our major example
concerns the Asian cases where public sectors did not take on major
demand-absorbing access roles. However, even refusal to assume such an access
role has not always been with a keen eye on what the private sector might do.
Instead, refusal is often based simply on what the public sector prefers to do
or thinks it can do well or what government thinks it can do. Or it is less
about refusal and rejection of potential roles than about the absence of
serious consideration of additional roles. Where public universities in Eastern
and
NEW AND ESTABLISHED PRIVATE SECTORS
The breadth of unanticipated role emergence, not dictated by policy, holds not just within countries, concerning different types of private higher education, but also across countries with either new or established private sectors. The tendency is more pronounced where sectors are new. On the other hand, it is striking that role changes would be largely unanticipated and undirected even in systems where private higher education has existed for some time.
Higher education systems with traditions of public sector pluralism and differentiation of institutional forms and missions may accept private growth and its accompanying roles as a natural extension of the system’s dynamics. [21] But most systems have traditional realities of standardized institutional missions and practices, often with centralized policy making. Or they at least have myths of such state-directed and guaranteed practice; notwithstanding considerable reality to the contrary, Latin Americans tend to expect states to design systems, which leads to surprise and even chagrin when they fail to do so. But (leaving aside systems that still have no private higher education), centralized traditions may be strongest in systems with new private sectors. This is then where private development has usually seemed most shocking. Post-communist countries are spectacular cases. Citizens long had strong reason to expect major developments to stem from central planning. Now they see private business schools and many other novel entities spring up all around them.
The post-communist experience of course shows that massive higher education change may result from broader political-economic change. That broader change may itself be quite unanticipated and shocking. But even where political economic tendencies evolve with a degree of regime continuity, they involve transformation—and bring major change to higher education. That change increasingly includes the emergence of private roles.
A dramatic
emergence of private higher education is also common where major or
“neoliberal” economic change occurs in non-communist settings. Until the 1980s
and even 1990s, private higher education was rare in sub-Saharan
A variation on
the meaning of new sectors comes when private higher education re-emerges after
periods in which it is proscribed. [23]
This is a higher education counterpart to the broader phenomenon of private
re-emergence, though many fail to perceive the private precedent. [24]
The prior existence of private higher education may make the fresh growth less
shocking and more easily legitimized. A contrast between
Furthermore,
dynamics of decentralized responses to broader political-economic change
operate--only somewhat less dramatically--where private higher education enjoys
a continuous history. These private sectors also grow and assume additional
roles in response to a shrinking state, expanded market, and internationally
oriented economy. Latin American and
Although
political-economic change leading to undirected development of private higher
education roles is most striking in “transitional” and less developed countries,
the basic point holds for many developed countries. There too the role of the
state changes, as does its interface with the market. [27]
Crucially, just as some transitional and less developed countries have a major
history of private higher education, so some developed countries do not. In
And the
Yet stagnation
would be a quite misleading description for the
The most
striking recent
For such major
evolution in
DISTINCTIVE AND NON-DISTINCTIVE PRIVATE-PUBLIC
ROLES
In both the new and older private higher education sectors, some roles assumed by private higher education have been associated with public higher education whereas other roles are largely new for higher education. The balance between distinctiveness and non-distinctiveness, and the reasons for each, are explored elsewhere. [32] The focus here is the lack of anticipation or overarching design for the evolution of both the more and the less distinctive roles.
It is comparatively easy to understand why distinctive roles would bring surprise. Some of these roles have not hitherto been contemplated or deemed legitimate for higher education, let alone practiced. Thus, there is a relationship (though inconsistent) between the dimension of new versus established private sectors and the dimension of distinctive versus non-distinctive roles: private roles distinctive from public ones are more common in new than established private sectors. New and distinctive sectors often assume roles that surprise many, especially practical market roles outside the academic gold standard.
Furthermore, the emergence of distinctive roles typically involves voluntary choice by non-state actors. These actors include religious institutions, large or small or international businesses, family enterprises, or foreign universities; or they are former or current public university personnel, whether faculty or administrators. These voluntary actors may scoff at extant public (or private) roles, sometimes seeing them, the public universities, or the state (or the church, enterprises, or other extant private providers) as limited in legitimacy and appeal. Or they at least see the range of roles covered as limited compared to what is viable or even vital for one or another social group or economic activity. Where new roles target a particular group or activity, that is another reason that it may come as a surprise to those not contemplated in the undertaking. Enrollment, funds, and legitimacy may then be sought from those targeted, allowing new roles to flourish even while the wider public or state may be unaware of them. Alternatively, if aware, they may be dismissive or aghast. Situations in which the legitimacy or illegitimacy of roles is not determined by law may reflect our earlier point about private roles existing in a space not covered or recognized by law, yet not forbidden by it. [33] Especially considering the ambiguity of higher education missions and the multiplicity of ways to pursue them, there may be ample latitude for private actors to choose roles. Non-state actors can pursue roles not provided for by central policy and even roles that may run counter to what policymakers had in mind. The point is pertinent to both new and established private sectors.
Matters like fields of study and job orientation provide considerable evidence of the emergence of private roles substantially (though not uniformly) distinctive from traditional public ones. As indicated above, private higher education institutions worldwide typically concentrate in fields of study relatively inexpensive to offer. (Or the fields have rather rapid pay-off in the job market; this point sometimes allows expensive fields like medicine to join alongside the common entrepreneurial fields.) The field concentrations thus relate to the entrepreneurial roles and ties to changing political economies discussed above. Again such emergence might appear logical when seen retrospectively in the context of macro political-economic transformation, but initially the public and the state are often caught off guard by the distinctive fields. And so they react more than they anticipate or initially design. The reactions range from efforts to curtail the fields and related curriculum, to affiliating with this private surge, to trying partly to emulate it within the public sector.
On the other hand, private institutions do not always pursue roles very distinctive from public ones, especially in established private sectors. Where the market for “more of the same” is strong, private places do not have to undertake novel roles with disputed legitimacy. What separates private and public higher education is sometimes the private finance or governance of the former; however important such a difference may be, it does not by itself speak to basically different roles. Still, blanket non-distinctiveness of roles is rare. So what we must really consider is the overlapping of non-distinctive with distinctive roles. For example, new private institutions may appeal to previously untapped clientele with a fairly traditional curriculum—or they may undertake to compete for traditional clientele with a fresh curriculum. They often pursue a niche of distinctiveness amid much emulation.
Whether non-distinctive roles are dominant or subordinate, one could imagine that they bring less surprise than the distinctive roles bring. And that is true regarding the roles per se. However, private institutions typically assume even the non-distinctive roles through processes that neither follow a national policy blueprint, nor are predicted. How and how much to mix distinctive and non-distinctive roles is often a choice of individual actors and institutions. [34]
Thus, voluntary action is a key to
understanding the undirected and surprise nature of even non-distinctive
growth. Much role emulation is voluntary as private actors decide what roles to
copy. A modified perspective is that they choose within perceived
opportunities, realities and constraints. This leads to differing mixes of
emulation and innovation, mixes not set forth in a national or sectoral plan.
The mix often depends on decisions by individuals moving from public to private
institutions. Prominent are professors socialized in the public higher
education sector, and carrying with them certain norms, practices, curriculum,
and even lecture notes. Or they do not leave; they work simultaneously in both
sectors. Retired professors from
Additionally, however, there are non-voluntary processes that force private institutions to emulate roles common at public institutions. This is where the emergence of roles in the private sector is most planned and brings the least surprise. Government allows the creation and growth of private higher education but mandates and proscribes roles, or manners of pursuing them. Roles may have to follow those of the public sector. Alternatively, a niche is allowed for something different in one explicit sense or another, perhaps governance by religious authorities rather than public officials, but within norms approved in the public sector. Even distinctive roles are possible but only if they gain approval of government or perhaps public bodies dominated by public university interests and norms. [35] In any of these processes, latitude for surprise is limited--provided state policies play out more or less as projected.
Insofar as a strong state can mean designed roles, then, it is important to underscore three empirical tendencies identified in our analysis. One is that the state’s effective presence in higher education planning is often less than its formal presence. The second tendency is the major political-economic change that diminishes state centrality in many realms, including higher education. Thus, for example, a decrease in state finance as a portion of total finance means increased ability for multiple and largely uncoordinated actors (domestic and foreign) to construct roles for the higher education that they fund for themselves or others. A third tendency is that the state reacts. Regulations often respond to developments, whether to curb, legitimize, or promote emerging roles. Curbs often respond not only to undirected growth but also to interest group pressure, commonly from public universities. Such processes smack more of uncertain pluralist politics than surefooted planning. [36]
CONCLUSION
Unanticipated emergence of private higher education roles
characterizes reality over a wide breadth of contexts. Highlighting where the
surprise is strongest, usually where central policy least determines the
emergence, is a way to summarize several points in this paper and allow a few
suggestive comments about policy implications.
Regarding types of private higher education, the sense of surprise is naturally sharp for whatever type is the pioneer, introducing a private sector to the higher education system. Further surprise may come when types of private higher education challenge the public sector either for elite standing or, more often, enrollment share. Additionally, unanticipated mixes of private roles emerge over time, as when institutions seek elite roles with revenues generated from entrepreneurial roles. The emergence of different types and mixes of private roles often involves fresh participants for the higher education system, including religious, business, or international actors. For-profit and non-university institutions provide striking examples of private roles not usually launched by national laws or policy.
Comparing across nations, the frequency of unanticipated, undirected emergence of private higher education roles is logically greatest where the state role in planning higher education is limited; on the other hand, surprise is great where undirected emergence occurs within systems in which the state presence is normally or at least normatively large. Whatever the state presence historically, the unplanned emergence of private roles has increased where state activity has been circumscribed, notably amid post-communist or neoliberal change. Surprise, even bewilderment, is especially common in systems with little tradition of differentiation and pluralism of institutions and roles in the public sector of higher education. And of course it is sharp in systems with no tradition of private higher education or at least no recent private higher education. At the same time, even more established private higher education sectors witness unanticipated, undirected additions and changes of roles.
Where private higher education undertakes roles distinctive from those associated with the public sector, especially if the roles are hitherto unknown, the notion of surprise is quite persuasive. Reinforcement of the notion occurs where voluntary, non-state actors undertake the distinctive roles, pursuing roles that catch others off guard. The notion of undirected surprise then works well even when such voluntary actors pursue non-distinctive roles. It works less well when non-distinctive roles stem from strong state or public higher education rules—but these are becoming less common.
Our depiction of unanticipated roles is consistent with pluralist over corporatist or planning concepts of political economy. Regarding counterpart higher education literature, the depiction defies not only a State Control model but probably stretches out of shape key tenets of even a State Supervisory model. [37] State policy is sometimes thwarted. More than that, the state involvement in our subject matter is too limited, often reactive more than initiating. There is too little central vision, direction, and steering. There is too little coordination and too little sense of a coherent system. Like other actors, the state finds itself scurrying to catch onto what is happening outside its direction, things it often regards as having gotten out of hand. The real world of private higher education development partly contradicts state policy and mostly it just gets way out in front of it.
Consistent
with pluralist or market initiatives from elements of society not commanded by
the state, roles emerge basically from below. Different actors choose according
to how they read the opportunities and the constraints. Constraints limit the
range of viable choices, but constraints for some are opportunities for others,
and broad contexts (such as a new political economy) also often open new
possibilities, as with commercially oriented fields of study at non-university
institutions. A retrospective ability to understand fresh private higher
education roles as consistent with changing political-economic (including
international) environments, especially market environments, does not mean we
anticipated the roles. Furthermore, the changing environments themselves are
often surprises.
The reality of contexts and constraints—from laws, regulations, traditions, norms, resources, supplies, and demands—is a qualification to our theme about undirected, unanticipated private roles. It may be sobering for those who think that roles should come simply through their choices, values, and goals. That illusion often stimulates demands from governments, scholars, or public opinion that private higher education undertake this or that role. The illusion also sometimes leads to swagger within the private sector. On the other hand, where private higher education leaders recognize constraints, they can either lament how roles are dependent or they can extol the fact that their institutions are relevant, enmeshed, and accountable to realities, constituencies, and tendencies within the wide range of higher education or well beyond it. [38] Just as private roles do not emerge mostly from overarching government policy, they do not emerge mostly from unfettered choice based solely on what private leaders might ideally like to do. Private roles often emerge on the margins of what is allowed, in gray area that policy did not foresee.
Neither the last point nor our overall theme argues against deliberation about what roles should emerge or be encouraged within the private sector. [39] On the contrary, such deliberation makes sense where there is a range of options and where no dominant policy simply imposes roles. However, scholarly perspectives and empirical analysis should carry weight in such normative or policy discussion. The discussion should take stock of forces and tendencies. This is a different, more realistic and humble approach than sitting down to design what the role of private higher education will or should be. The roles of private higher education in most countries are determined by diverse choices made by private institutions and their supporters, users, and constituencies within particular realities, constraints, and opportunities. [40] Roles that make most sense for some goals, values, traditions, resource levels, and so forth make little sense for others. If public policy seeks to shape private roles more or more thoughtfully than it has, it should proceed in large part from an understanding of the realities through which private roles have emerged, mixing this with feasible ideas about how to modify, limit, or promote certain aspects.
If the future resembles the past and present, however, the roles of private higher education will continue to emerge mostly in unanticipated ways, often bringing great surprise, even confounding central policymakers. By paying attention to this reality to date, we can in the future at least avoid being surprised that we are surprised.
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