A University Grants Commission in a South Asian setting: The Sri Lankan experience

University education in Sri Lanka in modern times has a short history of just over six decades. From 1921 to 1959 there was one University College (1921–1942) or University on the island. With the establishment of two other universities in 1959, the need for co-ordination of higher education activity through a University Grants Commission (UGC) or similar body arose.The establishment of the National Council of Higher Education (NCHE) in 1966 was part of a policy of bringing greater government influence to bear on universities and was therefore resented and resisted by the latter. However, the new body, while it lasted, served as a very effective buffer against undue government interference in university affairs. The six year period beginning in 1972 saw a process of centralization of university education under strong government control. The UGC established in 1979 has much the same powers as the NCHE, a wider range in fact than those enjoyed by the British UGC, and much greater influence in university education than the British prototype.Universities in Sri Lanka have always depended on the state for almost all their funds. While this has naturally given government much influence in shaping the structure and expansion of universities, the principle of university autonomy was strongly entrenched between 1942 and 1966. There was a departure from this in 1966, but more particularly between 1972 and 1978. The Universities Act. No. 16 of 1978 re-introduced the concept of autonomous universities. The one area in which state influence has been the predominant factor is university admissions and this influence began in the mid-1950s long before the concept of university autonomy came under systematic attack from the government's Ministry of Education.The author has been a member of the University Grants Commission since its establishment in 1979. The views expressed in this article are his own and do not necessarily reflect those of the University Grants Commission or the University of Peradeniya.     

Buffer,coupling, and broker: Reflections on 60 years of the UGC

The main conclusion of this survey of the way in which the British University Grants Committee (UGC) has acted as an intermediary between government and universities is that the UGC secures the maximum degree of self-government possible at any given time. How great that “maximum” is depends essentially on the power and purposes of the two principals (government and universities) rather than on the limited powers of the go-between (the UGC). Whereas for the first 45 years of its existence the relations between the principals were such as to focus attention on the UGC as “buffer,” changes in those relations since 1963 have emphasised the fact that the UGC is also a “coupling” between state and higher education. The pressures of economic circumstance and government action have suppressed the “euphoria” that accompanied the expansionist fifties and sixties, but to kill the messenger would be inappropriate.     

University governance reforms: potential problems of more autonomy?

University governance reforms are very much a reflection of the broader New Public Management reforms that are focusing on increasing efficiency in public organizations. The article deals with how university reform ideas of a generic nature, emphasizing that universities should be treated and reformed like any other public organizations, are important and reflected in specific reform measures. The special empirical focus is on that universities through reforms are changing their formal affiliation to superior ministries in a more autonomous direction, implicating more autonomy in financial, management and decision-making matters. One the other hand, universities are also through reforms more exposed to more report, scrutiny and control systems, financial incentive systems, pressure to get resources from other sources than the government, cut-back management, etc. So a main question in the analysis is whether universities, as traditionally having quite a lot of real autonomy, through the reforms in fact are getting less autonomy, not more, like the reforms entrepreneurs often are promising. The analysis is based on a transformational approach from organization theory, representing a combination of structural, cultural and environmental factors of explanation for reforms processes and their effects. Empirically the article is based on the author’s own empirical studies of university reform and reviews of comparative studies.     

The British University Grants Committee 1919–83: Changing relationships with government and the universities

Since its creation in 1919 the University Grants Committee (UGC) has been seen in Britain and many other countries as a model piece of machinery for channelling funds from Government to universities. Over these 60 years there have been many changes and fluctuations in its relationships both with Government and universities, and its effectiveness has varied, depending on the circumstances of the period.Up till World War II the UGC achieved its purpose of serving as a buffer or shock absorber (UGC, 1968). These metaphors picture a largely reactive body responding to initiatives either by Government or the universities. After the Second World War there were calls for the UGC to play a more positive role in university development and national planning and its terms of reference were changed. The UGC's response to this change has been variable and only in the period post 1979 has it consistently played the broader role envisaged for it in 1946 although its rhetoric claimed this role for it in the 1960s. This more active role in the 1980s has brought mixed reactions: more respect from the Government but more criticism from the universities.Insofar as this criticism relates to the processes used by the UGC during its selective retrenchment activities (1981–83), these could be improved by a strengthened UGC; insofar as the criticisms relate to the basic idea of a committee composed primarily of academics apparently aiding and abetting a Government's policy to cut back higher education, the future viability of the UGC idea itself is called into question.Another variable in the UGC's future is connected with the recently created National Advisory Board for Local Authority Higher Education (NAB). Discussions have ranged widely over the future options for the coordination of higher education: a merger of the two bodies, their separate development or creation of an overarching body over both sectors and their respective agencies. For the moment, however, the continued existence of the UGC represents an extraordinary example of institutional longevity over a period when immense changes have occurred in British society, the machinery of Government, and the British education system.     

African universities and the state: Prospects for reform in Senegal and Uganda

Uganda's Makerere University and the University of Dakar in Senegal were for many years after independence among Africa's premier universities. Today, their facilities have visibly deteriorated and the quality of instruction the institutions provide is seriously threatened — the consequence of political and economic turmoil combined with persistent underfunding. If higher education remains supply-driven without reference to available resources, the problems of Makerere and the University of Dakar can only increase and become even more unmanageable. The governments of Senegal and Uganda are being encouraged by donors to undertake reforms to revitalize the university sector. However, it will not be possible to reform financing of public higher education, or to carry out many other reforms, unless the universities have more administrative and financial autonomy. Strategies for reforming higher education systems in these countries are proposed requiring a shift from government participation in the governance of public universities and in matters affecting their enrolments and utilization of resources to more indirect forms of control. Nevertheless, the policy implications for Senegal and Uganda are very different. In Senegal, measures to increase autonomy must be articulated with a larger role for the state in regulating the flow of students to university, rationalizing the programs of different institutions and restricting students' eligibility for support. In Uganda, there is need for greater government co-ordination of public and private investments in higher education and significant devolution of control of public universities.McGill University, Education and Employment Division, Population and Human Resources Department, The World BankEducation and Employment Division, Population and Human Resources Department, The World Bank     

Hong Kong University and Polytechnic Grants Committee

The political uncertainties surrounding Hong Kong's future as a British Crown Colony have not inhibited either the Hong Kong Government or its particular version of a University Grants Committee (UGC) system from devising and planning a continuing expansion of higher education at a time when most other countries are levelling off or contracting their own.This article deals with the many unique features of the Hong Kong situation of which perhaps the most important is the nature of the Hong Kong Government - traditionally colonial and potentially authoritarian, not elected yet highly sensitive to Chinese opinion both internally and externally, and highly efficient in most of its management activities in spite of a strongly laisser faire tradition.The Hong Kong UGC system is charged with much wider planning functions throughout higher education than elsewhere and is responsible for the polytechnic as well as the two universities - hence its trans-binary designation as the University and Polytechnic Grants Committee. While this has helped its overall planning and academic guidance roles, it has involved it in severe difficulties in relation to its basic financial role which requires it to develop methodologies of financial assessment of Polytechnic costs for which no overseas models exist. Its academic membership is still entirely from overseas, with inevitable repercussions on its ability to arrange adequate collective discussion and its reliance on its local secretariat who act as the Government's de facto Department of Higher Education.     

The export of the UGC idea to Africa

The effects of British methods of allocation of resources to the colonial universities on the methods used by the successor states are discussed mainly in relation to Ghana and Nigeria. The discussion is in terms of the intentions and beliefs the national Governments have announced over the last two or three decades. The tension between the beliefs in institutional autonomy and in staff self-government; and the need for national Governments to direct higher education to national needs is discussed in the light of published comment, mainly from local sources, and personal communications. The West African allocative machineries have gone further down the road now being cautiously taken by the British University Grants Committee (UGC); but the conclusion is that although these machineries are not dissimilar in important respects from the British UGC, they are very much local responses to local requirements.     

高等教育财政分担与宏观政策结合机理探讨

中央和地方高等教育财政分担存在级差导致高等教育效率与公平矛盾突出,地方政府可以在立法、完善财政制度、完善资助体系、下放自主权、支持大学增收节支等方面促进高等教育财政分担与宏观政策结合发挥作用。     

The Indian University Grants Commission

The Indian University Grants Commission (UGC), established shortly after Independence, has vested in its powers the responsibility of regulating academic standards as well as disbursing funds provided by central government.Unfortunately, in spite of such responsibilities being entrenched by statute, the UGC has chosen not to exercise them which has had serious consequences for academic standards in Indian universities. The Indian university structure was modelled on the collegiate structure of the University of London with the result that the vast expansion of student numbers in the 1950s and 1960s led to an uncontrolled increase in the number and size of the colleges which themselves came to dominate the university system. Again the UGC chose not to intervene and did not attempt to co-ordinate the growth of the colleges. Bearing in mind the public pressures for an expansion of university education, it would have been unrealistic to expect the UGC to have tried to prevent expansion but it could have sought to moderate it and to impose co-ordination. One result has been the growth of research institutes and high calibre teaching institutes outside the established university system. The UGC is now attempting to remedy the situation but it is clear that this will be a long and uphill task.     

1968年前法国大学自治的沿革——以巴黎大学为例

大学自治(U n ivers ity A u tonom y)指大学不受政府、教会或其他势力干预,实行独立办学。巴黎大学自建立以来,一直寻求大学自治,可是在拿破仑的第一帝国建立之后,大学自治就被置于国家的严格控制之下,1968年法国巴黎南岱合大学首先爆发“五月风暴”,自此以后大学争取自治的呼声不断。研究法国大学自治的历史,对我国大学自治改革具有借鉴意义。     

An explorative study of the consequences of university autonomy in Finland and Brazil

This paper contributes to the analysis of impacts a university might experience with an increased degree of autonomy. Most autonomy studies have empirically considered the legal, political and financial relationships between state authorities and universities in different national contexts. Nevertheless, most of these studies focus on the changes experienced by European universities with increased autonomy. This paper argues that the focus on the Western European perspective limits the conclusions drawn from the relatively homogeneous policy context that frames the perspectives of university autonomy under investigation. This paper will advance research on autonomy and the understanding of changes produced by expanded autonomy in two concrete cases that occurred in contrasting policy frameworks: the University of Tampere, Finland, and the University of São Paulo, Brazil.     

我国大学制度变革中的价值差异及调适路径

构建现代大学制度的过程就是对现行大学制度不断变革和完善的过程。大学制度变革要面临大学与政府、大学与社会、大学内部学术与行政之间的价值差异,具体表现为自治与控制、超越与适应、自由与秩序之间的价值差异。每一种价值都有其局限性和合理性,不能简单地肯定一个而否定另外一个。自治、超越、自由是基于大学本位的价值追求,因此要以自治、超越、自由为重心,通过大学制度创新调整大学与政府、大学与社会、学术与行政之间的关系,寻求自治与控制、超越与适应、自由与秩序之间的平衡。     

法国大学自治演进分析

大学自治是几百年来一直被西方奉为圭臬的大学基本理念。自中世纪以来,法国大学的自治历史可以分为三个阶段,即中世纪巴黎大学自治历史,中央集权制下的自治历史,＂五月风暴＂后的自治历史。从法国大学自治历史进程的分析中可以得出如下结论：控制与反控制是大学自治的主题;通过法律形式保障大学自治;教授会在大学自治中发挥重要作用,建立行政契约制度是大学取得自主权的有效途径。     

探索区域性开放大学的建设发展模式——以云南开放大学试点建设为例

开放大学建设已经不再是狭义的教育发展任务或高等教育结构的调整,而是广义的社会发展范畴,或者说是改善民生、促进人本发展的社会工程,这就决定了开放大学的建设必然是政府的责任,必须依靠政府的责任履行和有效作为。开放大学应按照“大学＋平台＋体系”的总体构架,鉴于广播电视大学的以系统办学模式取得过巨大的成功,开放大学的建设需要依托广播电视大学。但开放大学体系建设只应当对广播电视大学的系统进行借鉴,而不能直接“翻牌”。拥有办学自主权,包括本科颁证权和学位授予权是区域性开放大学的集体诉求,如果区域性开放大学没有办学自主权,那就失去了追求教育开放性和实现终身教育理念的可能。     

Strategic planning directions of Malaysia’s higher education: university autonomy in the midst of political uncertainties

In Malaysia, the national government has seen fit to steer higher education policy in a direction that is in the ‘national interest’. This notion of ‘national interest’ is best exemplified by the changing relationship between the State, higher education institutions and the market. Since the late 1960s, we saw the gradual but steady erosion of university autonomy with the increasing dominance of the State. The recently launched National Higher Education Strategic Plan 2020 and the National Higher Education Action Plan, 2007–2010, which operationalised the Strategic Plan, promises greater autonomy for the universities. While this increased autonomy for universities could be regarded as Malaysia’s response to deal with emerging issues in higher education management and governance, the amendments to the University and University Colleges Act, 1995 have not resolved the issue of wider autonomy from the Malaysian treasury regulations for public universities. For the State, in the present climate of political and economic uncertainty, giving full autonomy to the public universities is seen to be inappropriate and untimely. The State considers public universities as still heavily dependent on the State for resources, and thus the need for regulation and supervision.     

我国普通高校债务问题研究

经估算,我国普通高校债务的规模是4580亿元。高校债务形成的原因在初期和后期有所不同,高校扩招是高校基本建设规模扩张和大规模债务形成的最初的推动因素。扩招造成的高校财务自主权的过度扩大与财务制度的变化、高校领导的政绩竞争以及腐败,则对高校的债务形成有着长期的影响。建议对高校和政府实行高校债务偿还目标责任制,今后5年内,政府每年至少增加640亿元的专项拨款用于高校还债。重新要求高校严格执行"量入为出、收支平衡"的财务制度,严格限制高校举债的权利。     

大学自治的意蕴:历史向度与现实向度

大学自治是大学生存发展的根基。从历史向度看,大学自治是一种斗争,使大学生存和发展得以保证;是一种传承,使大学理念和理想不被淹没;是一种平衡,使大学和其他组织妥协相容。从现实向度看,大学自治是一种守护,使大学不迷失对真理的追求;是一种责任,使大学不松懈对公共职能的履行;是一种引领,使大学不放弃对现实社会的超越。揭示和彰显大学自治意蕴,能更好地理解和把握大学自治的历史轨迹和现实内涵,更好地引导现代大学的建设与发展。     

中国政府与大学的关系：历史与变革

从中国历史的不同时期考察中国政府与大学的关系,表明：新时期政府与大学之间的根本冲突已经不复存在,政府对大学的控制表现较为强调大学对政府的实用价值,强调大学为国家和社会服务的作用,而忽视大学自治权力对大学发展的重要作用。符合时代要求的创新型人才和有自主知识产权的高精尖科学技术是政府与社会对高等教育的需要,在保证高等教育质量方针的贯彻与实施情况下,政府必然愿意赋予大学更自由的学术环境。但是这一过程是大学与政府问的博弈,需要经过较长的历史发展过程。     

中国高校办学自主权制度演进及基本特征分析

1978年以来,我国高校办学自主权成为政府与大学关系的核心问题。梳理改革开放以来国家正式制度中涉及中国高校自主权的主要政策与法规文本,发现改革开放四十年高校办学自主权"回归"演进中有五个不同历史阶段:第一阶段,1978—1985年,以政府颁布《中共中央关于教育体制改革的决定》为标志,面对思想解放,提出高校办学自主权"回归";第二阶段,1986—1993年,以政府颁布《中国教育改革和发展纲要》为标志,面对思想纷争,争取市场主体地位与更多"名义"自主权;第三阶段,1994—1998年,以全国人大颁布《高等教育法》为标志,面对两轨体制的转型困境,确认高校法人地位与有限自主权的"名义"法律保障,在招生就业体制、投资体制、管理体制改革等领域高校办学自主权迈出制度性突破;第四阶段,1999—2011年,以政府颁布《国家中长期教育改革和发展规划纲要(2010—2020年)》为标志,原有涉及多方利益的存量改革固化,改革增量创新难度加剧,造成高校行政权力与学术权力之困,也迫使学校寻求自主权确权的制度创新;第五阶段,2012—2017年,以十九大报告《决胜全面建成小康社会,夺取新时代中国特色社会主义伟大胜利》为标志,面对全球治理浪潮,政府简政放权,探索确立完善现代大学制度与大学治理结构,碎片化自主权"回归"诉求转换为整体现代大学制度建设。高校自主权的演进始于突破计划经济管理体制、纠结于转型中的两轨制、转换于公共治理理念框架的实践,这将改变政府与学校就办学自主权的"分权"或"放权"的"线性"循环局限,转入到参与大学办学相关利益方关于权利、义务、责任、理念的制度重塑与学术生态培育的新阶段。     

高等教育拨款委员会的设置原则

高等教育财政拨款制度直接影响着我国高等学校的办学自主权。在作为改革探索的高等教育拨款委员会设置中，应以保障办学自主权价值导向为首要原则，同时，还应坚持其法律地位的相对独立性原则、组织结构的合理有效原则、机构运行的参与原则和公开原则。通过五个原则层层推进、相辅相成的体系设置，使高等教育拨款委员会既能较好实现政府对高校设定的政策目标，又能有效防止行政化对高校自主办学的不当影响。