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Public Policy in Higher Education (Rev.)

.D. Bruce Johnstone

Oslo Spring 2007

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Public Policy:

Addresses perceived social needs or problems (or declares situations not to be problems)

Does so by laws, regulations, proclamations, investigations, and by provision of funds

Funding: direct appropriations, tax incentives (expenditures), borrowing authority, guarantees

Establishes or changes (reforms) programs (governmental, quasi governmental, or private contractors

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Directly or Indirectly “of Government”

Levels of governmental authority: central; regional / provincial / state; municipal(True Federalism or mere Decentralization?)

Division: legislative, executive, or judicial Entities of government: ministries, agencies Programs (within entities)

Quasi-governmental entities (authorities, public corporations, university governing boards)

Entities that are merely treated as (or deemed to be) quasi governmental: grants of autonomy)

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Features of Public Policy:

1. Is purposeful (albeit may have unintended consequences)

2. Is authoritative (albeit may be contested) 3. Is Enduring (albeit may be changing and / or

ineffectual) But policy” is not:

Decisions (although entails decisions) Management (although usually entails

management) Mere exercise of public authority or control

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The Making of Policy Generally Entails Expenditures of:

• Present money• Future money (can discount to present value• Possible or contingent future money• Time (of staff or leaders)• Attention (of staff or leaders)All with opportunity costs (other public

benefits or goods and services foregone)

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Avoiding and / or/ Hiding Direct Present Expenditures:

Obligating future year governmentsFuture tax “breaks” (tax expenditures)Borrowing (with future obligations, or

debt service)Printing money (confiscates not money

but “merely” purchasing power)Selling public assets (one time)Guaranteeing debt / contingent liabilities

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Agents of Public Policy Making

Elected: legislators, executives, judges;

Appointed: officials, executives Permanent: civil servants Experts / policy analysts Influentials: donors, opinion makers,

party heads, election workers

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Agents of Policy Execution

Agencies or programs of government Public corporations or quasi

governmental entities Private corporations or individuals

Under governmental contract Subject to governmental power / law Subject to governmental steering

(incentives)

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External Agents of Policy Influence

Government leaders & parties Agency or program leaders and their own

agendas (university presidents) Direct and indirect beneficiaries (students &

lobbyists Entity employees (unions) Analysts, scholars, think tanks Ideological entities & influentials The media

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Execution of Higher Educational Policy by:

Establishment / disestablishment of programs Funding (or non-funding) of program Directing or earmarking of the funding Restrictions & incentives in the funding Executive or legislative directives to program or agency

management Change in managers Change in governing boards

All regardless of publicness or privateness of ownership of the agent)

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Note the Policy verbs (and who or which level does which)

• Establish / set (policy agenda)

• Authorize (programs)• Establish (program)• Administer (program)• Choose / prioritize• Authorize (spending

limits)• Appropriate / obligate

(funds)• Release (funds to be spent)

• Spend (funds)• Regulate behavior)• Investigate programs &

people• Coordinate (programs,

agencies, & people)• Nominate (leaders)• Appoint (leaders)• Approve (appointments)• Publicize (positions )• Educate (people, leaders)

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Conflict or Resistence to Policy Change (“Reform”)

Resistence to, or disagreement with, can be to: Policy goal[s] themselves Procedures by which goals were established Priorities or emphasis Perception of unintended consequences Self interest of leaders or staff/faculty Multiple agents & programs & “turf” wars Bargaining: resistance seeking another agenda

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Higher Educational Policy Making in the United States

• A federal republic: considerable state sovereignty All Education reserved to the states.

• Federal (central) policy over higher education limited to:

1. Funding & steering some research2. Funding & steering student access (HEA Title IV)3. Setting conditions on eligibility for funding4. Keeping data (NCES)5. Enforcing notions of rights & protections6. Attention getting, advocacy, and scolding

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US National (Federal) Government Does Not:

• Appoint presidents / chancellors• Hire or influence hiring of faculty• Determine faculty terms & conditions of

employment [?]• Determine either programs or curricula• Admit students or directly affect standards• Grant degrees or examine degree aspirants• Control research agendas [?]

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US Separation of Governmental Powers

[US is unlike parliamentary forms of government with executive authority (P.M.) emanating from legislature, or parliament.]

Legislative (bicameral) Executive (strong & independently elected

president) Judicial lifetime tenure)

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Powers of Congress (National)

• Make laws and authorize agencies & programs• Authorize maximum expenditures (in law)• Appropriate funds (annual authority to spend)• Restrict, prohibit, limit, control, etc.• Declare goals, priorities, policies [?]• Hold Hearings, investigate, publicize, focus

attention

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Powers of President (National)

• Propose legislation and appropriation of funds (for research and student aid) for consideration of Congress

• Can veto legislation and appropriation bills• Appoint secretaries (ministers) and other heads of

agencies• Make (approve) executive regulations• Can appoint commissions• Can make speeches

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Powers of State Legislatures

• Establish mission[s] and governance forms of public institutions and system[s]

• Appropriate operating and capital budgets• Approve certain executive actions/intentions (e.g.

gubernatorial nominations to governing boards)• Restrict, prohibit, limit use of public money• Declare goals, priorities, policies [?]• Hold Hearings, investigate, publicize, focus

attention [?]

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Powers of State Governors (Departments, Agencies, Ministries)

• Propose and can veto programs • Propose and can veto spending• Appoint governing board members and chair• Appoint commissioners (ministers) and “top

level” staff to administer agencies and programs• Regulate (in accord with authorizing statutes) • Study, evaluate• Control (mainly) the policy agenda

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Quasi-Governmental H. Ed. Governing Boards

Limited corporations: legal beings outside or beyond governmental agency, bureau: They are

Essentially public, but with limited autonomy to:Appoint head / CEOHire (on its own terms and conditions)Spend (no restrictions or pre-audits)Own property; Hold / carry-over assets Incur debt (privately acting, publicly accountable)

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Various US Public Higher Education Quasi Governmental Entities

• Public university governing board

• Public university system governing board

• Public university as constitutional entity

• Public university coordinating boardProgram approval authorityRecommending “authority”

• All college / university coordinating board

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Public Policies toward Higher Education: US: 4 Examples

1. Public higher ed. is the province of states

2. An extensive and quality private higher education sector is in the public interest.

3. Basic research needs public funding Mainly through universities Mainly through RFPs and individual PIs Mainly through peer review panels Public funding should cover indirect costs

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US higher education policies continued

4) Higher ed. opportunity / access should be Accorded to all with ability [?] and interest

Implementation requires:a) Appropriate capacity

b) Sufficient financial Assistance

c) Protection against discrimination

d) Affirmative action / preferences [?]

e) Appropriate middle and secondary preparation

f) Early stimulation of interest

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Policy Issues in US Higher Education [9]

Context of perceived weaknesses / problems

1. Too costly To taxpayer (waste) To parents & students (tuition fees)

2. Insufficiently selective (at admission)

3. Insufficiently rigorous (throughout program)

4. Insufficiently accommodating (of low income and minorities)

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Policy Issues: The conventional reform agenda continued:

5. Too much time to graduate

6. Too little attention to undergraduate

7. Too much emphasis on research / prestige

8. Too much deference to faculty: insufficient institutional agenda

9. Insufficient attention and productivity in Science, Technology, Engineering , Math

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Origins (Drivers) of “Policy Issues” in the US [7]

1. Generally accepted higher education reform agenda: more attention to undergraduates Better teaching

2. The larger social / ideological / political contests over notions of equity and legacy of racism

3. The politics of big government / high tax versus limited government, low taxes & privatization

4. Governmental and popular reaction to high & rapidly rising costs and perception of waste

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Origins of “issues” continued

5. Governmental irritation at perception of higher education’s arrogance

6. Campus perception of being held back by systems

7. “Political agendas (e.g. cater to students, embarrass a governor, seem to respond to apprehensions of electorate, etc)

[Absence of a clear Federal higher education policy agenda apart from larger policy goals?]

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Federal & State Policy Tools are Blunt Due To:

Federal: constitution /history of minimal role State: tradition of lay governing boards Nature of higher educational institutions:

Unclear technology & correct unit costLegitimately multiple goals / outputsPowerful traditions of academic freedom and shared

governance Strong competition for prestige Prestigious private sector

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In Comparative Perspective, US Higher Education is distinctive for:

1. State prerogative: absence of a federal ministry

2. Presence and significance of private sector

3. Extent of non-tax operating funds (public)

4. Amount & form of basic research support

5. Sheer size / capacity / prominence of higher ed.

6. Prestige, competition, & and role of market

7. Use of lay governing boards -- even in public

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~ The End ~

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