Drafting a public-good professional Drafting a public-good professional capability index (PCI) for university-capability index (PCI) for university-

based professional education in based professional education in South AfricaSouth Africa

Presentation to the HDCA Education Thematic Network, St Presentation to the HDCA Education Thematic Network, St Edmunds College, Cambridge 24 June 2009Edmunds College, Cambridge 24 June 2009

Melanie Walker, Monica McLean, Arona Dison and Rosie Melanie Walker, Monica McLean, Arona Dison and Rosie VaughanVaughan

Development Discourses: Higher Development Discourses: Higher Education and Poverty Reduction in South Education and Poverty Reduction in South Africa. Africa. Funded byFunded by ESRC/DFID July 2008-ESRC/DFID July 2008-December 2009 , and based in the School December 2009 , and based in the School of Education, University of Nottinghamof Education, University of Nottingham

http://www.nottingham.ac.uk/education/http://www.nottingham.ac.uk/education/projects/mw-poverty-reduction/index.phpprojects/mw-poverty-reduction/index.php

StructureStructure

1.1. Project aims and core concepts Project aims and core concepts 2.2. South African contextSouth African context3.3. Process of developing index, informed Process of developing index, informed

by: by: – capability approach; capability approach; – data collection; and,data collection; and,– working with Research Working Groups working with Research Working Groups

(RWGs)(RWGs)4.4. The tables that make up the draft The tables that make up the draft

indexindex

Main aims - to Main aims - to investigate:investigate:

• how professional education in South how professional education in South African universities might contribute African universities might contribute to poverty reduction and social to poverty reduction and social transformation. transformation.

• the equity trajectory of universities the equity trajectory of universities and their role as ‘engines of reform’ in and their role as ‘engines of reform’ in addressing the challenges of poverty addressing the challenges of poverty and associated human development and associated human development needs of South Africa, through a focus needs of South Africa, through a focus on professional education. on professional education.

……and evolving questionsand evolving questions• What kind of university system holds the greatest promise for the What kind of university system holds the greatest promise for the

realization of a vision of capabilities? What kind of professional realization of a vision of capabilities? What kind of professional education holds the greatest promise for the realization of education holds the greatest promise for the realization of professional and comprehensive capabilities by mobilizing agency professional and comprehensive capabilities by mobilizing agency and modifying identities of privilege? However, in current times, and modifying identities of privilege? However, in current times, SA universities may/ do struggle to reconstitute identities away SA universities may/ do struggle to reconstitute identities away from the desire for social mobility and towards the public good.from the desire for social mobility and towards the public good.

• Is living a ‘fully good life’ necessarily one that includes ‘various Is living a ‘fully good life’ necessarily one that includes ‘various forms of laudable action’ (Nussbaum, 1990, p.17)?forms of laudable action’ (Nussbaum, 1990, p.17)?

• If opportunities for achievable functionings crucially depend on If opportunities for achievable functionings crucially depend on creating the conditions to ensure true equality of opportunity, is creating the conditions to ensure true equality of opportunity, is there anything a) universities as transforming HEIs and b) public there anything a) universities as transforming HEIs and b) public good professionals can do to create conditions which ensure true good professionals can do to create conditions which ensure true equality of opportunity? (Feldman and Gellert). equality of opportunity? (Feldman and Gellert).

• In the face of neoliberalism, including its impact on HEI policy In the face of neoliberalism, including its impact on HEI policy and transformation, is a professional capability list the most and transformation, is a professional capability list the most productive way to address questions of inequality of access, productive way to address questions of inequality of access, participation and success, in the struggle for social justice? participation and success, in the struggle for social justice? Could capabilities be a STRATEGIC tool to promote structural Could capabilities be a STRATEGIC tool to promote structural change and democratic practice/reform?change and democratic practice/reform?

....problems and ....problems and questionsquestions

• What ought to/could be the What ought to/could be the underpinning principles of justice for underpinning principles of justice for public good professionalism?public good professionalism?

• The tension between the normative and The tension between the normative and the practical, and hence also of the practical, and hence also of measurementmeasurement

• Our ‘other regarding’ agency problem Our ‘other regarding’ agency problem (associative justice)(associative justice)

• Is the CA enough? (theoretically)?Is the CA enough? (theoretically)?• What about deep absolute poverty (poor What about deep absolute poverty (poor

simply excluded from the economy)?simply excluded from the economy)?

Core concept: Social Core concept: Social TransformationTransformation

• Central to political discourse in South Central to political discourse in South Africa after the transition to democracy in Africa after the transition to democracy in 1994 (constitution ‘most progressive’ –e.g. 1994 (constitution ‘most progressive’ –e.g. ‘Equality includes the full enjoyment of all ‘Equality includes the full enjoyment of all rights and freedoms….’)rights and freedoms….’)

• Redress of racial inequalities in South Redress of racial inequalities in South African society (in HE, achieving African society (in HE, achieving proportionate numbers of students from proportionate numbers of students from different racial groups)different racial groups)

• Eradication of povertyEradication of poverty

Core Concept: Poverty Core Concept: Poverty

• Conventional conceptualisations: resource-based Conventional conceptualisations: resource-based (under a dollar a day); and/or happiness (utility)(under a dollar a day); and/or happiness (utility)

• Alternative: a Alternative: a multidimensional multidimensional understanding –poor understanding –poor people deprived of a range of possibilities to be and people deprived of a range of possibilities to be and to do (e.g. SA Speak out on Poverty public hearings to do (e.g. SA Speak out on Poverty public hearings in 1998, poverty emerged as ‘not only about lack of in 1998, poverty emerged as ‘not only about lack of financial resources, but more centrally about an financial resources, but more centrally about an absence of opportunities and choices which allow absence of opportunities and choices which allow people to build decent lives for themselves and their people to build decent lives for themselves and their families’ (Archbishop Njongo Ndungane, 2009)families’ (Archbishop Njongo Ndungane, 2009)

SA Context: apartheid SA Context: apartheid legacy and poverty legacy and poverty

• Legacy of apartheid – institutionalised racial oppression, Legacy of apartheid – institutionalised racial oppression, overlaid on class discrimination causing extreme overlaid on class discrimination causing extreme inequality inequality

• Despite economic growth, around 42% of South Africans Despite economic growth, around 42% of South Africans are both poor and deprived (Klasen, 2000)are both poor and deprived (Klasen, 2000)

• Gini co-efficient in South Africa is 1:100 (Seekings and Gini co-efficient in South Africa is 1:100 (Seekings and Nattrass, 2005)Nattrass, 2005)

• 11.4% officially HV positive in 200211.4% officially HV positive in 2002• Unemployment is around 26/7% (structural not cyclical)Unemployment is around 26/7% (structural not cyclical)• Just under 12 million people qualified for means- tested Just under 12 million people qualified for means- tested

social grants in 2007social grants in 2007• But, social pensions have failed to keep pace with But, social pensions have failed to keep pace with

inflationinflation• Poor without a voice in the policy debate (Freidman, et Poor without a voice in the policy debate (Freidman, et

al)al)

South African context: racial demographics (2007)

PopulatiPopulation groupon group

AfricaAfricansns

ColoureColouredsds

IndianIndianss

WhiteWhitess

TotalTotal

Numbers Numbers (millions(millions))

3838 4.24.2 4.44.4 1.21.2 47.847.8

PercentaPercentagege

79.5%79.5% 8.8%8.8% 2.5%2.5% 9.5%9.5% 100%100%

Badat, 2008

SA Context: Higher SA Context: Higher educationeducation

• HE differentiated according to race and HE differentiated according to race and designed to reproduce social relations designed to reproduce social relations (HBU/HWU) (HBU/HWU)

• White Paper on Higher Education (1997): White Paper on Higher Education (1997): contribution to social transformation by contribution to social transformation by combining economic priorities with the need combining economic priorities with the need to support a democratic civil society. to support a democratic civil society. Transformed HE would be characterised by Transformed HE would be characterised by access; quality in teaching and learning; access; quality in teaching and learning; graduates who are critical, analytical, and graduates who are critical, analytical, and tolerant, able to deal with change and tolerant, able to deal with change and diversity; staff diversity and rigorous diversity; staff diversity and rigorous scholarship; democratic governance; open scholarship; democratic governance; open academic climate; institutional culture of academic climate; institutional culture of tolerance and respect.tolerance and respect.

Headcounts enrolments Headcounts enrolments in HEin HE

Race and GenderRace and Gender 20002000 20072007

AfricanAfrican 58%58% 63%63%

WhiteWhite 30%30% 24%24%

HE students as % of relevant age group (2006) (cf to absolute numbers of black students at 76% in 2007)

PopulatiPopulation groupon group

AfricaAfricansns

ColoureColouredsds

IndianIndianss

WhiteWhitess

TotalTotal

Success Success ratesrates

65%65% 77%77%

PercentaPercentagegeParticip.Particip.

12%12% 13%13% 42%42% 59%59% 100%100%

Soudien, 2008

Teaching/research staffTeaching/research staffRace and genderRace and gender 20032003 20072007

AfricanAfrican 23%23% 25%25%

ColouredColoured 5%5% 6%6%

IndianIndian 8%8% 8%8%

WhiteWhite 62%62% 59%59%

Executive and Executive and management staffmanagement staff

Race and genderRace and gender 20002000 20072007

AfricanAfrican 19%19% 24%24%

ColouredColoured 9%9% 8%8%

IndianIndian 7%7% 7%7%

WhiteWhite 66%66% 61%61%

Higher education Higher education challengeschallenges

• HE as a microcosm of society: fault-lines of HE as a microcosm of society: fault-lines of race, class and genderrace, class and gender

• How do we teach ‘good’ (moral and ethical) How do we teach ‘good’ (moral and ethical) considerations?considerations?

• How do we produce professionals and How do we produce professionals and researchers who are critical, analytical and researchers who are critical, analytical and have deep social conscience?have deep social conscience?

• How do we produce young men and women How do we produce young men and women who will personify good? who will personify good?

• (Badat, 2001)(Badat, 2001)

Conditions for ‘pro-poor’ social Conditions for ‘pro-poor’ social and economic policy’ and potential and economic policy’ and potential

importance of HE educated importance of HE educated professionalsprofessionals

• 1. presence of ‘social consciousness’ (Swaan, 1. presence of ‘social consciousness’ (Swaan, 1988): (i) a widespread perception among 1988): (i) a widespread perception among economic elites that all social groups are economic elites that all social groups are interdependent, (ii) that elites bear some interdependent, (ii) that elites bear some responsibility for the conditions of the poor, responsibility for the conditions of the poor, and (iii) the belief that effective means of and (iii) the belief that effective means of assisting the poor do exist or might be assisting the poor do exist or might be created.created.

• 2. political organisation , coalition and 2. political organisation , coalition and compromise building (Przeworski, 1987)compromise building (Przeworski, 1987)

• (In Friedman et al, nd, p.2)(In Friedman et al, nd, p.2)

Elite thinking (De Swaan et al, Elite thinking (De Swaan et al, 2000)2000)

• 3 elements of social consciousness 3 elements of social consciousness refer to 3 different types of thinking:refer to 3 different types of thinking:

• 1) Factual assessments1) Factual assessments• 2) moral evaluations 2) moral evaluations • 3) power of collective agency3) power of collective agency

Professional education: rupturing Professional education: rupturing of the insulating ‘membrane’of the insulating ‘membrane’

• ‘‘the majority of the [South African] elite are distanced the majority of the [South African] elite are distanced from the poor and feel little, if any sense of personal from the poor and feel little, if any sense of personal responsibility for groups within their social segment responsibility for groups within their social segment (Hossain et al, 1999, p.27). BUT ‘Social consciousness’ (Hossain et al, 1999, p.27). BUT ‘Social consciousness’ could be operationalized educationally through:could be operationalized educationally through:

• curriculum that fosters historical, political and social curriculum that fosters historical, political and social knowledge and understanding (knowledge and understanding (De Swaan et al, 2000; De Swaan et al, 2000; ‘identification’; ‘feasibility’; ‘identification’; ‘feasibility’; Sullivan and Rosin, 2008 Sullivan and Rosin, 2008 ‘bodies of knowledge’)‘bodies of knowledge’)

• identity formation, commitment and professional values identity formation, commitment and professional values (‘(‘generalized responsibility’; generalized responsibility’; ‘‘responsibility’ and ‘identityresponsibility’ and ‘identity’)’)

• Ethical learning and pedagogy which fosters affiliations Ethical learning and pedagogy which fosters affiliations (‘(‘interdependence’ and policy/collective actioninterdependence’ and policy/collective action’; ’; ‘‘communitycommunity’)’)

Ethical IdentitiesEthical Identities• ‘‘Yet, it may be argued that the most critical challenge Yet, it may be argued that the most critical challenge

facing the next phase of our democratic dispensation is facing the next phase of our democratic dispensation is none other than the absence of a set of well-defined and none other than the absence of a set of well-defined and generally accepted ethical and moral values. As the generally accepted ethical and moral values. As the forefathers of modern economics have convincingly forefathers of modern economics have convincingly argued, no socioeconomic system is sustainable, let argued, no socioeconomic system is sustainable, let alone prosperous, without a set of moral values that are alone prosperous, without a set of moral values that are generally internalised across the society. Democratic generally internalised across the society. Democratic South Africa is no exception’.South Africa is no exception’.(Abedian, 2009)(Abedian, 2009)

• If, as Soudien (2008) suggests, racial identities are If, as Soudien (2008) suggests, racial identities are reconstituted at university, away from race towards reconstituted at university, away from race towards concerns with status and belonging, then surely ethical concerns with status and belonging, then surely ethical forms of identity construction and reconstruction are forms of identity construction and reconstruction are [theoretically] possible?[theoretically] possible?

Developing the PCI: Developing the PCI: Conceptual Framework Conceptual Framework

(Capabilities)(Capabilities)Amartya Sen (Amartya Sen (Development as FreedomDevelopment as Freedom,1999) and ,1999) and

Martha Nussbaum (Martha Nussbaum (Women and Human Women and Human DevelopmentDevelopment, 2000), 2000)

• ‘‘Capability approach’: capabilities (effective Capability approach’: capabilities (effective opportunities to be and do) and functionings opportunities to be and do) and functionings (actual beings and doings) -apply both to clients (actual beings and doings) -apply both to clients (‘comprehensive capabilities’) and professionals (‘comprehensive capabilities’) and professionals (‘public-good professional capabilities’)(‘public-good professional capabilities’)

• Poverty defined as multi-dimensional: low Poverty defined as multi-dimensional: low income; low quality of life, the denial of choices income; low quality of life, the denial of choices and opportunities for a tolerable life (as and opportunities for a tolerable life (as capability deprivation). capability deprivation).

• Poverty reduction defined as expanding human Poverty reduction defined as expanding human well-being and agency (as capability expansion)well-being and agency (as capability expansion)

‘‘Comprehensive Comprehensive capabilities’capabilities’

Nussbaum (2000); Wolff and De-Shalit (2007) Nussbaum (2000); Wolff and De-Shalit (2007) LifeLife Bodily healthBodily health Bodily integrityBodily integrity Sense, imagination and thoughtSense, imagination and thought EmotionsEmotions Practical ReasonPractical Reason Affiliation (A and B)Affiliation (A and B) Other speciesOther species PlayPlay Control over one’s environment (A and B)Control over one’s environment (A and B) Doing good to othersDoing good to others Living in a law abiding fashionLiving in a law abiding fashion Understanding the lawUnderstanding the law

Developing the PCI: Conceptual Developing the PCI: Conceptual Framework (ideal-type Framework (ideal-type

professionalismprofessionalism))• ‘‘[…] (1) […] (1) professional skills is human capital that (2) is always professional skills is human capital that (2) is always

dependent for its negotiability upon some collective dependent for its negotiability upon some collective enterprise, which itself (3) is the outcome of civic politics in enterprise, which itself (3) is the outcome of civic politics in which the freedom of a group to organize for a specific which the freedom of a group to organize for a specific purpose is balanced by the accountability of that group to purpose is balanced by the accountability of that group to other members of the civic community for furtherance of other members of the civic community for furtherance of publicly established goals and standardspublicly established goals and standards.’ (Sullivan, 2005).’ (Sullivan, 2005)

•  ‘ ‘[[Professionals] are concerned with different aspects of Professionals] are concerned with different aspects of [public] good, in some cases the immediate good of individual [public] good, in some cases the immediate good of individual patients, students or clients, in others of firms or groups, and patients, students or clients, in others of firms or groups, and in others the general good. But such service must always be in others the general good. But such service must always be judged and balanced against a larger public good, sometimes judged and balanced against a larger public good, sometimes one anticipated in the future. Practitioners and their one anticipated in the future. Practitioners and their associations have the duty to appraise what they do in light associations have the duty to appraise what they do in light of that larger good, a duty which licenses them to be more of that larger good, a duty which licenses them to be more than passive servants of the state, of capital of the firm, of than passive servants of the state, of capital of the firm, of the client, or even of the immediate general publicthe client, or even of the immediate general public.’ .’ (Freidson, 2004)(Freidson, 2004)

Public good Public good professionalism = pro-poor professionalism = pro-poor

professionalismprofessionalism• For our purposes, the concept of For our purposes, the concept of

professionalism, in all its historical and social professionalism, in all its historical and social complexities, offers a range of identities. The complexities, offers a range of identities. The one we are offering here to professionals one we are offering here to professionals bound up with transformation in South Africa bound up with transformation in South Africa is founded on ideas about human development is founded on ideas about human development that emphasise capability expansion for both that emphasise capability expansion for both professionals and their clients. This particular professionals and their clients. This particular definition of professionalism carries with it a definition of professionalism carries with it a special emphasis on responsibility, in South special emphasis on responsibility, in South Africa’s context, for poverty reduction. Sen Africa’s context, for poverty reduction. Sen (2008) calls this feature of human (2008) calls this feature of human development a social justice imperative development a social justice imperative ‘‘linking responsibility to effective power’. linking responsibility to effective power’.

• If the public good ‘soul’ of If the public good ‘soul’ of professionalism is to be strengthened, professionalism is to be strengthened, the education of professionals is the the education of professionals is the critical starting point (Sullivan, 2005). critical starting point (Sullivan, 2005).

• We are conceptualising professional We are conceptualising professional education as a process of capability education as a process of capability expansion that will open up freedoms expansion that will open up freedoms for individual students to be a for individual students to be a particular kind of professional. particular kind of professional.

Developing the PCI: Data Developing the PCI: Data Collection- the casesCollection- the cases

UniversityUniversity Case(s)Case(s) RespondentsRespondents

AcaciaAcacia: HAU : HAU (Afrikaans) 23,000-(Afrikaans) 23,000-70%W,30% B70%W,30% B

Theology and Theology and EngineeringEngineering

4-5 alumni; 4-5 4-5 alumni; 4-5 student focus groups; student focus groups; 3-4 lecturers and 3-4 lecturers and HoD; Dean, PVC, HoD; Dean, PVC, NGO/Prof body NGO/Prof body

FynbosFynbos: HDU, : HDU, 15,00015,00093% B, 5% W, 2%I93% B, 5% W, 2%I

Public Health and Public Health and LawLaw

SilvertreeSilvertree: HAU, : HAU, 21,000-60%B,40%W21,000-60%B,40%W

Social Development Social Development (Social Work)(Social Work)

Developing the PCI: Developing the PCI: Analysing Data (1)Analysing Data (1)

Questions about: Questions about: • what kind of professional SA needs;what kind of professional SA needs;• what kind of education would produce what kind of education would produce

such a professional; such a professional; • what enables and constrains the what enables and constrains the

production.production.

December ’08- 5-days’ team work on December ’08- 5-days’ team work on Social Development: Social Development:

TT TransformationTransformationPP PovertyPovertyP2+P2+ Contribution to Contribution to

poverty reduction poverty reduction P2-P2- Contribution to Contribution to

poverty reduction poverty reduction (negative)(negative)

CC Capabilities (of the Capabilities (of the poor)poor)

CCPP Professional capabilitiesProfessional capabilitiesCCLL Lecturer capabilitiesLecturer capabilitiesE+E+ Educational contributionEducational contributionE-E- Educational Educational

contribution contribution (negative)(negative)

Development Discourses CodesFrom the week of 15th-19th December 2008

4 initial professional 4 initial professional capabilitiescapabilities

• - vision- vision• - agency- agency• - resilience- resilience• - affiliation- affiliation

Developing the PCI: Developing the PCI: Analysing Data (2)Analysing Data (2)

• December-March ‘chunking data’ , December-March ‘chunking data’ , producing ‘university narratives’ and producing ‘university narratives’ and case ‘summary narratives’.case ‘summary narratives’.

• March 21March 21stst-March 31-March 31stst team worked team worked in SA to produce tables.in SA to produce tables.

• Extended case studies and ‘ideal-Extended case studies and ‘ideal-type’ short accounts are being type’ short accounts are being written for each case.written for each case.

Developing the PCI: Working Developing the PCI: Working with RWGswith RWGs

• Research Working Group of three or Research Working Group of three or four in each site: PVC, HoD, Dean, four in each site: PVC, HoD, Dean, Head of Educational Development.Head of Educational Development.

• Three stages: reading and written Three stages: reading and written comments; attending workshop in comments; attending workshop in March; revising tables and a final March; revising tables and a final meeting (July) to discuss how to meeting (July) to discuss how to embed the approach.embed the approach.

The Draft PCI TablesThe Draft PCI Tables

Based on theory, a rich data set and collaboration Based on theory, a rich data set and collaboration (still incomplete and provisional)(still incomplete and provisional)

1.1.Evaluative framework for educational goals: Evaluative framework for educational goals: (incommensurable) capabilities and functionings.(incommensurable) capabilities and functionings.

2.2.Evaluative framework for institutional Evaluative framework for institutional conditions.conditions.

3.3.Educational arrangements, departmental levelEducational arrangements, departmental level

4.4.Constraints: Legacy of apartheidConstraints: Legacy of apartheid

Problems: agreement and operationalisingProblems: agreement and operationalising

Achievements and hopesAchievements and hopes

AchievementsAchievements

A deeper appreciation and understanding of A deeper appreciation and understanding of university-based professional education university-based professional education contexts, practices, possibilities and constraints contexts, practices, possibilities and constraints in South Africa .in South Africa .

The generation of capability-based lists that are The generation of capability-based lists that are evidence-based and collaborative; and, of evidence-based and collaborative; and, of interest and use to some professional educators.interest and use to some professional educators.

Hopes:Hopes:

Furthering 1 and 2 above, and seeing the Furthering 1 and 2 above, and seeing the implementation of the PCI in some contexts.implementation of the PCI in some contexts.