van vught; westerheijden 1994 towards a general model of quality assessment in higher education
TRANSCRIPT
7/28/2019 Van Vught; Westerheijden 1994 Towards a General Model of Quality Assessment in Higher Education
http://slidepdf.com/reader/full/van-vught-westerheijden-1994-towards-a-general-model-of-quality-assessment 1/17
Hi ghe r Educ a t ion 28: 355-371, 1994.9 1994Klu we r Acad em ic Pub~lishers. Prin ted in the Netherlands.
T o w a r d s a g e n e r a l m o d e l o f q u a l i t y a s s e ss m e n t i n h i g h e re d u c a t i o n
FRANS A. VAN VUGHT & DON F. WESTERHEI JDEN
Cen ter fo r Hig her Education Po licy Studies, Universi ty o f Twente , P.O. Bo x 217, 7500 AE Enschede,
The Ne ther lands
Abstract. In this article a number of elements of a general model of quality assessment in higher
education are presented. On the one hand these elements are put in a historical context of quality
assessment in Medieval universitiesand, on the other hand, deduced from the recent experiences with
quality assessment in both North-American and Western European countries. With respect to the
historical context a distinction s made between he intrinsicand the extrinsicvalues of higher education.
Two types of quality assessment related to these values are also distinguished. Concerning he recent
experiences with quality assessment systems, the practices in the U.S.A., Canada, France, the
Netherlands and the United Kingdom are explored. In the final section the general mode of quality
assessment is discussed n the context of the distinctionbetween he intrinsic and the extrinsic values ofhigher education.
T h e h i s to r i c a l r o o t s o f q u a l i t y a s se s s m e n t i n h i g h e r e d u c a t i o n
From the early days of higher education on, the assessment of the quality of its
processes and products has been an important focus of attention for higher
education institutions. In this historical attention for quality a certain tension is
found which we nowaday s still experience and which sometimes appears to be the
source of heated debates.
Already in Medie val higher education a distinction can be made between two
extreme models of quality assessment. Neither of these two models is of course
found in the actual history of European higher education. The models rather point
to two crucial dimensions of quality assessment in higher education. Referring totheir historical backgrounds, we will call one model the French model of vesting
control in an extem al authori ty (Cobb an 1988, p. 124). The other model we will call
the English model of a self-governing commu nity of fellows.
The French model can be illustrated by the dramatic struggle for autonomy by
the University of Paris in the early thirteenth century. It was the chancellor of the
cathedral of Nrtre Dame, acting as the delegate of the bishop of Pads, who
represented the then dominating episcopal outlook that the universities should be
seen as 'ecclesiastical colonies. ' The universities were viewed as higher forms of
education that were, however, to be integrated in the ecclesiastical structure and
that were to remain under episcopal authority. The chancellor of the cathedral of
N6tre Dame was an external official set above the masters' guild. As such he
claimed the authority to grant or to withhold the teaching license and he claimed
the right to decide about the content of studies. The masters fought the chancellor's
authority. And after a long and bitter conflict, Pope Gregory IX in his bull called
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3 56
Parens Scientiarum (1 2 3 1 ) f i n a l ly m a d e a n e n d t o t h e d o m i n a n c e o f t h e b i sh o p a n d
t h e c h a n c e l l o r o v e r th e m a s t e r s ' g u i ld (C o b b a n 1 9 7 5 , p p . 7 6 -8 4 ) .
T h e E n g l i s h m o d e l o f s e l f -g o v e rn a n c e h a s i ts o r i g in s i n t h e a s p ir a ti o n s o f th e
m a s t e r s a t t h e M e d i e v a l U n i v e r s i t i e s o f O x fo rd a n d C a m b r i d g e t o b e c o m p l e t e l y
i n d e p e n d e n t o f e x t e rn a l j u r is d i c ti o n . E n g l i s h M e d i e v a l c o l l e g e s w e re s o v e re i g n ,
s e l f -g o v e rn i n g c o m m u n i t i e s o f f e l l o w s . I n t h e E n g l i s h c o l l e g e s t h e f e l l o w s
t h e m s e l v e s h a d t h e r i g h t t o r e m o v e u n s u i t a b l e m a s t e rs a n d t o c o -o p t n e w m e m b e r s .
I t w a s u p t o t h e c o m m u n i t y o f t h e f e l l o w s t o j u d g e t h e q u a l i ty o f t h e i r c o l le a g u e s .
T h e F re n c h m o d e l m a y b e c o n s i d e re d to b e t h e a r c h e t y p e o f q u a l it y a s s es s m e n t
i n t e rm s o f a c c o u n t a b i li t y . I n t h e F re n c h m o d e l t h e p o w e r t o d e c i d e w h a t s h o u l d b e
s t u d ie d a n d w h o c o u l d b e a l l o w e d t o t e a c h a t t h e u n i v e r s i t y w a s i n t h e h a n d s o f a n
e x t e rn a l a u t h o r i t y . T h e g u i l d m a s t e r s w e re a c c o u n t a b l e t o t h e c h a n c e l l o r f o r t h e
c o n t e n t s o f t h e i r t e a c h in g . T h e E n g l i s h m o d e l i s t h e e x p re s s i o n o f w h a t w e
n o w a d a y s c a ll : q u a l it y a s s es s m e n t b y m e a n s o f p e e r r e v i e w . T h e m a s t er s d e c i d e d
a m o n g t h e m s e l v e s w h a t s h o u l d b e t a u g h t a n d w h o s h o u l d t e a ch .
T h e F re n c h a n d t h e E n g l i s h m o d e l s c a n , w e t h i n k , b e c o n s i d e re d t o b e t w o
i m p o r t a n t d i m e n s i o n s o f a n y p r e s e n t -d a y s y s t e m o f q u a l i t y a s s e s s m e n t i n h i g h e r
e d u c a t i o n . B o t h t h e d i m e n s i o n o f p ro v i d i n g a c c o u n t a b i li t y ( th e F re n c h m o d e l ) a n d
t h e d i m e n s i o n o f p e e r r e v i e w ( th e E n g l i s h m o d e l ) a r e c ru c i a l e l e m e n t s o f p r e se n t -
d a y q u a l i t y m a n a g e m e n t s y s t e m s i n h i g h e r e d u c a ti o n .
T h e s e t w o d i m e n s i o n s r e f e r t o th e t w o s u b c a t e g o ri e s o f t h e g e n e ra l c o n c e p t o f
q u a l i ty t h a t h a v e a l w a y s p l a y e d a c e n t r a l r o l e i n h i g h e r e d u c a t io n . L o o k i n g a t t h eh i s t o ry o f h i g h e r e d u c a t io n , i t c a n b e a rg u e d t h a t h i g h e r e d u c a t i o n h a s a l w a y s h a d
both in t r ins ic and ex t r ins ic qua li t ie s . Th e in t r ins ic qua l i t ie s re fe r to the idea l s o f the
s e a r c h fo r t r u th a n d t h e p u r s u i t o f k n o w l e d g e . T h e e x t r in s i c q u a l it i es a r e r e l a t e d t o
the se rv ices h igher educa t ion ins t i tu t ions p rov ide to soc ie ty . Al ready in the ea r ly
d a y s o f h i g h e r e d u c a t i o n , t h e s e t w o c a t e g o r i e s o f q u a l i t y c a n b e fo u n d . H i g h e r
e d u c a t i o n i n s ti tu t io n s h a v e a l w a y s e s p o u s e d t h e v a l u e s a n d i d e a ls o f t h e s e a r c h fo r
t ru t h a n d t h e d i s i n t e re s t e d p u r su i t o f k n o w l e d g e . A t t h e s a m e t i m e , t h ro u g h t h e
c e n t u r ie s t h e i n s t it u ti o n s o f h i g h e r e d u c a t i o n h a v e b e e n a b l e t o r e s p o n d t o t h e n e e d s
o f s o c i e t y . H i g h e r e d u c a t i o n i n s t i t u t i o n s h a v e a d a p t e d t h e m s e l v e s w i t h g r e a t
f l e x i b i li t y t o t h e c h a n g i n g n e e d s a n d o p p o r t u n i ti e s i n t h e i r e n v i ro n m e n t . B y
combin ing bo th in t r ins ic and ex t r ins ic qua l i t i e s , h igher educa t ion ins t i tu t ions have
b e e n a b l e t o s h o w a r e m a rk a b l e h i s t o r ic a l p e r si s te n c e . T h e c o m b i n a t i o n o f i n t ri n s ic
and ex t r ins ic qua l i t i e s has he lped h igher educa t ion ins t i tu t ions to cap ture the i r
i m p o r t a n t p l a c e i n h i s t o ry a n d s o c i e ty .
T h e r e c e n t c a ll o f h i g h e r e d u c a t i o n q u a l i t y a s s e ss m e n t
S i n c e t h e e a r l y 1 9 8 0 s q u a l it y h a s b e c o m e a c e n t ra l c o n c e p t in m a n y d i s c u ss i o n s o nh i g h e r e d u c a t i o n . I n t h e U n i t e d S t a t e s a n d C a n a d a t h e d e b a t e s o n t h e v a r i o u s
approaches and ins t ruments wi th re spec t to qua l i ty a s ses sment have in tens i f i ed . In
t h e U n i t e d K i n g d o m ( in 1 9 8 4 ) q u a li t y w a s d e c l a r e d t o b e a p r i n c i p a l o b j e c t iv e fo r
h i g h e r e d u c a t i o n . I n F ra n c e t h e 'Comitg National d'Evaluation' was se t up . In the
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3 5 7
N e t h e r l a n d s a n i n f lu e n t i a l p o l i c y -p a p e r w a s p u b l i s h e d i n w h i c h q u a l i t y p l a y e d a
major ro le . In Denmark , F in land , Spa in and severa l o the r count r ie s the f i r s t s t eps
w e re t a k e n t o d e s i g n a q u a l it y a s se s s m e n t s y s t e m (N e a v e a n d v a n V u g h t 1 9 9 1 , v a n
V u g h t a n d W e s t e rh e i j d e n 1 9 9 3 ).
Th ere a re va r ious fac tors tha t can exp la in th is recen t inc rease o f the a t t en t ion for
q u a l i t y in h i g h e r e d u c a t io n . A n i m p o r t a n t f a c t o r is t h e e x p a n s i o n o f t h e v a r i o u s
h i g h e r e d u c a t i o n s y s t e m s . T h e r a p i d g ro w t h o f t h e s t u d e n t -b o d y a n d t h e
a c c o m p a n y i n g i n c r e a se o f t h e n u m b e r o f f i el d s o f s tu d y , d e p a r t m e n t s a n d e v e n
w h o l e n e w i n s ti t u ti o n s h a v e t r i g g e re d q u e s ti o n s a b o u t t h e a m o u n t a n d d i r e c t io n o f
p u b l i c e x p e n d i t u r e fo r h i g h e r e d u c a t i o n . A n o t h e r ( r e la t e d ) f a c t o r li e s in t h e s i m p l e
f a c t t h a t t h e l i m i t s o f p u b l i c e x p e n d i t u r e h a v e b e e n r e a c h e d i n m a n y c o u n t r i e s .
B u d g e t - c u t s a n d r e t r e n c h m e n t o p e ra t io n s a u t o m a t i c a ll y l e a d to q u e s t i o n s a b o u t t h e
r e l a ti v e q u a l i ty o f p ro c e s s e s a n d p ro d u c t s i n h i g h e r e d u c a ti o n . A t h i rd f a c t o r
c o n c e rn s t h e t r a n s i t i o n p ro c e s s t o t e c h n o l o g y -b a s e d e c o n o m i e s , w h i c h i n m a n y
c o u n t r i e s b r in g s a l o n g p o l i c i e s to g u i d e s t u d e n t d e m a n d t o f i e ld s t h a t a r e p e r c e i v e d
t o b e i m p o r t a n t f o r f u r t h e r e c o n o m i c d e v e l o p m e n t (N e a v e 1 98 6, p . t 6 8 ) .
Th ese fac tors ind ica te tha t dur ing the l a s t t en yea rs o r so , e spec ia l ly the ex t r ins ic
v a l u e s o f h i g h e r e d u c a t i o n h a v e d r i v e n m a n y g o v e rn m e n t s t o p o l i c i e s o f q u a l i t y
c o n t ro l i n h i g h e r e d u c a t io n . T h e i n c r e a s i n g c o s t s o f h i g h e r e d u c a t i o n s y s t e m s h a d
t o b e l e g i t im i s e d b y c l e a r l y d e f i n a b l e s o c ie t a l b e n e f i ts . A n d fo r t h is , m e c h a n i s m s
a n d p ro c e d u re s o f q u a l it y a s s e ss m e n t w e re d e e m e d t o b e n e c e s s a ry .
N e w s y s t e m s o f q u a l i ty a s s e s s m e n t a n d q u a l i t y c o n t ro l h a v e b e e n (o r a r e b e i n g )d e v e l o p e d i n s e v e ra l co u n t r i es . B u t , w h i l e i t m a y b e c l e a r t h a t t h e e x t r in s i c v a l u e s
o f h i g h e r e d u c a t i o n a r e i m p o r t a n t f a c t o r s s t im u l a t in g t h e s e d e v e l o p m e n t s , i t a p p e ar s
t o b e d i f f i c u l t t o c o m b i n e i n t h e n e w s y s t e m s o f q u a l i ty a s s e s sm e n t o n t h e o n e h a n d
t h e g o v e rn m e n t ' s g o a l s r e g a rd i n g t h e n a t i o n a l h i g h e r e d u c a t i o n s y s t e m a n d o n t h e
o t h e r h a n d t h e v i e w s a n d c h a ra c t er i s ti c s o f t h e h i g h e r e d u c a t i o n i n s ti tu t io n s .
In th i s a r ti c le we w i l l b r ie f ly d i scuss the expe r iences wi th qu a l i ty a s ses smen t in a
f e w r e l e v a n t c o u n t r i e s . F ro m t h i s d i s c u s s i o n w e w i l l t r y t o d e d u c e a n u m b e r o f
e l e m e n t s o f a g e n e ra l m o d e l o f h i g h e r e d u c a t i o n q u a l it y a s se s s m e n t , w h i c h m a y b e
appl icab le in va r ious con tex t s . F ina l ly , we wi l l p resen t a b r ie f ana lys i s o f th i s
genera l mode l , us ing the concepts o f in t r ins ic and ex t r ins ic qua l i t i e s tha t were
d i s t inguished be fore .
E x p e r i e n c es i n t h e U . S .A . a n d C a n a d a
A s i s w e l l k n o w n , i n t h e U n i t e d S t a t e s a n d C a n a d a , t h e m a rk e t i s t h e d o m i n a n t
fo rm o f c o o rd i n a t i o n i n h i g h e r e d u c a t i o n . C o m p e t i t i o n b e t w e e n h i g h e r e d u c a t i o n
ins t i tu t ions i s genera l ly accep ted . Higher educa t ion ins t i tu t ions a re o rgan ised on a
bas i s which to a cons ide rab le ex ten t i s s imi la r to p r iva te corpora t ions . There i s
c o n s i d e ra b l e p o w e r a t t h e t o p o f t h e h i g h e r e d u c a t i o n a l i n s t i t u t i o n . A n d t h e s e
ins t i tu t ions have a board and a p res iden t , ra the r l ike p r iva te corpora t ions . Al though
t h e i n f l u e n c e o f g o v e rn m e n t a l s t e e r i n g i s n o t c o m p l e t e l y a b s e n t , c o m p a re d t o fo r
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ins t ance , con t inen t a l Europe th i s i n f luence i s l imi t ed . The h igher educa t ion
i n s t i t u t i o n s i n t h e U n i t e d S t a t e s a n d C a n a d a a r e s u p p o s e d t o r e g u l a t e t h e m s e l v e s .
I f t hey do no t , they wi l l lose r e sourc es , s t uden t s an d scho la r s t o t he i r
c o m p e t i t o r s .
In t he Uni t ed S t a t es t he g rowing d ive r s i t y i n i ns t i t u t i ona l fo rms and the i n i t i a l
l a c k o f c e n t r a l l y d e f i n e d s t a n d a r d s l e d b y t h e l a t e n i n e t e e n t h c e n t u r y t o a l e v e l o f
c h a o s i n t h e U S h i g h e r e d u c a t i o n s y s t e m . I f t h e i n s ti tu t io n s w o u l d n o t h a v e
a d d r e s s e d t h i s i n c r e a s i n g l e v e l o f c h a o s , s t r o n g g o v e r n m e n t i n t e r v e n t i o n w o u l d
p r o b a b l y h a v e b e c o m e u n a v o id a b l e . B e c a u s e s u c h a n i n te r v e n ti o n w a s n o t
a t t r ac t i ve t o t he h igher educa t ion i ns t i t u t i ons , t he i ns t i t u t i ons t ook the i n i t i a t i ve t o
d e v e l o p t h e m s e l v e s t w o p r o c e s s e s o f q u a l i t y a s s e s s m e n t (K e l l s 1 9 8 9 ) .
T h e f i rs t p r o c e s s o f q u a l i ty a s s e s s m e n t i s a c c re d i ta t io n . A c c r e d i t a t io n o f a h i g h e r
e d u c a t i o n i n s t i tu t io n o r o f a s p e c i f i c s tu d y p r o g r a m m e w i t h i n a n i n s t it u ti o n c o n s i st s
o f a p r o c e d u r e o f s e l f - a s s e s s m e n t b y t h e o r g a n i s a t i o n s e e k i n g a c c r e d i t a t i o n ,
f o l l o w e d b y a v i s it o f a t e a m o f e x t e r n a l a s s e s s o r s a n d a f i n a l d i sc u s s i o n , b y a p e e r -
b o a r d u s i n g p r e - e x i s t i n g a c c r e d i t a ti o n s t a n d a r d s , o n t h e q u e s t i o n w h e t h e r o r n o t t o
g ive acc red i t a t i on . In t he U .S . acc red i t a t i on has two fo rms . The f i r s t i s i n s t i t u t i ona l
a c c r e d i t a t i o n , c o n d u c t e d b y r e g i o n a l b o d i e s t h a t a r e c o n t r o l l e d b y t h e h i g h e r
e d u c a t i o n i n s t i t u t i o n s t h e m s e l v e s . T h e s e c o n d f o r m o f a c c r e d i t a t i o n i s s p e c i a l i s e d
a c c r e d i t a t i o n c o n d u c t e d n a t i o n a l l y b y p r o f e s s i o n c o n t r o l l e d b o d i e s .
T h e s e c o n d p r o c e s s o f q u a l i t y a s s e s s m e n t i n A m e r i c a n h i g h e r e d u c a t i o n i s t h e
i n t r a - i n s t i t u t i o n a l p r o c e s s o f s y s t e m a t i c r e v i e w o f s t u d y p r o g r a m m e s . T h i s r e v i e wp r o c e s s i s b e i n g u s e d b y u n i v e r s i t i e s : t o a s s e s s p r o g r a m m e q u a l i t y , t o e n h a n c e
i n s t i t u t i o n a l d e c i s i o n - m a k i n g , a n d i n s o m e c a s e s t o p r o v i d e a b a s i s f o r t h e
r e d i s tr i b u ti o n o f m a r g i n a l r e s o u r c e s w i t h in t h e i n s t it u t io n ( B a r a k 1 9 8 2 , K e l l s a n d
v a n V u g h t 1 9 88 , K e l ls 1 9 89 ). P r o g r a m r e v i e w m a y b e c o m e a n e le m e n t o f th e
broader acc red i t a t i on p rocess , bu t t h i s i s no t necessa r i l y t he case .
I n C a n a d a , q u a l i t y a s s e s s m e n t i n h i g h e r e d u c a t i o n i s s o m e w h a t d i f f e r e n t l y
o r g a n i s e d . I n C a n a d a q u a l i t y a s s e s s m e n t h a s n o t s o m u c h t a k e n t h e f o r m o f a f u l l
p r o c e s s o f a c cr e d i ta t io n . I n t hi s c o u n t r y tw o c r u c i a l e l e m e n t s o f th e U . S . t y p e o f
a c c r e d i t a ti o n h a v e b e e n c h o s e n t o b e p a r t o f t h e d o m i n a n t q u a l i t y a s s e s s m e n t
a p p r o a c h : s e l f - a s s e s s m e n t a n d t h e v i s i ts b y p e e r s . F o r e x a m p l e , th e t e c h n i c a l
s c h o o l s a n d c o m m u n i t y c o l l e g e s i n B r i t i s h C o l u m b i a h a v e e m p l o y e d s u c h a n
a p p r o a c h , a s h a s t h e p r o v i n c i a l u n i v e r s it y o f A l b e r t a ( H o l d a w a y 1 98 8).
S o , i n h i g h e r e d u c a t i o n s y s t e m s w i t h a n e m p h a s i s o n m a r k e t c o o r d i n a t i o n a n d a
h i g h l e v e l o f i n s t i t u t i o n a l a u t o n o m y ( a t l e a s t c o m p a r e d t o s o m e c o n t i n e n t a l
E u r o p e a n s y s t e m s ) w e f i n d a n a p p r o a c h t o q u a l i t y a s s e s s m e n t i n w h i c h t h e
f o l l o w i n g e l e m e n t s c a n b e fo u n d :
a ) a p r o c e s s o f se l f - eva lua t ion . I n s o m e c a s e s t h e a s s e s s m e n t i s l i m i t e d t o t h i s
e l e m e n t . T h i s i s e s p e c i a l l y t h e c a s e w h e n t h e a s s e s s m e n t t a k e s t h e f o r m o f a n i n tr a -
i n s ti tu t i o n a l r e v i e w p r o c e s s ;
b ) a r e v i e w b y p e e r s , u s u a l l y i n t h e f o r m o f a v i s i t b y a t e a m o f e x t e r n a l a s s e s s o rs ;
c ) f i n a ll y , e s p e c i a l ly i n th e U . S ., t h e s e t w o e l e m e n t s a r e b r o u g h t t o g e t h e r i n a w i d e r
s y s te m o f a c c r e d i t a t i o n i n w h i c h ( e x c e p t f o r s e l f - e v a l u a t i o n a n d r e v i e w b y p e e r s )
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o n e o t h e r e l e m e n t is c ru c ia l : th e fo rm u l a t i o n o f s t andard s t h a t a r e u s e d t o m a k e t h e
d e c i s i o n t o g i v e o r w i t h h o l d a c c r e d i ta t io n .
D e v e l o p m e n t s i n W e s t e rn E u r o p e
C o n t r a ry to t h e U n i t e d S t a t es a n d C a n a d a , t h e p r e d o m i n a n t f o rm o f c o o rd i n a t io n i n
t h e W e s t e rn E u ro p e a n h i g h e r e d u c a t i o n s y s t e m s i n m a n y c o u n t r i e s s t i l l i s s t a t e
c o n t ro l . W i t h t h e e x c e p t i o n o f B r i t a i n , t h e W e s t e rn E u ro p e a n h i g h e r e d u c a t i o n
s y s t em s h a v e b e e n h e a v i l y c o n t ro l l e d b y g o v e rn m e n t s f o r a l o n g p e r i o d o f ti m e . I n
t h e s e c e n t r a l l y c o n t ro l l e d c o n t i n e n t a l W e s t e rn E u ro p e a n h i g h e r e d u c a t i o n s y s t e m s
the ins t i tu t iona l au tonomy was ra the r l im i ted (and in many cases s t i l l i s ) and the
fu n d i n g w a s a n d i s g e n e ra l ly p ro v i d e d b y t h e s ta te .
D u r i n g t h e 1 9 7 0 s a n d t h e 1 9 8 0 s t h e W e s t e rn E u ro p e a n h i g h e r e d u c a t i o n s y st e m s
h a v e b e e n c o n f ro n t e d w i t h a n u m b e r o f f a r -r e a c h i n g c h a n g e s. M o s t o f t h e se
c h a n g e s c a n b e r e l a t e d i n o n e w a y o r a n o t h e r t o a s h i f t i n g o v e rn m e n t a l s tr a te g i e s
t o w a rd s h i g h e r e d u c a t io n . A m a j o r u n d e r l y i n g p o l it i ca l f o r c e w a s t h e r i s e to p o w e r
o f c o n s e rv a t i v e g o v e rn m e n t s i n m a n y o f t h e s e c o u n t r i e s . T h e s o -c a l l e d ' v a l u e - fo r -
m o n e y ' a p p ro a c h o f th e s e g o v e rn m e n t s w i t h r e s p e c t t o t h e p u b l i c s e c t o r l e d to t h e
e n d o f th e m o re o r l es s u n c o n d i t i o n a l g o v e rn m e n t fu n d i n g o f p u b l i c h i g h e r
educa t ion . In p rac t i ce th i s impl ied , among o the r th ings , tha t publ ic funding ofh i g h e r e d u c a t i o n w a s i n c r e a s i n g l y b e c o m i n g l i n k e d t o t h e p e r fo rm a n c e o f h i g h e r
e d u c a t i o n i n s t it u ti o n s . A s a c o n s e q u e n c e , th e q u e s t i o n o f h o w t o a s s es s t h e
p e r fo rm a n c e , o r q u a l i t y , o f h i g h e r e d u c a t i o n b e c a m e o n e o f t h e c e n t r a l i s s u e s i n
W e s t e rn E u ro p e a n h i g h e r e d u c a t i o n in t h e l a st d e c a d e .
A s e c o n d i m p o r t a n t d e v e l o p m e n t i n h i g h e r e d u c a ti o n p o l ic y - m a k i n g i n W e s t er n
E u ro p e i s t h e r is e o f t h e g o v e rn m e n t a l s t r at e g y o f ' s e l f - r e g u l a t i o n ' ( v a n V u g h t
1 9 8 9 , N e a v e a n d v a n V u g h t 1 99 1) . D u r i n g t h e s e c o n d h a l f o f t h e 1 9 8 0 s , t h e
m i n i s tr i e s o f e d u c a t i o n a n d h i g h e r e d u c a t i o n i n s ti tu t io n s e s p e c i a l l y in t h e c o u n t r i e s
o f n o r t h w e s t e rn E u ro p e h a v e a g re e d u p o n t h e d e s i r a b i l i t y o f m o re s e l f - r e g u l a t i o n
b y t h e h i g h e r e d u c a t i o n i n s t i t u t i o n s . I n t h i s p e r i o d , s e v e ra l g o v e rn m e n t s h a v e
a d v o c a t e d d e re g u l a t i o n b y c e n t r a l m i n i s t r i e s a n d i n c r e a s e d a u t o n o m y o f a n d
c o m p e t i t i v e n e s s a m o n g t h e h i g h e r e d u c a t i o n i n s ti tu t io n s .
T h e e s t a b l i s h m e n t o f a g o v e rn m e n t a l s t r a t e g y d i r e c t e d t o w a rd s m o re a u t o n o m y
fo r h i g h e r e d u c a t i o n i n s t i t u t i o n s w a s g e n e ra l l y m o t i v a t e d b y g o v e rn m e n t s b y t h e
w i s h t o s t i m u l a t e t h e i n n o v a t i v e b e h a v i o u r o f h i g h e r e d u c a t i o n i n s t i t u t i o n s a n d
e s p e c i a l ly t o s t im u l a t e t h e i r r e s p o n s i v e n e s s t o t h e p e r c e i v e d n e e d s o f t h e e c o n o m y
a n d o f s o c i e ty . A l s o , t h e r e w a s t o b e a g r e a t e r a w a re n e s s o n t h e p a r t o f s o c i e t y a n d
t h e p u b l i c a b o u t t h e q u a l i t y o f s t u d y p ro g ra m m e s , w h i c h i m p l i e d t h a t c r e d i b l e
s y s t e m s o f q u a l i t y a s se s s m e n t s h o u l d b e d e v e l o p e d .
In s o m e W e s t e rn E u ro p e a n c o u n t r i e s n e w a t t e m p t s t o s e t u p q u a l i t y a s s e s s m e n t
s y s t e m s a ro s e f ro m t h e d e v e l o p m e n t s d e s c r i b e d a b o v e . A q u a l i t y a s s e s s m e n t
sys tem was e i the r in i t i a ted by the cen t ra l governmenta l au thor i t i e s (a s was the case
i n F ra n c e ) o r i t w a s n e g o t i a t e d b e t w e e n g o v e rn m e n t a l a c t o r s a n d t h e l e a d e r s o f
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3 6 0
h i g h e r e d u c a t i o n i n s t it u ti o n s ( a s w a s t h e c a s e i n t h e N e t h e r l an d s ) . T o g e t h e r w i t h t h e
U n i t e d K i n g d o m , t h e s e t w o c o u n t r i e s o f f e r a g o o d o v e r v i e w o f t h e r e c e n t
e x p e r i e n c e s w i t h q u a l i t y c o n t r o l i n W e s t e r n E u r o p e . L e t u s b r i e f l y d e s c r i b e t h e
d e v e l o p m e n t s i n t h e s e th r e e c o u n t r i es .
France
T h e P r e s i d e n t o f t h e F r e n c h R e p u b l i c a n d a n a c t o f p a r l i a m e n t b r o u g h t i n t o b e i n g
th e Comitd National d'Evaluation (CNE) i n 1985 as a r e su l t o f the so-ca l l ed Loi
Savary. I t w a s , a c c o r d i n g l y , s e t u p i n a s p i ri t o f c o n c e r n a b o u t t h e d y s f u n c t i o n s o f
t h e t r a d i t i o n a l , c e n t r a l i s e d , s y s t e m o f q u a l i t y c o n t r o l : l a c k o f a c t u a l a u t o n o m y ,
un i fo rm i ty , r ig id i t y , bureau cracy , e t c . (S t a ropo l i 1991 , p . 45) . G ive n i ts pos i t i on i n
t e r m s o f c o n s ti t u ti o n a l l a w , t h e C N E i s a g o v e r n m e n t a g e n c y , b u t i t o n l y r e p o r t s to
t h e P r e s id e n t , s o i t i s in d e p e n d e n t o f t h e P r i m e M i n i s te r , t h e M i n i s t e r o f E d u c a t i o n
a n d o t h e r e x e c u t i v e a g e n c i e s.
T h e C N E q u a l i ty a s s e s s m e n t p r o c e d u r e c o n s i s t s o f t w o p a r ts : i n s ti tu t i o n - w i d e
e v a l u a t i o n s a n d ' h o r i z o n t a l , ' d i s c i p l i n a r y r e v i e w s . T h e e v a l u a t i o n s a r e n o t s p e c i f i c
d o w n t o t h e i n d i v i d u a l l e v e l , n o r d o t h e y a s s e s s c o u r s e s : t h e s e t w o l e v e l s a r e
c o v e r e d b y t r a d it io n a l m e c h a n i s m s . W h e r e n e c e s s a r y a n d p o s s i b le , th e C N E m a k e s
u s e o f e x i s t in g e v a l u a t io n s a n d c o n t r o l r e p o r t s o f o t h e r a g e n c i e s t h a t d o e x a m i n e
t h e s e a n d o t h e r a s p e c t s ( e .g . , C N R S R e s e a r c h l a b o r a to r i e s ). T h e t a s k s o f t h e C N Ea r e n o t o n l y c o n c e r n e d w i t h q u a l i ty a s s e s s m e n t , b u t a l s o w i t h j u d g i n g , q u i te
g e n e r a l l y , th e r e s u l ts o f th e c o n t r a c ts e s t a b l i s h e d b e t w e e n h i g h e r e d u c a t i o n
ins t it u t i ons and t he M in i s t ry o f Educ a t i on . M an y f ac tua l i nd i ca to r s a r e , t he re fore , a t
t h e b a s is o f t h e C N E e v a l u a t i o n s , in c l u d i n g i n f o r m a t i o n a s d i v e r s e a s r e s e a r c h a n d
f i n a n c e. E v a l u a t i o n r e s u l ts a r e n o t u s e d d i r e c t ly f o r m a k i n g r e a l lo c a t i o n s o f f u n d s,
t h o u g h t h r o u g h t h e c o n t r a c t n e g o t i a t io n s a n d t h e a n n u a l b u d g e t n e g o t i a ti o n s , a f i r m
l in k w i t h d e c i s i o n - m a k i n g i s e s t a b l is h e d .
T h e C N E m a k e s i n s t it u t io n - w i d e e v a l u a t i o n s o f e d u c a t io n , r e s e a r c h a n d
m a n a g e m e n t , t h e a r g u m e n t b e i n g t h a t r e s e a r c h a n d t e a c h i n g a r e i n t e r d e p e n d e n t
p r i m a r y a c t i v i ti e s o f h i g h e r e d u c a t i o n i n s t it u ti o n s . A l s o , o t h e r a s p e c t s o f t h e h i g h e r
e d u c a t i o n i n s t i t u t i o n a s a n e n v i r o n m e n t f o r t e a c h i n g a n d r e s e a r c h a r e e x a m i n e d .
Eva lua t i ons a r e under t aken a f t e r an i nv i t a t i on by t he h igher educa t i on i ns t i t u t i on ; i t
i s a V o lu n t ar y p r o c e d u r e , t h o u g h t h e C N E h a s t h e r i g h t t o u n d e r t a k e t h e e v a l u a t i o n s
i t w a n t s . T h e C N E ' t o u r s ' a l l i n s t i t u t i o n s e v e r y e i g h t y e a r s a p p r o x i m a t e l y . E a c h
a u d i t re s u l ts i n a r e p o r t o n t h e in s t it u ti o n , m a k i n g r e c o m m e n d a t i o n s t o t h e p e r s o n s
r e s p o n s i b l e f o r i n s t i t u t i o n a l m a n a g e m e n t . T h e s e r e p o r t s a r e p u b l i c . T h e y a r e s e n t ,
a m o n g o t h e r s , t o t h e m i n i s t e r s r e s p o n s i b l e f o r t h e h i g h e r e d u c a t i o n i n s t i t u t i o n s
v i s it e d , s o a s to a s s u re t h e r e p o r t s ' r o l e s i n th e n e g o t i a t i o n s m e n t i o n e d a b o v e . T h e
w h o l e p r o c e d u r e , f r o m i n v i t a t i o n t o r e p o r t , t a k e s a b o u t o n e y e a r ( s e e a l s o N e a v e1991).
T h e s e c o n d p a r t o f th e C N E p r o c e d u r e ( th e d i s c i p li n a r y r e v i e w s ) c o n s i s t s, f i rs t ,
o f s e l f - e v a l u a t i o n r e p o r t s p r o v i d e d b y t h e i n s ti tu t io n t o b e v i s i te d . T h e s e r e p o r t s a r e
conf iden t i a l ( and i nc lude names o f i nd iv idua l s ) . Second , t he CNE, t he i ns t i t u t i on
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i n v o l v e d a n d g o v e rn m e n t o f f i c e s c o l l e c t st a ti st ic a l d at a . W i t h t h o s e t w o s o u rc e s a n d
i t s o w n v i s i t t o t h e l o c a t i o n , a n e x t e rn a l p e e r c o m m i t t e e m a k e s q u a l i t a t i v e
j u d g e m e n t s , r e s u l t i n g i n a p u b l i c r e p o r t . T h e c o m m i t t e e s w o rk ' h o r i z o n t a l l y , '
r e v i e w i n g a l l c o u r s e s i n F ra n c e i n a b ro a d d i s c i p li n a ry a r ea .
E v e ry y e a r , t h e C N E p re s e n t s a s u m m a ry r e p o r t t o t h e P re s i d e n t o f t h e F re n c h
R e p u b l i c . I n t h e r e p o r t s t h e C N E g i v e s a n o v e rv i e w o f it s i n st i tu t i o n -w i d e
e v a l u a t io n s . H o w e v e r , n o e x p l i c i t r a n k i n g s a r e m a d e o f t h e i n s ti tu t i o n s a u d i te d . T h e
c h a ra c t e r o f t h e r e p o r t s i s s o m e t i m e s ju d g e d t o b e d e s c r i p t iv e r a t h e r t h a n a n a l y t i c a l
(Guin 1990) .
The Ne ther lands
F o l l o w i n g t h e p u b l i c a t i o n o f t h e p o l i c y p a p e r e n t i t l e d Hig her Education: Auto nom y
and Quali ty (1 9 8 5 ) , t h e r e l a t i o n s h i p s b e t w e e n t h e M i n i s t ry o f E d u c a t i o n a n d
S c i e n c e a n d t h e h i g h e r e d u c a t i o n i n s ti tu t io n s i n t h e N e t h e r l a n d s w e re r e s t ru c t u r e d .
In e x c h a n g e fo r a g r e a t e r d e g re e o f f in a n c i a l a n d m a n a g e r i a l a u t o n o m y , t h e h i g h e r
e d u c a t i o n i n s t i tu t i o n s w o u l d p ro v e t o s o c i e t y th a t t h e y d e l i v e r e d q u a l it y e d u c a t i o n .
O r i g i n a l l y , t h e g o v e rn m e n t i n t e n d e d t h i s e v a l u a t i o n t o b e e x e c u t e d b y t h e , p a r t l y
n e w l y -e s t a b l i s h e d , I n s p e c t o r a t e fo r H i g h e r E d u c a t i o n ( IH O ) . I n s u b s e q u e n t
d i scuss ions the umbre l la o rgan isa t ions o f the h igher educa t ion ins t i tu t ions , the
A s s o c i a t i o n o f C o o p e ra t i n g U n i v e r s i t i e s i n t h e N e t h e r l a n d s (V S N U ) fo r t h eu n i v e r s i ti e s a n d t h e H B O C o u n c i l f o r n o n -u n i v e r s i t y h i g h e r e d u c a t i o n i n s ti t u ti o n s ,
t o o k t h a t r e s p o n s i b i l i t y o n t h e m s e l v e s . T h e IH O w a s b y -p a s s e d t h ro u g h t h a t
c o m p ro m i s e a n d w a s l a rg e l y l e f t w i t h t h e t a s k o f ' m e t a - e v a l u a t i o n ' : e v a l u a t i o n o f
t h e e v a l u a t i o n , a n d e v a l u a t i o n o f t h e f o l l o w u p o n a s s e s sm e n t r e s u lt s b y t h e h i g h e r
e d u c a t i o n i n s ti tu t io n s . A p i l o t p ro j e c t w a s h e l d b y t h e V S N U i n 1 98 8. A s a
c o n s e q u e n c e o f t h e e v a l u a t io n o f t h e p i lo t p ro j e c t s o m e a d j u s tm e n t s w e re m a d e a n d
t h e q u a l i t y a s s e s s m e n t p ro c e d u re b e c a m e o p e ra t i o n a l i n 1 9 8 9 . I n 1 9 9 0 t h e H B O
C o u n c i l s t a r t e d a p ro c e d u re i n t h e n o n -u n i v e r s i t y s e c t o r t h a t , a l t h o u g h n o t
c o m p l e t e l y s im i l a r to t h e V S N U a p p ro a c h , i s b a s e d o n t h e s a m e b a s i c p r i n c i p le s .
F o r re a s o n s o f b r e v i t y , w e s h a ll c o n c e n t r a t e h e r e o n t h e V S N U s y s te m . T h e fo c a l
p o i n t o f t h e V S N U q u a l i t y a s s e s s m e n t p ro c e d u re i s t h e v i s i t i n g c o m m i t t e e t h a t
r e v i e w s a l l s t u d y p ro g ra m m e s i n a g i v e n a r e a o f k n o w l e d g e i n t h e c o u n t ry ; th e
appro ach i s by d i sc ip l ina ry f i e lds , ra the r than ins t itu t iona l . In a f ix ed s ix yea r cyc le ,
i n p r i n c ip l e a ll s t u d y p ro g ra m m e s a r e c o v e re d b y t h e p ro c e d u re .
In p r e p a ra t i o n fo r t h e v i s it i n g c o m m i t te e , e a c h p a r t ic i p a ti n g s t u d y p ro g ra m m e i s
requ i red to w r i t e a s e l f -eva lua t ion . As the a ims of the se l f -eva lua t ion a re no t on ly to
prepare the facu l ty fo r the v i s i t ing commit tee , bu t a l so to s t imula te in te rna l qua l i ty
m a n a g e m e n t (V ro e i j e n s t ij n a n d A c h e rm a n 1 9 9 0 , p . 8 8 ) , th e c o n t e n t o f t h e s e l f -
e v a l u a t i o n i s n o t f i x e d c o m p l e t e l y : t h e f a c u l t i e s a n d d e p a r t m e n t s t o b e e v a l u a t e dc a n s t r es s p o i n ts w h i c h a r e i m p o r t a n t to t h e m . H o w e v e r , f o r r e a so n s o f
c o m p a ra b i l i t y , a f i x e d fo rm a t i s g i v e n b y t h e V S N U c h e c k l i s t (V S N U 1 9 9 0 ) . T h e
se l f - s tud ies o f a l l pa r t i c ipa t ing s tudy programmes a re co l lec ted by the v i s i t ing
c o m m i t t e e b e fo re i t st ar ts o n i ts ' t o u r ' o f t h e c o u n t ry .
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36 2
T h e v i s it i n g c o m m i t te e s c o n s i s t o f a b o u t s e v e n m e m b e r s , i n c l u d i n g a t l e a s t o n e
fo re i g n e x p e r t i n t h e f i e l d . T h e m e m b e r s o f t h e c o m m i t t e e a r e p ro p o s e d b y t h e
c o l l e c t i v e d e a n s o f t h e p a r t i c ip a t i n g f a c u l ti e s a n d n o m i n a t e d b y t h e b o a rd s o f t h e
V S N U . T h e c o m m i t t e e v i s i t s e a c h s t u d y p ro g ra m m e fo r , n o rm a l l y , t w o o r t w o a n d
a h a l f d a y s . D u r i n g t h i s p e r i o d t h e c o m m i t t e e s p e a k s w i t h r e p re s e n t a t i v e s o f a l l
in te res t g roups in the facu l ty , inc lud ing s tudents . To enab le non-se lec ted vo ices to
b e h e a rd , a n ' o p e n h o u r ' i s p a r t o f t h e p ro c e d u re . S u b j e c t s f o r t h e t al k s a r e t a k e n
f ro m t h e s e l f - e v a l u a t i o n , f r o m t h e c o m m i t t e e ' s p r i o r v i s i t s a n d o t h e r ( u s u a l l y
c o n s i d e ra b l e ) k n o w l e d g e o f t h e f i e l d a n d t h e f a c u l t y , a n d w h a t e v e r e l s e c o m e s u p
dur ing the v i s i t . A t the end o f the v i s i t, the cha i r g ives an ora l , t empo ra ry
j u d g e m e n t a b o u t t h e q u a l i ty o f th e s t u d y p ro g ra m m e . B a s e d o n t h e w r i tt e n v e r s io n
o f t h is ju d g e m e n t a n d t h e ( f a c tu a l ) c o m m e n t s o f th e s t u d y p ro g ra m m e s , t h e v i s i t in g
commit tee then wr i t e s i t s f ina l repor t . The repor t usua l ly con ta ins a genera l pa r t ,s t at in g p ro b l e m s , o u t l o o k s , e x p e c t a ti o n s a n d r e c o m m e n d a t i o n s p e r t a i n in g t o a l l o f
t h e f i e ld , a n d c h a p t e r s a b o u t t h e i n d i v id u a l s t u d y p ro g ra m m e s .
A s a ru l e , t h e r e c o m m e n d a t i o n s i n t h e v i s it i n g c o m m i t t e e re p o r t l e a d t o m e a s u re s
fo r i m p ro v e m e n t o f t h e s t u d y p ro g ra m m e s , t o g e t h e r w i t h m e a s u re s t a k e n b a s e d o n
the se l f -eva lua t ions in an t ic ipa t ion of the v i s i t ing commit tee ( IHO 1992 , F reder iks
et al. 1993).
A s a r e su l t o f th e a g re e m e n t o f 1 9 8 6 , th e M i n i s t ry o f E d u c a t i o n a n d S c i e n c e h a s
n o t t a k e n a n y a c t i o n o n t h e b a s i s o f t h e v i s i t i n g c o m m i t t e e s ' j u d g e m e n t s . I t w a s
t h o u g h t t h a t t h e i n t ro d u c t i o n o f t h e s y s t e m s h o u l d n o t b e h a m p e re d b y d i r e c tc o n s e q u e n c e s fo r d e c i s i o n -m a k i n g a n d fu n d i n g . D i r e c t l i n k s t o fu n d i n g a n d o t h e r
a s p e c t s o f g o v e rn m e n t d e c i s i o n -m a k i n g w o u l d l e a d o n l y t o o e a s i l y t o s t r a t e g i c
b e h a v i o u r o n t h e p a r t o f t h e h i g h e r e d u c a t i o n i n s ti tu t io n s , w h i c h w o u l d u n d e rm i n e
t h e q u a l i t y a s s es s m e n t s y s t e m c o m p l e t e ly .
The United Kingdom
I n t h e U n i te d K i n g d o m , t w o m o d e l s o f q u a li ty m a n a g e m e n t h a v e b e e n d e v e l o p e d
s i n ce t h e e n l a rg e m e n t o f g o v e rn m e n t i n f lu e n c e o v e r h i g h e r e d u c a t i o n in t h e 1 96 0s .
T h e f i r s t m o d e l a p p l i e s t o t h e s e c t o r o f n o n -u n i v e r s i t y h i g h e r e d u c a t i o n , t h e
p o l y t e c h n i c s a n d c o l l e g e s . M u c h l a t e r , q u a l i t y a s s e s s m e n t w a s e x t e n d e d t o
u n i v e r s i t y h i g h e r e d u c a t i o n t o o . W e s h a l l c h a ra c t e r i s e t h e s e m o d e l s i n t h e i r
c h ro n o l o g i c a l o rd e r . A f t e r d o i n g s o , w e w i l l d i s c u s s t h e n e w a r r a n g e m e n t s w i t h
respec t to qua l i ty a s ses smen t tha t a re a re su l t o f the 1991 W hi te Pap er Higher
Education: A New Framework, fo rm a l i s e d i n t h e Further and Higher Education
Act of 1992 .
S i n c e t h e f ir s t h a l f o f t h e 1 9 6 0 s n o n -u n i v e r s i t y h i g h e r e d u c a t i o n i n t h e U K w a s
u n d e r t h e a e g is o f th e C o u n c i l o f N a t i o n a l A c a d e m i c A w a rd s (B re n n a n 1 9 9 0 ). L i k ei n o t h e r c o u n t r i e s , q u a li t y in t h i s h i g h e r e d u c a t i o n s e c t o r w a s a l s o c o n t ro l l e d b y H e r
M a j e s t y ' s I n s p e c t o r a t e (H M I) , w h i c h c o n t i n u e d t o e x i s t , w i t h i t s o w n
re s p o n s i b i l i t i e s a n d m e t h o d s , a l o n g s i d e t h e n e w C N A A . T h e m a i n c h a ra c t e r i s i n g
e l e m e n t o f H M I p ro c e d u re s w a s c l a s s ro o m o b s e rv a ti o n .
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363
T h e C N A A , a g o v e r n m e n t - i n i t i a t e d b o d y , w a s i n d e p e n d e n t : i t o b t a i n e d i t s o w n
r o y a l c h a r t e r i n 1 9 6 4 . I t w a s a d e g r e e - a w a r d i n g b o d y , g i v i n g o u t d e g r e e s o f a
p r o f e s s e d l y e q u a l l e v e l t o th o s e o f u n i v e rs i ti e s ( b a c h e l o r ' s d e g r e e ) . T h e C N A A
v a l i d a t e d p r o p o s e d c o u r s e s i n c o l l e g e s a n d p o l y t e c h n i c s e x a n t e a n d r e v i e w e d t h e m
q u i n q u e n n i a l ly . F o r a l o n g t i m e t h e c o m m i t t e e s c o n s i s te d o f p e e r s , i. e. , a c a d e m i c s
w o r k i n g i n t h e s a m e a r e a o f k n o w l e d g e b u t i n o t h e r h ig h e r e d u c a t i o n i n s ti tu t io n s
( c o l le g e s , p o l y t e c h n i c s a n d u n i v e r s it i e s) , p l u s , i f a p p l i c a b le , r e p r e s e n t a t i v e s o f t h e
r e l e v a n t p r o f e s s i o n o r i n d u s t r y . T h e s e c o m m i t t e e s b a s e d t h e i r v i s i t o n d e t a i l e d
w r i t te n i n f o r m a t i o n r e g a r d i n g t h e s t r u c tu r e a n d c o n t e n t o f t h e c o u r s e , w a y s a n d
m e t h o d s o f t e a c h i n g a n d s t u d e n t a s s e s s m e n t , a n d a v a i l a b l e r e s o u r c e s ( r e s e a r c h a n d
t e ac h i n g q u a l i fi c at io n s o f t he s t a ff m e m b e r s w h o w e r e e x p e c t e d t o b e c o m e
i n v o l v e d , p h y s i c a l e q u i p m e n t , e t c . ) . I n t h e f r e q u e n t c a s e s o f d i s a p p r o v a l b y t h e
c o m m i t t e e a n e w r o u n d , b a s e d o n a n a m e n d e d p r o p o s a l , w o u l d s t ar t.
T h e p e e r r e v i e w o f c o u rs e s w a s c o m p l e m e n t e d b y a , u s u a l ly q u i n q u e n ni a l,
r e v i e w o f t h e i n s t i t u t io n ' s o w n o p e r a t i o n a l ( i .e ., n o t j u s t e x i s t i n g o n p a p e r )
m e c h a n i s m s t o a s s u r e th e l e v e l o f it s c o u rs e s . L a t e r, s i n c e 1 9 8 8 , t h e C N A A
accred i ted a n u m b e r o f p o l y t e c h n i c s t o v a li d a t e th e i r o w n c o u r s e s ( u n d e r g r a d u a t e
a n d p o s t g r a d u a t e d e g r e e l e v e l ) t h r o u g h t h i s p r o c e d u r e o f m o n i t o r i n g t h e
i n s ti tu t io n a l q u a l i t y m a n a g e m e n t p r o c e d u r e s .
B a s e d o n t h i s t r a d i t i o n o f g o v e r n m e n t - i n d e p e n d e n t q u a l i t y a s s e s s m e n t , t h e
C N A A a n d t h e f u n d i n g o r g a n i s a t i o n o f t h e p u b l i c s e c t o r h i g h e r e d u c a t i o n
ins t i tut ions , the P o l y t e c h n i c s a n d C o l l e g e s F u n d i n g C o u n c i l (PCFC) , t r i ed t ol i b e r a l i s e t h e e v a l u a t i o n c u l t u r e d e v e l o p i n g i n t h e 1 9 8 0 s , w h i c h w a s b e c o m i n g
m o r e a n d m o r e g o v e r n m e n t - c e n t r e d , b y t a k in g a c c o u n t o f th e i n s t i tu t io n ' s g o a l s a n d
a i m s .
W h e n , i n 1 9 9 2 , t h e b i n a r y s y s t e m i n t h e U K w a s a b o l i s h e d , t h e C N A A c e a s e d t o
e x i st . I ts a c t iv i t ie s e n d e d w i t h t h e a c a d e m i c y e a r 1 9 9 1 - 1 9 9 2 .
T h e t u r n i n g p o i n t s i n q u a l i t y m a n a g e m e n t f o r B r i t i s h u n i v e r s i t i e s w e r e t w o
r e p o r t s i n t h e m i d - 1 9 8 0 s : t h e R e y n o l d s r e p o r t t o t h e Univers i t i e s ' Grants
C o m m i t t e e ( U G C ) a n d t h e J a r r a t t r e p o r t t o t h e C o m mi t t e e o f V i ce C h a n c e l l o rs a n d
P r i n c i p a l s ( C V C P ) . I n t h e R e y n o l d s r e p o r t c r i t e r i a w e r e l a i d d o w n f o r i n t e r n a l
q u a l i t y m a n a g e m e n t s y s t e m s w h i c h a l l u n i v e r s i t i e s w o u l d b e r e q u i r e d t o i n t r o d u c e
i n t h e f o l l o w i n g y e a r s . T h e J a r r a t t r e p o r t w a s t h e f o c a l p o i n t f o r t h e d i s c u s s i o n o f
p e r f o r m a n c e i n d i c a t o r s a n d t h e i r r o l e in q u a l i ty - b a s e d f u n d i n g .
T h e A c a d e m i c A u d i t U n i t (A A U ) w a s in t ro d u c e d i n 1 9 9 0 - 1 9 9 1 b y t he u m b r e l l a
organ i sa t i on o f t he un ive r s i t i e s , t he C o m mi t t e e o f V ic e C h a n c e l l o r s a n d P r i n c i p a l s
( C V C P ) , r e p u t e d l y t o c o u n t e r t h e t h r e a t o f H e r M a j e s t y ' s I n s p e c t o r a t e ( H M I ) t o
e x t e n d i t s c o n t r o l t o t h e u n i v e r s i t i e s ( Y o u n g 1 9 9 0 ) . B e f o r e , e a c h u n i v e r s i t y
i n d i v i d u a l l y t o o k c a r e o f i t s o w n q u a l i t y c o n t r o l . T h e e x t e r n a l , c o m p a r a t i v e a s p e c t
i n th i s s y s t e m c o n s i s t e d o f th e e x t e r n a l e x a m i n e r s . V i e w s o n t h e e f f e c t i v e n e s s o f
t h e s e e x t e r n a l e x a m i n e r s i n t e r m s o f q u a l i t y a s s e s s m e n t d i f f e r . H o w e v e r , t h i sa p p r o a c h w a s ju d g e d t o b e a n i n s u ff ic i e n t m e c h a n i s m f o r p ro v i d i n g a c c o u n t a b i li ty
t o w a r d s s o c i e t y i n g e n e r a l a n d t o th e g o v e r n m e n t i n p a r ti c u la r . T h e A A U had t o f il l
t h i s gap .
T h e A A U a c t i v i t i e s w e r e a f o r m o f ' m e t a - e v a l u a t i o n ' : i t d i d n o t e v a l u a t e t h e
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q u a l i ty o f h i g h e r e d u c a t io n , b u t t h e q u a l i ty o f th e i n s t i t u t i o n ' s e v a l u a t i o n m e t h o d s .
T h e c o r e o f t h e A A U q u a l i t y a s s e s s m e n t p r o c e d u r e c o n s i s t e d o n a n o n - s i t e v i s i t b y
an audit team. T h e t e a m s c o n s i s t e d o f a c a d e m i c s , a s a r u l e t w o o r t h r e e p e r s o n s .
T h e c h o i c e o f i n s t i t u t i o n s t o v i s i t r e s u l t e d f r o m ' n e g o t i a t e d i n v i t a t i o n . ' I n
p r e p a r a t i o n f o r i t s ( u s u a l l y t h r e e d a y ) v i s i t t h e a u d i t t e a m r e c e i v e d w r i t t e n
i n f o r m a t i o n f r o m t h e u n i v e r s i ty o n t h e q u a l it y a s s e s s m e n t s y s t e m s it h a d , p l u s - i f
r e q u e s t e d - a s m a l l n u m b e r o f e x a m p l e s o f th e a p p l i c a t i o n o f t h e s e s y s t e m s . T h e
A A U h a d a c h e c k l i s t b a s e d o n g o o d p r a c t i c e a g a i n s t w h i c h t o a s s e s s a n in s t i tu t i o n ' s
q u a l i t y a s s e s s m e n t m e c h a n i s m s . F r o m t h i s d o c u m e n t a t i o n t o g e t h e r w i t h t h e
i n f o r m a t i o n g a t h e r e d d u r i n g t h e o n - s i t e v i s i t t h e a u d i t t e a m d r a f t e d a s h o r t r e p o r t
f o r t h e u n i v e r s i t y a s a w h o l e a n d , i f n e c e s s a r y , c o n f i d e n t i a l r e p o r t s o n ' s e n s i t i v e
i s s u e s ' t o t h e V i c e - C h a n c e l l o r . F o l l o w i n g t h e i n s t i t u ti o n ' s c o m m e n t s o n t h i s d r a ft a
f i n a l v e r si o n w a s w r i tt e n o f t h e o f f i c i a l r e p o r t. T h e A A U d i d n o t i t s e l f p u b l i s h t h e
r e p o r t , b u t t h e u n i v e r s i t y w a s e n c o u r a g e d t o d o s o .
T h e c h a n g e s f o l l o w i n g t h e 1 9 9 1 W h i t e P a p e r h a v e l e d t o p r o f o u n d c h a n g e s i n
t h e o r g a n i s a t i o n a l s t r u c t u r e o f t h e i n t e r m e d i a t e l e v e l i n t h e U K h i g h e r e d u c a t i o n
s y s t e m ( b e t w e e n t h e i n d i v i d u a l i n s ti tu t io n s a n d t h e d e p a r t m e n t o f e d u c a t io n ) ; n e w
p r o c e d u r e s f o r t h e s e o r g a n i s a ti o n s h a v e b e e n d r a w n u p .
Organ i sa t i ona l l y , t he changes i nc lude p r imar i l y t he fo l l owing . F i r s t , t he
c o l l e c t iv e o f h e a d s o f h i g h e r e d u c a t i o n i n s ti tu t io n s e s t a b l i sh e d t h e Higher
Education Quality Council ( H E Q C ) w i t h a Division of Quality Audit, i n t o w h i c h
t h e A A U h a s b e e n s u b s u m e d . T h e w o r k o f t h e C N A A i n s u p p o r ti n g a n d e n h a n c in gq u a l i ty w i ll a l s o b e d e v e l o p e d f o r a ll o f h i g h e r e d u c a t i o n b y t h i s C o u n c i l. S e c o n d ,
t h e f o r m e r f u n d i n g c o u n c i l s ( U F C a n d P C F C ) h a v e b e e n t r a n s f o r m e d i n t o t h r e e
n e w f u n d i n g c o u n c i l s , o n e f o r E n g l a n d , o n e f o r W a l e s a n d o n e f o r S c o t la n d . T h e s e
h a v e s e t u p Quality Assessment Committees t o a s s i s t t h e m i n m a k i n g f u n d i n g
dec i s ions b ased on t he qua l i t y o f t each in g i n t he sepa ra t e i ns t i tu t i ons .
T h e W h i t e P a p e r a l s o h a s l e d t o th e i n t r o d u c t io n o f v e r y s p e c i f i c m e a n i n g s f o r
t h e f o l l o w i n g t e r m s i n t h e B r i t is h c o n t e x t :
9 q u a l i ty c o n tr o l : ' m e c h a n i s m s w i t h i n in s t it u ti o n s f o r m a i n t a i n i n g a n d e n h a n c i n g
t h e q u a l i ty o f t h e ir p r o v i s i o n s ' ;
9 qua l i t y aud i t : ' ex t e rn a l s c ru t iny a im ed a t p rov id ing guaran t ees t ha t i ns t it u t ions
h a v e s u i t a b l e q u a l i t y c o n t r o l m e c h a n i s m s i n p l a c e ' ( t h is i s th e r e s p o n s i b i l it y o f t h e
H E Q C ) ;
9 q u a l i t y a s s e ss m e n t : ' e x t e r n a l r e v i e w o f , a n d j u d g e m e n t s a b o u t , th e q u a l it y o f
t each ing and l ea rn ing i n i ns t i t u t i ons ' ( t h is i s t he r e spon s ib i l i t y o f t he fund ing
counc i l s ) .
I n t h i s w a y h i g h e r e d u c a t i o n i n s t i t u t i o n s w i l l b e a u d i t e d b y o n e a g e n c y , a n d
a s s e s s e d b y a n o t h e r . T h e q u a l i ty a u d i t s b y th e H E Q C r e s e m b l e th e b a s i c p r in c i p l e so f t h e A A U : a n i n v e s t ig a t i o n o f t h e q u a l it y c o n t r o l m e c h a n i s m s a n d p o l i c i e s
prese n t i n the i nd iv idua l i ns t i t u ti ons b y a sma l l t eam o f ex t e rna l exper t s , i nc lud ing
in loco audi t t ra i l s t o exa m ine t he p rac t i ce o f qua l i t y con t ro l .
A l t h o u g h o n a m o r e d e t a i l e d l e v e l d i f f e r e n c e s c a n b e f o u n d b e t w e e n t h e
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a p p r o a c h e s o f t h e E n g l i s h a n d t h e S c o t t i sh f u n d i n g c o u n c i l s ( t h e S c o t ti s h f u n d i n g
c o u n c i l t a k i n g , e . g . , a s l i g h t l y m o r e e x p l i c i t l y d e v e l o p m e n t a l a n d q u a l i t y
i m p r o v e m e n t o r i e n t e d s t a n c e t h a n t h e E n g l i s h o n e ) , o n a g e n e r a l l e v e l t h e y a r e
f a i r l y s i m i l a r . B a s i c a l l y , t h e f a c u l t i e s a r e a s k e d t o p r o v i d e i n f o r m a t i o n a b o u t
t h e m s e l v e s , i n w r i t in g , o n a l i m i t e d n u m b e r o f i n d ic a t o r s, a n d o n t h e i r p r o g r a m m e ,
r e s u l ti n g i n a c l a i m f o r ' e x c e l l e n t ' o r ' s a t i s f a c t o r y ' q u a li t y o f t e a c h in g . T h e f u n d i n g
c o u n c i l s w i l l c o m p o s e s m a l l v i s it i n g c o m m i t t e e s f r o m a p o o l o f e x p e r t s ( p r i m a r i l y
d i sc ip l i na ry pee r s ) , t o a s ses s and v i s i t a l l i ns t i t u t i ons c l a iming exce l l ence , a l l t hose
w h e r e - b a s e d o n i n f o r m a t i o n a v a i l a b l e t o t h e f u n d i n g c o u n c i l - w e a k n e s s e s m a y
b e e n c o u n t e r e d , a n d t o e x a m i n e a s a m p l e o f o t h e r i n s t i t u t i o n s . E a c h v i s i t i n g
commi t t ee i s s e l ec t ed t o v i s i t one i ns t i t u t i on ; no e f fo r t i s made t o se t up a na t i on-
w i d e s y s t e m o f c o m p a r i so n s . T h e c o m m i t t e e s ' j u d g e m e n t s a r e s u m m a r i s e d as
' e x c e l l e n t , ' ' s a t i s f a c t o r y ' o r ' u n s a t i s f a c t o r y . '1 I n w h a t w a y , t h r o u g h w h i c h
' f o r m u l a ' ( i f a n y ) , th e ju d g e m e n t s w i l l in f o r m t h e f u n d i n g d e c i s i o n s i s n o t y e t
c o m p l e t e l y c l ea r .
T o w h a t e x t e n t th e p r a c t i c e s o f q u a l i t y a u d i t a n d q u a l it y a s s e s s m e n t a m o u n t t o
the same th ing i n p rac t i ce , cannot be t o ld ye t . Some f ea r s ex i s t t ha t , e . g . , an aud i t
t r a i l i n to t he p rac t i ce o f qua l i t y co n t ro l i n a f acu l t y wi l l c l ose ly r e sem ble t he qua l i t y
a s s e s s m e n t o f th a t s a m e f a c u lt y .
A g e n e r a l m o d e l o f h i g h e r e d u c a t i o n q u a l i ty a s s e s s m e n t
O v e r l o o k i n g t h e e x p e r i e n c e s w i t h q u a l it y a s s e s s m e n t s y s t e m s b o t h i n th e U S A a n d
C a n a d a , a n d i n t h e W e s t e r n E u r o p e a n c o u n t r i e s j u s t m e n t i o n e d , i t c a n b e a r g u e d
t h a t i n a l l t h e s e s y s t e m s a n u m b e r o f s i m i l a r e l e m e n t s a r e f o u n d t h a t c a n b e
c o m b i n e d i n t o t h e c o r e o f a g e n e r a l h i g h e r e d u c a t i o n q u a l i t y a s s e s s m e n t s y s t e m .
T h i s g e n e r a l m o d e l t h e r e b y b e c o m e s a n o v e r a ll d e s c ri p ti v e s u m m a r y o f t he s i m i l a r
e l e m e n t s o f s e v e r a l i d i o s y n c r a t ic s y s t e m s . T h e v a r i o u s s y s t e m s d e s c r ib e d b e f o r e ( a s
w e l l a s a l l o t h e r s y s t e m s , n o t m e n t i o n e d h e r e ) o f c o u r s e a l l h a v e t h e i r o w n
c h a r a c t e r i s t i c s t h a t a p p l y t o t h e i r o w n s p e c i f i c c i r c u m s t a n c e s . B u t t h e s e s y s t e m s
a l s o s h o w s o m e s i m i l a r e l e m e n t s t h a t c a n b e c o m b i n e d i n to a g e n e r a l m o d e l .
W h a t t h e n c o u l d b e c o m m o n e l e m e n t s o f a g e n e r a l m o d e l o f h i g h e r e d u c a t i o n
q u a l i t y a s s e s s m e n t ?
A f i rs t e l e m e n t c o n c e r n s t h e m a n a g i n g a g e n t ( o r ag e n t s ) o f th e q u a l i t y
a s s e s s m e n t s y s t e m . S u c h a n a g e n t s h o u l d b e i n d e p e n d e n t a n d h a v e t h e
r e s p o n s i b i l it y t o m a n a g e t h e s y s t e m a t a m e t a - l e v e l. T h e m e t a - l e v e l a g e n t s h o u ld b e
t h e c o o r d i n a t o r o f t h e q u a l i t y a s s e s s m e n t s y s t e m , a c t i n g i n d e p e n d e n t l y f r o m
g o v e r n m e n t p o l i t i c s a n d p o l i c i e s a n d n o t h a v i n g t h e t a s k t o i m p o s e u p o n t h e
i n s ti tu t io n s a n a p p r o a c h t h a t t h e g o v e r n m e n t d e e m s t o b e n e c e s s a r y . I n t h e W e s t e r nE u r o p e a n c o n t e x t , th e m e t a - l e v e l a g e n t s h o u l d p r e f e r a b l y h a v e s o m e l e g a l b a s i s . I n
t h e h i g h e r e d u c a t i o n s y s t e m o f th e U S A , t h e a c c r e d i ta t i o n a g e n c i e s h a v e t h e f o r m
o f v o l u n t a r y a s s o c i a ti o n s . B u t e v e n i n th e U S A t h e r e w a s s o m e l in k t o th e l e g a l
s t r u c t u r e t h r o u g h t h e r e c o g n i t i o n o f a c c r e d i t i n g a g e n c i e s b y t h e C o u n c i l o f
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P o s t s e c o n d a r y A c c r e d i t a t i o n ( C O P A ) . I t s c o o r d i n a t i n g t a s k s h o u l d i m p l y ( a f t e r
c o n s u l t a ti o n w i t h th e i n s t it u ti o n s ) t h e f o r m u l a t i o n o f p r o c e d u r e s a n d f o r m a t s t h a t
c a n b e u s e d b y t h e i n s t i t u t i o n s . I n t h e s e p r o c e d u r e s a n d f o r m a t s c o n s i s t e n t
s t a t i s t i c a l i n f o r m a t i o n c a n b e i n d i c a t e d a s h i g h l y r e l e v a n t . T h e e x p e r i e n c e s i n t h e
v a r i o u s c o u n t r i e s i n W e s t e r n E u r o p e s h o w t h a t e x a c t ly t h is m e t a - l e v e l ro l e i s o f
g r e a t i m p o r t a n c e t o o b t a in a c c e p t a n c e o f th e s y s te m . T h e A c a d e m i c A u d i t U n i t
( A A U ) i n th e U n i t e d K i n g d o m n e i th e r i n s p e ct e d c o u r s es n o r p r o g r a m m e s , n o r d i d
i t v a l i d a t e c o u r s e s . T h e A A U o n l y m o n i t o r e d a n d c o m m e n t e d o n t h e m e c h a n i s m s
b y w h i c h t h e i n s ti tu t io n s t h e m s e l v e s a s s u r e d t h e q u a l it y o f th e p r o g r a m m e s t h e y
o f f e r . S i m i l a r l y , i n t h e p r o c e d u r e s u s e d b y t h e C o u n c i l f o r N a t i o n a l A c a d e m i c
A w a r d s ( C N A A ) s i n c e 1 9 8 5 , t h e i n s t i t u t i o n s w e r e e n c o u r a g e d t o u n d e r t a k e t h e i r
o w n q u a l i t y r e v i e w p r o c e s s e s . W h i l e t h e C N A A k e p t i ts re s p o n s i b i l i ty f o r th e f i n a l
a p p r o v a l o f t h e c o u r s e s l e a d i n g t o i t s a w a r d s , t h e q u a l i t y a s s e s s m e n t m e c h a n i s m
f i r s t o f a l l had t o do wi th t he i ns t i t u t i on ' s capac i ty t o i den t i fy i t s s t r eng ths and
w e a k n e s s e s a n d t o i m p r o v e i t s q u a l i t y . I n t h e n e w B r i t i s h s y s t e m s , t w o m e t a - l e v e l
a g e n t s e x i s t , n a m e l y t h e H i g h e r E d u c a t i o n Q u a l i t y C o u n c i l , ' o w n e d ' b y t h e
c o l l e c t iv e u n i v e r s it i es , a n d t h e f u n d i n g c o u n c i ls , w h i c h a r e t ie d m o r e c l o s e l y t o t h e
g o v e r n m e n t a l s e r v i c e s . T h e A s s o c i a t i o n o f C o - o p e r a t i n g U n i v e r s i t i e s i n t h e
N e t h e r l a n d s ( V S N U ) f o l l o w s a s tr a t e g y s i m i l a r t o t h a t o f th e C N A A a n d t h e C V C P .
I n t h e q u a l i t y a s s e s s m e n t s y s t e m i n t h e N e t h e r l a n d s e m p h a s i s i s p u t o n t h e
i n s t i t u t i o n ' s s e l f - e v a l u a t i o n a n d t h e v i s i t b y p e e r s . T h e A s s o c i a t i o n i t s e l f o n l y
o p e r a t e s a s t h e c o o r d i n a t o r o f th e s y s t e m .A s e co n d c o m m o n e l e m e n t m a y b e d e d u c e d f r o m b o t h th e N o r t h - A m e r i c an a n d
t h e W e s t e r n - E u r o p e a n e x p e r i e n c e s . T h e s e e x p e r i e n c e s i n d i c a t e t h a t a n y q u a l i t y
a s s e s s m e n t s y s t e m m u s t b e b a s e d o n se l f - eva lua t ion (or : se l f -s tudy, se l f -
a s sessment ) . I t i s o f t en a rgued in t he h igher educa t ion l i t e r a tu re t ha t , i n o rde r fo r
a c a d e m i c s t o a c c e p t a n d i m p l e m e n t c h a n g es , t h e y m u s t tr u st a n d ' o w n ' t h e p ro c e s s
i n w h i c h p r o b l e m s a r e d e f i n e d a n d s o l u t io n s a r e d e s ig n e d . T h i s i s c e r ta i n l y a l so t h e
c a s e i n q u a l it y a s s e s s m e n t . O n l y i f t h e a c a d e m i c s a c c e p t q u a l i t y a s s e s s m e n t a s t h e ir
o w n a c t iv i t y , w i l l t h e s y s t e m b e s u c c e s s fu l . S e l f - e v a l u a t i o n i s a c r u c ia l m e c h a n i s m
f o r a c a d e m i c s t o a c c e p t a q u a l i ty a s s e s s m e n t s y s t e m . M o r e o v e r , i n a s e l f -e v a l u a t i o n
process (o r i n any se t o f ac t i v i t i e s i n a h igher educa t ion i ns t i t u t i on wi th a focus on
i n t e r n a l q u a l i t y a s s e s s m e n t ) c o n s u l t i n g p r o c e s s e s w i t h o u t s i d e a c t o r s ( e m p l o y e r s ,
a l u m n i ) i s o f g r e a t im p o r t a n c e .
A t h i r d c o m m o n e l e m e n t i n a g e n e r a l m o d e l o f q u a l i t y a s s e s s m e n t c e r t a i n l y
a p p e a r s t o b e t h e m e c h a n i s m o f p e e r r e v i e w a n d e s p e c i a l l y o n e o r m o r e s i te v i s i t s
b y e x t e r n a l e x p e r t s . I t i s c r u c i a l t h a t t h e s e e x t e r n a l e x p e r t s s h o u l d b e a c c e p t e d b y
the i ns t i t u t i on t o be v i s i t ed as unb iased spec i a l i s t s i n t he f i e ld . They can come f rom
m a n y c o n s t it u e n c i e s ( i n cl u d in g e m p l o y e r s ' o r g a n i sa t io n s , i n d u s t ry a n d p r o f e s s i o n a l
b o d i e s ) a n d , d e p e n d i n g o n t h e n a t u r e o f t h e v i s it ( r e v i e w o f c o n t e n t a n d l e v e l o f a
s p e c i f ic s t u d y p r o g r a m m e , o r m a n a g e m e n t a u d i t a t th e i n s t it u ti o n a l l e v e l) , t h e y w i l ln e e d t o h a v e s p e c i f i c b a c k g r o u n d s ( a c a d e m i c e x p e r t i s e , m a n a g e r i a l e x p e r i e n c e ,
e t c . ) . The ex t e rna l v i s i t o r s shou ld v i s i t t he i ns t i t u t i on (o r f acu l ty /depar tment ) fo r a
p e r i o d o f a f e w d a y s , d u r i n g w h i c h t h e y c a n d i s c u s s th e s e l f -e v a l u a t i o n r e p o r t a n d
the p l ans fo r fu tu re i nnova t ions wi th t he f acu l ty . The v i s i t o r s cou ld a l so t ake t he
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opp or tun i t y to i n t e rv i ew s t a f f , s t uden t s , adm in i s t r a to r s and ( i f poss ib l e ) a lumni .
T h i s e l e m e n t a p p e a r s to b e u s e d s u c c e s sf u ll y in b o t h N o r t h - A m e r i c a n a n d W e s t e rn -
E u r o p e a n q u a l i t y a s s e s s m e n t s y s t e m s . I n t h e U S A a n d C a n a d a a v i s i t b y p e e r s
a l w a y s h a s b e e n a c r u c i a l a s p e c t o f th e v a r i o u s a s s e s s m e n t s y s t e m s . I n t h e U K t h e
C N A A e m p h a s i s e d th e v i s it b y a c o m m i t t e e o f p e e rs . T h e A c a d e m i c A u d i t U n i t
saw the v i s i t a s an i n t ense an d conc en t r a t ed ac t i v i t y (Wi l l i am s 1991 , pp . 7 , 8 ). The
p r o c e d u r e s d e v e l o p e d s i n c e t h e c h a n g e s i n B r i t i s h h i g h e r e d u c a t i o n i n 1 9 9 2
c o n t i n u e t h is e m p h a s i s . A l t h o u g h f o r r e a s o n s o f e c o n o m y t h e fu n d i n g c o u n c i l s
a b s t a i n f r o m v i s it s t o a l l f a c u l ti e s , a l l t h o s e w h o s e q u a l i t y i s c l a im e d o r e x p e c t e d t o
d e v i a t e f r o m t h e a v e r a g e w i l l b e v is i te d , p l u s a s a m p l e o f th e ' s a t i s f a c t o r y ' o n e s . I n
F r a n c e t h e Comitd National d'Evaluation o r g a n i s e s a t l e a s t t w o v i s i t s t o e a c h
u n i v e r s i t y b e i n g r e v i e w e d . I n t h e N e t h e r l a n d s a t e a m o f e x te r n a l e x p e r t s v i si ts e a c h
p r o g r a m m e s i te o f a s p e c i f i c d i sc i p li n e .
A f o u r t h e l e m e n t o f a g e n e r a l m o d e l o f q u a l i t y a s s e s s m e n t c o n c e r n s t h e
reporting o f th e r e s u l ts o f a n d e x p e r i e n c e w i t h th e m e t h o d s u s e d . R e g a r d i n g t h is
e l e m e n t i t m a y f i r s t o f a l l b e p o i n t e d o u t t h a t s o m e f o r m o f r e p o r t i n g t h e
c o n c l u s i o n s o f t h e p e e r r e v i e w t e a m i s v e r y u s e f u l . H o w e v e r , l o o k i n g a t t h e
e x p e r i e n c e s , s u c h a r e p o r t s h o u l d n o t h a v e t h e f u n c t i o n o f j u d g i n g o r r a n k i n g t h e
i n s ti tu t io n s o r p r o g r a m m e s t h a t h a v e b e e n v i s it e d . I t r a t h e r s h o u l d h a v e a s i ts m a i n
o b j e c t i v e t o h e l p t h e i n s t i t u t i o n s a n d s t u d y p r o g r a m m e s t o i m p r o v e t h e i r l e v e l s o f
q u a l i t y . A c r u c i a l p h a s e i n t h e r e p o r t i n g p r o c e s s t h e r e f o r e c o n c e r n s p r o v i d i n g t h e
o p p o r t u n i t y t o t h e i n s t i t u t i o n s a n d u n i t s t h a t h a v e b e e n v i s i t e d t o c o m m e n t o n ad r a f t v e r s i o n o f t h e r e p o r t a n d t o f o r m u l a t e c o u n t e r - a r g u m e n t s , i f n e c e s s a r y . A l s o ,
i n t h e f i n a l v e r s io n o f t h e r e p o r t h i g h e r e d u c a t i o n i n s t it u ti o n s s h o u l d b e a b l e t o
i n d i c a t e p o s s i b l e d i s a g r e e m e n t s w i t h t h e p e e r r e v i e w t e a m . R e p o r t i n g t h e re s u l ts o f
t h e q u a l i ty a s s e s s m e n t p r o c e s s e s a l s o is a n i m p o r t a n t m e c h a n i s m i n th e p r o c e s s o f
p r o v i d i n g a c c o u n t a b i l i t y t o e x t e r n a l c o n s t i t u e n c i e s . H o w e v e r , t h e r e a p p e a r t o b e
v a r i o u s w a y s o f o f f e r i n g s u c h a r e p o r t a n d e a c h h a s i t s s p e c i f i c a d v a n t a g e s a n d
d i s a d v a n t a g e s . O n e w a y i s t o p u b l i sh t h e c o m p l e t e r e p o r t an d , b y s o d o i n g , o f f e r it
t o a l l t h o s e w h o m i g h t b e i n t e r e s t e d . T h e a d v a n t a g e o f s u c h a n a p p r o a c h i s t h a t
e a c h c o n s t i t u e n c y c a n i m m e d i a t e l y a n d c l e a r l y f i n d o u t w h a t t h e o u t c o m e s o f a n
a s s e s s m e n t h a v e b e e n a n d h o w t h e s e o u t c o m e s r e l a t e t o t h e i r n o r m s a n d c r i t e r i a . A
d i s a d v a n t a g e o f t h is a p p r o a c h i s th a t i t m a y s e v e r e l y l im i t th e c o m m i t m e n t o f th o s e
w h o a r e v i s i t e d t o e n g a g e i n o p e n d i s c u s s i o n s w i t h t h e p e e r r e v i e w t e a m , s i m p l y
b e c a u s e t h e y f e a r t h e e f f e c t s o f t h e i r fr a n k n e s s w h e n t h e r e su l t s o f th e r e v i e w a r e
p u b l i s h e d . A s e c o n d w a y t o r e p o r t o n t h e re s u l ts o f t h e p e e r r e v i e w i s t o o f f e r t h e
de t a i l ed i nd iv idua l r epor t s on ly t o t he i ns t i t u t i ons v i s i t ed and t o guaran t ee
conf iden t i a l i t y . To t he ex t e rna l cons t i t uenc i es ( and t o soc i e ty a t l a rge ) a genera l
s u m m a r y o f th e r e p o r t ca n b e p r e s en t e d , w h i c h m a y b e u s e d a s a m e c h a n i s m f o r
p r o v i d i n g a c c o u n t a b i l i ty . T h e a d v a n t a g e o f t h is a p p r o a c h i s t h a t t h e c o m m i t m e n t o f
t h o s e w h o a r e v i s i t e d w i l l b e h i g h . T h e d i s a d v a n t a g e i s t h a t s o m e e x t e r n a l
c o n s t i tu e n c i e s m i g h t n o t b e s a t i s f ie d w i t h o n l y a s u m m a r y o f t h e r e p o rt , o u t o f fe a r
t h a t in f o r m a t i o n i s b e i n g w i t h h e l d f r o m t h e m .
R e g a r d i n g t h i s e l e m e n t , t h e a p p r o a c h e s i n t h e v a r i o u s c o u n t r i e s d i f f e r . I n t h e
U S A a n d C a n a d a t h e r e p o r t s a r e u s u a l l y k e p t c o n f id e n t ia l . I n F r a n c e , t h e C N E
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publ i shes i t s r epor t s on t he i ns t i t u t i ons . The i ns t i t u t i ona l s e l f - eva lua t i ons a r e kep t
conf iden t i a l , whi l e t he r epor t by t he ex t e rna l exper t s i s pub l i c . I n t he Ne the r l ands ,
a l t h o u g h i n t h e p i l o t p h a s e t h e r e p o r t s o n t h e i n d i v i d u a l s t u d y p r o g r a m m e s o f th e
e x t e r n a l v i s i t o r s w e r e k e p t c o n f i d e n t i a l , s i n c e t h e s y s t e m h a s b e e n f u l l y
i m p l e m e n t e d t h e f in a l re p o r t s , i n c l u d in g t h e ' l o c a l r e p o r t s , ' h a v e b e e n m a d e p u b l ic .
T h e a r g u m e n t f o r d o i n g s o i s th e a c c o u n t a b i l it y o b j e c t iv e . I n th e p r o c e d u r e s o f t h e
B r i t i s h A c a d e m i c A u d i t U n i t t h e a u d i t r e p o r t w a s i n t e n d e d t o p r o v i d e a n a c c u r a t e
a c c o u n t o f a n i n s t i t u t i o n ' s q u a l i t y a s s u r a n c e m e c h a n i s m s . T h e r e p o r t t h e r e b y d r e w
a t t e n t i o n t o g o o d a n d b a d p r a c t i c e . T h e r e p o r t w a s f i r s t o f a l l w r i t t e n f o r t h e
i n s ti tu t io n a n d t h e A c a d e m i c A u d i t U n i t i t s e l f d i d n o t p u b l i s h t h e r e p o r t s . I t w a s f o r
the i ns t i t u t i on t o dec ide wha t pub l i c i t y t o g ive t o i t s r epor t s , a l t hough i t was
a s s u m e d t h a t t h e r e p o r t ' f i n d s i t s w a y i n t o t h e p u b l i c d o m a i n a c c o m p a n i e d b y a
c o m m e n t a r y p r e p a r e d b y t h e u n i v e r s i t y ' ( W i l li a m s 1 9 9 1, p . 1 0).A f in a l c o m m o n e l e m e n t o f a g e n e ra l m o d e l o f q u a l it y a s s e s s m e n t c o n c e rn s t h e
p o s s i b l e r e l a t i o n s h i p b e t w e e n t h e o u t c o m e s o f a q u a l i t y r e v i e w s y s t e m a n d t h e
( g o v e r n m e n t a l ) d e c is i o n s a b o u t th e f u n d i n g o f h ig h e r e d u c a t i o n a c t i v it ie s . B a s e d o n
t h e e x p e r i e n c e o f q u a l i t y a s s e s s m e n t i n e s p e c i a l l y W e s t e r n - E u r o p e s o f a r , w e c a n
argue t ha t a direct , r igid r e l a t i o n s h i p b e t w e e n q u a l i t y r e v i e w r e p o r t s a n d f u n d i n g
d e c i s io n s s h o u l d n o t b e e s t a b l is h e d . B y a d i re c t, r i g i d re l a t io n s h i p w e m e a n t h a t t h e
q u a l i t y j u d g e m e n t s a r e t h e o n l y i n p u t i n to t h e f u n d i n g p r o c e s s , w h i c h , m o r e o v e r , i s
a s i m p l e f u n ct io n o f t h e q u a li ty ju d g e m e n t : ' g o o d ' e d u c a t io n m e a n s x e x t r a m o n e y ,
a n d ' b a d ' e d u c a t i o n m e a n s x m o n e y l e ss . S u c h a n ' a u t o m a t i c ' d i re c t r e la t io n s h ipw i l l p r o b a b l y h a r m t h e o p e r a t i o n o f a q u a l it y a s s e s s m e n t s y s t e m . A l l t h e m o r e s o a s
f u n d i n g d e c i s i o n s p r e s e n t l y t e n d t o b e c u t b a c k s ( n e g a t i v e s a n c t i o n s ) r a t h e r t h a n
i n c e n t i v e s ( p o s i t i v e s a n c t i o n s ) . T h e d a n g e r o f t h i s i s t h a t i t m a y l e a d t o a
c o m p l i a n c e c u l t u r e , t h e o n l y a i m o f w h i c h w i l l b e t o a p p e a r t o m e e t t h e c r i t e r i a
f o r m u l a t e d , i r r e s p e c t i v e o f w h e t h e r t h o s e c r i t e r i a a r e a p p r o p r i a t e i n t h e c o n t e x t o f
spec i f i c i ns t i t u t i ons o r no t . I n such a r i g id r e l a t i onsh ip academics and i ns t i t u t i ons
w i l l d i st ru s t t h e e x t e r n a l r e v i e w t e a m s a n d t h e y w i ll p r o d u c e s e l f - e v a l u a ti o n s t u d ie s
in compl i ance wi th pe rce ived c r i t e r i a bu t w i th l i t t l e r ea l i n t e r es t . Re l a t i ng a sys t em
o f ri g i d a n d d i r e c t re w a r d s a n d s a n c t i o n s t o t h e d e l i c a te m e c h a n i s m s o f q u a li t y
a s s e s s m e n t m a y h a v e a v e r y n e g a t i v e e f f e c t o n t h e o p e r a t io n o f th e s y s te m . I n
F rance , t he C o mi t d N a t i o n a l d ' E v a l u a t i o n h a s u n d e r s t o o d t h e s e d a n g e r s . T h e
e v a l u a t i o n s p e r f o r m e d b y t h e C o m m i t t e e d o n o t h a v e a d i r e c t i m p a c t o n s t a t e
s u b v e n t i o n s t o t h e i n s t i t u t i o n s . T h e n e w p r o c e d u r e s f o r q u a l i t y a s s e s s m e n t i n t h e
U n i t e d K i n g d o m a l s o d o n o t i m p l y a direc t r e l a t i o n s h i p b e t w e e n q u a l i t y
m a n a g e m e n t a n d f u n d i n g o n a l a r g e sc a le . M o r e o v e r , th e a m o u n t s o f m o n e y
i n v o l v e d i n t h e f u n d i n g c o u n c i l s ' j u d g e m e n t s s e e m t o b e f a i r l y m a r g i n a l f o r t h e
m o m e n t , t h e r e b y m i t i g a t i n g a n y p o s s i b l e n e g a t i v e e f fe c t . A l s o , t h e q u a l i ty a u d i t s o f
t h e n e w q u a l i ty c o u n c i l f o r h i g h e r e d u c a ti o n , c o n t i n u i n g t h e r o l e o f t h e A A U , h a v e
n o direc t l i nk t o fund ing e i the r .T h e a b o v e d o e s n o t i m p l y t h a t a n indirect , n o n - a u t o m a t i c r e l a t i o n s h i p b e t w e e n
q u a l i ty m a n a g e m e n t a n d f u n d i n g d e c i s i o n s s h o u l d a l s o b e r ej e c te d . O n t h e c o n t r a r y ,
a s t h e e x p e r i e n c e s i n th e U S A a n d C a n a d a a s w e l l a s t h e n e w a p p r o a c h e s in F r a n c e
a n d t h e U n i t e d K i n g d o m s h o w , s u c h a n i n d i r e c t r e l a t i o n s h i p , w h e r e q u a l i t y
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j u d g e m e n t s a r e o n e - b u t n o t th e o n l y o n e - o f th e i n p u ts i n t o th e p o l i c y p ro c e s s e s
l e a d in g t o fu n d i n g d e c i s i o n , c o u l d v e ry w e l l b e p a r t o f th e g e n e ra l m o d e l o f q u a l i ty
a s s e s sm e n t s u g g e s t e d h e r e . A n i n d i r e c t r e l a ti o n s h i p w o u l d i m p l y t h a t n a t io n a l
g o v e rn m e n t s w i l l o n l y p ro v i d e t h e n e c e s s a ry f i n a n c i a l m e a n s t o h i g h e r e d u c a t i o n
ins t i tu t ions i f these ins t i tu t ions (and the v a r ious un i t s w i th in these ins t i tu tions ) can
s h o w t h a t th e y h a v e s u b m i t t e d t h e m s e l v e s t o a t l e as t o n e e x t e rn a l j u d g e m e n t w h i c h
i s a n a c c e p t e d p a r t o f th e g e n e ra l q u a l i ty a s s e s s m e n t s y s te m . O n l y i f h i g h e r
e d u c a t i o n i n s t it u ti o n s c a n s h o w t h a t t h e y h a v e o f f e r e d t h e i r e d u c a t i o n a l
p ro g ra m m e s fo r e x t e rn a l r e v i e w , s h o u l d t h e s e i n s t i t u t i o n s b e e l i g i b l e fo r
g o v e r n m e n t a l f u n d i n g . W h e t h e r t h e f u n d s p r o v i d e d b y g o v e r n m e n t a r e u s e d t o
r e w a r d p r o g r a m m e s t h at h a v e b e e n j u d g e d t o b e o f g o o d q u a l it y o r t o h e l p
p ro g ra m m e s t h a t r e c e i v e d a n e g a t i v e q u a l i f i c a t i o n b y a n e x t e rn a l r e v i e w t e a m ,
should be the dec i s ion of the h igher educa t ion ins t i tu t ion i t s e l f . I t should be l e f t tot h e d i s c r e t io n o f t h e h i g h e r e d u c a t i o n i n s ti t u ti o n s h o w t h e y r e a c t t o t h e o u t c o m e s o f
t h e q u a l i t y a s se s s m e n t s y s te m . T h e d e c i s i o n t o fu n d o r n o t t o fu n d a n i n s ti t u ti o n (o r
c e r t a i n p ro g ra m m e s w i t h i n a n i n s t i t u t i o n ) s h o u l d , i n t h i s a p p ro a c h , o n l y d e p e n d
upo n the wi l l ingness to subm i t the ins t i tu t iona l ac t iv i t ie s to ou t s ide rev iew .
Perspective
T h e e l e m e n t s p r e s e n t e d h e re ( t o u c h i n g u p o n t h e i n d e p e n d e n t m e t a - l e v e l r o l e o f
m a n a g i n g a g e n t (s ) , u p o n s e l f- e v a l u a ti o n , u p o n p e e r r e v i e w a n d s i te v i si ts , u p o n t h e
d e g re e o f c o n f i d e n t i a li t y o f r e p o r t i n g , a n d u p o n t h e r e l a ti o n s h i p b e t w e e n q u a l i t y
r e v i e w o u t c o m e s a n d fu n d i n g ) t o g e t h e r f o rm t h e c o re o f w h a t c o u l d b e c a l l e d a
g e n e ra l m o d e l o f h i g h e r e d u c a t i o n q u a l i ty a s s e s sm e n t . A c ru c i a l q u e s t i o n o f c o u r s e
i s w h e t h e r s u c h a g e n e ra l m o d e l o f f e r s a s o u n d b a s e fo r h i g h e r e d u c a t i o n
ins t i tu t ions to keep the i r imp or tan t p lace in soc ie ty .
A t t h e b e g i n n i n g o f t h is a r ti c le w e a rg u e d t h a t t h ro u g h h i s t o ry , h i g h e r e d u c a t i o n
i n s ti t u ti o n s h a v e b e e n r a t h e r s u c c e s s fu l i n c o m b i n i n g t h e t w o s u b c a t e g o r ie s o f t h e
g e n e ra l c o n c e p t o f q u a l i t y . O n t h e o n e h a n d h i g h e r e d u c a t i o n i n s t i t u t i o n s h a v e
a l w a y s e s p o u s e d t h e v a l u e s o f th e s e a r c h fo r tr u t h a n d t h e p u r s u i t o f k n o w l e d g e ( t h e
in t r ins ic qua l i t i e s ) . On the o the r hand h igher educa t ion ins t i tu t ions have responded
w i t h r e m a rk a b l e f l e x i b i l it y t o t h e c h a n g i n g n e e d s a n d p r e s su re s f ro m t h e i r
env i ron m ent ( the ex t r ins ic qua l i ti e s ) .
T h e r e c e n t c a l l f o r q u a l i ty a s s e s s m e n t i n h i g h e r e d u c a t i o n a p p e a r s t o b e l a rg e l y
i n s p i r e d b y t h e w i s h o f g o v e rn m e n t s a n d o t h e r s o c i e t a l a c t o r s t o u n d e r l i n e t h e
i m p o r t a n c e o f t h e e x t r i n s i c q u a l i t i e s o f h i g h e r e d u c a t i o n . T h e i n c r e a s i n g
p a r t i c ip a t i o n r a te s i n h i g h e r e d u c a t i o n a n d t h e g ro w i n g c o s t s h a v e l e d t o t h e w i s h t o
t ry to iden t i fy a s c lea r ly a s poss ib le the va r ious qua l i ty a spec ts o f the p rocesses an dp ro d u c t s o f h i g h e r e d u c a t i o n i n s t it u ti o n s .
H i g h e r e d u c a t i o n i n s t it u ti o n s c a n n o t b e d e a f t o t h is i n c r e a s i n g e m p h a s i s b e i n g
put on the i r ex t r ins ic qua l i t i e s . As has been the case th rough the cen tur ie s , h igher
e d u c a t i o n i n s t it u t io n s w i l l h a v e t o r e s p o n d t o t h e c a l l to s h o w t h e i r v a lu e t o s o c i e t y .
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T h e y w i l l h a v e t o a c c e p t ( a n d i n s e v e ra l c o u n t ri e s t h e y a l r e a d y h a v e d o n e s o ) t h e
c o m i n g i n t o e x i s t e n c e o f s y s t e m s o f q u a l i t y a s s e s s m e n t t h ro u g h w h i c h t h e y c a n
s h o w t h e i r a c c o u n t a b i l it y t o s o c i e t y .
H o w e v e r , i t s h o u l d n o t b e fo rg o t t e n t h a t h i g h e r e d u c a t i o n i n s ti tu t io n s a l so h a v e
the t a sk to emphas i se the i r in t r ins ic qua l i t i e s . In h igher educa t ion the idea l s o f the
s e a r c h fo r tr u t h a n d t h e p u r s u i t o f k n o w l e d g e c a n n o t j u s t s i m p l y b e d i s c a rd e d .
T h e g e n e ra l m o d e l o f h i g h e r e d u c a t i o n q u a l i t y a s s e s s m e n t t h a t a p p e a r s t o b e
d e v e l o p i n g i n t h e v a r i o u s p r a c t i c e s i n s e v e ra l W e s t e rn c o u n t r i e s , w i l l h a v e t o b e
j u d g e d o n i t s c a p a c it y t o c o m b i n e b o t h t h e i n t r in s i c a n d t h e e x t r in s i c d i m e n s i o n s o f
qua l i ty . Based on th i s pe rspec t ive , we would l ike to a rgue tha t in any sens ib le
s y s t e m o f h i g h e r e d u c a t i o n q u a l i t y a s s es s m e n t b o t h t h e t r ad i t io n a l E n g l i s h m o d e l o f
a r e v i e w b y p e e r s a n d t h e h i s t o r i c a l F r e n c h m o d e l o f p ro v i d i n g a c c o u n t a b i l i t y t o
e x t e rn a l c o n s ti t u e n c ie s s h o u l d b e i n c o rp o ra t e d . F o c u s i n g o n o n l y o n e o f t h e se t w o
m o d e l s l e a d s t o a r i s k y o v e re s t i m a t i o n o f s p e c i f i c fu n c t i o n s a n d p r a c t i c e s o f h i g h e r
educa t ion ins t i tu t ions . A qua l i ty a s ses sment sys tem tha t on ly cons i s t s o f pee r
r e v i e w w i t h o u t a n y r e f e r e n c e t o t h e n e e d s o u t s i d e t h e h i g h e r e d u c a t i o n s y s t e m ,
i m p l i es t h e r i s k o f a n e x t r e m e i s o l a t io n o f t h e h i g h e r e d u c a t i o n i n s ti tu t io n s f ro m t h e
r e s t o f s o c i e t y ( a n d t h u s t h e d e n i a l o f t h e l e g i t im a c y o f t h e i r e x i st e n c e ) . A q u a l i ty
a s s e s s m e n t s y s t e m t h a t i s l i m i t e d t o o n l y p ro v i d i n g a c c o u n t a b i l i t y t o e x t e rn a l
c o n s t i t u e n c i e s d e n i e s s o m e o f t h e b a s i c c h a ra c t e r i s t i c s o f h i g h e r e d u c a t i o n
ins t i tu t ions and the re fore impl ie s the r i sk o f no t be ing t aken se r ious ly by the
a c a d e m i c e x p e r ts .T h e r e m a i n i n g q u e s t i o n i s w h e t h e r t h e c o re o f t h e g e n e ra l m o d e l o f q u a l i t y
as ses sment p resen ted be fore i s suf f i c ien t ly ab le to combine the in t r ins ic and
e x t r i n si c d i m e n s i o n s o f q u a l it y . A l t h o u g h i t is t o o e a r l y t o ju d g e t h e e m p i r i c a l
e f f e c t s o f t h e e l e m e n t s o f t h e g e n e ra l m o d e l , i t m a y b e e x p e c t e d t h a t t h i s s e t o f
e lements a t l eas t a l lows for the poss ib i l i ty to pay a t t en t ion to the combina t ion of
bo th the in t r ins ic and the ex t r ins ic d imens ions o f qua l i ty in h igher educa t ion . The
e l e m e n t s o f t h e g e n e ra l m o d e l a p p e a r t o d e n y t h e d o m i n a n c e o f e i t h e r o f t h e t w o
d i m e n s i o n s . A s s u c h , t h e c o re o f t h e g e n e ra l m o d e l c o m b i n e s t h e t w o t r a d i t i o n a l
a p p ro a c h e s t h a t a r e fo u n d i n t h e h i s t o ry o f h i g h e r e d u c a t i o n . B y d o i n g s o t h e
g e n e ra l m o d e l r e l a t e s t h e p r e s e n t -d a y n e e d s a n d e x p e r i e n c e s w i t h t h e h i s t o r i c a l
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N o t e
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