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The Society for Research into Higher Education

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Augar and augury

By Rob Cuthbert

This is written just as Boris Johnson is declared the new leader of the Conservative Party and therefore the new occupant of No 10 Downing Street. All of the jockeying for prime ministerial position has made our national Brexit-obsessed politics even more bizarre than before but, not far below the surface, some semblance of normal policymaking struggles to carry on, not least in higher education. When the much-delayed Augar report finally appeared on 30 May 2019 it had even more than the usual treatment from the policy wonks.

The good news was that at least the Report aimed to take in the whole of post-18 education, and it started by setting out eight principles:

  1. Post-18 education benefits society, the economy, and individuals.
  2. Everyone should have the opportunity to be educated after the age of 18.
  3. The decline in numbers of those getting post-18 education needs to be reversed.
  4. The cost of post-18 education should be shared between taxpayers, employers and learners.
  5. Organisations providing education and training must be accountable for the public subsidy they receive.
  6. Government has a responsibility to ensure that its investment in tertiary education is appropriately spent and directed.
  7. Post-18 education cannot be left entirely to market forces.
  8. Post-18 education needs to be forward looking.

It seems to be a rule that national reports identify a steadily increasing number of purposes for post-18 education. Robbins needed only four; Dearing had five. Augar has six:

  • Promote citizens’ ability to realise their full potential, economically and more broadly.
  • Provision of a suitably skilled workforce.
  • Support innovation through research and development, commercial ideas and global talent.
  • Contribute scholarship and debate that sustain and enrich society through knowledge, ideas, culture and creativity.
  • Contribute to growth by virtue of post-18 institutions’ direct contributions to the economy.
  • Play a core civic role in the regeneration, culture, sustainability, and heritage of the communities in which they are based.

So far so good; then the bunfighting begins: “We make recommendations intended to encourage universities to bear down on low value degrees and to incentivise them to increase the provision of courses better aligned with the economy’s needs … Universities should find further efficiency savings over the coming years, maximum fees for students should be reduced to £7,500 a year, and more of the taxpayer funding should come through grants directed to disadvantaged students and to high value and high cost subjects. “ (p10) ‘Low value’ degrees?! How shall we define them? Augar seemed to identify value only (for students) with graduate earnings, and (for everyone else) with ‘courses better aligned with the economy’s needs’.

The traditionalists were quickly into the fray. Indeed, the Russell Group got its retaliation in first (20 March 2019) – “Reports suggest the Prime Minister’s review of post-18 education and funding could recommend cutting tuition fees from £9,250 to £7,500 or even lower. We are concerned such a cut would not be fully compensated and could have a devastating impact on our universities.” It was therefore ready to cut and paste its response on the day of publication: “It is imperative the next Prime Minister provides students, businesses and universities with a cast-iron guarantee that, in the event of a fee cut, teaching grants will fully cover the funding shortfall and meet future demand for higher education places.”

Nick Hillman of HEPI blogged on the same day with ‘ten points to note’ as ‘lunchtime takeaways’. Debbie McVitty on 29 May 2019 offered the ‘essential overview’ of Augar, and her WonkHE colleagues followed up with their usual assiduity. David Kernohan argued for WonkHE on 3 June that the underpinning evidence for a £7500 fee level was weak, and he was back on 6 June 2019 “unable to find the evidence that backs up Augar’s rationale for recommending the end of the foundation year.” “Whether or not there is any evidence that providers are seeing the foundation year as a cash cow, or that it offers a poor deal for students, we are not getting to see it. The data that does exist does not support the Augar conclusions, even when it is directly cited as doing so.” Mark Corney (independent) pointed out the logical errors in the Augar proposal to end support for Foundation Years in his blog for HEPI on 21 June 2019, saying that abolishing Foundation Years would not lead to a surge in Access to HE course enrolments.

David Midgley (Cambridge) supplied a balanced précis on the CDBU website on 5 June 2019; Lizzy Woodfield (Aston) provided a useful analysis for WonkHE on 3 June 2019 of the impact on widening participation for her university, but slowly the economists and the accountants took over. Gavin Conlon and Maike Halterbeck of London Economics had already blogged for WonkHE on 30 May 2019 about winners and losers from the Augar Review. Andrew Bush (KPMG) wrote about how Augar analysed costs, for WonkHE on 10 June 2019. An Institute for Fiscal Studies Note on 30 May 2019 argued that the “Augar Review aims to rebalance funding to FE and give government more control over HE funding”, authored by IFS regulars Jack Britton, Laura van der Erve and Paul Johnson.

The financial arguments were subject to increasing critique, with Greg Walker of MillionPlus supplying a well-considered analysis on the HEPI blog on 15 July 2019 – ‘Does Augar present evidence-based policy or policy-based evidence?’ – suggesting that the HE fees cut was intended and inevitable. Tim Blackman (Middlesex) then argued (for WonkHE on 4 June 2019) that Augar is technocratic rather than visionary: “Augar navigates awkwardly between the pros and cons of planning or market forces as the drivers of tertiary education … I get the impression the authors would have liked to have gone further with reintroducing more planning. They point out that some of the most problematic features of how universities behave are a product of marketisation, and make recommendations for rejuvenating further education colleges that amount to national planning of the sector. Why not the same planning paradigm for higher education? The answer would appear to be that sticking with the market conveniently allows Augar to claim that academic autonomy has been protected despite an agenda of major change and austerity.”

In similar vein, Mark Leach of WonkHE, arguing on 3 June that the true challenge in Augar was bridging the gulf between FE and HE, identified the chasm between the two: “One way to read the underlying narrative of the Augar report is that it represents an indictment of two parallel education policy approaches, pursued by multiple, and politically different, governments over the last fifteen or so years. These parallel approaches have treated higher education and further education in radically divergent and – the report implies – radically incompatible ways. In short, the parallel policy approaches can be summed up as follows: The government has pushed higher education towards a more market-like system, which Augar says has gone so far as to become dysfunctional (with symptoms ranging from the total lack of price competition to grade inflation, unconditional offers and other much-discussed system problems). But he also says that, in parallel, further education has been subjected by governments to a policy of intense, highly bureaucratic central planning, tinkering and micro-management, which has also become dysfunctional.”

Thus the commentariat has already supplied analyses an order of magnitude beyond the Review’s 200 pages. So far, so much like normal policymaking – a Review based on considerable thought and analysis, by a significant group, taking positions and making proposals which have properly been subject to much comment and counter-analysis. But in our current abnormal times we can have no confidence that the Review will even be taken into consideration by the about-to-be-formed new administration. Secretary of State for Education Damian Hinds and Universities minister Chris Skidmore have perhaps done better than most at trying to maintain some kind of business as usual, with a comparatively low profile in the choose-your-side battles to become the next prime minister. However there can be no certainty that either will still be in post even by the end of the week, and the Augar Review itself was very much a creation of No 10 during Theresa May’s tenure.

No doubt this encouraged Liz Morrish on her Academic Irregularities blog on 11 June 2019 to pronounce that Augar was ‘dead on arrival’, concluding that “Augar has thrown universities to the wolves of a rather rigged market at this point. Nobody – neither staff nor student – can enter a university with any certainty that their career or course of study will be fulfilled without interruption or derailment.” For Morrish, Augar is likely to be no more than background mood music, while the new Johnson administration decides anew what to do with post-18 education – although we can expect, as usual with national reviews, that the government will choose the proposals that suit its purpose, while ignoring the rest of what is, as usual, presented as a package deal. No-one will be betting against a £7500 fee, but no-one will expect the Treasury to stump up the balance lost in the fees cut, especially since so many spending promises have already been made by prime ministerial contenders in recent weeks – none of them for post-18 education.

John Morgan reported on 11 July 2019 for Times Higher Education that former education secretary Justine Greening had said it was “inconceivable” that the new Prime Minister would adopt the Augar review plans. She “believes that the model she explored in government of funding English universities through a graduate contribution plus a “skills levy” on employers could be taken up by the next prime minister.” Her plan would abolish tuition fees and loans: “I think it’s probably the only higher education bill that could get through Parliament.” This is because she says the Augar review’s recommendations were “hugely regressive” in increasing the burden on low- and middle-earning graduates, while lowering it for those on higher incomes: “I find it inconceivable that any future Conservative government that cares about … progressive funding of higher education and social mobility could take that kind of proposal forward”. It is possible to take a very different perspective on Augar, as Nick Barr (LSE) did in declaring it progressive rather than regressive, simply because it proposed to redress the balance between FE and HE. But Greening’s comments are directed more towards heading off the Labour Party’s putative promises on tuition fees, returning to a pre-Augar position which re-institutionalises the chasm between the HE market and the micromanagement and planning of FE. An augur was “a priest and official in the classical Roman world. His main role was the practice of augury: interpreting the will of the gods by studying the flight of birds – whether they were flying in groups or alone, what noises they made as they flew, direction of flight, and what kind of birds they were”. (Wikipedia) The media’s augurs have for months been studying the noises Boris Johnson has made, the groups he is travelling in, his direction of flight, and what kind of bird he will turn out to be. The Tory press will announce the eagle has landed; he may of course turn out to be a different bird. A cuckoo, temporarily occupying a place where he doesn’t belong? A swallow who cannot make the summer on his own? Or a parrot, saying only what it has heard someone say before? We may hope that a bird in No 10 is worth two in the prime ministerial hustings, but no-one in HE should be counting chickens before a new policy hatches.

SRHE News Editor:  Professor Rob Cuthbert
rob.cuthbert@uwe.ac.uk  

Rob Cuthbert is Emeritus Professor of Higher Education Management, University of the West of England and Joint Managing Partner,Practical Academics rob.cuthbert@btinternet.com.


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Customer Services

by Phil Pilkington

“…problems arise when language goes on holiday. And here we may indeed fancy naming to be some remarkable act of mind, as it were a baptism of an object.”

Ludwig Wittgenstein, Philosophical Investigations, para 38 (original emphasis)

The paradigm shift of students to customers at the heart of higher education has changed strategies, psychological self-images, business models and much else. But are the claims for and against students as customers (SAC) and the related research as useful, insightful and angst ridden as we may at first think?  There are alarms about changing student behaviours and approaches to learning and the relationship towards academic staff but does the naming ‘customers’ reveal what were already underlying, long standing problems? Does the concentrated focus on SAC obscure rather than reveal?

One aspect of SAC is the observation that academic performance declines, and learning becomes more surface and instrumental (Bunce, 2017). Another is that SAC inclines students to be narcissist and aggressive, with HEI management pandering to the demands of both students and their feedback on the NSS, with other strategies to create iconic campus buildings, to maintain or improve league table position (Nixon, 2018).

This raises some methodological questions on (a) the research on academic performance and the degree of narcissism/aggression prior to SAC (ie around 1997 with the Dearing Report); (b) the scope and range of the research given the scale of student numbers, participation rates, the variety of student motivations, the nature of disciplines and their own learning strategies, and the hierarchy of institutions; and (c) the combination of (a) and (b) in the further question whether SAC changed the outlook of students to their education – or is it that we are paying more attention and making different interpretations?

Some argue that the mass system created in some way marketisation of HE and the SAC with all its attendant problems of changing the pedagogic relationship and cognitive approaches. Given Martin Trow’s definitions of elite, mass and universal systems of HE*, the UK achieved a mass system by the late 1980s to early 1990s with the rapid expansion of the polytechnics; universities were slower to expand student numbers. This expansion was before the introduction of the £1,000 top up fees of the Major government and the £3,000 introduced by David Blunkett (Secretary of State for Education in the new Blair government) immediately after the Dearing Report. It was after the 1997 election that the aspiration was for a universal HE system with a 50% participation rate.

If a mass system of HE came about (in a ‘fit of forgetfulness’ ) by 1991 when did marketisation begin? Marketisation may be a name we give to a practice or context which had existed previously but was tacit and culturally and historically deeper, hidden from view. The unnamed hierarchy of institutions of Oxbridge, Russell, polytechnics, HE colleges, FE colleges had powerful cultural and socio-political foundations and was a market of sorts (high to low value goods, access limited by social/cultural capital and price, etc). That hierarchy was not, however, necessarily top-down: the impact of social benefit of the ‘lower orders’ in that hierarchy would be significant in widening participation. The ‘higher order’ existed (and exists) in an ossified form. And as entry was restricted, the competition within the sector did not exist or did not present existential threats. Such is the longue durée when trying to analyse marketisation and the SAC.

The focus on marketisation should help us realise that over the long term the unit of resource was drastically reduced; state funding was slowly and then rapidly withdrawn to the point where the level of student enrolment was critical to long term strategy. That meant not maintaining but increasing student numbers when the potential pool of students would fluctuate – with  the present demographic trough ending in 2021 or 2022. Marketisation can thus be separated to some extent from the cognitive dissonance or other anxieties of the SAC. HEIs (with exceptions in the long-established hierarchy) were driven by the external forces of the funding regime to develop marketing strategies, branding and gaming feedback systems in response to the competition for students and the creation of interest groups – Alliance, Modern, et al. The enrolled students were not the customers in the marketisation but the product or outcome of successful management. The students change to customers as the focus is then on results, employment and further study rates. Such is the split personality of institutional management here.

Research on SAC in STEM courses has a noted inclination to surface learning and the instrumentalism of ‘getting a good grade in order to get a good job’, but this prompts further questions. I am not sure that this is an increased inclination to surface learning, nor whether surface and deep are uncritical norms we can readily employ. The HEAC definition of deep learning has an element of ‘employability’ in the application of knowledge across differing contexts and disciplines (Howie and Bagnall, 2012). A student in 2019 may face the imperative to get a ‘degree level’ job in order to pay back student loans. This is rational related to the student loans regime and widening participation, meaning this imperative is not universally applied given the differing socio-economic backgrounds of all students.

(Note that the current loan system is highly regressive as a form of ‘graduate tax’.)

And were STEM students more inclined toward deep or surface learning before they became SAC?  Teaching and assessment in STEM may have been poorand may have encouraged surface level learning (eg through weekly phase tests which were tardily assessed).

What is deep learning in civil engineering when faced with stress testing concrete girders or in solving quarternion equations in mathematics: is much of STEM actually knowing and processing algorithms? How is such learnable content in STEM equivalent in some cognitive way to the deep learning in modern languages, history, psychology et al? This is not to suggest a hierarchy of disciplines but differences, deep differences, between rules-based disciplines and the humanities.

Learning is complex and individualised, and responsive to, without entirely determining, the curriculum and the forms of its delivery. In the research on SAC the assumptions are that teaching and assessment delivery is both relatively unproblematic and designed to encourage deep, non-instrumental learning. Expectations of the curriculum delivery and assessment will vary amongst students depending on personal background of schooling and parents, the discipline and personal motivations and the expectations will often be unrealistic. Consider why they are unrealistic – more than the narcissism of being a customer. (There is a very wide range of varieties of customer: as a customer of Network Rail I am more a supplicant than a narcissist.)

The alarm over the changes (?) to the students’ view of their learning as SAC in STEM should be put in the context of the previously high drop-out rate of STEM students (relatively higher than non-STEM) which could reach 30% of a cohort. The causes of drop out were thoroughly examined by Mantz Yorke(Yorke and Longden, 2004), but as regards the SAC issue here, STEM drop outs were explained by tutors as lack of the right mathematical preparation. There is comparatively little research on the motivations for students entering STEM courses before they became SAC; such research is not over the long term or longitudinal. However, research on the typology of students with differing motivations for learning (the academic, the social, the questioning student etc) ranged across all courses, does exist (a 20 year survey by Liz Beatty, 2005). Is it possible that after widening participation to the point of a universal system, motivations towards the instrumental or utilitarian will become more prominent? And is there an implication that an elite HE system pre-SAC was less instrumentalist, less surface learning? The creation of PPE (first Oxford in 1921 then spreading across the sector) was an attempt to produce a mandarin class, where career ambition was designed into the academic disciplines. That is, ‘to get a good job’ applies here too but it will be expressed in different, indirect and elevated ways of public service.**

There are some anachronisms in the research on SAC. The acceptance of SAC by management, by producing student charters and providing students places on boards, committees and senior management meetings is not a direct result of students or management considering students as customers. Indeed, it predates SAC by many years and has its origins in the 1960s and 70s.

I am unlikely to get onto the board of Morrisons, but I could for the Co-op – a discussion point on partnerships, co-producers, membership of a community of learners. The struggle by students to get representation in management has taken fifty years from the Wilson government Blue Paper Student Protest (1970) to today. It may have been a concession, but student representation changed the nature of HEIs in the process, prior to SAC. Student Charters appear to be mostly a coherent, user-friendly reduction of lengthy academic and other regulations that no party can comprehend without extensive lawyerly study. A number of HEIs produced charters before the SAC era (late 1990s). And iconic university buildings have been significantly attractive in the architectural profession a long time before SAC – Birmingham’s aspiration to be an independent city state with its Venetian architecture recalling St Mark’s Square under the supervision of Joseph Chamberlain (1890s) or Jim Stirling’s post-modern Engineering faculty building at Leicester (1963) etc (Cannandine 2002).

Students have complex legal identities and are a complex and often fissiparous body. They are customers of catering, they are members of a guild or union, learners, activists and campaigners, clients, tenants, volunteers, sometimes disciplined as the accused, or the appellant, they adopt and create new identities psychologically, culturally and sexually. The language of students as customers creates a language game that excludes other concerns: the withdrawal of state funding, the creation of an academic precariat, the purpose of HE for learning and skills supply, an alienation from a community by the persuasive self-image as atomised customer, how deep learning is a creature of disciplines and the changing job market, that student-academic relations were problematic and now become formalised ‘complaints’. Students are not the ‘other’ and they are much more than customers.

Phil Pilkington is Chair of Middlesex University Students’ Union Board of Trustees, a former CEO of Coventry University Students’ Union, an Honorary Teaching Fellow of Coventry University and a contributor to WonkHE.

*Martin Trow defined an elite, mass and universal systems of HE by participation rates of 10-20%, 20-30% and 40-50% respectively.

** Trevor Pateman, The Poverty of PPE, Oxford, 1968; a pamphlet criticising the course by a graduate; it is acknowledged that the curriculum, ‘designed to run the Raj in 1936’, has changed little since that critique. This document is a fragment of another history of higher education worthy of recovery: of complaint and dissatisfaction with teaching and there were others who developed the ‘alternative prospectus’ movement in the 1970s and 80s.

References

Beatty L, Gibbs G, and Morgan A (2005) ‘Learning orientations and study contracts’, in Marton, F, Hounsell, D and Entwistle, N, (eds) (2005) The Experience of Learning: Implications for teaching and studying in higher education, 3rd (Internet) edition. Edinburgh: University of Edinburgh, Centre for Teaching, Learning and Assessment.

Bunce, Louise (2017) ‘The student-as-consumer approach in HE and its effects on academic performance’, Studies in Higher Education, 42(11): 1958-1978

Howie P and Bagnall R (2012) ‘A critique of the deep and surface learning model’, Teaching in Higher Education 18(4); they state the distinction of learning is “imprecise conceptualisation, ambiguous language, circularity and a lack of definition…”

Nixon, E, Scullion, R and Hearn, R (2018) ‘Her majesty the student: marketised higher education and the narcissistic (dis)satisfaction of the student consumer’, Studies in Higher Education  43(6): 927-943

Cannandine, David (2004), The ‘Chamberlain Tradition’, in In Churchill’s Shadow, Oxford: Oxford University Press; his biographical sketch of Joe Chamberlain shows his vision of Birmingham as an alternative power base to London.

Yorke M and Longden B (2004) Retention and student success in higher education, Maidenhead: SRHE/Open University Press


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The VERY big financial picture for English universities?

By David Palfreyman

The Financial Sustainability Strategy Group, a dedicated bunch of HE nerds, has churned out 90 pages on the funding model of UK universities (February 2019), based on TRAC data (Transparent Approach to Costing, as compiled and collated since 1999). 

The core activity of teaching UK/EU undergraduates brings in c£13.25billion of income and covers its full economic cost (FEC). Within that overall picture, subjects vary in matching fee income to their FEC. Even after some (HEFCE) top-up grant subsidy for STEM, there is an internal transfer as subsidy to STEM from the cheap-to-teach and massively expanded subjects such as Law and Psychology, as well as the cheap but less expanded Humanities. International student fee income is c£4.5billion, with a third of such high fee-payers coming from China. The FEC is more than covered – leaving a 40% surplus transferred to subsidise research. 

Research generates c£9.25billion (£1.5billion as HEFCE QR and the rest as grants/contracts from various sources) but recovers only about 75% of its FEC. Research grants from Government cover 80% of their FEC, from industry and the Research Councils 75%, from the EU 65%, and from charities 60%. The overall loss on research will, therefore, vary according to the mix of research funding from these various sources. The Russell Group lose the most but are best placed to attract more international student fees. A thing called ‘Other Activities’ generates c£5.5billion and has a 15% profit on its FEC – again a source of subsidy for over-trading in under-priced research. 

What are the challenges and threats to this financial model? 

  1. Any wobble in the UK share of the global student market – especially since most universities in their financial projections make happy assumptions about growing their International fee income. 
  2. The hikes due in employer contributions to USS (c5%) and to TPS (c8%). 
  3. The freezing of the £9250 UK/EU UG fee.  
  4. The impact of (now unlikely?) Brexit on EU undergraduate numbers and their fee income – although the loss of EU research grants when every one involves a subsidy of 35% of the FEC would be no bad thing!
  5. Whether the Augar Review will recommend UK undergraduate fees should be cut from £9250 to, say, £7500 – and, even if it does, whether any Government ever implements the proposal.
  6. How those universities that have borrowed massive amounts will be able to service the interest payments as the above happens – let alone save up so as one day to repay the capital. 

In the current financial year English universities get c£1.5billion of funding from the OfS, mainly for the extra cost of STEM teaching over and above the £9250 tuition fees but also for various specialist programmes. Then some £1.6billion is shared out by UKRI to all UK universities as support for research (based on the REF). The OfS and UKRI funding is the job HEFCE used to do before the 2017 Higher Education and Research Act. So the direct taxpayer spend on HE is c£3billion pa, plus spending on support for teaching in UK universities beyond England – and not counting the cost of the subsidy to the student loans system, nor the financing of the various research councils. 

We await the Augar Review; meanwhile the supply of UK 18-year olds continues to decline until the early 2020s, which can be bad news for some universities, as the OfS warned in its analysis of Financial Sustainability of Higher Education Providers in England on 4 April 2019. The flow of EU students may reduce IF Brexit ever happens, and on the spending side institutions face significant increases in employer contributions to pensions. All in all, this is not a rosy picture in the short term and potentially grim in the medium term – unless, of course, the Augar Review gets lost in the context of Brexit-induced government chaos or the Treasury generously substitutes extra grant funding for any Augar reduction in the £9250. Unless indeed any ‘Brexit dividend’ leaves room for more public spending on HE as a call on taxpayer largesse alongside the NHS, social care for the elderly, the funding of schools, etc etc…

SRHE Treasurer David Palfreyman is Bursar, New College, Oxford, Director of the Oxford Centre for Higher Education Policy Studies (OxCHEPS), and a member of the Board of the Office for Students. He writes in a personal capacity.

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Axe S?

By Rob Cuthbert

People on both sides argue passionately about what they see as the biggest change in their working lifetimes. The present situation is flawed, but some believe the best way forward is to work within the system for continuing improvement. However others believe with equal passion that the best way is to crash out, with no deal for the big unaccountable bureaucracy on the continent. The European Commission is heavily involved. The debate has run for years, but then the powers that be announced that they would implement a phased transition to completely new trading arrangements. Battle lines were drawn and both sides dug in for a conflict which so far shows no sign of resolution.

Plan S is higher education’s version of Brexit. It may not have generated quite as much media coverage as that unreal thing, but it has its full share of intransigent minorities, suspicion on all sides, special pleading, accusations that the elite is merely looking after its own interests, and claims that a voiceless majority will be the ones who suffer the most.

Everyone is in favour of open access, in much the same way as everyone is in favour of free trade, but it turns out that neither concept is as clear-cut as it first appears. Academics’ guerrilla warfare campaign against what they saw as the exploitative practices of some publishers has now led to some major cancellations of contracts, the biggest and best-known being the decision by the University of California system to cancel its contract with Elsevier. Such legal opposition runs alongside illegal but massive file-sharing operations, the biggest being the Eastern-European based SciHub. Meanwhile the launch of open access journals such as PlosOne has not dented the supremacy of the major publishers: such journals may already have peaked with a very small proportion of the total publishing market.

Hence Plan S, an initiative by 13 European funders, the European Commission and charitable funders including Wellcome and the Bill & Melinda Gates Foundation. This group, known as cOAlition S, want all scientific publications arising from research they fund to be published in compliant open access journals or on compliant open access platforms from 2020. They launched a consultation on their proposals which generated a huge worldwide response from academics and academic publishers.

The UK entered the field early with the 2012 Finch Report (see SRHE News 9, July 2012), which controversially led government to choose Gold Open Access (OA) as its primary route, with the REF embodying this requirement. This means that ‘article processing charges’ (APCs) have to be paid up front, whether by the author(s), the institution or the research funder. It was envisaged that APCs would fall over time thanks to competition between publishers, but in fact there has been a 16% rise since then, as David Kernohan reported for WonkHE on 20 February 2019. The last-but-one HE Minister Jo Johnson asked Sussex VC Adam Tickell in 2016 to advise further – thatadvice and an Open Research Data Task Forcereporthave now been published. Kernohan reported that: “the UK hit 54% of outputs as OA in 2016, up from 15% in 2012. We are firmly on track to achieve the target. And there is substantial evidence that OA articles are downloaded more, cited more, and used more than their non-OA counterparts, both from journals and repositories.” The upfront cost of Gold OA is a clear disincentive for many researchers despite REF requirements: grants may not cover publication costs and research may be unfunded. The research councils currently provide block funding for APCs, but this is unlikely to be permanent, and Kernohan suggests total expenditure on APCs could triple in real terms from the 2016 figure, to £818million by 2028 if gold OA achieves 100% take-up. Something has to give, and a policy initiative is keenly awaited.

Robert Harington (American Mathematical Society) asked ‘Plan S: what about researchers?’ on the LSE Impact Blog on 17 January 2019. On 21 January 2019 University College London (UCL) said Plan S was “heavy-handed”, the Plan S coalition should engage more with universities and researchers, and the requirements of individual subject areas need to be more precisely understood, as Ashleigh Furlong reported for *Research on 21 January 2019.

Jeffrey Brainard wrote in Science on 25 January 2019 that scientific societies supported by journal subscriptions describe Plan S as “an existential threat … Many journals now follow a hybrid model, publishing individual papers open access for a fee but deriving most of their income from subscriptions … Plan S’s requirements will disproportionately hurt the journals that many societies publish … Such journals typically have high [APCs] … and the societies typically have lower profit margins than … commercial publishers … The largest, Elsevier, based in Amsterdam, publishes more than 2500 journal titles; scientific societies each publish at most a few dozen.”

Steven Inchcoombe of Springer Nature said Plan S might put Nature out of business, as Rachael Pells reported in Times Higher Education on 13 February 2019: “All the focus [of Plan S] is on the supply side and we think a lot more focus should be on demand – by which I mean the researchers themselves, and other funding agencies that are not yet signed up with Plan S”. Springer Nature then resorted to special pleading, saying titles such as Nature should be treated differently under Plan S: the cost per article of in-house professional editors and the high refusal rate means average APCs are between €10,000 and €30,000 (£8,770 and £26,300), which would be “very difficult” to recover via an article processing charge. 

Lisa Janicke Hinchliffe (Illinois at Urbana-Champaign) summarised the tsunami of responses to the cOAlition S’ call for feedback on the Guidance on the Implementation of Plan S, writing for The Scholarly Kitchen blog on 11 February 2019, picking out seven themes:

  • Clear support for the transition to open access and the goals of Plan S.
  • Concern that the implementation guidance reflects models that work for STEM but will negatively impact HSS scholars.
  • The technical requirements for publication, repository, and other platforms are poorly thought out.
  • The predicted effects on small, independent, and society publishers raise concerns for the viability of these publishers.
  • Setting a fair and reasonable APC sounds fair and reasonable but it is also likely impossible.
  • Scholars and organizations in the Global South object to being told what they want.
  • The timelines are not feasible.

Martin Szomszor, Head of Research Analytics at the Institute for Scientific Information (ISI), part of the Web of Science Group, blogged on 14 March 2019 for The Impact Blog about findings from ISI’s The Plan S footprint: Implications for the scholarly publishing landscape, asking four key questions:

  • Without carefully paced transition to allow for the emergence of new titles, is there a risk of unusual constraints and disjunctions in publishing opportunities in affected subjects? 
  • Might restructuring the spread of well-cited papers have unplanned contingent consequences?
  • How can the shift to Gold Open Access and associated APCs be managed equitably to protect the positions both of unfunded researchers in G20 economies and of a wider spread of authors in emergent research regions, especially given the collaborative nature of academia?
  • There are many small publishers, including those linked to learned societies, who publish an important part of the Plan S funded output in serials central to their discipline. Will transition be more difficult for them and, if so, can this be managed effectively but flexibly?

Jon Tennant (independent) wrote for The Impact Blog on 5 March 2019: “The whole point of Plan S was to disrupt the status quo and transform the world of scholarly publishing. If it yields to those who it is trying to disrupt, at the cost of the greater good, than that’s not exactly progress. Open Access is not a business model, so let us stop treating it as such. I believe that science can help us shape the world to be better, and can help solve the enormous problems that our planet currently faces. I do not believe that having it under the control of mega-corporations and elite individuals or institutes helps to realise this, or is in the principles of fundamental human rights.”

Richard Poynder (independent), who has been called the “chronicler, conscience, and gadfly laureate” of the Open Access movement, wrote for The Impact Blog on 6 March 2019: Plan S and the Global South – What do countries in the Global South stand to gain from signing up to Europe’s open access strategy? He noted thatPlan S raises challenging questions for the Global South … To succeed, Plan S will need other countries to commit to the initiative. To this end, Plan S architect Robert-Jan Smits spent considerable time last year lobbying funders around the world. But should countries in the Global South sign up? Perhaps not … legacy publishers would have little choice but to replace current subscription revenues with article-processing charges (APCs) … Plan S would lead to a near universal pay-to-publish system. APCs range in price from several hundred to over $5,000 per article. This is unfeasible for the Global South and so researchers would be excluded in a different (but more pernicious) way than they are under the subscription system: free to read research published in international journals but unable to publish in them.”

Clearly Plan S poses a host of difficult moral, ethical and financial challenges for all learned societies, including SRHE. Like most societies SRHE joined in a collective response from the Academy of Social Sciences response in February 2019, to which SRHE Director Helen Perkins contributed significantly. That response said:

“3. The AcSS supports the principle of open access as an important public benefit. A key question though is how best to implement this principle, and how to balance it against other principles (academic excellence, autonomy and freedom). Balancing open access is not just a question of balancing one principle against another but considering how in practice open access can be broadened, while not undermining the conditions for producing excellent research and ensuring that an appropriate degree of academic autonomy is supported.

4. Like many other respondents, the Academy of Social Science has concerns about the method and speed of implementation proposed both by cOAlition S and, in the UK, UKRI. We are concerned that these plans are still accompanied by little detail in many important areas, and little empirical evidence about possible effects on the wider systems and structures within which academic research in produced (as well as consumed), or of the effects on different disciplines. We do not believe that ‘Gold’ access is the best solution in all cases; we think that Green (and hybrid) journals are capable of meeting aspirations for wider access.

5. We believe that cOAlition S, and in the UK, UKRI and others, should engage more widely with a range of stakeholders to consider relevant evidence about systemic effects, looking also at distributional effects (between early career and established researchers; research in different parts of the world; and researchers from different disciplines) and a range of possible
unintended consequences, including the effects on the social sciences. This should inform proposals about how to implement aims to improve open access, but would require changes to the timetable announced by cOAlition S.”

The British Academy response in February 2019 was blunt:“ … our initial response … set out our concerns about Plan S’s antipathy to hybrid journals … these concerns are not allayed by the new Guidance. … cOAlition S’s hostility to all forms of hybridity will have precisely the opposite result to its stated intentions.” Meanwhile Euroscepticism persists in Brussels, with Robert-Jan Smits, described as the European Commission’s ‘open access envoy’ declaring there is ‘something fishy’ about publishers setting up mirror journals to get past Plan S proposals about hybrid journals, while publishers protest that mirror journals are simply a necessary part of hybridity.

Echoing Brexit, it seems the divide between the proponents of Plan S and the defenders of the status quo has not diminished, and the initial response to the deadlock may well be to extend the deadline. Elites may be divided, but no doubt they will still emerge unscathed; the price of any change will be paid by marginal communities in the North and the global South. With Brexit many academics, bolstered by overwhelming academic belief in the rightness of their cause, have seized on every shred of evidence to dismiss the alternative. Will Plan S be able to exploit its superficial appeal to the evident rightness of open access, or will academics be willing to engage with the difficult ethical and moral questions which Plan S poses? It may be time for the Creative Commons to take control.

SRHE News Editor:  Professor Rob Cuthbert
rob.cuthbert@uwe.ac.uk  

Rob Cuthbert is Emeritus Professor of Higher Education Management, University of the West of England and Joint Managing Partner, Practical Academics rob.cuthbert@btinternet.com.

Paul Temple


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Let the sunshine in! – no, hang on…

By Paul Temple

I’m walking through central London on a bright, warm, sunny day, people sitting outside at pavement cafes, and I’m thinking, this is nice – then thinking, this isn’t nice at all, this is February, the temperature shouldn’t be in the low 20s. Sunshine – oh, the irony for people on a damp, cloudy, island in the North Atlantic – is now a further unwelcome reminder that my generation has comprehensively failed in its – our – responsibility for the biggest problem, by far, facing us all. There is no technological fix for climate change that is even remotely in sight. Nor can I see a way of evading our responsibility: our generation, the baby-boomers, was of voting age – to set the bar at its lowest – when the damage that humans were doing to the climate became apparent in the later twentieth-century; and nothing much was done.

The evidence mostly wasn’t available for our parents to act on; and the die was already cast (a lot of global warming now being “baked-in”, to use the unfortunate metaphor popular with climate scientists) by the time the generation after us reached voting age. So responsibility for the state of the planet around the turn of the next century, maybe much sooner (and it’s hard to find an informed estimate that isn’t somewhere between unbelievably terrible and plain apocalyptic), rests squarely with us. I’m glad I won’t be around to have to try to explain how we managed to make such a mess of things.

If universities can’t help with what now seems to be mainly a damage-limitation exercise, I’m inclined to think that we should just pack up and go home. The more positive view, presented cogently by Neil Harrison in his 20 February SRHE blog, is that: “We need to reoccupy public spaces and reassert our expertise …. Why would someone want to spend valuable time that could be spent on developing further expertise in dialogue with those seeking to undermine their authority from a position of relative ignorance? … However, this impulse to disengage must be resisted, with educators needing to reassert their expertise in public forums … Relevance can only be rediscovered by finding new ways of working together to reapply our expertise to the world’s wicked problems.”

And while resisting the huge temptation to say “I told you so” to the climate-deniers and climate-delayers (“Yes, we must act, but not just yet…”), universities are in a uniquely strong position to press for global action. They possess both the necessary knowledge base and a non-partisan status. The actions needed are, however, going to be uniquely difficult politically – though perhaps less so as the decades pass and coastal cities flood (see the Environment Agency’s handwringing about the expected future ineffectiveness of the Thames Barrier) and the equatorial belt becomes uninhabitable, driving mass migration. But universities, certainly in Britain, have been notably timid in speaking truth to power, even where the research evidence is overwhelming.

Take an education example: the empirical case against selection at 11+ is as unarguable as anything can be in social research, but I think many parents could be forgiven for assuming that a grammar school/other divide reflects some kind of natural educational order. Have I missed hearing our university leaders saying, minister, your schools policy is just plain wrong? If universities, individually or collectively, can’t make a powerful public case for policy change where the rock-solid research evidence shows that everyone will benefit, what chance is there of them engaging in a difficult debate where politicians need to tell people that they have to put up with uncongenial changes for the benefit of their grand-children?

I really do hope that I’m being far too pessimistic, and that Neil Harrison’s call to arms will be answered by academics taking the fight to public forums and to politicians with the full backing of their vice-chancellors and universities. But if university leaders don’t rally round, well, it’s not the end of the world. Oh, sorry, it is, isn’t it?

SRHE member Paul Temple, Centre for Higher Education Studies, UCL Institute of Education, University College London.

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Putting the education back into governance and teaching

By Rob Cuthbert

The theme of the 4th Annual Conference of the Centre for Global Higher Education (CGHE) was Challenging Higher Education: it did not disappoint.

The opening remarks by CGHE Director Simon Marginson (Oxford) were a rousing call to arms, urging universities to look beyond current bipolar conflicts to develop a more collaborative world, in which UK universities would do more than just “work the British colonial circuit”, in a post-Brexit world of regions where UKHE might not have a region any more. Marginson segued into his introduction of the Burton R Clark Lecture, now a fixture in the CGHE Conference, and delivered this year by Bob Clark’s good friend Michael Shattock (UCL).

In his lecture on ‘University governance and academic work: the ‘business model’ and its impact on innovation and creativity’ Shattock previewed some findings from his latest book, to be published in July 2019. His research with co-authors Aniko Horvath (King’s College London) and Ellen Hazelkorn (Dublin Institute of Technology) in a range of universities in the UK had revealed accelerating diversity of modes and missions, and a trend towards ever more intrusive government policymaking. Governors who might once have been critical friends were now obliged to enforce regulatory guidance from the Office for Students, perhaps the thin end of a wedge of more lay intrusion into what is taught, and how. Paradoxically the idea of the student as customer barely featured in the almost dystopian landscape he painted, first of teaching and then of research. The metric-driven pressure to perform should not, said Shattock, be confused with Clark’s identification of a ‘strengthened steering core’ in the entrepreneurial university. (He would say that, of course, since the original strengthened steering core was probably Warwick’s during Shattock’s towering tenure as Registrar, but it doesn’t make it less true.) That core was closely connected to the academic community, whereas the current academic climate risked repressing rather than fostering academic innovation and creativity. The ‘English experiment’ with HE marketisation had reinforced executive governance; it was time to restore the academic community to its proper role as a key partner in governance. Questions and discussion pushed Shattock to a ‘back to the future’ position somewhat removed from his argument, as he was reluctantly driven to extol an Oxbridge model of governance by academics in contrast to the unduly top-down executive management and governance searingly exposed by his research. It was, nevertheless, a lecture which in a fitting way did justice to Clark’s legacy.

Next up the organisers had conceived a panel discussion on ‘Brexit, UK and Worldwide Higher Education’, not – as no doubt first planned – days after Brexit had actually happened, but on the day after a seven-hour Cabinet meeting had led to proposals for a further meeting, something Cornford surely wrote in Microcosmographia Academica. A post-Brexit Panel would have seemed like a good idea at the time, but now it fell rather flat, despite the best efforts of chair Ellen Hazelkorn (Dublin Institute of Technology) and engaging contributions from Nick Hillman (HEPI) and David Palfreyman (New College, Oxford and an OfS Board member), arrayed perhaps symbolically on the right wing of the panel (as seen from the floor). Lunch intervened before the second keynote from Marijk van der Wende (Utrecht): ‘On a Learning Curve: New Realities for HE in a Changing Global Context’. Her theme was the rise of China, probably soon to become the world leader in HE, and already surpassing the European Union in R&D spend, and the US in scientific output. It was a presentation informed and enlightened by much first class research evidence, but hindered by unreadably small text in many powerpoints, problems with the sound system, and a fire alarm which forced the hall to empty for 30 minutes halfway through her presentation. She was however able to rally and finish with an upbeat quote by the Rector of Leiden about Brexit not holding back the progress of scientific collaboration.

The CGHE team decided to make no concessions for time lost, their judgment vindicated by the continuing presence of most participants staying for the delayed finishing time after 6pm. They were drawn first by the parallel sessions reporting work in progress on some of the many CGHE projects, living up to the Director’s prospectus by offering multi-level global perspectives on public good, graduate skills and careers, sectoral evolution, participation, financing and equity, management and academic work, and more. Golo Henseke and Francis Green of UCL were developing a thesis that social skills were increasingly important for graduate earnings, drawing economic comparisons across Europe, and comparing European and US experiences. Vassiliki Papatsibas (Sheffield) and Simon Marginson were in the early stages of a project on ‘Brexit, emotions and identity dynamics’, where they had been taken aback by the emotional ‘turn’ their data had forced upon them. Does reason enable and passion disable? they speculated. (How else, I wonder, can we account for the flood of academic tweets seizing on every lone shred of evidence pointing to the iniquity of Brexit, from those who would otherwise be railing against government’s own attachment to policy-based evidence?). Aniko Horvath reported early stages in her research with Jurgen Enders (Bath) and Michael Shattock into the scope for negotiated local orders in university governance, drawing interesting comparisons between the UK’s legitimation of committees as part of governance structures, and Germany’s attitude, which regards the role of committees and working groups as at best questionable.

In the final plenary Paul Ashwin (Lancaster) spoke with research-informed passion on ‘Transforming University Teaching’. Oversimplified accounts of the educational process make us lose sight of the educational arguments for undergraduate education. Too often we mistake privilege for ability, and prestige for quality. Justifying HE in terms of generic skills is reductionist, and purporting to explain HE in terms of signalling for employers simply reinforces the iniquitous force of global rankings and institutional prestige. Instead we should recognise that universities are the distinctive custodians of structured bodies of knowledge, and teaching is about designing ways for students to develop access to one or other of those bodies of knowledge – that is how teaching may truly be transformational. This is a continuing process of hard intellectual work: we need to change ourselves and our curriculum, not expect students, managers and policymakers to change so we can stay the same.

Thus the conference ended as it had begun, with a call to put education back on centre stage – in these troubled times that is indeed challenging higher education.

SRHE member Rob Cuthbert is editor of SRHE News and Blog.


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Insights for newer and emerging researchers of higher education

by Camille Kandiko Howson

This is a long overdue blog on my keynote Higher Education Research: A Personal Reflection on Policy and Practice at the 2017 SRHE Newer Researchers Conference (available on the SRHE website as well as a post-Keynote interview). In my defence, I was 8 months pregnant at the time and am starting a new job at Imperial College London. Which means that I have been reflecting on these insights myself, and in relation to colleagues (including those newer and emerging in their higher education careers as well as some very well-established).

Develop skill sets

Personal skills: A research career always starts with your personal skills. Through hundreds of interviews with academics and professional leaders, I have learned that research careers are hard work. A journal publication is akin to the tip of an iceberg of activity. Research requires tenacity, perseverance and loads of patience (from delayed trains to waiting for reviews to come back). Good public speaking requires a lot of practice (and do not read from your slides).

Collaboration skills: Find ways to work with those within your institution. This may be on projects related to your job or be more practical in nature. To progress you will need to work across institutions. This may be strategically for multi-institutional projects or to leverage resources. International collaborations are vital for niche expertise and comparative research. As you narrow your research specialism you will find there are usually a handful of people exploring similar topics. And working internationally does not need to entail a massive budget—I have long-term collaborators I have only met via Skype. Tip: this is a great website to find time zones to connect.

Methodological skills: Develop your methodological toolkit. This means going beyond a simplistic quantitative/qualitative divide. The methods should follow from the research questions and the best way to address them. I use various quantitative and qualitative analyses as appropriate, as well as concept mapping (and developed concept-map mediated interviewing), cognitive interviewing techniques, focus groups (I am a fan of 4-6 people, more than that and voices get lost) as well as interviews. Even more creative methods are being used – from photo elicitation to dance and Lego (which I personally get enough of at home). Tip: distinctive methods can go a long way in selling a research bid.

Writing skills for different audiences: There is no point in doing research if you cannot communicate the findings. There are very different writing styles for different audiences. Academic writing can be heavily referenced and jargon-heavy. The practitioner audience wants to hear the ‘so what’ answered. Writing for policymakers is tough, but at least is always brief. The public is a whole other beast – if your work has public interest I recommend professional media training, it really helped me with live radio broadcasts when you get five minutes to prepare. And when writing for students, it helps to “show your work”, not just the conclusion. I am still working on the skill of taking one piece of research and ‘translating’ it for different audiences (hence a massive pile of rejected journal articles from policy-oriented research projects).

Building a career

Be strategic: Be creative in approaches to roles and responsibilities to build longer term success. Can you turn an internal project evaluation into a research project? Can you repeat a pedagogical intervention each term to build up a longitudinal dataset? Or have a colleague to the same and work together?

Be green: Re-use resources and recycle your data. Within ethical boundaries, you can continually mine your own data. I managed to draw out the theme of ‘creativity’ for a journal special issue from  a large dataset on leadership.

Be free: You do not need external funding to do HE research (although it helps!). If you do not have, or are in between, funded projects, carry on small bits of longitudinal research or pet projects. I have seen full professors present on research they did ‘on the side’ over 5-10 years.

Be you: Develop your own strand or niche within a larger project. This may be within a professional position or a funded research project. You will always be assigned some roles, but seek out related activities that allow you some freedom to pursue your own interests.

Be savvy: This is not for novices, but if you start early it is a lot easier. Conducting a meta-analysis across projects and strands of research allows you to inform policy and have high impact. This can start with high-quality literature reviews or cataloguing studies in your research area.

Research impact

It used to be ‘publish or perish’. For better or worse, impact is the new name of the game now. Think of multiple audiences and what aspects of your research they may be interested in – this may differ for students, academics, institutions, government policy and the wider public. A straightforward way to have research impact is to bid for commissioned research projects: an eager audience already awaits.

Impact means getting your boots dirty – hit the rails, the road, the sky. You need to get your message out there. A tip for research bids – set aside plenty of funding to support dissemination. In addition to the SRHE blog, use Twitter to get your findings out, Wonkhe is great for policy, Times Higher Education has a wide readership and University World News has international reach.

Forging your own path

In the absence of large student cohorts, there are very few ‘traditional’ academic jobs in higher education studies; exceptions are the Master’s in Higher Education courses in the US or a few large-scale doctoral programmes. That means most higher education researchers have their own unique career path, often in hybrid roles with a mix of academic, professional services and managerial responsibilities.

To keep moving ahead in your career, build research networks across institutions and countries. If you do not know where to start, ask questions about someone’s research. Develop broad networks, including for professional work, research, across the sector, as well as policy influencers.

Get off your phone and email and be present and active at conferences; develop a public profile; request coffee chats with those whose work you like. Draw others in to your area of interest. I suggest informal mentors and champions as I have never found a formal scheme that seemed to work out. Find commonalities with others in related and semi-related areas (methods is always a good start). Tip: Write half an article then ask for collaborators rather than starting from scratch.

Challenges and opportunities

Sustaining a research career is not easy. You may encounter research and policy fads. There are endless calls for accountability and the resulting need to translate outputs to meet targets for your institution, REF and impact. It is also a lot easier to publish some kinds of research than others. Building networks can be daunting, and you will encounter tribes and territories and the intimidating disciplinary ‘old guard’ or ‘Mean Girls’-style cliques.

I know several colleagues who have built up professional and research expertise in a niche area or in a specific institutional context, and then feel stuck or are afraid to let go of what they have achieved to move on.

There is also the challenge of positional power in higher education. You might know more than your VC about access, but best not tell her that. Expertise and knowledge can be threatening to those above and around you – academia is not immune to the cry of “enough of experts”. Your research will always be more respected outside your institution.

However, chin up, as they say. Keep the big picture in mind and play the long game. Keep multiple strands of work going. Build supportive networks. Play to your strengths and build on your weaknesses. I need to force myself to stop and write instead of chasing the next grant sometimes. When tensions get tight, speak to facts. And be humble (at least on the outside).

Final points of wisdom

Your specialism will only ever be part of what your day job is; every HE role has its “bread and butter” elements (what pays your salary). Keep your career goals in mind (do you want to be a REF star? Do you want to have policy impact? Or institutional impact? Do you love teaching?

Don’t pull up the ladder behind you, build new ones to drop down. Provide and pass on opportunities to others. Some activities pay your salary, some offer generous or pitiful compensation, others offer prestige, networking, goodwill or, if lucky, a cup of tea and some biscuits. And a random one to finish, never put a country name or a discipline in a title (it is a turn-off to everyone else).

SRHE member Camille Kandiko Howson is Associate Professor of Education in the Centre for Higher Education Research & Scholarship at Imperial College London. Camille is also a member of the SRHE Research & Development Committee


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Pedagogic rights and higher expertise in the post-truth society

by Jim Hordern

This post is part of a series tied to a special issue of Teaching in Higher Education that will be published in March 2019. The founding idea behind this special issue was to spark a re-evaluation of what higher education needs to do to respond to the post-truth world, especially from the perspective of individual educators. The twelve papers, nine of which will be accompanied by posts here on the SRHE blog, take different perspectives to explore the ways in which higher education is being challenged and the responses that it might make in terms of curriculum, pedagogy and professional practice.

Bernstein’s three pedagogic rights (enhancement, participation, inclusion) set out the ‘conditions for effective democracy’ (in discourse and practice) at the ‘individual’, ‘social’ and ‘political’ level (Bernstein, 2000: xxi). Developed as a reflection on political transition in Chile in the 1980s and remaining to an extent ‘enigmatic’ (Frandji and Vitale, 2016), the rights have recently been employed to discuss the South African higher education context (Luckett and Naicker, 2016) and the role of universities in human development and capability expansion (McClean et al, 2013). Consideration of the relationship between the three pedagogic rights aids reflection on the role of higher expertise in contemporary societies facing ‘post-truth’ challenges. If fully exercised the pedagogic rights could mitigate against the destructive potential of ‘alternative facts’ – but does the current context of higher education allow the rights to be exercised?

The right to ‘individual enhancement’ is described as a ‘a condition for experiencing boundaries’ and ‘tension points condensing the past and opening up possible futures’ (Bernstein, 2000: xx). This is the process whereby individuals acquire expertise through engagement in higher education, and become equipped for future thought and action. The right to enhancement assumes the existence of expert communities that can judge when boundaries and tensions have been experienced and enhancement has taken place, as part of a trajectory towards greater expertise and understanding (Winch, 2010). However, the process by which enhancement occurs is not static but rests on the potential for imagining ‘new possibilities’ (Bernstein, 2000: xx). As Luckett and Naicker point out, this is the right ‘that realises both the private and public goods of HE’ (2016: 12). However, it is heavily compromised without the other two rights (participation and inclusion). If higher education is only concerned with individual enhancement rather than ensuring all have the right to participate and to be included, then there is a risk not only that the most powerful individuals will dominate access to expertise, but also that expertise itself becomes increasingly moribund and irrelevant to contemporary society.

The right to participate means participation in the ‘procedures whereby order is constructed, maintained and changed’ (Bernstein, 2000: xxi). This extends to participation in the re-shaping of expertise to meet new requirements as societies change, while not losing the condensed lessons of the past. Participation is the condition for ‘civic practice’ (ibid: xxi), and affects the extent to which an expert body of knowledge maintains or loses relevance to contemporary concerns. A fully democratic society is founded on a right not only to access expertise but also to become an expert oneself. When participation becomes problematic democracy starts to break down, leading to increasing alienation from expertise and the potential for mistrust of the ‘experts’ themselves.

Lastly, the right to inclusion suggests ‘the right to be included, socially, intellectually, culturally and personally’, but also ‘a right to be separate, to be autonomous’ (Bernstein, 2000: xx), and therefore to have one’s individuality and minority view respected while nevertheless remaining ‘included’ in a community. Inclusion must occur, importantly, ‘without absorption’ (Frandji and Vitale, 2016: 16), allowing new perspectives to thrive and challenge existing expertise. Without this subtle conception of inclusion, higher expertise risks retreating to a notion of ‘received truth’ which all must accept with deference. Expertise may be transformed if new and convincing claims come to light that authentically improve understanding, but this can only be achieved through a mode of inclusion that respects difference and independence.

But are these pedagogic rights practised together in contemporary higher education? Some higher education institutions risk becoming increasingly distant from the communities in which they are located, answering instead to the demands of league tables and notions of the ‘global research university’ (Marginson, 2006). Furthermore, academic work is often defined in terms of narrow output measures, irrespective of concerns for participation and inclusion. Market and bureaucratic logics actively undermine the potential for expert communities to operate, and dismiss the criteria of excellence upon which notions of higher expertise are based, replacing them with a belief in the ‘inevitable obsolescence of accumulated knowledge’ (Beck and Young, 2005: 191). Are these promising conditions for the upholding of an open and iterative model of higher expertise which can effectively challenge ‘post-truths’, while valuing the full participation and inclusion of all citizens?

One thesis might be that the post truth context is a consequence of a collapse of deference for ‘authority’, both in institutional and epistemic terms. An alternative argument would assert that ongoing assaults on deference are necessary to expose dominance and bias, and that a ‘post-truth’ or ‘post-enlightenment’ context allows multiple voices to be heard and undue influence to be exposed. Arguably these views foreground either enhancement or participation at the expense of the other pedagogic rights. A further view might suggest that the post-truth context illustrates how expertise is increasingly ‘divorced from persons, their commitments, their personal dedications’ (Bernstein, 2000, 86), partly as a consequence of the extension of market logics into higher education (and the professions). Truth has become commodified so that knowledge can ‘flow like money to wherever it can create advantage and profit’ (ibid), allowing opportunists to exploit increasing levels of public and private disorientation. Enhancement, participation and inclusion are all threatened – and all must be re-thought for the future vitality and relevance of higher education, and for societal ownership of expertise.

Higher education institutions and professional communities responsible for higher expertise have thus far insufficiently recognised the implications of a non-deferential society in which all assertions are challenged, and need to work harder at ensuring inclusion and participation to make enhancement a possibility for all. Making pedagogic rights central to a refreshed notion of higher expertise thus requires a commitment to all three rights: enhancement, inclusion and participation. Commitment to one or two without the other is almost as detrimental to the future of higher education as commitment to none.

References

Beck, J and Young, M (2005) ‘The assault on the professions and the restructuring of academic and professional identities: a Bernsteinian analysis.’ British Journal of Sociology of Education 26 (2): 183-197

Bernstein, B (2000) Pedagogy, Symbolic Control and Identity 2nd edn New York: Rowman and Littlefield

Frandji, D and Vitale, P (2016) ‘The enigma of Bernstein’s ‘pedagogic rights’.’ In Vitale, P and Exley, B (eds) (2016) Pedagogic rights and democratic education: Bernsteinian explorations of curriculum, pedagogy and assessment, pp13–32 London: Routledge

Luckett, K and Naicker, V (2016) ‘Responding to misrecognition from a (post)/colonial university.’ Critical Studies in Education, DOI: 10.1080/17508487.2016.1234495

Marginson, S (2006) ‘Dynamics of national and global competition in higher education.’ Higher Education 52(1): 1–39

McClean, M, Abbas, A and P Ashwin (2013) ‘University knowledge, human development and pedagogic rights’ in Boni, A and Walker, M (eds) (2013) Human development and capabilities: Re-imagining the university of the twenty-first century, pp30–43 London: Routledge

Winch, C (2010) Dimensions of expertise: A conceptual exploration of vocational knowledge London: Continuum.

Jim Hordern is Reader in Educational Studies at Bath Spa University, U.K. His research interests are in educational knowledge and practice, particularly in higher, professional and vocational education. He is Book Reviews Editor of the Journal of Vocational Education and Training and a member of the Editorial Advisory Board for the Internationale Berufsbildungsforschung Springer book series.

You can find Jim’s full article, ‘Higher expertise, pedagogic rights and the post-truth society’ in Teaching in Higher Education 24(3): 288-301 athttps://www.tandfonline.com/doi/full/10.1080/13562517.2018.1532957


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Estranged Students in Higher and Further Education

by Yvette Taylor

This report is based on research by Yvette Taylor (Strathclyde) and Cristina Costa (West of England) as part of an SRHE funded project ‘Exploring ‘Estrangement’ in Higher Education: Standing Alone or Settling In?’

Estrangement feels very taboo… it’s almost like having to out myself a lot of the time to people… people are more familiar with the idea that your parents are divorced or have died or whatever“ (Jennifer, 31)

It’s like a rope round you pulling you back as you’re going forward, but I don’t think it’s a barrier that stops, I think it’s a barrier that’s just there and to be aware of.” (Robert, 29)

Estranged students can be defined as a group of young adults who have unstable, minimal or no contact with their parents and/or their wider family networks. In the context of Scotland estrangement status among students was only recognised in 2016 through campaigning initiatives supported by Stand Alone and ButtleUK. To date, only seven Scottish universities and colleges have explicit policies in place to support this group as signatories to the Stand Alone Pledge.

Little is known about the experiences of estranged students either in the UK or internationally: based on interviews (n=23), this study represents the first of its kind in Scotland, exploring how estranged students navigate education structures and the institutional and interpersonal resources available. It examines estranged students’ further and higher education experiences, identities and expectations, how these are supported and managed and what educational and employment aspirations are fostered and developed. While it is clear that steps have been made in helping education institutions identify and support estranged students, often estranged students do not fit pre-existing widening participation policies or funding categories (eg Bland, 2018; UCAS, 2017); discretion, care and flexibility are needed.

Students become estranged from their families for a number of reasons, including emotional and physical abuse, clash of values and mismatched expectations around family roles. In addition, estrangement can also relate to ‘divorce, honour-based violence, forced marriage, and family rejection of LGBTQI+ students’ (Blake, 2015).

Research Findings

  • Definitions of estrangement are restrictive and inflexible, offering little understanding or appreciation of the complexity of estrangement experiences and practices and hardships: the Office for Students limits the status of estrangement in higher education to students between 18 and 24 years old and stipulates that estrangement means no communicative relationship with either living biological parent (2018), a definition also shared by the Student Loans Company (2016). It can be very difficult to ‘prove’ the status of estrangement under such restrictive conditions.
  • Definitions of estrangement shape the identities and realities of those who are formally associated with it and who can become, or fear becoming, victims of scrutinisation and unfair surveillance strategies, justified in the name of anti-fraud detection. Often monitoring approaches do not take into account the specificities, vulnerabilities or characteristics of estranged students (Bland, 2018).
  • Estrangement does not cease or become irrelevant when a student reaches the age of 25. Even when young people leave the family home it ‘continues to be the site through which many of their individual biographies and expectations are routed’ beyond the tidy age of 25 (Valentine et al, 2003: 481).  This signals the complexity in defining ‘youth’ and the significance of this (expanding) point in the life-course of an individual, especially when they may lack the social and economic support that they are assumed to receive via family.
  • Although well intentioned, supporting structures only cater partially for the needs of estranged students who are often considered from the perspective and experience of traditional students, with ‘add-on’ support recognising additional financial hardships. The intersection of financial, social and emotional needs still has to be taken into account.
  • There are enduring similarities in the experiences of estranged students, with many reporting, for example, experiences of homelessness, severe financial hardship, mental health issues, disrupted study, etc. Experiences of estrangement can lead to a strong sense of difference and exclusion within further and higher education contexts. As colleges and universities claim readiness to welcome a diverse student body, there is a need to acknowledge the complexity of students’ lives, encompassing an approach inclusive of those do not fit within a regular or expected pattern of what it means to be a student.
  • While there are group commonalities, little is known about the differences in estranged students’ experiences, in terms of such issues as race, class, gender and sexuality, a knowledge gap that requires research attention. Students’ struggles need to be accounted for intersectionally rather than through a tick box exercise of widening participation/diversity agendas to which institutions sign up. The Stand Alone Pledge has to be agreed, actively implemented and monitored.  
  • Inclusion of estranged students in academia does not stop at entry point; to measure entry as success would be to ignore the challenges students bring and carry with them throughout their studies, and indeed beyond. Positioning students as ‘non-traditional’ can encourage a deficit perspective (and labelling students as ‘disadvantaged’ may strengthen stereotypes rather than contest them). This ‘othering’ of students from non-traditional backgrounds may well foster a sense of difference, with institutional variations in student integration.
  • It is important to consider students’ own definitions, as well as resistances and personal strength evident in all interviews. Often students face isolation, uncertainty, financial instability and experience or fear of homelessness, and yet have still secured a place at college or university using whatever limited resources, personal and practical, they have to navigate barriers to their academic success.
  • Family estrangement is often regarded as a form of deviance and interference in relation to both unquestioned assumptions and the cultural imagination that ‘a family is forever’ (Sharp, 2017). This is problematic in that such an approach casts estrangement as an anomaly that requires fixing, whereas family estrangement is becoming a more prevalent reality in modern society (Conti, 2015). 

It [estrangement] seems negative that you’re either cut off or cut yourself off from your family, and normally that comes with the attachment of ‘what have they done wrong for that to happen?’ (Robert, 29)

[estrangement comes with] a degree of further responsibility and further pressures that not everybody has to experience.” (Dylan, 28)

So I think financially it is a big difference [from peers who are not estranged]. As well as like focusing on my studies I need to focus on an income.” (Ingrid, 22)

Maybe they [students who are not estranged] can have worries about other things, but they will never lack food, they will never have to worry about rent or stuff like this.” (Martin, 22)

References

Blake, L (2017) ‘Parents and children who are estranged in adulthood: a review and discussion of the literature’ Journal of Family Theory & Review 9 (4): 521–36 https://doi.org/10.1111/jftr.12216

Bland, B (2018) ‘It’s all about the money: the influence of family estrangement, accommodation struggles and homelessness on student success in UK higher education’ Text. July 2018. https://doi.org/info:doi/10.5456/WPLL.20.3.68.

Conti, RP (2015) ‘Family estrangement: establishing a prevalence rate’ Journal of Psychology and Behavioral Science 3 (2): 28–35 https://doi.org/10.15640/jpbs.v3n2a4

Scharp, KM (2017) ‘‘‘You’re not welcome here”: a grounded theory of family distancing’ Communication Research, June https://doi.org/10.1177/0093650217715542

Taylor, Y (2018) ‘The strange experiences of ‘estranged’ students’ Discover Society (blog) 2018 https://discoversociety.org/2018/11/06/the-strange-experiences-of-estranged-students/

Image: Postcard produced by research participant (see Taylor, 2018).

SRHE member Yvette Taylor is Professor of Education and Deputy Head of School (Research) in the School of Education at Strathclyde University.


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All swans are grey when you’d rather not look

by Paul Temple

Peter Bernstein, in his book Against the Gods: The Remarkable Story of Risk (Wiley, 1996), argues that risk was the revolutionary idea that defined modernity: “a rational process of risk-taking…provided the missing ingredient that has propelled science and enterprise…[into] our own age” (2). Bernstein argues that an understanding of risk enabled people to think about the future in a new way, and, crucially, to see that they might have some control over it. Tomorrow need not be like today.

I don’t know about you, but when I last completed a risk register entry, it didn’t quite feel as if I was pushing the boundaries of modernity. I always made sure that my entries were completely in the red sectors of the form: high risk of failure with catastrophic consequences and no mitigating actions possible. This was for two reasons: Continue reading