Transformation of University Governance Through Internationalization

Challenges for Research Universities and Government Policies in Japan

Akiyoshi Yonezawa, PhDyonezawa@gsid.nagoya-u.ac.jp

Graduate School of International Development (GSID)Nagoya University, Japan

Yukiko Shimmi, PhDy.shimmi@r.hit-u.ac.jpGraduate School of Law

Hitotsubashi University, Japan

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This presentation is based on

Yonezawa, A., & Shimmi, Y. (2015). Transformation of university governance through internationalization: challenges for top universities and government policies in Japan. Higher Education 70(2).173-186.

in a special issue on world class universities in East Asiaedited by Gerald Postiliglione and Akira Arimoto

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Characteristics of a World-Class University (WCU): Alignment of Key Factors

Source: Created by Jamil Salmi

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1. Abundant resources: - Classification (e.g. California Master Plan -> Philippines and Vietnam)- Dual Systems (e.g. Polytechnics in Singapore)- Excellence Initiatives

(the selection of competitive research units by performance)• Korea: BK21, WCU• China: 211, 985• Japan: COE21, Global COE, WPI• Germany: Excellence Initiatives

2. Concentration of talent:• A domestic screening system of the students to top universities (all East Asia)• International student & faculty recruitment: Singapore, HK… • Brain circulation (returns of academics trained overseas): Korea, China

3. Favorable governance: (varies among East Asian systems/universities)• Supportive regulatory framework: Japan (in tradition), HK• Autonomy, academic freedom: Japan (in tradition), HK• Leadership team, Strategic vision: ???.. Japan (after incorporation)??• Culture of Excellence: top among East Asian universities to some degree

-> Trend to pursue WCU through excellence initiatives stimulated Japan 5

Diversity in the balance of three key factors of WCUs among East Asian systems/universities: both in current status and policy agenda

PurposeTo examine the challenges of internationalization among

the top universities in Japan, both for the government and the universities themselves

• Reflect on the historical background of Japanese higher education that developed as an early front-runner in Asia, along with the dynamics of national identity and global trends

• Examine a series of government-funded programs for research and internationalization by focusing on functions in governance reform

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• Discuss that the construction of “world class universities” does not only implies concentrated financial investment, but also a comprehensive transformation of university governance in a global context both by university and government.

• Point out the major challenges for top Japanese research universities, in terms of maintaining and improving their international presence.

• Clarify the implications both for other East Asian economies and for mature economies facing demographic challenges.

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Historical background:Japan’s top universities have achieved a distinguished status in Asia by 1990s through the strong protection of a national higher education system based on the national language and culture (not by “global”, “cosmopolitan”, or “English speaking”..

• by mid 19th Century: Only a selective exposure to foreign intellectual documents (Netherlands & China).

• in the latter half of 19th Century: Constructed first university (University of Tokyo) and other HEIs by relying on foreign experts invited from the West, but were shortly replaced by Japanese academics trained in the West, and switched the language into the national language.

• in the mid 20th Century: Though Japanese scholars were given opportunities to study in the West after the defeat of WWII, the impact of those scholars was much smaller compared with the impact in other new industrial countries in East Asian countries.

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However…the strong national identity of Japanese universities has turned into a weakness with globalization

• By the beginning of 21st century: Japan was facing a difficulty in maintaining a competitive place in a rapidly globalized research and HE community.

• World University Ranking (QS):– University of Tokyo was ranked 19th in 2008 and 31st in 2014 – Japanese universities in top 200 remain stable (9 to 10)– Asian universities increased from 29 to 36

• Research & Publication• Japan’s total amount of publication is shrinking (Thompson Reuters 2010).• Japan is notably behind in the increase in international co-authorship when

compared with UK, France, Germany (NISTEP, 2013).• Student Exchange

• China and South Korea and other Asian countries have become competitors in recruiting international students

• The number of Japanese students studying abroad is decreasing from 82,945 in 2004 to 57,501 in 2011 (MEXT 2014).

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Research fundingExcellence Initiatives• 21st Century Centers of Excellence

(21COE) (2002-2009)• Global Centers of Excellence

(GCOE) (2007-2014)• World Premier International

Center Initiatives (WPI) (2007-2012)

Governance improvement• Program for Promoting the

Enhancement of Research Universities (PPERU) (2014-2023)

Internationalization• Strategic Fund for Establishing

International Headquarters in Universities (SIH)(2005-2009)

• Global 30 (Project for establishing university network for internationalization) (2009-2014)

• Project for Promotion of Global Human Resource Development (2012-2016)

• Reinventing Japan Project (2011-)• Top Global University Project (2014

-2023)

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Government-funded programs for research and internationalization

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Excellence Initiatives (direct funding for research activities)

21COE (21st Century Centers of Excellence)

2002-2009 271 units 100-500 million JPY/year for 5 years

GCOE (Global Centers of Excellence) 2007-2014 140 units 50-300 million JPY/year for 5 years

WPI (World Premier International Research Center Initiatives)

2007-2022 9 units 700-1400 million JPY/year for 10-15 years

Governance Improvement (not directly for research activities)

PPERU (Program for Promoting the Enhancement of Research Universities)

2014-2023 22 universities

400-200 million JPY/year for 10 years

Research fundingContext: “Toyama Plan” in 2001 —> the idea of forming 30 WCUsStimulated by BK21 in South Korea and Project 211 and 985 in China

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21COE GCOE WPI

2002-2008 2007-2013 2007-2021

annual budget (Japanese Yen)100-500

million

50-300

million

700-1400

million

N N Year

Former Imperial

University of Tokyo 28 18 2007

Kyoto University 23 13 2007

Osaka University 15 12 2007

Tohoku University 13 12 2007

Nagoya University 14 7 2012

Hokkaido University 12 7

Kyushu University 8 5 2010

National

Tokyo Institute of Technology 12 9 2012

Kobe University 7 3

Chiba University 4 2

Hitotsubashi University 4 2

Hiroshima University 5 0

University of Tsukuba 4 1 2012

Kumamoto University 2 3

Private

Keio University 12 7

Waseda University 9 8

Ritsumeikan University 4 3

Table 1: Universities that received funding projects for world-class research(five or more units in total)

Strategic Fund for Establishing International Headquarters in Universities (SIH) (2005-2009)

• Context: Just after the incorporation of national universities in 2004 & achievement of 100,000 international student plan in 2003

• 19 universities (15 national including all former imperial, 1 local public & 3 private) & 1 inter-university research institute

• 10-40 million JPY/yr• Purpose: To improve the strategic approach to internationalization on

the 9 themes (Ota,2014)

– organization and governance for internationalization– goal setting, action plans, and evaluation systems– attracting external funds for international education and research– participating in and utilizing cross-border inter-university partnerships and consortiums– expansion of international activities based on specific transnational research projects– training and recruiting administrative personnel for international programs– improving services and support for international researchers– expanding overseas study and research opportunities for young Japanese researchers– establishing and operating overseas bases

• Planning and assessment: Case study approach (qualitative)

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Global 30 (Project for establishing university network for internationalization) (2009-2014)

• Context: Just after Asia Gateway Initiative (2007) & 300,000 International Student Plan (2008-2020) --> enhancement of research excellence & networks, accepting international students and international researchers

• 13 universities (7 national including 6 former imperial & 6 private)• Purpose: To elevate the international competitiveness of Japanese HE with the focus

on accepting international students and faculty members and developing networks. • Indicators for selection —> Related to world university rankings —> large

universities– Granting of 340 or more post-graduate degrees (master or doctor) annually in the last three

years– Acquisition of 130 or more Grants in Aid from JSPS annually in the last three years– Acceptance of 300 or more international students from more than four countries in 2008 – Sending of 50 or more students abroad in 2008 under official student exchange agreements – Employment of more than 45 international faculty members – Participation in international university consortiums– Having plans to establish at least one undergraduate and one post-graduate degree program in

English, in addition to the existing programs– Establishment of offices abroad for recruiting students, and willingness to allow their usage by

other Japanese universities;– Having plans to realize a share of international students of 20% (and at least 10%), and a total

number of international students more than 2,599 by 2020;– Plan to make the share of international faculty into 10% (at least 5%) by 2020.

• Planning and assessment: including key performance indicators (quantitative)14

Top Global University Program(2014-2023)

• Context: The national plan for making 10 Japanese universities ranked in top 100 in the world

• Purposes:• Type A: to aim at the top 100 in world rankings• 13 universities (11 national including all former imperial & 2

private)

• Type B: to lead Japanese society in globalization• 24 universities (10 national, 2 local public & 12 private)

• Planning, selection, and assessment:• Based on key performance indicators that were provided by the

government. (details follow)• The indicators were not only directly related to

internationalization but to university reform in general (e.g. governance, management, structure, curriculum, and admission). (mainly quantitative) 15

Key performance indicators used for“Top Global University Project”

1. Diversity1. International faculty members and faculty members with foreign degrees2. International non-academic staff and staff with foreign degrees 3. Female staff4. International students

2. Student mobility1. Japanese students with study abroad experiences2. Student exchange based on university partnership agreements

3. Support for student exchange1. Support system for Japanese students to study abroad2. Support system for hosting international students

4. Language1. Classes in foreign language 2. Degree programs in foreign language3. Japanese language education4. Assessment, monitoring & improvement of foreign language ability of the

students16

(1) Internationalization

5. Curriculum management1. Numbering of subjects2. Introduction of GPA3. Syllabus in English4. Quality assurance and International recognition of the educational programs

6. International openness1. Flexible settings of academic calendar2. Usage of International Baccalaureate in entrance examination3. Entrance examination and screening before coming to Japan4. Notice of scholarship/loan opportunities before coming to Japan5. International dormitories6. International branches7. Active usage of international alumni network8. Information provision in foreign language

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(1) Internationalization

Key performance indicators(Cont.)

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1.Personnel system1.Introduction of annual based contract salary2.Introduction of tenure track system3.Introduction of internationally adaptable personnel system4.Development of internationally adaptable recruitment and

human resource development2.Governance

1.Development of non-academic staff2.Setting a concrete vision and a mid-term plan3.Enable speedy decision-making4.Participation of non Japanese in decision-making bodies5.Strengthen and improve the functions of institutional research

(2) Governance & University Reform

Key performance indicators(Cont.)

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1. Qualitative transformation of education & active learning1. Securing the substantial learning hours of students2. Promoting students’ active participation in university governance3. Utilizing Teaching Assistants in education practices

2. Reform of entrance examination1. Using TOEFL and other external testing services in undergraduate admission2. Reforming entrance examination to evaluate various aspects

3. Flexible and various academic path1. Development of flexible transferring system & late specialization, etc.2. Early enrollment and graduation, five year bachelor + master's program

(3) Educational Reform

Key performance indicators (Cont.)

1. Information disclosure(4) Others

(5) An organizational structure to implement the above reforms(6) Type A requested to provide data on

1. Strong academic fields in terms of international reputation2. Research performance (citation, international co-authorship,

international joint research projects, consignment study)

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Nagoya University: “Asian university-hub for developing sustainable world in the 21st century,” and launched satellite campuses in several Asian countries for offering doctoral programs to the future national leaders.

Waseda University: “Waseda Ocean Initiative - developing educational networks with international openness, diversity, and mobility,” to improve the international openness of the university to promote academic mobility and to enhance the quality of education and research.

Examples of the plans of the selected universities

Concerns: the use of these indicators for the planning, selection, and evaluation process…

• A potential risk of micromanagement by the government through these multiple key performance indicators

• Might result in isomorphic standardization in the approach of internationalization among universities

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SIH Global 30 Top Global University

2005-2009 2009-2014 2014-2023

annual budget (Japanese Yen) 10-40 million 200-400 million 500 million (TYPE A)

Former Imperial

Hokkaido University x x

Tohoku University x x x

University of Tokyo x x x

Nagoya University x x x

Kyoto University x x x

Osaka University x x x

Kyushu University x x x

National

University of Tsukuba x x

Hiroshima University x x

Tokyo Institute of Technology x x

Tokyo University of Foreign Studies x

Tokyo Medical and Dental University x

Hitotsubashi University x

Niigata University x

Kobe University x

Tottori University x

Nagasaki University x

Local Public

Aizu University x

Private

Keio University x x x

Waseda University x x x

Meiji University x

Sophia University x

Doshisha University x

Ritsumeikan University x

Tokai University x

Table 2: Universities that received funding projects for internationalization to be world-class

Overlap and consistency among the selected list of universities

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Characteristics of a World-Class University (WCU): Alignment of Key Factors

Source: Created by Jamil Salmi

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②

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– Abundant resources: • Japan: started as “Excellence Initiatives” (e.g. 21COE, Global COE, and WPI);

however …the shift of focus from funding research activities directly to the governance reform in research and Internationalization —> The purpose to accumulate resources for research excellence has become unclear.

– Concentration of talent:• A domestic screening system of students to top universities have continued to

function; however, facing a gap between existing national curriculum and competences that are required in the globalized labor market even among Japanese top universities.

• International student & faculty recruitment: Numerical targets were set based on the request from the government; not necessarily based on internal needs of universities for a better education and research, but for meeting the criteria of world university rankings.

• Brain circulation (returns of academics trained overseas): Included as a part of the performance assessment, but lacking a clear institutional strategy.

– Favorable governance: • Potential risk of micromanagement by the government through the funding

projects• Supportive regulatory framework: Japan (traditionally) —> is being lost!• Autonomy, academic freedom: Japan (traditionally) —> became weak!• Leadership team, Strategic vision: ??? —> has become more visible and

systematized by the projects and assessment by the government —> not necessarily driven by the universities!

• Culture of Excellence: top among East Asian universities to some degree —> is being lost!

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Conclusion• The construction of “world class universities” does not only

implies concentrated financial investment, but also a comprehensive transformation of university governance in a global context. (Though the context was not defined by autonomous decisions of the universities by government policy forces in Japan.)

• Considerable overlap exists between the lists of universities selected for the various funding projects. —> The gap may have widened between these top universities and universities with defined international profiles and other colleges and universities.• Japan’s top universities—represented by the former

imperial universities and the long-established prestigious private universities—tend to strengthen their capacity by successfully participating in funded projects.

• Other colleges and universities in the middle and lower ranges cater more to the domestic student and labor market and have insufficient funding for internationalization.

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What comes next?

“Categorization” of performance funding schemes among 86 national universities based on self choice: (2016-2021):

1. 55 universities serving for local communities with globally and nationally competitive education and research in specific fields

2. 15 universities conducting globally and nationally competitive education and research in specific fields

3. 16 universities conducting globally distinguished education, research and social contribution in all the fields, and compete with globally competitive overseas universities

Restructuring the national universities: reconsider the school and program provision, especially in• A general study program

not linked to teacher’s license at teachers’ training schools

• Reconsideration of humanities and social science programs to fit to the contemporary social demand

Idea of financial reforms of national universities by the Ministry of Finance

• 1% reduction every year in allocation for operational budget to national universities

• National universities are expected to increase the self generated income such as tuition and fees, income from industries…

Challenges for Japanese Research Universities

• The effect of the government-led transformation of university governance through the process of internationalization is still unclear.

• Challenges1. Japanese universities’ weak exposure to market mechanisms, which

are incentives to participate in the competition for international academic resources, may set limits on these institutions’ further improvement in international competitiveness.

2. The tension between the desire for a global or cosmopolitan profile and the preservation of national identity—as well as between the drive in state policy towards efficiency and the decentralized nature of academic autonomy—are becoming more apparent.

• The internationalization of a wider range of education and research institutions must be pursued, as a nation, to stimulate domestic competition in the internationalization of the education system and Japan’s society as a whole.

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非常感謝！

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