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Editor’s note: one of the more interesting aspects of the globalization of higher education is the emergence of new universities (e.g., Saudi Arabia’s King Abdullah University of Science and Technology, KAUST), as well as some experiments in the establishment of 21st century liberal arts colleges (LACs); LACs that both reflect, and simultaneously attempt to shape, currents of thoughts about the future of global higher education.  For example, I recall, very clearly, the contested emergence of Quest University Canada in a local context relatively hostile to private higher education institutions (HEIs), even HEIs that are (as Quest is) non-profit and genuinely student centered. More recently, Amsterdam University College (est. 2009) was established in the context of experiments in higher education reform in the Netherlands, as well as in the Amsterdam city-region. By most accounts Amsterdam University College (AUC) has been an early success re. enhanced student learning outcomes, while uniquely reflecting the cosmopolitan nature of Amsterdam. We’ve also seen the establishment of branch campuses such as NYU Abu Dhabi, similar to AUC in some ways, but reflective of more geographically diverse currents of thoughts, resources, ideologies, and institutional impulses. The same goes with respect to Yale-NUS College, currently in the development phase on the edges of the National University of Singapore (NUS) campus.

One of the important aspects of the development of higher education institutions such as NYU Abu Dhabi, Duke Kunshan University, and Yale-NUS College, is that they are branded and usually shaped by an established elite university, but they require state largesse (from the host city/nation-state) to exist. These are spectacular initiatives, in some ways, but in so requiring state largesse, including from non-liberal (often authoritarian) political regimes, they require the assemblage of elements of geographically separate institutional infrastructures, curricula, brands, modi operandi, etc.  In the context of bringing all of these material and non-material aspects of the development process together, all sorts of debates can emerge for the articulation process is never easy. Moreover, the typical planning process is relatively complicated, with different agendas, assumptions as to what a ‘non-negotiable’ is, and variable temporal expectations regarding desired outcomes. Add some intra-institutional dynamics into the mix, including different understandings of the governance pathways that should be utilized for these often high risk endeavors, not to mention variable senses of the value of transparency when governing, and some intense debates are sure to emerge!

Dr. Michael Montesano’s guest entry below (‘Is Yale a Reliable Partner for the National University of Singapore?’), also available in PDF format, needs to be situated in the context of deliberations about the nature of the formal and informal governance pathways that are utilized for high risk global higher ed initiatives. Dr. Michael Montesano is a long-time resident of Singapore, a Southeast Asia specialist, and a member of the Yale College Class of 1983. He taught in the Faculty of Arts and Social Sciences of the National University of Singapore from 1999-2008 and was an inaugural recipient of the NUS Alumni Advisory Board’s Inspiring Mentor Award (in 2009).

Kris Olds

~~~~~~~~~~~

Is Yale a Reliable Partner for the National University of Singapore?

by Dr. Michael Montesano (3 April 2012)

Yale University’s approach to its partnership with the National University of Singapore (NUS) to establish an undergraduate liberal arts college in the country is flawed and ill-conceived in ways that call into question Yale’s ability to be a responsible long-term partner for Singapore and its national university.  Yale’s current leadership has pursued the project in so personalistic a fashion as to build no solid institutional foundation for it at Yale.  That leadership continues to demonstrate no effective understanding of Singapore, even as it has alienated the distinguished specialists on Southeast Asia on Yale’s faculty who could offer guidance.  That leadership appears to censor itself and to pursue a wider regime of self-censorship at Yale in matters relating to the proposed Yale-NUS college.  This regime cannot last; the dissatisfaction that it arouses will come to undermine Yale’s ability to serve as NUS’s partner.  Efforts on the part of Yale’s leadership to address concerns at Yale about academic freedom in Singapore have remained vague and evasive.  That leadership has never explained clearly the role of a “national university” in a “late”-developing country like Singapore or the instrumental nature of academic freedom at such a university.  Other aspects of that role suggest additional challenges that an effective partnership between Yale and NUS will face.  The proposed partnership between Singapore and NUS has now caused a deep, bitter crisis of governance at Yale.  The university now faces two choices: to withdraw from its partnership with NUS or radically to restructure its plans for participation in the proposed Yale-NUS college in Singapore.

I. A poorly informed, reckless, and “sultanistic” commitment.

Last August, during one of the current Yale president’s eerily McNamara-esque flying visits from the Eastern Seaboard of the United States to a Southeast Asian country of whose history and day-to-day life he lacks all comprehension, I attended a reception in his honor for Yale alumni living in Singapore.   The event began with some informal remarks from the president, heralding the great promise of the liberal arts college that Singapore’s People’s Action Party (PAP) government had hired Yale to help create on the Kent Ridge campus of the National University of Singapore. Early in those remarks, the president noted his regret that some of what had been said about this plan in New Haven might have caused “embarrassment” in Singapore.  With breezy contempt, he indicated that criticism of the plan reflected the views of only a small minority at Yale and that newspapers and their coverage need not be taken too seriously.

Already opposed to the plan for a “Yale-NUS College,” I nevertheless found in these remarks two further causes for real concern about the scheme.

First, I asked myself, did Yale’s president really understand Singapore so poorly as not to know that its PAP government has long brushed aside comments from weak and woolly Western liberals on all but two or three very specific aspects of its system of government?  Could he really think that anyone in authority in Singapore had been embarrassed by the rather predictable criticisms voiced by members of the Yale faculty or printed in The Yale Daily News?

Second, I had to wonder, could Yale’s president, travelling with a number of members of the Yale faculty, honestly believe that his sneering reference to a free press would not get back to New Haven?  Did he not understand that, when it did, his offer to enlist Yale as one more regiment of educational Hessians in the service of the PAP government would only face even sharper criticism?

NUS and the Singapore government had, I then realized, had the bad luck to tie themselves to a partner who was both exceedingly poorly informed and terribly reckless.

But the evening only grew more worrying.  As Yale’s vice-president-cum-University-Secretary and I spoke by the buffet table some twenty minutes after the president finished his remarks, he walked over, and the vice president took the opportunity to introduce us.  I told Yale’s president that I believed that his failure, as in his remarks that evening, to articulate any understanding of the Singaporean and Southeast Asian contexts in which Yale would help found this new college meant that what he said about the college and its promise to bring liberal arts education to “Asia” had no credibility.  He replied, as the vice president listened, that having and articulating such an understanding were not his job.  To my comment that he was in that case in way over his head in Singapore, he told me to “come back in five years” and see what the new college would by then have accomplished.  My reply, one that mirrored the sentiments of various senior members of the Yale faculty with whom I had spoken over the course of the preceding year, was that it was likely to be a pretty mediocre operation.  Now the president grew openly angry.  Snarling that he had been involved in many undertakings in his life and that not one had been mediocre, he abruptly turned his back on me and strode off.

Unpleasant as this brutal display of  the Yale president’s self-regard was, it was also quite useful.  For it alerted me to a third cause for concern about the planned Yale-NUS college.  Yale’s current president clearly had so much of his ego tied up in the scheme that he was beyond having a serious, rational discussion about it with an informed critic.  And, having served in his post since 1993, he could only be considered a short-timer.  How could NUS and Singapore possibly count on Yale’s next president to share its incumbent president’s commitment to the new college, when that commitment had such an unmistakably personal rather than institutional nature?  Perhaps Yale’s Singaporean partners ought to bone up on the eminent Yale political scientist and sociologist Juan J. Linz’s work on “sultanism” as they prepare to treat further with Yale and its current president.  Perhaps, too, they ought to contemplate Professor Linz’s theorizing on the aftermath of the demise of “sultanistic regimes” and its implications for the future of the Yale-NUS college.

II. Singapore: In Southeast Asia, or just  “Asia”?

In September 2010, when Yale first formally announced that it was exploring the establishment of a liberal arts college at NUS, the Yale Office of International Affairs issued a five-page document entitled, “Yale and Singapore: Other Projects and Facts.”   In addition to listing internships, the number of Yale alumni in Singapore and of Singaporeans at Yale, workshops, summer courses, and various other connections between Yale and Singapore, the document noted that “Yale established its Southeast Asia Studies Program in 1947 – the first area studies program in the United States to embark on the study of Southeast Asia in all disciplines.”    Today, that program takes the form of a Council on Southeast Asia Studies, bringing together faculty from a range of departments.

Among the half-dozen most important Southeast Asianists to teach at Yale in the past sixty-five years was a Sudetenland-born Jew whose family saved him from the Holocaust by securing him a post in the Netherlands East Indies, today’s Indonesia, in 1939.  Following internment on Java by the Japanese, arrival in New Zealand as a refugee, and a Cornell doctorate, Harry J. Benda joined Yale’s history department in 1959.  Professor Benda died, too young, in 1971.  His journal articles, collected in a Yale Southeast Asia Studies publication by the late, great Yale historian Robin Winks, remain to this day influential in shaping understandings of the interplay of past and present in this region.

And, while the staff of the Yale Office of International Affairs seems to have been unaware of it when they compiled the September 2010 document, it was in the career of Professor Benda that the most significant previous academic connection between Yale and Singapore came.  In 1968 the father of the Singaporean technocracy, Dr Goh Keng Swee, selected Professor Benda to serve as the inaugural director of the Institute of Southeast Asian Studies (ISEAS) while on leave from Yale for a year. At the time of its foundation, ISEAS embodied then newly independent Singapore’s realization of the need to understand its neighbors.  Dr Goh’s appointment of Professor Benda, his confidence in Professor Benda’s suitability for the post, was no casual matter; little about the PAP state’s approach to government or institution-building is ever a casual matter.

Today, Harry J. Benda’s portrait hangs in a place of honor in the ISEAS library, in the Institute’s building adjacent to NUS’s Kent Ridge campus.  The Association for Asian Studies annually presents a prize named in Benda’s memory for the best “first book” on Southeast Asia.[1]  But neither Yale’s current president nor any of those at Yale willing to work with him in creating the Yale-NUS college would appear ever to have publicly alluded to his place in Yale’s history of academic relations with Singapore or to his relationship with Dr Goh, yet alone cited his invaluable work or durable insights on Southeast Asia, even as they plunge into a long-term involvement with this region.

Neither is it the case that Yale’s leadership show any sign of drawing instead on the work of other serious scholars of Southeast Asia in an effort to understand Singapore and its region.  Instead, as in a now notorious episode, Yale’s president has displayed more familiarity with the much advertised Singapore Airlines than with scholarship that might help him understand in an intellectually credible way the historical, social, political, and economic contexts in which the Yale-NUS college will operate.[2]

At times, in fact, it has seemed that Yale’s leadership remains in denial of the reality that Singapore is in fact in Southeast Asia.  Yale’s president appears to conceive of a place called “Asia,” to which he will deliver the blessings of a liberal arts education in the form of a college sited in Singapore.  Scholars in attendance at the Yale-NUS college reception during the annual meeting of the American Historical Association in Chicago this past January cringed as Yale’s president witnessed his missionary impulse to bring education to this “Asia,” as he slighted the calibre of NUS’s extant offerings in the humanities and social sciences and its University Scholars Programme honors program, and as he repeatedly invoked “Asians.”  One of those present e-mailed me to say that it all sounded like something out of Kipling, that Yale’s president could not possibly appreciate how foolish he sounded to the Asianists in the room, Singaporean and non-Singaporean alike.

Can NUS and Yale’s new employers in the PAP government possibly deem reliable a partner that, so many months into their partnership, remained both so uncomprehending and so uninterested in their country and its region?  Hard to imagine.  But the situation is still worse.  For, in addition to this lack of comprehension and interest, one must note the alienation from the Yale administration’s decision to sell Yale’s services to Singapore of the members of Yale’s Council on Southeast Asia Studies, of the Yale faculty who have actually devoted their lives to understanding the region and might bring their understanding to a Yale initiative in Southeast Asia.

Last August, Yale and NUS convened in New Haven a curriculum-planning event.  NUS’s president and vice-chancellor Tan Chorh Chuan attended, along with Yale’s president.  So did Southeast Asianists from Cornell and Berkeley, but not from Yale.  It is impossible to know whether President Tan remembered Yale’s boast of eleven months before about its legacy of and strength in the study of Southeast Asia and thus wondered why his new partners could not produce Yale’s Southeast Asianists at this event.  In fact, the members of Yale’s Council on Southeast Asia Studies only learned about the event afterward.  Their participation would have introduced a decidedly unwelcome element of dissent into the event.  But Singapore has a duty to ask itself, how dependable a partner can Yale be, if its leadership cannot count on the assistance of the members of its faculty best prepared to guide it as it seeks to navigate the region?

III.  The rot of self-censorship.

Liberally inclined Singaporeans have long viewed self-censorship as the scourge of the political system that has resulted from uninterrupted PAP rule since before their country’s independence in 1965.  Willingly or not, most Singaporeans and many foreigners resident in Singapore rely on internalized self-censorship as they go about their daily lives.  This is a choice that they make.  It is also a reality that may change as the history of this country unfolds.

As the Yale president’s remarks on the press here last August suggest, however, the real concern raised by Yale’s engagement with the PAP government and with NUS involves self-censorship at Yale rather than in Singapore.

In fact, a Yale news release of May 2011 led many Yale alumni in Singapore—both Americans and Singaporeans—to conclude that Yale was already practicing artful self-censorship.[3]  The release announced that a member of the Yale College Class of 1980, Charles W. (“Chip”) Goodyear, would join the governing Yale Corporation as a Successor Trustee.  It detailed Mr Goodyear’s record of generous and meaningful support for Yale and his career in finance and mining.  It omitted, however, any mention of Mr Goodyear’s relationship with Singapore.  In early 2009 it was announced with great fanfare here that Mr Goodyear had been named CEO-Designate of Temasek Holdings, one of the PAP government’s two well endowed sovereign wealth funds.  He was due to take the reins at Temasek in October of that year.  In July 2009, however, it was announced that an inability to agree on questions of corporate strategy had led Temasek and Mr Goodyear to the mutual decision to call this plan off and to part ways.  The scale and prominence of Temasek meant that, in Singaporean, Asian, and indeed global financial circles, this was big news.  It represented an undeniable loss of face for the PAP government, which has long taken pride in succession planning.  And the omission of any mention of Mr Goodyear’s brief employment with Temasek in Yale’s May 2011 release led alumni here to chuckle knowingly and to remark to one another how quickly Yale’s leadership had assimilated Singaporean norms of self-censorship.

Today, faculty at Yale report nervousness in the ranks about opposing plans for the Yale-NUS college openly, for fear of retribution.  When, a year ago, I raised my own objection with one of Yale’s recent “star hires” in the social sciences, he told me curtly that all to whom he had spoken had told him that this was a train that had already left the station.  Translation: he was not commenting, and our conversation should move on to another topic.

Yale undergraduates have not been spared the pressure to censor themselves either.  On one occasion in early 2011, Yale’s president placed a call to The Yale Daily News to advise the author of an op-ed piece critical of his plans for Singapore to consider other perspectives on those plans in the future.

The problem, of course, is that the routinization at Yale of self-censorship on matters relating to Singapore will require substantial disruption of the intellectual life of the university.  Over time, Yale faculty and students will find the need to censor themselves when writing of Singapore or of the Yale-NUS college impossible to abide.  And there is another angle to all this, for, in its zeal to pursue its own version of the internationalization of the university, Yale’s current leadership overlooks just how “international” Yale’s intellectual life has long been.  Recent developments in Singapore and their relationship to Yale are illustrative.

Singapore held polls for the country’s largely ceremonial presidency last August.  In the course of the unusually heated campaign, there was discussion of the arrest of more than twenty social activists and labor organizers, including many affiliated with the Catholic Church, in 1987 under the country’s Internal Security Act (ISA).  Typically referred to, following the PAP government’s description of it, as “the Marxist conspiracy” but also sometimes called, following apparent Internal Security Department nomenclature, “Operation Spectrum,” this episode is not often talked about in Singapore.  But it remains controversial, and its impact on the Church here has been profound.  Until the recent publication of the detention memoir of the now retired lawyer Teo Soh Lung, perhaps the most important book on the episode was Francis Seow’s To Catch a Tartar: A Dissident in Lee Kuan Yew’s Prison, published in 1994 in Yale’s own Southeast Asia publications series.  The question that must be asked is whether, if in future such a manuscript comes to Yale’s Council on Southeast Asia Studies, its leadership will either feel obliged to or come under subtle pressure to decline to publish it, in order not to cause Singapore “embarrassment.”  A pair of indicators suggest that such an outcome is not so far-fetched as it might appear.

First, just before Thanksgiving 2010, I contacted Yale’s much admired and loved Catholic chaplain, the head of the university’s long influential St Thomas More Catholic Center, by phone.  My purpose was to suggest that, sooner or later in Yale’s relationship with NUS, Operation Spectrum and its difficult legacy would come to the attention of Yale Catholics and that it would be good to expose the community to it first.  The chaplain listened to me carefully.  He even asked whether Vincent Cheng, the seminarian-turned-social-worker who became the most high-profile detainee in the operation, was able to travel.[4] I followed up by sending further information to the chaplain.  But—puzzlingly? troublingly?—I heard no more from him until I contacted him a year later.  At that time, following a brief response to an e-mail message, he again went silent. More recently, another Singaporean former seminarian who worked as a labor organizer here before deciding that it was best to leave the country reached out to the same Yale chaplain.  He never heard back either.  And it would seem that most Yale Catholics remain unaware of “the Marxist conspiracy” in Singapore.

Second, and chillingly, in early 2006 Yale’s current president caved in to pressure from the government of Thailand to allow representatives of the Thai monarchy, whose supporters would just months later mount a coup d’état in Bangkok, pre-publication review (just “for accuracy,” but they always say that, don’t they?) of a biography of the Thai king already in the process of publication by Yale University Press.[5] While the late Yale law professor Alexander Bickel turned over in his grave, publication of the book was thus delayed long enough so that the world’s media had no access to it as they reported on the gala celebrations marking sixty years of the king’s reign in June 2006.  This episode leaves little doubt about the impact, on Yale itself, of the current Yale president’s weak commitment to academic freedom where Southeast Asia is concerned.   Its implications for Yale scholarship relating to Singapore are clear and ominous.  After all, Yale was not even employed by the government of Thailand when the episode occurred.

That this Thai episode elicited so little protest from Yale faculty was hard to understand.  Nonetheless, it was in itself a one-time event.  Should such episodes, or even the suspicion of them, become routine in matters concerning Singapore, however, the resultant regime of self-censorship in New Haven would surely prove unsustainable.  It would poison both the relations of many of Yale’s humanists and social scientists with Yale’s leadership and the intellectual climate at the university.  It would thus also undercut the ability of Yale, especially under the leadership of future Yale presidents, to serve as an effective partner of the PAP government and NUS.

There are two deep ironies here.  The first is that, as I noted at the outset, Singapore’s PAP government pays no heed to most criticisms levelled against it, whether by scholars at Singaporean or foreign institutions.  It has long since concluded that only criticism of very particular kinds can do it damage.  And it simply does not take most scholars in the humanities and social sciences seriously in any case; too many of them are liberals.  Second, Singapore’s regime of self-censorship is enforced through unspecified “OB markers” (with “OB” meaning “out of bounds”).  Never knowing how far one can safely go in expressing oneself, Singaporeans learn to remain carefully short of where they think the line might be.  They thus avoid even criticisms for which they would face no retribution.  Yale’s president and others at the university seem very quickly to have learned the same behaviour.

IV.  Not how Singapore is different, but why it is.

Yale’s current leadership has been maddeningly, even irresponsibly, vague in the case that it has made for both the merits of “a new model of residentially-based liberal education to serve all of Asia” (as Yale’s president and provost put it in their September 2010 “Prospectus for a Liberal Arts College in Singapore”—a college that will, incidentally, enrol mostly Singaporeans) and for the merits of selling Yale’s services to the PAP government.  And it has also been difficult for many at Yale—troubled by this vagueness but far away from Singapore, unfamiliar with its history and politics, and lacking workaday experience of its universities—to translate a general, justified, and deep sense of unease about this undertaking into specific and effective criticism.  They have focused on concern over the degree of academic freedom that faculty and students at the Yale-NUS college will enjoy.  But they have thus overlooked a more fundamental issue, an issue that casts serious doubt on the sustainability of any partnership between Yale on the one side and the PAP government and NUS on the other.

In 1994, Foreign Affairs published what has become a famous interview with Singapore’s founding father Lee Kuan Yew, conducted by Fareed Zakaria.  A member of the Yale College Class of 1986, Dr Zakaria is now a Successor Trustee of the Yale Corporation and an influential voice in deliberations on the “internationalization” of the university.  Zakaria concludes the interview with “A Coda on Culture,” the last lines of which read,

At the close of the interview, Lee handed me three pages.  This was, he explained, to emphasize how alien Confucian culture is to the West. The pages were from the book East Asia: Tradition and Transformation, by John Fairbank, an American scholar.

“Culture”—“Confucian” or “Asian” or other—does not explain the markedly different institutional and academic context, with its very different norms, to that of New Haven, Connecticut, in which the Yale-NUS college will operate.  History and of course politics do.  But of particular value to any understanding of that context is the work of one of one of the Yale president’s fellow economists, the late Oddessa-born, Austrian-educated Harvard professor Alexander Gerschenkron.

To be an American in Singapore is to encounter a familiar exceptionalism.  Of course, neither the United States nor Singapore is as exceptional as its citizens might think.  And PAP Singapore conforms in all salient respects to some of the generalizations that Professor Gerschenkron made about “late”-developing economies and the ways in which they differed systematically from early developers—above all from the master-case of the first industrializer of them all, liberal England. Three of these generalizations have particular relevance in the present context.  First, late developers make use of “the backlog of technological innovations” that they can borrow from earlier developers.  Second, they apply “institutional instruments for which there is little or no counterpart” in earlier developers. Third, they feature a markedly different “intellectual climate.”

Professor Gerschenkron was concerned above all with industrialization.  But his generalizations apply equally to other sectors. They shed light on the entire trajectory of Singapore’s astonishing economic growth under People’s Action Party rule since 1959.  And they explain the PAP government’s general interest in and approach to the education sector and particular interest in and approach to the establishment of a liberal arts college on this island.  This point merits brief elaboration.

The Yale-NUS college has been criticized on the grounds that it is not organic to Singapore or to Asia.[6] But this criticism reveals a failure to understand how the late developer achieves rapid development, by adopting and adapting innovations and ways of doing things from earlier developers.  The PAP government’s determination to fill out its “educational portfolio” through the creation out of whole cloth of a liberal arts college here is classically Gershenkronian.  But one must understand it in the context of Professor Gershenkron’s other generalizations about late developers, too.

PAP Singapore has achieved what it has achieved through the use of institutional forms alien to liberal economic climates: the Housing and Development Board, which has built the flats in which some eighty percent of the country’s population lives; the Jurong Town Corporation, which created to turn-key facilities on this island for foreign investors in the industrial sector; the National Trades Union Congress, whose leader sits in the PAP cabinet and which functions to keep the country strike-free; the Development Bank of Singapore, which originally served to channel finance into sectors of the economy deemed crucial to national progress; a range of state firms across numerous sectors, now corporatized and called “government-linked corporations”; the People’s Action Party, a vanguard party with a small cadre membership whose secretary-general serves as prime minister; the People’s Association, devoted to the promotion of “racial harmony and social cohesion” in Singapore; Temasek Holdings and the Government Investment Corporation of Singapore, two sovereign wealth funds; and many, many other institutions that Professor Gerschenkron would have found so predictable . . . including the National University of Singapore.[7]

Professor Edwin Lee’s history of “nation-building” in Singapore devotes a number of valuable chapters to the tertiary education sector.  (Professor Lee is a former head of the NUS history department and a student of the late O. W. Wolters, yet another thinker with whose perspectives on Southeast Yale’s current leadership and those members of the Yale faculty who have joined it in advancing its Singapore plans would do very well to acquaint themselves.)  His book makes clear that, from soon after Singapore’s independence in 1965, the PAP government viewed the University of Singapore—as NUS was called until the Chinese-medium Nanyang University was merged into it in 1980—as an arm of a state focused on national development.  Little illustrates this reality so starkly as the government’s decision to send then Deputy Prime Minister Dr Toh Chin Chye to serve as the university’s vice chancellor during 1968-1975.  While no longer serving as deputy prime minister during this period, Dr Toh did remain a member of the cabinet and chairman of the PAP.  Both before and during Dr Toh’s tenure as vice chancellor of the University of Singapore, leading lights of the PAP government (including then Prime Minister Lee Kuan Yew himself) and of the university’s faculty debated the bases of academic freedom at a national university and the degree of autonomy deserved by such a university with a sophistication sadly missing from current debates on the issue.

What the course of these debates made clear was that PAP Singapore’s national university was not to be a university in the way that the term has ever been understood at Yale.  Here it is useful to recall Professor Gerchenkron’s point about late developers’ adoption of “institutional instruments for which there is little or no counterpart” in the liberal settings of the early developers.  Neither has NUS’s situation changed significantly since the early years of Singapore’s independence.  Professor Lee notes the continued status of NUS as “a university geared to the brain-power needs of the nation . . . in the knowledge and information driven economy of the present” and “the close nexus between the university and the government.”  It is in this light that one must appreciate NUS’s emphasis on the same sorts of quantitative measures—publications in “top” journals, university rankings—that one might associate with the measurement of economic growth.  And so one must also understand the focus of its Asia Research Institute on migration and the family, urbanism, science and society, and religion and globalization—all concerns of the PAP government.  Similarly, and as the University of Wisconsin geographer and specialist on the globalization of higher education Professor Kris Olds has written, the emergence of Singapore as a “global schoolhouse” or as the “Boston of the East” is a PAP government undertaking, one reflective of planning about the next stage in Singapore’s national development.[8]  The proposed Yale-NUS college can only be understood with reference to Professor Olds’s writings on this subject.

For institutions of the sort that PAP Singapore developed in order to achieve its astonishing record of economic growth to function as they have done, Professor Gerschenkron’s third generalization needed to obtain.  The “intellectual climate” of Singapore, like that of virtually every successful “late” developer before it, has been illiberal.  So, too, have its political, social, and intellectual orders.  When the chairman of the governing board of the proposed Yale-NUS college recently declined to label the education that it would offer “liberal,” some Yale alumni were nonplussed.[9]  But the chairman’s remarks reflected a canny understanding of the context in which the college was to operate.  “Liberal” is a term of derision in the official lexicon of PAP Singapore.  This derision has its roots in a conviction that liberals were too weak to lead Singapore through the challenges of its early history, that they remain too weak to take the hard decisions necessary to ensure the country’s continued prosperity.

On one level, there is nothing objectionable to all this. Singapore and Singaporeans have charted the course of their own history.  It is not for foreigners to intervene in their affairs.  What is objectionable is the failure of Yale’s current leadership perhaps to understand and certainly to be frank and honest about what it has got Yale involved in. Yale’s leadership can talk, breezily and foolishly, about bringing a new model of the liberal arts college to “Asia” all that it wants.  But to be credible, it must acknowledge that Yale has sold its services—and, some would emphasize, its name—to a PAP Singapore focused on further developing its economy by becoming an education hub.  The Yale-NUS college is one component of this effort, and to see it in any other light is to betray a sorry failure to understand Singapore.

Yale and NUS are both “universities.”  But they are not institutions of a “counterpart” nature.  For all of the surface similarities between Yale and NUS, the term “university” has two fundamentally different meanings as applied to the two institutions. Recognition of this reality, and of the import and purpose of the Yale-NUS college in late-developing Singapore, has at least four direct implications, implications that Yale’s current leadership and its fast-dwindling band of allies on the Yale faculty should long since have made explicit.

The first of these relates to the question of academic freedom, which has caused so much concern at Yale.  In a sense, this question has been misspecified from the start.  Stake-holders in liberal institutions view academic freedom as an unquestioned value, as a central feature of the enterprise.  But in the illiberal institutional context of the late developer, freedom—academic or otherwise—has a purely instrumental function.  Scholars in this illiberal context may range freely within their disciplines, as the advancement of those disciplines and the publication of work in those disciplines contribute to the purpose of that which is called “the university” and thus to national development.  But that freedom has no value in its own right, and disciplines and expertise may be demarcated in ways that restrict scholars to what is in effect a spacious and exceedingly well appointed academic pen.  Research and publication within the confines of this pen will rarely require any direct intervention to curtail freedom of expression.  But confines are nevertheless confines, and those in question are not necessarily determined with reference to the concerns of scholarship.

Second, individuals charged with building and leading institutions in the illiberal context of late development know what they want, and they play to win.  The embarrassingly long interval between September 2010 and March 2011 during which Yale and the PAP government worked to hammer out an agreement on the planned college made these truths manifest.  While a close confidant of its president lamented that Yale had “no leverage” in its negotiations with Singapore, there was at the same time exasperation among NUS administrators over Yale’s failure to understand Singapore, its needs, and its constraints.  The Singapore side knew, that is, what it was after.  The Yale side could not be sure what it itself wanted.  One senior faculty member at Yale remarked, “Rick [as Yale’s president is commonly called] wants to do something big internationally, but he does not have the money.”  So he would have Singapore pay for this “something big” before concluding his long, long presidency of Yale.  Others felt that the president was bored with New Haven and sought ways to have his job take him elsewhere.  Perceptive observers in Singapore and elsewhere wondered whether Yale feared being left behind in an Asia-centric twenty-first century if it remained focused on New Haven and whether it saw tying up with NUS as a ready-made answer to those fears.  Neither is it clear that, in the period since March 2011, Yale has put behind it what the rugged men and women of a late developer would view as the weak and indecisive conduct of the liberal.  In the humanities and social sciences, Yale’s approach to faculty recruitment for the planned college has left the distinct impression that it has very little idea what it is doing.

Third, there are some areas in which squaring the circle in any partnership between Yale and a national university conceived of as is NUS will prove simply impossible.  These areas include legislation infringing on the rights of homosexuals in Singapore, its PAP government’s regime of labor control, and the state’s prerogative to monitor the activities of societies, including those operating on university campuses. Neither Yale’s incumbent president nor any of the successors to whom he bequeaths such an unsustainable partnership will be in any position to ask Singapore to take that legislation off its books, to introduce a legally enforceable minimum wage or the right of collective bargaining for the foreign workers and elderly Singaporeans who will clean the precincts of the Yale-NUS college, or to promise that student societies affiliated with the college will not be monitored by outside authorities.  Yet Yale’s current leadership and its successors will find their relations with Yale’s gay faculty and students, with faculty and students who respect gay rights, with Yale’s unions, and with student organizations in New Haven that seek out relationships with societies organized under the auspices of the Yale-NUS college difficult if not impossible.  (One notes with some surprise that one voice not yet heard in the debate over Yale’s plans for Singapore is that of the Yale College alumnus and legendary New Haven labor leader John Wilhelm.)

Finally, in 1994 the Singaporean novelist and intellectual Catherine Lim wrote that “a great affective divide” existed between Singapore’s People’s Action Party and the people of Singapore.  Rebuked by the prime minister of the day for involving herself in politics without running for office, she had nevertheless put her finger on an important aspect of the institutions of late developers.  The PAP, ever focused on renewal, has since that time sought to bridge the divide that Ms Lim recognized.  Yale is, however, moving in the opposite direction as a result of its bungling and poorly explained effort to work with an institution of a fundamentally different nature to Yale’s.  Its leadership has opened a great affective divide between many members of the Yale faculty and their former colleague who happens now to be the university’s president and between the supporters of his Singapore plan and the sceptics.  In recent weeks, efforts on the part of Yale’s current leadership and its supporters to overcome these sceptics have taken on a particularly poisonous character.

VI.  Yale’s Great Singapore Folly: What is to be done?

Yale’s Great Singapore Folly raises a fundamental question in the realm of university governance: ought institutions of higher education be held to the same standards of intellectual seriousness to which their faculty hold both one another and their students as these institutions venture out into the world?   If the answer to this question is “yes,” then Yale and its current leadership have failed to meet any reasonable standard.  In fact, that leadership seems not even to have tried.  It seems to believe, that is, that the answer to this question is “no.”  Too, its irresponsible attitude appears to have seeped downward to the Yale administrators and faculty assisting Yale’s leadership in this project.  Others, thankfully, believe that the answer to this question is indeed “yes.”  This group includes not merely members of the Yale faculty, but also Yale alumni with international experience, not least in various parts of Asia, who have begun to fear a deep leadership crisis at Yale.  This includes moneyed alumni.

The flawed, ill-conceived, and “sultanistic” approach taken by Yale’s incumbent president in putting Yale in the employ of Singapore’s PAP government to establish a liberal arts college in partnership with the National University of Singapore means that Yale cannot be a reliable partner for NUS on a sustained basis.  This much is manifest.  Before it sinks even deeper into its quagmire on Kent Ridge, with consequences destructive to Yale and unfair both to its Singaporean paymasters and to NUS, Yale has two alternatives.

The first alternative is for the Yale Corporation to meet, to examine the university’s contract with the PAP government, to consult its lawyers, and to terminate its partnership with NUS before the mess that Yale’s current leadership has made does any more damage to Yale.  In the short run, this decision will cause Yale considerable embarrassment, but folly has its price.  Giving Yale’s incumbent president a Kissingerian “decent interval” at Yale’s helm, the Corporation can hand effective management of Yale over to others and launch a search for Yale’s nineteenth president.  A central goal of that search will be to select an intellectual committed to liberal values and to sincere collegiality and marked by the perspective and judgement to conceive of and forge responsible, durable, and fruitful academic partnerships around the globe for Yale.  (Monoglots need not apply.)  These will have to be partnerships whose terms are consonant with principles of sound university governance and whose rationales can stand up to the scrutiny of a community of scholars.  This decision will leave in the lurch many in Singapore who have worked faithfully and hard on the Yale-NUS college.  But late developers are tough and resourceful.  PAP Singapore has overcome set-backs before.  It will, before long, put this set-back behind it in like manner.

The second alternative is more complicated.  Its purpose is, in essence, to “save” Yale’s relationship with Singapore by taking a range of concrete steps to enable Yale to be a reliable partner to the PAP government and to NUS over the long run.  These steps must include, but are not limited to, the following.

1.  A figure in Yale leadership must deliver a major public address at Yale on Yale and Singapore.  This address must offer a compelling, credible, and serious vision of Singapore and Southeast Asia, of their histories, and of the complex and dynamic societies in this part of the world with which Yale will now engage. It must transcend the defensiveness that has marked Yale’s stated justifications of the Yale-NUS college to present a detailed, intellectually substantive case for establishing a liberal arts college in Southeast Asia, siting that college in Singapore, and allowing a foreign government to finance it.  This address must honor liberal principles and demonstrate the respect for the intelligence of stake-holders—Yale faculty, Yale alumni, and, not least, Yale’s prospective partners in the PAP government and at NUS and the wider tax-paying Singapore public—that has all too often been missing in Yale’s public statements on the Yale-NUS college.  In his treatment of the Yale faculty and in his prolonged failure to articulate a serious rationale for the Yale-NUS college, Yale’s president has long since disqualified himself from giving any such address. Perhaps Yale’s much respected provost, the dean of Yale College, or a member of the Yale Corporation can be tasked to prepare and deliver this address on Yale’s behalf.

2.  Yale must make public the documents setting out all terms agreed upon by Yale and the PAP government, any of its ministries and departments, statutory boards, NUS, sovereign wealth funds, or government-linked corporations.  This includes not only terms relating to academic freedom at the planned college but also terms relating to governance of the college, to the funding of the college, and to compensation to be paid to Yale, to its Officers, or to any of its other personnel.

3.  In order to avoid even the appearance of conflicts of interest at Yale, Yale must make public the full record of all payments for consulting and other services, all research funding, and any complimentary plane tickets and hotel accommodation rendered to any Officer of Yale University or member of the Yale Corporation during the past fifteen years by any Singaporean government ministry or department, statutory board, university, sovereign wealth fund, government-linked corporation, or putatively independent organization financed primarily by the PAP government.  The tardy statement, clearly drafted with excruciatingly hair-splitting care by Yale’s lawyers, on the financial ties of three current or former fellows of the Yale Corporation released by the university on 1 April—which must have been a pretty panicky Sunday—is not adequate.[10]

4.  Yale must replace four of its appointees to the ten-member Yale-NUS College Governing Board.[11]  Members to be replaced are Yale’s president; Vassar College president Catherine Bond Hill, a Yale-trained economist whose significant international experience was in Zambia (a reality that has left many Singaporeans made aware of it both dumb-founded and offended); and Roland Betts and George W. Bush’s ambassador to China Clark Randt, two plutocratic alumni of Yale College with no record of involvement in Southeast Asia or in education in this region.

Already a member of the governing board, Yale’s University Secretary and vice president—a real listener who is exceptionally well informed in the field of international education—can easily shoulder its president’s duties as a member of the board.  The loss of Messrs Betts and Randt may have an impact on the governing board’s ability to raise funds for the new college, but early indications are that NUS can do so quite effectively with Yale’s name alone.

The replacements for these four Yale appointees to the Yale-NUS College Governing Board ought to include, first, two members of the Yale College faculty chosen for fixed terms through a transparent process and, second, two individuals with Yale affiliations and demonstrated understandings of Singapore and Southeast Asia and their educational contexts.  And—what a thought!—these appointees might even include a Singaporean or two not selected by the PAP government or by NUS.  It is not clear, in fact, why Yale has filled none of its slots on the proposed college’s governing board with Singaporeans or other Southeast Asians. Lack of imagination or of effort offers one likely explanation.  Ignorance of Singapore and Southeast Asia among Yale’s leadership may have left it unaware that the university counts among its alumni, for example,

  • A Singaporean on the faculty of a major American business school, who also earned a degree at Cambridge, taught at America’s finest liberal arts college (Swarthmore), pioneered the study of Singapore’s industrialization strategy, is a leading scholar of Southeast Asian business, and in 2004 co-authored the opinion piece in The Straits Times that originally advocated the establishment of a liberal arts college in this country;
  • A former Philippine Secretary of Education, former university president, former head of the secretariat of the Southeast Asian Ministers of Education Organization, doctoral student of Harry Benda’s, and visionary advocate of accessible tertiary education in Southeast Asia who studied five decades ago at the Ateneo de Manila University when it already offered an undergraduate program in liberal arts in Asia;
  • An influential Malaysian alumnus of Yale College who has served as the United Nations’ first Assistant Secretary-General for Economic Development, taught briefly at Yale and for many years at NUS’s sister institution the University of Malaya, and has published and edited dozens of books in the field of political economy;
  • And Singapore’s leading legal and constitutional historian, holder of a Yale Law JSD, author of a landmark biography of Singapore’s first, liberal chief minister, and hugely active and effective former president of the Singapore Heritage Society.

These are but four possibilities for appointment to the governing board of the proposed Yale-NUS college.  There are many, many others. The point, simply, is to see Yale represented on the board of the Yale-NUS college by men and women who understand the context in which the college will operate and who know what they are doing.  Only thus can Yale be a reliable partner for NUS.

5.  Yale must establish on a site as close as feasible to NUS’s Kent Ridge campus a completely Yale-funded (no PAP-government-subsidized rent, either) research center with a director drawn from the Yale faculty on a two- or three-year term.  This director will serve during his or her term as a member of the faculty of the Yale-NUS college with a reduced course-load, but Yale will pay her or his salary.  The center will coordinate the activities and research of Yale faculty and graduate or professional students from all schools of the university, and of Yale College undergraduates, relating to Southeast Asia and to the region’s place in the broader Asian and global contexts.  It will serve as an outpost of genuine Yale in the region and an always open window on the Yale-NUS college.  It will serve as an arena for contact between Yale faculty and students on the one hand and Singaporean and Southeast Asian scholars and intellectuals not introduced to Yale by NUS administrators on the other.  Finally, this research center will help give Yale and its faculty the stake in Singapore and Southeast Asia without which the university cannot be NUS’s reliable partner over the long term.  As for its funding, well, rather than raising money for the Yale-NUS college, Messrs Betts and Randt can devote themselves to fund-raising on this new center’s behalf and to recruiting other Yale alumni to helping them.   Perhaps the new center could be named for one of the eminent Southeast Asianists whose tenure at Yale have epitomized its historical seriousness about the region.

Michael Montesano (3 April 2012)

Selected References

Barr, Michael D.  “Marxists in Singapore?” Critical Asian Studies XLII, 3 (2010): 335-362.

Benda, Harry J. Continuity and Change in Southeast Asia.  New Haven: Yale University Southeast Asia Studies Series No. 18, 1972.

Fairbank, John K., Edwin O. Reischauer, and Albert M. Craig.  East Asia: Tradition and Transformation.  Boston: Houghton Mifflin, 1973.

Gerschenkron, Alexander.  Economic Backwardness in Historical Perspective: A Book of Essays. Cambridge, Massachusetts: The Belknap Press of Harvard University Press, 1962.

Goh Keng Swee. The Economics of Modernization.  Singapore: Marshall Cavendish Academic, 2004.

Goh Keng Swee.  The Practice of Economic Growth.  Singapore: Marshall Cavendish Academic, 2004.

Goh Keng Swee.  The Wealth of East Asian Nations. Singapore: Marshall Cavendish Academic, 2004.

Gomez, James.  Self-Censorship: Singapore’s Shame.  With a foreword by Philip Jeyaretnam. Singapore: THINK Centre, 2000.

David Halberstam.  The Making of a Quagmire.  New York: Random House, 1965.

Handley, Paul M.  The King Never Smiles: A Biography of Thailand’s Bhumibol Adulyadej. New Haven and London: Yale University Press, 2006.

Lee, Edwin.  Singapore: The Unexpected Nation.  Singapore: ISEAS, 2008.

Linz, Juan J., and H. E. Chehabi, eds.  Sultanistic Regimes. Baltimore: The Johns Hopkins University Press, 1998.

Seow, Francis T.  To Catch a Tartar: A Dissident in Lee Kuan Yew’s Prison. New Haven: Yale Southeast Asia Series No. 42, 1994.

______.  Beyond Suspicion? The Singapore Judiciary.  New Haven: Yale Southeast Asia Series No. 55,

2006.

Teo Soh Lung. Beyond the Blue Gate. Petaling Jaya: Strategic Information and Research Centre, 2010.

Wolters, O. W.  History, Culture, and Region in Southeast Asian Perspectives.  Revised edition. Ithaca: Cornell Southeast Asia Program Publications, 1999.

Zakaria, Fareed and Lee Kuan Yew. “Culture Is Destiny: A Conversation with Lee Kuan Yew.” Foreign Affairs LXXII, 2 (1994):  109-126.

__


[7]Even a cursory reading of the collected speeches and writings—many touching on higher education—of the brilliant and inexhaustible Dr Goh Keng Swee, the creator of many of the institutions central to PAP Singapore’s success as a “late” developer, immerses one in a thoroughly Gerschenkronian world.

[10] It needs to be acknowledged that this requirement will in all likelihood force Mr Charles Goodyear to resign from the Yale Corporation, as his ability to reveal the financial terms under which he left Temasek Holdings may well be constrained.  Mr Goodyear was for some years a senior executive of the holding company for Freeport McMoRan Copper & Gold, a firm with historic ties to Yale alumni that was closely associated with the late General Suharto’s New Order dictatorship in Indonesia.  He is, thus, perhaps the only individual in a leadership position at Yale who understands how the rough, serious Southeast Asian game is played.  He is a focused, bright, personable man who also, that is, knows where the bodies are buried in this part of the world.  For Yale, his resignation from the Corporation would be a real blow.  For Yale’s president Richard C. Levin, however, it would bring a certain poetic justice, for he has acknowledged that his project in Singapore is very much related to fundamental issues of university governance; see http://www.yaledailynews.com/news/2012/feb/20/cancelled-faculty-meeting-reinstated-following/.  (It should also be noted that, a week or so ago, I tested this need for transparency regarding previous financial ties to Singaporean entities with two Singaporeans whose sharp critical faculties testify to their fine educations in NUS’s Faculty of Arts and Social Sciences.  Their understanding of Singapore Inc. led them to consider the need obvious and logical.)

To what degree is academic freedom being geographically unsettled – deterritorialized, more accurately – in the context of the globalization of higher education? This was one of the issues I was asked about a few days ago when I spoke to a class of New York-based Columbia University students about the globalization of higher education, with a brief case study about Singapore’s global higher education hub development agenda. Some of the students were intrigued by this debate erupting (again) about Yale’s involvement in Yale-NUS College:

Given that we only had a limited time to discuss these issues, I’ve outlined elements of the comments I would have added if I had a little more time during the Q&A session. And clearly, there is even much more to say about these issues than what is outlined below, but I’ve got grading to attend to, so this entry will have to suffice. And if any of you (the students) have more questions, please email me anytime. I’m obviously making this follow-up public on a weblog as well, as it fits into the broad themes covered in GlobalHigherEd.

The first point I wanted to reinforce is it is important to recognize that Singapore’s attempt to become the ‘Boston of the East’ is underlain by structural change in Singapore’s economy, and a related perception that a ‘new breed’ of Singaporean is needed.* Implementation of the global education hub development agenda is therefore dependent upon the exercise of statecraft and the utilization of state largesse. For example, nothing would be happening in Singapore regarding the presence of foreign universities were it not for shifts in how the state engages with foreign actors, including universities like Yale and Chicago. The opening up of territory to commercial presence (to use GATS parlance) as well as ‘deep partnerships,’ and the myriad ideological/regulatory/policy shifts needed to draw in foreign universities, have been evident since 1998. In an overall sense, this development agenda is designed to help reshape society and economy, while discursively branding (it is hoped) Singapore as one of the ‘hotspots’ in the city-region archipelago which fuels, and profits from, the global knowledge economy.

Second, and as I noted on Thursday in my lecture, one of the three key post-1998 realignments is an enhanced acceptance of academic freedom in Singapore (in comparison to the 1980s and early 1990s). This is a point that was made in a 2005 chapter* I co-authored with Nigel Thrift and the same conditions exist today as far as I am concerned (though I do not speak for Nigel Thrift here).

In Singapore over the last decade plus, local universities have acquired considerably more autonomy regarding governance matters; faculty now have historically unprecedented freedom to shape curricula and research agendas; and students have greater freedom to express themselves, even taking on ruling politicians in campus fora from time to time. I personally believe that the practice of academic freedom is alive and well in Singapore for the most part, and that critics of (for example) the Yale-NUS venture would be fools to assume this is a Southeast Asian Soviet-era Czechoslovakia: Singapore is far more sophisticated, advanced, and complex than this. Universities like the National University of Singapore and Singapore Management University are full of discussion, politically tinged banter, illuminating discussions in classes, and vigorous debates mixed with laughter over lunches at the many campus canteens. There is no difference between the debates I had about politics in Singapore when I worked there for four years (1997-2001), and when visiting since, to those I have had at the ‘Berkeley of the Midwest’ (UW-Madison) from 2001 on, or my alma maters in Canada (University of British Columbia) and England (University of Bristol). The relatively cosmopolitan and young (age-wise) nature of the faculty base in Singapore also indirectly engenders some forms of open-mindedness that are absent from more established (and sometimes smug) centers of scholarship.

This said, Singapore is a highly charged ‘soft authoritarian’ political milieu: if certain conditions come together regarding the focus and activities of a faculty member (or indeed anyone else in Singapore, be they expatriates, permanent residents, or long-term citizens), a strong state guided by political elites has much room to maneuver – legally, administratively, procedurally, symbolically – in comparison to most other developed countries. In this kind of context, a focused form of ‘calibrated coercion’ can be exercised, if so desired, and an analyst’s life can be made very difficult despite the general practice of academic freedom on an average day- to-day basis. There are discussions about ‘OB markers’ (out-of-bounds markers) regarding certain topics, some forms of self-censorship regarding work on select themes, and perhaps a lift of the eye when CVs come in with Amnesty International volunteer experience listed on them. And at a broader scale, the Public Order Act regulates ‘cause-related’ cause-related activities that “will be regulated by permit regardless of the number of persons involved or the format they are conducted in.” Even before the 2009 tightening of revisions to the Public Order Act, I recall stumbling upon a ruckus (desperately searching for a post-lunch coffee, circa 1999-2000) when I witnessed police removing the leader of the opposition from the grounds of the National University of Singapore after he attempted give an impromptu (I assume) speech to students below the main library.

In short, Singapore is a complicated place, and one needs to work hard to understand the complexities and nuances that exist. Blind naïveté (often facilitated by temptingly high salaries, and lack of regional knowledge) is as bad as cynical critique: like all places (Singapore and the US included), there are many shades of grey in our actually existing world. On this point it worth quoting the ever insightful Cherian George:

Singapore is not for everyone. Compared with countries at a similar income level, it is backward in the inclusiveness it offers to people with disabilities. It is a relatively safe country for families – but an innocent person who is wrongly suspected of a crime has more reason to fear in Singapore than in countries that treat more seriously the rights of the accused. And those who care enough for their society to stand up and criticise it have to be prepared to be treated as an opponent by an all-powerful government, enduring harassment and threats to their livelihoods. Being a writer immersed in Singapore has not blinded me to the system’s faults. But, one common form of critique in which I find myself unable to indulge is caricature, reducing Singapore to a society ruled by a monolithic elite, served by a uniformly pliant media, and populated by lobotomised automatons. Such essentialised accounts of government, media and people may satisfy the unengaged, but they generate too much cognitive dissonance for me. The Singapore I know – like any human society – is diverse and complex…

So, in my view, the practice of academic freedom in Singapore is alive and well on a number of levels, but there are always significant political sinkholes that might open up; you just never know…

Academic freedoms & the Singapore Eye

But what are the many foreign universities with a presence in this Southeast Asian city-state doing about academic freedom? In particular, if there is a lack of clarity about the nature of academic freedom given that guidelines are not codified, rules are unclear, and there appear to be no formalized procedures for dealing with serious contests, do foreign universities just accept the same conditions local faculty and students cope with?

The answer is a clear and resolute “no,” at least for highly respected universities like Chicago, Cornell, Duke, and Yale. Rather, what they do about academic freedom depends upon the outcome of negotiations between each of these foreign universities and the Singaporean state (sometimes in conjunction with local partner universities).

One of the more intriguing things about the development process is that most of the foreign universities that have engaged with the Singaporean state have developed what are effectively bilateral understandings of academic freedom. As I noted in 2005:**

Yet despite the influx of a significant number of American and European universities in response to the emergence of these new socio-economic development objectives, the concept of academic freedom, one of the underlying foundations of world class university governance systems, has received remarkably limited discussion and debate. The discussions and negotiations about the nature of academic freedom vis a vis Singapore’s global schoolhouse have been engaged with in a circumscribed and opaque manner. Deliberations have primarily taken the form of closed negotiation sessions between senior administrators representing foreign universities, and officials and politicians representing the Singaporean state. The agreements that have been made are verbal for the most part, though they have also been selectively inscribed in the confidential Memorandum of Understandings (MOUs) and Agreements that have been signed between the Government of Singapore or local universities and the foreign universities in question. Strands of the concept have been brought over by the foreign universities, reworked during negotiations, and constituted in verbal and sometimes confidential textual form. The development of a series of case-by-case conceptualizations of academic freedom is hybridizing in effect. Through verbal agreements of unique forms, and through MOUs and Agreements of unique forms, foreign universities and the Singaporean state have splintered academic freedom in unique ways, unsettling previous notions of academic freedom in quite significant and hitherto unexamined ways.

See, for example, pages 6-8 of a Yale-issued summary of the agreement it reached with the Singaporean state.

Leaving aside the content of this message from Yale’s president, it is important to stand back and reflect on what is going on. In my opinion what we’re seeing is the creation of a strategically delineated understanding of academic freedom; one specified by just two parties in this case, and one that applies is a narrowly circumscribed geographic context (the Yale-NUS campus).

But think about the patterns here. Who is at the center of this aspect of the development process? It is the Singaporean state, including senior politicians such as the minister of education, the deputy prime minister, the prime minister, and in the Yale case senior leadership at NUS.

Much like the London Eye, a myriad of universities work with the Singaporean state on this issue at a bilateral (case by case) level. Given this, no one knows more about how academic freedom can be negotiated and framed than the people at the center of the negotiation dynamic. A Singapore Eye of sorts (if this admittedly awkward analogy makes sense!) regarding academic freedom exists. A less obtuse analogy might be a hub (the state) and spoke (multiple foreign universities) one. And the outcome is a plethora of differentially shaped academic freedoms in Singapore, scattered across the city-state in association with the foreign universities, shorn as far as I can tell from much of the context local universities (and their academics) are embedded in.

In the global higher ed context, this pattern is not unique to Singapore. The same case could be made regarding Qatar, Abu-Dhabi, Dubai, and China (albeit to a lesser degree). What is noteworthy is that the current experts regarding the globalization of academic freedom are monarchs and political elites associated with ruling regimes, not the people associated with the higher education sector, for they are too focused on their own institutional agendas.

Another interesting aspect of this development process is the absence of any form of collective representation regarding academic freedom in these hubs. Universities (e.g., Yale, Cornell, MIT, NYU, Texas A&M) active in global higher education hubs informally share information, to be sure, but their capacity to share information, and model practices, depends on proactive and savvy administrators who know what to think about, what to ask about, and where the ‘non-negotiable’ line should be drawn.

Once they forge their agreement with the state in these hubs, they move on to the implementation phase. And then 1-3-5 years later in comes a new university, and this pattern starts afresh (and a new spoke is added). But the lines connecting the foreign universities are thin. For example, it is worth considering how many of the recent negotiations about academic freedom in Singapore have been informed by a critical analysis of the pros and cons of the University of Warwick’s deliberations about opening up a branch campus in Singapore circa 2005, including Dr. Thio Li-ann‘s substantial report about academic freedom in Singapore.

In conclusion: on absence vs presence

Well, I’ve gone on now longer than I expected. But I want to close off by asking you (Columbia U students) to think about absence as much as presence. I’ve often encouraged my own students to think about this aspect of development, for while we can recognize and focus on presence, absence matters just as much. Absence is itself a phenomenon associated with the development process: absence is often desired, or absence can exist as an outcome of the lack of capability, planning, and resources.

One thing that appears to be absent in Singapore as a whole are codified rules and guidelines about academic freedom: what it is defined as, what its limitations are, and what its value is to higher education institutions. Interestingly you find all sorts of statements about the presence of academic freedom in Singapore, much like the ones I made above, or the ones put forward yesterday by Simon Chesterman (see ‘Academic freedom in New Haven and S’pore,’ The Straits Times, 30 March 2012). [Professor Chesterman is Dean of the NUS Law School. Given that he is a law professor, and also son-in-law of the architect of Singapore’s global schoolhouse development strategy (Dr. Tony Tan Keng Yam, Singapore’s current President), his views are worth taking note of.] But statements and op-eds are just that; they are not the only things that create formally demarcated and secure spaces for researchers and students. What arguably helps realize and ground academic freedom are legible guidelines, codified procedures in case of contest, laws, and symbolic affirmations of value such as this plaque I walked past this morning.

Statements, even by important officials and member of the elite do not beget confidence about the importance of academic freedom, hence the desire of universities like Yale and Cornell to act – to codify – on a bilateral basis.

One of the more curious aspects of this ongoing debate about academic freedom is that Singapore has a reputation as a place that respects the rule of law, and it has a formidable reputation for the quality and clarity of regulation regarding key industries (e.g., finance). Yet the guidelines and regulations associated with the space to produce and circulate information and knowledge via universities situated in Singaporean territory remains limited, in my opinion. Why, especially when academic freedom keeps emerging as a concern of global actors like Yale (circa 2011-2012), Warwick (circa 2005), etc.? And why when a knowledge economy and society is just that — one dependent upon the sometimes unruly production of valuable forms of knowledge?

Is bilateralism regarding academic freedom really the most effective approach? I’m not so sure for what it appears to do is provide fuel for debates, such as the one unfolding in Yale right now. Absence on this core issue (academic freedom) in Singapore as a whole, is arguably providing fuel for fire. Thus while some Yalies (is that what they are called?) seem to be disseminating remarkable unsophisticated understandings of how academia and politics works in Singapore, I would argue that the Singaporean authorities have created an opaque regulatory and discursive context regarding academic freedom vis a vis the production and circulation of knowledge. And as anyone who works on economic development knows, uncertainty is a problematic factor that can inhibit or skew the development process, partly because of misinterpretations.

A second absence is a global scale mechanism to ensure that the core principles associated with academic freedom are protected and realized as best it can be for the global community of scholars of which we are all (in Singapore, in New Haven, in Qatar, in Madison) a part. The long history of academic freedom is intertwined with the emergence of enlightenment(s), modernity(ies), and the associated development of societies and economies. Academic freedom helps create the space for the search for truth, the unfettered production and circulation of knowledge, and socio-economic innovation. But academic freedom has to be practiced, protected, codified, and realized, including while it is being globalized. The bilateralism evident in places like Singapore is inadequate in that the ‘foreign’ universities engaged in it are only thinking of themselves and not the global ecumene and community of universities. It is surely time for them to exercise some global leadership on such a core/foundational principle; one that has helped these universities become what they are.

Great to meet you all last Thursday. Be sure to think hard about this issue, gather diverse perspectives as any good student should, and feel 100% free to disagree with me.  And hope next week’s discussions go well!

Kris Olds

* Olds, K., and Thrift, N. (2005) ‘Cultures on the brink: reengineering the soul of capitalism – on a global scale’, in A. Ong and S. Collier (eds.) Global Assemblages: Technology, Politics and Ethics as Anthropological Problems, Oxford: Blackwell, pp. 270-290.

** Olds, K. (2005) ‘Articulating agendas and traveling principles in the layering of new strands of academic freedom in contemporary Singapore’, in B. Czarniawska and G. Sevón (eds.) Where Translation is a Vehicle, Imitation its Motor, and Fashion Sits at the Wheel: How Ideas, Objects and Practices Travel in the Global Economy, Malmö : Liber AB , pp. 167-189.

We’re moving into the start of ‘prime-time season’ for watchers of development and change related to the Bologna Process (which is fueling the establishment of the European Higher Education Area (EHEA)), and its cousin, the European Research Area (ERA)).  This is because the 2012 Bucharest Ministerial Conference, which will be held in Bucharest, Romania, on 12-13 April, is the setting for two key gatherings that stir up analyses.

First, the 2012 Bologna Ministerial Conference:

is expected to bring together 47 European Higher Education Area ministerial delegations, the European Commission, as well as the Bologna Process consultative members and Bologna Follow-Up Group partners.  The meeting will be an opportunity to take stock of progress of the Bologna Process and set out the key policy issues for the future. The EHEA ministers will jointly adopt the Bucharest Ministerial Communiqué, committing to further the Bologna goals until 2020.

Second, The 2012 Bologna Policy Forum:

organised in conjunction with the Ministerial Conference is aimed to intensify policy dialogue and cooperation with partners across the world. The theme of the third Bologna Policy forum is “Beyond the Bologna process: Creating and connecting national, regional and global higher education spaces”. The Policy forum has four sub-themes, which will be addressed during the parallel sessions, namely: “Global academic mobility: Incentives and barriers, balances and imbalances”; “Global and regional approaches to quality enhancement of Higher Education”; “Public responsibility for and of HE within national and regional context”; “The contribution of Higher Education reforms to enhancing graduate employability”. This year’s edition of the Bologna Policy Forum will be finalised with the adoption of the 2012 Bologna Policy Forum Statement.

In other words, two key events, which occur every two years, will spur on deliberation, debate, and a lot of hard thinking about what has happened, what is happening, and what should happen.

It is too early, at this stage, to analyse how the development process has been unfolding with respect to the EHEA and the ERA. Rather, this entry is the beginning of an attempt to compile the first of numerous reports that will be released over the next 3-4 weeks.  These reports are being prepared by a variety of institutions, and are excellent resources for deepening understandings of some critically important phenomenon related to the globalization of higher education and research.

What I will do, then, is incrementally flag each of these reports, as they emerge. I’ll be updating this entry over time, versus issuing new entries. I will also ‘Tweet‘ when new reports are added to this particular entry.

Happy reading, and if you have any suggested additions, please let me know!

Kris Olds

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22 March 2012


The 2012 Times Higher Education (THE) World Reputation Rankings were released at 00.01 on 15 March by Times Higher Education via its website. It was intensely promoted via Twitter by the ‘Energizer Bunny’ of rankings, Phil Baty, and will be circulated in hard copy format to the magazine’s subscribers.

As someone who thinks there are more cons than pros related to the rankings phenomenon, I could not resist examining the outcome, of course! See below and to the right for a screen grab of the Top 20, with Harvard demolishing the others in the reputation standings.

I do have to give Phil Baty and his colleagues at Times Higher Education and Thomson Reuters credit for enhancing the reputation rankings methodology. Each year their methodology gets better and better.

But, and this is a big but, I have to ask myself why is the reputation ranking coming out on 15 March 2012 when the when the survey was distributed in April/May 2011 and when the data was used in the 2011 World University Rankings, which were released in October 2011? It is not like the reputation outcome presented here is complex. The timing makes no sense, whatsoever, from an analytical angle.

However, if we think about the business of rankings, versus analytical cum methodological questions, the release of the ‘Reputation Rankings’ makes absolute sense.

First, the release of the reputation rankings now keeps the rankings agenda, and Times Higher Education/Thomson Reuters, elevated in both higher education and mass media outlets. The media coverage unfolding as you read this particular entry would not be emerging if the reputation rankings were bundled into the general World University Rankings that were released back in October. It is important to note that QS has adopted the same ‘drip drip’ approach with the release of field-specific ranking outcomes, regional ranking outcomes, etc. A single annual blast in today’s ‘attention economy’ is never enough for world university rankers.

Second, and on a related note, the British Council’s Going Global 2012 conference is being held in London from 13-15 March. As the British Council put it:

More than five hundred university Presidents, Vice-Chancellors and sector leaders will be among the 1300 delegates to the British Council’s ‘Going Global 2012’ conference in March.

The conference will be the biggest ever gathering of higher education leaders. More than 80 countries will be represented, as leaders from government, academia and industry debate a new vision of international education for the 21st century.

The Times Higher Education magazine is released every Thursday (so 15 March this week), and so this event provides the firms of TSL Education Ltd., and Thomson Reuters with a captive audience of ‘movers and shakers’ for their products, and associated advertising. Times Higher Education is also an official media partner for Going Global 2012.

Make no mistake about it – there is an economic logic to releasing the reputation rankings today, and this trumps an analytical logic that should have led Times Higher Education to release the reputation outcome back in October so we could all better understand the world university ranking outcome and methodology.

More broadly, there really is no logic to the annual cycle of world rankings; if there were, funding councils worldwide would benchmark annually. But there is a clear business logic to normalizing the annual cycle of world university rankings, and this has indeed become the ‘new normal.’ But even this is not enough. Much like the development and marketing of running shoes, iPods, and fashion accessories, the informal benchmarking that has always gone on in academia has become formalized, commercialized, and splintered into distinct and constantly emerging products.

In the end, it is worth reflecting if such rankings are improving learning and research outcomes, as well as institutional innovation. And it is worth asking if the firms behind such rankings are themselves as open and transparent about their practices and agendas as they expect their research subjects (i.e. universities) to be.

Now back to those rankings. Congrats, Harvard!  But more importantly, I wonder if UW-Madison managed to beat Michigan…….oh oh.

Kris Olds

Editor’s note: This guest entry was written by Madeleine F. Green, a Senior Fellow at NAFSA and the International Association of Universities. It was originally published in NAFSA’s newish Trends & Insights series of short online article that are “designed to highlight social, economic, political and higher education system trends affecting international higher education.” Our thanks to Madeleine and NAFSA for permission to post her fascinating entry here (which is also available as a PDF via this link). Kris Olds

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During the past decade higher education’s interest in internationalization has intensified, and the concept of civic education or engagement has broadened from a national focus to a more global one, thus expanding the concept that civic responsibility extends beyond national borders.

As Schattle (2009) points out, the concept of global citizenship is not a new one; it can be traced back to ancient Greece. But the concept and the term seem to have new currency and are now widely used in higher education. Many institutions cite global citizenship in their mission statements and/or as an outcome of liberal education and internationalization efforts. Many have “centers for global citizenship” or programs with this label.

Additionally, national and international organizations and networks have devoted themselves to helping institutions promote global citizenship, although they do not necessarily use that term. For example, the Association of American Colleges and Universities sponsors a series of programs concerned with civic learning, a broad concept that includes several goals for undergraduate education: strengthening U.S. democracy, preparing globally responsible citizenry, developing personal and social responsibility, and promoting global learning and diversity. The Salzburg Seminar’s International Study Program provides week-long workshops for faculty to consider the concepts of global citizenship and their integration into undergraduate education. It also provides college students with programs on global issues. The Talloires Network is an international alliance formed in 2005 that includes 202 institutions in 58 countries “devoted to strengthening the civic roles and social responsibilities of higher education.” The Talloires declaration refers specifically to “preparing students to contribute positively to local, national, and global communities.” Founded in 1985, the oldest of these networks, Campus Compact, retains its predominant, but not exclusive, focus on the United States.

Defining Global Citizenship

A foray into the literature or a look at the many ways colleges and universities talk about global citizenship reveals how broad a concept it is and how different the emphasis can be depending on who uses the term. This essay can only outline a few important elements of global citizenship, but a brief overview of the many meanings should help institutions formulate or clarify their own definition of it, identify those elements that are central to their educational vision, and add other dimensions. The following are among the most salient features of global citizenship (this section draws from a variety of sources but primarily relies on Schattle (2007)).

Global citizenship as a choice and a way of thinking. National citizenship is an accident of birth; global citizenship is different. It is a voluntary association with a concept that signifies “ways of thinking and living within multiple cross-cutting communities—cities, regions, states, nations, and international collectives…” (Schattle 2007, 9). People come to consider themselves as global citizens through different formative life experiences and have different interpretations of what it means to them. The practice of global citizenship is, for many, exercised primarily at home, through engagement in global issues or with different cultures in a local setting. For others, global citizenship means firsthand experience with different countries, peoples, and cultures. For most, there exists a connection between the global and the local. Whatever an individual’s particular “take” on global citizenship may be, that person makes a choice in whether or how to practice it.

Global citizenship as self-awareness and awareness of others. As one international educator put it, it is difficult to teach intercultural understanding to students who are unaware they, too, live in a culture that colors their perceptions. Thus, awareness of the world around each student begins with self-awareness. Self-awareness also enables students to identify with the universalities of the human experience, thus increasing their identification with fellow human beings and their sense of responsibility toward them.

Global citizenship as they practice cultural empathy. Cultural empathy or intercultural competence is commonly articulated as a goal of global education, and there is significant literature on these topics. Intercultural competence occupies a central position in higher education’s thinking about global citizenship and is seen as an important skill in the workplace. There are more than 30 instruments or inventories to assess intercultural competence. Cultural empathy helps people see questions from multiple perspectives and move deftly among cultures—sometimes navigating their own multiple cultural identities, sometimes moving out to experience unfamiliar cultures.

Global citizenship as the cultivation of principled decisionmaking. Global citizenship entails an awareness of the interdependence of individuals and systems and a sense of responsibility that follows from it. Navigating “the treacherous waters of our epic interdependence (Altinay 2010, 4) requires a set of guiding principles that will shape ethical and fair responses. Although the goal of undergraduate education should not be to impose a “correct” set of answers, critical thinking, cultural empathy, and ethical systems and choices are an essential foundation to principled decisionmaking.

Global citizenship as participation in the social and political life of one’s community. There are many different types of communities, from the local to the global, from religious to political groups. Global citizens feel a connection to their communities (however they define them) and translate that sense of connection into participation. Participation can take the form of making responsible personal choices (such as limiting fossil fuel consumption), voting, volunteering, advocacy, and political activism. The issues may include the environment, poverty, trade, health, and human rights. Participation is the action dimension of global citizenship.

Why Does Global Citizenship Matter?

The preceding list could be much longer and more detailed; global citizenship covers a lot of ground. Thus, it is useful to consider the term global citizenship as shorthand for the habits of mind and complex learning associated with global education. The concept is useful and important in several respects.

First, a focus on global citizenship puts the spotlight on why internationalization is central to a quality education and emphasizes that internationalization is a means, not an end. Serious consideration of the goals of internationalization makes student learning the key concern rather than counting inputs.

Second, the benefits of encouraging students to consider their responsibilities to their communities and to the world redound to them, institutions, and society. As Altinay (2010, 1) put it, “a university education which does not provide effective tools and forums for students to think through their responsibilities and rights as one of the several billions on planet Earth, and along the way develop their moral compass, would be a failure.” Strengthening institutional commitment to serving society enriches the institution, affirms its relevance and contributions to society, and benefits communities (however expansive the definition) and the lives of their members.

Third, the concept of global citizenship creates conceptual and practical connections rather than cleavages. The commonalities between what happens at home and “over there” become visible. The characteristics that human beings share are balanced against the differences that are so conspicuous. On a practical level, global citizenship provides a concept that can create bridges between the work of internationalization and multicultural education. Although these efforts have different histories and trajectories, they also share important goals of cultural empathy and intercultural competence (Olson et al. 2007).

No concept or term is trouble-free; no idea goes uncontested by some faculty member or group. For better or for worse, global citizenship will undoubtedly provoke disagreements that reflect larger academic and philosophical debates. There is plenty of skepticism about global citizenship. Some object to any concept that suggests a diminished role for the nation and allegiance to it or the ascendancy of global governance systems. The idea of developing students’ moral compasses can raise questions about whose values and morals and how institutions undertake this delicate task. Some students will choose not to accept responsibility for the fate of others far away, or may see inequality as an irremediable fact of life. Some faculty will stand by the efficacy and wisdom of the market; others will see redressing inequality as the key issue for the future of humankind. And so on.

Such debates, sometimes civil or acrimonious, are, for better or worse, the stuff of academe. Implementing new ideas—even if they have been around for a very long time as in the case of global citizenship—can be slow and painful. However, if colleges and universities can produce graduates with the knowledge and the disposition to be global citizens, the world would certainly be a better place.

Madeleine F. Green


Box 1 — Conceptual Divides

What was once simply called “international education” is now a field awash with varied terminology, different conceptual frameworks, goals, and underlying assumptions.*

Although “internationalization” is widely used, many use globalization—with all its different definitions and connotations— in its stead. Rather than take on the job of sorting out the terminology, let me point out two significant conceptual divides in the conversation. Both center on the purpose of internationalization.

In the first divide, we see one face of internationalization as referring to a series of activities closely associated with institutional prestige, profile, and revenue. These activities are generally quantifiable, lend themselves to institutional comparisons and benchmarking, and provide metrics for internationalization performance that resonate with trustees and presidents. Examples include hosting international students, sending students abroad, developing international agreements, and delivering programs abroad.

The other face of internationalization—student learning— is much more difficult to capture and assess, but it provides an important answer to the “so what?” question. Why does internationalization matter? What impact do internationalization activities have on student learning? How do they contribute to preparing students to live and work in a globalized and culturally diverse world?

Different terms with overlapping meanings are used to describe the student learning dimension of internationalization. Global learning, global education, and global competence are familiar terms; they, too, are often used synonymously. The global in all three terms often includes the concepts of international (between and among nations), global (transcending national borders), and intercultural (referring often to cultural differences at home and around the world).

Also prevalent in the student learning discussion is another cluster of terms that focus specifically on deepening students’ understanding of global issues and interdependence, and encouraging them to engage socially and politically to address societal issues. These terms include global citizenship, world citizenship (Nussbaum 1997), civic learning, civic engagement, and global civics (Altinay 2010). These terms, too, share several key concepts, and are often used interchangeably.

The second divide focuses on the divergent, but not incompatible goals of workforce development (developing workers to compete in the global marketplace) or as a means of social development (developing globally competent citizens.) Global competitiveness is primarily associated with mastery of math, science, technology, and occasionally language competence, whereas “global competence” (a broad term, to be sure), puts greater emphasis on intercultural understanding and knowledge of global systems and issues, culture, and language.

As the field grows increasingly complex and the instrumental goals of internationalization become more prominent, it is important that campus discussions and planning efforts sort out their language, underlying concepts, and implied or explicit values. Otherwise, people run the risk of talking past each other and developing strategies that may not match their goals.


*It is important for U.S. readers to note that the goals of and assumptions about internationalization vary widely around the world. The Third Global Survey of Internationalization conducted by the International Association of Universities found that there are divergent views among institutions in different regions of the risks and benefits of internationalizations. Based on their findings, IAU has launched an initiative to take a fresh look at internationalization from a global perspective.

References

Altinay, Hakan. “The Case for Global Civics.” Global Economy and Development Working Paper 35, The Brookings Institution, Washington, DC, 2010.

Nussbaum, Martha. 1997. Cultivating Humanity: A Classical Defense of Reform in Liberal Education. Cambridge, MA and London: Harvard University Press.

Olson, Christa, Rhodri Evans, and Robert Shoenberg. 2007. At Home in the World: Bridging the Gap Between Internationalization and Multi-Cultural Education. Washington DC: American Council on Education.

Schattle, Hans. 2007. The Practices of Global Citizenship . Lanham: Rowman and Littlefield Publishers, Inc.

Schattle, Hans. 2009. “Global Citizenship in Theory and Practice.” In The Handbook of Practice and Research in Study Abroad:Higher Education and the Quest for Global Citizenship, ed. R. Lewin. New York: Routledge.

The unruly process of ‘innovation’ has long stumped analysts and advocates. Indeed, there is a veritable cottage industry of scholars who work on innovation, innovation systems, innovation networks, and associated phenomena. This agenda intersects with higher education systems, institutions and practices in a variety of ways, including the development of research and advocacy programs regarding university industry linkages, entrepreneurship, technology transfer, the role of higher education institutions (HEIs) in R&D, the role of HEIs in city-region development, online education (most recently), and so on.

But how does this agenda intersect with the globalization of higher education and research agenda? Well, in a wide variety of ways, especially given the globalizing nature of economies and societies. Researchers who focus on all of the above phenomena are increasingly grappling with the impact of ‘global pipelines’ guiding flows of people and information between multiple sites; transnational flows of mobile people, technologies, and the like; and multi-sited epistemic communities that produce the jointly authored publications mapped out here. The vast majority of this research, however, deals with grounded HEIs, institutions fixed in place. This, of course, makes sense, for most HEIs are not mobile, and never will be (and indeed should arguably not be).

This said, one of the most fascinating experiments to unsettle the university-territory relationship, with the aim of engendering new forms of unruly innovation, is unfolding in New York City.

Just over a year ago, in December 2010, New York City stirred up interest around the world with the issue of Request for Expressions of Interest seeking “Responses from the Academic World for a Partnership with the City to Create a State-of-the-Art Applied Science Campus.” As the 16 December 2010 press release put it:

Mayor Michael R. Bloomberg, Deputy Mayor for Economic Development Robert K. Steel and New York City Economic Development Corporation President Seth W. Pinsky today announced that the City is seeking responses from a university, applied science organization or related institution to develop and operate an applied sciences research facility in New York City. In order to maintain a diverse and competitive economy, and capture the considerable growth occurring within the science, technology and research fields, the City is looking to strengthen its applied sciences capabilities, particularly in fields which lend themselves to commercialization. The City will make a capital contribution, in addition to possibly providing land and other considerations, commensurate with the respondent’s investment.

In the end 18 responses from a total of 27 HEIs were received, according to this 17 March 2011 press release:

  • Åbo Akadmi University, Finland
  • Amity University, India
  • Carnegie Mellon University with Steiner Studios
  • Cornell University
  • Columbia University and the City University of New York
  • The Cooper Union
  • École Polytechnique Fédérale de Lausanne, Switzerland
  • Indian Institute of Technology Bombay, India
  • Korea Advanced Institute of Science and Technology, Korea
  • New York University, Carnegie Mellon, the City University of New York, the University of Toronto, and IBM
  • The New York Genome Center, with Albert Einstein College of Medicine, Columbia University Medical Center, Memorial Sloan Kettering Cancer Center, Mount Sinai School of Medicine, New York University, Rockefeller University, and the Jackson Laboratory
  • Purdue University
  • Rensselaer Polytechnic Institute
  • Stanford University
  • The Stevens Institute of Technology
  • Technion-Israel Institute of Technology, Israel
  • The University of Chicago
  • The University of Warwick, United Kingdom

This lineup of universities is noteworthy for it is the largest ever number of HEIs simultaneously considering the stretching of their institutional infrastructures out across space and into one place (NYC, USA). No other jurisdiction has ever, as far as I know, received such an expression of interest in such a concentrated period of time, highlighting the hold the city has on imaginations worldwide. Prometheus unbound, indeed.

As Mayor Bloomberg noted at the same time:

We were enormously optimistic that this once-in-a-generation opportunity would draw the interest of top caliber universities from New York City, the region and the world, and the number and breadth of responses is as strong an endorsement of the idea as we could have hoped for,” said Mayor Bloomberg. “The institutions that responded recognize the historic opportunity this initiative represents – to grow a presence in the world’s most dynamic, creative and globally connected city. For New York City, it’s an opportunity to increase dramatically our potential for economic growth – a game-changer for our economy.

To cut a long story short, these expressions of interest were vetted and used to develop a comprehensive Applied Sciences Request for Proposals (RFP) to develop the applied sciences campus. The RFP, which was issued on 19 July 2011, had a closing date of 28 October 2011.

On 31 October 2011, the City of New York issued another press release noting that the City had received 7 full proposals put together by these 17 HEIs:

  • Amity University (Governor’s Island)
  • Carnegie Mellon University/Steiner Studios (Brooklyn Navy Yard)
  • Columbia University (Manhattanville)
  • Cornell University/Technion-Israel Institute of Technology (Roosevelt Island)
  • New York University/University of Toronto/University of Warwick (UK)/The Indian Institute of Technology, Bombay/City University of New York and Carnegie Mellon (Downtown Brooklyn)
  • New York Genome Center/Mount Sinai School of Medicine/Rockefeller University/SUNY Stony Brook (Midtown Manhattan)
  • Stanford University/City College of New York (Roosevelt Island)

Each proposal crafted plans to “develop and operate a new or expanded campus in the City in exchange for access to City-owned land and up to $100 million in City capital.”

Interestingly the geographies of these HEIs are less diverse than the lineup noted in relationship to the Dec 2010 response. Clearly the commitment required to harness the direct and indirect resources that would bring such a risky project to life was significant.

By mid-December 2011 a decision was made that one proposal (put together by Cornell University in partnership with Technion-Israel Institute of Technology) would get the formal go-ahead. The image below comes from the proposal, and is supplied courtesy of Cornell University.

While there has been significant coverage of this news story, this 19 December 2011 press release remains the best summary of the proposed project, to date. The official project sites run by Cornell, as well as by the NYCEDC are worth reviewing as well.

During the first two months of 2012 development planning has been fast-tracked and the senior leadership team has been put together. It is also worth noting that discussions are continuing with NYU-led consortium (with the University of Toronto, University of Warwick, Indian Institute of Technology, Bombay, CUNY, and Carnegie Mellon University) in relationship to a Downtown Brooklyn site, as well as with Carnegie Mellon and Columbia in relationship to two other sites.

I’ve outlined the above stages and provided some links in part so readers of GlobalHigherEd could locate materials about the early development stages of Applied Sciences NYC in one spot. But in doing so, and in grappling with the territorial unsettlings inspired by the draw of the global city of New York, I can’t help but be fascinated by the significance of this experiment a number of levels. From a global higher ed perspective, Applied Sciences NYC is noteworthy because it is generative of:

  • The formation of deep partnerships between universities from different countries, but in a new (third) setting. In so doing, universities have no choice but to forge deep and relatively trusting relations, a requirement and an outcome absent from traditional international partnerships (which are usually struck up for the purpose of forging partnerships, i.e. partnerships in search of legitimizing projects).
  • The creation of a partnership node that can be opened up, at will, to new partners while also serving as a prospective site of engagement between Cornell and Technion’s existing partners universities in the US, Israel, and abroad. This is, indeed, the value of drawing in universities like Technion and Cornell (on this issue see President David Skorton’s guest entry ‘A Cornell University response to ‘A question (about universities, global challenges, and an organizational-ethical dilemma)’’ in Global Higher Ed). Thus, the new campus could, in theory, serve as a site of research, teaching, and collaboration more generally, for the many universities that Cornell and Technion trust and respect.
  • The establishment of new research and teaching programs that will have significantly more latitude for configuration given the novelty of the campus, and the mandate associated with the original RFP issued by NYC. In short, some distance from the origin sites of both Cornell and Technion may help both universities break free from established practices and unwritten codes of convention on their main campuses, for good and bad.
  • The ability to design a campus from scratch, which will enable barriers to collaboration to be designed away (well, in theory!).
  • The creation of an institutional space that will allow these two universities, not originally based in the city of New York, to identify and work more intensely with New York-based partners in the public, private, and non-profit worlds. The abundance of international organizations, NGOs, and non-profits in the city of New York cannot help but be a huge resource to these two universities, especially if they are cognizant of the importance of viewing ‘innovation’ broadly.
  • The creation of physical presence in New York so as to at least have the potential to forge informal relations of trust and interdependency with city-based actors (be they US or foreign). This is, for example, one of the benefits reaped by INSEAD after it established a deep presence in the global city of Singapore in 2001. The unruly processes associated with innovation often take time: they often occur by accident, and serendipity often comes into play. Serendipity is better facilitated, if indeed it can be facilitated, via proximity and territorial co-presence.

These are just a few aspects of the development process that come to mind. While there are many more I could have flagged, I have some World Regions course grading to attend to!

In closing, Applied Sciences NYC is much more significant that even its advocates realize. This is a long-term experiment in reconfiguring the university-territory relationship.  Not all universities can nor should do this, but at least some should. And don’t rush to judgment too quickly, either: as a fascinating article about Bell Labs in yesterday’s New York Times reminds us, ‘true innovation’ takes time, and while revolutions happen fast, they ‘dawn slowly.’

Kris Olds

Editor’s note: I’m back after a two month hiatus dealing with family health care challenges on top of some new administrative duties and a new online course. Thank you very much for bearing with the absence of postings on GlobalHigherEd.

Today’s entry was kindly contributed by John Douglass, Gregg Thomson, and Chun-Mei Zhao of the Center for Studies in Higher Education, UC Berkeley. This fascinating contribution should be viewed in the context of some of our earlier postings on learning outcomes, including:

as well as Scott Jaschik’s recent article ”Tuning’ History‘ in Inside Higher Ed (13 February 2012).

Today’s entry is a timely one given debates about the enhanced importance of assessing learning outcomes at a range of scales (from the intra-departmental right up to the global scale). In addition, please note that this entry is adopted from the article Douglass, J.A., Thomson, G., Zhao, C. ‘The Learning Outcomes Race: the Value of Self-Reported Gains in Large Research Universities, Higher Education, February 2012.

Responses, including guest entries, are most welcome!

Kris Olds

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It’s a clarion call. Ministries of education along with critics of higher education institutions want real proof of student “learning outcomes” that can help justify large national investments in their colleges and universities. How else to construct accountability regimes with real teeth? But where to find the one-size-fits-all test?

In the US, there is a vehicle that claims it can do this – the Collegiate Learning Assessment (CLA) test. In its present form, the CLA is given to a relatively small sample group of students within an institution to supposedly “assess their abilities to think critically, reason analytically, solve problems and communicate clearly and cogently.” The aggregated and statistically derived results are then used as a means to judge the institution’s overall added value. In the words of the CLA’s creators, the resulting data can then “assist faculty, department chairs, school administrators and others interested in programmatic change to improve teaching and learning, particularly with respect to strengthening higher order skills.” But can it really do this?

The merit of the CLA as a true assessment of learning outcomes is, we dare say, debatable. In part, the arrival and success of the CLA is a story of markets. In essence, it is a successfully marketed product that is fulfilling a growing demand with few recognized competitors. As a result, the CLA is winning the “learning outcomes race,” essentially becoming the “gold standard” in the US.

But we worry that the CLA’s early success is potentially thwarting the development of other valuable and more nuanced alternatives – whether it be other types of standardized tests that attest to measuring the learning curve of students, or other approaches such as student portfolios, contextually designed surveys on student experience, and alumni feedback.

The search for the Holy Grail to measure learning gains started in the US, but the Organisation for Economic Co-operation and Development (OECD) wants to take it global. Here we tell a bit of this story and raise serious questions regarding the validity of the CLA, this global quest, and suggest there are alternatives.

The OECD Enters the Market

In 2008, the OECD began a process to assess if it might develop a test for use internationally. A project emerged: the Assessment of Higher Education Learning Outcomes (AHELO) program would assess the feasibility of capturing learning outcomes valid across cultures and languages, and in part informed by the OECD’s success in developing the Programme for International Student Assessment (PISA) – a widely accepted survey of the knowledge and skills essential of students near the end of the compulsory education years.

The proclaimed objective of the AHELO on-going feasibility study is to determine whether an international assessment is “scientifically and practically possible.” To make this determination, the organizers developed a number of so-called study “strands.” One of the most important is the “Generic Strand,” which depends on the administration of a version of the CLA to gauge “generic skills” and competences of students at the beginning and close to the end of a bachelor’s degree program. This includes the desire to measure a student’s progression in “critical thinking, the ability to generate fresh ideas, and the practical application of theory,” along with “ease in written communication, leadership ability, and the ability to work in a group, etc.” OECD leaders claim the resulting data will be a tool for the following purposes:

  • Universities will be able to assess and improve their teaching.
  • Students will be able to make better choices in selecting institutions – assuming that the results are somehow made available publicly.
  • Policy-makers will be assured that the considerable amounts spent on higher education are spent well.
  • Employers will know better if the skills of the graduates entering the job market match their needs.

Between 10,000 and 30,000 students in more than 16 countries take part in the administration of the OECD’s version of the CLA. Full administration at approximately 10 universities in each country is scheduled for 2011 through December 2012.

AHELO’s project leaders admit the complexity of developing learning outcome measures, for example, how to account for cultural differences and the circumstances of students and their institutions? “The factors affecting higher education are woven so tightly together that they must first be teased apart before an accurate assessment can be made,” notes one AHELO publication.

By March 2010, and at a cost of €150,000 each, the ministries of education in Finland, Korea, Kuwait, Mexico, Norway and the United States agreed to commit a number of their universities to participate in the Generic Strand (i.e. the OECD version of the CLA) of the feasibility study. The State Higher Education Executive Officers – an American association of the directors of higher education coordinating and governing boards – is helping to coordinate the effort in the US. Four states have agreed to participate, including Connecticut, Massachusetts, Pennsylvania, and Missouri. A number of campuses of the Pennsylvania State University agreed to participate in the OECD’s version of the CLA with the goal of a spring 2012 administration.

However, the validity and value of CLA is very much in question and the debate over how to measure learning outcomes remains contentious. Many institutions, including most major US research universities, view with skepticism the methodology used by the CLA and its practical applications in what are large institutions, home to a great variety of disciplinary traditions.

The Validity of the Collegiate Learning Assessment (CLA)?

A product of the Council for Aid for Education (CAE), the CLA is a written test that focuses on critical thinking, analytic reasoning, written communication, and problem solving administered to small random samples of students, who write essays and memoranda in response to test material they have not previously seen.  The CAE is technically a non-profit, but has a financial stake in promoting the CLA has emerged as its primary product, much like the Educational Testing Services that hawks the SAT.

In the US, the standard administration of CLA involves a cross-sectional sample of approximately 100 first-year students and another 100 fourth-year seniors. It is necessary to keep the sample size small because scoring the narrative is labor intensive. With such a small sample size, there is no guarantee that a longitudinal approach in which the same students are tested will yield enough responses.

CLA proponents justify the cross-sectional approach because students in US colleges and universities often transfer or do not graduate in a four-year period. The cross-sectional design also has the convenience that results can be generated relatively quickly, without having to wait for a cohort to matriculate to their senior year.

Test results derived from these samples are used to represent an institution-wide measure of a university or college’s contribution (or value-added) to the development of its students’ generic cognitive competencies.  Based on these results, institutions can then be compared with one another on the basis of their relative value-added performance.

Proponents of the CLA test claim its value based on three principles:

  • First, for accountability purposes, valid assessment of learning outcomes for students at an institution is only possible by rigorously controlling for the characteristics of those students at matriculation.
  • Second, by using SAT scores as the control for initial student characteristics, it is possible to calculate the value-added performance of the institution, which is a statistically derived score indicating how the institution fares against what it is expected in terms of student learning. This is done by comparing two value-added scores: one is the actual score, which is the existent difference between freshman and senior CLA test performance; and the other is the predicted score, which is the statistically yielded freshman and senior difference based on student characteristics at entry.
  • Third, this relative performance, i.e., the discrepancy between the actual and predicted value-added scores, can in turn be compared to the relative performance achieved at other institutions. Hence the CLA test has accomplished a critical feat in the learning outcomes pursuit: it produces a statistically derived score that is simple and “objective” and that can be used to compare and even rank institutions on how well a college is performing in terms of student learning.

Prominent higher education researchers have challenged the validity of the CLA test on a number of grounds. For one, the CLA and the SAT are so highly correlated. The amount of variance in student learning outcomes after controlling for SAT scores is incredibly small. Most institutions’ value-added will simply be in the expected range and indistinguishable from each other. Hence, why bother with the CLA.

The CLA results are also sample-dependent. Specifically, there is a large array of uncontrollable variables related to student motivation to participate in and do well on the test. Students who take CLA are volunteers, and their results have no bearing on their academic careers. How to motivate students to sit through the entire time allotted for essay writing and to take seriously their chore? Some institutions provide extra-credit for taking the test, or provide rewards for its completion. At the same time, self-selection bias may be considerable. On the other hand, there are concerns that institutions may try to game the test by selecting high achievement senior year students. High stakes testing is always subject to gaming. There is no way to avoid institutions cherry-picking – purposefully selecting students who will help drive up learning gain scores.

Other criticisms center on the assumption that the CLA has fashioned a test of agreed-upon generic cognitive skills that is equally relevant to all students. But recent findings suggest that CLA results are, to some extent, discipline-specific. As noted, because of the cost and difficulty of evaluating individual student essays, the design of the CLA relies upon a rather small sample size to make sweeping generalizations about overall institutional effectiveness, it provides very little if any useful information at the level of the major.

To veterans in the higher education research community, the “history lessons” of earlier attempts to rank institutions on the basis of “value-added” measures are particularly telling. There is evidence that all previous attempts at large-scale or campus-wide assessment in higher education on the basis of value-added measures have collapsed, in part due to the observed instability of the measures. In many cases, to compare institutions (or rank institutions) using CLA results merely offers the “appearance of objectivity” that many stakeholders of higher education crave.

The CLA proponents respond by attempting to statistically demonstrate that much of the criticism does not apply to the CLA: for example, regardless of the amount of variance accounted for, the tightly SAT-controlled design does allow for the extraction of valid results regardless of the vagaries of specific samples or student motivation. But ultimately even if the proponents of the CLA are right and their small-sample testing program with appropriate statistical controls could produce a reliable and valid “value-added” institutional score, the CLA might generate meaningful data in a small liberal arts college, but it appears of very limited practical utility in large and complex universities.

Why? First, the CLA does not pinpoint where exactly a problem lies and which department or which faculty members would be responsible to address the problem. CLA claims that, in addition to providing an institution-wide “value-added” score, it serves as a diagnostic tool designed “to assist faculty in improving teaching and learning, in particular as a means toward strengthening higher order skills.”

But for a large, complex research university like the University of California, Berkeley, this is a wishful proposition. Exactly how would the statistically derived result (on the basis of a standard administration of a few hundred freshman and senior test-takers) that, for example, the Berkeley campus was performing more poorly than expected (or relatively more poorly than, say, the Santa Barbara campus in the UC system) assist the Berkeley faculty in improving its teaching and learning?

Second, CLA does not provide enough information on how well a university is doing in promoting learning among students from various backgrounds and life circumstances.  This assessment approach is incompatible with the core value of diversity and access championed by the majority of large, public research universities.

Embarking on a “Holy Grail–like” quest for a valid “value-added” measure is, of course, a fundamental value choice. Ironically, the more the CLA enterprise insists that the only thing that really matters for valid accountability in higher education is a statistical test of “value-added” by which universities can be scored and ranked, the more the CLA lacks a broader, “systemic validity,” as identified by Henry Braun in 2008:

Assessment practices and systems of accountability are systemically valid if they generate useful information and constructive responses that support one or more policy goals (Access, Quality, Equity, Efficiency) within an education system without causing undue deterioration with respect to other goals.

“Valid” or not, the one-size-fits-all, narrow standardized test “value-added” program of assessment in higher education promises little in the way of “useful information and constructive responses.” A ranking system based on such could only have decidedly pernicious effects, as Cliff Adelman once observed. In Lee Shulman’s terms, the CLA is a “high stakes/low yield” strategy where high stakes corrupt the very processes they are intended to support.

For the purposes of institution-wide assessment, especially for large, complex universities, we surmise that the net value of CLA’s value-added scheme would be at best unconstructive, and at worst generating inaccurate information used for actual decision-making and rankings.

One Alternative?

In a new study published in the journal Higher Education, we examine the relative merits of student experience surveys in gauging learning outcomes by analyzing results from the data from the Student Experience in the Research University (SERU) Consortium and Survey based at the Center for Studies in Higher Education at UC Berkeley. There are real problems with student self-assessments, but there is an opportunity to learn more than what is offered in standardized tests.

Administered since 2002 as a census of all students at the nine undergraduate campuses of the University of California, the SERU survey generates a rich data set on student academic engagement, experience in the major, participation in research, civic and co-curricular activities, time use, and overall satisfaction with the university experience. The survey also provides self-reported gains on multiple learning outcome dimensions by asking students to retrospectively rate their proficiencies when they entered the university and at the time of the survey. SERU results are then integrated with institutional data.

In 2011, the SERU Survey was administered at all nine University of California undergraduate campuses, and to students at an additional nine major research universities in the US, all members of the Association of American Universities (AAU), including the Universities of Michigan, Minnesota, Florida, Texas, Rutgers, Pittsburgh, Oregon, North Carolina and the University of Southern California. (A SERU-International Consortium has recently been formed with six “founding” universities located in China, Brazil, the Netherlands, and South Africa.)

SERU is the only nationally administered survey of first-degree students in the US that is specifically designed to study policy issues facing large research universities. It is also one of four nationally recognized surveys for institutional accountability for research universities participating the Voluntary System of Accountability initiative in the US. The other surveys include the College Student Experiences Questionnaire, the College Senior Survey, and the National Survey of Student Engagement.

The technique of self-reported categorical gains (e.g., “a little”, “a lot”) typically employed in student surveys has been shown to have dubious validity compared to “direct measures” of student learning. The SERU survey is different. It uses a retrospective posttest design for measuring self-reported learning outcomes that yields more valid data. In our exploration of that data, we show connections between self-reports and student GPA and provide evidence of strong face validity of learning outcomes based on these self-reports.

The overall SERU survey design has many other advantages, especially in large, complex institutional settings. It includes the collection of extensive information on academic engagement as well as a range of demographic and institutional data. The SERU dataset sheds light on both the variety of student backgrounds and the great variety of academic disciplines with their own set of expectations and learning goals.

Without excluding other forms of gauging learning outcomes, we conclude that designed properly, student surveys offer a valuable and more nuanced alternative in understanding and identifying learning outcomes in the university environment.

But we also note the tension between the accountability desires of governments and the needs of individual universities who should focus on institutional self-improvement. One might hope that they would be synonymous. But how to make ministries and other policymakers more fully understand the perils of a silver bullet test tool?

The Lure of the Big Test

Back to the politics of the CLA. This test is a blunt tool, creating questionable data that serves immediate political ends. It seems to ignore how students actually learn and the variety of experiences among different sub-populations. Universities are more like large cosmopolitan cities full of a multitude of learning communities, as opposed to a small village with observable norms. In one test run of the CLA, a major research university in the US received data that showed students actually experienced a decline in their academic knowledge – a negative return? It seems highly unlikely.

But how to counteract the strong desire of government ministries, and international bodies like the OECD, to create broad standardized tests and measures of outcomes? Even with the flaws noted, the political momentum to generate a one-size-fits-all model is powerful. The OECD’s gambit has already captured the interest and money of a broad range of national ministries of education and the US Department of Education.

What are the chances the “pilot phase” will actually lead to a conclusion to drop the pursuit of an higher education version of PISA? Creating an international “gold standard” for measuring learning outcomes appears too enticing, too influential, and too lucrative for that to happen – although we obviously cannot predict the future.

It may very well be that data and research offered in our study that uses student survey responses will be viewed as largely irrelevant in the push and pull for market position and political influence. Government’s love to rank and this might be one more tool to help encourage institutional differentiation – a goal of many nation-states.

But for universities who desire data for making actionable improvement we argue that student surveys, if properly designed, offer one of the most useful and cost-effective tools. They also offer a means to combat simplistic rankings generated by CLA and similar tests.

John Douglass, Gregg Thomson, and Chun-Mei Zhan

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