7/28/2019 Middlehurst -- Quality Enhancement for Accountability and Transformation http://slidepdf.com/reader/full/middlehurst-quality-enhancement-for-accountability-and-transformation 1/10 Tertiary Education and Manageraent, VoL3, No.I, 1997, 15-24 Quality Enhancement for Accountability and Transformation A Framework for the Future Robi n M iddlehurst Higher education is no stranger to 'the market place'. Over centuries, the products and processes of higher education -knowledge creation and transmission; professional practice and develop- ment; technological innovation, transfer and ex- change; social and political critique - have shaped and responded to different markets. However, in the last quarter of the twentieth century, the relationship between markets is changing as the balance of power and authority in transactions between higher education and its clients and sponsors shifts. In the UK, as in the USA, the concepts and practices of 'the market' have become politically popular and economically pervasive, as they have been formally applied to public as well as private sectors of the economy. In higher education, the quality agenda has provided an important vehicle for promoting and responding to the market place. For institutional researchers, the agenda has also served to highlight the tensions between the economic values of the market and the social values of higher education. This paper argues for the development of a new set of relationships between higher education and 'the market place', one in which the balance of power and authority is more evenly spread between sponsors, clients and providem A qual- ity framework is used to illustrate how these relationships can be developed and expressed, using some, but not all, of the rhetoric of the market to reframe higher education activities The paper is in four parts. It begins with a brief description of market concepts and their appli- cation to UK higher education. Then a series of tensions in the market rhetoric as applied to higher education are discussed. The third section introduces the quality framework, illustrating how these tensions might be allayed. The work of the Higher Education Q~ality Council (HEQ_C) offers examples of how the framework can be applied in practice. The paper concludes by drawing attention to some of the structures and activities which need to be established within and across institutions if a new set of transac- tional relationships with clients and sponsors is to develop successfully. Market Principles and their Application to Higher Education The application of market concepts and princi- ples in UK higher education has been somewhat crude and imperfect since many of the conditions necessary for the operation of a true market are absent. For example, a market involves the trad- ing of goods and services based on laws of supply (an adequacy and availability of such goods and services) and demand (a requirement or need for such goods and services). Ideally, supply and Ms Robin Middleburst is Director of the (~¢liey Enbwacemrnt Group at the Higher Education (~ Ji 9 Council, 344 -354 Grays lnn Roa~ London WC IX 8BP. Td:0171 837 2223. Fax:0171 278 1676. Tlx ~iem exp,esed in this paper are thoseof ~ ~bo r and not necz~ty those of the co.oil. 15
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7/28/2019 Middlehurst -- Quality Enhancement for Accountability and Transformation
Q U A L IT Y E N H A N C E M E N T F O R A C C O U N T A BI LI T Y A N D T R A N S F O R M A T I O N 1 7
s y s t e m s a r e t h e n u s e d t o m a k e j u d g e m e n t s a b o u t
i n s t it u t i o n a l p r o c e s s e s a n d o u t c o m e s i n t e a c h in g ,
a n d t h e q u a n t i t y a n d q u a l i t y o f o u t p u t i n r e -s e a r c h . W h i le in s t / tu t io n s t e c h n ic a l ly h a v e to s e t
o b j e c t i v e s , t h e t w i n l e v e rs o f c o n t r o l t h r o u g h
f u n d i n g a n d t h r o u g h e v a l u a t i o n , w h i c h f o r m t h e
a r m o u r y o f a c c o u n t a b il i ty , p l a c e s t r o n g l i m i t s o n
i n d e p e n d e n c e , n o t l e a s t b e c a u s e o f t h e e n e r g y
e x p e n d e d i n c o m p l y i n g w i t h t h e r u le s o f th e
g a m e a n d p r e s e n t i n g a s a t i s f a c t o r y c a s e t o t h e
e v a l u a t o r g A s T r o w ( 1 9 9 6 ) h a s r e p o r t e d a b o u t
t h e U K :
S o m e o f t h e b e s t u n i v e r s it y a d m i n i s tr a t o rs i n
t h e c o u n t r y d e v o t e a v e r y la r ge a m o u n t o f
t i m e a n d e n e r g y t o t h e c r e a t i o n a n d m a n i p u -l a t io n o f i n f o r m a t i o n t h a t g o i n t o t h e i r a ss e ss -
m e n t o r d i r e c t l y t o [ t h e f u n d i n g c o u n c i l ],
i n f o r m a t i o n o n w h i c h t h e i r f u n d i n g a n d r a n k -i n g d e p e n d s , ( F 7 )
T r o w g o e s o n t o m a k e a c a u st i c o b s e r v a t i o n a b o u t
t h i s f o r m o f a c c o u n t a b i l i t y a n d i ts r e la t i o n s h ip t o
a f r e e - m a r k e t e c o n o m y :
W h a t e v e r w e m i g h t c a l l t h i s , i t i s a c c o u n t -
a b i l i t y i n n a m e o n l y . It m u c h m o r e r e s em b l e s
th e r e p o r t s b y a c iv i l s e r v ic e in a d e f e a te dc o u n t r y t o a n o c c u p y i n g p o w e r , o r b y s t a t e -o w n e d i n d u s t r i a l p l a n t s a n d f a r m s t o c e n t r a l
g o v e r n m e n t i n a c o m m a n d e c o n o m y ( IX 7)
T h e r e a r e o t h e r r e a s o n s w h y a c c o u n t a b i l i ty i n i ts
p r e s e n t f o r ms i s p r o b le ma t ic f o r in s t i tu t io n s . A
m a j o r r e a s o n i s t h e a m o u n t o f c h a n g e t h at h a s
b e e n o c c u r r i n g a n d s t il l n e e d s t o o c c u r a s a r es u l t
o f t h e e x p a n s i o n o f h i g h e r e d u c a t i o n , a d v a n c es
i n t e c h n o l o g y , a n d c h a n g e s i n t h e n a t u re o f th e
d e m a n d f o r h i g h e r e d u c a t i o n s e r v i c e s . T h e U K
h a s m o v e d f r o m a n ~ l i t e t o a m a s s s y s t e m o f
h i g h e r e d u c a t i o n ( f o r e x a m p l e , u n d e r g r a d u a t e
n u m b e r s h a v e g r o w n f r o m 5 6 0 , 0 0 0 i n 1 9 7 0 / 7 1
t o 1 , 4 1 9 , 0 0 0 i n 1 9 9 3 / 9 4 ) ; t h e re h as b e e n si g -
n i f i c a n t i n v e s t m e n t i n n e w t e c h n o l o g i e s f o r
t e a c h i n g a n d l e a r n in g ( f o r e x a m p l e , t h e f o u r U K
H E f u n d i n g b o d i e s h a v e in v e s t e d £ 3 3 m i l l io n i n
7 6 T L T P ( T e a c h i n g , L e a r n i n g a n d T e c h n o l o g y
P r o g r a mme ) p r o je c t s o v e r f o u r y e a r s ) , b u t f a r
f r o m s u f f i c i e n t in v e s tm e n t in r e l a t e d s t a f f d e v e l -
o p me n t ; a n d th e r e i s in c r e a s in g p r e s s u r e f o r b o th
h i g h e r e d u c a t i o n c u r r i c u l a a n d r e s e a r c h t o b e
r e l e v an t a n d i m m e d i a t e l y a p p l i ca b l e t o t h e n e e d s
o f i n d u s t r y a n d b u s i n e s s e n te r p ri s e s. T h e q u e s -
t i on s b e i n g a d d r e s se d b y S i r g o n D e a r i n g 's c o m -
p r e h e n s i v e r e v i e w o f h i g h e r e d u c a t i o n r e f le c t
s o m e o f t b e s e m a j o r c o n c er n s.T h e d i f f ic u l t y w i t h t h e p r e s e n t i n t e r p r e ta t i o n s
o f a c c o u n t a b i l i t y i s t h a t t h e y p o t e n t i a l l y l i m i t
i n s t it u t i o n s ' c a p a c i t y t o r e s p o n d a n d d e v e l o p ,
b o t h b e c a u s e o f t h e r e s o u rc e s t ie d u p i n t h e f o r m s
o f a c c o u n ta b i l i ty u s e d ( i .e . i n t e r p r e t in g th e m ,
p r e p a r i n g f o r t h e m , e n g a g i n g i n p r e s e n t a t i o n s
a n d v i s i t s , r e s p o n d i n g t o o r e x p l o i t i n g t h e o u t -
c o m e s ) a n d b e c a u s e o f t h e f o c u s o f i n t e re s t o f t h e
p r o c e s s e s w h i c h c a n s k e w i n s t i t u t io n a l a t t e n t i o n
in in a p p r o p r ia t e d i r e c t io n s . F ig u r e s 1 a n d 2 ,
b e lo w, i l lu s t r a t e th e p o in t .
Accountability Development
external requirements
ex trins ic m otivadon
static/retrospective
inspection
information
internal interests
intr insic motivation
d y n a mic /p r o s p e c t iv e
evaluation
da ta
Source: M iddlehurst (1997, in press)
Figure ! Con trasts between accou ntabi l i ly an d
deve lopment
I n F i g u re I s o m e c o n t r a s ts b e t w e e n a c c o u n t -
a b i l it y a n d d e v e l o p m e n t a r e h i g h l i g h t e d . A s i ts u g g e s t s , r e n d e r i n g a n a c c o u n t t o s p o n s o r s i s
d r i v en b y e x t e r n a l r e q u i re m e n t s a n d t e n d s t o r e l y
o n t h e e x t r i n s ic m o t i v a t i o n o f r e w a r d ( e. g. e x t r a
f u n d e d s t u d e n t n u m b e r s ) o r p u n i s h m e n t ( e . g .
d i r e c t r e m o v a l o f r es o u r ce s , o r i n d i r e c t r e m o v a l
v ia d a ma g e , to in s t i tu t io n a l r e p u ta t io n ) . T h e f o c u s
i s e s s e n t i a l ly s t a t i c a n d r e t r o s p e c t iv e , in v o lv in g
a n a c c o u n t o f w h a t h a s b e e n d o n e r a t h e r t h a n
w h a t s h o u l d o r w i l l b e d o n e t o m o v e t h e i n st i tu -
t i o n / p r o g r a m m e f o r w a r d . T h e p r o c e s s i n v o l v e s
i n s p e c t i o n l e a d i n g t o n o n - n e g o t i a b l e j u d g e m e n t s
a n d t h e o u t c o m e s a r e i n t e n d e d t o p r o v i d e i n f o r -m a t i o n t o g u i d e c h o i c e fo r t h o s e n e e d i n g t o b e
s e le c t iv e (i . e . f u n d e r s a n d c o n t r a c to r s , o r s tu -
d e n t s) . D e v e l o p m e n t , o n t h e o t h e r h a n d , i s d r i v e n
b y i n t e rn a l i n t e r e st s w h i c h a r e i n f o r m e d b y t h e
p a r t i c u l a r m a r k e t s w i t h w h i c h t h e i n s t i t u -
t i o n / s u b j e c t e n g a g e s , a n d b y t h e i n t r i n s i c m o t i -
v a t o r s o f a c h ie v e m e n t , p r o f e s s io n a l i s m , p r i d e ,
s t a tu s a n d r e p u t a t i o n . T h e p r o c e s s i s m o r e d y -
n a m i c a n d f o r w a r d - l o o k i n g , p a r t i c u l a r l y w h e n
7/28/2019 Middlehurst -- Quality Enhancement for Accountability and Transformation
b u i l t a r o u n d a n e v a l u a t i o n o f S t r e n g th s , w e a k -
n e s s e s , th r e a t s a n d o p p o r tu n i t i e s , u s in g d a ta a s a
m e a n s o f ri g o r o u s a n a l y s i s t o g u i d e d e c i s i o n -m a k i n g .
t r a n s f o r m a t i o n, d
'challenging the process' /alternative approaches
/ncremental improvement
explanat /on o f ob jec t ives
a c c o u n t a b i l i t y
Source: Middlehurst (1997, in press)
Figure 2 S tages in approaches to qua l i ty
I n F i g u r e 2 a s l i g h d y d i f f e r e n t p o i n t i s m a d e , b u t
o n e w h i c h f o l l o w s a s i m i l a r t h e m e . I t il l u st r a te s
d i f f e r e n t s tages i n a p r o c e s s w h i c h c o u l d l e a d
f r o m a c c o u n t a b i l it y , a s a m e a n s o f e x p l a i n i n g
o b j e c t i v e s t o t h i rd p a r ti e s , t o w a r d s a p r o c e s s o f
' c o n t i n u o u s q u a l i t y i m p r o v e m e n t ' o r t r a n s f o r m a -
t i o n . H o w e v e r , i t m a y a l s o b e t h e c a s e t h a t a f o c u s
o n a c c o u n t a b i l i t y w i l l l i m i t c h a n g e t o t h e l o w e r
l e v el s o f e x p l a i n i n g o b j e c t i v e s a n d o u t c o m e s t o
e x t e r n a l a u d i e n c e s , r e c e i v i n g t h e i r j u d g e m e n t s ,
a n d m a k i n g i n c r e m e n t a l i m p r o v e m e n t s i n r e -
s p o n s e . G i v e n t h e p a c e a n d n a t u r e o f c h a n g e s
a f f e c t i n g U K h i g h e r e d u c a t i o n a n d i t s m a r k e t s ,
i n c l u d i n g t h e s t r o n g e l e m e n t o f n a t i o n a l a n d
i n t e r n a t i o n a l c o m p e t i t i o n , t h e d e v e l o p m e n t a l
p r o c e s s d e p i c t e d i n F i g u r e 2 i s t o o s l o w a n d
u n c e r t a i n t o b e o f s i g n i fi c a n t b e n e f i t t o a l l i n s t i -
t u t io n s . H o w e v e r , it m a y h a v e b e e n o f b e n e f i t t o
s o m e i n h i g h l i g h t i n g a n e e d f o r c h a n g e , a s re c e n t
e v a l u a t i o n s o f e x t e r n a l q u a l i t y p r o c e s s e s h a v e
s u g ge s te d ( H E Q C 1 9 9 4 b ; H E F C E 1 9 9 5 ).
U n t i l n o w , i t h a s b e e n a r g u e d t h a t p r e s e n t
f o r m s o f a c c o u n t a b i l i t y a r e p r o b l e m a t i c i n r e la -
t i on t o t h e o p e r a t io n o f a t ru e m a r k e t f o r h i g h e r
e d u c a t i o n s e r v ic e s , a s w e l l a s f o r th e d e v e l o p m e n t
o f i n st i t u ti o n s . I t i s a l so t h e c a s e t h a t t h e u n c o n -
t r o l le d a p p l i c a t i o n o f m a r k e t p r i n c i p l e s a n d p r a c -
t i ce s c a n b e p r o b l e m a t i c i n h i g h e r e d u c a t i o n . F o r
e x a m p l e , i n t h e c a s e o f r e s ea r c h , i t m a y b e d i f fi -
c u l t t o m a i n t a i n s u f f i c i e n t ' b l u e - s k y ' o r s t ra t e g i c
r e s ea r c h i n t h e f a c e o f m a r k e t d e m a n d f o r a p p l i e d
a n d c o mme r c ia l ly - d r iv e n r e s e a r c h . S imi la r ly , in
t e ac h i ng , t h e e c o n o m i c n e e d t o g a i n m o r e s t u -
d e n t s , t o t e a c h p o p u l a r s u b j e c t s , o r t o m a i n t a i ng o o d d e g r e e r es u lt s , m a y b e d e t r i m e n t a l t o q u a l -
i t y a n d s t a n d a rd s . G i v e n t h e s e s c e n a ri o s , a c c o u n t -
a b i l i t y p r o c e s s e s c a n a c t a s a b r a k e o n m a r k e t
d r i v e r s i n o r d e r t o p r o t e c t l o n g e r - t e r m n a t i o n a l
i n te r e st s , s o c ia l v a lu e o r t h e i n d i v i d u a l n e e d s o f
s t u d e n t s . W h a t i s n e e d e d i s a b e t t e r b a l a n c e
b e t w e e n a c c o u n t a b i l i t y , m a r k e t p r i n c i p l e s a n d
i n s t it u t i o n a l d e v e l o p m e n t ( s e e F i g u r e 3 ) , a s w e l l
a s a d i f fe r e n t a p p r o a c h t o e a c h o f th e s e t h r o u g h
t h e p r o c e s s o f q u a l i t y m a n a g e m e n t a t n a t i o n a l,
in s t i tu t io n a l a n d s u b - in s t i tu t io n a l l e v e l s .
d e v e lo p me n t
accountab i li ty marke t p r inc ip le ,
Source: M iddlehurst (1997, in press)
Figure 5 Ba lancing qua l i ty dr ivers
A O ~ a l i ty M a n a g e m e n t F r a m e w o r k
A n i m p o r t a n t i n i t i a l t a s k f o r t h o s e e n g a g e d i n
d e s i g n in g a q u a li t y m a n a g e m e n t f r a m e w o r k i s t o
c o n s i d e r t h e a p p r o a c h t o q u a l i t y t h a t s h o u l d
u n d e r p i n i t (f o r e x a m p l e , ' f i tn e s s f o r p u r p o s e ' a s
in in d u s t r i a l n o t io n s o f q u a l i ty , c o n n o i s s e u r ' s
' e x c e ll e n c e ' w h i c h c a n a p p l y in p r o f e s s i o n a l c o n -
t e x t s , o r s o m e o t h e r a p p r o a c h ) , a n d t h e r a n g e o f
a c t i v i t i e s t h a t q u a l i t y m a n a g e m e n t s h o u l d e m -b r a c e , i .e . th e s c o p e o f t h e f r a m e w o r k . I n F i g u r e
4 a n e x a m p l e i s p r e s e n t e d o f h o w a n i n s t i t u t i o n
m i g h t i d e n t i f y th e s c o p e o f it s q u a l i t y m a n a g e -
m e n t f r a m e w o r k . A t t h e t o p l e v e l , i t i s a s s u m e d
t h a t i n s t i t u t i o n s w i l l o p e r a t e w i t h i n s o m e p u b -
l i c ly d e f i n e d a n d n e g o t i a t e d p u r p o s e s w h i c h
m i g h t b e e n s h r i n e d b y s ta t u t e , o r c h a r te r , o r i n
c o n t r a c t s w i t h s p o n s o r s . I n d i v i d u a l i n s t i t u t i o n a l
m i s s i o n s o r c o n t r a c t s w i t h c l i e n t s / c u s t o m e r s a r e
7/28/2019 Middlehurst -- Quality Enhancement for Accountability and Transformation
Q U A L I T Y E N H A N C E M E N T F O R A C C O U N T A B I L I T Y A N D T R A N S F O R M A T I O N 2 3
a t a s t r a t e g ic a n d o p e r a t io n a l l e v e l . F o r e x a mp le ,
s y s te ma t i c ' l e a r n in g f r o m q u a l i ty a s s u r a n c e ' , a n d
d i s s e m i n a t i n g g o o d p r a c t i c e i n t e a c h i n g a n dle a r n in g a c r o s s a n in s t i tu t io n , i s o f t e n p a tc h y , a s
H E Q . C ' s a u d i t r e p o r t s h a v e s u g g e s t e d . Q u a l i t y
a s s u r a n ce o f t h e r e s ea r c h p r o c es s a n d d i s s e m i n a t -
i n g g o o d p r a c t i c e i n r e s e a r c h m a n a g e m e n t a r e
a l s o u n d e r d e v e l o p e d i n s o m e i n s t i t u t i o n s , a l -
t h o u g h i n i t i a t i v e s s u c h a s t h e o n e d e v e l o p e d b y
D i r e c t o r s o f R e s e a r c h C e n t r e s i n t h e S o c i a l S ci -
e n c e s ( D O R C I S S ) t o i m p r o v e r e s e a r c h m a n a g e -
m e n t s e em p r o m i si n g ( E S R C / D O R C I S S 1 9 9 5) .
S y s t e m a t i c b e n c h m a r k i n g b e t w e e n i n s ti t u ti o n s i s
a l s o a t a n e a r l y s t a g e o f d e v e l o p m e n t , a l t h o u g h
t h e e x t e r n a l e x a m i n e r s y s t e m i n t h e U K o f f e r s ap a r t i c u l a r e x a m p l e , a s d o s o m e a p p r o a c h e s t o
d e p a r t m e n t a l r e v i e w .
Ar g u a b ly , th e g r e a te s t b a r r i e r s to ma k in g a
f r a m e w o r k o f t h i s k i n d o p e ra t i o n a l, i n t h e U K a t
l e a s t , l ie a t n a t io n a l l e v e l wh e r e a s y s te ma t i c a n d
c o h e r e n t a p p r o a c h t o t h e q u a l i ty m a n a g e m e n t o f
h i g h e r e d u c a t i o n h a s y e t t o b e d e v e l o p e d . S o m e
o f th e b a r r i e r s a r e s tr u ctu ra l : f o r e x a mp le , a
r e g u l a r j o i n t f o r u m t o d i s c u s s q u a l i t y m a t t e r s
b e t w e e n g o v e r n m e n t , f u n d i n g c o u n c i l s , i n s t i t u -
t i o n s , w i t h r e p r e s e n t a t i o n f r o m c l i e n t s / c u s t o m -
e r s , d o e s n o t e x i s t. O th e r b a r r i e rs a r e c u l tu r a l : f o re x a m p l e , a t t e n t i o n t o t h e s t ra t e g i c m a n a g e m e n t
o f q u a l i t y b y i n s t i t u t i o n s c o l l e c t i v e l y i s w e a k ,
s in c e a n y c o l l e c t iv e r e s p o n s ib i l i ty i s s e e n a s in -
h i b i t i n g i n s t it u t i o n a l a u t o n o m y , o r i s v i e w e d a s
p r o b l e m a t i c b e c a u s e o f i n te r - in s t it u t io n a l c o m p e -
t i t io n a n d r iv a lr y . Ho we v e r , a s in s t i tu t io n a l c o m -
p e t i t i o n g r o w s , su c h a p a r o c h i a l a n d
in d iv id u a l i s t i c p e r s p e c t iv e i s p o te n t i a l ly d a n g e r -
o u s f o r s m a l l e r o r e c o n o m i c a l l y le s s c o m p e t i t i v e
n a t io n s . S t i l l o th e r b a r r i e r s a r e p o l i ti c a l a n d id e o -
l o g i ca l . F o r e x a m p l e , m u c h o f t h e c u r r e n t m a -
c h i n e r y o f e x t e r n a l q u a l i t y a s su r a n ce i n t h e U Ki n h i g h e r e d u c a t i o n , t h e p r o f e s s i o n s a n d o t h e r
p a r t s o f th e p u b l i c s e c to r , re f l e c ts a l a c k o f t r u s t
in th e v a lu e s a n d p r a c t i c e s o f p r o f e s s io n a l s , p a r -
t i c u l a r l y t h e i r a b i l i t y t o s e l f - r e g u l a t e ( T r o w
1 9 9 6 ) , a c c e n t u a t e d b y a b e l i e f i n t h e v a l u e s a n d
p r a c t ic e s o f p r i v a te s e c t o r b u s i n es s m a n a g e m e n t
a s a m e a n s o f o r g a n i z i n g f o r a n d a s s u ri n g q u a l i t y
( P o l l i t t 1 9 9 5 ) .
T h e s o l u t i o n t o t h i s a p p a r e n t i m p a s s e i s f o r
i n s t i t u t i o n s t h e m s e l v e s t o e n g a g e s e r i o u s l y a n d
s y s t e m a t i c a l l y w i t h t h e q u a l i t y d e b a t e , a s s o m ea r e a l r e a d y d o i n g , a n d c o l l e c t i v e ly t o i n t e r p r e t
a n d e x p lo i t , r a th e r th a n r e s e n t o r r e j e c t , t h e
r h e t o r i c o f t h e m a r k e t a n d o f a cc o u n t a b il i ty , f o r
t h e b e n e f i t o f h i g h e r e d u c a t i o n a n d t h o s e i t
s e rv e s . A q u a l i t y m a n a g e m e n t f r a m e w o r k o f t h e
k i n d p r e s e n t e d h e r e o f f e rs a m e a n s t o g r a s p t h i s
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