THEORETICAL AND METHODOLOGICAL
PERSPECTIVES ON HIGHER EDUCATION
MANAGEMENT AND TRANSFORMATION
Edi ed by
Elias Pekkola, Jussi Ki is ö, Vuokko Koh amäki,
Yuzhuo Cai & Anu Lyy inen
Theo e ical and Me hodological
Pe spec i es on Highe Educa ion
Managemen and T ans o ma ion
An ad anced eade o PhD s uden s

Layou
Si pa Randell
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Con en s
In oduc ion 7
I
Me hodological App oaches:
Examples o ea ly ca ee esea che s
Discou se analysis in highe educa ion esea ch. Theo y and me hod 13
Te hi Nokkala & Taina Saa inen
Wha d i es he choices o mixed me hods in highe educa ion esea ch? 29
Yuzhuo Cai
Resea ching social s a i ica ion in highe educa ion: Me hodology
and pa adigms 51
James Anyan
II
Concep ual App oaches U ilised o
Unde s anding Uni e si y T ans o ma ion
Policy ans e in highe educa ion policy o ma ion 67
Johanna Moisio
A quad uple helix amewo k o uni e si y-led communi y
inno a ion sys ems in A ica 87
Pascal Doh
The concep o he en ep eneu ial uni e si y o analysing he
o ganisa ional ans o ma ion o highe educa ion ins i u ions 105
Anu Lyy inen
III
Schola ly T adi ions Applied o
Unde s and Uni e si ies and Academic Wo k
The sociology o p o essions and he s udy o he academic p o ession 121
Elias Pekkola, Te esa Ca alho, Ta u Siekkinen & Jan-E ik Johansson
In o ma ion on e iciency as an aspec o sel - egula ion in uni e si y
depa men s 151
Timo Näppilä
Unde s anding academic leade ship using he ou - ame model 167
Johanna Vuo i
Uni e si y au onomy. F om pas o p esen 179
Vuokko Koh amäki & Elizabe h Balbache sky
The ad en o manage ialism in he E hiopian highe educa ion
sys em and o ganisa ional esponses h ough he lens o neo-
ins i u ional and esou ce dependence heo ies 195
Yohannes Meha i
Closing wo ds: Theo y, me hodology and he u u e o highe
educa ion esea ch 213
Au ho s 217
7
In oduc ion
Resea ch in highe educa ion cons i u es an in e disciplina y ield o s udy.
Fo his eason, i lacks solid me hodological and heo e ical ounda ions
and bo ows om a ious ields o esea ch. This is o en an ad an age o
new c ea i e in e disciplina y esea ch designs, bu i also ep esen s a
challenge o heo y de elopmen . New esea che s en e ing he ield om
hei own disciplina y backg ounds o en spend hei i s yea s o incep ion
acknowledging hemsel es wi hin he exis ing body o li e a u e on highe
educa ion managemen and leade ship. The ea e , hey conduc empi ical
in es iga ions o some kind and only hen do hey s a hinking abou he
heo e ical con ibu ions o hei wo k. O en, empi ical indings, amilia
o all academics by i ue o he ac ha hey wo k in uni e si ies, su pass
heo e ical and me hodological discussions. Resea ch on highe educa ion
hus becomes a quasi-concep ual discussion o “ou wo k” and “ hei policies”
as well as o he “impo ance and uniqueness o uni e si ies”. The only way
o o e coming his bias is h ough igo ous me hodological and heo e ical
wo k.
Highe educa ion esea ch has i s own body o knowledge as well as small
bu ac i e o ums o academic in e ac ion and dissemina ion. Howe e , he
heo y de elopmen in he ield has o en been neglec ed. A he e y leas , his
is o en he imp ession which ea ly ca ee esea che s un in o, ollowing hei
“honeymoon” wi h highe educa ion esea ch. This eeling o disappoin men
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Elias Pekkola & Jussi Ki is ö & Vuokko Koh amäki &
Yuzhuo Cai & Anu Lyy inen (Eds.)
discou se analyses ha illumina e he discu si e cons i u ion and cons uc ion
o powe ela ions and socie al s uc u es, such as c i ical discou se analysis
(Fai clough 1992; 2003).
Highe educa ion policy esea ch and he “linguis ic u n”
The “linguis ic u n” in he social sciences ocused on he socially cons uc ed
na u e o “ eali y” (Be ge & Luckmann 1979). Wi h his u n, he ocus was
on he ole o language as bo h desc ibing and cons uing ou unde s anding
o wha akes place in socie y. This means ha we canno assume ha
language (such as i is p oduced, o ins ance, in policy documen s, legisla ion,
pa liamen a y deba es, in e iews, e c.) me ely desc ibes eali y; i also
cons ues he ways in which we unde s and and concep ualise ha (social)
eali y. Ano he implica ion o he linguis ic u n in he social sciences is ha
policy ex s canno and should no be dismissed as “me e he o ic”, wi h li le
o do wi h “ eal policy” (Saa inen 2008).
While highe educa ion s udies ypically use ex ual da a (in he o ms
desc ibed abo e), ex ual me hods ha e been used su p isingly spa ingly (see
Tigh 2003; Saa inen 2007). Tigh (2003) a gues (2003, 188) ha one (qui e
pa adoxical) eason o he lack o ex ual me hodologies in a ex ually
hea y ield may be ha i is easily assumed ha no pa icula guidance o
me hodology is needed o he appa en ly e e yday ac i i y o “ eading he
documen s”. In he second edi ion o his Resea ching Highe Educa ion, Tigh
(2012, 184) poin s ou ha while discou se analysis and simila app oaches
ha e gained g ound, he e s ill seems o be li le di ec ion in he policy analysis
li e a u e ega ding how o analyse documen da a.
We ha e conduc ed wha we ha e desc ibed as “discou se analysis” in ou
espec i e doc o al s udies (Nokkala 2007a; Saa inen 2007), la e b oadening
ou pe spec i e on discou se analy ical wo k in ou pos -doc o al esea ch.
Nokkala’s (2007) app oach o discou se analysis employed a c i ical ealis
on ology, combined wi h an emancipa o y in e es in knowledge. He esea ch
sough o highligh how powe wo ks h ough language o c ea e hegemonic

15
Discou se analysis in highe educa ion esea ch
Theo e ical and Me hodological Pe spec i es on
Highe Educa ion Managemen and T ans o ma ion
discou ses and hegemonic unde s andings o he wo ld, consequen ly
legi ima ing i sel . Focusing on he discu si e cons uc ion and legi ima ion o
he in e na ionalisa ion o highe educa ion and he uni e si y as an ins i u ion,
Nokkala’s disse a ion illumina ed he manne in which discou ses can ac
as ools o neolibe al go e nmen ali y. Th ough discou se, bo h indi iduals
and o ganisa ions assume subjec i i ies o ideal ways o being and ac ing in
he compe i i e knowledge socie y, which can be called he dominan poli ical
a ionali y o ou ime.
Saa inen’s (2007) goal was o in oduce no only on ological app oaches
o discou ses ha cons ue (social) eali y in highe educa ion policy s udies,
bu also o es di e en ex ual me hods o he analysis o policy documen s
and, hus (epis emologically), o help unde s and he ways in which we can
unde s and he ole o “language” in policy-making. Thus, Saa inen’s PhD
disse a ion in oduced ex ual discou se analysis in he ield o highe
educa ion s udies, sugges ing ha when policy documen s a e used as da a,
as is o en he case in highe educa ion policy esea ch, ex ual analy ical ools
should be applied mo e sys ema ically han hey ha e been (see also Tigh 2003
o a discussion o me hodologies in highe educa ion s udies). She concluded
ha he uses o policy ex s lead o a chain o ope a ionalisa ions ha ha e a eal
policy e ec , and hus, ex ual discou se analysis can (bo h me hodologically
and heo e ically) help iden i y, unde s and and explain highe educa ion
policies and he ideologies embedded in he deba es ha appea o be ex ual
(see also Saa inen 2008a).
On ologically, he e o e, he socio-cons uc i is p emise in ou espec i e
wo k was simila , bu ou me hods o analysis we e somewha di e en , wi h
Saa inen emphasising he linguis ic and ex ual and Nokkala he poli ical
elemen s o discou se in hei analyses.
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Elias Pekkola & Jussi Ki is ö & Vuokko Koh amäki &
Yuzhuo Cai & Anu Lyy inen (Eds.)
Theo e ical and me hodological app oaches o
discou se analysis in highe educa ion esea ch
The concep ual mishmash ega ding discou se analysis can be con using.
Desc ibing a s udy as discou se analy ical does no say any hing abou i s
ac ual app oach o o ien a ion o discou se, whe he heo e ically, empi ically
o me hodologically. Simila ly, he e m discou se and i s ela ed concep s, such
as ex , need o be de ined, as hey may e e o di e en hings depending on
he heo e ical o me hodological app oach being applied.
Gee (2015) has illus a ed he basic ypes o discou se analysis by alking
abou “small d” discou se analysis (“language-in-use”) and “big D” Discou se
analysis ( he enac men o socially and his o ically signi ican iden i ies and
social s uc u es). Ano he line o di ision in discou se analysis would be o
concep ualise discou se as linguis ic and ex ual s. concep ualising discou se
as socio-his o ical knowledge cons uc ion (see, e.g. Fai clough 2003; Foucaul
2002). Fai clough (2003) sepa a es he abs ac “discou se” as meaning he
pa icula dual p ope y o discou se in cons uing and desc ibing social
li e, while he coun noun “discou se/discou ses” e e s o di e en ways o
ep esen ing social eali y o di e en iews on a pa icula issue.
While he e a e many di e en app oaches and adi ions in discou se
analysis (Fai clough 1992; Wodak 2001; an Dijk 2002), in his chap e , we
ocus on he adi ion o c i ical discou se analysis, which we bo h used in
ou disse a ions. C i ical discou se analysis (CDA) is o en e e ed o in
s udies dealing wi h policies and poli ics, gende o ins i u ional se ings; and
hus, i o e s a help ul s a ing poin o analysing highe educa ion policy
and p ac ice. CDA, like discou se analysis in gene al, ep esen s a b oad se
o iewpoin s, o en cha ac e ised by p agma ism, p oblem o ien a ion and
linguis ic o ien a ion. The h ee mos common app oaches a e Wodak’s
discou se-his o ical app oach (2001), an Dijk’s (2002) wo k on discou se and
cogni ion and Fai clough’s (1992) wo k on language use and social s uc u es.
In CDA, ex s a e seen as cons uc ing, ep oducing and ans o ming social
s uc u es, ela ions and p ocesses; hus, he analysis o ex s can e eal how
social con ol and domina ion a e exe cised, nego ia ed and esis ed in socie y.
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Discou se analysis in highe educa ion esea ch
Theo e ical and Me hodological Pe spec i es on
Highe Educa ion Managemen and T ans o ma ion
As CDA o en add esses “poli ical” and con en ious subjec s, i has also been
open o c i icism o ha ing coinciden al o ideologically mo i a ed esea ch
se ings and da a (Ti sche e al. 2000, 163).
The p ocess o CDA is o en p esen ed in a h ee-dimensional model
(Figu e 1), which comp ises he desc ip ion o he ex and i s linguis ic
ea u es, he in e p e a ion o he p oduc ion and consump ion o he ex s in
discu si e p ac ices and, inally, an explana ion o he social con ex in which
hese discu si e p ac ices ake place. The analysis p ocess is i e a i e, and he
analys mo es back and o h be ween he dimensions.
Applying discou se analysis in highe educa ion esea ch
Discou se analysis, as a b oad se o heo e ical, me hodological and analy ical
app oaches, can be used o analyse a wide a ie y o issues. These include
assump ions abou he exis ing and p e e ed s a e o he wo ld; he agen s,
o lack he eo , in wha is o should be he s a e o he wo ld; in e ac ions
Figu e 1. Th ee-dimensional concep ion o discou se
(Fai clough 1992, 73)
SOCIAL PRACTICE
DISCURSIVE PRACTICE: PRODUCTION, DISTRIBUTION AND
CONSUMPTION OF DISCOURSE
TEXT
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Elias Pekkola & Jussi Ki is ö & Vuokko Koh amäki &
Yuzhuo Cai & Anu Lyy inen (Eds.)
be ween people and ep oducing o changing powe ela ions be ween
ac o s o s a egies used o pe suade mul iple audiences o he abo e poin s.
Phenomena ha can be s udied h ough discou se analy ical ools may ake
place a he mic o, meso and mac o le els o highe educa ion, including in he
c oss-sec ions o hese le els.
Discou se analy ical adi ions seek o highligh how highe educa ion
sys ems and ins i u ions a e cons i u ed and how hey change. Discou se
analysis can be used o analyse and un old he key phenomena and ela ions
in highe educa ion esea ch, such as Cla k’s (1983) amed heu is ics o
academe: he iangle o coo dina ion comp ising he s a e, ma ke and
academic oliga chy as he h ee si es o powe ; he ins i u ional-disciplina y
ma ix comp ising an o ganisa ional dimension and a disciplina y dimension
desc ibing he si es and ensions o academic wo k and he makings o
en ep eneu ial uni e si ies (Cla k 1998).
Discou se analy ical s udies on highe educa ion policy ha e g adually
inc eased du ing he 2000s (see Saa inen & U sin 2012; U sin & Saa inen
2013 o e iews). In mos cases, he concep o discou se was no pa icula ly
p oblema ised and was used p ima ily in an in o mal and gene al sense o e e
o a pa icula “discou se” as a condensa ion o policy o as a “way o alking
abou some hing”. G adually, howe e , he concep began o be p oblema ised
mo e sys ema ically. O en, a Foucauldian o c i ical iew o discou se as a
sys em o o ganising knowledge was aken (see, e.g. Robe son & Bond 2005),
and discou se analysis was used in conjunc ion wi h Foucaul ’s go e nmen ali y
heo y (Foucaul 1991; Mulde ig 2011; Suspi syna 2010; 2012), which was used
o concep ualise how indi iduals, o ganisa ions and socie ies a e go e ned
h ough in e nalised subjec i i ies p oduced in discou se. Some imes, he
concep o discou se was u ilised o desc ibe and enable he jux aposi ion o
wo opposing policy a gumen s o iews (see, e.g. Välimaa & Wes e heijden
1995). Uses o CDA ha e been a e , possibly because o he hea y ex ual
analysis equi ed.
In highligh ing he di e en ways in which discou se analysis can be used
in he s udy o highe educa ion policy and adminis a ion, we d aw in mo e
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Discou se analysis in highe educa ion esea ch
Theo e ical and Me hodological Pe spec i es on
Highe Educa ion Managemen and T ans o ma ion
de ail om ou own wo k conduc ed o e he pas en yea s. The chosen
examples illus a e he mul iple applica ions o discou se analysis, wi h mo e
linguis ically- and poli ically-o ien ed s udies.
Nokkala’s (2007a) disse a ion, which was also published as a monog aph,
add essed he discou ses o he in e na ionalisa ion o highe educa ion in
Finland and Eu ope, including in ela ion o he discu si e cons uc ion o
he ole o he uni e si y in he compe i i e knowledge socie y. The discou se
analy ical app oach o he s udy elied on Fai clough’s CDA and Foucaul ’s
go e nmen ali y heo y. Thus, i ocussed especially on he hi d dimension
o discou se, namely he ways in which discou se cons i u es non-discu si e
s uc u es and p ac ices. d awing om an analysis o in e na ional, na ional
and uni e si y le el highe educa ion policy documen s as well as in e iews
wi h highe educa ion leade s and p ac i ione s, Nokkala iden i ied h ee
discou ses ha suppo he in e na ionalisa ion o highe educa ion:
in e na ionalisa ion as indi idual g ow h, he e hinking o he uni e si y and
he opening up o he coun y, espec i ely. Simila ly, Nokkala iden i ied h ee
discou ses ha cons uc he legi imacy o he uni e si y as an ins i u ion:
science and knowledge, ci ilisa ion and well-being and compe i ion and
compe i i eness, espec i ely. Th ough hese discou ses, he image o an ideal
uni e si y in he con ex o a compe i i e knowledge socie y is cons uc ed.
Nokkala’s s udy was also in e es ed in he way in which discou ses con ibu e
o he upholding and changing o powe ela ions. The spin-o a icles
esul ing om he disse a ion add essed he discou ses and na a i es o he
Bologna P ocess (Nokkala 2007b) and Finland (Nokkala 2008) in he con ex
o he knowledge socie y.
Upon comple ing he disse a ion, Nokkala’s discou se analy ical wo k
(Nokkala 2012; 2014; 2016a; 2016b) mo ed beyond he Finnish con ex , hough
e aining a ocus on he mos ly Eu opean amewo k. In he pos doc o al
wo k, Nokkala expanded on he mechanisms h ough which discou se wo ks
on policy, ocusing especially on how he s a e o no al e na i es in policy
is discu si ely c ea ed h ough, o example, pe suasi e gen es o language,
knowledge p oduc ion o local ansla ions o global discou ses. Discou se

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Elias Pekkola & Jussi Ki is ö & Vuokko Koh amäki &
Yuzhuo Cai & Anu Lyy inen (Eds.)
wo ks o colonise policy solu ions so ha only a gi en cou se o ac ion seems
easible. In he con ex o neolibe al poli ical a ionali y, ma ke -based,
commodi ied and compe i ion-o ien ed solu ions a e o en a ou ed. Thus,
Nokkala’s wo k has aken a c i ical and emancipa o y u n. Fo example,
in hei discou se heo e ical a icle, Nokkala and Bace ic (2014) s udied
he way in which he Eu opean Uni e si y Associa ion has con ibu ed o
he cons uc ion o knowledge on uni e si y au onomy and he esul ing
eme gence o a hegemonic discou se. Th ough his knowledge cons uc ion,
hey ha e simila ly cons uc ed hei own agency in he Eu opean Highe
Educa ion A ea.
Nokkala (2016a) has also analysed policy discou se om a he o ical
pe spec i e, ocusing on he discu si e elemen s used in policy ex s o make
policy pe suasi e, o cons ue i as a ional and logical and o c ea e a sense o
u gency in b inging i abou . D awing om Ma in’s (1989) wo k on gen e
analysis, Nokkala uses he no ions o he analy ical and ho a o y egis e o
s udy how, i s , policy discou se p esen s wha he wo ld is like and, second,
wha should be done, and how, o achie e he desi ed s a e o a ai s. Analysing
60 highe educa ion and science and echnology policy documen s om i e
coun ies, Nokkala illus a es how policy discou se cons uc s a “s a e o
no al e na i es”, in which he s a e o a ai s, as desc ibed by he discou se,
becomes an immu able ac and cha s he only logical cou se o wa d.
Finally, Nokkala (2016b) has also ocused on he cons uc ion and long-
e m e olu ion o na ional and global policy na a i es conce ning he link
be ween he knowledge socie y and highe educa ion in di e en ypes o
knowledge socie ies: Finland, Po ugal, Ge many, he Uni ed Kingdom and
he Uni ed S a es. The analysis highligh s bo h con e gen and di e gen
elemen s ac oss he highe educa ion and science and echnology policy
discou se in he i e coun ies, spelling ou he co esponding globalised and
localised discu si e p ac ices.
Saa inen’s (2007) disse a ion employed a c i ical discou se analysis
s a ing poin o he s udy o quali y as a highe educa ion policy concep and,
consequen ly, o highe educa ion assessmen as a highe educa ion policy
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Discou se analysis in highe educa ion esea ch
Theo e ical and Me hodological Pe spec i es on
Highe Educa ion Managemen and T ans o ma ion
phenomenon. The main ques ion was: Wha kind o highe educa ion policy
is p oduced and suppo ed in he name o “quali y”? The a icle o ma o he
disse a ion made i possible o es di e en kinds o ex ual ools.
The i s a icle (Saa inen 2005a) looks in o he alue assump ions
assigned o quali y in Eu opean-le el policy documen s, showing he g adual
mains eaming o he concep o quali y. The second a icle (2005b) analyses
he me apho s and ac ions ha a e discu si ely connec ed wi h he wo ds
“quali y” and “assessmen ”, pa icula ly in he Finnish con ex , showing
he de elopmen o quali y om a policy p oblem o a policy solu ion and
p oblema ising he ways in which ac ion is discu si ely cons ued. The hi d
a icle (Saa inen 2008b) analyses pe suasi eness, pa icula ly pe suasi e
p esupposi ions in highe educa ion policy documen s, in unde s anding he
ways in which a pa icula policy is cons ued as sel -e iden and uncon es ed.
The ou h a icle (Saa inen 2008c) de elops he discu si e analysis o ac o s
and ac ion, esul ing in he p oblema isa ion o ac i e o passi e inclusion o
exclusion in highe educa ion policy, while he i h a icle (Saa inen & Ala-
Vähälä 2007), which was de eloped om ideas in he ou h a icle, discusses
he in ended meanings s. ac ual uses o acc edi a ion, esul ing in an analysis
o ansna ional di e ences in he concep ualisa ion o acc edi a ion.
Following he comple ion o he disse a ion, Saa inen con inued o
examine he in e na ionalisa ion o highe educa ion, pa icula ly om he
poin o iew o implici ness, i.e. he way in which implica ing ( a he han
explica ing) a policy iew can ac ually make he policy cons uc ion mo e
e ec i e (see, e.g. Saa inen & Nikula 2013; Saa inen 2014). The absence o
p esence o he men ion o a language, o ins ance, may be indexical o policy
ideologies. Implici discu si e asse ions (such as p esupposi ions) can be
used o igge audience consen , whe eas explici asse ions may d aw mo e
a en ion and e en c i icism (Wodak 2007). Fai clough (2003, 82) sugges s ha
i is mo e e ec i e o p esen ideologically loaded poli ical opinions implici ly
as i hey we e common sense. Implici exp ession is, hus, an ins umen o
p esen ing (as well as sugges ing) ideologically loaded policies as common
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Elias Pekkola & Jussi Ki is ö & Vuokko Koh amäki &
Yuzhuo Cai & Anu Lyy inen (Eds.)
g ound ac s, a p ope y o discou se ha is also ele an in he 2017 landscape,
whe e he media’s ole in poli ics is being hea ily discussed (Saa inen 2008b).
Discu si e analyses o language ideologies in highe educa ion and he
obse a ion ha highe educa ion policies a e complex combina ions o local
and global ini ia i es and po en ially con lic ing in e es s led Saa inen o u he
de elop discou se analy ical me hodologies in he s udy o policy as mul i-
si ed, i.e. as si ua ed, laye ed and empo ally and spa ially luc ua ing (ins ead
o linea and hie a chical) (see Saa inen & Nikula 2013; Halonen, Ihalainen &
Saa inen 2015; Saa inen & Taalas 2017). This app oach has been bene icial in
acknowledging he complex na u e o policies o in e na ionalisa ion in highe
educa ion and making isible he mul i-laye ed and discu si ely connec ed
ideologies and hie a chies in highe educa ion in e na ionalisa ion.
Challenges and limi a ions o discou se analysis
Discou se analysis has been inc easingly used, bo h by us and o he s in he
ield o highe educa ion esea ch in he yea s ollowing he de ence o ou
PhD heses in Decembe 2007. Recen PhD disse a ions in highe educa ion
esea ch in Finland ha ha e employed discou se analysis include Hal ia (2012),
Kankaanpää (2013), Laajala (2015) and Scha z (2016). Equally, discu si e
app oaches ha e, in ecen yea s, ound hei way in highe educa ion policy
esea ch (see, e.g. Rami ez & Tiplic 2014; Fab icius, Mo ensen & Habe land
2017; Buckne 2017). This is an indica ion o he way in which social
cons uc i ism has pene a ed esea ch, no jus in highe educa ion, bu in
social sciences in gene al. This has ob ious bene i s. By ocusing on wha kinds
o social eali ies a e cons ued by linguis ic means, discou se analysis e eals
he con ex s and ways in which policy cons uc ion makes ce ain policies
appea ine i able. A sys ema ic, igo ous analysis o ex ual da a is necessa y
in o de o aise he le el o abs ac ion om he (supe icially) ex ual o he
discu si e o he socie al (Fai clough 2003) and o make mo e anspa en he
appa en black box o policy as discou se s. policy as ac ion.
23
Discou se analysis in highe educa ion esea ch
Theo e ical and Me hodological Pe spec i es on
Highe Educa ion Managemen and T ans o ma ion
Con e sely, ex ual analyses o la ge masses o documen s (“ ex ”) can be
ime-consuming, and he ela ionship be ween “policy eali y” (as unde s ood
by he ac o s in he ield) and “policy cons uc ” (as a p oduc o discou se
analysis) may be obscu e o di icul o explain o policy-make s (see Saa inen
& U sin 2012).
Ano he po en ial p oblem in any discou se analy ical app oach is
heo e ical in na u e: he possible o e -analysis o language may lead o he
esea che dis ancing himsel o he sel om he physical en i onmen in
which he social cons uc ion o eali y akes place. This is a he co e o he
longs anding deba e be ween on ologically ealis and ela i is app oaches o
discou se analysis. Realis app oaches (c . Pa ke 1992; Willig 1998; Fai clough,
Jessop & Saye 2001) pe cei e he e o be non-discu si e social p ac ices
and ins i u ions o s uc u es ha a e no cons i u ed by discou se, he eby
ep oducing unequal powe ela ions in socie y. The mo e ela i is ically
o ien ed app oaches ha e ocused on highligh ing he mul iplici y o
con ex ual linguis ic p ac ices, wi hou alluding o he non-discu si e eali ies
om which hey s em (Edwa ds, Ashmo e & Po e 1995; Po e 1996).
Rela i is app oaches ha e been c i icised by ealis s o hei ailu e o engage
in c i ical deba es o highligh and change he powe s uc u es in socie y
and, hus, empowe disad an aged g oups. This leads o ano he ques ion:
while he discu si e na u e o policy has been unde s ood, he p ocess o how
“discou se IS ac ion” is a black box in he empi ical sense. I hus seems ha
a pos -discu si e “ma e ial u n” is needed: linguis ic phenomena need o be
educed o hei undamen ally ma e ial oo s in o de o make “discou se as
ac ion” anspa en .
Simila ly, discou se analysis may also ail i i is no applied igo ously.
Me ely summa ising he da a, aking sides in he analysis, hinking ha
quo ing ex exce p s equals analysis, picking isola ed quo es o spo ing
a ious linguis ic ea u es all amoun o ypical unde -analysis and, hus,
ailu e in discou se analysis (An aki, Billig, Edwa ds & Po e 2004). The
no ion o discou se analysis as unanaly ical also cons i u es one o he mos
common, and o en well-dese ed, c i iques o discou se analysis.
30
Yuzhuo Cai
Elias Pekkola & Jussi Ki is ö & Vuokko Koh amäki &
Yuzhuo Cai & Anu Lyy inen (Eds.)
in seeking o publish mixed me hods esea ch, esea che s mus make explici
he alue-added o using mix me hods so ha he jou nal edi o s and e iewe s
can easily jus i y he quali y o hei esea ch. Thei in e ences a e impo an ,
bu when i comes o he p ac ice o conduc ing mixed me hods, he e a e high
demands on mo e comp ehensi e and conc e e sugges ions ega ding how o
do i , pa icula ly in he ield o highe educa ion esea ch. Abo e all, i is
essen ial o know when and why one needs o choose mixed me hods.
The esea ch me hodology li e a u e ends o sugges a co espondence
be ween he esea ch ques ion and he me hodological design (Newman &
Benz 1998a). In pa icula , he esea ch ques ion is mo e impo an in mixed
me hods esea ch (C eswell 2003; Johnson & Onwuegbuzie 2004), in ha , i
de e mines whe he a mix u e o me hods is sui able (Cu al & Towle 2003,
521; Teddlie & Tashakko i 2006) and wha speci ic designs should be chosen
(Onwuegbuzie & Leech 2006).
The posi ion ha esea ch ques ions guide decisions abou esea ch me hods
and esea ch designs has been challenged. Fo ins ance, d awing on in e iews
wi h 20 mixed me hods esea che s as well as analyses o some mixed me hods
s udies, B yman (2007) asse s ha he e is a dilemma be ween he ex book
accoun and p ac ical esea ch. While ex books mainly p o ide a no ma i e
posi ion, esea che s a e mo e ambi alen abou he ole o esea ch ques ions
in connec ion wi h esea ch me hods. B yman ound ha some esea che s
adop mixed me hods o p ac ical o ac ical pu poses. Mo eo e , Newman
e al. (2003) a gue ha while he esea ch ques ion is impo an , i is no
su icien o de e mine me hodology. They s ess he impo ance o esea ch
pu pose in de e mining esea ch design. As hey pu i :
Wi hou ha ing one’s pu pose (o pu poses) cla i ied, and wi hou ime
o e lec on ha pu pose, one canno ha e a ques ion ha will di ec ly
dic a e he esea ch me hodology. … The esea ch ques ion alone will no
p oduce links o me hods unless he ques ion is hough h ough se iously,
as well as i e a i ely, and becomes e lec i e o pu pose. (Newman e al.
2003, 168)

31
Wha d i es he choices o mixed me hods in highe educa ion esea ch?
Theo e ical and Me hodological Pe spec i es on
Highe Educa ion Managemen and T ans o ma ion
The me hodological deba es imply an ambigui y ega ding wha d i es he
choice o mixed me hods design. To con ibu e o he discussions on he opic,
in his chap e , I analyse my own expe ience o conduc ing mixed me hods
esea ch in he ield o highe educa ion s udies and compa e his wi h
discussions in he mixed me hods li e a u e. My analysis is in ended o answe
he ques ion: Wha ac o s ac ually d i e he choice o using mixed me hods?
The emainde o he chap e is s uc u ed as ollows. Fi s , i in oduces
he mixed me hods app oach and hen discusses possible in luencing ac o s
on he choice o using mixed me hods, as indica ed by he mixed me hods
li e a u e. Nex , using hese ac o s as a benchma k, I e iew wha ac ually
a ec ed my choice o mixed me hods in my doc o al esea ch as an illus a ion.
A he end, I d aw some conclusions ega ding wha d i es he choice o mixed
me hods in highe educa ion esea ch and sugges some impo an a enues o
u u e esea ch.
Mixed me hods
T adi ionally, quali a i e and quan i a i e me hodological app oaches ha e
la gely been used on sepa a e acks in social science esea ch, despi e he ich
acknowledgemen o he d awbacks o such a me hodological bi u ca ion.
Mos quan i a i e esea ch is con i ma o y, in ol ing heo y e i ica ion,
whe eas much quali a i e esea ch is explo a o y, in ol ing heo y gene a ion
o disco e y. Howe e , he phenomena o be explo ed a e o en oo complica ed
o be ackled wi hin he singula i y o ei he a quali a i e o quan i a i e
app oach. Thus, an eme ging me hodology, mixed me hods, has become
inc easingly popula .
Mixed me hods esea ch is a esea ch design (o me hodology) in which
a esea che collec s, analyses and mixes (in eg a es o connec s) bo h
quan i a i e and quali a i e da a in a single s udy o a mul iphase p og amme
o inqui y (C eswell 2005, 510). The a emp o inco po a e bo h quali a i e
and quan i a i e me hods in o a mixed me hods s udy is always a challenge. An
ex ensi e body o li e a u e on esea ch me hodology sha ply di ides he wo
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Elias Pekkola & Jussi Ki is ö & Vuokko Koh amäki &
Yuzhuo Cai & Anu Lyy inen (Eds.)
me hods acco ding o hei philosophical belie s be ween in e p e i ism and
pos -posi i ism. Quan i a i e s udies emphasise he measu emen and analysis
o causal ela ionships be ween a iables, o en associa ed wi h popula ion
gene alisa ion. Quali a i e me hods allow o he a icula ion o many u hs
in meaning ul social ac ions, s essing how social expe iences a e c ea ed and
gi en meanings (Denzin & Lincoln 2003, 13). Despi e he dicho omy be ween
quali a i e and quan i a i e esea ch s a egies, “ he wo philosophies a e
nei he mu ually exclusi e (i.e. one need no o ally commi o ei he one o
he o he ) no in e changeable (i.e. one canno me ge me hodologies wi h
no conce n o unde lying assump ions)” (Newman & Benz 1998a, xi). I
ollows ha s udies a he ope a ional le el a e loca ed on di e en poin s o a
con inuum be ween quali a i e and quan i a i e.
This is consis en wi h C eswell’s (2003, 4) ision ha while adi ional
pa adigms o social science esea ch exis on wo opposing s ances, equi ing
ei he quan i a i e o quali a i e app oaches, “ he si ua ion oday is less
quan i a i e e sus quali a i e and mo e how esea ch p ac ices lie somewhe e
be ween on a con inuum be ween he wo”. This means ha he mixed
me hods app oach is loca ed in he ealm o p agma ism in he middle o
he con inuum be ween in e p e i ism and pos -posi i ism. Fo p agma is s,
unde s anding he p oblem is mo e impo an han being commi ed o any
one sys em o me hodological philosophy (p. 12). By mixing bo h quali a i e
and quan i a i e me hods, i o e s he bes chance o answe ing many
impo an and complex esea ch ques ions (Johnson & Onwuegbuzie 2004).
The a ionale o using mixed me hods “is g ounded in he ac ha nei he
quan i a i e no quali a i e me hods a e su icien , by hemsel es, o cap u e
he ends and de ails o a si ua ion” (I anko a, C eswell & S ick 2006, 3).
Despi e he lack o a clea de ini ion o wha exac ly a e mixed esea ch
ques ions, i has been commonly ag eed ha mixed me hods s udies answe
ques ions ha embed bo h quali a i e and quan i a i e inqui es (C eswell
2003, 114). Quali a i e esea ch ques ions o en begin wi h he wo ds
“wha ”, “how” and “why” in ela ion o disco e ing/explo ing a p ocess,
desc ibing expe iences o unde s anding a phenomenon ha has no been
33
Wha d i es he choices o mixed me hods in highe educa ion esea ch?
Theo e ical and Me hodological Pe spec i es on
Highe Educa ion Managemen and T ans o ma ion
well unde s ood (C eswell 2003, 106; G i i hs 1996, 27; Onwuegbuzie &
Leech 2006, 482). While quali a i e esea ch ques ions a e cha ac e ised as
“open-ended, e ol ing, and non-di ec ional” (C eswell 1998, 99), quan i a i e
esea ch ques ions a e speci ic in na u e, ei he desc ip i e, compa a i e o
ela ionship o ien ed (Onwuegbuzie & Leech 2006, 480). In he las wo
ca ego ies (compa a i e o ela ionship o ien ed), esea ch ques ions a e o en
o mula ed in he o m o hypo heses, p edic ing ela ions among a iables
(C eswell 2003, 108). In sho , quali a i e s udies a e usually explo a o y,
while quan i a i e ones end o be explana o y.
The ad an ages o using mixed me hods o social science esea ch ha e
been a gued and e idenced by a numbe o esea che s (C eswell 2003;
Miles & Hube man 1994, Chap e 3; Newman & Benz 1998b; Tashakko i
& Teddlie 2003). Among hese, he con e gen iew is ha he wo me hods
a e complemen a y and compa ible. Fo ins ance, Newman and Benz (1998b)
illus a e ha he s eng h o mixed me hods is based on hei sel -co ec ing
eedback loops (Figu e 1).
The e a e di e en ways o combining o mixing quali a i e and quan i a i e
esea ch. The mixed me hods li e a u e p esen s a a ie y o ypologies o mixed
me hods designs (C eswell 2003; Johnson & Onwuegbuzie 2004; Leech &
Onwuegbuzie 2009; Onwuegbuzie, Sla e, Leech & Collins 2007; Tashakko i
Figu e 1. The s uc u e o social science esea ch
Sou ce: Adap ed om Newman and Benz (1998b, 21)
5
Da a analysis
B
2
Re iew
Li e a u e
3
Hypo hesis
4
Da a collec ion
A
6
Conclusion
C
Hypo hesis
D
1
Theo y
Theo y
E
1–5: Quan i a i e app oach;
A–E: Quali a i i e app oach
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Elias Pekkola & Jussi Ki is ö & Vuokko Koh amäki &
Yuzhuo Cai & Anu Lyy inen (Eds.)
& Teddlie 1998; Tashakko i & Teddlie 2003; Teddlie & Tashakko i 2006).
Fo ins ance, in Tashakko i and Teddlie’s (1998, 160–166) ypology, h ee
dimensions a e used: he na u e o he esea ch (con i ma o y/explo a o y),
da a collec ion and ope a ion (quali a i e/quan i a i e), and da a analysis
(s a is ical/quali a i e). Fo Johnson and Onwuegbuzie (2004, 20), a mixed
me hods design is de e mined by wo p ima y decisions by he esea che :
“(a) whe he one wan s o ope a e la gely dominan pa adigm o no , and (b)
whe he one wan s o conduc he phases concu en ly o sequen ially”.
Mo e ecen ly, Leech and Onwuegbuzie (2009) sough o c ea e an
in eg a ed h ee-dimensional ypology o mixed me hods designs based on an
ex ensi e e iew o he mixed me hods li e a u e: (a) le el o mixing (pa ially
mixed e sus ully mixed); (b) ime o ien a ion (concu en e sus sequen ial)
and (c) emphasis o app oaches (equal s a us e sus dominan s a us). Thei
ypology is no e y di e en om he mo e commonly used scheme p oposed
by C eswell e al. (2003), who used ou dimensions o ca ego ise mixed
me hods designs: implemen a ion, p io i y, in eg a ion and heo y.
Implemen a ion is simila o “ ime o ien a ion” in Leech and Onwuegbuzie
(2009) and e e s o whe he esea che s collec quan i a i e and quali a i e
da a in di e en phases (sequen ially) o a he same ime (concu en ly).
Concu en p ocedu es a e o en used by esea che s who a e a emp ing o
ob ain a comp ehensi e analysis o he esea ch p oblem, including concu en
iangula ion, concu en nes ed and concu en ans o ma i e. In sequen ial
p ocedu es, he esea che seeks o elabo a e o expand he indings o one
me hod wi h ano he . The sequen ial s a egy includes h ee models: sequen ial
explana o y, sequen ial explo a o y and sequen ial ans o ma i e.
The p io i y acco ded ei he he quali a i e o quan i a i e app oach
is simila o Leech and Onwuegbuzie’s (2009) concep o “emphasis o
app oaches”, which pe ains o whe he g ea e p io i y is gi en o he
quan i a i e o quali a i e app oach, especially in e ms o da a analysis.
P io i y can also be exp essed as dominance. P io i y o one ype o da a o he
o he depends on he esea che ’s in e es s, eade expec a ions o he na u e o
he in es iga ion (e.g. induc i e o deduc i e). In mixed me hods s udies, he e
35
Wha d i es he choices o mixed me hods in highe educa ion esea ch?
Theo e ical and Me hodological Pe spec i es on
Highe Educa ion Managemen and T ans o ma ion
a e h ee possibili ies: he quan i a i e app oach is p io i ised; he quali a i e
app oach is p io i ised; bo h quan i a i e and quali a i e app oaches ha e
equal p io i y.
In eg a ion e e s o he s ages in he esea ch p ocess in ol ing he mixing
o in eg a ion o he quan i a i e and quali a i e me hods, anging om he
s age o add essing esea ch pu poses o esea ch ques ions o ha o analysing
o in e p e ing da a. This is e y much in line on a con inuum o he “le el
o mixing” desc ibed by Leech and Onwuegbuzie (2009), on which mixed
me hods esea ch alls om “no mixed” (i.e. mono-me hod designs) a one end
o he con inuum o “ ully mixed” a he o he end. Pa ially mixed me hod
designs a e loca ed be ween he wo ends. They u he elabo a e ha mixed
me hods esea ch in ol es mixing bo h quan i a i e and quali a i e esea ch
wi hin one o mo e o he ollowing ou s ages o he esea ch p ocess: 1)
o mula ion o he esea ch objec i e, 2) da a collec ion, 3) da a analysis and
4) in e ence. Simila ly, o C eswell e al. (2003, 220), “in eg a ion migh
occu wi hin he esea ch ques ions (e.g., bo h quan i a i e and quali a i e
ques ions a e p esen ed), wi hin da a collec ion (e.g., open-ended ques ions on
a s uc u ed ins umen ), wi hin da a collec ion (e.g., ans o ming quali a i e
hemes in o quan i a i e i ems o scales), o in in e p e a ion (e.g., examining
he quan i a i e and quali a i e esul s o con e gence o indings)”.
Leech and Onwuegbuzie’s (2009) ypology does no include he dimension
o he heo e ical pe spec i e sugges ed by C eswell (2003). Acco ding o
C eswell e al. (2003), he use o a heo e ical lens in mixed me hods esea ch
may be explici o implici . Explici use o a heo e ical pe spec i e e e s o
si ua ions in which heo ies ha e a di ec and s ong impac on he ques ions
o be asked, he subjec s and pa icipan s o be s udied, he da a o be collec ed
and he p e e ence o conclusions. The s udies in his kind a e alue-based and
ac ion-o ien ed and ha e an ad ocacy pu pose. This is called he ans o ma i e
model in mixed me hods esea ch, whe eby esea che s use a heo e ical lens
as an o e a ching pe spec i e ha emb aces bo h quali a i e and quan i a i e
da a.

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Yuzhuo Cai
Elias Pekkola & Jussi Ki is ö & Vuokko Koh amäki &
Yuzhuo Cai & Anu Lyy inen (Eds.)
Fac o s a ec ing he choice o mixed me hods
The li e a u e sugges s h ee ac o s ha a ec he choices o mixed me hods.
These a e esea ch ques ions, esea ch pu poses, p ac ical easons and belie s
in esea ch pa adigms.
Types o mixed esea ch ques ions
Resea ch ques ions can be o mula ed on he basis o heo ies, pas esea ch,
p e ious expe ience o he p ac ical need o make da a-d i en decisions in a
wo k en i onmen . “Thus, hey se e as signpos s o he eade , o eshadowing
he speci ic de ails o he s udy” (Onwuegbuzie & Leech 2006, 478). Mixed
me hodologis s belie e ha mixed me hods a e sui able o ce ain kinds o
esea ch ques ions (C eswell 2003; Tashakko i & Teddlie 2003), and especially
o complex esea ch ques ions (Plano Cla k 2005).
Onwuegbuzie and Leech (2006) made an ini ial a emp o de elop a
amewo k linking mixed me hods esea ch ques ions and mixed me hods
designs. They ca ego ised i e ypes o mixed me hods esea ch ques ions:
1)mixed me hods esea ch ques ions o desc ip i e esea ch designs, 2)mixed
me hods esea ch ques ions o causal-compa a i e esea ch designs, 3) mixed
me hods esea ch ques ions o expe imen al esea ch designs, 4) mixed
me hods esea ch ques ions o quali a i e compa a i e designs and 5) he
mos compa ible mixed me hods esea ch ques ions. Thei s udy is inspi ing,
as i no only co obo a es he a gumen ha esea ch ques ions d i e he
me hods used (Newman & Benz 1998a; Tashakko i & Teddlie 1998), bu i
also asks esea che s o es ablish ela ions be ween mixed me hods esea ch
ques ions and mixed me hods designs.
Ne e heless, he amewo k es ablished by Onwuegbuzie and Leech
(2006) emains la gely ambiguous. On one hand, he desc ip ions o hese ypes
o esea ch ques ions a e on a gene al and abs ac le el, despi e he p o ision
o a numbe o exampling ques ions. On he o he hand, he ca ego ies o he
mixed me hods designs used in hei amewo k need o be benchma ked
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Wha d i es he choices o mixed me hods in highe educa ion esea ch?
Theo e ical and Me hodological Pe spec i es on
Highe Educa ion Managemen and T ans o ma ion
wi h e e ence o o he simila ypologies de eloped elsewhe e ( o example:
C eswell 2003; Tashakko i & Teddlie 1998; Teddlie & Tashakko i 2006).
Resea ch pu pose and mixed me hods designs
Newman e al. (2003) a gue ha he esea ch ques ion alone is no su icien o
de e mine he me hodology. Ra he , “by conside ing he ques ion and pu pose
i e a i ely, one can e en ually ge o a design o se o designs ha mo e clea ly
e lec he in en ion o he ques ion” (p. 168). By esea ch pu pose, hey mean
he easons o conduc ing a s udy. Nine gene al esea ch pu poses can be
ca ego ised (p. 185):
1) P edic : using all he hings we known in his knowledge “base” o
explain a ield and wha migh ye un old in he u u e
2) Add o he knowledge base: o ganising all he hings we know in o a
“base” o knowledge
3) Ha e a pe sonal, social, ins i u ional and/o o ganisa ional impac :
s uggling wi h he complex en i onmen s we expe ience, pa icula ly
when we know ha some hings we know and expe ience a e no jus ,
ai and in keeping wi h ou e hical o p o essional pu pose
4) Measu e change: measu ing wha happens when we change hings
5) Unde s and complex phenomena: unde s anding wha hings we now
expe ience and know
6) Tes new ideas: es ing hese new hings
7) Gene a e new ideas: Disco e ing some new hings
8) In o m cons i uencies: elling wha hings we know o hose who need
o know hem
9) Examine he pas : wha hings we al eady know om he pas
This ypology o esea ch pu pose can se e as a aluable ool o esea che s o
ini ia e p ope esea ch ques ions and o iden i y app op ia e esea ch me hods.
In pa icula , esea ch pu poses 2, 3, 5 and 6 (some imes in combina ion), due
o hei complex na u e, may lead o mixed me hods app oaches.
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Yuzhuo Cai
Elias Pekkola & Jussi Ki is ö & Vuokko Koh amäki &
Yuzhuo Cai & Anu Lyy inen (Eds.)
A uni e sal discou se and p ac ical easons
o conduc ing mixed me hods
In his s udy—which was based on in e iews wi h 20 social scien is s wi h
expe ience o mixed me hods esea ch and a e iew o some mixed me hods
publica ions—B yman (2007) dis inguishes be ween a pa icula is ic
discou se and a uni e sal discou se. A pa icula is ic discou se implies ha
esea ch ques ions guide decisions abou esea ch design and esea ch me hods.
A uni e sal discou se en ails he iews ha “mixed-me hods esea ch will end
o p o ide be e ou comes mo e o less ega dless o he aims o he esea ch”
(p. 8). In many cases, i is he uni e sal discou se ha unde lies esea che s’
decisions ega ding he use o mixed me hods. He also ound ha some
esea che s conduc esea ch by simply using he me hods wi h which hey a e
amilia , no necessa ily wi h ecou se o he speci ic esea ch ques ions, while
some adop mixed me hods o some p ac ical o ac ical pu poses, such as
“ o secu e unding, o ge esea ch published o o gain he a en ion o policy
make s” (p. 14).
P agma is esea ch pa adigms and mixed me hods
C eswell (2003) de eloped a esea ch design amewo k (Figu e 2), which is
e y use ul o esea che s in e ms o loca ing hei s udies in me hodological
se ings. Be ween pos -posi i ism and in e p e i is pa adigms lies ha o
p agma ism. Fo p agma is s, unde s anding he p oblem is mo e impo an
han being commi ed o any one sys em o me hodological philosophy. As
Figu e 2. F amewo k o esea ch design
(Adap ed om C eswell 2003)
Epis emologies
Social science
pa adigms
Inqui ies
Objec i e Subjec i e
Pos -posi i ism P agma ism In e p e i ism
Ad ocacy
Quan i a i e Mixed Quan i a i e
39
Wha d i es he choices o mixed me hods in highe educa ion esea ch?
Theo e ical and Me hodological Pe spec i es on
Highe Educa ion Managemen and T ans o ma ion
such, hey end o use mul iple me hods o da a collec ion, echniques and
p ocedu es o esea ch ha mee hei needs and pu poses (C eswell 2003).
The e o e, ollowing p agma ism, he ques ion he e is no whe he he wo
me hods can be linked in a s udy design; he di ec i e is ha i should be done.
This somehow echoes he uni e sal discou se, sugges ing ha mixed me hods
may ha e uni e sal sui abili y, “suppo ed wi h li le o no e e ence o esea ch
ques ions” (B yman 2007, 18). B yman has obse ed ha “ he no ma i e iew
o he ela ionship be ween esea ch ques ions and esea ch me hods may be an
accoun abou how he esea ch p ocess should ope a e, bu i is no necessa ily
an accoun o how i ope a es in p ac ice” B yman (2007, 18).
Exempli ying he choice o mixed me hods
in highe educa ion esea ch
In his sec ion, I analyse he ac o s ha a ec ed my choice o mixed me hods
in my doc o al esea ch, using as my e e ence amewo k he discussions
in he li e a u e men ioned abo e. Be o e ha , I b ie ly in oduce my s udy,
i led Academic S a In eg a ion in Pos -Me ge Chinese Highe Educa ion
Ins i u ions (Cai 2007).
The PhD esea ch
The aim o my disse a ion was o disco e he ac o s a ec ing academic s a
in eg a ion in pos -me ge Chinese highe educa ion ins i u ions, especially
he cul u al dimension o ha in eg a ion. The case s udy ins i u ion is a
p o incial uni e si y in China, which was o med in he mid-1990s h ough
he amalgama ion o h ee ins i u ions; hey we e loca ed in he same ci y and
o e ed simila p og ammes in eache educa ion and aining. Two o hem
we e simila in e ms o academic s eng h and o ganisa ional age and had
p og ammes leading o bo h unde g adua e and pos g adua e quali ica ions.
The hi d was a much newe ins i u ion, o e ing h ee-yea unde g adua e
non-deg ee p og ammes.
46
Yuzhuo Cai
Elias Pekkola & Jussi Ki is ö & Vuokko Koh amäki &
Yuzhuo Cai & Anu Lyy inen (Eds.)
which accen ua es he i ness be ween esea ch ques ion/pu pose and esea ch
design/me hod. Al hough he e a e di e en ypes o mixed me hods esea ch,
a sha ed ea u e o mos is ha he esea ch ques ion en ails bo h explo a o y
and explana o y inqui ies.
Second, esea che s’ belie s in esea ch pa adigms may be a mo i e o hem
o conduc mixed me hods esea ch. The li e a u e sugges s ha i esea che s
ollow a p agma is pa adigm, hen hey will likely apply mixed me hods in
hei esea ch because i would bes achie e he esea ch goal. The pa adigm o
esea ch p agma ism may also in luence esea che s o pose ce ain ques ions,
which by na u e equi e mixed me hods o gain a ull unde s a ing o he
u h. As implied by C eswell e al. (2003), mixed me hods add special alue
o esea ch when he me hods be e se e he esea ch pu pose. Rega dless o
my s ong belie s in p agma ism, I ha e no always use mixed me hods in my
esea ch. In many cases, my esea ch ackles quali a i e explo a ions only o
p ac ical easons, hough I see my quali a i e esea ch as one pa o a mixed
me hods app oach, wi h he expec a ion ha he o he pa could be done in
u u e s udies.
Thi d, easons o p ac icali y do a ec he choice o esea ch design.
Al hough one may be keen o conduc esea ch by applying a mixed me hods
app oach, one may no be able o simply because o ime cons ain s and
esou ce sho ages. Conduc ing mixed me hods esea ch gene ally akes
signi ican ly longe han when a mono-me hod is employed. When condi ions
do allow, B yman (2007) sugges s a numbe o p ac ical easons o conside
mixed me hods, such as o be a ac i e o s akeholde s, o ha e a be e chance
o ge ing unding o being published, e c. The use o mixed me hods could be
a way o make bo h a esea che and his o he esea ch dis inc i e in he ield
o highe educa ion esea ch.
In his chap e , I ha e engaged in a p elimina y e o o explo e possible
easons d i ing esea che s’ decisions ega ding mixed me hods. In he highe
educa ion li e a u e, he e has been e y ew s udies add essing issues ela ing
o he use o mixed me hods. I is much a e o see discussions add essing
he easons behind esea che s’ decisions ega ding mixed me hods. I ake he

47
Wha d i es he choices o mixed me hods in highe educa ion esea ch?
Theo e ical and Me hodological Pe spec i es on
Highe Educa ion Managemen and T ans o ma ion
oppo uni y o call o u u e esea ch o e iew and analyse exis ing highe
educa ion s udies in he a ea o mixed me hods. I would also be in e es ing
and use ul o in e iew and su ey he w i e s o hese s udies abou wha
d i e hei choices o using mixed me hods design.
48
Yuzhuo Cai
Elias Pekkola & Jussi Ki is ö & Vuokko Koh amäki &
Yuzhuo Cai & Anu Lyy inen (Eds.)
Re e ences
B yman, A. (2007). The esea ch ques ion in social esea ch: Wha is i s ole?
In e na ional Jou nal o Social Resea ch Me hodology, 10(1), 5–20.
Cai, Y. (2007). Academic s a in eg a ion in pos -me ge Chinese highe educa ion
ins i u ions. Tampe e: Tampe e Uni e si y P ess.
Co be a, P. (2003). Social esea ch: Theo y, me hods and echniques. London: SAGE
Publica ions.
C eswell, J. W. (1998). Quali a i e inqui y and esea ch design: Choosing among i e
adi ions. Thousand Oaks, Cali .; London: Sage Publica ions.
C eswell, J. W. (2003). Resea ch design: Quali a i e, quan i a i e, and mixed me hods
app oaches (2nd ed.). Thousand Oaks, Cali .; London: SAGE Publica ions.
C eswell, J. W. (2005). Educa ional esea ch: Planning, conduc ing, and e alua ing
quan i a i e and quali a i e esea ch (2nd ed.). Uppe Saddle Ri e , N.J.:
Pea son/Me ill/P en ice Hall.
C eswell, J. W., Plano Cla k, V. L., Gu mann, M. & Hanson, W. (2003). Ad anced
mixed me hod esea ch desins. In A. Tashakko i & C. Teddlie (Eds.),
Handbook o mixed me hods in social & beha io al esea ch. Thousand Oaks.
London. New Delhi: Saga Phblica ions, 209–240.
Cu al, S. C. & Towle , A. J. (2003). Resea ch me hods in managemen and
o ganiza ional esea ch: Towa d in eg a a ion o quali a i e and quan i a i e
echniques. In A. Tashakko i & C. Teddlie (Eds.), Handbook o mixed
me hods in social & beha io al esea ch. Thousand Oaks. London. New Delhi:
Saga Phblica ions, 513–526.
Denzin, N. K. & Lincoln, Y. S. (2003). In oduc ion: The discipline and p ac ice o
quali a i e esea ch. In N. K. Denzin & Y. S. Lincoln (Eds.), Collec ing and
in e p e ing quali a i e ma e ials. Thousand Oaks, London, New Delhi:
SAGE Publica ions, 1–45.
Gomm, R., Hamme sley, M. & Fos e , P. (2000). Case s udy me hod: Key issues, key
ex s. London: SAGE.
G i i hs, F. (1996). Quali a i e esea ch: The esea ch ques ions i can help answe ,
he me hods i uses, he assump ions behind he esea ch ques ions and wha
in luences he di ec ion o esea ch. Family P ac ice, 13(1), 27–30.
I anko a, N. V., C eswell, J. W. & S ick, S. L. (2006). Using mixed-me hods sequen ial
explana o y design: F om heo y o p ac ice. Field Me hods, 18(1), 3–20.
Johnson, R. B. & Onwuegbuzie, A. J. (2004). Mixed me hods esea ch: A esea ch
pa adigm whose ime has come. Educa ional Reseache , 33(7), 14.
Leech, N. & Onwuegbuzie, A. (2009). A ypology o mixed me hods esea ch designs.
Quali y and Quan i y, 43(2), 265–275.
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Miles, M. B. & Hube man, A. M. (1994). An expanded sou cebook: Quali a i e da a
analysis (2nd ed.). Thousand Oaks, London, New Delhi: SAGE Publica ions.
Newman, I. & Benz, C. R. (1998a). Quali a i e-quan i a i e esea ch me hodology:
Explo ing he in e ac i e con inuum. Ca bondale: Sou he n Illinois Uni e si y
P ess.
Newman, I. & Benz, C. R. (1998b). Quali a i e-quan i a i e esea ch me hodology:
Explo ing he in e ac i e con inuum. Ca bondale and Edwa ds ille: Sou hen
Illinois Uni e si y P ess.
Newman, I., Ridenou , C. S., Newman, C. & DeMa co, G. M. P. (2003). A ypology o
esea ch pu poses and i s ela ionship o mixed me hods. In A. Tashakko i &
C. Teddlie (Eds.), Handbook o mixed me hods in social & beha io al esea ch.
Thousand Oaks. London. New Delhi: Sage Publica ions, 167–188.
Onwuegbuzie, A. J. & Leech, N. L. (2006). Linking esea ch ques ions o mixed
me hods da a analysis p ocedu es. The Quali a i e Repo , 11(3), 474–498.
Onwuegbuzie, A. J., Sla e, J. R., Leech, N. L. & Collins, K. M. T. (2007). Conduc ing
mixed analyses: A gene al ypology. In e na ional Jou nal o Mul iple Resea ch
App oaches, 1(1), 4–17.
Papadimi iou, A., I anko a, N. & Hu ado, S. (2013). Add essing challenges o
conduc ing quali y mixed me hods s udies in highe educa ion. In J. Huisman
& M. Tigh (Eds.), In e na ional pe spec i es on highe educa ion esea ch.
Volume 9—Theo y and Me hod in Highe Educa ion Resea ch. Eme ald, 133–
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Plano Cla k, V. L. (2005). C oss-disciplina y analysis o he use o mixed me hods in
physics educa ion esea ch, counseling psychology, and p ima y ca e. Doc o al
Doc o al disse a ion, Uni e si y o Neb aska-Lincoln. Re ie ed om h p://
digi alcommons.unl.edu/disse a ions/AAI3163998
Rossman, G. B. & Rallis, S. F. (1988). Lea ning in he ield: An in oduc ion o
quali a i e esea ch. Thousand Oaks, Cali .: Sage Publica ions.
Tashakko i, A. & Teddlie, C. (1998). Mixed me hodology: Combining quali a i e and
quan i a i e app oaches (Vol. 46). Thousand Oaks, CA: SAGE Publica ions.
Tashakko i, A. & Teddlie, C. (2003). Handbook o mixed me hods in social &
beha io al esea ch. Thousand Oaks, Cali .; London: SAGE Publica ions.
Tashakko i, A. & Teddlie, C. (2003). The pas and u u e o mixed me hods esea ch:
F om da a iangula ion o mixed model designs. In A. Tashakko i & C.
Teddlie (Eds.), Handbook o mixed me hods in social & beha io al esea ch.
Thousand Oaks. London. New Delhi: Saga Phblica ions, 671–701.
Teddlie, C. & Tashakko i, A. (2009). Founda ions o mixed me hods esea ch:
In eg a ing quan i a i e and quali a i e echniques in he social and beha io al
sciences. Thousand Oaks: SAGE.
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Yuzhuo Cai & Anu Lyy inen (Eds.)
Teddlie, C. & Tashakko i, A. (2006). A gene al ypology o esea ch designs ea u ing
mixed me hods. Resea ch in he Schools, 13(1), 12–28.
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SAGE Publica ions.
51
Resea ching social s a i ica ion in highe educa ion:
Me hodology and pa adigms
James Anyan
In oduc ion
Resea che s o sociology o educa ion, like o he esea che s in he beha iou al
and social sciences, a e o en aced wi h he dilemma o choice o pa adigms,
me hods and me hodology. The con o e sy ega ding he p op ie y o ei he
adop ing a wholly quali a i e app oach, and he eby p esen ing eade s wi h
he “dissonan music o inequali y” o s a i ica ion, o going comple ely
quan i a i e and subsequen ly p esen ing eade s wi h he ma hema ics and
s a is ics o he same phenomenon is ye o aba e. A middle-g ound app oach
ha has inc easingly gained cu ency has been o le e age he s eng hs o
bo h he quali a i e and quan i a i e s a egies h ough he adop ion o he
mixed me hods app oach and, hus, limi he weaknesses—pe cei ed o
eal—o he wo adi ional and dominan app oaches o esea ch. O he s
ha e had o ques ion whe he he s ic sepa a ion o he quan i a i e and
quali a i e esea ch sphe es is an exe cise in u ili y, since he bounda ies o
he wo domains can some imes become blu ed (Anyan 2016; B yman 2012;
C eswell 2014; Denzin & Lincoln 1994; Fly bje g 2006; Sa enye & Robinson
2005). The choice o he mixed me hods app oach, howe e , is only hal he

52
James Anyan
Elias Pekkola & Jussi Ki is ö & Vuokko Koh amäki &
Yuzhuo Cai & Anu Lyy inen (Eds.)
ba le; he esea che is hen con on ed wi h he adop ion o an “app op ia e”
pa adigm(s) o gi e some g ounding o hei me hodological choices. I is also
o en he case ha he esea che ’s belie s end o dic a e he me hodological
pace. Ei he way, hough s and conside a ions would ha e o be gi en o bo h
he me hodology and pa adigms in he esea ch p ocess.
This chap e does no se ou o join he quali a i e–quan i a i e i . I
shall a he de o e his space o highligh he e olu ion o he mixed me hods
app oach and i s use in highe educa ion esea ch. The discussion u he
ex ends o p agma ism and he ans o ma i e esea ch pa adigms, hei
associa ion wi h he mixed me hods app oach as well as some o he challenges
accompanying hei adop ion and use.
Mixed me hods
The mixed me hods esea ch s a egy, o he wise known as mul ime hod o
mixed me hodology, eme ged in he la e 1980s and ea ly 1990s as a “ hi d o ce”,
complemen ing he wo adi ional app oaches (quali a i e and quan i a i e)
wi h i s use and spanning ields like sociology, educa ion, managemen ,
e alua ion and heal h sciences. The wo ks o Tashakko i and Teddlie (2003;
2010)—Handbook o Mixed Me hods in he Social and Beha iou al Sciences
sough o o e a mo e comp ehensi e o e iew o his esea ch s a egy. I s
pa hs can u he be aced o he eme gence o a numbe o jou nals such as he
Jou nal o Mixed Me hods Resea ch, In e na ional Jou nal o Mul iple Resea ch
App oaches and Fields Me hods (C eswell 2014; Hall 2013). Mo gan (1998),
howe e , aces he o igin o mixed me hods o he la e 1950s and mid-1960s
and c edi s Donald Campbell and he wo ks o his colleagues on unob usi e
measu es as pionee ing his esea ch s a egy. The e m mixed me hods is
gene ally used o e e o esea ch ha has elemen s o bo h he quali a i e and
quan i a i e esea ch s a egies. The mixing o bo h quan i a i e and quali a i e
da a, supposedly, is gea ed owa ds achie ing a “s onge unde s anding o he
p oblem” o ques ion han ei he o he adi ional s a egies could p o ide
53
Resea ching social s a i ica ion in highe educa ion: Me hodology and pa adigms
Theo e ical and Me hodological Pe spec i es on
Highe Educa ion Managemen and T ans o ma ion
(C eswell 2014, 215; B yman 2012). Howe e , Sandelowski (2003) belie es
ha i is me ely a me hodological ashion.
C eswell (2014) has iden i ied h ee di e en a ionales and alues o
he adop ion o he mixed me hods app oach. When esea che s choose
mixed me hods by i ue o being able o d aw on he s eng hs o bo h he
quan i a i e and quali a i e app oaches, while minimising hei limi a ions,
hey a e ope a ing on wha he calls he gene al le el; ha is o say, he p ima y
eason o adop ing he mixed me hods app oach a e he pe cei ed g ea e
s eng hs and ewe limi a ions esul ing om he combina ion o he wo
adi ional app oaches, as opposed o he use o ei he a wholly quali a i e o
quan i a i e app oach. Those who adop i on he g ounds o access o bo h
kinds o da a, as well as being able o b ing some elemen s o sophis ica ion and
complexi y o appeal o en husias s o new esea ch p ocedu es, a e ope a ing a
he p ac ical le el. A p ocedu al le el use would a gue ha he use o he mixed
me hods app oach b ings a mo e comp ehensi e unde s anding o he esea ch
p oblem by acili a ing a compa ison o di e en pe spec i es om he da a,
he in e p e a ion o he quan i a i e da a wi h he quali a i e, among o he s.
A numbe o schola s ha e iden i ied di e en ways o classi ying and
designing s udies ha adop he mixed me hods esea ch s a egy. Mo gan
(1998) obse es ha he combina ion o bo h quan i a i e and quali a i e
esea ch designs has been done such ha he e a e some elemen s o
complemen a i y and di ision o labou o each o he s a egies. These ha e
been achie ed h ough he making o wo p ima y decisions: (1) a p io i y
decision, which pai s he p incipal me hod wi h a subo dina ing one, and
(2) a sequence decision, which de e mines whe he he subo dina ing me hod
p ecedes o succeeds he p incipal. To illus a e Mo gan’s (1998) p oposi ion, i
a esea che decides o ca y ou a su ey o s uden s wi h disabili ies in a gi en
highe educa ion sys em, and he o she decides o in e iew a ew s uden s o
in o m wha goes in o he su ey design, i is ob ious ha he quan i a i e
app oach has been chosen as he p incipal me hod in he p io i y decision.
Since he in e iew comes i s , i is hen gi en he highes weigh ing as a as
he sequence decision is conce ned.
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Elias Pekkola & Jussi Ki is ö & Vuokko Koh amäki &
Yuzhuo Cai & Anu Lyy inen (Eds.)
Fo B yman (2012), he pu poses o he s udy should guide he design
o be adop ed. He spells ou 18 di e en ways o combining quan i a i e
and quali a i e da a, including: (1) iangula ion—when seeking a mu ual
co obo a ion o indings; (2) o se — o le e age he s eng hs and limi
he weaknesses o bo h he quan i a i e and quali a i e app oaches;
(3) comple eness— he no ion ha combining quali a i e and quan i a i e
esea ch would esul in a mo e comp ehensi e enqui y; (4) p ocess—when he
assump ion is ha quan i a i e esea ch would ca e o he s uc u es o social
li e while he quali a i e would gi e a sense o he p ocess; (5) di e en esea ch
ques ions—when he assump ion is ha each o he esea ch ques ions is bes
sui ed o ei he a quan i a i e o quali a i e esea ch and (6) explana ion—
when one o he wo app oaches is expec ed o explain he esul s gene a ed
by he o he . He adds ha mixed me hods could also be used on he g ounds
o ins umen de elopmen , sampling, c edibili y, illus a ion, di e si y o iews,
among o he s.
C eswell (2014) has also se ou wo b oad ca ego ies o he design o
mixed me hods esea ch—basic and ad anced. The basic mixed me hods
design comp ises he con e gen pa allel, explana o y sequen ial and
explo a o y sequen ial. As he names sugges , he con e gen pa allel is adop ed
when he goal is o me ge da a om bo h he quan i a i e and quali a i e o
show he ex en o con e gence o di e gence, and wi h he iew o achie ing
a compa ison o he pe spec i es om bo h se s o da a. The explana o y
sequen ial seeks an in-dep h unde s anding and an illumina ion o he esul s
om he quan i a i e da a. Pu simply, he quali a i e da a is used o explain
he quan i a i e esul s. When he de elopmen o be e ins umen s o
measu emen is he goal, he explo a o y sequen ial comes in handy. As ega ds
he ad anced mixed me hods design, C eswell (2014) u he iden i ies he
embedded, ans o ma i e and mul iphase designs. The embedded design is
used o gain an unde s anding o he iews o pa icipan s, o example, o
an expe imen al in e en ion, while he ans o ma i e is used in si ua ions in
which he needs o a ma ginalised g oup in socie y need o be unde s ood in
he pu sui o an agenda o e o m and ac ion. The mul iphase design would
55
Resea ching social s a i ica ion in highe educa ion: Me hodology and pa adigms
Theo e ical and Me hodological Pe spec i es on
Highe Educa ion Managemen and T ans o ma ion
be mo e sui able in si ua ions in which o ma i e and summa i e e alua ions
a e needed o a pa icula in e en ion p og amme.
A close look a he classi ica ions o he mixed me hods designs, as spel
ou by he h ee au ho s (B yman 2012; C eswell 2014; Mo gan 1998) indica es
ha hey sha e p ac ically he same cha ac e is ics. The main di e ences, as a
as I can see, a e nomencla u al.
Pa adigms
The adop ion o a pa icula me hod o me hodology o a esea ch enqui y
would sa is y jus one componen o he esea ch p ocess. Resea che s need
o be clea and explici abou he pa adigm(s) o philosophical assump ions
unde pinning hei esea ch, since hey end o d i e he da a ga he ing,
analysis and in e p e a ion. B yman (1988) de ines a pa adigm as “a clus e
o belie s and dic a es which o scien is s in a pa icula discipline in luence
wha should be s udied, how esea ch should be done, [and] how esul s should
be in e p e ed” (p. 4). Con e sely, Guba (1990) sees i simply as “a se o belie s
ha guide ac ion” (as ci ed in C eswell 2014, 6). A pa adigm is o he wise
known as a wo ld iew (C eswell & Plano Cla k 2007; Teddlie & Tashakko i
2009), epis emologies and on ologies (C o y 1998) and a men al model (G eene
2007), o men ion a ew. In he li e a u e, ou ypes o pa adigms can
gene ally be ound: posi i ism, cons uc ionism, ans o ma i e and p agma ism
(C eswell 2014; Hall 2013). Some au ho s eason ha since posi i ism and
pos -posi i ism a e mo e sui able o quan i a i e esea ch and cons uc ionism
(social cons uc i ism) o quali a i e esea ch, mixed me hods esea che s
would be be e se ed by going wi h he ans o ma i e and p agma is
pa adigms (C eswell 2014; Hall 2013).
Hall (2013) a gues ha mixed me hods esea che s a e aced wi h h ee
op ions in hei ques o an app op ia e pa adigm(s) o unde pin hei
esea ch. They can ei he adop an a-pa adigma ic s ance o a single o mul iple
pa adigma ic s ance. He ebu s he p oposi ion o he adop ion o an
a-pa adigma ic s ance o esea ch, as p oposed by Pa on (1990), o example,
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James Anyan
Elias Pekkola & Jussi Ki is ö & Vuokko Koh amäki &
Yuzhuo Cai & Anu Lyy inen (Eds.)
Re e ences
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Elias Pekkola & Jussi Ki is ö & Vuokko Koh amäki &
Yuzhuo Cai & Anu Lyy inen (Eds.)
II
Concep ual App oaches U ilised o
Unde s anding Uni e si y T ans o ma ion
67
Policy ans e in highe educa ion policy o ma ion
Johanna Moisio
In oduc ion
The yea 2006 ma ked he s a o p epa a ions leading o uni e si y e o m in
Finland. The na ional discussion on uni e si y e o m was held concu en ly
wi h he highe educa ion (HE) mode nisa ion discou se in he Council o
he Eu opean Union (EU). The e is exis ing esea ch on he de elopmen o
EU-le el coope a ion and he de elopmen o Finnish HE policy, bu ela i ely
li le esea ch on he signi icance o EU HE policy coope a ion in membe
s a es. The esea ch p oblem, hen, is he connec ion be ween EU and na ional-
le el discussions on HE policy.
The esea ch p esen ed in his chap e e alua ed he connec ion be ween
na ional highe educa ion policy o ma ion and EU-le el discussion on
highe educa ion. Policy ans e heo y has been es ed by Moisio (2014) as
an explana o y model o s udying he success o ailu e o EU coope a ion
in HE policy. The policy ans e me hod pays pa icula a en ion o he
policy o ma ion p ocess and he possibili y o ans e o ideas, policies and
a angemen s om one poli ical se ing o ano he se ing o sys em (Radaelli
2000; Dolowi z & Ma sh 2000).

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Elias Pekkola & Jussi Ki is ö & Vuokko Koh amäki &
Yuzhuo Cai & Anu Lyy inen (Eds.)
Policy lea ning and policy ans e
The e is some e idence ha he EU educa ion policy discou se has been
ans e ed o EU membe s a es. Lange and Alexiadou’s (2010) esea ch
di e en ia es a ious policy lea ning s yles (mu ual lea ning, compe i i e
policy lea ning, impe ialis ic policy lea ning and su ace policy lea ning) in
educa ion policy by ca ego ising di e en ypes o in e ac ions be ween he
same ange o public policy ac o s (membe s a es hemsel es and membe
s a es and he Eu opean Commission). The concep o mu ual lea ning
holds ha quali a i e knowledge abou di e en p ac ices is as impo an as
quan i a i e in o ma ion. Pa icipa ion in mu ual lea ning is olun a y, and
pa icipa ing coun ies/membe s a es ha e posi i e incen i es o pa icipa e
(in clus e s and pee lea ning ac i i ies) when he knowledge om hese e en s
may help hem sol e na ional policy p oblems.
Acco ding o Lange and Alexiadou, he concep o compe i i e policy
lea ning ocuses mo e on he quan i a i e side o coope a ion. Va ious EU
ins i u ions (Eu os a , Cede op and he Eu opean T aining Founda ion)
de elop s a is ical analyses o educa ion p ac ices in he EU. Compe i i e
lea ning s a s om speci ic assump ions, indica o s o benchma ks, and
discussions a e limi ed o he selec ed p oblems. While mu ual lea ning is aimed
a he deep lea ning o adi ions and poli ics, he goal o compe i i e lea ning
is o open up in e na ional compa isons. Compe i i e lea ning depends on he
p essu e c ea ed on membe s a es. Because s a es a e mo i a ed o p ese e
hei good epu a ion, p essu e becomes e ec i e when combined wi h media
a en ion. Since s a is ics a e c ea ed mainly by o mal ins i u ions, compe i i e
lea ning is less o a bo om-up p ocess han mu ual lea ning (pp. 452–454).
Lawn and Linga d’s (2002, 300) ea lie s udy also s esses he impo ance o
s a is ical p oduc ion—p e iously done mainly by he OECD bu la e ly by
he EU as well—and he s a is ical compa ison ha is cen al o ha monisa ion.
Howe e , E kkilä (2014) a gues ha he Eu opean Commission has inc eased
i s ole in HE policy by using global uni e si y ankings. These ankings ha e
c ea ed “a poli ical imagina y compe i ion, whe e Eu opean uni e si ies mus
be e o med i hey a e o be success ul” (p. 92).
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Policy ans e in highe educa ion policy o ma ion
Theo e ical and Me hodological Pe spec i es on
Highe Educa ion Managemen and T ans o ma ion
The concep o impe ialis ic policy lea ning e e s o he a emp by
some coun ies o expo hei na ional educa ion policies o o he s as well
as o he Eu opean Commission’s policy agenda (Lange & Alexiadou 2010,
452–454). The e is some e idence ha his has been one o he goals o he
Uni ed Kingdom’s HE policy (Alexiadou & Lange 2011). Con e sely, su ace
policy lea ning e e s o a mo e passi e o nega i e esponse by a membe s a e,
which is an a emp o minimise he in luence o he Commission o o he
membe s a es. Lea ning, o he mos pa , en ails only obse a ion o possible
in ingemen s o na ional so e eign y ha should be epo ed back o na ional
adminis a ions. Ano he mani es a ion o su ace policy lea ning, acco ding
o Lange and Alexiadou (2010, 455–456), is he na ional p og ess epo ing o
Educa ion and T aining 2010/2020, which some imes only desc ibes membe
s a es’ own na ional educa ion policies, e en wi h ega d o benchma ks ha
di e in scope o imeline om hose mu ually ag eed a he EU le el.
As membe s o in e na ional s uc u es o egimes, na ional go e nmen s
may ha e o adop policies as pa o hei obliga ions. The ques ion he e is
whe he policy ans e wi hin he EU can be in e p e ed as coe ci e, gi en
ha indi idual na ions ha e, in p inciple, joined he EU olun a ily. Dolowi z
and Ma sh (2000, 14–15) poin ou ha each membe s a e does ha e in luence
o e he adop ion o EU policies; hus, hey ac i ely and olun a ily shape EU
poli ics. I is he e o e possible o a gue ha policy ans e in he EU is bo h
obliga ed and nego ia ed.
Con empo a y policies a e inc easingly a ec ed by policy ans e ,
especially in he Eu opean con ex , because o close coope a ion be ween many
policy ields. As pa o globalisa ion and Eu opeanisa ion, poli icians and
ci il se an s ha e become acquain ed wi h each o he , and a he same ime,
in e na ional o ganisa ions and policy en ep eneu s “sell” policies a ound he
wo ld. Teichle (2004) wisely eminds us, howe e , ha al hough he inc ease
o knowledge ans e ac oss na ions has ypically been seen as a phenomenon
o globalisa ion, one mus keep in mind ha go e nmen s a e highly ac i e in
shaping he ules o knowledge ans e , doing so in o de o maximise hei
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Elias Pekkola & Jussi Ki is ö & Vuokko Koh amäki &
Yuzhuo Cai & Anu Lyy inen (Eds.)
na ional gains (p. 13). The penul ima e sec ion o his chap e examines he
concep o policy ans e in g ea e dep h.
Policy ans e and explaining lesson d awing
Radaelli (2000) and Dolowi z and Ma sh (2000) de ine policy ans e as a
p ocess in which knowledge abou policies, adminis a i e a angemen s,
ins i u ions and ideas in one poli ical se ing o sys em (pas o p esen ) is
used in he de elopmen o policies, adminis a i e a angemen s, ins i u ions
and ideas in ano he poli ical se ing o sys em. Dale (1999) iden i ies a o al
o eigh mechanisms unde policy ans e : bo owing, lea ning, eaching,
ha monisa ion, dissemina ion, s anda disa ion, ins alling in e dependence
and imposi ion. Policy ans e is he comp ehensi e e m o all hese
mechanisms, co e ing bo h olun a y and coe ci e ans e in di e en
ci cums ances and by a ious ac o s.
The concep s o policy ans e and policy di usion a e bo h ounded
on he no ion ha he ideas o o he coun ies o sys ems may be wo h
es ing elsewhe e. These policies may ei he sp ead o be ans e ed o new
en i onmen s. The di e ence be ween policy ans e and policy di usion is
ha di usion s udies end no o e eal any hing abou he con en o new
policies, ocusing mo e on p ocess han on subs ance (Dolowi z & Ma sh
1996, 345).
In he globalised wo ld o he wen y- i s cen u y, policy ans e is a policy
o ma ion ool ha has g adually inc eased in use be ween na ions.1 Public
policy is some hing ha is bo h global and na ional, and policy-make s s udy
o he poli ical sys ems o new ideas abou policies, p og ammes, ins i u ions
and ju isdic ions, which hey look o apply o hei own con ex . The policy
ans e concep can be used ei he as an independen a iable— o explain
1 Dolowi z and Ma sh (2000) men ion h ee easons o inc easing policy ans e : global
economic p essu e, apid g ow h o communica ions and he in luence o in e na ional
o ganisa ions.
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Policy ans e in highe educa ion policy o ma ion
Theo e ical and Me hodological Pe spec i es on
Highe Educa ion Managemen and T ans o ma ion
why a pa icula policy was adop ed—o as a dependen a iable, o explain
why ans e occu s (Dolowi z & Ma sh 1996, 354).
The ollowing ques ions can use ully be asked abou policy ans e . Why
engage in policy ans e ? Who ans e s policy? Wha is ans e ed? F om
whe e and why? How is he ans e composed, and wha a e he di e en
deg ees o ans e ? How is he p ocess ela ed o policy success o ailu e
(see Radaelli 2000; Dolowi z & Ma sh 2000)? I has been shown ha a leas
six main ca ego ies o ac o s a e in ol ed in policy ans e : elec ed o icials,
poli ical pa ies, ci il se an s, p essu e g oups, policy en ep eneu s/expe s
and sup ana ional ins i u ions (Dolowi z & Ma sh 1996, 345).
Policy ans e may be ei he olun a y o coe ci e and includes objec s such
as policy goals, s uc u e and con en , ins umen s and echniques, ins i u ions,
ideology, a i udes and concep s as well as nega i e lessons (Dolowi z & Ma sh
1996, 350). Volun a y ans e is usually based on a pe cei ed dissa is ac ion
wi h a cu en s a e o e en on obse ed policy ailu e. Unce ain y abou he
easons behind p oblems o he e ec s o p e ious decisions may p omp ac o s
o sea ch o policies hey migh wish o bo ow. As Haas (quo ed in Dolowi z
& Ma sh 1996, 347) pu i : “In e na ional collabo a ion…is an a emp o
educe unce ain y”.
Coe ci e ans e can ake place ei he di ec ly o indi ec ly. Di ec coe ci e
ans e occu s when ans e is equi ed by an ex e nal ac o . Howe e , ha
obliga ion is a ely imposed by ano he s a e; in e na ional ins i u ions a e
ypical playe s in di ec coe ci e ac ions, and EU legisla ion is a good example
o his kind o measu e. Indi ec coe ci e me hods de i e om a a ie y o
si ua ions, including echnological de elopmen , economic p essu es and
in e na ional consensus. Fea s o being le behind on an impo an public
issue may also gene a e a en ion and lead o policy ans e : “A coun y can
indi ec ly be pushed owa ds policy ans e i poli ical ac o s pe cei e hei
coun y alling behind i s neighbou s o compe i o s” (Dolowi z & Ma sh
1996, 347–349). This can be d i en by in e na ional compa isons, which a e
made agains he cu en bes . The in e na ional low o na ional da a has
inc eased, and compa ison is now an e e yday business, usually conduc ed
78
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Elias Pekkola & Jussi Ki is ö & Vuokko Koh amäki &
Yuzhuo Cai & Anu Lyy inen (Eds.)
Table 1. Mode o go e nance, ins i u ional a iable and ans e ou comes
(adap ed om Bulme & Padge 2004, 107)
Mode o
Go e nance
Ins i u ional a iables Range o likely
ans e ou comes
Hie a chy Au ho i y/no ma i e manda e acc uing o EU
ins i u ions
Densi y o ules
A ailabili y o sanc ions/incen i es
Emula ion-Syn hesis
Nego ia ion Decision ules/Mode o nego ia ion:
QMV + p oblem sol ing
Unanimi y + ba gaining
Emula ion-Syn hesis
Syn hesis-Abo i e
Facili a ion Ins i u ionaliza ion:
T ea y inco po a ion o objec i es
Speci ici y o guidelines
Quan i iable benchma ks
Densi y o exchange ne wo ks
In luence-Abo i e
Al e na i es o policy ans e
C i icisms o policy ans e ocus mainly on i s impo ance—is i eally a
heo y o jus ano he o m o policy-making, dis inc om mo e con en ional
o ms? The e ha e also been ques ions ega ding why lesson-d awing and policy
ans e occu in place o o he o ms o policy-making. A hi d ques ion ha
a ises is how he policy ans e me hod a ec s policy-making, pa icula ly
when compa ed o o he policy p ocesses (James & Lodge 2003).
James and Lodge (2003) a gue ha “lesson-d awing” and “policy ans e ”
a e di icul o dis inguish om o he o ms o policy-making. They main ain
ha esea che s in e es ed in concep ual, non-domes ic o ac oss- ime
in luences in policy-making should no es ic hemsel es o he policy
ans e amewo k, as he e a e o he a ailable app oaches. The au ho s gi e
wo examples, he i s o which is he ins i u ional app oach, explaining how
policy-making is media ed by ins i u ions. Ins i u ionalism o e s an answe
o he ques ion o who has powe in coe ci e ac ion, and why some ac o s a e
ecipien s, and some a e no . Ins i u ional analysis also o e s an explana ion o
how o ganisa ional s uc u es a ec lea ning p ocesses. A second al e na i e

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Policy ans e in highe educa ion policy o ma ion
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Highe Educa ion Managemen and T ans o ma ion
o supplemen a y explana o y model o policy ans e , acco ding o James
and Lodge, is he powe o ideas in policy-making. The sp ead o ideas
o en includes ne wo ks o ac o s in ol ed in lea ning and ans e , and he
na u e o he ne wo k—whe he i is an ad ocacy coali ion o an epis emic
communi y—is impo an .
James and Lodge a gue ha de eloping clea e measu es o “ ans e ” migh
help o de elop he app oach. E o should also be made o alida e whe he
ans e has occu ed and o assess, as needed, he ex en o non- ans e . One
mus no e ha James and Lodge’s c i icism is om 2003 when he OMC had
jus s a ed as a policy lea ning o ma wi hin he EU. The au ho s e e o
he p ocess o Eu opeanisa ion and he OMC, bu i was o he pu pose o
es ima ing i s e ec s.
Policy ans e can be a use ul explana o y ool, bu o he explana o y
models can also be use ul, such as in e na ional coope a ion, policy ne wo ks,
ad ocacy coali ions and epis emic communi ies, which also de elop and
p omo e a ious policies and ideas (also Dolowi z & Ma sh 2000, 21; Radaelli
1999) and p esen ano he way o s udy he phenomenon a hand. Acco ding
o Ende s (2004, 374), Eu opeanised policy esponses in HE may also be an
example o mu ual adjus men . Go e nmen s con inue o adop hei own
na ional policies, bu in so doing, hey e lec he policy choices o o he
go e nmen s o pe cei ed Eu opean de elopmen s. Bulme e al. (2007, 5)
add ha in ea lie pe iods o policy analysis, i was ypical o look a policy
con e gence since na ional policy-make s ended o ely on signals om he
in e na ional sys em. By adop ing simila solu ions, he e appea ed o be
con e gence. This app oach, howe e , ocuses p ima ily on policy ou comes
mo e han on he ac o s and me hods o he policy p ocess. The policy ans e
app oach also iden i ies he ex e nal ca alys s o change, key ac o s, easons
behind as well as di e en s eps in he p ocess whe eby policy om one
ju isdic ion is shi ed o ano he .
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Elias Pekkola & Jussi Ki is ö & Vuokko Koh amäki &
Yuzhuo Cai & Anu Lyy inen (Eds.)
The u ili y o policy ans e
As desc ibed in Moisio (2014), Bulme and Padge ’s (2004) ypology o
a ious o ms o go e nance and policy ans e may se e o explain he policy
ans e o ms in EU policy coope a ion in HE (see Table 2).
Bulme and colleagues (2007, 9) no e ha go e nance by nego ia ion
amoun s o policy ans e by consen , cen ed on he Council o he EU.
Common ules and no ms a e ag eed by he membe s a es and he eby
adop ed by he EU. In he p ocess, membe s a es ha e he oppo uni y o
“upload” hei policy p e e ences o he sup ana ional le el. The Commission
is he agenda-se e , and i “con ols he access poin s a which policy ideas
en e he EU sys em” (p. 55), as membe s a es also y o in luence he ideas
adop ed by he Commission o ans e . “Sel -in e es ed Membe S a es can
be expec ed o compe e o shape EU no ms acco ding o domes ic p e e ences
and p ac ices, he eby educing he subsequen adap a ion p essu es” (p. 20).
In a so law sec o such as educa ion, as no ed abo e, adap a ion p essu e
is minimal, which may in pa explain why Finland was ac i e in he HE
mode nisa ion alks, seeking o di ec he discussion in he Council o a ou
he pu poses o na ional policy o ma ion.
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Policy ans e in highe educa ion policy o ma ion
Theo e ical and Me hodological Pe spec i es on
Highe Educa ion Managemen and T ans o ma ion
Table 2. Go e nance o educa ion and policy ans e
(adop ed om Bulme and Padge 2004; Bulme e al. 2007, 25)
Mode o
Go e nance
Ins i u ional a iables Range o likely
ans e ou comes
*Ins umen * in
educa ion policy
Nego ia ion Decision ules/Mode o
nego ia ion:
QMV + p oblem sol ing
Unanimi y + ba gaining
Emula ion-Syn hesis
Syn hesis-Abo i e
Recommenda ion o he
EYC
Resolu ion/conclusion o
he EYC
Facili a ion Ins i u ionaliza ion:
T ea y inco po a ion o
objec i es
Speci ici y o guidelines
Quan i iable benchma ks
Densi y o exchange
ne wo ks
In luence-Abo i e ET 2010
OMC
“Unde acili a ion so e eign y emains es ed in na ional a enas, bu is
o e laid by in e ac ion be ween na ional policy-make s acili a ed by he EU”
(p. 23). Facili a ion as a mode o go e nance o e s only so and lexible means
o pe suade membe s a es o eassess hei policy p ac ices; he new o m o
coope a ion, he OMC, was a good example o such means. The ole o he EU
is o wo k as an enable o exchange and a media o be ween membe s a es (p.
24). A low le el o ins i u ionalisa ion means ha policy ans e is es ic ed
o in luence and ha he e is a ela i ely high incidence o abo i e measu es
(p. 24). Acco ding o he Finnish expe s in e iewed o he s udy, his was
he case wi h OMC in HE policy.
Policy ans e can be a use ul explana o y ool, bu i is clea ha no
heo y can explain all ou comes. O he explana o y models can also be use ul,
such as in e na ional coope a ion, policy ne wo ks, ad ocacy coali ions and
epis emic communi ies, which also de elop and p omo e a ious policies
and ideas (Dolowi z & Ma sh 2000, 21; Radaelli 1999) and could be ano he
way o s udying he phenomenon a hand. Acco ding o Ende s (2004, 374),
Eu opeanised policy esponses in HE may also be an example o mu ual
adjus men ; go e nmen s con inue o adop hei own na ional policies, bu
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Johanna Moisio
Elias Pekkola & Jussi Ki is ö & Vuokko Koh amäki &
Yuzhuo Cai & Anu Lyy inen (Eds.)
in so doing, hey e lec he policy choices o o he go e nmen s o pe cei ed
Eu opean de elopmen s. I is possible o conclude, howe e , ha policy
ans e can be use ul when explaining he ou comes o he ou ca ego ies o
desc ip ion he e. Mo eo e , he esul s sugges ha he heo e ical de elopmen
could be u he imp o ed by in oducing he concep s o in e ac ion and/o
policy spin.
The ou come space below shows how he signi icance o EU coope a ion
a ises acco ding o he unde s andings o Finnish HE policy expe s, om
ca ego y D (i ele ance and esis ance) o ca ego y A (change)— ha is, om
en i ely olun a y coope a ion (OMC) o semi-coe ci e nego ia ed ans e
( he Lisbon S a egy implemen a ion). The ca ego ies a e di e en and
sepa a e, bu hei con en s a e mu ually suppo i e. Fo ins ance, he no ion
o a new kind o in e dependence in ca ego y A suppo s he unde s anding o
a a ie y o in luences on a membe s a e om EU coope a ion. Ca ego y C,
in desc ibing usion, suppo s ca ego y A in cha ac e ising change in EU-le el
coope a ion: o he o ms o coope a ion (OECD and Bologna) we e seen o
be impo an , bu he ele ance o EU coope a ion inc eased a he u n o he
cen u y. The unde s andings in ca ego y D o he i ele ance o he OMC and
so law can also be suppo ed by ca ego y C, whe e he in e iewees obse ed
ha he EU is only one o m o in e na ional coope a ion. Clea ly, al hough
hey can be in oduced sepa a ely, he ca ego ies a e also in e connec ed.
Figu e 1 p esen s he comple ed ou come space o he ou esul s
ca ego ies. The p elimina y ou come space imp o ed wi h he scale o policy
ans e (acco ding o Bulme e al. 2007). EU HE policy coope a ion does
no each he poin o en i ely coe ci e ans e , mo ing om comple ely
olun a y policy ans e o semi-coe ci e policy ans e when connec ed
wi h o e all EU goals, such as he Lisbon S a egy. To da e, he e has been
no di ec imposi ion o implemen a ion o EU HE policy; hus, he ou come
space s ops a semi-coe ci e ans e . He e, he e m “ o da e” is o ele ance, as
he new EU2020 s a egy and i s ollow-up, wi h he Eu opean semes e and
new inancial egula ion, may change he si ua ion in he nea u u e. This may
be a heme o u he esea ch.
83
Policy ans e in highe educa ion policy o ma ion
Theo e ical and Me hodological Pe spec i es on
Highe Educa ion Managemen and T ans o ma ion
Wi h e e ence o he scale o policy ans e ( om Bulme e al. 2007, 15), EU
HE policy coope a ion has changed om olun a y o semi-coe ci e policy
ans e , bu i has ye o become en i ely coe ci e.
Conclusion
E ec i e policy analysis equi es knowledge o how policy wo ks. I e o me s
do no unde s and causa ion in public policy, hey canno assess whe he o no
hei choices will wo k. A ailu e o unde s and decision-making p ocedu es
and he con ex wi hin which hey wo k o en esul s in inapp op ia e choices
when ans o ming me hods o policy-making (John 1998, 10).
The pu pose o his chap e was o desc ibe how, h ough he ans e abili y
and unc ionali y o ans e mechanisms, i is possible o s udy he e ec i eness
o policy coope a ion. Policy ans e heo y may help in unde s anding wha is
signi ican in EU coope a ion and which me hods o EU coope a ion ans e
Figu e 1. Ou come space: F om olun a y o semi-coe ci e ans e
En i ely Coe ci e
(di ec imposi ion)
Pe ec ly Volun a y
(lesson-d awing)
Semi-Coe ci e
(nego ia ed, pe cei ed necessi y)

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Elias Pekkola & Jussi Ki is ö & Vuokko Koh amäki &
Yuzhuo Cai & Anu Lyy inen (Eds.)
policies o he na ional le el. In he pos -2006 con ex o Finnish HE policy
o ma ion, he e was a clea connec ion be ween EU-le el and na ional-le el
decision-making. The heo e ical amewo k o e s an app oach o combining
he di e en indings and obse a ions and can be used as an “o e coa ” o he
s udy, bu heo y alone canno explain all possible esul s (Maxwell 1996, 33).
85
Policy ans e in highe educa ion policy o ma ion
Theo e ical and Me hodological Pe spec i es on
Highe Educa ion Managemen and T ans o ma ion
Re e ences
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Bulme , S. & Padge , S. (2004). Policy ans e in he Eu opean Union: An
ins i u ional pe spec i e. B i ish Jou nal o Poli ical Science, 35, 103–126.
Bulme , S., Dolowi z, D., Humph eys, P. & Padge , S. (2007). Policy ans e in
Eu opean Union go e nance. Regula ing he u ili ies. Oxon: Rou ledge.
Dale, R. (1999). Speci ying globaliza ion e ec s on na ional policy: Focus on he
mechanisms. Jou nal o Educa ion Policy, 14(1), 1–17.
Dolowi z, D. P. & Ma sh, D. (1996). Who lea ns wha om whom: A e iew o he
policy ans e li e a u e. Poli ical S udies, XLIV, 343–357.
Dolowi z, D. P. & Ma sh, D. (2000). Lea ning om ab oad: The ole o policy ans e
in con empo a y policy-making. Go e nance: An In e na ional Jou nal o
Policy and Adminis a ion, 13(1), 5–24.
Ende s, J. (2004). Highe educa ion, in e na ionalisa ion, and he na ion-s a e:
Recen de elopmen s and challenges o go e nance heo y. Highe Educa ion,
47, 361–382.
E kkilä, T. (2014). Global uni e si y ankings, ansna ional policy discou se and
highe educa ion in Eu ope. Eu opean Jou nal o Educa ion, 49(1), 2014.
G ek, S., Lawn, M., Linga d, B., Ozga J., Rinne, R., Sege holm, C. & Simola, H.
(2009). Na ional policy b oke ing and he cons uc ion o he Eu opean
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d awing” o public policy esea ch. Poli ical S udies Re iew, 1, 179–193.
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Yuzhuo Cai & Anu Lyy inen (Eds.)
Lange, B. & Alexiadou, N. (2010). Go e ning h ough lea ning abou policy: Jus all
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co-o dina ing educa ion in he Eu opean Union (EU). Jou nal o Educa ion
Policy, 25(4), 443–463.
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go e nance: The ole o ansna ional policy ac o s. Eu opean Educa ional
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87
A quad uple helix amewo k o
uni e si y-led communi y inno a ion sys ems
in A ica
Pascal Doh
In oduc ion
This chap e is an o shoo o a doc o al s udy supe ised by P o esso Hol a,
which in es iga ed he ole o highe educa ion in po e y educ ion in A ica
(Doh 2012). The s udy ound he necessi y o a uni e si y-led communi y
inno a ion sys em (CIS), o a quad uple s uc u e in complemen ing he lack
and weaknesses o na ional uni e si y sys ems in mos de eloping coun ies.
Indeed, gone a e he days when he uni e si y was an i o y owe , disconnec ed
and dis anced om he eali ies o i s en i onmen . Today, he uni e si y is
unde going a second e olu ion, which in ol es a hi d mission o economic
de elopmen , including po e y educ ion. This e olu ion is leading o a
sea ch o he mos app op ia e amewo ks wi hin which he uni e si y will
pe o m and con ibu e mos e ec i ely. While he iple helix o he uni e si y,
indus y and go e nmen pa ne ship, (E zkowi z & Leydesdo 1997) and he
na ional inno a ion sys em (NIS) (Lund all 1992; Lund all e al. 2002) seem
o be de eloping as he way o s eng hen he ole o uni e si ies in economic
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Elias Pekkola & Jussi Ki is ö & Vuokko Koh amäki &
Yuzhuo Cai & Anu Lyy inen (Eds.)
h ee helices main ain oles simila o hose o he iple helix, wi h connec ion
o he local councils and communi ies:
Table 1. Expec ed oles o he majo ac o s in he quad uple helix
(con ex ualised om he iple helix ole analysis o a quad uple helix; Doh 2012, 126).
Ac o Role (s)
1. The Go e nmen
Connec ing he uni e si y o he local communi ies, designs uni e si y
communi y inno a ion suppo p og ammes
Connec ing he local communi ies and uni e si ies o he indus ies
Funding he connec ions
Facili a ing access o he ma ke s
Coo dina ing and egula ing he in e ac ions be ween he h ee
2. The Uni e si y
Knowledge, skills c ea o and supplie o indus ies and socie y
A physical en i onmen o esea ch and eaching on local inno a ions
T ansmi ing and dissemina ing he knowledge o indus ies
In eg a ing he communi y knowledge in o R&D and science and
echnology
P o iding incen i es o academics o in e ac and coope a e wi h local
communi ies and indus ies
Academics cons an ly seek o ela e o he knowledge and inno a ions
om local communi ies
Academics design he p ojec s, apply o unding and link he inno a ions
o indus y
3. Communi y
(Council)
Wi h local councils o icials coo dina ing s uc u es o local communi y
inno a ions
Connec ing he local communi y o uni e si ies and indus y
Whe e he g ass oo s popula ion is ac i e in p oposing i s knowledge and
inno a ions o uni e si ies
Whe e councils a e capable o linking inno a ions o he global ma ke
Whe e councils subs i u e he go e nmen as he designe and execu o o
na ional inno a ion policies and unde and egula o a he local le el
4. Indus y
Coope a ing wi h uni e si ies
P o iding esou ces o s imula e in e ac ion be ween uni e si ies and he
g ass oo s popula ion
P o iding eedback o uni e si ies
Linking in e ac ions and he p oduc s o local inno a ion o he ma ke ,
socie y and he global knowledge economy

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A quad uple helix amewo k o uni e si y-led communi y inno a ion sys ems in A ica
Theo e ical and Me hodological Pe spec i es on
Highe Educa ion Managemen and T ans o ma ion
A ew obse a ions ough o be made om he abo e ou ac o s o he
quad uple helix. Al hough by deduc i e easoning, CIS can be unde s ood as
he smalle spa ial and local componen o na ional and egional inno a ion
sys ems, du ing he analyses, we ound ha he na ional go e nmen
emains he majo and la ges ac o in designing uni e si y-local communi y
inno a ion ac i i ies, go e ning and egula ing hem. This sugges s ha an
inno a i e en ep eneu ial local communi y should e lec and ansla e he
inno a i e capaci y o a na ion, he NIS and ice e sa. Consequen ly, he e
was no ob ious eason o al e he posi ion o he go e nmen in he hie a chy
o he ou ac o s. In ac , inno a ion p ocesses ha ake place a he local
communi y le el do no necessa ily ope a e in a acuum a he basic special
uni s o he na ion. They could be he esul s o sys em-wide inno a ion
policy, s uc u es, cul u es and incen i es. A second obse a ion d aws on
he ac ha he ole o he uni e si y as a majo ac o and a knowledge,
esea ch and aining ins i u ion does no change as much as in he iple
helix. Wha changes is he impo ance o he inno a i e and en ep eneu ial
academics a he basic uni s o he uni e si y, who a e likely o be in ol ed
in he in o mal p ocesses and con ac s wi h he local communi ies. They
a e also impo an in he iden i ica ion o communi y knowledge and he
de elopmen and ans o ma ion o hese knowledge and echnologies o
economically use ul knowledge. D awn on Doh (2012), he (local) communi y
ac o (s) is unde s ood as comp ising a a ie y o sub-ac o s such as indi iduals
wi h local g ass oo s knowledge, mic o businesses and SMEs, councils, ci ic
o ganisa ions and o he de elopmen agen s in he local communi ies. These
a e communi y-based o ganisa ions and social en ep eneu s ha a e ac i e
in inno a ion as well as in p omo ing local inno a ions and linking hem
o uni e si y ac o s. The e is he need o highligh , wi hin his communi y
pe spec i e, he impo ance o local councils as o mal s uc u es ha could
be cha ged wi h connec ing g ass oo s communi y inno a ions o uni e si ies,
indus ies and e en he ma ke . The obse a ion was ha he ole o he council
was no d ama ically di e en om ha o he go e nmen since local councils
as go e no s and egula o s o local inno a ions could be ca ie s o na ional
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Elias Pekkola & Jussi Ki is ö & Vuokko Koh amäki &
Yuzhuo Cai & Anu Lyy inen (Eds.)
inno a ion policies, especially wi hin mo e decen alised and au onomous
poli ico-geog aphical en i ies.
Local councils can also be s a egic in ou sou cing unding om
go e nmen and indus ies. In ac , he e was also he hough abou
designing he local communi y councils as a sepa a e main ac o , leading o a
quin uple helix, since i could be clea ly dis inguished om communi y-based
indi iduals and o ganisa ions as well as social en ep eneu s ha a e ac i e
in he inno a ion p ocesses. Howe e , he council was e ained as pa o he
local communi y on he g ounds o e e y inno a ion sys em ha ing a de ined
spa ial and geog aphical conno a ion. Al hough he indus y ac o was al e ed
om he iple helix o become he ou h and las ac o , i emains he las
impo an poin o he ac ualisa ion and ma e ialisa ion o economically
use ul knowledge om he communi ies. The indus y is an impo an unde
and p o ide o eedback. I links inal inno a ions and p oduc s o he ma ke .
The p oac i e A ican uni e si y in i s
communi y inno a ion sys em
The en ep eneu ial uni e si y pa hway and i s limi s
In a he o ical ques ion as o which ype o uni e si y is ele an in he
inno a ion sys em, Doh (2012) a i ms an “en ep eneu ial uni e si y” (Cla k
1998; 2004) as emb acing he “ hi d mission” o economic de elopmen
(E zkowi z & Zhou 2008, 629) as he bes ins i u ional amewo k. These
ha e been main ained o he CIS, essen ially because o he same easons.
The en ep eneu ial uni e si y amewo ks implici ly s imula e ex e nal
collabo a ion be ween he uni e si y and i s ex e nal economic de elopmen
en i onmen . The en ep eneu ial uni e si y is, acco ding o E zkowi z and
Zhou (2008, 629), “a means o p omo e economic g ow h”. Economic g ow h
nowadays, especially wi h ega d o de eloping coun ies, equi es g ea e
in e ac ion and collabo a ion om uni e si ies (E zkowi z & Zhou 2008;
E zkowi z e al. 2008; Cla k 1998; 2004). Zhou and Peng (2008, 638) pe cei e
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A quad uple helix amewo k o uni e si y-led communi y inno a ion sys ems in A ica
Theo e ical and Me hodological Pe spec i es on
Highe Educa ion Managemen and T ans o ma ion
he en ep eneu ial uni e si y as he bes ool o indigenous inno a ion because
o i s s onge se ice unc ion and in luence on he economy. Howe e , in wo
o he a icles, Doh (2016a; 2016b) highligh s se e al con ex ual limi a ions
o he en ep eneu ial uni e si y in e ms o de eloping coun ies. These a e
expounded below.
The en ep eneu ial uni e si y amewo k iews en ep eneu ship
me ely as an ins i u ional cha ac e is ic, no aking in o conside a ion ha
en ep eneu ship could be s imula ed om an uppe laye o he uni e si y
and ha en ep eneu ship does exis in mic o uni s (Azele 2008). As a esul
o sys em-wide policy designs and unding, Cla k (1998) does no si ua e he
en ep eneu ial uni e si y wi hin a sys emic amewo k. The en ep eneu ial
uni e si y, e en en ep eneu ship educa ion a he basic uni , could be ela ed
o a pa icula unding scheme o policy designed beyond he basic uni and
beyond he uni e si y, and ice e sa, whe e policies a e designed on he basis o
he en ep eneu ship educa ion p ac ices a he basic uni . Mo eo e , al hough
he en ep eneu ial uni e si y migh ha e iewed pa ne ships and ac i i ies
wi h indus ies as a cha ac e is ic, i ocuses mo e on he ex a second and hi d
s eam income and unding dimension and no on he economic ole as a igge
o he en ep eneu ial uni e si y, as Ezkowi z and Zhou (2008) pos ula e. One
o he undamen al weaknesses o he en ep eneu ial uni e si y amewo k, as
obse ed by Doh (2012), is ha mos o i s ela ed s udies ha e concen a ed on
esea ch and echnological and applied ins i u ions in high income and highly
indus ial en i onmen s. Meanwhile, i s concep ual glasses can be applicable
o uni e si ies o all ypes, om hose wi h an in ensi e esea ch adi ion
o comp ehensi e ones in all con ex s (Gibb, Haskins & Robe son 2009).
Also, i can be obse ed ha en ep eneu ship educa ion s a egies in many
Eu opean uni e si ies ha e been de eloped sepa a ely om he ins i u ional
aspec . Doh (2016a; 2016b) a gues o he necessi y o a mul ile el amewo k
ha connec s he wo dimensions. Las ly, he en ep eneu ial uni e si y
amewo k does no pay su icien a en ion o scien is -led en ep eneu ship.
Uni e si y p o esso s a e e y impo an ac o s in he in o mal ne wo king
ha g an s business o he uni e si y and a e mo e s a egic in he CIS, in he
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Elias Pekkola & Jussi Ki is ö & Vuokko Koh amäki &
Yuzhuo Cai & Anu Lyy inen (Eds.)
de eloping coun ies connec ing he uni e si y o he g ass oo s popula ion
and in local inno a ions.
En ep eneu ial p o esso s in communi y inno a ion
I is impo an o p esen a sepa a e accoun o en ep eneu ial p o esso s
in his subsec ion because he employmen o he en ep eneu ial uni e si y
concep in he case s udy o highe educa ion and po e y educ ion s a egies
(Doh (2012) gene ally showed a weak ins i u ional suppo sys em (e.g.
no disc e iona y unding, poo unde s anding o en ep eneu ship, e c.).
Howe e , despi e he gene ally weak ins i u ional amewo k in esponse o
he en ep eneu ial uni e si y pa hways, some depa men s and p o esso s
con inue o s and conspicuously and all in in e ac ions wi h an e ec i e
uni e si y-led CIS.
A p inciple example o his in e ac ion in he case s udy o Came oon,
which, like mos o A ica, is in he medical, pha maceu ical, chemical and li e
science ields. Responden Numbe 16 (R16) (Doh 2012) o he Uni e si y o
Buea, Came oon (Doh 12), was in ol ed in pha macological alida ion owa ds
d ug disco e y. This en ails mee ing cha la an adi ional doc o s (mos likely
less educa ed) in o de o acqui e knowledge o ce ain medicinal plan s which
he doc o in he g ass oo communi y claims cu e ce ain diseases. R16 ( he
p incipal in es iga o ) hen conduc s scien i ic esea ch in he lab o alida e
whe he he adi ional medicinal plan s ac ually cu e wha he (cha la an)
adi ional doc o s claim ha hey cu e, hen examines p ospec s o d ug
disco e y om he con en s o he plan s. In a well-s uc u ed NIS, which
encompasses a CIS wi h app op ia e incen i es and an inclusi e in ellec ual
p ope y egime, i could be possible o he adi ional doc o o be in eg a ed
as pa o he d ug disco e y. The cycle o he CIS is comple ed once he esul s
o he po en ials o he medicinal plan s a e a i med, wi h pa en s and d ugs
pu on he ma ke , and he cha la an doc o , mos o en om a u al a ea, being
pa o he p oceeds. Responden R12, om he Physics Depa men , de elops
p o o ypes ha can be used o elec i y u al a eas (R12). The esponden
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A quad uple helix amewo k o uni e si y-led communi y inno a ion sys ems in A ica
Theo e ical and Me hodological Pe spec i es on
Highe Educa ion Managemen and T ans o ma ion
belie es ha he mic o hyd oelec ici y and wind u bine gene a ion o
elec ici y can help educe cos and ex end and imp o e he gene a i e capaci y
in Came oon. R18 does esea ch and ad ocacy on gende , women and land
owne ship and belie es ha o women o con ibu e o po e y educ ion,
hey mus own ac o s o p oduc ion in he socie y, one o which is land. The
esponden a gued ha wi hin he cu en dispensa ion, he cus oma y laws
ha e ended o dis a ou women and ha his is a majo handicap o po e y
educ ion s a egies. O he uni e si y depa men s in he case s udy we e seen
o p o ide con inuing educa ion, adul and li elong lea ning o imp o e he
analy ic and inno a i e capaci ies o he g ass oo s popula ion.
D awback o he uni e si y in he inno a ion sys em
The i s challenge—which was obse ed o unde mine he ole o he
uni e si y in mos o he na ional o communi y inno a ion sys ems in mos
A ican coun ies, o example, he case coun y Came oon—is he absence o
a NIS. Mos inno a ion sys ems in A ica, like mos de eloping coun ies, a e
ma ed by weak linkages and low le els o in e ac ion be ween ac o s, elemen s
and ins i u ions. These weaknesses mani es in he o m o lack o unding
and lack o in e nal o in e ace s uc u es o connec he uni e si y o he
socie y and he ma ke . Fo ins ance, he p incipal in es iga o (R16) abo e
(Doh 2012) e ealed ha once he had done he pha macological alida ion
and ob ained he esul s, i became e y di icul , i no impossible, o go om
he e o de elop p oduc s ha could be aken o he ma ke . The esponden
obse ed ha mo e capi al was needed o ca y ou he o mula ion and
egis a ion o he p oduc bu ha he “na ional en i onmen jus igno es”
hem a his poin . This is exempli ied below:
Ou ac i i ies a e handicapped by he ac ha he e is no s uc u e, means
and p ospec s o ake us om scien i ic esul s o p oduc de elopmen . We
could ha e mo e di ec ele ance and impac on po e y wi h p oduc s in he
ma ke s i (1) we s a manu ac u ing he d ugs; (2) i hose d ugs ge o be
used; (3) i you s a wo king wi h a pa icula medicinal plan and you can

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demons a e scien i ically om he lab ha he plan can gene a e income, you
a e di ec ly impac ing on po e y. Mos o en, ou wo k does no go ou o he
labo a o y, “nobody akes us ou o he labo a o y”. (R16)
R12 (Doh 2012), who was p oducing p o o ypes o elec i ica ion o
he communi y, belie ed ha i he uni e si y esea che s ha e he p ope
go e nmen o sys ems (ins i u ional/ inancial) o suppo he coun y,
hen i s ci izens would be able o bene i mo e di ec ly om wha hey we e
doing. Ru al elec i ica ion, o ins ance, is one o he main de elopmen al
challenges o Came oon (R12). The po en ials o d ug disco e y o heal h and
he na ional economy canno be o e -emphasised. Gi en a s ong inno a ion
sys em wi h in e connec edness and linkages, he esul s o elec ici y and
d ug disco e y o he wo esponden s abo e would be aken o e by he
ela ed minis e ial depa men s in Came oon o exploi a ion, sponso ship
and comme cialisa ion and dissemina ion. Responden R12 a gued ha i
he e we e su icien unding and sys emic suppo , hei ac i i ies could be
scaled up o help he na ional elec ici y co po a ion (SONEL) o p oduce
powe plan s o a highe capaci y ins ead o using smalle ones o u al a eas
F om he abo e example, i can be a gued ha he NIS, among o he s,
can enhance he uni e si y’s con ibu ion in he CIS and, hus, po e y. Doh
(2016) no es o he weaknesses a ec ing he uni e si y in he NIS and CIS,
such as he lack o a na ional s a egic plan, insigni ican sys ems cul u e
o esea ch and poo unde s anding by he popula ion and poli icians o
he ac i i ies o uni e si ies. The low R&D po en ial o local i ms and he
coun y a la ge can also a ec he pe o mance o he uni e si y in he CIS.
The absence o key acili a o s o link uni e si ies’ po en ial and esul s o
po en ial use s is a signi ican impedimen . The low deg ee o ne wo king and
weak educa ional and analy ic capaci y o he g ass oo s popula ion a ec
uni e si ies’ in e ac ion and connec ion wi h he local communi y; bo h
academic and g ass oo s communi ies a e likely o “speak di e en languages”
and ha e di e en wo ld iews.
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Conclusion
This chap e has demons a ed and p esen ed elemen s o he aloo ness o
uni e si ies in de eloping coun ies o hei g ass oo communi ies as a huge
limi a ion, bo h in he oles o he uni e si ies and in he economic de elopmen
p ocesses. This aloo ness o he local communi y is a majo weakness o
de eloping coun ies’ uni e si ies, such as hose in A ica, because mo e han
70% o he coun ies’ po en ial and ac i i ies a e in he in o mal sec o . A
signi ican amoun o he iches a e in indigenous and g ass oo s knowledge
and echnology. The chap e has p oposed he impo ance o a uni e si y-led
communi y inno a ion buil on he basis o a quad uple helix amewo k,
composed o a coo dina ed ela ionship be ween he uni e si y, go e nmen ,
local communi y and indus ies. This implies a b oadened inno a ion sys em
o cap u e he u al communi y and a icula e bo h he comme cial and non-
comme cial and social aspec s o inno a ion. Ra he han ocusing mos ly in
e ms o he “ ich” o ms o inno a ions and becoming globally compe i i e,
i is necessa y o see inno a ion om he pe spec i e o being locally adap ed,
embedded and socially inclusi e. Wi hin his quad uple helix app oach,
he uni e si y plays a lead ole in scanning he en i onmen and iden i ying
con e ible economically use ul knowledge in i s g ass oo s communi y. The
uni e si y con e s aci and explici knowledge om he local communi ies
in o inno a ion, hen is passes his on o indus y and p oduc s in he ma ke .
The go e nmen is, abo e all, coo dina ing, unding and linking he o he h ee
ac o s. Local councils become a e y impo an cons i u ed and o ganised
body, which can subs i u e he go e nmen , and ice e sa, as he coo dina o ,
egula o and unde o inno a ion p ocesses. I is impo an o no e ha he
concep ualisa ion inds equally impo an he o mal (es ablished) indus y
as inal end poin s, ele an o b inging he p oduc s o local inno a ion o
ma ke . S udies on o mal policy app oaches and amewo ks ha link he
uni e si y o local communi y inno a ions, especially in A ica will yield e y
in e es ing esul s in e ms o economic de elopmen and po e y educ ion.
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basic esea ch, he signi icance o ansdisciplina y and applied esea ch has
g own. Knowledge is inc easingly p oduced in in e ac ion among he ac o s
ep esen ing di e en disciplines, including ac o s ou side he academic
communi y and in o ganisa ionally di e si ied con ex s aiming a sol ing
opical p oblems o socie y. The quali y and impac o esea ch is also being
e alua ed—in addi ion o being based on academic c i e ia and pee e iew—
on he basis o he social impac o esea ch.
Cla k’s (1998) s udy C ea ing En ep eneu ial Uni e si ies: O ganiza ional
Pa hways o T ans o ma ion analysed en ep eneu ial uni e si ies om he
iewpoin o managemen and o ganisa ion. The nex sec ion o he chap e
ocuses on analysing he en ep eneu ial uni e si y concep om he iewpoin
o Cla k’s s udy. Cla k’s s udy has been chosen because i analyses he
managemen and o ganisa ion o uni e si ies—uni e si ies as en ep eneu ial
o ganisa ions. In addi ion, his s udy has been widely conside ed as a pionee on
en ep eneu ial uni e si ies (Sha ock 2008). I has also had implica ions o
uni e si y de elopmen in Eu ope (Rhoades 2017; Sha ock 2008).
Bu on Cla k’s s udy on en ep eneu ial uni e si ies
C ea ing En ep eneu ial Uni e si ies: O ganiza ional Pa hways o
T ans o ma ion ocused on Eu opean uni e si ies1 which we e in en ionally
aimed a becoming mo e en ep eneu ial (Cla k 1998). By means o i e case
s udies, Cla k iden i ied how uni e si ies had changed hei o ganisa ion and
p ac ices o become mo e en ep eneu ial. He was especially in e es ed in
whe he he e we e common pa hways o ans o ma ion.
Cla k emphasised en ep eneu ship as a cha ac e is ic o he social sys em,
he highe educa ion ins i u ion and i s uni s, a he han as a cha ac e is ic
o an indi idual academic, which had been he adi ional concep ion o
en ep eneu ship. Acco dingly, he saw collec i e en ep eneu ial ac ion and
ini ia i es as he co e impulse o ans o ma ion (Cla k 1998; Sha ock 2010).
1 Uni e si y o Wa wick, Uni e si y o Twen e, Uni e si y o S a hclyde, Uni e si y o
Chalme s and Uni e si y o Joensuu.

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Second, Cla k no ed ha he did no see en ep eneu ialism as ha d business-
o ien ed and p o i -seeking ac i i y, bu ins ead, he de ined an en ep eneu ial
uni e si y as an ins i u ion ha ac i ely and wil ully builds i s o ganisa ion,
seeks a special o ganisa ional iden i y, inno a es and akes isks in e ms o
how i ca ies ou i s ac i i ies. Thus, his concep ion o he en ep eneu ial
uni e si y was akin o ha o being inno a i e. Cla k did no see academic
and collegial alues as subo dina e o manage ial alues, bu he emphasised
ha an essen ial aspec is o seek balance be ween collegial and manage ial
alues and goals.
Cla k’s app oach was induc i e, p oceeding om p ac ice o heo y. As a
esul o he case s udies, which we e based on in e iews, obse a ions and
analyses o documen a y da a, he summa ised i e o ganisa ional elemen s ha
he saw as impo an in ans o ming uni e si ies owa ds mo e en ep eneu ial
ways o ac ion. These elemen s a e he s eng hened s ee ing co e, he expanded
de elopmen al pe iphe y, he di e si ied unding base, he s imula ed academic
hea land and he in eg a ed en ep eneu ial cul u e (Cla k 1998).
The s eng hened s ee ing co e is essen ial because uni e si ies con inuously
encoun e p essu es o become quicke , mo e lexible and esponsi e in hei
eac ions. Acco ding o Cla k (1998), he s eng hened s ee ing co e e e s o an
HEI’s e o s o s eng hen and sys ema ise i s manage ial capaci ies. Al hough
he s eng hened s ee ing co e may assume di e en o ms, i should include
bo h cen al manage ial and academic g oups in o de o econcile manage ial
and adi ional academic alues. Mo eo e , i is adminis a i ely s ong a all
le els o o ganisa ion (Cla k 1998; 2004).
The en ep eneu ial uni e si y also ac i ely c osses he adi ional
bounda ies o he o ganisa ion o c ea e linkages and collabo a ion wi h
ex e nal s akeholde s. The aim o his bounda y-spanning is, o example,
o media e be ween academic depa men s and he ex e nal en i onmen
o p omo e new compe encies, acqui e in o ma ion o gene a e income.
Bounda y-spanning ypically akes he o ms o adminis a i e o ices, new
academic uni s and p og ammes, in e disciplina y esea ch cen es, eaching
ou each, which asks can include, e.g. supply o eaching and esea ch se ices,
knowledge and echnology ans e , uni e si y-indus y collabo a ion,
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und aising and alumni ela ions. Cla k (1994; 2004) calls his he expanded
de elopmen al pe iphe y.
When he go e nmen ’s co e unding dec eases, di e si ying unding base
becomes impo an in enhancing he sel - egula i e capaci ies o HEIs and
c ea ing oppo uni ies o new ini ia i es. Cla k di ides his in o second and
hi d s eam unding sou ces. Second s eam unding sou ces e e o unding
om go e nmen al esea ch councils (compe i i e esea ch unding), while
hi d s eam unding means all o he go e nmen al unding sou ces, p i a e
o ganised sou ces as well as uni e si y-gene a ed income, such as endowmen s,
alumni und aising and ui ion ees. Acco ding o Cla k, hi d s eam unding
sou ces ep esen eal inancial di e si ica ion (Cla k 1998; 2004).
To ini ia e change, he ul ima e ques ion is how he academic uni s
esponsible o eaching and esea ch and o med a ound disciplines o ields
o educa ion a e o ien ed o change. Academic hea lands a e places whe e
academic alues a e mos s ongly oo ed and whe e change o en occu s las .
Change equi es new o ms o knowledge p oduc ion (applied esea ch and
de elopmen wo k) and di e si ica ion o unding sou ces o mee new social
demands (Cla k 1998; 2004).
As he in eg a i e concep , Cla k uses he in eg a ed en ep eneu ial
cul u e, meaning ha en ep eneu ial uni e si ies also de elop a wo k cul u e
ha emb aces and is o ien ed o change. T ans o ma ion can s a om an
idea o a se o belie s, which can la e become uni e si y-wide cul u e (Cla k
1998).
In his la e publica ion, Sus aining Change in Uni e si ies: Con inui ies in
Case S udies and Concep s, Cla k (2004) expanded he case s udies o coun ies
and uni e si ies in A ica, La in Ame ica, Aus alia and No h Ame ica and
u he de ined he ans o ma ion elemen s. The ocus o he s udy was o
analyse how elemen s o ans o ma ion become elemen s o sus ainabili y.
Cla k summa ised he dynamics o sus ainabili y in h ee p inciples.
Acco ding o him, o ganisa ional ans o ma ion elemen s become elemen s
o sus ainabili y when hey combine in o a basic o ganisa ional cha ac e .
Second, he uni e si y keeps in mo ion by means o inc emen al, expe imen al
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and g adual adjus men o changing demands and oppo uni ies. Thi d,
ambi ious collegial will is essen ial o sus aining change. Cla k’s conclusion
was ha he capaci y o ca y on changing is essen ial o he en ep eneu ial
uni e si y (Cla k 2004, 90–93).
Discussion and conclusion
This sub-chap e discusses and sums up how he concep and ans o ma ion
elemen s o he en ep eneu ial uni e si y (Cla k 1998) illus a e he
o ganisa ional ans o ma ion o Eu opean uni e si ies, wha kinds o
challenges and possibili ies exis in applying he en ep eneu ial uni e si y
concep and i s ans o ma ion elemen s o he uni e si y con ex .
I is impo an o no e ha he idea and concep o an en ep eneu ial
uni e si y o igina ed om he Uni ed S a es, whe e he ole o ma ke s has
adi ionally been s ong, he con ol o he s a e o e uni e si ies low and
whe e uni e si ies a e mo e au onomous, which ha e, o hei pa , o ced
uni e si ies o become mo e en ep eneu ial and esponsi e o he socio-
economic en i onmen (Ben-Da id 1968; Mowe y & Sampa 2005). The
eme gence o en ep eneu ial uni e si ies in he Uni ed S a es has also been a
bo om-up phenomenon (E zkowi z 2003). Con e sely, Eu opean uni e si ies
ha e a long adi ion as public o ganisa ions; hey ha e a public mission o
o e se ices ha p oduce bene i s o he wide socie y (Jongbloed, Ende s &
Sale no 2008), alues which a e opposi e o hose o business en e p ises, e.g.
p o i maximisa ion, comme cialisa ion and he adop ion o ma ke p inciples
(e.g. Sha ock 2010). The ole o he s a e has also been s ong in s ee ing
Eu opean uni e si ies, and uni e si ies ha e been dependen on s a e unding.
Mo eo e , Eu ope did no ha e he same en ep eneu ial cul u al adi ions as
hose o he Uni ed S a es (Jongbloed e al. 2008).
Howe e , Cla k’s book was published as he si ua ion was g adually
s a ing o change: he di ec egula i e ole o he s a e was diminishing, and
he au onomy o uni e si ies was inc easing (Jongbloed e al. 2008; Sha ock
2010). This changing ela ionship be ween he s a e and HEIs also di ec ed he
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ocus o a en ion o he ques ion o how uni e si ies as o ganisa ions espond
o he new challenges (Rhoades 2017). Acco ding o Sha ock (2010), Cla k’s
book has had an impac , especially on he way in which EU and Eu opean
uni e si ies ponde he app op ia e balance be ween ins i u ional au onomy
and s a e con ol: he Eu opean Commission quickly adop ed he ideas o
he en ep eneu ial uni e si y in i s policy documen s (e.g. CEC 2003; CEC
2005; CEC 2006). Simila ly, he O ganisa ion o Economic Co-ope a ion
and De elopmen (OECD) de o ed one con e ence o Cla k’s book in 2000
(Rhoades 2017). The ea e , Cla k’s ideas ha e been applied in se e al ways,
no leas as a e e ence poin in highe educa ion e o ms and change (Rhoades
2017).
Du ing ecen decades, se e al Eu opean coun ies ha e e o med hei
highe educa ion sys ems in a way ha emphasises en ep eneu ial ways
o ac ion. Acco ding o Mo a and Viei a (2009), he main change ends in
uni e si y go e nance in Eu opean coun ies include inc eased ins i u ional
au onomy and diminished s a e egula ion, he consequences o which ha e
been, e.g. s eng hened uni e si y leade ship, g ea e accoun abili y and mo e
de ailed quali y assu ance p ocedu es. A he same ime, he ole o ma ke s
and co-ope a ion wi h di e en s akeholde s has g own. Uni e si ies ha e
widely inco po a ed a hi d mission alongside hei eaching and esea ch
asks, and hese uni e si y-socie y linkages a e o a mo e ins i u ional na u e
(Geuna & Muscio 2009). I can be said ha he cu en unding ins umen s,
such as s a egic esea ch p og ammes and go e nmen analysis, assessmen
and esea ch ac i i ies in he Finnish con ex , also s imula e academics o
conduc applied esea ch and pay a en ion o he social impac o esea ch.
All o hese change ends sha e commonali ies wi h Cla k’s o ganisa ional
ans o ma ion dimensions.
Cla k’s book gained a subs an ial amoun o a en ion when i was
published, and i has become a wo ld enown and widely ci ed publica ion,
which has also s imula ed u he s udies by highe educa ion esea che s.
Resea che s ha e applied he en ep eneu ial uni e si y concep o desc ibe
he di e en o ms o ans o ma ion in he highe educa ion sec o (Rhoades
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Highe Educa ion Managemen and T ans o ma ion
2017). O ganisa ional ans o ma ion elemen s o he en ep eneu ial
uni e si y ha e been applied and u he de eloped o s udying and e alua ing
en ep eneu ship and he en ep eneu ial ans o ma ion o uni e si ies and
uni e si ies o applied sciences in di e en coun ies (e.g. Sha ock 2009;
Gje ding e al. 2006; Ma ginson & Considine 2000; Lyy inen 2011).
Cla k’s o ganisa ional ans o ma ion elemen s o he en ep eneu ial
uni e si y can be c i icised o being desc ip i e and o e ly simpli ied, ha ing
been de i ed om induc i e analyses o a ew cases. They also lack concep ual
p o undi y and in eg a ion o heo e ical adi ions. Howe e , Cla k’s main
con ibu ion is no heo e ical, bu p ac ical. The s eng h o he book is ha
i has awakened discussion on uni e si y de elopmen a he Eu opean le el
and has impac ed he policy and p ac ices o HEIs (see also Sha ock 2010).
Ano he special con ibu ion o Cla k’s app oach was ha he did no de ine
and analyse he en ep eneu ial uni e si y only om economic iewpoin s, bu
also om academic s andpoin s, aking di e en dimensions o he uni e si y
o ganisa ion in o conside a ion, and by emphasising balance be ween
manage ial and academic alues and goals, which i Eu opean uni e si ies
well. Second, Cla k’s new con ibu ion was also he o ganisa ional iewpoin :
he analysed en ep eneu ialism as a cha ac e is ic o he o ganisa ion and social
sys em a he han as a cha ac e is ic o an indi idual academic o discipline
(Sha ock 2010).
I can be said ha Cla k’s idea o he en ep eneu ial uni e si y is s ill
opical in Eu ope, al hough he book was published 20 yea s ago. Rhoades
(2017) has e en a gued ha he impac o Cla k’s book has been s onge in
Eu ope han in he Uni ed S a es. Acco ding o Sha ock (2010), Cla k’s book
has u he legi imised he concep o he en ep eneu ial in he uni e si y
con ex (Sha ock 2010). Howe e , al hough he ans o ma ion elemen s
do p esen challenges, which ha e been aced by Eu opean uni e si ies in
one way o ano he , and desc ibe well some o he main de elopmen ends
in uni e si y go e nance, hey canno be s aigh o wa dly and unc i ically
ans e ed o di e en coun y con ex s and HEIs. Ins ead, each coun y is
o ind en ep eneu ial ways o ac ion ha a e app op ia e o i s HEI sys em
and socie y.

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Yuzhuo Cai & Anu Lyy inen (Eds.)
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III
Schola ly T adi ions Applied o
Unde s and Uni e si ies and Academic Wo k
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Elias Pekkola & Jussi Ki is ö & Vuokko Koh amäki &
Yuzhuo Cai & Anu Lyy inen (Eds.)
(ju isdic ions) a e gained and main ained in e e -changing en i onmen s
( echnological, social and cul u al) and ha di e en p o essional g oups ha e
he au ho i y and legi imacy o p o ide solu ions o he same social p oblems
ac oss di e en ime pe iods. He de ines alcoholism (and he p o ession
p o iding ea men o i ) as changing om sin (p ies ) o c iminal ac i i y
(lawye ), social p oblem (social wo ke ) and, inally, illness (medical doc o ).
He u he a gues ha he e a e no p ede ined a eas o knowledge and
p o essions and ha hey a e dynamic and in e ela ed.
Ma ke s and o ganisa ions a e becoming inc easingly impo an in he
con ex o changing p o essions (B in 1994). P o essions a e “bo h a ype o
o ganiza ion and a ype o s a us ca ego y” (B in 1994, 23), and his aspec
leads o emphases on he his o ical pe spec i e; social o ganisa ion and s a us
ca ego y bo h change and de elop by na u e. E e s (2009; 2011) desc ibes how
changes in p o essionalism ha e been in luenced by new public managemen :
om occupa ional p o essionalism ha emphasises, o ins ance, collegial
au ho i y, us and au onomy o o ganisa ional p o essionalism ha ocuses
on, o example, a ional-legal o ms o au ho i y, hie a chical s uc u es and
manage ialism. Howe e , and in e es ingly, when o ganisa ional p inciples,
s a egies and me hods a ec occupa ional iden i ies, s uc u es and p ac ices,
he ques ions ha e o do wi h which aspec s change and which ones emain o
be cons uc ed and con olled by p o essionals.
Thus, he ou h s ep in esea ch can be called he o ganisa ional o
manage ial s udy o p o essions. Recen e iews o he sociological li e a u e
(Adams 2015; B ock & Saks 2015; Saks 2016) e eal ha esea ch a en ion
has shi ed o he a ious challenges aced by p o essional g oups wi hin
o ganisa ions. This is a dominan end in bo h he sociology and managemen
li e a u e on he heo e ical pe spec i es o neo-Webe ianism and neo-
ins i u ionalism (B ock & Saks 2015). Classical heo is s de ined ensions
be ween p o essions, and hei employe o ganisa ion (F eidson 2001),
consequen ly e ol ing wi h neo-libe al and manage ial endencies. Fu he , a
blu ing o bounda ies be ween p o essions and o ganisa ions and he g ow h
o p o essional–manage ial hyb ids ha e been acknowledged. Hyb idism

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Highe Educa ion Managemen and T ans o ma ion
has been inc easingly used o o e come he no ion o p o essionalism and
manage ialism as opposi e dimensions o dis inc ins i u ional logics (Be o
& Suddaby 2016; Ca alho 2014; Ca alho & San iago 2015a; Noo deg aa
2015; Noo deg aa e al. 2015; Olaki i & Niska 2017). Simul aneous changes
in how knowledge is p oduced and dissemina ed, along wi h highe educa ion
ins i u ions losing hei monopoly, ques ion he ele ance o scien i ic
knowledge and c eden ialism in sus aining p o essional p ojec s (Ca alho &
San iago 2016a).
Schola s and p ac i ione s ha e been conce ned abou he dis ega d o
p o essional p inciples by he sp ead o manage ial in luences. Howe e ,
deba es ha e mo ed beyond con on a ion be ween he wo p inciples o
p o essionalism and manage ialism o building mo e consensus-based ideas
ega ding how bo h p inciples could bene i each o he in daily p ac ices
(Noo deg aa 2015). This new ype o p o essionalism is a hyb id o p o essional
and manage ial p inciples. Acco ding o Noo deg aa (2015, 6, 12), hyb id
p o essionalism is abou p o essionals ea ing cases wi hin a well-managed
o ganisa ional con ex ; i is “meaning ully managed p o essional wo k”.
Noo deg aa also desc ibes he “beyond hyb idi y” model, which desc ibes
si ua ions in which p o essionals conside o ganising o be an impo an
ask, ha is, p o essionals deal wi h con adic ions be ween p o essional
and manage ial p inciples, whe ein o ganising becomes pa o he job
(Noo deg aa 2015).
The e ha e been wo key de elopmen s in he hyb idisa ion o o ganisa ions.
Fi s , inc eased de elopmen in in e -o ganisa ional in e ac ions has esul ed
in hyb id con ac ing a angemen s be ween di e en o ganisa ions. Such
a angemen s equi e new ways o assessing isk and accoun abili y, which
aises he need o manage ial skills o deal wi h assessing such isks and new
accoun abili y s uc u es (Mille & Ku unmäki 2008). The second de elopmen
can be obse ed be ween public and p i a e o ganisa ions: he mixing o
public policy goals and p o i mo i es wi hin public–p i a e pa ne ships
and s a e-owned o ganisa ions as well as p i a isa ion, commissioning and
con ac ing ou a angemen s, signi ied as pa o he new public managemen
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Elias Pekkola & Jussi Ki is ö & Vuokko Koh amäki &
Yuzhuo Cai & Anu Lyy inen (Eds.)
(NPM) doc ine, ha demand inc eased awa eness o business managemen
p ac ices among p o essional anks (Johanson & Vakku i 2017). In ce ain
cases, s ong p o essions ha e shown willingness o inco po a e manage ial
knowledge in o hei p o essional p ac ices, such as medical doc o s in Finland
compa ed o hei coun e pa s in he Uni ed Kingdom (Ku unmäki e al.
2008). Theo e ically, he e o e, de elopmen s in hyb idisa ion migh e ode he
o ganisa ional con ol o p o essionals (see Noo deg aa 2007).
A undamen al change wi hin he con ines o a single o ganisa ion has been
he adap a ion o eam-based o ganisa ions comp ising mul i-p o essional
wo kg oups ha combine he expe ise o nume ous occupa ional g oups.
Toge he wi h o he de elopmen s in lexible specialisa ion and a dec ease in
he le els o hie a chy, new o ganisa ional o ms wo k agains occupa ional
seg ega ion be ween p o essional g oups. Consequen ly, eam-based
o ganisa ion no only emphasises equali y be ween ypes o expe ise wi hin
he wo k g oup, bu also dec eases he possibili ies o eso ing o collegial
decision-making wi hin a single p o essional g oup (Janhonen & Johanson
2011). O e s a ing he in luence o new o ganisa ional p ac ices on he con ol
o p o essional wo k is unnecessa y, as p o essional s a us is p o ec ed by ex a-
o ganisa ional gua an ees in educa ional equi emen s ha a e s ipula ed in
legisla ion and p o ec ed by he p o essional g oup i sel . The undamen al
change b ough abou by he new o ganisa ional o de is ha p o essional
g oups a e less able o insula e hemsel es om in e ac ions wi h, and he
in luence o , o he occupa ional g oups ha do no allow p o essional closu e.
I is p ema u e o de ine he cu en school o hough in he sociology o
p o essions. Howe e , he e ha e been a leas wo a emp s o de ine ecen
esea ch. Some esea che s a gue ha Wes e n socie ies ha e aced so many
undamen al changes ha he concep o p o ession is hollowing ou , o
which changes in he labou and educa ional s uc u es in Wes e n socie ies
a e mainly esponsible. In many Wes e n socie ies, highe educa ion has been
massi ied o se e al decades, becoming a uni e sal phenomenon. I also
means ha poo ly paid jobs ha e become knowledge in ensi e. Cu en ly,
he e a e se e al “p eca ious” occupa ions ha a e independen o ime o
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Highe Educa ion Managemen and T ans o ma ion
space, o en equi ing a highly skilled wo k o ce and indi idual commi men ,
and ha ha e become pa o he iden i y o wo ke s. The old p o essions
a e becoming mo e middle-class and emale domina ed and losing hei
adi ional ounda ions, ha has been based on eli e and male domina ion.
Some p o essional occupa ions a e s ill mo e eli e han o he s, bu hei powe
is de ined hough me hods ha a e di e en om hose adop ed by adi ional
p o essionals. Con e sely, o simila easons, some esea che s sugges ha he
s udy o p o essions has made a ull loop and ha esea che s a e beginning o
ques ion wha p o essionals a e and how hey can be dis inguished om o he
g oups. Table 1 summa ises he de elopmen o he sociology o p o essions
and i s implica ions o esea ch.
Table 1. De elopmen o esea ch in o p o essions
Phase Resea ch objec i e Ques ions Phenomena
Func ional
1940–1960
Socie al unc ions o
p o essions
T ai s o p o essions
Wha is a p o ession?
How a e p o essions
de ined?
Al uis missions
In e ac ional
1960–1980
Powe o p o essions
P o essions and he
objec i e o wo k
Wha do p o essions do in
ela ion o o he g oups?
How do hey use powe ?
Rela ion be ween
p o essions and clien s
Sys emic
1980–1990
Sys em o p o essions
P o essionalisa ion
How do p o essions
in e ac ?
How do p o essions
e ol e, de elop and
main ain?
Rela ions and dema ca ion
o p o essions
O ganisa ional
1990–2010
P o essionals managed
in e nally and by
o ganisa ions
Changing occupa ional
p o essionalism,
o ganisa ional
p o essionalism, hyb id
p o essionalism
How do manage ial
p inciples change
occupa ional
p o essionalism?
How can p o essionals
be well managed inside
o ganisa ions?
Rela ionship and ensions
be ween occupa ional
and manage ial p inciples,
alues and p ac ices
P o essionals wo king in
o ganisa ions.
2010– o da e
Fundamen al changes in Wes e n socie ies, p oduc ion and he ole o knowledge;
manage ialism causing he hollowing ou o p o essionalism
P o essions–o ganisa ions ela ions, beyond hyb idi y
Closing he ci cle and going back o basics
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Elias Pekkola & Jussi Ki is ö & Vuokko Koh amäki &
Yuzhuo Cai & Anu Lyy inen (Eds.)
O he concep ual dimensions and de ini ions
The ch onological ypology o heo y de elopmen is a one-dimensional
app oach o he sociology o p o essions. The e a e o he impo an dimensions
ha one should be awa e o when eading he li e a u e on p o essions. These
include con ex ual (geog aphical o cul u al), his o ical (ch onological) and
concep ual (subs an i e) dimensions.
Con ex ual dimension
As is well known, con ex ma e s in he s udy o go e nance, powe , wo k and
socie ies. In he s udy o public adminis a ion, he mos impo an con ex ual
dicho omy can be made be ween con inen al and Anglo-Ame ican socie ies
and adminis a i e (legal) cul u e and adi ions. In his adi ion, e en
basic e ms such as he s a e, public, policy and law a e a iously unde s ood.
While eading and applying he li e a u e, hese di e ences mus be ca e ully
conside ed, and his holds ue o he s udy o p o essions.
In Anglo-Ame ican (mains eam) s udies on p o essions, he assump ion
o a s ong ci il socie y is c ucial. The ole o p o essions in Anglo-Ame ican
socie ies is o en conside ed a coun e balancing o ce be ween he s a e and
ci izens ac ing in he ma ke s. P o essions a e conside ed ac o s who de ine
hemsel es and hei wo king en i onmen . In he con inen al adi ion,
p o essions a e o en s ic ly connec ed o he s a e and p o essionals, who
a e o en ci il se an s. He e, p o ession is o en de ined in he con ex o he
public sec o . As Be ilsson (1990) explains, he ole o ma ke s di e s be ween
hese wo adi ions:
In he one (libe al) case, we speak o p o essions egula ing he ma ke s
and, in u n, being egula ed by he ma ke s; and in he o he (wel a e) case,
[we] speak o p o essions egula ing he law and in u n, being egula ed by he
law. In he i s case, an impo an de ice o alloca e social goods is by means
o he supply and demand by ma ke s and in he o he case, by means o law.
One could speak o hese wo mechanisms as mone iza ion and ju idi ica ion,
espec i ely.
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In he pas ew decades, we ha e been able o obse e he con e gence
o poli ical sys ems and he hegemony o ce ain (OECD-led) neolibe al
policies. Howe e , he NPM c i ique o en o e s a a he simplis ic pic u e
o he esemblance o he challenges, p oblems and endencies acing public
adminis a ions in di e en coun ies. The a ia ion in adminis a i e
cul u es emains wide, and he di e ences a e signi ican . Ne e heless, in he
global endencies o de eloping p o essional se ices, he di e ences a e s ill
deeply oo ed in he cul u e and p ac ices o he p o essions. Thus, he Anglo–
Ame ican li e a u e canno be applied di ec ly o he con inen al eali y.
His o ical dimension
P o essions can be app oached om his o ical pe spec i es, as p ac iced by
many schola s as hey sough o de i e hei own ypologies o p o essions.
Ellio p obably p o ided he mos amous app oach in he 1970s. Acco ding
o Ellio , p o essions can be di ided in o h ee dis inc i e g oups. The i s
g oup is he so-called “s a us” o “ adi ional p o essions” ha a e linked
di ec ly o socie al powe (e.g. p ies s and o ice s and, mo e ecen ly, lawye s
and medical doc o s). This g oup o p o essions has e ol ed as a p ocess o
ans o ming eudal es a es unde he con ol o a cen al powe , wi h help
om uni e si y educa ion. The second g oup o “new” p o essions a e he so-
called “occupa ional p o essions” ha ha e eme ged o mee socie al needs,
such as social wo ke s and accoun an s. The hi d g oup a e educa ional
p o essions ha a e pa o he occupa ional sys em and, a he same ime,
an in eg al pa o he educa ional sys em which lays he ounda ion o he
occupa ional sys em (e.g. p o esso s and eache s).
B an e (2010) u he de eloped his his o ical analysis o p o essions.
Acco dingly, p o essions can be classi ied in o six g oups on he basis o he
con ex o s a e and go e nance de elopmen . His ypology is desc ibed in
Table 2, which shows ha while he s a e is de eloping, i needs new ypes
o p o essions o implemen i s policies and o con ol new a eas o eali y. I
also p o ides an oppo uni y o conside he de elopmen o he academic

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p o ession alongside his mo e gene ic de elopmen , as well as he ole o
uni e si ies in he p o essional game and in go e nmen .
Table 2. De elopmen o p o essions
(adap ed om B an e 2010)
P agma ic
o ganisa ion
P o essional
p o o ype
Essence (command
o …)
Na ion s a e (1550 →) S a e bu eauc acy,
a my
S a e se an (e.g.
mili a y and ci il)
Social o de and
cul u al iden i y
Aes he ic s a e (1750→) Cul u al ins i u ions A chi ec , a is Symbolic exp essions
Indus ial s a e (1850
→)
Fac o y Enginee Non-social
en i onmen
Wel a e s a e (1935 →) People-p ocessing
(se ice) o ganisa ions
Physician, eache No mali y (social
en i onmen )
Neolibe al s a e
(1985→)
S ock ma ke o p i a e
company
Consul an In es men s
In e na ional s a e o
sup ana ional (1990 →)
Sup ana ional
o ganisa ion
Sup ana ional se an Social o de and
cul u al iden i y
Concep ual dimension
In he s udy o p o essions, wo concep s a e o u mos impo ance:
p o essionalism and p o essionalisa ion (E e s 2013). The s udy o
p o essionalism add esses p o essionals’ alues, no ms, discou ses and
iden i ies. The s udy o p o essionalisa ion examines he socie al ole o
p o essions. Resea ch on p o essionalisa ion has h ee dimensions:
1) Powe ela ions be ween p o essionals and clien s
2) Rela ionships be ween p o essions and o he occupa ional g oups
3) Rela ionships be ween p o essions, go e nmen and o he socie al
g oups.
The academic p o ession as a p o ession
The s udy o he academic p o ession has been bo h a ached o and disconnec ed
om ha o p o essions. The e a e wo main app oaches o desc ibing he
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Theo e ical and Me hodological Pe spec i es on
Highe Educa ion Managemen and T ans o ma ion
de elopmen o he s udy o he academic p o ession. Fi s , we app oach i om
he iewpoin o he li e a u e on he sociology o p o essions, and second, we
desc ibe he applica ions o he sociology o p o essions and ela ed s udies on
he academic p o ession in he con ex o highe educa ion (highe educa ion
s udies). We will i s p o ide a b ie o e iew o he li e a u e on he academic
p o ession in he sociology o p o essions. Nex , and mo e impo an ly, we will
desc ibe he s udy o he academic p o ession on he basis o he adi ion o
highe educa ion s udies.
The academic p o ession is conside ed a “basic” p o ession alongside s a us
and adi ional p o essions. I is conside ed a componen o educa ional
p o essions because i s membe s a e pa o he educa ional sys em. Howe e ,
p o esso s di e om school eache s because hey also educa e eache s and
conduc esea ch. Fu he mo e, d awing on he Humbold ian adi ion,
academics a e expec ed o pe o m he dual ole o p oduce s ( esea che s) and
dissemina o s ( eache s) o knowledge. I appea s ha he classical heo ies in
he sociology o p o essions end o ocus mo e on he i s ole, which can
be a ibu ed o he ele ance o science and scien i ic knowledge o mode n
socie ies.
I espec i e o he consensus ha he academic p o ession (p o esso s) is a
p o ession, he e a e wo main easons ha he s udy o he academic p o ession,
especially i s heo e ical de elopmen , emains unde de eloped (Pekkola
2014). Fi s , he basic p oblem is ha classical ex s a e o en empi ically
in e es ed in o he p o essions such as ha o medical doc o s. This c ea es a
si ua ion in which he academic p o ession has a di e en ia ed ole, ha is, i is
desc ibed as a suppo ing p o ession ha connec s p o essionals o he sys em
o knowledge. In p ac ice, his means ha mos es ablished p o essions w i e s
ecognise he academic p o ession bu do no s udy i . Goode (1969) o e s one
o he bes illus a ions o he opic: “P ecisely because o he emp a ion o
analyse he academics in leng h is s ong, I shall s i le and simply loca e he
p oblem” (p. 306).
Second is he lack o c i ical s udies on he academic p o ession. In ac ,
p o esso s hemsel es a e unwilling o c i icise hei own p o ession and a e
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expec ed o con ol scien i ic knowledge. This possibly explain why li e a u e
use s o coe ci e and degene a ing powe in he academic wo ld a e gene ally
manage s, poli icians and ma ke s and no p o esso s. Gi en hese limi a ions
in heo y de elopmen , he s udy o he academic p o ession emains a iously
unins i u ionalised.
The e a e a leas h ee app oaches o he s udy o he academic p o ession
in he con ex o highe educa ion s udies. The i s and mos na ow way o
delimi ing he s udy o he academic p o ession is o ocus on s udies published
in o ums o highe educa ion s udies, which explici ly e e o he heo y o
p o essions. This would en ail only a mino di e ence (publica ion ou le )
be ween s udies on he academic p o ession in highe educa ion s udies and
he adi ion o he sociology o p o essions. The second and b oade me hod
o de ining he s udy o he academic p o ession is o conside all s udies ha
explici ly de ine p o ession, p o essionalisa ion o p o essionalism as hei
s udy objec , ega dless o he heo e ical unde pinnings. The hi d, uni e sal
app oach is o include all s udies on academics, academic wo k and ca ee and
di ision o academic labou unde he umb ella o academic p o ession (see
Table 3).
Table 3. App oaches o he s udy o he academic p o ession
App oach Type o s udies
Sociology o p o essions Academics as objec o he s udy o p o essions
Na ow Theo y o p o essions applied o he ield o highe educa ion
s udies
B oad Themes o he sociology o p o essions s udied using concep s
o highe educa ion s udies
Uni e sal Academic p o ession as an objec o s udy o highe educa ion
Howe e , none o hese de ini ions is es ablished o commonly used. Thus,
when eading he highe educa ion li e a u e on he academic p o ession, one
can expec o encoun e e e y hing om he se ious sociology o p o essions
(in i s mul iple a ia ions and ich adi ions) o desc ip i e s udies on he
well-being o a i ude o uni e si y eache s and esea che s. Un o una ely,
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he la e is mo e o en he case. In he nex sec ion, we will adop he b oad,
hough no uni e sal, app oach o desc ibe he s udy o he academic p o ession
in he ield o highe educa ion. We begin wi h basic ques ions on di e en
heo y adi ions (see Table 4).
Table 4. De elopmen o esea ch in o he academic p o ession
T adi ion Ques ions o highe educa ion esea che s
Func ional Wha is he academic p o ession?
How can he academic p o ession be de ined?
In e ac ional
Wha is he ole o he academic p o ession o clien s and ‘lowe ’
p o essional g oups?
How does he academic p o ession use powe ?
Sys emic How does he academic p o ession in e ac ?
How has he academic p o ession e ol ed, de eloped and main ained?
O ganisa ional
Is he academic p o ession losing i s occupa ional alues and becoming
mo e o ganisa ional?
How is he academic p o ession balancing be ween i s occupa ional and
o ganisa ional alues and demands?
Is he academic p o ession becoming mo e o ganisa ional, and wha a e
he o he occupa ional alues?
Founda ional
As p e iously men ioned, he ques ion ela ing o he academic p o ession is a
icky one. The academic p o ession is closely connec ed o o he p o essions
(and some imes, i is almos impossible o sepa a e). I has a disin eg a ed
knowledge base (disciplina y agmen a ion), and i is ca ee - ice agmen ed
(p o esso s/o he s) and mission- ice agmen ed ( eache / esea che ). Cla k
(1987a) desc ibed his basic p oblem well in a classic ex o he s udy o he
academic p o ession(s). His book on he academic p o ession in he Uni ed
S a es, Small Wo lds—Di e en Wo lds concludes wi h he slogan “ he one
and he many”, which sugges s a possibili y o he common in he agmen ed
wo ld o academicians. Beche (1987b), he o he ounding a he o highe
educa ion s udies, desc ibes he same challenge using he ollowing me apho :
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Yuzhuo Cai & Anu Lyy inen (Eds.)
Because o i s dual ole, he academic p o ession has been pa o
he de elopmen o he s a e and o he p o essions, while con inuing o
independen ly de elop and expand. In ac , i has se ed as an impo an
ins umen o he s a e o con ol he con en and legi imisa ion o he
knowledge needed o build he s a e, economy and socie y. The g oup has been
con olling deg ees, which play a key ole in he eceip o socie al posi ions
o powe . Table 5 desc ibes he de elopmen o he academic p o ession and
uni e si ies in he con ex o s a e de elopmen .
Table 5. De elopmen o he academic p o ession
(adap ed om B an e 2010)
De elopmen o uni e si ies Role o academic p o ession
P e-s a e (1100→) Es ablishmen o s uden -
and p o esso - un
uni e si ies
Educa ing es a es,
ans e ing socie al powe
om es a es o s a e and
knowledge om chu ch o
s a e
Na ion s a e (1550 →) Es ablishmen o na ional
uni e si ies
Aes he ic s a e (1750→) Es ablishmen o a schools Socialising na ional symbols,
con olling iden i y
Indus ial s a e (1850 →) Es ablishmen o echnical
ins i u ions and business
schools
Educa ing na ional
indus ialis s, building
na ional weal h
Wel a e s a e (1935 →) Mush ooming o social
science-o ien ed ins i u ions
Educa ing wel a e
p o essionals and planne s,
c ea ing s anda d suppo ing
p oduc i i y
Neolibe al s a e (1985→) New ole o uni e si ies
( hi d mission)
Educa ing all, building
na ional compe i i eness
In e na ional s a e o
sup ana ional (1990 →)
Es ablishmen o Eu opean
uni e si ies, chai s and
cen es
Educa ing he Eu opean eli e,
ans e ing na ional powe s
o Eu opean le el
The de elopmen desc ibed abo e is mo e inclined owa ds he con inen al
con ex han Anglo-Ame ican socie y. As p e iously men ioned, he
di e ences be ween hese wo adi ions ough o be acknowledged in he

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Theo e ical and Me hodological Pe spec i es on
Highe Educa ion Managemen and T ans o ma ion
s udy o p o essions. These di e ences a e e iden in he ole o he academic
p o ession and i s ela ion o he s a e, he o ganisa ion o uni e si ies and he
idea o a uni e si y as a whole. Table 6 p esen s some o he majo di e ences
ele an o he s udy o he academic p o ession.
Table 6. Di e ences in uni e si y adi ions
Anglo-Ame ican Con inen al
Uni e si ies Cha i y Public agencies
P o esso s F ee p o essionals Ci il se an s
O ganisa ion and hie a chy Collegial
Depa men
Bu eauc acy
Chai
Idea Newman (libe al) Humbold (p o essional)
Connec ion o ma ke s Tigh Symbolic
Rela ion o he s a e Funding Legisla ion and unding
Conclusions
The s udy o he academic p o ession has long adop ed he concep s o he
sociology o p o essions. Howe e , while his esea ch has been desc ip i e, i
lacks heo e ical igou . A key challenge in he s udy o he academic p o ession
in ela ion o he concep s o he heo y o p o essions emains undamen al:
esea che s s udy hei own p o ession. This has se e al implici and explici
impac s:
1) Resea ch is unlikely o ques ion he socie al ole and impo ance
(al uis ic mission) o he academic p o ession
2) S udies a e unlikely o objec i ely examine academics in ela ion o
uni e si y o ganisa ions, s uden s and o he p o essions (powe ).
O he challenges include he ole o he academic p o ession in he heo y
o p o essions as a legi ima e scien i ic b anch o occupa ional p o essions.
This makes i di icul o s udy he academic p o ession in compa ison o
an independen p o ession. Many esea che s ha e ques ioned whe he he
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academic p o ession is a p o ession o a g oup o p o essions. Howe e , om
a his o ical pe spec i e, i is ai ly clea ha he academic p o ession plays an
impo an ole in ans e ing socie al powe om es a es and amilies o he
s a e and p i ileged occupa ional g oups.
The applica ion o he heo y o p o essions emains unde de eloped,
despi e he la ge numbe o publica ions ela ed o he academic p o ession in
ecen yea s. In pa icula , c i ical esea ch on he socie al ole o academicians
and hei use o powe emains un ouched. Thus, we encou age esea che s,
especially hose placed ou side o academia, o s udy he academic p o ession
and wo k.
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Theo e ical and Me hodological Pe spec i es on
Highe Educa ion Managemen and T ans o ma ion
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In o ma ion on e iciency as an aspec o
sel - egula ion in uni e si y depa men s
Timo Näppilä
In oduc ion
Bi nbaum (1988) de ines he academic o ganisa ion and i s leade ship wi hin
he con ex o a cybe ne ic ins i u ion. Bi nbaumʼs heo e ical model was based
on a dynamic and nonlinea open sys em and i s -o de cybe ne ic egula o y
p ocesses. The main idea o cybe ne ic egula ion is based on cons uc ing
dynamic loops in which he elemen o a sys em a ec s he en i onmen , which
in u n a ec s he sys em. This in e ac i e dynamic be ween a sys em and i s
en i onmen may lead o an ampli ying o s abilising p ocess. The p ocess
begins when some change in he ex e nal o in e nal en i onmen leads o an
o ganisa ional esponse ha al e s he alue o some a iable. I ha a iable
is being moni o ed by some o mal o in o mal g oup (a sensing uni ), and i
ha change o alue mo es i beyond accep able limi s, he g oup will a emp
o in luence he adminis a ion (o some o he con olling uni ) o change he
o ganisa ion’s esponse un il he a iable mo es back in o an accep able ange.
In he Finnish con ex , Höl ä (see Höl ä 1995; Höl ä & Nuo io 1995;
Höl ä & Ka jalainen 1997) has also s udied bo h Bi nbaum’s cybe ne ic
ins i u ional managemen model and sel - egula ion. Acco ding o Höl ä and