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Globalization, democratization and knowledge production at three South African Universities 2005

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GLOBALIZATION, DEMOCRATIZATION AND KNOWLEDGE PRODUCTION AT THREE SOUTH AFRICAN UNIVERSITIES by SALOSHINI MUTHAYAN B.A., The University of the Witwatersrand, 1980 B.A. Hons., Rhodes University, 1981 M.Ed., Rhodes University, 2000 A THESIS SUBMITTED IN PARTIAL FULFILMENT OF THE REQUIREMENTS FOR THE DEGREE OF DOCTOR OF PHILOSOPHY In THE FACULTY OF GRADUATE STUDIES Language Education THE UNIVERSITY OF BRITISH COLUMBIA February 2005 © Saloshini Muthayan, 2005 A B S T R A C T Following the demise of apartheid in 1994, new higher education policies have placed high expectations on universities to play a pivotal role in the transformation. This study examines the responses of academics, graduate students, senior managers and librarians at three universities to the changes resulting from globalization (neoliberal reforms, growth and new technologies) and democratization (redress and equity) and whether these universities have the research capacity to contribute to social justice in South Africa.. Case studies were conducted at the universities of Port Elizabeth, Fort Hare and Rhodes. In-depth interviews and surveys were conducted with 108 participants across the disciplines who identified the dominant changes as increased managerialism/ entrepreneurialism, the establishment of representative governance structures and equity policies and a shift from Mode 1 (pure, basic and fundamental research) to Mode 2 (applied, transdisciplinary and transinstitutional) form of research. Adopting critical postmodern, feminist and decolonising methodologies, I find that the tension between the dual goals of globalization and democratization has made it difficult for universities to pay equal attention to achieving growth and social redress. The effect of the neoliberal policies embedded in modernist assumptions has been to silence the redress intentions of these policies, thereby bringing into jeopardy the transformation of South African higher education. First, managerialism redirects the energies of these institutions away from the democratization project. Second, neoliberal economic reforms place pressures on researchers, reducing their research capacity. Third, the equity emphasis on representativeness and numbers serves the project of modernity instead. Fourth, the neoliberal preoccupation with merit reproduces the hegemony of the dominant group. Fifth, Mode 2 research is not being applied appropriately in research involving communities and indigenous knowledge systems. Sixth, decolonizing methodologies, as well as critical postmodern methodologies, are needed to deconstruct and 'de-struct' the modernist and hence colonial and racist apparatuses of these institutions. Although the three universities evince commitment and hope for the future, their capacity to contribute to growth and redress through research remains constrained by the dissonance between policy intents and implementation. The study makes a number of recommendations for building research capacity that will advance the transformation of these institutions and allow for stronger research partnerships with indigenous communities. TABLE OF CONTENTS ABSTRACT ii LIST OF FIGURES AND TABLES ix ABBREVIATIONS x ACKNOWLEDGEMENTS xi CHAPTER ONE INTRODUCTORY 1 1.1 PURPOSE 2 1.2 BACKGROUND AND CONTEXT 3 1.2.1 Higher education and globalization 3 1.2.2 South Africa and the global context 10 1.2.3 Higher education and the legacy of apartheid 12 Ethnic universities 15 Open access at white universities 16 Resource allocation 17 Research as tools of the apartheid state : 17 Epistemologies, methodologies, and relevance 20 To unscramble the apartheid egg 22 1.3 RESEARCH QUESTIONS 25 1.4 THESIS STATEMENT 27 1.5 STRUCTURE OF THE DISSERTATION 28 CHAPTER TWO THE NEW HIGHER EDUCATION POLICIES 30 2.1 INTRODUCTION 30 2.2 CHALLENGES IDENTIFIED 31 2.3 POLICY INTENTS : 33 2.3.1 Principles of equity and redress and democratization 35 2.3.2 Principles of quality and, effectiveness and efficiency 39 2.3.3 Policy intents for research 40 Mode 2... 42 NRF rating policy 44 2.4 FUNDING POLICIES 44 2.4.1 Higher education funding during apartheid 47 2.4.2 NRF funding policies 51 2.5 POLICY IMPLICATIONS 53 2.5.1 Globalization versus democratization 53 2.5.2 Mode 2 research 56 2.5.3 Funding 58 CHAPTER THREE M E T H O D O L O G Y 61 3.1 INTRODUCTION 62 3.1.1 DecoIonising methodologies 64 3.1.2 Methods 66 3.2 PILOT STUDY . 7 0 3.3 SELECTION OF CASES 71 3.4 SELECTION OF PARTICIPANTS 72 3.5 DATA GATHERING 73 3.5.1 Interviews 74 3.5.2 Survey '. 76 3.5.3 Document analysis 77 3.5.4 'Walking the campus' observations 77 3.6 BIAS AND REFLEXTVITY 77 3.7 LIMITATIONS AND ISSUES OF VALIDITY 79 3.7.1 Generalizability 79 3.7.2 Triangulation 80 3.7.3. Credibility 81 3.8 DATA ANALYSIS 81 3.9 PRESENTATION OF FINDINGS 84 3.10 REFLECTIONS 84 CHAPTER FOUR "BECOMING LIKE A BUSINESS"- T H E T J N J T V E R S I T Y O F P O R T E L I Z A B E T H 86 4.1 INTRODUCTION 86 4.2 RESEARCH CULTURE 88 4.3 CHANGE 90 4.3.1 Managerialism 91 4.3.2 Democratization 92 Socially relevant research 92 Equity 93 4.4 ACCESS TO RESEARCH RESOURCES 95 4.4.1 IT •. 96 4.4.2 Library 97 Journals 97 African Journals 99 4.5 FUNDING AND ADMINISTRATION 99 4.6 NETWORKING AND LINKAGES 100 4.6.1 Local networking 101 Collegiality 101 South African universities 102 Networking with HBUs 103 Perceptions of HBUs and HWUs 106 4.6.2 International networking 107 Africa 108 4.7 MERGERS 109 4.8 ROLES AND VISIONS 111 4.9 CONCLUSION 115 CHAPTER FIVE "IF IT AIN'T BROKE, DON'T FLX IT!n- RHODES UNIVERSITY 118 5.1 INTRODUCTION 118 5.2 RESEARCH CULTURE 121 5.3 CHANGE 123 5.3.1 Response to global change - entrepreneurialism 123 5.3.2 Response to local change - democratization and equity 125 5.3.3 Mode 2 type research 134 5.4 ACCESS TO RESEARCH RESOURCES 134 5.4.1 IT 134 5.4.2 Library 135 African journals 135 5.4.3 Research constraints 136 5.5 PUBLISHING 137 5.6 NETWORKING AND LINKAGES 137 5.6.1 Perceptions of foreign African students 138 5.7 CONCLUSION 140 CHAPTER SIX "PULLED UP BY THE BOOTSTRAPS"- THE UNIVERSITY OF FORT HARE 142 6.1 INTRODUCTION 142 6.2 RESEARCH CULTURE 143 6.3 CHANGE 147 6.3.1 New management and research 147 6.3.2 New academics and research 150 Staff as martyrs ..151 6.3.3 Indigenous knowledge systems 153 6.4 ACCESS TO RESEARCH RESOURCES 153 6.4.1 Research equipment 154 6.4.2 IT 155 6.4.3 Library resources 156 Electronic resources and information literacy 157 African journals 158 6.4.4 Research supervision 159 6.4.5 Creative responses 159 6.5 PERCEPTIONS 161 6.5.1 Student views 161 6.5.2 Perceptions of HBUs 163 6.5.3 Perceptions of HWUs 165 6.6 PARTICIPANTS'VISIONS 165 6.7 VISIONS FOR FORT HARE 166 6.8 CONCLUSION 168 CHAPTER SEVEN NEOLIBERAL REFORMS AND RESEARCH 170 7.1 INTRODUCTION 170 7.2 RESEARCH CULTURE 171 7.3 MANAGERIALISM/ ENTREPRENEURIALISM 178 7.4 CONCLUSION 183 CHAPTER EIGHT RESEARCH PRODUCTIVITY AND ACCESS TO SCHOLARLY RESOURCES 185 8.1 INTRODUCTION 186 8.2 ACCESS TO RESEARCH RESOURCES 186 8.2.1 Access to IT 187 8.2.2 Library resources 190 Journals 190 African journals 194 Human resources 195 Interlibraryloan 196 Library orientation and information literacy 198 Creative responses 200 8.2.3 Further research constraints 204 8.3 DISCUSSION 208 8.3.1 Access to IT ; 208 8.3.2 Library holdings '. 212 8.4 CONCLUSION 215 CHAPTER NINE NEW TECHNOLOGIES AND KNOWLEDGE DISSEMINATION 218 9.1 INTRODUCTION 218 9.2 RESEARCH PUBLISHING 218 9.3 OPEN ACCESS 224 9.4 PUBLIC DOMAIN OF ACADEMIC KNOWLEDGE 229 9.5 DISCUSSION 233 9.6 CONCLUSION 237 CHAPTER TEN DEMOCRACY, EQUITY AND KNOWLEDGE PRODUCTION 240 10.1 INTRODUCTION 240 10.2 POLICY EXPECTATIONS 241 10.3 DEMOCRATIZATION AND EQUITY 242 10.4 DISCUSSION..... 257 10.5 CONCLUSION 265 CHAPTER ELEVEN MODE 2 AND "SOCIALLY RELEVANT" RESEARCH 267 11.1 INTRODUCTION 267 11.2 POLICY INTENTS 269 11.3 RESEARCH PRACTICES - CONDUCTING RELEVANT RESEARCH 271 11.4 MOVING BEYOND MODE 2 - DECOLONISING CURRENT METHODOLOGIES 279 11.5 CONCLUSION - THE UNIVERSITIES' ROLE 289 CHAPTER TWELVE REFLECTIONS, CONCLUSIONS AND RECOMMENDATIONS 289 12.1 REFLECTIONS ON EXISTING STUDIES 289 12.2 CONCLUSIONS 292 12.3 RECOMMENDATIONS 304 Access to research 304 Knowledge dissemination 306 Research culture 307 Funding 310 Equity 312 Mode 2 and indigenous knowledge 315 To conclude 317 REFERENCES 321 APPENDDC A List of Participants Cited 338 APPENDIX B List of Departments 343 APPENDIX C Introductory and Consent 345 APPENDIX D Request for an interview 349 APPENDIX E Interview Schedule 351 APPENDIX F Surveys 354 APPENDIX F1 Questionnaire for Faculty 355 APPENDIX F2 Questionnaire for Librarians 362 APPENDIX F3 Questionnaire for Graduate Students 368 LIST OF FIGURES AND TABLES Figure 1. Juxtaposing qualitative and quantitative methods 73 Figure 2, Triangulation of sources 75 Table 1. RU student racial profile 126 Table 2. RU staff racial profile 126 Table 3. RU staff female gender profile 127 Table 4. RU staff male gender profile 127 Table 5. Library computers with Internet connections 188 Table 6. Serial holdings by university in print and online, 1997 and 2002... 191 Table 7. Advantages and concerns expressed about open access 228 Table 8. Racial and gender profile 244 LIST OF ABBREVIATIONS CHE Council for Higher Education CHET Centre for Higher Education Transformation COSALC Coalition of South African Library Consortia DNE Department of National Education DoF Director of Finance DoR Dean/Director of Research [UPE has a Director; Rhodes and Fort Hare have Deans] EAD Encoded Archival Description FTE Full Time Equivalent GATT General Agreement on Tariffs and Trade GDP Gross Domestic Product GEAR Growth, Employment and Redistributive Policy HBI Historically Black Institutions HBU Historically Black University HDI Historically Disadvantaged Institutions HE Higher Education HWI Historically White Institutions HWU Historically White University ICT Information and Communication Technologies ILL Interlibrary Loan IMF International Monetary Fund IT Information Technology NAFTA North American Free Trade Agreement NCHE National Council for Higher Education NEPI National Education Policy Initiative NEPAD New Partnership for Africa's Development NQF National Qualifications Framework NRF National Research Foundation OECD Organization for Economic Co-operation and Development R&D Research and Development RDP Reconstruction and Development Program RSA Republic of South Africa SA South Africa SADC Southern African Development Community SAPSE South African Post-Secondary Education SASLI South African Site Licensing Initiative THRIP Technological and Human Resources for Industry Programme UCT University of Cape Town UFH University of Fort Hare UPE University of Port Elizabeth Wits University of the Witwatersrand A C K N O W L E D G E M E N T S The undertaking of a doctoral thesis has been a life-long aspiration for me. I am grateful for the opportunity to finally fulfill this aspiration. This endeavour would not have been possible without the support and guidance of many people whom I wish to gratefully acknowledge. I wish to express my sincere gratitude to all 108 participants in the study for sharing so magnanimously with me their "lived" lives in the academy. Their experiences, perceptions and visions provided me with rich insights that have contributed to my study in invaluable ways. I am grateful too to Bruce Robertson (UPE), John Gillam (Rhodes) and John Hendricks (Fort Hare) for so kindly assisting me with information and in making the arrangements for my visits to these universities. I honestly believe that I have been blessed with the most exceptional supervision for this study. My supervisors, Bonny Norton and John Willinsky have provided me with unflagging support and guidance. I feel privileged for the considerable time (days) spent with Bonny Norton in Johannesburg planning and structuring this study. She has also been a compassionate friend to me during this time, following the loss of my husband. I am grateful to John Willinsky for introducing me to his field of interest —new technologies, knowledge dissemination and the public domain of knowledge— from which I developed my thesis topic. I must acknowledge his remarkable turnaround time, sometimes ten minutes, as we worked electronically, chapter by chapter. I am grateful too for the opportunity of having presented my research alongside both supervisors in South Africa. I wish to express my gratitude to my supervisory committee members, Don Fisher and Kogila Adam-Moodley for their valuable advice and guidance. My sincere appreciation goes to the LLED graduate secretary, Anne Eastham, for all her assistance and kindness. xi I am grateful to the National Research Foundation of South Africa for funding this study. In particular, I wish to thank Rose Robertson for her kind assistance and encouragement during this period. It is no exaggeration to claim that this entire project would not have been possible without the support of my extended family. I am deeply indebted to my mother and aunt who have so selflessly supported and encouraged me throughout my life and this study. I am also grateful to my son, Magesh and daughter, Kumarika for supporting and assisting me in various ways in this project and for bearing with me during my intense involvement in this study. I dedicate this dissertation to the memory of my late husband, Advocate Deva Pillay SC, who encouraged me to undertake this study but sadly passed away a month before I commenced the programme. CHAPTER ONE INTRODUCTORY The demise of the apartheid regime in South Africa in 1994 resulted in the initiation of a new social order founded on one of the most democratic Constitutions in the world. The transformation process was accompanied by a proliferation of new policies in every sector, not least of all higher education. Given the grossly inequitable, ethnicised and racialised system of higher education that had been developed to serve the needs of the apartheid state and economy, the intention of the new government was to bring about an equitable and democratic higher education system that would contribute to social change and the establishment of social justice for all its people.1 The major new higher education policies, such as the Higher Education Act (1997) and the White Paper 3 (1997), impose high expectations on universities to play a pivotal role in the transformation in terms of the dual goals of economic growth (globalization) and social s redress (democratization). At the global level, universities may help to position South Africa as a competitive player in the knowledge-based economy through knowledge creation, high skills and innovation whereas at the local level universities may, through their research and community service, contribute towards solving the backlog of social problems arising from the apartheid era, as well as helping to reconfigure the racialised notions of identity and culture that continue to exist. Although the new policies appear to emphasise the knowledge producing role of South African universities, little research has been conducted on their research capacity and the impact of these new policies on researchers and their contribution to knowledge production. Scholarly debates and analyses of the new policies have centred on the binary effects of marketization and democratization. Previous studies have focused on effective 1 In this paper, the terms higher education and university are used interchangeably to denote post secondary institutions, which offer degrees at the baccalaureate and post baccalaureate level. 1 governance, leadership and management; institutional culture; racial attitudes and behaviours. The equity policies and their implementation and effectiveness have been analysed by using the yardstick of access and numbers and the legal terrain for non-compliance. There have been few attempts to interrogate the modernist and liberal constructs of the policies that align themselves so well with neoliberal philosophies, leading to the inherent inability of employment equity to bring about the desired redress and social justice. Although equity has been linked to notions of equality, it has been interpreted mainly as increasing the numbers of previously disadvantaged groups to ensure that the student and staff demographics at these institutions more closely resemble the national demographics of the country (South Africa, 1997a; Cloete et al., 2002, ch.l, 12). Scholars have discussed Mode 2 research and notions of relevance mainly as they pertain to the market and industry.2 There has been no examination of what 'socially relevant' research involving partnerships with local indigenous communities might entail. 1.1 PURPOSE n The purpose of this study has been to examine the responses of academics,vgraduate students, senior managers/ policy makers and librarians at three South African universities to the forces of globalization (neoliberal economic reforms and new technologies) and democratization (redress and equity), with a particular focus on how the changes resulting from these forces relate to their research programs and knowledge producing processes. The study investigated how these universities are attempting to develop their research capacities, as one very important aspect of their contribution to a new democratic social order in South Africa. As a result of this analysis, I consider and make recommendations about the steps that might be taken to enhance the implementation of the transformation policies at these universities. 2 Mode 1 knowledge production refers traditional knowledge —pure, basic and fundamental research— whereas Mode 2 is carried out in the context of application and is transdisciplinary, transinstitutional and transnational (for further discussion see Gibbons et al., 1994; Slaugher & Leslie, 1997, p.204; Delanty, 2001, pp.112-114). 2 1.2 BACKGROUND AND CONTEXT Universities are at once international and national institutions. As scholar Altbach (1999, pp. 15-16) posits, "Universities are international institutions with common historical roots yet are deeply imbedded in their societies, in national cultures and circumstances." In this section, I discuss both the global and local contexts of higher education as an introduction to the history and context of the three universities in this study. Scholars point out that globalization is a complex and highly contested concept, meaning different things to different people, depending on where and how they position themselves within the discourse (Block & Cameron, 2002, pp. 2-5; Carnoy, 2000, p. 44; Currie & Newson, 1998, p. 1; Dale & Robertson, 2002, pp. 10-11; Jones, 2000, pp. 25-26; Odora Hoppers, 2000, p. 99; Robertson, 1992, p. 182; Stromquist & Monkman, 2000b, pp. 3- 4). Globalization can be discussed in economic, political and cultural terms, from neoliberal, critical and postmodern perspectives (Stromquist & Monkman, 2000b, p. 3; see also Block & Cameron, 2002, pp. 1-4). Some scholars offer a range of interpretations of the term (Block & Cameron, 2002; Burbules & Torres, 2000; Currie & Newson, 1998; Robertson, 1992; Stromquist & Monkman, 2000b), while others offer none, assuming that readers already have an adequate understanding of the term (Brown, Green & Lauder, 2001; Carnoy & Rhoten, 2002; Rodrik, 1997; Scott 1998). I shall not attempt to define the term globalization, an undertaking that could consume this entire chapter, instead I begin by sketching a common understanding of the term for use in this dissertation. 1.2.1 Higher education and globalization Universities around the world are undergoing epochal changes as a result of the rapid pace of globalization. The neoliberal economic processes driving globalization call for open markets, the liberalization of trade barriers and reduced public spending, resulting in a highly competitive global market. Neoliberalism flourished during the Reagan and Thatcher periods during which cuts to spending resulted in the drastic reduction of social welfare programmes. 3 Concomitantly, however, globalization has*resulted in strong appeals to a sense of universal values and a common humanity, urging us to ascribe to global citizenship (Cohen, 2000 and Nussbaum, 1986, as cited in Willinsky, 2002). According to Walters, globalization has two forms, namely, competitive and co-operative (Walters, 2000, p. 109). Competitive globalization is the dominant form; it has a top-down approach and its internal logic is the accumulation of capital shaped by the corporate interests of transnational corporations and rich countries. Co-operative globalization, in contrast, has a bottom-up approach with human development as its motivating force and its internal logic is the accumulation of human capacities. Despite the existence of these two forms, globalization has been viewed predominantly as a competitive economic trend towards expanding capitalism globally, seeking out new markets and being driven by communications and information technologies (Currie & Newson, 1998, p. 1; Hickling-Hudson, 2000, p. 219; Rodrik, 1997; Stiglitz, 2002). This competitive trend has exacerbated the gap between the rich and poor nations of the world (Stromquist & Monkman, 2000b, p. 12). Technology, innovation, knowledge production and higher education have been identified as key ingredients for the successful development and progress of countries (Bhagwati, 2002; Brown et al., 2001; Carnoy, 2000; Mokyr, 1990; O' Rourke & Williamson, 2000). Mokyr attributes Europe's growth and development in the 1700's, which resulted in the establishment of the 'gap' between Europe and the rest of the world, to technological progress (1990, p. 153). Information technology and innovation, the main basis for globalization, are in turn highly knowledge intensive (Carnoy, 2000, p. 43). As technology drives globalization, knowledge (as opposed to labour) assumes an increasingly powerful role in production (see Task Force on Higher Education, 2000, p. 9). The production of knowledge has been recognised as an essential factor for successful economic growth and competitiveness (Stromquist & Monkman, 2000b, p. 12; Task Force on Higher Education, 2000, p. 17). 4 Economists have shown that higher levels of education have contributed to development in many countries (Bhagwati, 2002, pp. 28, 44; O' Rourke & Williamson, 2000, pp. 271-273). OECD countries as well as newly industrialised countries show higher rates of return from higher education than primary and basic education (Carnoy, 2000, p. 53). It is believed that a more highly educated population will have a greater impact on the economic and social development of a country (Task Force on Higher Education, 2000). Globalization causes a demand for skills associated with higher levels of education (Carnoy, 2000, p. 52; see also Brown et al., 2001). Considering that the main role of universities is the creation and dissemination of knowledge, the production of high skills and the reproduction of national cultural traditions, it would appear that they have a central role to play in globalization and social development (Stromquist, 2002, p. 103; Task Force on Higher Education, 2000, p. 92). Two aspects of globalization have led to the transformation of higher education, the essentially neoliberal economic influence of globalization as a process and, the new mode of knowledge production known as Mode 2 (Gibbons et al., 1994). Mode 1 knowledge production refers to traditional knowledge —pure, basic and fundamental research ~ whereas Mode 2 is carried out in the context of application and is transdisciplinary, transinstitutional and transnational (for further discussion see Gibbons et al., 1994; Slaughter & Leslie, 1997, p. 204; Delanty, 2001, pp. 112-114). Post-Fordist neoliberalism has been characterised by cuts to social spending, the reduction of welfare programs, streamlined labour (as production has become less labour intensive and more capital intensive), a move from manufacturing industry to service industry, greater emphasis on knowledge intensive products and processes and, a move from a mechanized industry to a high-tech information society (Brown et al., 2001; Burbules & Torres, 2000; Rubenson & Schuetze 1995; Schuetze, 2002; Slaughter & Leslie, 1997, p. 1). The budgetary constraints in higher education have led, in many instances, to the "corporatization" of higher education and the advent of the entrepreneurial university and academic capitalism (Slaughter and Leslie, 1997, p. 8; see also De Angelis 5 1998, p. 124; Newson, 1998, p. 296, 297; Stromquist, 2002, p. 108). There has been an increase in massification and the internationalization of higher education as universities vie with each other to corner the higher education market. The challenges experienced by universities worldwide include the pressure for more professional and corporate-like administrative and management systems and private sector involvement in decisions concerning academic developments and research, such as autonomy, academic freedom, accountability, intellectual property rights, and the tension between basic research vis a vis applied research (Altbach, 1999, p. 29, 32; Berman, 1998, p. 230; Vidovich & Currie, 1998, p. 205). Academics have expressed growing dissatisfaction at being drawn away from their traditional teaching and research roles to perform time- consuming administrative duties. There is a growing gap between senior management and faculty, as well as the growing perception that management has become a proxy of government and corporate interests (Newson, 1998, p. 296; Vidovich & Currie, 1998, pp. 207-208). Scholarly response to the changing nature of knowledge and its impact on the university differs (see Gibbons et al., 1994). Some express concern that Mode 2 will signal the end of Mode 1 knowledge production —pure research— weaken the knowledge base in the long run or spell the end of the university, citing as evidence the rise of the enterpreneurial university. Others, like Delanty (2001), posit the view that although the university may have lost its position as the central producer of knowledge and be in danger of becoming a site of corporate capitalism, it remains an important knowledge producer amongst multiple producers. In addition, the university must assume the important function of facilitator of the „ increasingly public value of knowledge in the future (Delanty, 2001, p. 9, 116, 152; Gibbons et al., 1994, p. 7, 156; Willinsky, 2000). Delanty (2001) explains that the task of the university is to open up sites of communication in society, to institutionalize dissensus, thus 6 reversing the decline of the public sphere and enabling the democratization of knowledge instead (p. 6, 7). The fiscal constraints confronting higher education in the developing world have consequences well beyond merely forcing universities to become entrepreneurial, as has been the case in the developed world. Faculty members in the developing world are usually under- qualified; teaching methods are outmoded; salaries are low, providing little incentive or means for faculty to improve their skills; infrastructure and facilities such as laboratories and libraries are often poor and inadequate, and in some instances, uninhabitable; and classrooms are overcrowded (Task Force on Higher Education, 2000; Atteh, 1998). Furthermore, the existing high skills base and research capacity is diminishing, as these countries continue to experience a "brain drain" (Outward bound, 2002, p. 24; Stromquist, 2002, p. 109; Task Force on Higher Education, 2000, p. 73). Not only do developing countries lose highly skilled human resources, but also their investment in higher education, usually from severely strained financial coffers —taxpayer's money. The emigration of professionals also erodes the tax base of the sending country (Outward bound, 2002, p. 24). Moreover, these trends have the effect of concentrating knowledge and research in the North (Stromquist, 2002, p. 109). Whereas in the colonial days raw materials flowed to the industrial centres, there is now, in the new knowledge-based economy, a flow of high skills and knowledge to these centres, leading to a growing gulf between universities in the developed and developing world (Altbach, 1999, p. 32). One of the corollaries of globalization has been the development of supranational organizations such as the IMF and the World Bank. These organizations have played a major role in providing finance and setting conditions for the economic development of nation states (Carnoy, 2000, p. 46; Odora Hoppers, 2000, pp. 109-111; Stiglitz, 2002, p. 9). But this financing is often characterized by what Stiglitz, in his scathing attack on the IMF and its failures to ensure development in the Third World, refers to as "conditionality" — conditions 7 that coerce developing nations to adopt IMF policies such as liberalising trade (Stiglitz, 2002, p. 44). Supranational institutions have also played a role in intellectual property rights which- has had negative consequences for developing countries, where the concept of intellectual property rights takes on a completely different meaning (Task Force on Higher Education, 2000, pp. 78-79). To reduce competition from states with lower labour costs and rising educational attainment, industrial countries establish and maintain the protection of intellectual property through bodies like the European Union, GATT and NAFTA (Slaughter, 1998, p. 57). 3 ' 4 These institutions recognise copyright, patents and the attendant royalty and licensing agreements, and they have strong sanctions for the violation of these regulations (Slaughter, 1998, p. 57). For developing countries, these regulations presenting yet another financial barrier to knowledge creation and dissemination. Several universities in the developing world find it difficult to function, let alone improve the quality of and even publish research (Sadlak, 1998, p. 102). In the first instance, they do not have adequate library facilities. Books and journal holdings are sparse and outdated; preventing academics from being acquainted with the latest research developments (see also Altbach, 1987, p. 31; Canagarajah, 1996). This impinges negatively on their capacity to produce research, especially cutting edge research. The costs of library subscriptions to journals are exorbitant, especially when foreign exchange rates are taken into account (see also Willinsky, 2000). The developed nations also dominate the systems that distribute knowledge by controlling publishing houses: 34 industrialised countries with only 30 % of the world's population produce 81 % of the world's book titles (Altbach, 1987, p. 18). Hence, these countries define research paradigms and the foci of the field, rendering the rest of the world peripheral in determining the research agenda (Altbach, 1987, p. 17; 1997, p. 16). Prohibitive 3 GATT - General Agreement on Tariffs and Trade 4 NAFTA - North American Free Trade Agreement 8 factors to publishing in developing countries, which perpetuate dependency on the West include: costs of printing, lack of access to technology for printing, lack of clients for published journals, copyright regulations and costs, heavy teaching loads of academics, unsupportive research environments and language barriers (Altbach, 1987, pp. 17-27; Day, 2002, p. 3). According to Altbach (1987), neo-colonialism is maintained through foreign aid programmes and loan policies and is a factor that must be considered in any analysis of publishing in the Third World (p. 33). A further factor curtailing the proliferation of published research from the developing world is what Canagarajah refers to as the " 'nondiscursive' requirements" of academic publishing houses in the West, which make it virtually impossible for researchers from the developing world to publish successfully in the West (1996, p. 1: see chapter nine). According to Him, "these publishing conventions are deeply implicated in the politics of knowledge production and the hegemony of intellectual property of the developed nations" (1996, p. 3). Given these constraints that universities in the developing countries face with regard to knowledge production, the pertinent question to pose is whether the appropriation of new technologies, provided by globalization, might not be harnessed to alleviate the challenges facing the developing world. Virtual universities attended by "cyberstudents" (Sadlak, 1998, p. 102), may be one way of meeting the demand for access to higher education in the developing world. As Sadlak reassures us, the virtual university does not spell the end of the traditional university, but rather increases our range of options. Already the five largest distance education universities are situated in the Third World (Task Force on Higher Education, 2000, p. 31). The University of South Africa, the oldest distance education university in the world, makes wide use of technology, creating virtual classrooms for students all over the world (Task Force on Higher Education, 2000, p. 31). The African Virtual University, with headquarters in Nairobi and five regional partners, viz. Rwanda, 9 Ethiopia, Ghana, Kenya and Tanzania, was established by the World Bank and commenced operations at the beginning of 2003. The use of the Internet to disseminate scholarship through online journal systems, institutional archives and knowledge systems may be a way of meeting some of the challenges facing higher education in developing countries (Willinsky, 2000). Open access systems may be of particular value as we calculate the prohibitive costs of journal subscriptions for developing countries. South African universities have not been able to escape the changes and challenges experienced by universities around the world as a result of globalization. These challenges presented by globalization have led to the inclusion of neoliberal imperatives within the new higher education policies in South Africa, which have served, consequently, to heighten the urgency and magnitude of these changes for South African universities. In the section that follows, I discuss the historical background and context of South African higher education. While I may allude to the broader national policy changes in this section, I discuss the relevant higher education policy in detail in chapter two. 1.2.2 South Africa and the global context Entering this global stage sketched above is South Africa, a country that for its entire history was deprived of a sense of nationhood because of the fragmented and divisive nature of its society, the result of harsh, draconian apartheid policies and legislation. South Africa currently seeks to position itself both as a new democracy and as a player in the global arena. The need to establish itself as a nation is both compelling and unavoidable; the need to forge a 'rainbow' nation from the ravages apartheid inflicted on South African society. At precisely the same moment, after years of having been a pariah state, isolated from most of the world, it needs to find its niche in the global economy (see Soudien & Corneilse, 2000, p. 300). We have here a surrealistic vision of Robertson's notion of the universalisation of the particular and the particularization of the universal (1992, pp. 177-178). Soudien and Corneilse (2000) point to the "seemingly contradictory demands of cosmopolitanism and 10 indigenisation" (pp. 299-300). In a sense, South Africa exemplifies the tension between the local and the global as it simultaneously carves out its role as, on the one hand, a new democratic nation and, on the other, a global player. Currie and Subotsky (2000) contend that the point on which South Africa pivots, namely the need to forge an equitable society while competing on the global market, is the source of its alternative response to globalization (p. 133; see also Subotsky, 2001; Waghid, 2001 a). South Africa, they say, represents a vivid case of the challenge faced by all countries responding to global pressures while simultaneously trying to achieve a more equitable distribution of wealth and opportunity (Currie & Subotsky, 2000, p. 133). To realise these goals, South Africa has adopted two policies that are the cornerstone of development on two different fronts, namely, the neoliberal Growth, Employment and Redistributive (GEAR) policy (1996) and the socialist Reconstruction and Development Programme, (RDP) (1994) (Bolsmann & Uys, 2001, p. 173; Currie & Subotsky 2000, p. 134; see also Bawa, 1997, p. 44). Many have been surprised that the new South African government, given the strong socialist character of the struggle against apartheid, voluntarily adopted neoliberal economic policies favoured by supranational organizations like the World Bank and the IMF. Nevertheless, the new government has not ignored the imperatives of equity. On the contrary, recognition of the importance of equity has given rise to a highly progressive Constitution and public policy framework, which specifically aim to redress the inequities of the past. This has given rise to a sense of carpe diem, as the country seizes the opportunity to balance concerns for the redress of social injustices with the need for neoliberal economic reforms (Currie & Subotsky, 2000, p. 125). According to Currie and Subotsky (2000), the nation state must exercise: Political will in critically challenging the neoliberal orthodoxy and justifying a strong role for the state in regulating transnational capital flows and in fulfilling its redistributive agenda. The state must actively drive basic development to complement the private sector's role in driving growth. (p. 135; see also Jones, 2000) 11 Giddens refers to this as the "Third Way", a path of complementary development that accommodates global and redistributive concerns (Currie & Subotsky, 2000, p. 135; Giddens, 1998). These wider tensions are embedded in the new higher education policy in South Africa. In addition to their traditional role of creating and disseminating knowledge, universities are being called upon to perform multifarious roles (ibid.). These roles include the "entrepreneurial" university in response to decreased government spending on higher education (Currie & Subotsky, 2000, p. 123, 128), massification as universities shift from traditional elitist institutions to institutions that are more equitable and responsive to diverse social needs (Kraak, 1997, as cited in Soudien & Corneilse, 2000, p. 302; Subotsky, 2001, p. 56), the production of applied knowledge in response to economic and industrial demands and, greater social accountability (Waghid, 2002, p. 457). According to Currie and Subotsky (2000), the market-oriented university model is in direct tension with collegial ethos, democratic governance, community development, equitable social renewal and the public good (p. 123). These two scholars consider how the broader social purpose of higher education may be achieved in the face of increasing globalization and its inherent market ethos (p. 124). In order to understand the policy intentions and expectations and the challenges these present for higher education in South Africa, it is necessary to revisit the history of higher education in South Africa. 1.2.3 Higher education and the legacy of apartheid Higher education in South Africa has mirrored the apartheid societal context, having developed along racial and ethnic lines with the establishment of separate universities (Documentation, 1991, p. 3; Mabokela, 2000, p. 3; Mosadi, 1994, pp. 2-3; NordkVelle, 1990, p. 6). Towards the end of the apartheid era in 1990, there, were 11 white universities, 10 12 black universities and 15 technikons (Clery, 1995).5, 6 The oldest English university in South Africa, the present day University of Cape Town (UCT), was established in 1829, followed by the Afrikaner Universities of Potchefstroom and Stellenbosch in 1869 and 1887 .respectively (Mabokela, 2000, p. 3; Nordkvelle, 1990, p. 3). 7 ' 8 The origins of the University of South Africa, now one of the foremost distance education universities in the world, go back to 1873.9 Between 1896 and 1909, four more universities were established, three of them English, including Rhodes University (1904) (which features in this study), and one Afrikaans university.10 The passage of the University Act of 1916 saw the establishment of the first black university, the University of Fort Hare (Mabokela, 2000, p. 3). Hence, the segregation of higher education, even between English and Afrikaans speaking whites, began long before the Nationalist government came to power in 1948. As Morrow (1998) asserts, The Apartheid state can be seen as making explicit what was merely implicit in colonialism. It imposed on society its own racially inspired definition of the groups... and systematically consolidated those definitions in ramifying legislation. As part of that project the unequal dignity, status and privileges of the officially defined groups were reinforced in such a way that their advantages and disadvantages would be carried forward into the future, (p. 387) Following its inception, the apartheid government committed itself to Afrikaner nationalism, the consolidation of a Christian state as Well as to furthering the development of its "volk". The latter was aimed at providing opportunities for "working class" Afrikaners and to meet the demand for skilled labour in the well-established mining and manufacturing industries and the emergent agricultural industry (Bolsmann & Uys, p. 177; Mabokela, 2000, 5 Black is a generic term referring collectively to previously disenfranchised African, Coloured and Indian people, as defined in the Employment Equity Act, No 55 of 1998 (Bolsmann & Uys, 2001, note 1, p. 175; see also Mabokela, 1997). 6 Technikons are vocational education and training institutions, which were also racially segregated. 7 Historically, there has been a distinction between universities attended by English-speaking whites and those attended by Afrikaans-speaking whites. 8 In some instances, Mabokela and Nordkvelle present conflicting dates for the commencement of the universities. The dates mentioned in this paper were verified against the universities' web sites. 9 It became a distance education institution in 1946 ("). 1 0 These were the Universities of the Witwatersrand (1896), Rhodes (1904) and Natal (1909), all English, and Pretoria (1908), an Afrikaans university. 13 p. 3). This led to the establishment of three Afrikaner universities between 1950 and 1967," one of which (the University of Port Elizabeth) is included in this study. The Afrikaans universities implemented stringent policies preventing the admission of blacks. Prior to 1959, the English universities admitted a small number of blacks, never exceeding 6 % of the total student population, but failed to grant them equality despite professed principles of academic freedom and non-segregation in their admission policies (Adam, 1971, p. 198; Mabokela, 2000, p. 3; 2001, p. 72). Some English universities, such as the University of Natal, had separate non-European sections prior to the promulgation of separate education legislation, the philosophy at the time being academic equality as far as teaching and standards were concerned, but social separation in terms of classes, accommodation and extra-curricular activities (K. Adam-Moodley, personal communication, January, 2005). Mabokela (2000) asserts that the white mining industrialists saw the education of blacks as a threat to economic stability because the mines required an abundant supply of cheap black labour (p. 3). The infamous statement by former prime minister and architect of apartheid, H.F. Verwoerd, was based on the apartheid economy's need for cheap labour: There is no place for the [African] in the European community above the level of certain forms of labour.... Until now, he has been subjected to a school system12 which drew him away from his own community and misled him by showing him the green pastures of European society, in which he was not allowed to graze. (Kuper, 1988, p. 201)13 By contrast, "white South Africans had the highest rate of youth attending universities compared to most industrialised countries in the world" (Nordkvelle, 1990, p. 5). 1 1 These were the University of the Orange Free State (1950), the University of Port Elizabeth (1964) and the Rand Afrikaans University (1967). 1 2 This is a reference to the missionary schools for Africans. 1 3 White South Africans were referred to as Europeans, Africans as Bantus, and blacks as a group were called non-Europeans or non-whites prior to the 1970s. The term black became popular among the people during the Black Consciousness movement in the 1970s (see also Mabokela, 1997). 14 Ethnic universities The introduction of the Extension of the University Education Act of 1959 saw the establishment of racially and ethnically based universities for Africans,14 Coloureds15 and Indians (Adam, 1971, pp. 198-199; Documentation, 1991, p. 3; Mabokela, 2000, p. 4; Mosadi, 1994, p. 3). Bunting contends that the establishment of the historically black universities (HBUs) was "overtly political and instrumental" (Bunting, 2002, p. 74). In a similar vein, Mabokela asserts that the black universities fulfilled three goals: first to legitimate the ideology of separate development,16 second, to provide personnel to administer and support the newly created homelands, and third, to maintain and reproduce the subordinate social and economic position of black people (2000, p. 4; see also Adam, 1971). Adam states that the aim of providing higher education to blacks was to socialise them into accepting the dominant societal values —in this instance, the apartheid philosophy— and to prohibit English white universities from accepting black students (1971, p. 197). On the other hand, these black universities provided academic careers for young Afrikaner graduates and promotion opportunities for Afrikaner civil servants (Adam, 1971, p. 209), who received a 'tolerance pay', amounting to double the earnings of white academics at the HWUs (Vergnani, 1999).17 Adam argues that despite the socialising role, education can also cause people to reflect on their situation and challenge the accepted social order (1971, p. 197). This was precisely what happened at these so-called "bush" colleges (see also Adam, 1971, p. 211; Documentation, 1991, p. 3). 1 8 The HBUs became the hotbeds of Biko's Black Consciousness Movement in the 1970s, despite strong police intervention, harassment, and 1 4 Separate universities for Africans on the basis of ethnicity (viz. Zulu, Xhosa, Sotho, Tsonga and Venda) were established to lend credence to the separate development Homeland policy. 1 5 Coloured refers to people of mixed descent, viz. white and Khoi or African (Mosadi, 1994). 161 would add that they sought to do so both domestically and internationally. At this point South Africa was under pressure from the UN lobby led by India and other African countries. 1 7 Presumably this 'tolerance pay' was to compensate them for 'tolerating' having to work with black students and staff. 1 8 'Bush college' is a term describing not only the physical location of these institutions away from urban centres, but also the aim of locating blacks at the periphery, intellectually and institutionally. These institutions were academically and politically isolated (Documentation, 1991, p. 3). 15 mass detentions of students. Student politics helped to mobilize the masses into an intense and prolonged struggle against the regime. Despite strong state control and management of these universities and the senior faculty affiliation with the Broederbond, the operations of the HBUs were often brought to a standstill during student riots and protests.19 Although the leaders of liberation movements at that time were in prison or in exile overseas, there was a heightened political consciousness among young black intellectuals inside the country during the 1970s and 1980s. The following comments by students bear testimony to this: When I went to Fort Hare, I wasn't politically conscious. My political awareness grew as my education at the college progressed and with it my resentment of the administration as a symbol of separate development. (Adam, 1971, p. 211) And, We are treated like school children by the administration. The lecturers teach you to question things but then you find that if you start questioning some things like the police presence on campus, you are immediately victimized by the administration. (Adam, 1971, p. 21) Despite this repression, black South African youth remained both resilient and exuberant. Open access at white universities Subsequent to the escalation of mass action against the government internally and the intensification of sanctions and disinvestment internationally, the government passed the University Amendment Act in 1983, legalizing the admission of black students to historically white universities (HWUs) (Mabokela, 2000, p. 4). Some universities embarked on aggressive measures to recruit black students, while others were resistant and did not actively seek to diversify their student population (Mabokela, 2001, p. 70). Black enrolment dramatically altered the "complexion" of some of these universities; for example, the percentage of blacks students at the University of Cape Town increased from 13.2 % in 1983 1 9 The Broederbond is an Afrikaner secret society established in 1918, which controlled not only the Apartheid State but every facet of society. It comprised an Afrikaner elite who occupied key positions in public service, judiciary, corporations, clergy and the universities, especially in the HWU-A and HBUs (see Butler, 1998; Bunting, 1969). 16 to 42.4 % in 1995, although at Stellenbosch, it was only 13 % in 1995 (Mabokela, 2000, p. 4; 2001, p. 71). Resource allocation Allocations for universities differed not only between HWUs and HBUs, but among HBUs as well. African universities received fewer resources than the Coloured university, which in turn, received fewer resources than the Indian university (Mosadi, 1994, p. 2). Afrikaner universities, in contrast, were well supported by the state and boasted some of the best facilities in the country (Mabokela, 2001, p. 71). Prior to 1984, the subsidy formula was based on the number of students enrolled and on their success rate (Mabokela, 1997), which did not appear to be overtly racial. In practice, however, the criteria for the subsidy impeded funding to HBUs because they had a higher proportion of students from low socio-economic backgrounds who not only required financial assistance but had lower success rates. Large numbers of black students also dropped out because black secondary schools provided substandard education. In 1991, for example, the University of the Western Cape, an HBU, had the largest number of undergraduate geography students among the residential universities, but fewer staff than geography departments at the HWUs (Documentation, 1991, p. 3). Mabokela correctly points out that an equitable system will only perpetuate the inequities that exist between HBUs and HWUs. In order to counterbalance the historical inequities she claims that: "The new system financing higher education will necessarily have to be biased in favour of supporting HBUs" (1997, p. 2; see also Clery, 1995). These funding policies are discussed further in chapter two. Research as tools of the apartheid state Not only were the universities characterised by the inequities of the apartheid system, but they also reproduced the power relations embedded in the national economic and social systems. Furthermore, the HWUs, through their research and education activities, provided the machinery for propping up the system. As Morrow (1998) observes: 17 Higher educational institutions can be seen as the epitome of this pattern of injustice. Such institutions are major distributors of benefits in society, especially those benefits which stretch forward into the future. Universities, in particular, are bastions of privilege and as soon as one presses the questions of who is paying for them and who their beneficiaries are, then their key role in the maintenance and perpetuation of an unjust society becomes clear, (p. 387) According to Mamdani, the apartheid project would not have succeeded had it been a political project only; its success lay in it being an intellectual project enforced through intellectual apparatuses such as the university (1999, p. 130). As Rigney, an Australian scholar contends: "It would be simply naive to think that the colonial racist movement... did not impact the research fraternity and its internal works... (leading to) a racialised research industry" (p. 113). Interestingly, Nordkvelle asserts that very few scholars have investigated the role of South African universities and the production of knowledge in the oppression of the majority (1990, p. 2). The inequitable resource allocation from the state consolidated the implementation of apartheid policies among the universities. For example, between 1989 and 1990, just prior to the end of apartheid, the 10 white universities spent a total of more than 300 million rand on research while the six black universities spent a mere 24 million rand (Nordkvelle, 1990, p. 12). Needless to say, knowledge productivity at the black universities was curtailed by this limited access to funding. Although the academic research tradition has been strongest at the English white universities, the five universities that dominated research output during this period by producing 80 % of South African papers in the Science Citation Index included two Afrikaner universities of Pretoria and Stellenbosch. The remaining three were the Universities of Cape Town, Witwatersrand and Natal. These universities received the largest portion of funding allocations which were based on student numbers and research output. Black universities were predominantly teaching universities, focussing on limited fields of study, such as the humanities, social sciences and a narrow range of science faculties. HWUs, on the other hand, were largely engaged in research that reproduced the 18 social and economic relations within the society. Some scholars implicated these universities in maintaining the apartheid status quo through their research activities. As Keenan (1981) succinctly puts it: "Universities are as they are not because of the twin pressures of the State and big business, but because the majority of members share values and interests with the State and big business" (p. 44). Nordkvelle, for example, argues that for white scientists, "autonomy was relatively strong" because the scientific community had strong ties to the government (1990, p. 7, 11). HWUs developed high skills among whites to assume important positions in politics, public administration and industry (Ashley, 1971; see also Mabokela, 2001, p. 71). By contrast, HBUs were engineered to deliver an inferior education to blacks in order to ensure that they could not compete for white positions. According to Ashley (1971), English universities existed primarily for preparing students for careers in commerce, industry and the professions, whereas the Afrikaner universities indoctrinated Afrikaner youth with racial superiority, thereby producing a political elite who assumed ideological positions in government, public administration and politics (p. 42; see also Mabokela, 2001, p. 71). Investment in research was considerable during the apartheid era (File, 1986). The total sum spent on research and development (R&D) in the 1979/80 fiscal year was 0.64 %, of the GDP, while the total investment in higher education was 1.4 % (File, 1986, p. 30). State funding to higher education amounted to 80 % of universities' income (Nordkvelle, 1990, p. 10). Apparently, during the apartheid era, the white population of South Africa had the highest numbers of R&D personnel per million inhabitants in the world (see Clarke, 1985, p. 169). Nordkvelle, writing before the abolition of apartheid in 1994, attributes the international recognition of South Africa to the standard of their scientific research, but argues that quality of research should not be the sole criterion (1990, p. 14). Humanitarian values and social contract with the majority population should have also been criteria (Nordkvelle, 1990, p. 10). 19 Epistemologies, methodologies and relevance Much of the research in science and technology was related to mining and industrial technology, military research and armaments development, including the production of coal from fuel and nuclear research to produce atom bombs (Nordkvelle, 1990, pp. 10-11; Bawa & Mouton, 2002, p. 299). There has been a mismatch between higher education and the demands of economic and social development (Currie & Subotsky, 2000; Kraak, 2001; Waghid, 2002). In addition, disciplinary approaches and programmes have been Eurocentric and inclined towards a closed system (Jobbins, 2002; Makgoba, as cited in Clery, 1995; Mamdani, 1997, 1998). Bawa and Mouton (2002) conclude that the research system designed to serve the needs of the apartheid government was "hopelessly disarticulated from the needs of the majority of South Africans" pointing to, for example, the lack of research in infectious diseases at the very time that the world's first human heart transplant operation was performed by Christiaan Barnard (p. 299). As can be expected, methodologies were embedded in notions of universal truths since there was only one way to maintain the apartheid status quo. According to Nordkvelle, academic scientists believed in the positivist paradigm and the autonomy and objectivity of science - that science was unaffected by the social context (1990, p. 13). As Habermas asserts, universities and science are not free from serving political functions (1971, pp. 1-10). Thus, scientific results are cultural products of their own society and not objective truths. This is true for humanities and social sciences as well; anthropology, sociology, law and even theology were imbued with the ideology of apartheid (Kuper, 1988). Masodi states that geography, and most significantly industrial geography, was used as a tool to promote the policy of separate development (1994, p. 3). Verwoerd, the architect of apartheid, was originally a sociology professor at Stellenbosch University before becoming the Minister of Native Affairs, and finally, Prime Minister of the country. Thus, the dominant forces of a society may be reflected in the scientific knowledge being generated. 20 Professor Makgoba, Deputy Vice Chancellor of the University of the Witwatersrand in 1995, claimed that: "The liberal institutions have failed to capture the essence of Africa and its people" (Clery, 1995). Jobbins (2002) concurs that an anomaly of universities in South Africa is that they are, by and large, institutions of the developed world and their European research traditions are unsuited to a developing country in Africa (p. 55-56; see also Documentation, 1991, p. 3). Mamdani (1998) relates how his efforts to Africanize the African studies course at UCT were met with resistance. He deconstructs the notion of African Studies and of a Centre for African Studies at a university located at the tip of Africa. He claims that the notion of "African Studies" had been developed outside Africa, and not by Africans (1997, p. 149). Ekong and Cloete (1997) assert that the sovereignty of universal scientific knowledge is being greeted with increasing scepticism throughout the world (p. 5). Instead, there are calls for accountability and relevance (ibid.). Many HWUs have not realised that they need to undergo significant changes in order to meet the needs of a transforming society (Mabokela, 1997, p. 1). Mabokela explains that the "problem" has been identified as a skills deficit on the part of blacks. Blacks are perceived as being "under-prepared" for the institutions, rather than the institutions being perceived as under-prepared for meeting the needs of such students (Mabokela, 1997, pp. 1-2; see also Mandew, 2000, p. 3). Mandew, drawing on Bourdieu and others, points out that African students tend to be viewed not only as under-prepared but as lacking the requisite cultural capital to shape, influence and benefit from the processes of knowledge construction (2000, p. 3). The following statement made by a Potchefstroom University professor at an international conference in San Francisco as late as 1997 confirms this argument and shows blacks being positioned as the 'other' at HWUs: White universities are Western animals and they have to conform to the high academic standards of the West. If black students want to attend our universities, they have to adjust to the way things operate at these universities (my emphasis), (cited in Mabokela, 1997, p. 1) 21 As Goduka (1996a) states: "Educational necessities and moral imperatives point to a need to move beyond the deficit model (norm) which assumes that different is equal to deficient and therefore inferior" (as cited in Mandew, 2000, p. 3). Although some scholars argue that the English universities, also known as the liberal universities, have never accepted the apartheid policy (Clery, 1995; Jobbins, 2002), others believe that their liberalism has been of hardly any significance (Keenan, 1981; Kuper, 1988; Gerwel, 1988; Nordkvelle, 1990). Clery (1995) and Jobbins (2002) assert that some white universities defied the government's policy and admitted black students, placing these institutions at the centre of white resistance to the government. Keenan, however, refers to these institutions as "open minds in a closed society" (1981, p. 1); Kuper claims that they "kept their heads down," (1988, p. 46), while Gerwel maintains that they had not "sufficiently explored the space they (had) available for opposing and actively working against apartheid" (Gerwel, 1988, p. 13). According to Nordkvelle (1990), the English universities supplied the labour market with highly skilled professionals who largely refrained from questioning the political order run by the Afrikaner elite (p. 12). Thus, in 1994 the democratic government of South Africa inherited a higher education system characterised by pervading and gross disparities between HBUs and HWUs, such as uneven access, inequitable funding, resources, facilities and infrastructure, unequal staffing, under-representation of women, duplication and waste inherent in the ethnically based system of provision, discrepant student success rates and research output and, a lack of responsiveness and democratic accountability to the wider society (Currie & Subotsky, 2000, p. 135; Kraak, 2001, p. 21; Waghid, 2002, pp. 450-460). To unscramble the apartheid egg It is not surprising that the new government considered that nothing less than a complete transformation of the social, economic and political systems was necessary to redress the inequalities of apartheid. Van Niekerk (1998) evinces that "transformation is not its own 22 goal; the goal is an improved, more just and more equitable society" (p. 65). According to Bolsmann and Uys (2001), there are five redress goals for the transformation of higher education: 1) greater access for disadvantaged communities; 2) changing the Eurocentric curricula; 3) emphasis on career orientated qualifications; 4) flexible teaching and qualifications frameworks; 5) increased postgraduate enrolments to meet global challenges. Clearly, a total overhaul of the education system was necessary to redress the inequalities embedded in the system (Waghid, 2002, p. 458). Hence, the new policy emphasises democracy, equity and relevant research that would contribute to redress, growth, development and social justice. Notwithstanding the establishment of policies to bring about democracy, equity and redress, the anomalies of apartheid are still very much in existence at universities in South Africa. The racial profile of staff at the HWUs is still predominantly white, while black students, despite their large numbers, continue to be regarded as the "other" (Mabokela, 2000, as cited in Mabokela, 2001, p. 73). For example, at one of the most progressive white universities, UCT, the percentage of black students increased from 13.2 % in 1983 to 42.4 % in 1995 (Mabokela, 2000, p. 4). Despite the existence of an Equal Opportunity Employment Policy at UCT, the proportion of black academics only increased from 1 % to 4.13 % for Africans, 1.51 % to 2.4 % for Coloureds and 1.13 % to 1.74 % for Indians (Mabokela, 2000, p. 5). Although affirmative action for whites had been legislated by the Job Reservation Act during the apartheid era, Mabokela's study finds that the prevailing view among whites towards the current affirmative action policies at these universities to be hostile, based on their belief that the policy privileges blacks over whites, lowers standards and creates havoc (2000, p. 11). As HWUs grapple with transformation and institutional change, HBUs have been struggling to survive, let alone transform (Vergnani, 1999). They have been characterised by 2 0 See also Subotsky (2001) on assimilationist versus transformative change. 23 declining enrolments, financial crises, huge budgetary deficits, duplication, external audits, poor management, mismanagement, fraud and corruption (Mosadi, 1994, p. 2; Vergnani, 1999). Yet, HBUs play an important role in higher education by serving the most underprivileged black students at one third of the costs incurred by more established white universities (Vergnani, 1999, p. 4). In attempting to address these challenges, through the implementation of new policies, universities have been faced with entrepreneurialism (see also Bolsmann & Uys, 2001), new modes of knowledge production, changing demography and racial profile of students, changing institutional climate, affirmative action, greater social responsibility and accountability, external audits and, in some cases, demise. The predicted massification, co- operation between institutions and elimination of duplication and wastage of resources has not occurred (Hay & Fourie 2002, p. 116). Instead, there has been increased competition as universities vie for the limited pool of resources and compete with technikons and international and private institutions that attract their "client" base with the promise of more stable campuses and vocationally oriented qualifications (Jansen, 2002, p. 511). An additional policy, legislated in June 2002, is directed at addressing these problems and at giving impetus to the implementation of these policies, and the transformation process, thereby enabling the efficient transition from the old apartheid order to a new higher education system. This policy, Transformation and Restructuring: A New Institutional Landscape for Higher Education (South Africa, 2002), calls for the merging of the higher education institutions. As this policy was developed, it became the subject of contentious debate in the higher education sector in South Africa. A study by Hay and Fourie (2002) shows that barriers to mergers among staff included fears about staff reductions and retrenchment, loss of positions and institutional identity, paradigm shifts, clash of institutional cultures, philosophies and priorities, loss of subsidies and a drop in standards (pp. 119, 129). Staff was not concerned about the additional workload or the 24 dominant/subaltern relationship between institutions (p. 129). Jansen (2002) refers to Robinson and Daigle (1999) in support of his view that partnerships tend to underestimate "institutional readiness" with respect to differences in vision, commitment, culture, risk, power and adaptability among partners (p. 519). Although it is premature to predict how these mergers will unfold, there is little doubt that this topic will dominate South African scholarship over the next few years. The literature reviewed shows that the new higher education policies impose high expectations on the higher education sector to contribute towards transformation. Yet, there is a dearth of research into the research capacity of South African universities, especially with reference to the impact of globalization and democratization on research and knowledge producing processes. In this study I investigate the responses of participants at three universities to the changes resulting from globalization, democratization and the new policies. I seek to determine how the institutions are attempting to develop their research culture and capacity amidst these changes. In this dissertation my use of the term "research culture" does not include institutional culture but rather focuses specifically on the universities' orientation towards research and what priority has been given to research historically by the past administrations. Factors that emphasise the importance of research have included the formulation of research policies, the promotion of research by management and staff, status of office of research at the institutions and resources made available to research. 1. 3 R E S E A R C H QUESTIONS Among the major policy changes affecting researchers and their research are the democratising and equity policies (such as the establishment of democratic and representative governing structures and the affirmative action plans) and the emphasis on the new mode of knowledge production, Mode 2. Although in my case studies I enquired about the impact of the merger policies (as contained in the Transformation and Restructuring: A New 25 Institutional Landscape of Higher Education (2002)) on their work, most academics at the universities undergoing merger processes, namely the University of Port Elizabeth and the University of Fort Hare, claimed that this process was taking place at management level, leaving them largely unaffected at the time of the interviews in 2002-2003. For this reason, I have excluded herein any questions pertaining to the changes relating to the merger, but note that there is reference to the process in their responses to other questions, for example, access to resources or equity. The following questions related to the higher education policies and research capacity framed the study: • How has the neoliberal emphasis in the higher education policies, resulting in cuts to spending and pressures for increased corporatization and marketization, affected researchers and the knowledge making processes at the universities? • How do the research culture, resources and infrastructure compare across the three institutions, given the apartheid histories of these universities? • To what extent have the democratizing and equity policies been implemented at the three institutions, and how have these changes been perceived and regarded by their members? • More specifically, how do they see these policies affecting the research programs at these three institutions? • In what ways, if at all, do the equity policies result in increases in social justice? • What has been the response of South African researchers to policy imperatives for a shift to what is known as Mode 2 knowledge production? • What has been their experience of conducting 'socially relevant' research in 'partnership' with local indigenous communities? • To what extent have they reflected on developing appropriate methodologies for collaborating with indigenous people and their knowledge systems? 26 1.4. THESIS STATEMENT The new policy framework establishes the foundation for a unified, equitable, well-planned, program-based system of higher education According to the participants at the three universities in my study, the dominant changes in response to global and local developments and the new policies have been a series of not always complementary policies, programs, and actions, including: 1) increased managerialism or entrepreneurialism in their institutions; 2) the establishment of new democratic governing structures and equity policies; and, 3) a shift to Mode 2 forms of knowledge, so that the research generated is responsive both to the market and social needs. Later in this dissertation, I draw a distinction between managerialism and entrepreneurialism. For now, a brief explanation will suffice. Managerialism is used in a sense that the university, as a result of the neoliberal macro- economic policies of the state and their impact on public institutions, has adopted a style of administering the university on business principles of economic efficiency, expecting maximum outputs from minimum inputs, similar to for profit organisations (see Edwards, J.D., n. d.). Managerialism has also been defined as a technocratic ideology that views the analytical tools that managers use to solve organizational problems as ends in themselves (ibid.). By entrepreneurialism, I refer to the university maximizing opportunities to commercialise research activities. In examining the impact of these three factors (managerialism, democratization, and Mode 2 type research), I find that the tension and dissonance felt by the participants between the dual goals of globalization and democratization have made it difficult for universities to pay equal attention to achieving growth and social redress, not just in their student intake, but in their support for a new generation of scholars and a new approach to developing a research culture among them. The influence of the globalising trends, in the form of neoliberal macro- economic policies embedded in modernist assumptions, has been to silence the democratizing 27 and redress intentions of these policies, thereby potentially bringing into jeopardy the transformation project in South African higher education. Based on the perceptions and experiences of the participants in this study, I find that the forces of globalization threaten the democratizing project in several ways: First, the severe resource constraints at two of the three institutions in the study have placed extreme pressures on researchers and hampers the capacity of these universities to contribute to knowledge production and dissemination. Second, the neoliberal imperatives reflected in the policies have led to increased managerialism, which serves to redirect the focus and energies of these institutions away from the democratization project. Third, equity, as defined in the policy documents and given effect through implementation, sheds its democratic portents and serves the project of modernity instead. Furthermore, the neoliberal focus on effectiveness and efficiency leads to a preoccupation with unexamined and unquestioned notions of merit and excellence that may serve to reproduce the hegemony of the dominant group. Fourth, neoliberal interests have led to Mode 2 research and its related notions of'relevance,' 'partnership,' 'stakeholder' and 'collaboration' not being appropriately understood or applied in relation to research involving local indigenous communities. Fifth, decolonising methodological approaches in addition to post-modern critical approaches are required to deconstruct the inherently modernist and hence racist apparatuses of these institutions, given their historical context and relation to colonialism and apartheid. 1.5 STRUCTURE OF THE DISSERTATION The dissertation comprises three parts. Part One consists of chapters one to three. Chapter One, the introductory, defines the research purpose, sketches the context of the study and reviews the literature of higher education both globally and locally; it poses the research questions and outlines the thesis statement. Chapter Two contains a review and analysis of the higher education policy scenario that frames this study. Chapter Three deals with the theoretical framework and methodology for the study. 28 Part Two consists of a presentation of the data in case study profiles for each of the three universities examined herein. Chapter Four presents the case study of the University of Port Elizabeth (UPE), a historically white Afrikaner university (H WU-A); Chapter Five presents the case study of Rhodes University (RU), a historically white English university (HWU-E); and Chapter Six presents the case study of the University of Fort Hare (UFH), a historically black university (HBU). Chapters Seven to Twelve comprise Part Three and consist of a presentation and analysis of the empirical data across the three case studies as they pertain to three particular changes these universities have experienced in response to global and local developments, namely, managerialism, democracy and equity and "socially relevant" research. Chapter Twelve is the concluding chapter. It begins with reflections on existing studies and ends with a set of recommendations for building research capacity and improving policy implementation. 29 CHAPTER TWO THE NEW HIGHER EDUCATION POLICIES 2.1 INTRODUCTION In this chapter I discuss South Africa's new higher education policies in relation to the dual national policy goals of globalization and democratization, that is, economic growth and social redress. I discuss mainly the Higher Education Act (1997) and the White Paper 3 (1997) and will at times refer to the precursors and successors of these policy documents, such as the National Council for Higher Education (NCHE) (1996) and the Council for Higher Education (CHE) (2000) policy documents. According to Kraak (2001), these policy documents emphasise two central areas of the transformation, democratization and globalization (pp. 20-21). Scholars portend that the South African higher education context provides possibilities for achievement of these dual goals of globalization and democracy despite the inherent tension between neoliberalism and socialism that frames these dual goals. Higher education's commitment to transformation is enunciated in the new policy documents, beginning with the NCHE report (1996), the Department of National Education's Green Paper (1996) and White Papers (1997) on higher education, and the Higher Education Act of 1997 (Currie & Subotsky 2000, p. 135; Kraak, 2001, p. 20). The White Paper (1997), for example, clearly situates the transformation of higher education within the broader context of South Africa's transformation from an apartheid past to a democratic future: "The transformation of higher education is part of the broader process of South Africa's political, social and economic transition, which includes political democratization, economic reconstruction and development, and redistributive social policies aimed at equity" (South Africa, 1997a, p. 9). Scholars have claimed that the policy spectrum is informed by national redistributive development priorities at one end, and globalized conditions of financing, governance and accountability, quality assurance and national qualifications models at the other (Currie & Subotsky, 2000, p. 136; Subotsky 1999, as cited in Waghid, 2001a, p. 456 30 and 2002, p. 464). The new policies focus attention on higher education's agency in the transformation to a new democratic, equitable society nationally, and in providing the country with high skills, innovation and knowledge to compete globally (Ekong & Cloete, 1997, p. 7). The CHE (2000) report, for instance, recommends: The provision of person power to strengthen the country's enterprises, services and infrastructure. This requires the development of professional and knowledge workers with globally equivalent skills, but who are socially responsible and conscious of their role in contributing to the national development effort and social transformation, (p. 9) These higher education policies seek to redress the inequalities that exist within and between HWUs and HBUs, in order to eradicate the inefficiency, waste and duplication inherent in the segregated higher education system, and to set higher education standards that articulate internationally. The empirical evidence from my study seems to indicate that universities are failing to attain a balance between these seemingly contradictory goals of economic growth and social redress; that the third way has eluded the policy expectations and the hopeful views of several scholars who argued that South Africa's particular history and context represents a socio-econo-political environment in which it might in fact be possible to balance these goals (see chapter one). In the sections below, I focus on the policies relating to increased managerialism, democratic governance, equity and redress, research and funding. 2.2 CHALLENGES mENTIFIED In the previous chapter I sketched the challenges facing the new nation with regard to higher education. The White Paper (1997) identifies the following challenges within higher education: • ...inequitable distribution of access... for staff and students along lines of race, gender, class and geography... and untenable disparities between historically black and white institutions... • ...mismatch between the output of higher education and the needs of a modernizing economy. • ...[need to] strengthen the democratic ethos, the sense of common citizenship... 31 • ...research policies which favour academic insularity and closed system disciplinary programme(s) • ...governance... characterised by fragmentation, inefficiency and ineffectiveness. (South Africa, 1997a, p. 8) In addition, reference is made to the low participation of African students in higher education. According to the NCHE report (1996), as cited in the White Paper (1997), the participation rate for white students was "just under 70 percent" whereas for African students "it was about 12 percent" (South Africa, 1997a, p. 20). The White Paper (1997) also recognizes that "Unlike the changing student profile, especially in undergraduate programmes, the composition of staff in higher education fails to reflect demographic realities. Black people and women are severely under-represented, especially in senior academic and management positions" (South Africa, 1997a, p. 34). These local challenges outlined here exist within a framework of global challenges whose impact is also being felt within the South African higher education sector. The White Paper (1997) portends: "This national agenda is being pursued within a distinctive set of pressures and demands characteristic of the later twentieth century, often typified as globalization" (South Africa, 1997a, p. 9). Globalization is defined as "multiple, interrelated changes in social, cultural and economic relations, linked to the widespread impact of the information and communications revolution, the growth of trans-national scholarly and scientific networks, the accelerating integration of the world economy and intense competition among nations for markets" (p. 9). The challenge posed by globalization is elucidated thus: "The policy challenge is to ensure that we engage critically and creatively with the global imperatives as we determine our national and regional goals, priorities and responsibilities" (p. 9). The economic nature of these global challenges and their relation to new technologies is acknowledged: 32 The South African economy is confronted with the formidable challenge of integrating itself into the competitive arena of international production and finance which has witnessed rapid changes as a result of new communication and information technologies. These technologies, which place a premium on knowledge and skills, leading to our notion of the "knowledge society," have transformed the way people work and consume. (South Africa, 1997a, p. 9) Hence, as noted above, the policy imperatives speak to both local and global challenges facing higher education in South Africa. Concerns related to the "production, advancement and dissemination of research" include: • ... insufficient articulation between... the research system and national needs for social, economic, cultural and intellectual reconstruction • ... insufficient research capacity in higher education and existing capacity is poorly co-ordinated and not adequately linked to postgraduate studies • ... stark race and gender imbalances • the distribution of research capacity is skewed... HDI's [historically disadvantaged institutions] have only recently integrated research into their core functions. (South Africa, 1997a, p. 31). An additional concern is the "insufficient attention to the... problems and challenges of the broader African context" (South Africa, 1997a, p. 8). This latter concern has led institutions to iterate their African identity within their individual mission statements as noted in the case study chapters below. 2.3 POLICY INTENTS The opening paragraphs and the Purpose section of the White Paper (1997) focus on South Africa's transition from apartheid to democracy, the need for transformation and the RDP, while clearly situating the expected role of higher education in our transforming society: South Africa's transition from apartheid and minority rule to democracy requires that all existing practices, institutions and values are... rethought in terms of their fitness for the new era. Higher education plays a central role in the social, cultural and economic development of modern societies... In the context of the present-day South Africa, they must contribute to and support the process of societal transformation outlined in the RDP, with its compelling vision of people driven development leading to a better quality of life for all. (South Africa, 1997a, p. 7) 33 Similarly, the Preamble to the Higher Education Act (1997) sets out the aspirations for higher education: Establish a single-co-ordinated higher education system which promotes co- operative governance...; Restructure and transform programmes and institutions to respond better to the human resource, economic and development needs of the Republic; Redress past discrimination and ensure representativity and equal access; ... Promote values which underlie an open and democratic society based on human dignity, equality and freedom; Respect ... scholarship and research; ... Pursue excellence... ; Respond to the needs of the Republic and of the communities served by the institutions; Contribute to the advancement of all forms of knowledge and scholarship, in keeping with international standards of academic quality... enjoy freedom and autonomy... within the context of public accountability. (South Africa, 1997b, p. 1) It would appear that this document is weighted slightly in favour of the RDP, redress and equity, as these are mentioned ahead of growth and the labour market in the 'Purpose' section. The four purposes outlined in the White Paper relate to equity, growth, socialization and the creation of knowledge. As noted, the higher education policy mirrors the national approach of establishing dual goals of economic growth and social redress to achieve progress, development and social justice. The White Paper 3 on Education (1997), and its precursors, the National Education Policy Initiative (NEPI) report (1992) and the NCHE report (1996), all emphasize the following principles: equity and redress; democratization; effectiveness and efficiency; development; quality; academic freedom; institutional autonomy and public accountability (see South Africa, 1997a, pp. 8-10). The NCHE (1996) document, which informed the White Paper 3 (1997) recommends the adoption of the following principles as a departure from the apartheid higher education policy, which had ignored equity and redress: "A new funding framework for higher education in South Africa should be developed which is consistent with the principles of equity (including redress), development, democratization, efficiency, effectiveness, financial sustainability and shared costs" (South Africa, 1996a, p. 216) 34 These principles seek to correct the problems inherent in these apartheid institutions. The focus on equity and redress is intended to ensure that the barriers to access for blacks, women and other previously excluded groups are removed; democratization will be achieved through the establishment of representative, participatory governance structures such as Councils and Institutional Forums to ensure the implementation of the transformation process at institutions; effectiveness and efficiency will help to remove the duplication and waste inherent in having separate and unequal institutions and uneven access to disciplines like science and technology and commerce and, it will increase responsivity to labour markets; development will ensure that the institution engages with students and other sectors in society to build its own capacity and contribute to the common good; quality will ensure that international standards are matched and it will allow for better throughput rates and research productivity; academic freedom and institutional autonomy, which were curtailed during the apartheid era, will be upheld and restored; public accountability means greater responsiveness and responsibility to society at large, which never existed in the previous system. The document qualifies the meaning of'institutional autonomy' leaving little space for institutions to balk at their role of contributing to transformation: "However, there is no moral basis for using the principle of institutional autonomy as a pretext for resisting democratic change or in defence of mismanagement. Institutional autonomy is therefore inextricably linked to the demands of public accountability" (South Africa, 1997a, p. 13). This qualification is necessary within the South African context where institutions can use their autonomy as a foil for refusing to engage in the democratic change processes. 2.3.1 Principles of equity and redress, and democratization In terms of "equity and redress", the first "fundamental principle" listed in the White Paper (1997): The principle of equity requires fair opportunities both to enter higher education programmes and to succeed in them. Applying the principle of equity implies, on the one hand, a critical identification of existing inequalities 35 which are the product of policies, structures and practices based on racial, gender, disability and other forms of discrimination or disadvantage, and on the other a programme of transformation with a view to redress. Such transformation involves not only abolishing all existing forms of unjust differentiation, but also measures of empowerment, including financial support to bring about equal opportunity for individuals and institutions. (South Africa, 1997a, p. 11) With regard to "democratization," the White Paper states: The principle of democratization requires that governance of the system of higher education and of individual institutions should be democratic, representative and participatory and characterized by mutual respect, tolerance and the maintenance of a well-ordered and peaceful community life. Structures and procedures should ensure that those affected by decisions have a say in making them, either directly or through elected representatives. It requires that decision-making processes at the systemic, institutional levels are transparent, and that those taking and implementing decisions are accountable for the manner in which they perform their duties and use resources. (South Africa, 1997a, p. 12) Equity is to be achieved through the development of "race and gender equity goals and plans" (p. 22). The policy pays attention not only to equity and redress, but also to equity of outcomes: "Ensuring equity of access must be complemented by a concern for equity of outcomes... the Ministry is committed to ensuring that public funds earmarked for achieving redress and equity must be linked to measurable progress toward improving quality and reducing the high drop-out and repetition rates" (ibid.). This policy goal set out in the White Paper (1997) is aided by a crucial piece of legislation, namely, the Employment Equity Act (1998) (South Africa, 1998). The Employment Equity Act (1998) requires individual organizations to develop Employment Equity Plans, setting out procedures to guide the redress of previously disadvantaged groups (ibid.). Employment Equity plans, commonly referred to as affirmative action policies with set targets, have had to be developed by all institutions as a way of ensuring greater equity among university staff. Interestingly, whereas racial equity is addressed in general together with other areas of differentiation such as gender, age and disability, specific attention is given to gender equity in the White Paper: 36 The Ministry is committed to an institutional culture in which there is gender equity. Institutions have a responsibility for creating an equitable and supportive climate for women students and staff. Priority areas affecting women's participation include women's representation in senior academic and administrative positions and institutional governance structures, child-care facilities at institutions, affirmative action for women's advancement and mechanisms to draw women students into postgraduate studies and into science and technology. Institutional information systems should incorporate mechanisms for monitoring and collecting data on women students and staff. (South Africa, 1997a, p. 43) Nowhere does the White Paper single out racial equity to the same extent as it does gender equity. Nor does it refer directly, as cited above, to the institution's responsibility in providing a "supportive climate" for black students and staff, ensuring their "participation" in senior academic and administrative positions. Nor is specific reference made to "affirmative action for the advancement" of black people, as we see in the case of gender cited above. This apparent oversight in the policy may also account for universities' interpreting equity as gender redress only, as will be shown in the forthcoming chapters. To give impetus to the realisation of the principle of democracy, the goal was that: "New structures should provide for co-operative decision-making between... stakeholders" (South Africa, 1997a, p. 14). The White Paper is explicit about the need to transform the governance of universities: The transformation of the structures, values and culture of governance is a necessity, not an option, for South African higher education.... Wholly transformed governance arrangements are needed to chart and steer the development of a single, integrated national system of higher education. (South Africa, 1997a, p. 35) Universities were required by legislation to ensure greater representation and participation of previously disadvantaged people in higher education decision-making, through newly constituted representative structures - Governing Councils and Institutional Forums. Completely new governing structures were established through broad consultative processes at all universities post-1994. These Governing Councils were representative of the wider South African society and included participants from sectors as diverse as local government, 37 business, industry, civic organizations, formal and non-formal education institutions, health and legal and commercial professionals. The Governing Councils, proclaimed by the White Paper (1997) to be the "the highest decision making bodies of public institutions," were to operate in accordance with principles and procedures set out in the Higher Education Act (South Africa, 1997a, p. 41). This Act states that Senate is "accountable to Council for the academic and research functions" of the institutions (South Africa, 1997b, p. 24, clause 28(1)). Council members consequently assumed unprecedented responsibilities in terms of public accountability for the governance of the institution, specifically with regard to its progress and development, transformation and fiscal management. Whereas Councils developed the framing policies, the Institutional Forum was expected to: a) advise council on issues affecting the institution, including - i) the implementation of this (Higher Education) Act and the national policy on higher education; ii) race and gender equity issues; iii) the selection of candidates for senior management positions; iv) codes of conduct, mediation and dispute resolution procedures; and v) the fostering of an institutional culture which promotes tolerance and respect for fundamental human rights and creates an appropriate environment for teaching, research and learning; and b) perform such functions as determined by the council. (South Africa, 1997b, p. 26, clause 31(1)) This excerpt from the Higher Education Act illustrates the important role expected of the Institutional Forum in guiding the implementation of the transformation. The forum was to be comprised of representatives from all levels of the institution who would participate in debates and discussions and develop further policy related to transformation. As can be seen from the policy, the Governing Council and the Institutional Forum are expected to play a significant role in enabling and supporting the actual implementation of the transformation. In addition, institutions were expected through a strategic planning process to develop new Missions and institutional cultures (South Africa, 1997a, pp. 19, 24). With such policies and 38 structures in place at universities, it is not difficult to see that society had great expectations for the transformation of these institutions. 2.3.2 Principles of quality and, effectiveness and efficiency According to the White Paper (1997), quality is associated with "ideals of excellence" and "entails evaluating services and products against set standards with a view to improvements renewal or progress" (South Africa, 1997a, p. 12). The principles of effectiveness and efficiency focus on the growth goals for higher education and on the more efficient use of financial and other resources: An effective... institution functions in such a way that it leads to desired outcomes or achieves desired objectives. An efficient system... is one which works well, without unnecessary duplication or waste, and within the bounds of affordability and sustainability.... Making optimal use of available means. (South Africa, 1997a, p. 12) Later in the document, institutions are advised to seek out private funding: "In the present context of limited real growth in public expenditure, making progress in achieving equity and redress goals will require institutions, in turn, to mobilize greater private resources as well as to reallocate their operating grants internally" (p. 22). To realize the principle related to growth, the White Paper (1997) calls for a "single coordinated system": "Higher education must (be) replanned, governed and funded as a single national co-ordinated system, in order to overcome fragmentation inequality and inefficiency... in the pursuit of multiskilling and reskilling" (South Africa, 1997a, p. 17). Furthermore, a "programme-based approach" is adopted (ibid.). It promotes articulation within the National Qualifications Framework (NQF) to ensure that quality is maintained in accordance with local and international standards (South Africa, 1997a, p. 18, 28). To give effect to these principles, institutions are expected to develop "three-year rolling institutional plans, with data, resource estimates, targets and plans annually updated, (that) enables the planning of growth and change in higher education to be more flexible and responsive to social and economic needs, including market signals" (South Africa, 1997a, p. 39 19). As can be seen, market signals are significant for growth. To aid efficiency, the White Paper (1997) calls for: Regional co-ordination and collaboration...(to) enhance articulation of programmes... the sharing of resources, including scarce academic and technical staff, library and information services... (and to) reduce programme duplication and overlap. The Ministry will provide incentives to encourage and facilitate regional planning and co-ordination. (South Africa, 1997a, p. 20) This new policy framework establishes the foundation for a unified, equitable, well-planned, program-based system of higher education. It is necessary to note that efficiency and growth are intended as a means to creating a "unified and well-planned" higher education system. It is when growth and efficiency become ends in themselves that they risk compromising the transformation project. To give effect to the transformation of higher education through the implementation of these policies, the White Paper (1997) calls for the establishment of a "new Higher Education Branch of the Department of Education" whose functions include "policy development and planning, resource allocation and financing, information collection and analysis, and monitoring and reporting on higher education" (South Africa, 1997a, p. 40). In addition, the documents call for the establishment of the Council of Higher Education (CHE) "to give effect to the transformation of higher education institutions" (South Africa, 1997a, p. 36; see also South Africa, 1997b, pp. 10-18). 2.3.3 Policy intents for research The importance of knowledge creation arid dissemination within higher education is emphasised early on in the Higher Education Act (1997) and the White Paper (1997). Research is identified as one of the core functions of higher education: The production, advancement and dissemination of knowledge and the development of high-level human resources are core functions of the higher education system. Research plays a key role in both these functions. It is the principal tool for creating new knowledge. The dissemination of knowledge through teaching and collaboration in research tasks are the principal tools for developing academic and research staff through postgraduate study and training. (South Africa, 1997a, p. 31) 40 As noted earlier, the Preamble of the Higher Education Act proclaims a higher education system that will "provide optimal opportunities for the creation of knowledge... respects... research and scholarship... (and) contributes to the advancement of all forms of knowledge" (South Africa, 1997b, p. 2). Among the four "purposes" outlined at the beginning of the White Paper (1997) is the following related specifically to research: "To contribute to the creation, sharing and evaluation of knowledge. Higher education engages in the pursuit of academic scholarship and intellectual inquiry in all fields of human understanding, through research, learning and teaching" (South Africa, 1997a, p. 8). It is significant also to note that, early on in the White Paper, the future research agenda is linked to economic and technological changes that result from globalization: These economic and technological changes create an agenda for the role of higher education in the reconstruction and development. This includes (among others)... Production, acquisition and application of new knowledge: national growth and competitiveness is dependent on continuous technological improvement and innovation, driven by a well-organised, vibrant research and development system which integrates the research and training capacity of higher education with the needs of industry and of social reconstruction. (South Africa, 1997a, p. 10) At the same time, there is a focus on local needs. Among deficiencies noted in the apartheid higher education system was lack of focus on local problems: While parts of the South African higher education system can claim academic achievement of international renown... there is still insufficient attention to the pressing local, regional and national needs of the South African society and the problems and challenges of the broader African context. (South Africa, 1997a, p. 8) In addition, the "Vision" for higher education enshrined in the White Paper calls for the advancement of all forms of knowledge that address the African context: The Ministry's vision is of a transformed, democratic, non-racial and non- sexist system of higher education that wi l l : . . . (among others) contribute to the advancement of all forms of knowledge and scholarship, and in particular address the diverse problems and demands of the local, national, southern African and African contexts, and uphold rigorous standards of academic quality. (South Africa, 1997a, p. 11) 41 This policy does not make explicit what exactly may be deemed to be "all forms of knowledge". In fact, there is no reference to indigenous knowledge systems (IKS) in the White Paper 3. The notion of IKS only emerges later in the NRF policy documents which pay increasing attention to IKS. Indeed, the NRF identifies DCS as one of nine research focus areas for which it provides funding (NRF profile, 2004). These policy intents, however, attempt to balance the dual goals of globalization and democracy with reference to research undertakings in higher education, as will be discussed in the next section as well. Mode 2 research The higher education policies and several scholarly analyses seem to indicate that one of society's expectations of the university, as a knowledge producer and disseminator, is to contribute towards solving the tremendous social problems facing South Africa. According to Kraak (1997), there is clear evidence in higher education of knowledge being harnessed through partnerships, a feature of Mode 2, in the interests of social struggles (p. 65). The NCHE (1996) recommendations and the White Paper 3 (1997) are explicit about the role that Mode 2 knowledge production has to play in higher education in South Africa (Jansen, 2002, p. 508; Kraak, 2001, p. 20). The White Paper (1997) thus specifically recognises shifts in the mode of knowledge production: The nature of the research enterprise has undergone radical change through: the development of multiple sites of research and knowledge production which are partly or wholly separated from higher education...; the impact of transdisciplinary and transinstitutional research; new forms of communication -the information highway- which have accelerated and widened access to data and research findings. (South Africa, 1997a, p. 31) Furthermore, the policy asserts that the changing nature of research gives rise to greater accountability processes so that the outcomes of research are not only measured by traditional tools such as peer-reviews, as is the case for traditional research, but also by other indicators "such as national development needs, industrial innovation and community 42 development'" (my emphasis; p. 31). According to the White Paper (1997), higher education must Broaden its capacity to undertake research across the full spectrum, that is, traditional or basic research, application-driven research, strategic research, and participation-based, in partnership with other stakeholders in the national research system. (South Africa, 1997a, p. 32) As part of the implementation of the government's policies, a formal partnership programme, the Technological and Human Resources for Industry Programme (THRU*) has been developed and "comprises a partnership between higher education institutions, business, industry, and government. THRIP aims to develop the competitiveness of South African industry" (South Africa, 1997a, p. 32). While application-based research is promoted, the policy is clear about the status and importance of basic research. As noted in the excerpt above, the policy encourages the undertaking of the "full spectrum of research". In addition, it states: The importance of traditional or basic research must be underscored, as it is crucial in nurturing a national intellectual culture, generating high-level and discipline-specific human resources, and providing opportunities for keeping in touch with international scientific developments - all of which facilitates innovation. (South Africa, 1997a, p. 32) Clearly, there is an attempt to balance the generation of Mode 1 and Mode 2 forms of research. The policy recognises that capacity and resources are necessary to improve the national research system in higher education: "Strengthening the role of higher education in the national research system requires increasing current research capacity, protecting current research resources, finding new sources of research funding, and using all these resources more effectively" (South Africa, 1997a, p. 32). The funding policies, including those that target research development, are outlined in the section below. Suffice to say that the ministry recommends and supports: The development of a national research plan which will identify national priorities for research and postgraduate training, processes for the 43 identification and establishment of centres of excellence and niche areas, targets and performance indicators to achieve redress by developing a more representative research community and incentives for collaboration and partnerships. (South Africa, 1997a, p. 32) We see here the Ministry's commitment and support to improving knowledge creation and dissemination. Several other organizations are named as collaborators in this effort, including the NRF whose responsibility it is "to provide early advice on the current state and future needs of research infrastructure and capacity, including institutional redress in the higher education system" (South Africa, 1997a, p. 32). The role of the NRF and its policies are discussed further below. Redress measures include funding for HBUs, and prioritizing access to masters, doctoral and post doctoral programmes for blacks and women students (South Africa, 1997a, p. 33). The policy is clear on the need to build research capacity, to maintain and improve capacity at institutions that currently excel in generating research, and to target the redress of HBUs and other marginalised groups, such as blacks and women. NRF rating policy The NRF has an evaluation system for rating researchers from higher education institutions (NRF: Evaluation). The system is based primarily on "the quality of their research outputs in the recent past (seven years)" (ibid.). The evaluation is undertaken by national and international peers and rating applications are considered by 21 specialist committees constituted according to the disciplines.21 By means of this evaluation system, the NRF generates data requested for various scholarly and policy reasons. Attaining a NRF rating is regarded as a significant achievement within the academic community in South Africa and it is regarded as a means for obtaining funding and promotions. 2.4 FUNDING POLICIES In the previous chapter, I pointed out that the inequitable resource allocation to universities consolidated the apartheid plan for higher education. Needless to say, therefore, adequate 2 1 For further iiiformation on this system see za/evaluation/. 44 funding is evidently required to implement the policies described above. Chapter Four of the White Paper (1997) enunciates the new funding policies. The policy poses the problem of meeting the costs of higher education right at the beginning of the chapter: "The transformation of the higher education systems to meet growth, equity and quality objectives will involve additional costs. The obvious question is: how are these costs to be met when significant real increases in public expenditure on higher education are unlikely to greatly exceed the real rate of economic growth?' (South Africa, 1997a, p. 45). The policy then recommends that institutions undertake neoliberal reforms: Implement system-wide and institutional reforms that reduce wasteful expenditure, improve efficiency and enhance quality... reducing unit costs... duplication... broadening the use of high quality but less labour intensive teaching and learning strategies.... Improving student throughput and completion rates, aided by ... targeted public funding measures. (South Africa, 1997a, p. 45) While the policy states that the present level of public expenditure on funding is "rather high by international standards and has been growing at a faster real rate than in many countries," it also recognizes that expansion without new investment can result in "overcrowded facilities, low staff morale and poor quality programmes" (South Africa, 1997a, p. 45). The policy is clear, too, about the need for government commitment to higher education, despite the neoliberal macro-economic policies and national commitment to fiscal discipline (South Africa, 1997a, pp. 45-46). The new policy, described as "goal-oriented, performance related public funding," is two-pronged: General purpose block funding to institutions on a rolling triennial basis, and earmarked funds to achieve specific purposes, including targeted redress of inequities in access and capacity, student financial assistance, staff development, curriculum development, research development, libraries and information technology, capital works and equipment, and planned improvements in operational efficiency submitted by individual institutions, (my emphasis) (South Africa, 1997a, p. 47) 45 Block grants are payable on the basis of full-time equivalent (FTE) enrolments in different fields and levels and the submission of triennial institutional plans, which should include missions, enrolment targets, equity goals, human resource development plans, programme development plans, academic development, research development and infrastructure development (South Africa, 1997a, p. 48). The policy recognizes the importance of providing for student aid within the South African context pointing out that "student aid is not an optional extra" (South Africa, 1997a, p. 51). The policy also emphasises the importance of research and makes provision for research output within the funding formula. The policy states: In view of the national strategic importance of research, and in order to ensure that the relatively scarce funds available for the development of research capability are well targeted, public funds for participation in research, whether basic or applied, should not be spread across all faculties or schools but should rather be concentrated in those areas where there is demonstrable research capacity or potential, in both HDIs [historically disadvantaged institutions] and HWIs [historically white institutions]. To give practical effect to this view, the Ministry will provide earmarked funds: • To preserve and strengthen existing areas of research excellence • To develop new areas and centres of research excellence • To develop research links with industry and to facilitate industry-related collaborative research • To facilitate inter-institutional research collaboration • To facilitate collaborative research and technology development with Science, Engineering and Technology Institutions (SETIS), as defined in the White Paper on Science and Technology. (South Africa, 1997a, p. 54) As can be gleaned from this excerpt, the focus of collaboration leans towards industry rather than community-related research or indigenous research. This matter is discussed later in this dissertation. However, the policy does allude to the role of the National Research Foundation (NRF) in the co-ordination and funding of research activities (South Africa, 1997a, p. 54). As can be seen from the above discussion, the new funding policy intents are to reduce waste through neoliberal reforms, improve efficiency and quality, encourage growth of the sector and redress inequalities of the sector. These funding intents can only be realized 46 if the neoliberal policies are used as a means to an end, the end being redress and the removal of current resource inequities. In addition, the timely and efficient implementation of these policies is crucial if these intents are to be realized. As will be seen from the discussion that follows here and later in the thesis, there have been delays in this funding policy, which have seriously compromised the functioning of an institution like Fort Hare and its capacity to produce knowledge. The NCHE documents of 1996 highlighted the undesirable effects of the old South African Post-Secondary Education (SAPSE) formula (NCHE, 1996). According to the NCHE (1996) document, the SAPSE policy ignores the existing inequities and inequalities within the higher education system (see Bunting, 2002b). Having been designed specifically for HWUs, the SAPSE formula had negative consequences for HBUs (Bunting, 2002b, p. 127). Unfortunately, there have been delays in implementing the new funding policies espoused in the White Paper. To understand the full effect of these delays and how universities have responded to the challenges arising from these delays, it is necessary to explore the history of funding for higher education, especially since these funding policies continue to have an impact on the higher education system today. 2.4.1 Higher education funding during apartheid The ramifications of the apartheid funding policies for the current higher education system are widespread and, at times, appear to be impervious to new systems and policies. According to Bunting (2002b), two broad types of government funding were in place in South Africa during the apartheid era, namely, negotiated budgets for the HBUs and formula funding, known as the SAPSE formula, for the HWUs (p. 116). Bunting explains that HWUs were "given considerable administrative and financial powers" on how grants could be spent, how many staff to employ, what tuition fees would be charged and how surplus funds could be invested (ibid.). The SAPSE formula was based on the following criteria: 1) student enrolment and throughput rates; 2) subject groupings based on natural sciences and 47 humanities; 3) course levels with weightings from one to four —undergraduates were weighted by one and doctoral students by four; 4) cost units that included staff, supplies, services, building renewals, library book and periodicals (cost units increased annually with inflation); 5) gross formula totals based on tables of ratios between the cost units and the subject grouping funding; the nett subsidy total for the shared cost between the government and the consumer was determined by the gross formula income, less the amount raised from students and private sources, usually constituting on average 20 % of the gross formula for HWUs; 6) a-factors, which ranged on average between 0.75 and 1, for adjusting subsidies in line with the national budget (Bunting, 2002b, pp. 118-120). HBU's, on the other hand, were not given these administrative and financial powers. Instead, their tuition fees and details of their expenditure budgets, for example staff employment, building maintenance and equipment purchase, had to be approved by their controlling government department and unspent funds had to be returned to the department. As Bunting points out, this meant that HBUs were unable to build up reserve funds and, because expenditure budgets were based not on student enrolment, but on the previous year's budget, allocations did not address areas such as library resources, laboratory and computer facilities, leading to increased disparities between HBUs and HWUs (2002b, p. 118). This difference in funding arrangements between the HWUs and the HBUs clearly illustrates the heinous inequalities that existed between the different systems. In 1988, the six HBUs that supposedly fell under the jurisdiction of the Republic of South Africa, were placed on the funding formula known as the SAPSE formula "with its underlying apartheid assumptions and principles" explicitly designed for the HWUs (Bunting, 2002b, p. 120). The remaining HBUs were still at that time part of the homeland states known as the TBVC states (Transkei, Bophutatswana, Venda and Ciskei). The University of Fort Hare, for instance, was controlled by the administration of the Ciskei homeland state. From 1986 until 1994, the last year of the apartheid government, the national 48 student enrolment increased by 73 % but, because of the high inflation rate in the floundering apartheid economy, the government could not maintain the SAPSE funding and consequently used the a-factor to reduce its share of funding from 90 % in 1986 to 65 % in 1994 (Bunting, 2002b, p. 124). This led universities to diversify their funding, which was effected mainly through increasing student fees (Bunting, 2002b, p. 125). In 1995 the HBUs in the TBVC states, including Fort Hare, which had enjoyed better funding in comparison to the RSA HBUs, were incorporated into the unified higher education system of the new South Africa and also fell under the existing SAPSE formula (Bunting, 2002b, p. 128).22 Bunting contends that the application of the SAPSE to HBUs "had unintended, but serious consequences for black higher education institutions in South Africa - not just during the years 1988-1994, but also during the years following 1994" (2002b, p. 117). I contend that the disastrous consequences of applying a policy specifically designed for HWUs to HBUs are obvious when one considers the SAPSE criteria listed above. When HWUs opened to all races, there was an exodus of elite blacks students from the HBUs. The students who remained at the HBUs came from underprivileged communities and could not afford the fee increases. According to Bunting, at least 33 % of fees would not be recovered (2002b, 127). Success rates at the HBUs were lower because the students were from underprivileged backgrounds and had received an inferior primary and secondary schooling. These students required both financial aid and remedial assistance. As noted in chapter one, disciplinary choices were limited at the HBUs, favouring the humanities. Course levels were mainly undergraduate because these were teaching universities, and fewer blacks enrolled for postgraduate levels. Cost unit funding was based on historical funding meaning HBUs, which had never received funding for infrastructure and facilities, would remain under-equipped in terms of infrastructure and facilities, such as library holdings as we shall see from the 2 2 More funds were allocated to the homeland governments because the apartheid government was determined to give the homeland system the semblance of success, hoping thereby to make its policy more credible to the world. 49 evidence in the forthcoming chapters. It is not difficult to deduce that the SAPSE formula was disadvantageous for the HBUs, creating greater disparities between them and the HWUs in post apartheid South Africa. As Bunting (2002b) correctly asserts, the application of the SAPSE formula to HBUs from 1988 "sowed the seeds of the serious financial problems, which historically black institutions were to experience in the later 1990s" (p. 122). Bunting found that higher education funding, which had been decreasing between 1988 to 1994, the last years of apartheid, in fact remained constant between 1997 and 2001 in terms of student subsidy. The total amount appropriated by government had, however, "increased in real terms," making the often heard refrain that the new government had cut funding, empirically incorrect (2002b, p. 136). Rather, the level of funding was not high enough to meet the needs of higher education. But the disparity between HWUs and HBUs had increased over this period. The market value of the long-term investments of the HWUs doubled between 1993 and 1999 and accounted for their access to private income, suggesting, according to Bunting, that no redistribution of funds had occurred between HWUs and HBUs. Bunting's significant finding is that there was rapid diversification of funding by the late 1990s, as institutions adapted to the new global and national environment, with more than 10 % of the income of universities emanating from grants and contracts from industry and commerce. This a proportion was not achieved in many developed countries and matched at the time only by private US universities (2002b, p. 142).23 A further 10 % was generated by their investment holdings. This successful adaptation applied mainly to HWUs. In real rand terms, government appropriations to HWU-A increased by 22 % and to HWU-E by 7 %, whereas to HBUs it decreased by 8 % between 1999 and 2001 (Bunting, 2002b, pp. 136- 137), showing the reach of the apartheid machinery five to six years later. Bunting draws on a study by Ziderman and Albrecht (1995) to make these comparisons. 50 Bunting points out that South Africa spends 22 % of the total state budget on education; 15 % of this amount goes to higher education, which is 0.8 % of the GDP and which "compares favourably with middle- and even some high-income countries" (Task Force report as cited in Bunting, 2002, p. 143). Bunting argues that the government's "contribution to institutional budgets has consistently been at a level seen only in highly developed countries" (Bunting, 2002b, p. 143). When these statistics are viewed as a whole, they do not reveal how the funding continued to privilege the HWUs; nor do they show that this high level of funding pertained to the HWUs alone because the actual funding to HBUs decreased by 8 % during this period, as noted above. In the section below, I discuss the NRF funding policy for supporting the development of research capacity at institutions. 2.4.2 NRF funding policy The NRF is a government funded national agency responsible for promoting and supporting basic and applied research (see NRF: Profde). The stated objective of the NRF is to support, promote and facilitate the creation of knowledge, innovation and development "in all fields of the natural and social sciences, humanities and technology, including indigenous knowledge" through funding human resource development and the provision of research facilities (NRF: Profile). It aims to contribute "to the improvement of the quality of life of all the people of the country" (NRF: Profile). In addition, it is the NRF's vision to act as a key instrument in the creation of an innovative, knowledge-driven society where all citizens are empowered to contribute to a globally competitive and prosperous country (NRF: Profile). It seeks "to unlock the full creative potential of the research community and to establish equity and redress" (NRF: Profile). This profile projects the NRF as serving the dual needs of research, namely, democratization and globalization. The commitment to democratization is indicated by the NRF's intention to "improve the quality of life for all the people of the country," to "unlock the full creative potential of the research community and establish equity and redress" and, to 51 promote knowledge creation and innovation in all fields, "including indigenous research", whereas the intention to support globalization is indicated by the intention to create a knowledge driven society where all citizens are empowered to contribute to a globally competitive economy (NRF: Profile). The NRF thus sponsors numerous research activities that are "relevant" and "community oriented", involving stakeholders such as government, industry, private sector and rural communities. The NRF's Thuthuka programme is aimed at building research capacity and is aimed at new researchers below the age of 40 years. The programme offers funding in three categories: the RiT category for entry-level researchers; the WiR category for women in research and the RETIBA category for young black researchers (see h1tp:// prograrnme_framework_2005.doc). This funding is offered for three consecutive two-year cycles. Universities are expected to match the 2:1 formula, i.e. to contribute two rands for every rand contributed by the NRF. The THRIP (Technology and Human Resources for Industry Programme) aims to boost South African industry by supporting research and technology development (NRF: THRIP). One of the participants, Murray, explained that the programme offers collaborative funding, on a rand for rand basis, received from government and industry, conditional on the HWU having an HBU partner in the project (I: Murray).24 In chapter eleven I discuss "socially relevant" research and find that the NRF needs to pay more attention to defining what is meant by "relevant", "community-oriented" and "partnership" research because much of the research currently being conducted under the rubric of socially relevant research may not be relevant or community oriented. Quotations and citation from the participants interviews are denoted as (I: name of participant). A list of pseudonyms may be found in appendix A 52 2.5 P O L I C Y I M P L I C A T I O N S In this section, I discuss the implications of the new policies for the universities in my study. As noted, these policies reflect the national macro-policy trends that emphasize the dual goals of globalization and democracy, i.e. economic growth and social redress, and higher education's agency in contributing to South Africa's transition to a new democratic society. The expectations and responsibility of universities to play a role in the transformation is evident in these policies. The policy warns the old guard against balking at the process; it states clearly that institutional autonomy may not be viewed as "a pretext for resisting democratic change or in defence of mismanagement" (South Africa, 1997a, p. 13). For this reason, public accountability features very strongly on the new policy agenda. Furthermore, there is a call for situating the policy changes within a local and African context, a point that appears to have eluded the HWUs in this study, as will be noted in the later discussions. 2.5.1 Globalization versus democratization The White Paper (1997) and Higher Education Act (1997) appear to balance the dual goals of growth and redress. However, Cloete (2002) observes that whereas the earlier higher education policy agenda was oriented towards the local concerns of equity, democracy and unity (p. 412), later policy documents such as the CHE (2000) and the National Plan for Higher Education (2001) place greater emphasis on neoliberal goals of growth, effectiveness and efficiency (see Cloete, 2002, p. 103). Hence, although there appears to be a balance in the concerns related to, on the one hand, growth and progress, expressed through the principles of effectiveness, efficiency, development and quality, and on the other hand, the principles of equity and redress, as expressed through democratization, academic freedom, institutional autonomy and public accountability, more recent policies lean toward the goals of globalization. Therefore, it is not without policy precedents that we see evidence of this shift towards neoliberalism in the way the policies are being implemented at the universities in this 53 study. The neoliberal policies that support growth and development assume predominance, leading to the obfuscation of democratizing policies. In response to my question about the impact of transformation on his research, for example, graduate student Sipho, a participant in the study, argued that the macro-economic policies of the government and their related cuts to spending would not assist HBUs to emerge from the inequities of apartheid: [There is an] emphasis on economic growth that is propelled by the business sector inferring that government takes a back seat in the form of curbed government expenditure, downsizing of public personnel which works against the very aspirations of an improved delivery service. (I: Sipho) Sipho sees this as being in "major contradiction" with the RDP that was aimed at the socio- economic development of the people of South Africa: The RDP abruptly came to an end and it was substituted by the GEAR. A bag of lies has since been put forward in saying that the GEAR also encompasses an element of the RDP, in fact it is a vehicle through which the RDP could be realized. This is not true... because GEAR says the government will spend less and the private sector will spend more. (I: Sipho) I do not intend to argue against growth and progress nationally or effectiveness and efficiency institutionally. The original intentions of the policy regarded growth and efficiency as a way of reducing the waste, inefficiency and duplication characteristic of the apartheid system and of bringing about a more unified and equitable system that would serve the ends of democracy and redress. It is when growth and efficiency become ends in themselves that they threaten the transformation project; when cuts to spending are just that without prioritizing, for example, research related spending; when massification is viewed as a way to generate income alone rather than to redress student access as well; that the ends of democracy and redress may be compromised. I am concerned that without conscious effort being paid to achieving a balance between neoliberalism and social justice imperatives, as was originally intended by the policy, neoliberalism will dominate and obscure the ends of social justices, as will be shown in the chapters to come. This would result in a higher education system that continues to reproduce privilege and power among the dominant group in South Africa, so 54 that the transformation exists in name only. The critics of neoliberalism have argued that it not only increases inequality and widens the gap between the poor and rich nations, but that there is no example in the world where neoliberal economic adjustments have produced socially progressive outcomes (Bertelsen, 1998, p. 136; Jones, 2000, p. 30; Marais, 1998, p. 171; Odora Hoppers, 2000; Stromquist & Monkman, 2000b, p. 12). Even self-confessed, classical economist Rodrik contends that the benefits of the open market are exaggerated. He argues that, when developing countries have succeeded in fostering long-term economic growth, they have adopted unorthodox innovations, "none of which came out of the Washington economists' tool kit" (2001a, pl3). 2 5 The White Paper lists "inequitable distribution of access and opportunity for students and staff' among the challenges within the higher education system (South Africa, 1997a). There appears to be an understanding here that equal access does not necessarily mean equal opportunity. However, the only way institutions are expected to account for increasing opportunities for the previously disadvantaged is through the submission to the national department of the three year rolling plans that include "targets," in the form of figures, to be reached. These plans then become the basis on which funding is allocated by the department. In other words, funding is contingent on the plans demonstrating that the institutions have indeed planned for achieving equity and redress through targetted figures and equity plans. Hence, despite the policy intentions and the principles underpinning the notions of democracy and equity outlined earlier in this chapter, it finally percolates into numbers and target figures mainly. Aside from changes in mission and vision, the policy goes no further in calling on these colonial or apartheid designed institutions to demonstrate how they are going to effect changes to their institutional cultures, systems and structures in order to respond to a new society and to accommodate a new generation of student and staff. The policy does not go far enough in requiring institutions to interrogate their administration systems and 2 5 This refers to World Bank and IMF economists. 55 structures by asking, for example: What is the state of readiness or preparedness of these institutions to respond to a new generation of students and staff? The problem is articulated as one of numbers alone at the policy level. Without any clear notions of how such changes will be demonstrated, the principles espoused in the White Paper serve a symbolic purpose, as do the new institutional mission statements. These issues are discussed further in the later chapters. As noted in this chapter, the White Paper makes specific mention of gender equity, whereas references to racial equity are lumped together with other areas of differentiation such as gender, age, and disability (South Africa, 1997a, p. 43). Nor is there any specific reference to affirmative action for black people, as there is for women. This oversight, although correctly intended to emphasise the low participation of women in the academy, may have led some universities to interpret equity as meaning the affirmation of white women mainly, as will be shown in chapter ten below. 2.5.2 Mode 2 research As noted, the policy is explicit about Mode 2, the applications based, context relevant, transinstitutional, transdisciplinary, heterogenous and problem-solving nature of this mode of research, and its suitability for South Africa's needs. Mode 2 allows for research that is responsive to both the market and social needs. The policy implies that the adoption of the Mode 2 approaches to knowledge production will assist universities in their pursuance of the dual goals of democratization, through its emphasis on accountability, relevance and community development, and globalization, through industrial sector partnerships and the commercialization of research. The vibrant debate among scholars focuses on whether Mode 2 research benefits social reconstruction and development or whether it instead accentuates marketization and commercialization of knowledge (Bertelsen, 1998; Kraak, 2001; Subotsky, 1999; Waghid, 2002) and to a lesser extent, whether it will erode the base of research, namely, pure research (Bawa, 1997; Bawa & Mouton, 2002; Muller, 2003). 56 The predominant view among these scholars is that Mode 2 research will supplement rather than supplant Mode 1 research (Bawa, 1997; Kraak, 1997; 2001; Subotsky, 1999; Waghid, 2002). Kraak (2001) emphasises that Mode 2 is not just a new way of conducting research, but also the outcome of powerful social forces (globalization and massification of access), and a move from an elitist academic culture to one that is accountable to the broader society (p. 15, 17). He evinces that the benefits of the democratization of higher education have been entirely missed by the marketization debate. Bawa and Mouton, however, point out that whereas basic research constituted 75 % of research output in 1991, only 23 % of research could be classified as fundamental research in the 1995/6 academic years (2002, pp. 315-316). He cautions that disciplinary experts are only produced in the context of Mode 1 type of research and teaching, which is essential to the production of high skills required for growth of the economy (Bawa, 1997, pp. 48-49). On the other hand, Subotsky argues that Mode 2 type knowledge could benefit development related research opportunities in the context of community partnerships (1999, p. 515). He posits that there are numerous accounts in the literature that characterize the market university but little sense of what reconstructive development might entail operationally (1999, p. 514). The policies do not define how Mode 2 research should be applied when conducting research with communities. They provide no interpretation of terms like 'stakeholder', 'collaboration' or 'partnerships'. Although there is reference to "all forms of knowledge," the policy does not elucidate the usage of this term and the omission of any reference to IKS is glaring. This perhaps demonstrates that not much thought was given to IKS by 1997. Subsequently, however, NRF policy made this area of research one of its focus areas to which funding is allocated. Following this emphasis on IKS by the NRF and a few scholars like Odora Hoppers (2002), IKS is now beginning to receive attention but not necessarily of the kind that benefits it. In addition, terms such as 'responsive' and 'social engagement' are discussed mainly in relation to the market, rather than in relation to communities (see Centre 57 for Higher Education Transformation, CHET, Reports and publications,; Higher Education and the City, 2003). Whereas South African scholars have researched and debated this issue of market related research rather than community based research (Kraak, 1997, 2001; Soudien & Corneilse, 2000; Waghid 2002), as noted I wish to focus on 'socially relevant' research as it relates to community involvement in the research being conducted by academics; research as a "public good" (L.T. Smith, personal communication, 30 July, 2004). As noted, Kraak contends that Mode 2 allows for knowledge to be harnessed in the interests of social struggles (1997, p. 65). I discuss this notion of research and the participants' engagement in socially relevant research in chapter eleven. 2.5.3 Funding The new funding arrangements emphasise "the national strategic importance of research" and links research output directly to the formulae. Earmarked funds are allocated to strengthen existing research, develop new areas of research and facilitate inter-institutional collaboration. It must be pointed out though that the focus of research, as enunciated in the policy, leans towards industry rather than community related or indigenous research. The government's delay in implementing a new funding plan led to some HWUs adopting strategies that generated considerable financial benefits (Bunting, 2002b, p. 174). The HWU-As, adopted managerial and entrepreneurial strategies, diversifying their programme offerings according to the market and dramatically increasing their student enrolment dramatically, like UPE for example, while retaining their white students and setting up satellite campuses and distance education programmes that enrolled mainly African students (see Bunting, 2002b, p. 176). The HWU-Es adopted an inward looking strategy that focused on improving academic programmes rather than expanding enrolments, while the HBUs adopted the strategy of waiting for redress, having been conditioned into awaiting decision-making from Pretoria (Bunting, 2002b, p. 177-178). I disagree with 58 Bunting's contention that included in the focus of the HWU-Es was the objective of "meeting government requirements in regard to student and staff equity" (2002, p. 176). Other studies, for example Mabokela's study of UCT, show that the equity requirements have not been met (Mabokela, 2000, 2001). The findings in this study show that the HWU-E a long way from meeting the equity requirements (see chapter ten below). Bunting refers to this application of the SAPSE formula to HBUs by the past government as an "adaptive strategy" that had "unintended" consequences for the HBUs (2002b, p. 117). He posits that the apartheid government had adopted a "hands-off' approach, thus allowing universities to have greater administrative and financial autonomy in the face of market pressures (Bunting, 2002b, p. 121). I find it difficult to believe, though, that the apartheid government did not foresee the disastrous consequences for HBUs, given how clearly unsuitable the criteria were for them. By 1988, change was inevitable and the apartheid government was beginning to disintegrate. Yet, there was considerable resistance among the old guard to the imminent changes within South Africa. Many HBUs struggled to survive during the 1990s and some faced closure. This meant that they might not survive the transition and hence, would not be able to compete with HWUs for the higher education market. The black elite would seek out the better-funded and well-managed HWUs. The inequitable funding allocation to universities by the former minority government thus consolidated the apartheid grand plan for separate and unequal higher education. The application of the SAPSE funding to HBUs appears to have been a part of the apartheid plan to ensure that the most disadvantaged institutions would become further disadvantaged. Of graver concern, however, is that despite the development of new funding policies, the new democratic government continued to operate on the old formula well into the beginning of 2004. The apartheid grand plan had been so firmly entrenched that 10 years of democracy have failed to unseat the old policy intentions. 59 The new higher education policies, discussed in this chapter, demonstrate that the point of departure is the important role of higher education in establishing a new democracy. A new Higher Education Branch has been established in the Department of Education to support the transformation and development of the higher education sector. Unfortunately, as noted by some participants, this organ of the government does not seem to have the capacity to support the sector, as is evident from the inefficient processing of funding allocations to universities and the delays in implementing the new funding policies. In the rest of this dissertation, I discuss how these policy changes have been experienced by the participants and what effect they have on the knowledge producing processes in the academy. I further examine what the challenges to their implementation have been. 60 CHAPTER THREE METHODOLOGY 3.1 INTRODUCTION This study explored the responses of academics, graduate students, senior managers/ policy makers and librarians at three South African universities to the forces of globalization (neoliberal economic reforms and new technologies) and democratization (redress and equity), with a particular focus on how the changes resulting from these forces relate to their research programs and knowledge producing processes. The study investigated how these universities are attempting to develop their research capacities, as one very important aspect of their contribution to a new democratic social order in South Africa. Research of this social nature is "value laden, being rooted in a social world that is socially constructed" (Banister et al., 1994, p. 175). According to Hesse (as quoted in Lather, 1986, p. 257), "The attempt to produce value neutral social science is increasingly being abandoned as at best unrealizable, and at worst self-deceptive." Carspeken contends that much of what passes as neutral objective science is in fact biased in favour of privileged groups (1996, p. 7). I adopted a qualitative approach because it allowed me to take account of the local context within which research is conducted at these institutions.26 As Miles and Huberman (1994, p. 10) point out, qualitative research generates '"thick descriptions' that are vivid, nested in real context" and provides for in-depth analysis rather than offering "snapshots" of the phenomenon being studied. It helped me to understand how individual researchers create, modify and interpret the world in which they find themselves (Cohen and Manion, 1989, p. 8). Put differently, it allowed me to gain an insight into the complex world of the "lived experience" of the researcher (Schwandt, 1994, p. 118). Qualitative research is inherently flexible and well suited for locating the meaning people attach to processes and structures in 2 6 My adoption of the survey method as a data gathering technique in addition to interviews does not detract from my approach being predominantly qualitative, as will be discussed below. 61 their lives, for example, their perceptions, assumptions, prejudgments and presuppositions (Van Manen, 1977, as cited in Miles & Huberman, 1994, p. 10). The study was empirical, based on the assumption that "theory is emergent and ... 'grounded' on data generated by the research act" (Cohen and Manion, 1989, p. 39). In particular, I adopted a critical orientation towards my research believing that society is characterized by increasing cultural, political and economic struggles and dislocations (Carspeken, 1996). According to Carspeken, "criticalists" are concerned with social inequalities and direct their work toward positive social change (1996, p. 3). Critical researchers are concerned with the nature of social structure, power, culture and human agency (ibid.). Although critical researchers share this definite value orientation, they do not not really shared a methodological theory (Carspeken, 1996, p. 3). Kinchloe and McLaren (1994) outline the basic assumptions of critical epistemology as follows: 1) A l l thought is fundamentally mediated by power relations which are socially and historically constituted; 2) facts can never be isolated from the domain of values or from some form of ideological inscription; 3) the relationship between the concept and object and signifier and signified is never stable or fixed and is often mediated by the social relations of capitalist production and consumption; 4) language is central in the formation of subjectivity; 5) certain groups are privileged over others; 6) oppression has many faces and focusing on only one of them elides the interconnections among them and finally, 7) mainstream research practices are generally implicated in the reproduction of systems of class, race and gender oppression (as cited in Carspeken, 1996, p.4). Norton Peirce (1995) asserts that critical researchers investigate the complex relationship between social structure and human agency without resorting to deterministic and reductionist analyses (pp. 570-571). Critical researchers also assume that the inequities of race, class, ethnicity and sexual orientation produce and are produced by unequal power relations in society (Norton Peirce, p. 571). Critical researchers in particular are interested in 62 the way individuals make sense of their own experience. This is the reason that I focus on the perceptions and experiences of my participants as they respond to the changes within their working environments. Drawing on Smith (1987), Norton Peirce evinces that institutional ethnography is a method of analyses that "fully recognises individuals as competent practitioners of their every day worlds" (Smith, 1987, as cited in Norton Peirce, 1995, p. 571). Moreover, critical researchers seek to locate their research within an historical context because history is not merely background data but may provide, instead, explanations of the regularities explored in any specifics (Norton Peirce, 1995, p. 571). Universities in South Africa today are embedded in an apartheid history that continues to determine most facets of their current operations. A critical orientation appears to be well suited to my study. It allowed me to consider the unequal social and power relations within and between the different universities, on the basis of racial, ethnic, class, gender and language differences. It enabled me to take into account the contexts, locale and history of these institutions, as I considered the ways in which individual academics made sense of their own experiences as researchers in a changing South Africa. A postmodern approach allowed me to deconstruct perspectives and notions that arose from the interviews, and thus to consider how structures and systems have been complicit in privileging certain groups over others within the universities, thereby reproducing unequal relations. It also allowed me to consider the notion of agency afforded by new research orientations among academics, in response to the democratization of South African universities. A critical ethnographic approach brought to light the communities of practice that researchers engage in at the workplace and how these and other institutional and social changes have impacted on their notions of identity, culture and diversity. As Brodkey (1987) asserts, the goal of critical ethnography is to create the possibility of transforming institutions (as cited in Norton, 2000, p. 22). 63 3.1.1 Decolonising methodologies During the analysis of my data, however, I found that postmodern critical perspectives did not go far enough in deconstructing the colonial and apartheid constructs underpinning the experiences of the participants in the study. In seeking to delve deeper and to derive explanations for the failure of the policy to bring about the desired changes within the higher education sector, I found that I had to draw on postmodern critical perspectives in conjunction with feminist and decolonising theories and methodologies as a lens for analysing my data. The works of Fanon (1963), Goldberg (2002), Harding (1994, 2000), McClintock (1995), Mohanty, (1997), Narayan (1989), Narayan and Harding (2000), Ngugi wa Thiong'o (1986) Odora Hoppers (2000," 2002), Smith (1999), Rigney (1999) and Young (1990, 2000) were better suited for my purpose. In addition, I found that I had to return to Marxist, Hegelian and Gramscian concepts of hegemony, power and class, despite the post-Marxist leanings of the critical perspectives I had adopted at the outset. Gramsci's theories on hegemony, drawn from Bocock (1986) and Fontana (1993), were most useful for understanding the complex and deeply embedded power relations resulting from the influence of colonial and apartheid ideology within the higher education sector. According to Gramsci, "The supremacy of a social group is manifested in two ways: as 'domination' and as 'intellectual and moral leadership'" (cited in Fontana, 1993, p. 141). A social group or class assumes a hegemonic role to the extent that it articulates and proliferates throughout society cultural and ideological belief systems that are accepted as universally valid by the general population (Fontana, 1993, p. 140). The university, as an institution whose role it is to develop knowledge and craft national cultural identities, and its researchers play an important role in establishing and maintaining "intellectual and moral leadership." As Fontana points out, "Ideology, culture, philosophy (and their) organizers - the intellectuals - are intrinsic to the notion of hegemony" because for Gramsci, reality is perceived and knowledge is acquired through moral, cultural and 64 ideologial "filter(s)" (1993, p. 140). Hegemony therefore implies the creation of a particular structure of knowledge and a particular system of values and intellectuals, as the educators of society and generators of knowledge are the intermediaries through which the dominant class and the subordinate classes are "organically" linked (ibid.). As "experts in legitimation," intellectuals resolve the contradiction that Gramsci believes exists between the ruling groups and the subaltern masses (Fontana, 1993, p. 140). I sought to go beyond the identification of sites of inequality, the existing hegemony and unequal social relations, to develop goals for counterbalancing the hegemony and unequal power relations within the universities. Decolonising methodologies allow for the deconstruction of the colonial and racial projects that were begun with modernity. As Goldberg (2002) argues, the modern state is derived from the racial state i.e. a set of colonial or racial projects (see further discussion in chapter ten) just as the notion of settler is linked to the notion of the native. According to Smith, decolonising methodologies are about destabilizing the hegemony of the colonial project (Smith, 2004). The decolonization process is far from over because the events that were hailed as decolonization in the developing world during the 1960's was a political process only and did not include economic, cultural or social decolonization. These forms of colonization are still largely^evident in state systems and structures throughout the developing and developed world. Decolonising methodologies is about developing a set of tools for reconceptualising the goals of colonized peoples; of charting the work that still needs to be done (Smith, 2004). Existing tools, for example, the notion of equity and representative democracy, appear to be insufficient for achieving social redress because representation alone does not deliver power. Instead, as posited by Saloojee, equity ensures that the status quo remains intact (2000). A change in discourse is required away from, for example, the belief, given rise to by equity and representative democracy, that those who give up will lose and those who receive will gain. This, as we see in chapter 65 ten, leads to group schisms and cries o f reverse racism'. Decolonising methodologies are not just about bringing other and smaller narratives to the fore but about doing so in a way that centers and privileges them; it is about using these narratives as tools for challenging hegemony. Decolonising methodologies are based on a subtle process of learning and unlearning; of deconstructing and reconstructing so that those who 'give up' gain as well as those who 'receive'. In this way, group schisms may be eliminated in the joint pursuit of social justice. 3.1.2 Methods The terms methods, strategies and techniques are used differently in the research literature. Some researchers differentiate between methods (surveys, case studies and action research) and techniques (interviews, observations and questionnaires), while others categorise them all as methods (Cohen and Manion, 1989, p. 41, 307; Banister et al., 1994, p. 17; McKernan 1996, p. 75). Perhaps it is not so much what we call them, but rather their congruency that matters most. Powney and Watts (1987, pp. 178-9) argue for 'methodological congruity', in other words, the methods or techniques used should be congruent with the philosophical assumptions underpinning the research. Schwandt (1994, p. 119) cautions that a focus on methods often masks a full understanding of the relationship between method and inquiry purpose. Having said this, it may be claimed, from the perspective of ontological hermeneutics that the 'correctness' of the application of method is meant as "an aid to good judgment" (Schwandt, 1994, p. 122). It is a guide to making ethical decisions (interpretation) in a concrete situation (Madison cited in Schwandt, 1994, p. 122). In the literature on higher education, the comparative method using case studies was found to be the most suited to the study of higher education institutions. I, too, have decided that the case study method is best suited to my research purpose because it allows for the examination of each university as a 'bounded system'. Miles and Huberman define the case as "A phenomenon of some sort occurring in a bounded context, a unit of analysis" (1994, p. 66 25). As Merriam (1988) explains, a bounded system may be a specific phenomenon, a program, a process, an event or an institution (p. 9). Merriam defines the case study as "An intensive, holistic description and analysis of a single entity, phenomenon, or social unit. Case studies are particularistic, descriptive, and heuristic and rely heavily on inductive reasoning in handling multiple sources" (1988, p. 16). Stake (1995) asserts that cases are usually people or programs whereas events and processes are less likely to fit the definition (p. 1, 133). Yin (1994), however, argues that this kind of definition is too broad in that it allows for any study that involves objects, regardless of the methodologies used, to be regarded as a case study (p. 17). Yin emphasizes the importance of the context, claiming that is impossible to separate the phenomenon's variables from their context (Yin, as cited in Merriam, 1988, p. 10). Yin (1994) renders the following useful and comprehensive definition of the case study: A case study is an empirical enquiry that investigates a contemporary phenomenon within its real-life context, especially when the boundaries between phenomenon and context are not clearly evident. In other words you would use a case study because you deliberately wanted to cover contextual conditions - believing that they may be highly pertinent to your phenomenon of study... .The case study as a research strategy comprises an all encompassing method - with the logic of design incorporating specific approaches to data collection and to data analysis. In this sense the case study is not either a data collection tactic or merely a design feature alone... but a comprehensive research strategy, (p. 13) This method, or research strategy as Yin puts it, appeared to be well-suited for my particular study purpose. Research and the world of the researcher at any South African university are inextricably bound to the context of the institution itself. In turn, the context of the university itself has been shaped by the broader societal and political contexts. For example, HWUs have developed within an entirely different context from HBUs, and English-speaking HWUs may also be compared and contrasted with Afrikaner HWUs. In this sense, a survey method ori its own would have been inappropriate for my study because its ability to investigate the context is limited (Yin, 1994, p. 13). As Yin asserts, 67 surveys are advantageous when 'what', 'who' and 'where' questions (or their derivatives 'how many' and 'how much') are posed, and when the research goal is to describe the incidence or prevalence of a phenomenon, or when we intend to predict outcomes (1994, p. 6). By contrast, the 'how' and 'why' questions are more explanatory and call for the use of case studies (Yin, 1994, p. 6). My research purpose was not only to enumerate research capacity by investigating, for example, how many journals researchers had access to, but also in understanding 'how' this access or lack of it affected knowledge production, the researcher and the institution. Hence, the case study as the predominant method was better suited to my purpose. This, however, is not intended to diminish the value of the quantitative survey method and its role in supplementing the case study method. More importantly, case studies and surveys are not mutually exclusive (Yin, 1994, p.9). It is possible to use more than one strategy in any given study, for example, a survey within a case study —as I have done in this study— or a case study within a survey (Yin, 1994, p. 9). The case study method afforded me the opportunity to conduct enquiry into the 'pond-life' of individual researchers in their individual institutions. It was an appropriate method for my study because it was particular about allowing participants to speak for themselves (Walsh, 1993, p. 41). It also had the potential to generate a wider interest and application, derived from its "very particularity" (Walsh, 1993, p. 56). Yin evinces that case studies can include qualitative and quantitative evidence (1994, p. 14). According to Yin, there is strong and essential common ground between qualitative and quantitative research (1994, p. 15). In my study I have used interviews to gather qualitative data and questionnaires to gather quantitative data. The case study may be a single case or several cases (Miles & Huberman, 1994, p. 25; see also Yin, 1994, p. 14). Single cases can be very vivid and illuminating if they are chosen because they are critical or revelatory (Miles & Huberman, 1994, p. 26). According to Miles and Huberman (1994), 68 multiple cases provide an even deeper understanding of the processes and outcomes of the cases, (p. 26). Yin asserts that the evidence from multiple case studies is more likely to be compelling and robust than single case studies (1994, p.44). Although Yin (1994) draws no distinction in the methodological design of single and multiple case studies, in some fields, for example anthropology and political science, multiple case studies, referred to as comparative studies, are regarded as different methodologies from single case studies (p. 45). According to Yin, the logic underlying multiple case studies is replication, either literal or theoretical (1994, p. 46). Each case must be selected so that it either predicts similar results (literal replication) or contrasting results (theoretical replication) (ibid.). In other words, multiple case studies allow the researcher to compare and contrast data from the selected cases, as I have attempted to do with the data gathered from the HBUs and HWUs. In an embedded case study design, the "embedded" subunits, such as processes, are also studied (Yin, 1994, p. 42). As opposed to the holistic design, the embedded design allows for the examination of specific phenomena and can serve as an important device for focusing a case study inquiry (Yin, 1994, p. 42). Such an embedded design will allow me to examine how the systems (economic, political and cultural), the structures (policies, language, networks, power), the locale (external factors such as communities) and the settings (institutional rules, peer interaction, support) affect research and notions of identity. Shortcomings of the case study method One of the pitfalls of the case study is when the focus remains at the subunit level, —for example, the individual researcher in my study— and fails to return to the larger unit of analysis, which in my case would be the institution (Yin, 1994, p. 44). In this event, the original phenomenon of interest can become the context rather than the target of the study (ibid.). I do not believe this was a shortcoming in my study, though, because my focus on the subunit levels, i.e. individuals within institutions, provided deeper insight into the unit level, 69 i.e. the institution, and thus presented a contextual framework for understanding the operations of the institution. Yin (1994) adumbrates the following additional concerns associated with case study research: They may lack rigour, thus resulting in equivocal evidence or biased views; they may provide little basis for generalization; and they can be time consuming and result in massive, unreadable documents (pp. 9-10). I believe, however, that my pilot study assisted me to recognize these potential shortcomings and to plan to overcome them in the following ways: Instead of dwelling on the individuals (subunit) alone, I was able to consider how their experiences related to the institution's reponse to change; I ensured that there rigour through the kinds of questions posed and triangulation of sources and methods, and I avoided generating massive transcripts by keeping the interviews focused. Previous research experience and the literature on research methods have shown that case studies involving in-depth interviews can yield considerable unmanageable or irrelevant material. As a thoughtful and reflexive researcher, I considered myself to be a research tool as I conducted interviews and administered questionnaires, constantly bearing in mind my research purpose and questions, while at the same time remaining flexible and open to new insights and perspectives introduced into the study as data collection proceeded. In this way, I was able to ensure that unnecessarily massive data documents were not generated. Through thorough planning, and well-designed semi-structured interview protocols, this problem was averted in the study. As noted, qualitative methods do not necessarily imply a lack of discipline, planning and rigour. 3.2 PILOT STUDY A pilot case was conducted as an exploratory study for this multiple case study. The cases selected were the same as in this study (see below). The purpose of the pilot study was to . explore the feasibility of the research questions in discussion with participants at the three selected universities, and to examine the suitability of my research methods and data 70 gathering tools, such as the interview protocols and questionnaires. I found that the pilot study was well received and that it yielded rich data, which I have admitted to my main study. Yin asserts that pilot studies are important for revealing inadequacies in the design (1994, p. 52). The main study can be modified because of new information generated during the pilot study. In the light of the pilot study and an extensive literature review, I affected slight changes to the research questions and the interview protocols. 3.3 S E L E C T I O N O F C A S E S The selection of multiple cases adds confidence to the findings (Miles & Huberman, 1994, p.29). By comparing similar and contrasting cases, we can understand a single case finding. The choice of cases is usually made on conceptual, not representative, grounds and must be theoretically driven, even if the theory emerges (Miles and Huberman, 1994, p. 29). I thus elected to conduct my study at three higher education institutions in South Africa, namely, 1) the University of Fort Hare, the first HBU established in 1916 and alma mater of Nelson Mandela and many other famous African and black South African leaders, 2) the University of Port Elizabeth, an Afrikaner HWU established in 1964 and, 3) Rhodes University, an English speaking HWU established in 1904 by the colonizer of former Rhodesia, Cecil John Rhodes. In the South African context, these different HWUs are referred to commonly as Afrikaans or English medium universities, referring not only to their language of instruction but also their prevailing cultural ethos. Alternatively, they have been known as Afrikaner or English universities. In this dissertation, I mainly use their names or alternatively I use HWU- A to refer to UPE and other Afrikaner universities, and HWU-E to refer to Rhodes or other historically white English-medium universities. A practical reason for choosing these three universities was because of time and cost factors, as all three are situated in the Eastern Cape province, where I reside. Furthermore, I have an insider view of two of these institutions, UPE and Rhodes, having served on their first democratic governing Councils or Boards for a period of five years each. The 71 educational sector and context of this province is familiar to me as I have, for example, conducted other research studies on early childhood, primary and secondary education and on the transformation of Further Education and Training institutions, such as an evaluation of all the colleges of education and of some technical colleges in this province. However, these three cases are selected mainly because their different social and historical contexts are not only typical of most other South African universities, but they also mirror the socio-political context of South Africa and the dilemmas it presents for transformation of the society from an apartheid past to a democratic future. These cases have allowed me to examine similarities and differences in knowledge production between privileged white institutions and underprivileged black institutions in South Africa. Although my intention is not to generalise the findings of this research, as Miles and Huberman evince, "Each setting has a few properties it shares with many others, and some properties it shares with some others, and some properties it shares with no others" (1994, p.29). 3.4 SELECTION OF PARTICIPANTS Because this qualitative research is an in-depth study of people in their contexts, the samples tended to be purposive, not wholly specified and they evolved once the fieldwork had begun (see Miles & Huberman, 1994, p. 27). The initial choice of participants for the pilot study led me to select similar or different participants, to assist me in gaining wider insight into social interactions at these institutions and for making comparisons between different groups. In this way, understanding that developed in one setting revealed facets to be studied in others. This, Miles and Huberman contend, is "conceptually-driven" sequential sampling (1994, p. 27). The participants were selected from four categories: academics (researchers), librarians, senior managers/ policy makers and graduate students (see Appendix A ) . 2 7 Participants were selected from a range of faculties across the disciplines, from the sciences 2 7 NB. All references to "students" in this dissertation are to graduate students. 72 to the humanities and the social sciences. Participants were also selected to ensure that the sample included diversity of race, gender, age and language. Eliciting the viewpoints of diverse groups was crucial in answering the research questions posed. In the pilot study, senior managers and academics, for example, directors of research and executive deans were involved as liaisons to help establish a list of selected interviewees. The University of Port Elizabeth, for example, had a list of the Top 20 researchers to which I referred in selecting the academic participants. Originally, I had anticipated selecting between 10 and 15 participants at each site (university), thereby giving me at least 30 to 45 participants for the study. In the end, though, because of snowballing and interest shown in the study, and because I encountered difficulty in recruiting certain categories of participants (discussed below), the number grew to 108 participants. The data were gathered over a period of two years between February 2002 and February 2004. 3.5 DATA GATHERING The main data were gathered by using qualitative interviews and a quantitative survey. This allowed me to juxtapose, contrast and compare the data derived from qualitative and quantitative gathering techniques. Interviews ^ .̂ Questionnaires Figure 1. Juxtaposing qualitative and quantitative methods. Interviews and questionnaires were considered appropriate data gathering tools for examining the research capacity at the three universities in this study. The interviews allowed me to obtain rich, detailed material that was to be used in qualitative analysis (Lofland and Lofland, 1995, p. 18), while the questionnaires provided valuable quantitative data about access to and use of research support systems and resources such as library holdings and the Internet. On a smaller scale, a document analysis of the national and institutional higher education policies and 'walking the campus' observations were used as complementary methods of data gathering. 73 3.5.1 Interviews Interviewing was the main data gathering technique. Guba and Lincoln (1981) describe interviewing as the backbone of qualitative research. The semi-structured interview was preferred in this study, because it allowed me to plan the main topics and issues to be discussed, while affording the necessary flexibility for a deeper exploration of information through follow-up, open-ended questions. As Cohen and Manion (1989) claim, this approach enables a truer assessment of what the participant really believes (p. 313). Separate semi- structured protocols have been designed for the different categories of participants, namely, academics, librarians, senior managers/ policy makers and graduate students (see Appendix A). My protocols follow Lofland and Lofiand's (1995) advice: Not a tightly structured set of questions to be asked verbatim as written...Rather, (they are) ...a list of things to be sure to ask about when talking to the person(s) being interviewed...a checklist of sorts, a kind of inventory of things to talk about in the interview ...(and to) check as .. they (were) accomplished, (p. 85) The semi-structured schedule (see Appendix E) was useful because financial considerations did not afford me the opportunity to conduct second interviews with the majority of the participants. Given that English was not the first language of many of the participants, careful attention was paid to the appropriateness of the language to avoid the pitfalls of ambiguity, double-barreled questions or vague and meaningless responses. The interviews were conducted with academics, librarians, senior managers/ policymakers and graduate students at the selected sites. Although there was overlap in terms of questions posed to the various types of participants, the different categories of participants were chosen for the reasons that follow. Academics were an invaluable source of information regarding knowledge production at the universities; librarians were interviewed to determine what supports to research they provide, the constraints they experience in securing books, journals and technology and, their interaction with managers, academics and students; senior 74 managers/ policy makers were interviewed to determine their orientation towards research in their management and policy making, what the external demands for research were and what impact government policies were having; and, lastly, graduate students were interviewed to examine their experiences of research, library use and interactions with academics, librarians and administrators for research funding and resources. Academics/ graduate students senior managers/policy makers librarians Figure 2. Triangulation of sources The interviews were recorded in the form of field notes and audio tape recordings. I found interviewing an invaluable research experience that: Led me to a deeper understanding and appreciation of the amazing intricacies... of people's experiences... of the issues... the complexities and difficulties ... Most important...interviewing (has led) me to respect the participants, to relish the understanding I gain from them, and to take pleasure in sharing their stories. (Seidman, 1991, p. 103) Any contradictions between what was said in the interview and what the participants wrote was written in the questionnaires were further explored through dialogical processes (Baron and Sternberg 1986, pp. 130-143), namely, by redirecting questions to the participants for comment and further discussion during a follow-up interviews or via email.. Follow-up interviews were conducted with 6 participants because of the insight they had into research and the institution or the need to clarify or gather further data. Follow-up questions were posed to the rest via a series of emails. The purpose of the follow-up questions was threefold, 1) to clarify data from the interview, 2) to elicit new information arising from their responses and 3) to juxtapose their views against those of other participants for the purpose of triangulation. 75 3.5.2 Survey Structured Likert - type questionnaire items (i.e. ranging from strongly agree to strongly disagree) were used to gather quantitative data, which yielded valuable information on access to research resources at the selected universities (see Appendix F). The wording of these items was simple and straightforward to avoid ambiguity and confusion. Research methodologists have noted that questionnaires can have low response rates (Irwin, 1999; Palys, 1997, pp. 144-149). In South Africa, moreover, questionnaires often do not yield the data sought (Irwin, 1999). However, administered questionnaires have been found to be more useful in eliciting valuable quantitative data. In my study, I elicited information about access to scholarly resources, such as library and technological resources, access, usage and constraints experienced by the participants. To avoid low response rates, I presented the questionnaires to the participants at the beginning of the interview, briefly outlining the information sought, enquiring whether they had any questions and making firm arrangements to collect the completed questionnaires at a later date. I then followed up with email reminders of my impending visit to collect the questionnaires, using the opportunity to set appointments for follow-up interviews as well. Discussing administrative matters, such as the collection of questionnaires at the beginning of the interview, helped to establish a rapport, which proved useful for the subsequent in-depth interviews. Palys (1997) is optimistic that many of the disadvantages of questionnaires may be overcome when used in conjunction with interviews (p. 154). 3.5.3 Document analysis In addition to the two data collection methods described above, I reviewed certain national policy documents and regional policies relating to higher education as noted earlier in chapter two. These documents were retrieved mainly from the national government document websites and from participants at the universities. I also studied institutional policy documents that may have relevance to my study, for example, policies on research 76 development, incentives to academics and affirmative action. The document analysis assisted in the analysis of the data, especially in the areas of systems relations and regional networks with other institutions and communities. 3.5.4 'Walking the campus' observations During the pilot study, I became aware that we gain impressions from very mundane experiences that, in fact, have a profound bearing on our interpretation of the data. Fisher refers to this as "walking the campus" and asserts that this kind of ethnographic research can be the source of valuable data for the study (D. Fisher, personal communication, 18 October, 2002). Consequently, as I walked around the campus sites, from one interview appointment to another, I formed impressions of the physical context and culture of the organization, which provided me with rich insights into the institution and its people. In a very practical way learned about access to resources, facilities, especially library facilities, faculty offices, the management of resources, institutional culture, faculty access to administrative support, interactions between students, in particular, black and white students, interactions between academics and students, academics and management, students and administrators, predominant languages, public relations capacity and interface with community, attitudes of administrative staff, which academics enjoy more privileges, and so forth. I recorded any striking or relevant observations between the interviews or at the end of the day. These observations have proven valuable and complementary to my data analysis. 3.6 BIAS AND REFLEXIVITY As mentioned earlier, all research is value laden and cannot claim to be objective and free of bias. My underlying assumptions recognize the existence of bias on the part of the researcher and hence my need to be aware of my own discursive history as a black South African woman. As argued by Simon and Dippo (1986), the issue is not whether one is 'biased' but rather whose interests are being served (p. 196). According to Simon and Dippo, the problematic begins with a focus on ordered sets of social practices (in my case, knowledge 77 producing processes and research capacity), what particular groups of people (the researchers, senior managers and librarians), concretely situated in time and space (changes since 1994 at the three universities), consitute as their pattern of everyday life (their research) (1986, p. 197). I am interested in how existing power relations "structure how every day will be lived" at these universities, even as they respond to change (ibid.). In this sense, as mentioned above, the histories of these institutions and of the individual participants are an integral part of the explanations of the social practices I seek to analyse. Furthermore, my aim is not to merely "tell it like it is" but rather to challenge the assumptions and values of the discourse itself (Simon & Dippo, 1986, p. 200). I believe that keen attention to rigour and remaining reflexive at all times have helped to keep my biases in perspective. It has involved awareness on my part that data are not "found" but "produced" (ibid.). On th£ other hand, this very bias may have been an advantage to my study. It has contributed to deeper understandings and has enabled me to analyse situations critically, so that I could probe responses to elicit additional information. It also afforded me greater insights as I analysed the data. In addition, black participants and female participants felt comfortable about sharing their experiences with me probably because I was a black woman. Scholars often allude to the unequal power relations between the researcher and the researched based on an assumption that the researcher has power in terms of being the dominant "voice" asking questions and writing final reports (Carspeken, 1996; Cohen & Manion, 1989; Guba & Lincoln, 1989; Norton, 2000; Palys, 1997). In this study, however, the participants were mainly senior researchers themselves, many of whom were white and male, and who may have viewed themselves as being in a position of power in relation to me, as a black female graduate student. My previous work in policy negotiations (including my work on various committees of the university Councils, such as the planning, audit and honourary degrees committees and on institutional transformation forums), affirmative 78 action, conflict resolution and organizational transformation, and my skills in human relations, negotiations and conflict resolution ensured that 'power struggles' did not emerge. The participants were magnanimous in sharing information and their valuable time with me. The pilot study was valuable in affording me the opportunity to establish relations of trust and mutual respect between the participants and myself (Carspeken, 1996). An advantage of this selection of participants is that they value research and understand the importance of completing the questionnaires and granting me the time to interview them. 3.7 LIMITATIONS AND ISSUES OF VALIDITY The study was limited to an examination of the impact of managerialism/ entrepreneurialism and democracy, equity and socially relevant research on researchers and their research programmes at three South African universities, and to determine what measures may increase research capacity and access at these universities. As noted, the study was limited to the Eastern Cape, a province that is predominantly rural and not typical of larger industrialized centers, such as Johannesburg and Cape Town. Hence, the contexts of the University of the Witwatersrand or the University of Pretoria, for example, differ greatly from those of the universities selected herein. Furthermore, my study focuses on the experiences, views and perceptions of particular individuals at these universities, comprising academics, graduate students, librarians and senior managers/ policy makers. 3.7.1 Generalizability Earlier in this paper, I noted that potential shortcomings of the case study method related to issues of validity. According to Cohen and Manion, a possible disadvantage of the case study method is that external validity is reduced and that it cannot be assumed that the results are applicable to other situations (1989, p. 129). However, I do not intend, nor presume, my study to be generalizable. The underlying assumption of a critical approach is that these particular cases were investigated in their own right. As Yin asserts, case studies are generalizable to theoretical propositions and not to populations or universes (1994, p. 10). 79 Notwithstanding this view, some degree of generalization is possible in the very sense that it is not. An interesting observation made by Smith (1995, p. 9) may be true of the institutions and participants in my study: "Al l schools are like no other schools, like some other schools, and like all other schools." In that sense, the institutions and participants in my study may have some parallels with other higher education institutions in South Africa, and the rest of the world for that matter. Smith cites Spindler (1982) in support of this claim: An in-depth study gives accurate knowledge of one setting not markedly dissimilar from other relevant settings, is likely to be generalizable in substantial degree to these other settings, (as cited in Smith, 1995 p. 304) These universities do,in fact, represent three types of universities found in South Africa, historically white Afrikaans universities (HWU-A), historically white English universities (HWU-E) and historically black universities (HBU). Therefore, it is likely that an analysis of the selected cases may give us an idea of the constraints that researchers encounter in knowledge production at other South Africa universities, as well as of their response to globalization, the transformation policies and implementation processes, and of their visions for the future. 3.7.2 Triangulation I contend that the triangulation of sites, methods and sources (participants) on several levels lent validity and credibility to this study. Data from the different sites have been compared and contrasted. Data from interviews and questionnaires have been contrasted and compared with one another, as well as with information from the document analysis and the 'walking the campus' observations. The triangulation of data from the different categories of participants (academics, graduate students, librarians, senior managers on the one hand, and different gender, race, language and age groups on the other) has also enhanced the trustworthiness of the data. As Banister et al. (1994) contend, triangulation facilitates richer and potentially more valid interpretations: "Exploration from a variety of sources using an 80 appropriate combination of methods increases our confidence that it is not some peculiarity of source or method that has produced the findings" (p. 145). 3.7.3 Credibility Careful attention to thoroughness, coherence and comprehensiveness (Schwandt, 1994, p. 122) in the research planning and procedures can confirm rigour and validity. By undertaking to present the findings to these universities, I have established what Guba and Lincoln (1985) refer to as "credibility," a major criterion of trustworthiness (pp. 213, 219). In more conventional terms, this refers to the 'internal validity' of my research. In qualitative research of this nature, the theory is emergent from the data and not vice-versa as in the positivist approach (Cohen and Manion, 1989, p. 39; Walsh, 1993, p. 52). Thus, as a case study researcher I could meet the researchers and other participants on their own ground and, through the interviews, work on making the operative theories of their research practices explicit through my study (Walsh, 1993, p. 52). 3.8 D A T A A N A L Y S I S According to Lofland and Lofland (1995), the data consist of whatever is recorded in write- ups, transcriptions, photographs and videos. For this reason, the recording task is considered to be "a crucial aspect of the naturalistic analysis of social life, the critical linchpin of our attempts" (pp. 67, 69). On the other hand, Powney and Watts (1987) claim that the concept 'database' refers to the "entire recorded and unrecorded data," such as impressions gathered, ethos, posture, gestures and context. 'In my study, the data refer mainly to the recorded data (p. 143). The transcripts from the interviews, together with the completed questionnaires, constitute the major part of this data, while the field notes from my 'walking the campus' observations serve as complementary data. The data were analysed according to the domains that emanated from the research design and that emerged from a preliminary analysis of the dominant themes or patterns in the data. These domains included the following: prevailing research cultures, managerialism/ 81 entrepreneurialism in response to globalization and new local policies; access to research, disparities between HBUs and HWUs and innovations to overcome constraints, publishing and the public value of research; transformation of governance structures; implementation of equity and redress policies; Mode 2 type of research and 'socially relevant' research in partnership with communities and visions for the future. Although it may appear that I have identified too many domains, Merriam (1988) evinces that qualitative research, by its very nature strives to understand how all the parts work together to form a whole (p. 16). Therefore, the case study in qualitative research concentrates on many, if not all, variables present in a single unit (Merriam, 1988, p. 7). Analysis is not simply descriptive, it is "the detailed examination of the database... a creative, constructive affair" (Powney & Watts, 1987, pp. 158, 160). Powney and Watts point out that analysis should be consistent with the underlying philosophy of the research (ibid.). The field notes from the interviews and observations were reviewed as soon as possible after the visit to fill in the gaps to constitute full field notes. Research methodologists warn of the dangers of memory loss with the passage of time and advise that full notes be written almost immediately after the interview or observation (Powney & Watts, 1987, p. 125; Lofland & Lofland, 1995, p. 91). The recorded interviews were transcribed while the quantitative data were analysed using a software programme. In analyzing the transcripts, I paid attention not only to the words, but also to who spoke the words and the context in which they were spoken. Triangulation of the data and sources, careful coding and analysis, and allowing the voices of the participants to 'come alive' in the interpretation, lent further rigour to my approach. The data from the interviews were first analysed against the field notes, and then the questionnaires. The data were organised onto grids so that patterns and trends across the different participants could be examined. The data were then analysed according to the different categories of participants within and across the institutions, for example, academics and librarians within and across the 82 three institutions. Thereafter, the patterns and trends across the categories were analysed. In this way, I developed, case study profiles of individual institutions and then of themes, issues and trends across the institutions. Thereafter, the data were analysed by drawing on the theoretical frameworks underpinning this study, the document analysis and the literature review. I used comparative analysis strategies as outlined by Slaughter (2001) to compare and contrast the findings both within and across the cases. Slaughter has presented alternative theories to the dominant modernist theories. These include political economic globalization theories, political sociology theories of Mann, knowledge/power theories of Foucault, narrativity theories and feminist theories. Feminist theory, Slaughter contends, is important for comparative higher education because it urges us to consider, amongst other things, equal rights, salary equity and comparable worth (2001, p. 406). Feminist development theory allows us to see the multiple voices as different ways of learning and thinking, which can be understood if we adopt the viewpoint of the "other" (ibid.). Slaughter asserts that a useful approach to studying gender cross-nationally might be to study the connections between faculty and the private or public sectors because "the neoliberal state valorizes the private sector and enables private, profit-taking organizations to indulge their preferences for hiring men" (2001, p. 406). . Scholars, like Altbach (1997), Scott (1999), Slaughter (2001) and Tierney (2001), suggest that the new theories call for mixed methods, multiple sites, quantitative and qualitative data, and a variety of analytical techniques. Tierney (2001) emphasises that he does not seek the theoretical dominance of postmodernism: "Indeed, theoretical preeminence of any singular view of the world is antithetical to the lineaments of postmodernism" (p. 366). Postmodernism, he argues, allows for heterogeneity so that localized and regional interpretations of different facets of knowledge, rather than supranational definitions become 83 the organizing frameworks for comparative higher education (2001, p. 367). The interpretations of the findings were done in the context of the theoretical framework. 3.9 PRESENTATION OF FINDINGS One set of findings is presented in the form of case studies of each of the three universities in the study in part two of this dissertation. The aim is create an understanding of the individual institution as it relates to my study. A further set of related findings is presented under specific themes where the data have been compared and contrasted across the institutions in part three of the dissertation. I have tried as far as possible to avoid any overlap of data but this has not been entirely possible because the case study is a part of the comparative study across institutions. I have thus taken the liberty to decide which data belong where, in other words what data best represent the individuals institution as a case studies, or the comparison of the three institutions. Except for chapter eight and nine where I rely on the survey data, most of the data presented in the other chapters emanate from the interviews. As noted, I cite the participants as widely as possible in order to give voice to their authentic experiences. I have given the participants pseudonyms to protect their confidentiality. I denote these quotations and citations as (I: pseudonym). Where I need to specify that the data emanated from the survey, I use (S: pseudonym). In part four, I consider the implications of these findings. I make recommendations for improving access to research resources, building research capacity and for enhancing the implementation of the new policies at the universities so that these universities may contribute to the new democratic social order through their research programmes and knowledge producing processes. 3.10 REFLECTIONS ON METHODOLOGY During the course of my research, I found that critical postmodernism did not go far enough in helping me to understand and think about solutions to issues raised in this study. These issues related to the equity policies being implemented at the universities under study, 84 managerialism as a project of neoliberalism obfuscating the redress intents of the national democratizing policies, and Mode 2 relevant research involving partnerships with local communities and indigenous knowledge systems, was not being applied in appropriate and a respectful ways (see further discussion below). Critical postmodernism is useful in deconstructing notions of power and privilege and instances of gate-keeping, whereas decolonizing methodologies are required in exposing and 'de-structing' sites at which these obstacles to transformation are located and embedded. I use the term 'de-structing' to convey a more tangible, active intention to go beyond 'deconstructing' in order to uncover and remove racialised sites within the technologies, systems, structures and apparatuses of the university. I see "de-structing" as a more active way of "deconstructing", and as a way that leads to practical results rather than theoretical propositions for problematising a concept or construct. 85 CHAPTER FOUR "BECOMING MORE LIKE A BUSINESS" - THE UNIVERSITY OF PORT ELIZABETH 4.1 INTRODUCTION The University of Port Elizabeth, the smallest Afrikaner HWU in South Africa, was established in 1964 and is currently situated on 830 hectares of nature reserve alongside the sea in the city of Port Elizabeth, which is now known as the Nelson Mandela Metropole. A few species of wildlife, such as duiker (a species of small buck), can be viewed with the naked eye from the offices in the tower block, the tallest building on campus. The current campus was established in the early 1970s and consists of modern concrete buildings, which some people have found unaesthetic, especially when compared to the old traditional campuses of Rhodes and Fort Hare (see virtual campus tour http://www. asp). In September 2003, a merger agreement was signed between UPE and two other higher education institutions in the Nelson Mandela Metro region, namely, the Port Elizabeth Technikon, a historically white technikon (HWT) and Vista University, a black university. UPE is currently a dual and parallel medium university with a total student population of 13, 500 of which 7,000 are distance education students. 86 Since 1994, the university, under the visionary and progressive leadership of its then Vice Chancellor, Professor Jan Kirsten, developed progressive new policies and established democratic representative structures, such as a democratically elected governing council and institutional forum, ahead of similar processes at other HWUs. These developments were in accordance with new national policies. Equity policies were developed through consultative processes. This achievement was laudable given the institution's apartheid history and its strong links to the Broederbond.28 Sadly, however, this study has found that the impact of these well-intentioned policies have not always been felt at the departmental levels of faculties on the campus. Historically, the university did riot have a strong research culture like some of the bigger Afrikaans HWUs, or its neighbouring English medium HWU. The institution's orientation towards teaching is still evident today. The new senior managers, namely the Vice Chancellor and the Deputy Vice Chancellor, appointed at the beginning of 2002 and 2003 respectively, have placed a new emphasis on research in accordance with the new higher education policies. The post of Deputy Vice Chancellor (Academic) is a new one, focusing specifically on research development within the university, and is occupied by the first black and female senior manager to be appointed at UPE. Over recent years, the university has become infused with a spirit of managerialism, but not necessarily entrepreneurialism (see distinction drawn between these two terms in chapter one). It is this feature that distinguishes UPE from Rhodes, the other HWU in this study, which has maintained its collegial ethos and has opted for the entrepreneurial model in its response to the global and local changes. In these chapters, four to six, I present case studies of the individual institutions. Comparisons and contrasts between the universities are discussed in chapters seven to eleven. The Broederbond is an Afrikaner secret society of the apartheid State (see earlier definition in chapter one). 87 4 . 2 R E S E A R C H C U L T U R E In chapter one I explained that I used the term research culture to refer to the institution's orientation towards research and to indicate what value is placed on research. The participants at UPE were unanimous in their view that the university did not have a strong research culture. At a group interview attended by four heads of departments and two head librarians, prior to the installation of the new senior managers noted above, one participant claimed that "research was not valued by top management and leadership at UPE," and that it has never been an item on the executive management's agenda (Group meeting, March 2002; 29 see also I: DoR). Prior to 1999, the post of Director of Research did not even exist at UPE (I: Murray). This claim can be attributed to several factors, not least of which is the history of the institution. As noted in chapter one, the HWU-As established in the 1960s were teaching universities mainly, designed to develop an Afrikaner elite to assume key political and professional positions. Over the years, there has been a proliferation of master's degree programmes through coursework, resulting in a limited emphasis on research (I: Murray). Since the emphasis has been on teaching mainly, several lecturers were appointed without PhDs, a few even without master's degrees (I: Piet). Hence, in some departments there is little expertise for the supervision of master's or PhD students (I: students). The Director of Research estimated that about 15 % of academics were not conducting any research nor had they published any papers (I: DoR). In the past, promotions had not been based on research output as they are at present (I: Murray). Since 1994, the new policies have linked funding formulae to research output (see chapter two). According to the Director of Research, 3.2 million rands were allocated to research and related activities in 2003; this did not include capital expenses (I: Murray). DoR refers to Director of Research in this chapter. 88 UPE did not have a staff orientation or mentoring programme to support new or emerging researchers (I: Charmaine; Murray). Xolile, a young academic, posited that a mentoring programme to support young and new researchers would be most useful: Certainly, I think we could use something like that (support programme) which would be a helping hand for up and coming postgraduate students, incoming black staff, as well as some staff that have been here because certainly if you look across the board to black staff within this faculty, we are very few. I mean you could probably count us on one hand and one is not really aware of any kind of programme or incentive that is assisting and helping those individuals that are there. Rita, senior librarian, believed that the lack of an "information culture" affected the research culture at UPE. She claimed that it was the responsibility of academics to go beyond giving a limited list of required readings to their students but rather to encourage students to seek out information more widely. She also pointed out that many academics never visited the library at all: "There are about 5,000 staff working [at UPE]... not half of them... come in here. You see the same faces all the time" (I: Rita). As an incentive to build the research culture, UPE publicizes the list of the Top 20 researchers annually. Points are allocated for research output based on nine output categories ranging from low quality outputs such as unrefereed reports to high output based on masters and doctoral graduates and subsidised articles (Communication, DoR, 2004). An unrefereed report = 1; a doctoral thesis and subsidized articles =10. The lower quality categories are also capped so that researchers can only attain a maximum of 5 points per year for conference presentations even if they deliver 20 conferences papers in one year, whilst if they publish four refereed articles in a year, they can attain 40 points with no maximum applied in this category (Communication, DoR). Thus, there is a weighting to differentiate quality of output. The person who generates the most weighted points (average-per-year based on outputs for the preceding five years) is recognized as Number One on the Top 20 list (I: DoR). 89 The format for honouring the researcher on the list varies each year, but usually includes a presentation by the Director of Research to the Council, outlining who the top researchers are, what their field of research is, and the external funds they raise for their research activities. A dinner to honour researchers and their spouses was held in 2004. The top new researcher and top teachers were acknowledged as well at the function. (Communication, DoR). Goodall, a 'Top 20' researcher, expressed approval of this system of rewards because he found that many people, who had not been aware of his research previously, now approached him about it (I: Goodall). In this sense, it has brought him added prestige and recognition. Several staff members believed that the new management would be committed to placing greater and significant emphasis on research at UPE (I: Verster; William; Xolile). According to Xolile, the new Vice Chancellor and Deputy Vice Chancellor had stressed the need for increased research output in meetings with his department: They (the Vice Chancellor and the Deputy Vice Chancellor) are trying to really engender a culture of research in the institution so that we can actually attract postgraduates from outside... because... the university needs to have a cross-pollination of ideas. As much as we can grow our own students in the postgraduate level, it benefits the university even more if we can have students that we can attract from elsewhere. Like a few others, Xolile, believed in these promises made by senior management: "Personally, I am optimistic with the two, the Vice Chancellor and the Deputy Vice Chancellor, that they are definitely interested in research." 4.3 CHANGE According to the UPE participants in this study, there have been two main changes over the period since 1994; the first of these was increased managerialism, as the institution tightened its reins on finances, and the second was a shift towards the production of what they termed "socially relevant" research (Interviews). Hence, it would seem that the university has undergone changes in response to both globalization and democratization, namely, increased 90 student intake accompanied by cuts to funding and the assumption of a social role in the transformation process through conducting socially relevant research. Whereas academics and graduate students were supportive largely of the increased importance of applied research, involving stakeholder partnerships, they were not well disposed to the managerial ethos. They found that financial austerity has led to increased administration and heavier teaching loads in the midst of declining funding. The combined effect of these factors has meant that there is little time available for research. Hence, the main constraint to research was the lack of time to conduct research. 4.3.1 Managerialism By and large, the university was short-staffed and had increased its student intake over recent years without any significant increase in the staffing contingent. As a result, academics were overburdened with teaching and supervision roles. A problem encountered at UPE, not unlike that encountered at the other two universities in this study, was that senior academics, the more prolific researchers, were often in senior management positions, such as Heads of Department or Deans of Faculties, where they were expected to become involved in management and administrative responsibilities. These managerial and administrative responsibilities, in addition to teaching, left little time for their research activities (I: Deans; HoD's and senior academics). These senior academics, moreover, were not qualified necessarily for the management responsibilities expected of them as the university adopted an increasingly managerial style of operation. One black female academic, who was disconcerted by the move to managerialism claimed the university was "becoming more like a business" and pointed out the "paradox" that managers have been appointed to their current positions because of their research and not management capacity: Unfortunately the management... is not equipped to make decisions like that. You cannot run a business where your managers are clueless as to business 91 concepts. You talk about an economically viable unit and you really can't operate in terms of that if your managers aren't properly trained. (I: Ronelle) She is concerned that tremendous pressure and stress is placed on academic staff. In addition to having to implement tighter fiscal policies within departments and in their budgeting activities, managers were expected also to manage the transformation of their departments in accordance with the new policies, for example, by adhering to the equity policies in the appointment of new staff. These academics, however, whose experiences were embedded in the Afrikaner ethos and apartheid ideology, have little or no understanding of, or skills in, change management and conflict management, so necessary for the smooth transition to a democratic and non-racial institution. 4.3.2 Democratisation There appeared to be two areas around which responses from the UPE participants to the question about transformation gravitated, namely, 1) the shift to socially relevant research and 2) the transformation of the institution in terms of its democratization and equity policies. Socially relevant research The shift towards socially relevant research and applied research was welcomed by most academics interviewed at UPE. Whereas some expressed enthusiasm about the opportunity to contribute to social development through the generation of socially relevant research, for others the incentive appeared to be a more pragmatic one. Funding for research from the National Research Foundation (NRF) had been accompanied by a call for applied research that is relevant, community oriented and involving stakeholder partnerships (see chapter two). Among those who spoke of welcoming the shift to more socially relevant research, which they believed was directly attributable to the broader socio-political changes, were three white female academics, Celine, Beryl and Annelise. According to Celine, academics have a "social responsibility... to make a change to the lives of the people of the country." 92 Beryl was happy that Mode 2 would allow for research that was more applicable to communities, while Annelise claimed that research has to play a role in the transformation of society. Male academic Goodall also found that the changes had made his research more relevant to society: (There is) more emphasis on research now as opposed to five (or) ten years ago... Partially attributable to government endeavours ... Research has also been identified as a key intervention in terms of capacity building... South Africa generally lacks capacity ... in terms of (these) disciplines... hence the emphasis placed on masters and doctoral output by the Department of Education in the national plan for higher education... The changes are personally challenging and exciting. They make me more relevant than I was five and ten years ago, but they also represent an opportunity for the built environment disciplines... Given that research is one of my niche areas, it also holds a lot of potential for me in terms of academic research and commercial research. The views of participants on the topic of socially relevant research are dealt with further in chapter eleven below. Equity For some black academics, democratization meant more than changes in the type of research being conducted. They commented on the transformation of the institution in terms of equity at the departmental levels. The two female academics held very strong views about the lack of transformation at the university, claiming that the phenomenal change in the student racial profile at UPE had not been accompanied by a change in the racial profile of staff (I: Charmaine; Ronelle). The change in student demographics has been significant. Charmaine, who began her studies as an undergraduate student at UPE in the early 1990s, claimed that she was among five black students in the science faculty at the time. According to her, this was in accordance with the quota system: "A quota system that allowed [only] so many black students [to be admitted] and if they behaved themselves they'd be allowed into residence] the following year... once we graduated then the whole transformation started" (I: 93 Charmaine). She is pleased that there has been significant transformation for students in that they are now able to obtain bursaries and information to assist with their studies: "For students I think it has been beneficial in that a lot of bursaries are made available. There is a lot of information that has been made available" (I: Charmaine). Black academics also claimed that, despite their qualifications and length of service, new white academics were placed in positions for which they had applied (I: Charmaine; Jeevan; Ronelle). Black academics believed that some staff members were resistant to the changes, making it onerous for those in leadership who were committed to change (I: Jeevan; Ronelle; Xolile). Black academics expressed concern that the equity policy was being interpreted as pertaining to gender rather than race differentiation and that it targeted mainly white women. As a result of these problems pertaining to the transformation, some academics have found the institutional climate unsupportive of them (I: Charmaine; Jeevan; Ronelle; Williams; see Mabokela for discussion on institutional climate 1997, 2000, 2001). Based on her own experience, Ronelle claimed that some black colleagues were being exploited by their white colleagues who used their names to secure black empowerment funding, but excluded them from the project. These issues appear to hav