ISSN 1682-3451
Higher Education Management and Policy
Volume 19, No. 2
© OECD 2007
Peripheries and Centres: Research
Universities in Developing Countries
by
Philip G. Altbach
Boston College, United States
The research university is a central institution o/the 21st century providing access to global science, producing basic and applied
research, and educating key leaders for academe and society.
Worldiuide, there are very few research uniuersities - they are
expensive to develop and support, and the pressures of
massi/ication haue placed priorities elseu;here. For deueloping
countries, research uniuersities are especially rare, and yet they are
especially important as key ingredients for economic and social
progress. This article argues for the importance of research
uniuersities in deueloping countries and points out some of the
challenges that such institutions/ace.
Ill
PERIPHERIES AND CENTRES: RESEARCH UNIVERSITIES IN DEVELOPING COUNTRIES
T
1 he research university is a central institution of the 21st century. It is
essential to the creation and dissemination of knowledge. As one of the key
elements in the globalisation of science, the research university is at the
nexus of science, scholarship and the new knowledge economies. The
research university educates the new generation of personnel needed for
technological and intellectual leadership, develops the knowledge so
necessary for modern science and scholarship, and, just as important, serves
as an element of worldwide communication and collaboration.
All but a few research universities are located in the developed economies of
the industrialised world. Any of the recent world rankings of top universities
show that the main research-oriented universities are found in a few countries.
This article, however, looks at the realities and prospects for research universities
in developing and middle-income countries - a small but growing subset of
research universities worldwide. If knowledge production and dissemination are
not to remain a monopoly of the rich countries, research universities must
become successful outside the main cosmopolitan centres. In establishing and
fostering research universities, developing countries face problems that are to
some extent unique.
Research universities are defined here as academic institutions committed
to the creation and dissemination of knowledge in a range of disciplines
and fields and featuring the appropriate laboratories, libraries and other
infrastructures that permit teaching and research at the highest possible level.
While typically large and multifaceted, some research universities may be
smaller institutions concentrating on a narrower range of subjects. Research
universities educate students, usually at all degree levels - an indication that
the focus extends beyond research. Indeed, this synergy of research and
teaching is a hallmark of these institutions, which employ mainly full-time
academics who hold doctoral degrees (Kerr, 2001).
Motivating this discussion is a conviction that knowledge production and
dissemination must spread internationally and that all regions of the world
need a role in the knowledge network (Altbach, 1987). While there will always
be centres and peripheries - the centres mainly concentrated in the major
industrialised countries for the foreseeable future - there is room, indeed a
necessity, for a wider dissemination of research capacity throughout the
world. It may not be possible for each country to have a research university,
but many developing and middle-income countries can develop universities
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with research capacity and the ability to participate in the world knowledge
system. Smaller countries can form regional academic alliances to build
enough strength in selected fields to promote participation in global science.
The argument can be made that all countries need academic institutions
linked to the global academic system of science and scholarship so that they
can understand advanced scientific developments and participate selectively
in them. Academic institutions in small or poor countries cannot compete
with the Oxfords or Harvards of the industrialised countries. But most
countries can support at least one university of sufficient quality to
participate in international discussions of science and scholarship and
undertake research in one or more fields relevant to national development.
Research universities generate growing enthusiasm worldwide.
Countries come to the conclusion that such institutions are the key to gaining
entry into the knowledge economy of the 21st century. Not only do these
institutions train key personnel, but they form windows to scientific
information worldwide by providing opportunities for top-level scientific
communication. Faculty members and students at these institutions connect
with colleagues everywhere and participate in global science and scholarship.
Even in the United Kingdom and the United States, concern is rising about
maintaining the standards of existing research universities (Rosenzweig,
1998). Germany worries about the international competitiveness of its top
universities and has allocated resources to some key institutions, while the
Japanese government has funded competitive grants to create "centres of
excellence". China has placed emphasis on creating "world-class" research
universities, and India is finally beginning to think about the quality of its
mainstream institutions. Similar programmes to enhance standards exist in
Chile, South Korea, Taiwan and elsewhere. Several of Africa's traditionally
strong universities are seeking to improve their quality in an effort to achieve
research university status, with assistance from external funders, although it
is, in general, behind levels of academic development on the other continents.
In keeping with the rising profile of research universities in developing
countries, many national policy makers, analysts of higher education, and even
the international aid agencies and the World Bank, previously convinced that
only basic education was worth supporting, now understand that research
universities are important for national development. Research universities have
emerged on the policy agenda in many developing countries, especially larger
countries that seek to compete in the global knowledge economy.
History and perspectives
Universities, since their origins in medieval Europe, have always been
concerned with the transmission, preservation and interpretation of
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knowledge, although not primarily with the creation of new knowledge
(Perkin, 2006). While they have served as cultural and intellectual institutions
in their societies, universities have not traditionally been research-oriented.
Science was conducted elsewhere for the most part. Wilhelm von Humboldt
largely invented the modern research university when the University of Berlin
was established in 1818. Von Humboldt's idea was that the university should
directly enhance German national and scientific development. This
revolutionary idea harnessed science and scholarship - produced, with state
support, in universities - to national development. The Humboldtian concept
proved to be highly successful, and the new German universities (and others
that were reformed to conform to the new model) contributed to the
emergence of Germany as a modern country by producing research and
educating scientists. A significant additional contribution ofthe Humboldtian
model that affected both science and the organisation of higher education was
the idea of the "chair" system - the appointment of discipline-based
professors. This innovation helped to define the emerging scientific fields and
also shaped the organisation of the university.
Two countries focused on modernisation and development. After
1862 the United States and, several decades later, Japan quickly adopted parts
of the German model. The US "land grant" model proved to be particularly
successful. It combined the Humboldtian emphasis on research and science
and the key role of the state in supporting higher education based on the idea
of public service and applied technology (Altbach, 2001). The great American
public university, as exemplified by the University of Wisconsin and the
University of Califomia in the latter 19th century, opened the door to direct
public service and applied technology. It also "democratised" science by
replacing the hierarchical German chair system with the more participative
departmental structure. Variations of the German, Japanese and US research
university concepts largely characterise today's research universities.
Almost all contemporary universities, regardless of location, are
European in structure, organisation and concept. Academic institutions from
Tokyo to Tashkent and from Gairo to Chicago are based on the Western model.
This trend means, for most developing countries, that higher education
institutions are not integrally linked to indigenous cultures and in many cases
were imposed by colonial rulers. Even in such countries as Ghina, Ethiopia and
Thailand which were never colonised. Western academic models were chosen
(Altbach and Umakoshi, 2004). For developing countries subjected to
colonialism, higher education growth was generally slow paced, and in much
of Africa and some other parts of the developing world, universities were not
established until the 20th century.
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Research universities and academic systems
Research universities generally constitute part of a differentiated
academic system - an arrangement of postsecondary institutions with varied
roles in society and different funding patterns. Countries without such
differentiated systems find it difficult to support research universities, which
are always expensive to maintain and require recognition of their specialised
and complex academic role. Germany, for example, considers all of its
universities as research institutions, and as a result is unable to provide
adequate funding to any of them, although a few German universities have
been recognised for their research quahty and are being given enhanced
funding to compete globally. Research universities are inevitably expensive to
operate and require more funds than other academic institutions. They are
also generally more selective in terms of student admissions and faculty
hiring and typically stand at the pinnacle of an academic system.
The creation of a differentiated academic system is thus a prerequisite for
research universities and is a necessity for developing countries (Task Force on
Higher Education and Society, 2000). A differentiated system has academic
institutions with diverse missions, structures and patterns of funding. In the
United States, thefirstcountry to design academic systems as a way to organise
its expanding and multidimensional postsecondary institutions in the early
20th century, the "California" model is generally seen as the most successful
approach. California's public system has three kinds of academic institutions,
each with quite different purposes (Douglass, 2000). This tiered model -with
vocationally-oriented "open-door" community colleges, multipurpose state
universities and selective research-oriented universities - has specific patterns
of funding and support for each of the tiers as well as quite different missions
(Geiger, 2004). In the United Kingdom, since the 1970s, mainly as a result of
government policies, research assessment exercises and other initiatives have
created a tiered system in which institutions that emerged at the top as a result
of quality reviews - Oxford, Cambridge and a modest number of others - have
been funded more generously than other universities.
Academic systems often evolve during the massification of higher
education. As Martin Trow has pointed out, most countries have inevitably
moved from an elite higher education system toward mass access, with half or
more of the age cohort attending postsecondary institutions (Trow, 2006). Ever
larger numbers of students, with varying levels of academic ability and
different goals for study, require a range of institutions to serve multiple
needs. Just as important, no country can afford to educate large numbers of
students in expensive research universities.
Research universities are a small part of most academic systems. In the
United States, perhaps 150 out of a total of more than 3 000 academic
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institutions are research universities. Yet these universities are the most
prestigious and are awarded 80% of competitive govemment research funds.
Academic salaries tend to be higher, teaching responsibilities for the faculty
members lower, and library and laboratory facilities better than the national
average. Many countries have just one or two research universities because of
their cost and the resources available. Even in fairly large countries, the number
of research universities is often small; the United Kingdom has perhaps
20 institutions and Japan has a similar number. Ghina is aiming to establish well
over 20, and Brazil has five. Some countries may have more research
universities than they can afford; Sweden and the Netherlands are examples.
To allow research universities to flourish requires a way to differentiate
them from other types of postsecondary institutions, provide funding at a
higher level, and legitimise the idea that these institutions are indeed special
and serve a crucial role in society.
Research universities and research systems
Research universities are not the only institutions in which research is
conducted. Specialised research institutes, govemment laboratories, corporate
research centres, and other agencies carry out research, and many participate in
the intemationai scientific community. In large countries, research universities
form part of a more complex research system that includes other kinds of
institutions. Universities, however, serve as some the most effective institutions
for carrying out research. In addition, they provide formal training and
credentials for the future generation of researchers, scholars and teachers.
Using advanced students, typically at the doctoral level, to assist with research
reduces the cost of research, provides valuable training for students and
employs the insights of the new generation of talented researchers.
Research institutes, usually publicly funded, remain common
establishments in many countries. The Academy of Science system of the
former Soviet Union is one ofthe most influential models (Vucinich, 1984). Top
researchers are appointed at discipline-based (or occasionally
interdisciplinary) academies that are usually attached to a research institute.
These key scientists in some cases have affiliations with universities, but their
main appointments and work are based in the research institutes. The hard
sciences and engineering dominate the academy system; the humanities and
social sciences are underrepresented. In the case of the former Soviet Union
(and contemporary Russia to some extent) and some other countries like
those in Eastern Europe and Ghina, these academies are the main providers of
research. In these countries, universities have a lower research profile and
little direct funding for research. Taiwan, through its Academia Sinica,
operates in much the same way. The French GNRS (Centre National de la
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Recherche Scienti/ique) and the German Max Planck Institutes have similar
functions, although in both cases there are increasingly strong links with
universities, including shared researchers. In the United States, the National
Institutes of Health (NIH) resemble the European examples although in
general the NIH focus more on applied research. Many countries are moving
away from the research institute model and toward embedding research
laboratories in universities.
There is a growing trend, especially in the United States, of universitybased research facilities that are sponsored by corporations and engaged in
advanced research involving products or research themes of interest to
the sponsoring company. Most focus on applied research that results in
marketable products for the sponsoring corporation. US and Japanese
companies have been especially active in sponsoring university-related
research centres. Companies have set up research facilities near universities
to take advantage of academic expertise - the relationship between
biotechnology corporations and the Massachusetts Institute of Technology is
well known. In other examples, corporate laboratories have been set up at
universities or agreements have been made with academic units to provide
funds for research in return for access to knowledge products (Slaughter and
Leslie, 1997). China has been active in university-industry linkages, with
mixed success. While some observers have noted that not all efforts have been
successful and have argued that traditional academic values are being
weakened, others have praised innovative programmes (Ma, 2007; Liu, 2007).
Universities assemble in one place researchers, teachers and students
who create an effective community for knowledge, discovery and innovation.
Advanced doctoral-level students can provide highly motivated scientific
personnel who at the same time can benefit from direct involvement in
sophisticated research. Universities have a wide range of disciplines and
scientific specialisations, and research can benefit from interdisciplinary
insights, which is especially significant in frontier areas such as biotechnology
and environmental science. Universities can also combine basic research with
applied applications in ways that other institutions cannot.
The academic environment is enriched by the unique combination of the
academic norm of scientific discovery and interpretation, the link between
teaching and research, and the presence of scientists and scholars from a
range of disciplines. Universities also exemplify the "public good" - the idea
that scientific discovery may have wider social benefits - and their focus on
basic research is unique. While science can take place in other venues,
universities are a particularly effective environment for discovery.
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Common characteristics of the research university
Despite variations among research universities worldwide, common
characteristics exist that are worth noting precisely because they are so nearly
universal.
Research universities, with few exceptions, are government-funded public
institutions. Only in a few countries such as Chile, Japan and the United States do
private research universities exist, although with the current worldwide growth
of private higher education it is possible that a small number of these institutions
will aspire to the top ranks. This is the case for a number of reasons. TUitiondependent private institutions can seldom fund expensive research universities.
Research universities are typically large in terms of student enrollments and
numbers of departments and faculties. Basic research, the most expensive part of
the university, requires public support because it typically seldom produces direct
income. The facilities necessary to produce top-quality research, especially in the
sciences, are exceeding expensive. Even in the United States, the research
mission of some private universities is supported by the govemment through
competitive research grants obtained by individual scientists. In most of the
world there is no academic tradition of private research universities. T&x laws
generally do not reward philanthropic assistance to private universities. As a
result, few institutions except in Japan and the United States have endowment
funds that permit the support of research. The growing trend internationally
toward for-profit private institutions will further weaken private interest in
research universities, although it is possible that a few private institutions trying
to reach a competitive place at the top of the academic system may seek to
become research universities.
Most research universities are, as Clark Kerr pointed out, "multiversities"
(Kerr, 2001): institutions with a multiplicity of missions among which research
is only one, but where research and graduate study tend to dominate. Kerr was
writing about the University of California, Berkeley, but this generalisation
could apply to most of the world's research universities. The mission of these
universities encompasses undergraduate education on a large scale to reach
out to and serve local and national communities, along with offering a range
of vocational and professional credentials to students. Some universities, such
as UNAM (Uniuersidad Nacional Autonoma de Mexico) in Mexico and the
University of Buenos Aires in Argentina, sponsor secondary schools as well.
But in all cases, the research mission is at the top of the prestige hierarchy of
the institution. This emphasis on research tends to have a negative impact on
the quality of undergraduate instruction and typically has a major influence
on the direction ofthe university (Lewis, 2006; Hutchins, 1995). Many, however,
argue that research-active faculty members bring a vitality to their teaching
that benefits students, even at the undergraduate level.
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Research universities are always resource intensive. They are
considerably more expensive to build and operate than other academic
institutions because of increasingly expensive scientific equipment; rapidly
expanding, costly information technology and access to worldwide scientific
knowledge; and the need to pay their professors more than the norm for the
rest ofthe academic system. The cost per student is always higher than for the
rest of the system. Funding must be available on a sustained basis; fiuctuating
budgets can damage these institutions.
Finally, research universities attract the "best and the brightest" students
in the country and, in some instances, from around the world. Because of their
prestige and facilities, these universities generally attract the most able
students, and the admissions process is highly competitive. Similarly, research
universities generally employ the most talented professors - scientists and
scholars who are attracted by the research orientation, by the facilities and
often by the more favorable working conditions at these institutions. Research
university faculty generally hold doctoral degrees, even in many countries
where the doctorate is not required for postsecondary teaching.
Challenges
Research universities face severe challenges at a time when they are
recognised as the pinnacle of the academic system and as central to the new
globalised economy. The following factors are among the problems faced by
research universities in all countries. While the scope and depth ofthe issues
discussed here may vary, they are universally applicable.
Funding
As noted earlier, the basic cost of operating a research university has
increased, placing more stress on traditional funding sources, mainly
governmental, and forcing institutions and systems to seek new revenues. At
the same time, the basic concepts underpinning public funding for higher
education are being questioned. Higher education is traditionally viewed as a
public good, serving society by means of improved human capital as well as
research and service. Thus the society is responsible for paying for much of
the cost of higher education. Since the 1980s, spurred by thinking from the
World Bank and international policy organisations that have shaped the
"neoliberal economic consensus", higher education is increasingly seen as a
private good that mainly benefits individual graduates. From this perspective,
the individual and his or her family should pay the main costs of higher
education through tuition and other fees. This change in thinking occurred at
the same time that massification became a key factor in many countries;
dramatically increased enrolments were impossible for traditional
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government funding levels. Leaving aside the broader economic arguments,
this combination of financial factors has been particularly difficult for
research universities, which are quintessential "public good" institutions.
Their costs are high and their products - educating the top echelons of society,
providing research, and serving as repositories of knowledge and sources of
social analysis - may not yield practical results in the short run. Student
tuition alone cannot support research universities. Further, basic research
cannot be expected to fund itself. For these and other reasons, research
universities face severe financial strain.
Research universities are subject to the pressures of privatisation (Lyall
and Sell, 2006). The privatisation of public universities has become a common
phenomenon since public funding is inadequate to support these institutions.
In the United States, for example, many of the "flagship" public research
universities receive as little as 15% of their basic funding from their primary
sponsors, the state governments. The rest of the budget comes from student
tuition, research grants, income from intellectual property and ancillary
services, and donations from individuals and foundations, as well as
endowments. To produce sufficient income, Chinese universities have
increased tuition, eamed income from consulting and other work by faculty
members, and established profit-making companies. In some countries,
including Australia, China, Poland, Russia and Uganda, research universities
have admitted "private" students who are charged high tuitions, in contrast to
the publicly supported enrollments, in order to earn extra funds. Many of
these activities significantly undermine the core role of the university.
Research
A culture of research, inquiry and quality is an essential part of a research
university. Because of the financial pressures described here, the trend is
toward applied and often profit-oriented research, which can be more easily
funded than basic research and may yield profits for the university. The
commercialisation of research has significant implications for research
universities. It changes the orientation of the research community to some
extent by emphasising commercial values rather than basic research.
Universities have entered into agreements with corporations to produce
specific research products or provide access to university facilities. The
controversial links between the University of California, Berkeley and the
multinational pharmaceutical company Novartis exemplify the possible
confiicts between traditional academic norms and commercial interests. The
ownership of knowledge, the use of academic facilities and the ultimate
openness of scientific research are all issues raised by these new commercial
linkages (Slaughter and Rhoades, 2004).
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With the rising costs of university research due to expensive laboratories
and equipment, large interdisciplinary scientific research teams and other
factors, raising funds to support research in the sciences grows more difficult.
Even large and well-funded universities in the industrialised countries
struggle to support cutting-edge research. In some fields, only the richest
institutions can support frontier scientific research.
Research universities in developing countries will need to selectfieldsof
research that are affordable and linked to national needs and priorities, for
example agriculture or some areas of biotechnology. Appropriate links with
private-sector companies, including multinational corporations, may be
necessary, and a balance between applied and basic research will need to be
worked out. Work in the sciences is only one part of the research agenda of a
university. The social sciences and humanities are often neglected because
the hard sciences are seen to be more profitable and prestigious. Yet the social
sciences and humanities are important for the understanding of society and
culture. Disciplines like history are of course relevant, and so are newer fields
such as policy studies. They are also considerably less expensive than the hard
sciences.
The details of allocating funding for research are also central policy issues.
While basic resources, from the university budget, for laboratories, libraries and
other research infrastructures are necessary, funding for specific research
projects can come from a variety of sources and be allocated in different ways.
A system of competitive awards encourages innovative ideas and granting
funds for the best projects. Such funds can come from government ministries
and granting agencies, private and foreign foundations, or business firms. An
appropriate mix of funding sources and allocation mechanisms encourages
competition for research funds and the best quality and most innovative
research ideas.
Commercialism and the market
The intrusion of market forces and commercial interests into higher
education is one of the greatest challenges to universities everywhere.
The threat to research universities is particularly great because they are
quintessentially "public good" institutions. Market forces have the potential
for intruding into almost every aspect of academe (Kirp, 2003). Roger Geiger
has written about "the paradox of the marketplace for American universities":
Hence the marketplace has, on balance, brought universities greater
resources, better students, a far larger capacity for advancing knowledge,
and a more productive role in the US economy. At the same time, it has
diminished the sovereignty of universities over their own activities,
weakened their mission of serving the public, and created through
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growing commercial entanglements at least the potential for
undermining their privileged role as disinterested arbiters of knowledge.
(Geiger, 2004, p. 265)
For developing countries, the challenge of the market is particularly
serious because there is less basic financial stability and a weaker tradition of
academic autonomy. External market pressures can quickly affect the entire
institution. For research universities, market forces may significantly shift the
direction of research, the focus of the academic profession and the financial
balance of the institution. It is clear, however, that if research universities are
forced to rely increasingly on their own resources for survival, market forces
will determine institutional directions and priorities.
Autonomy and accountability
The tension between autonomy and accountability is a perennial concern
for academic institutions. Universities' tradition of academic autonomy
involves the ability to make their own decisions about essential academic
matters and to shape their own destiny. At the same time, external
authorities, including funders, governmental sponsors and religious
organisations, held some control over higher education. Since the origins of
universities in medieval Europe, these tensions have been evident. In the era
of mass higher education, demands for accountability have increased given
higher education's rising impact on both the economy and society. Higher
education is both a significant state expenditure and of growing relevance to
large numbers of people (El-Khawas, 2006). The demand for contemporary
accountability almost always comes from the state, the source of much of the
funding for higher education.
Research universities have a special need for autonomy, and current
demands for accountability are especially problematical for them. While
academe in general needs a degree of autonomy to function effectively, research
universities must be able to shape their own programmes, carry out a long-term
perspective, and manage their budgets and the academic community. Not only
do research universities require steady funding commitments, they also need
autonomy to develop and maintain their strengths. The academic community
itself is the best judge of the success of programmes. Basic research, especially,
must have autonomy to develop, since it typically emerges from the interests
and concerns of the faculty.
Accountability has become an ever more powerful force - reflecting not
only the concerns of government authorities, but increasingly market forces
as well. Students have demanded greater knowledge of the performance of
academic institutions, and commercial enterprises, linked ever more closely
to academic, also demand information and often influence academic policies.
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This is, of course, an essential part of contemporary higher education. In this
context, research universities, with their need for autonomy, face a difficult
environment in the era of markets and accountability.
The globalisation of science and scholarship
Science in the 21st century is truly global in scope. Research results are
immediately available worldwide through the Internet. Scientific journals are
circulated internationally, and academics contribute to the same publications.
Methodologies and scientific norms are used worldwide more than ever
before. Scientific equipment, ever more sophisticated and expensive, is
available everywhere, and there is pressure for research universities to have
the most modern laboratories if they wish to participate in global scientific
research. Further, research is increasingly competitive, with researchers and
universities rushing to present results and patent or license potentially useful
discoveries or inventions. Science, in short, has become a "high-stakes" and
intensely competitive international endeavour. Entry into advanced scientific
research is expensive, as is maintaining a competitive edge.
The challenge consists not only of laboratories and infrastructure but also
the definitions and methodologies of science and scholarship. Scientific
globalisation means that participants are linked to the norms of the disciplines
and of scholarship that are established by the leaders of research, located in the
major universities in the United States and other Western countries. The
methods used in funded research and presented in the main scientific joumals
tend to dominate world science. Further, the themes and subject areas of
interest to leading scientists and institutions may not be relevant to universities
at the periphery. Involvement in world science means, in general, adherence to
established research paradigms and themes.
The high cost of science creates serious problems for academic institutions
without a long tradition of research and the required infrastructure and
equipment. It is no longer sufficient to build an infrastructure that permits
research on local or regional themes if a university wishes to join the "big
leagues". Universities that wish to be considered research-oriented need
to participate in the international scientific network and compete with
institutions and scientists worldwide. The costs of joining the league of research
universities is an especially serious problem for developing countries, with
funding problems and no experience of building such institutions. Small
academic institutions in both larger countries and small industrialised
countries seeking to transform themselves into research universities face
similar challenges. The world of global science is expensive to join, and
sustaining participation is also costly.
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The paradox of global science is similar to globalisation in general.
Globalisation - through information technology, better communications, the
worldwide circulation of highly trained personnel and other factors - permits
everyone to participate in the global marketplace of science, scholarship and
ideas. At the same time, globalisation subjects all participants to the pressures
of an unequal global knowledge system dominated by the wealthy
universities, and imposes the norms and values of those institutions on all
(Altbach, 1987, 2004).
Public and private
As discussed earlier, almost all research universities outside Japan and the
United States are public and state supported. It is likely that this trend will
continue, although with some changes. The fastest-growing sector of higher
education worldwide is private. Thus the expansion of the private sector will
have an impact on research universities, albeit indirectly, since private higher
education is not focused on research (Altbach, 1999). With only a few minor
exceptions, the new private institutions focus on teaching and providing
credentials to students in professional and other fields, often in specialised
niche areas. New private universities are not full-fiedged academic institutions
with a range of disciplines in most fields of science and scholarship.
Specialisation is particularly an aspect ofthe rapidly expanding for-profit sector
of private higher education. The sector is never concerned with building
research capacity, since research does not produce profits rapidly.
A small number of nonprofit private universities may succeed in building
research capacity to raise their status and contribute broadly to education and
research. The Catholic University in Santiago, Chile, and the American
University in Cairo, Egypt, are two examples of high-status private institutions
that are focusing on developing significant research profiles to build national
and international reputations. Institutions such as these generally have a
tradition of academic excellence and access to philanthropic funds to develop
research programmes.
The growing role of private higher education worldwide means that a
smaller proportion of universities will focus on research. This might, in some
ways, benefit public research universities since the state may have some of
the burden of mass higher education access lifted and be able to focus on
promoting the research sector. It is, however, more likely that as the private
sector takes on more responsibility for higher education, the state will
continue to decrease its support for the sector, as has been the trend in many
countries. The rise ofthe private sector, with its lack of focus on research, may
threaten the research role of universities in most of the world, especially in
developing countries.
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Research universities as meritocracies
In some parts ofthe world, universities do not adhere to strict meritocratic
values. Corruption is a problem and grants and promotions maybe awarded for
reasons unrelated to quality and merit. For research universities, adherence to
meritocratic norms and academic honesty is of special importance. Universities
are, of course, part of a broader social and political system, and if the polity is
rife with corruption and favoritism, academe will not be immune. The problem
of academic corruption in its many facets is present in some developing
countries. Systemic corruption is also evident in some of the countries of the
former Soviet Union as well as elsewhere. Bribery in student admissions and the
awarding of degrees, flagrant plagiarism by students and academics,
widespread cheating on examinations, and other forms of clearly unacceptable
behaviour have become endemic. In India students have demonstrated for the
right to cheat on university examinations. In China there has been a growing
public concern about plagiarism at all levels of the academic system and
violation of intellectual property at some research universities (Pocha, 2006). In
a healthy academic system, when such behavior takes place, it receives the
condemnation of the academic community and is rooted out.
The situation is even more dangerous when it directly involves the
academic profession. Poor academic salaries contribute to unprofessional
professorial practices. Widespread illegal selling of lecture notes and other
course materials in Egypt by professors is linked to the need of academic staff
to earn enough money to survive (Arishie, 2006). Selling academic posts is a
common practice in some countries, and awarding professorships on the basis
of ethnic, religious or political factors is widespread as well.
While corrupt practices are damaging in any academic environment, they
are toxic to the culture and ethos of the research university. The ideal and
practice of meritocratic values are central to the research university. Excellence
and intellectual quality are key criteria for student admissions, academic hiring,
promotion and reward in research universities. The underpinnings of these
academic institutions depend on meritocratic values. Widespread violations
will inevitably make it impossible for a research university to flourish.
Academic freedom
Academic freedom is a core requirement for research universities
(Altbach, 2007). However, a few definitions are necessary. Of primary
importance is the freedom to undertake research and publication in one's area
of research and to teach without any restriction in one's areas of expertise.
These rights are parts of the more limited Cerman definition of academic
freedom. The right of academics to express their views in any public forum or
in writing on any topic, even on subjects far from the individual's academic
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expertise - the broader US definition - is increasingly accepted around the
world. Academic freedom is in some countries protected by specific academic
legislation as well as traditional norms and values. Tenure systems in many
countries and civil service status in others provide guarantees of employment
security so that it is difficult, if not impossible, for governmental authorities or
others to terminate a professor who is protected by these guarantees.
Research universities are particularly dependent on a robust regime of
academic freedom because their faculty members are directly engaged in the
discovery of new knowledge. Research university professors are also more
likely than other academics to be "public intellectuals", engaged in civic
discourse on topics of societal importance. History shows that academic
freedom - freedom in the classroom, in the laboratory and in publishing the
results of research and scholarship - is central to building a research culture.
In some countries, the norms of academic freedom are not fully
entrenched, and as a result it may be more difficult to sustain top-quality
research universities. Where academic freedom is entirely missing or severely
restricted, as is the case in a small number of countries, research universities
with reasonable standards cannot be successful regardless of financial
support or resources. More common worldwide are universities with some
restrictions on academic freedom. In many countries, especially developing
countries, in areas of knowledge that are considered politically or socially
sensitive, research, publication or commentary is restricted. Such fields
include ethnic or religious studies, environmental research, and studies of
social class or social confiict, among others. The sanctions for critical analysis
in these fields may be as severe as firing from academic posts, jail or exile.
More common are less serious penalties or informal warnings.
There seems to be a delicate balance between academic freedom and a
viable research university. Singapore has adopted the 19th-century German
definition of academic freedom: scholars are free to express their views on issues
directly in their fields of expertise, but not on broader issues. Politically sensitive
areas such as ethnic relations may create special problems for academics. At the
same time, Singapore has been successful in building research universities and
establishing collaboration with respected universities abroad. The situation in
China is similar, although restrictions are reportedly greater and sanctions for
violations can be more severe. In the Middle East, there are taboos on research
and publication concerning politically sensitive Arab-Israeli relations or certain
religious or ethnic topics. In some African countries, criticism of the ruling regime
in power can result in jail terms or job loss, although in general academic freedom
is respected. It seems that reasonably successful research universities can be built
under conditions of incomplete academic freedom so long as the restrictions are
not too severe, although broad comparisons show universities with the greatest
amount of academic freedom do best as effective research institutions.
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In the United States and other industrialised countries, the main threat to
traditional norms of academic freedom comes from the commercialisation of
research and the increasing links between universities or individual researchers
and corporations interested in university-based research. Under the banner of
university-industry collaboration, agreements are made that sometimes restrict
access to research findings, focus the attention of research groups on
commercially focused products and emphasise applied research at the expense
of basic work (Slaughter and Rhoades, 2004; Kirp, 2003). This commercialisation
may befinanciallyadvantageous to the university and to individual researchers
but often places restrictions on the free communication of knowledge, thus
violating one of the principles of academic freedom.
Academic freedom is a complex and nuanced topic, central to the success
of a research university. It is a core value of higher education everywhere and for
all types of academic institutions, but is of special importance for research
universities. The challenges to academic freedom in the 21st century come not
only from repressive external authorities but also from the new commercialism
in higher education. Problems may also originate from within the academy due
to the politicisation of the academic community or tensions caused by religious
or ethnic relations in some countries.
The academic profession
The professoriate is central to higher education. Research universities
rely especially on the quality and focus of the academic profession, and
current developments relating to the professoriate worldwide are not
favorable for either the profession or for research universities (Altbach, 2003).
Research universities require academic staff with the highest possible
qualifications: doctoral degrees from reputable universities. This seemingly
obvious statement is necessary because the majority of academic staff in
developing countries do not hold a doctorate.
Research universities require full-time professors, scholars and scientists
who devote their full professional attention to teaching and research at the
universities. Without a large majority of full-time academic staff, it is simply
impossible to build a cadre to form a committed and effective professoriate.
Not only required to fulfill the core functions of the university, full-time
faculty also need to participate in governance and management because
research universities need a high degree of autonomy and faculty governance.
The lack of full-time faculty is one central reason Latin American countries
have failed to build research universities.
Along with full-time commitment, salaries must be sufficient to support a
middle-class lifestyle. While they need not be paid salaries similar to those of
colleagues in the most highly remunerated universities internationally.
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professors must be solid members of the middle class in their country.
Frequently, full-time professors generate a significant part of their income
through consulting, moonlighting at other institutions, or, at some universities,
taking on extra teaching loads in fee-producing programmes. These
arrangements detractfromthe core functions of the professoriate and make full
academic productivity difficult to maintain. In some disciplines, consulting work,
applied research for industry and other links with external agencies may provide
useful synergies for academic work, but in many countries outside work and
dependence on additional income are deleterious to the research university. Just
as problematic, academic salaries, overall, have stagnated worldwide at the same
time that remuneration for similarly educated professionals outside universities
has increased in some countries quite dramatically. In order to attract the "best
and brightest" to academe, salaries must be competitive.
Teaching responsibilities must be sufficiently limited to allow time and
energy for research. In the United States, the standard teaching load in most
research universities is two courses per semester or four per academic year. In
some scientific fields, even less teaching is expected. Similar teaching loads
are common in Europe. In many developing countries, much more teaching is
required, leaving little time for research. The most active research-focused
professors in the United States undertake a significant part of their teaching
in graduate (postbaccalaureate) programmes, which helps to link teaching
with research and increases productivity. In European countries, with doctoral
programmes that are mainly focused on research, professors are given
sufficient time for doctoral supervision and mentoring. Few developing
countries have instituted these practices.
The academic profession must have a career ladder that permits talented
professors to be promoted up the ranks of the profession on the basis of their
performance and the quality of their work and a salary structure determined
by performance. In many countries, an initial full-time appointment is
tantamount to a permanent job. In some, such as Germany, it is difficult for a
junior academic to obtain a post that has the possibility of promotion because
of the organisation of the career structure. In much of the world, promotion up
the academic ranks is largely a matter of seniority and not of demonstrated
performance in teaching and research. In the majority of countries, academic
salaries are determined by seniority, rank and, in some places, discipline
rather than by job performance. This is especially true for countries where
academics are considered civil servants - mainly in Western Europe (Enders,
2001). Civil service status provides strong guarantees of permanent
employment but seldom measures productivity as an element of promotion.
The challenge is to link reasonable guarantees of long-term employment,
both as a means of ensuring academic freedom and as a way of providing
employment security and institutional loyalty. The US tenure-track system,
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although much criticised within the United States, may be closest to this goal
(Chait, 2002). It provides initial probationary appointments with a series of
rigorous evaluations that, if passed, lead to a permanent (tenured) appointment
after six years. Further promotion, from the rank of associate to full professor, is
also merit-based and depends on arigorousevaluation. Most US colleges and
universities follow this pattern although the research universities have the
most stringent evaluations. Increasingly, US universities have also instituted
"post-tenure review" so that productivity is measured following the award of
tenure. Typically, salary raises are given based on performance as well as
seniority. Even in the United States, the academic profession is threatened from the perspective of the research universities. The two most serious
problems are the growth of a part-time academic workforce and the relatively
new category of non-tenure-track, full-time appointments, similar in some
ways to the German pattern of appointments that cannot lead to permanent
careers. Now, half of the new positions at US colleges and universities are in
these categories, although at research universities the proportion of tenuretrack positions is higher (Schuster and Finkelstein, 2006).
The academic profession is central to the success of the university
everywhere. A research university requires a special type of professor - highly
trained, committed to research and scholarship, and motivated by intellectual
curiosity. Full-time commitment and adequate remuneration constitute other
necessities. A career path that requires excellence and at the same time offers
both academic freedom and job security is also required. Academics at
research universities need both the time to engage in creative research and
the facilities and infrastructure to make this research possible.
Developing countries: goals, aspirations and realities
Many developing and middle-income countries need research universities
to participate in the expanding knowledge and service-oriented economy ofthe
21st century. Aspirations, however, must be tempered by realities. The goals of
research universities in developing countries necessarily differ from those of
the large industrialised countries. For developing countries, the goals include a
number of core elements.
Creating and retaining a scientific community
Research universities employ scientists and scholars in a range of
disciplines. Without these institutions, highly trained academics would leave
the country - as happens in many developing countries today that lack these
institutions - or would fail to be trained in the first place. Research universities
provide the institutional base for top professors, scholars and scientists who
comprehend what is happening at the frontiers of science in all fields and can
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participate in the global scientific community. The institutions retain local
talent at the same time as they produce additional talent. The academic
community in the local research university can communicate with scholars
abroad and can participate in the global scientific community.
The relevance of research and teaching to industry and society
Local research universities are the only institutions able to give attention
to local needs. They understand the specific problems of the country in which
they are located and can focus on these themes. External institutions have
neither the interest nor the knowledge to do so. Research universities can
bring international scientific trends to bear on local problems and contribute
to the development of domestic industry, agriculture and society.
Cultural and social development and critique
Research universities everywhere constitute centres of culture and
critique. They are of special importance in this regard in developing countries,
where few other societal institutions have relevant expertise. In many
countries, there are few museums, orchestras or other cultural institutions
capable of building and interpreting indigenous culture. Research universities
are often the only places with a "critical mass" of expertise and resources in a
range of cultural areas. These institutions also provide social commentary,
analysis and critique. Again, they are uniquely positioned for these roles; they
have academic freedom and a community of faculty and students interested
in a range of disciplines. While political authorities may find criticism
unwelcome, it is of central importance for the development of a civil society.
Research and analysis in the national Ianguage(s)
Research universities must, of course, function in the international
languages of science and scholarship. Simultaneously, they have a
responsibility to disseminate research and analysis in local languages. Indeed,
they may provide a key source for national-language development by producing
scientific and literary work in the language and building up vocabulary. The role
of indigenous languages in developing country research universities is a highly
complex one. In many countries, including almost all of Africa, India and other
regions, higher education takes place in nonindigenous languages (English,
French, etc.) and the issues are quite complicated. But it is clear that research
universities play a key role in supporting and developing local languages.
Educating a neu; generation 0/ scientists, scholars and technicians
It goes without saying that the central role of the research university is
education - the training of the next generation of educated personnel for the
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society. Society's leaders, in politics, intellectual life, industry and, of course,
education, are trained mostly in the local research university. The role of
UNAM in educating generations of the Mexican elite is just one example of a
common trend (Odorika and Pusser, 2007).
The aspirations of the research universities in developing countries must
be realistic. With the exception of a few of the largest and most successful
developing countries, including China and India, aspiring to compete with
Harvard or Oxford or to build a top-ranking world-class university is not a
reasonable goal. Rather, developing countries can seek to compete with
second-rank but quite distinguished research universities in the
industrialised world, such as Indiana University or the University of Nebraska
in the United States, York University in the United Kingdom, or the University
of Amsterdam in the Netherlands.
It is also necessary to select specific areas of science and scholarship to
emphasise. Most research universities provide instruction in the main academic
disciplines, and many have associated professional schools in fields such as
medicine and law. A few research universities are smaller specialised institutions,
such as the California Institute of Technology. Few research universities are
outstanding in all fields. They make choices concerning which disciplines will be
emphasised to build and maintain the highest standards of quality. In some
other fields, good quality can be achieved but not necessarily at the highest
international levels. These decisions may be made on the basis of available
resources, an examination of national or regional needs, or a simple assessment
of existing strengths. Some smaller developing countries may lack the funds to
build and sustain a research university. In such cases, it may be possible to build
a regional research university. Information technology makes this more
practicable. Some regions make such initiatives easier to implement than others.
Conclusion
Research universities stand at the apex of a higher education system,
providing access to international scholarship and producing the research that
may contribute to the growth of knowledge worldwide or in local economies.
These universities are also the means of communication with the international
world of science and scholarship. For developing countries, research universities
play a special role because they are often the sole link to the international
knowledge network. Industrialised countries possess many points of access:
multinational corporations, scientific laboratories and government agencies,
among others. The best local academics are employed at research universities,
which provide them with a home and with the possibility of contributing to
science and scholarship without leaving the country. Research universities are,
thus, centrally important for the success of any higher education system.
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Maintaining research universities requires sustained funding to keep
these institutions abreast of emerging fields and advances in knowledge.
Research universities have special characteristics that may not be common in
the academic systems of many developing countries. These aspects include a
cadre of full-time faculty, academic freedom, a salary structure permitting a
local middle-class lifestyle, promotion and salary enhancement based on
performance rather than just seniority, reasonable guarantees of long-term
appointment, absence of corruption in all sectors of academic work, and an
academic culture of competition and research productivity. These elements
may not be present in existing universities. They require resources as well as
a cosmopolitan academic environment. Research universities constitute a
kind of flagship for the rest ofthe academic system, providing examples ofthe
best academic values and orientations. At the same time, the norms of the
research university, which do not characterise the rest of the academic
system, require support. Research universities provide the skills needed by
21st-century economies and societies and reflect the best academic values.
Research universities are central institutions for the global economy.
Acknowledgement
A different version of this article appears in P.G. Altbach and J. Balan
(eds.), World-Class Worldwide: Transforming Research Uniuersities in Asia and Latin
America, © 2007, The Johns Hopkins University Press. Reprinted with
permission of The Johns Hopkins University Press.
The author:
Philip G. Altbach
Director
Center for International Higher Education
207 Campion Hall
Boston College
Chestnut Hill, Massachusetts 02467
United States
E-mail: altbach@bc.edu
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