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University Autonomy and Higher Education Policy Development in Manitoba by Daniel William Smith A Thesis submitted to the Faculty of Graduate Studies of The University of Manitoba in partial fulfilment of the requirements of the degree of Doctor of Philosophy Individual Interdisciplinary Program University of Manitoba Winnipeg, Manitoba Copyright © 2008 by Daniel William Smith Library and Bibliotheque et 1*1 Archives Canada Archives Canada Published Heritage Direction du Branch Patrimoine de I'edition 395 Wellington Street 395, rue Wellington Ottawa ON K1A0N4 Ottawa ON K1A0N4 Canada Canada Your file Votre reference ISBN: 978-0-494-50452-9 Our file Notre reference ISBN: 978-0-494-50452-9 NOTICE: AVIS: The author has granted a non L'auteur a accorde une licence non exclusive exclusive license allowing Library permettant a la Bibliotheque et Archives and Archives Canada to reproduce, Canada de reproduire, publier, archiver, publish, archive, preserve, conserve, sauvegarder, conserver, transmettre au public communicate to the public by par telecommunication ou par Plntemet, prefer, telecommunication or on the Internet, distribuer et vendre des theses partout dans loan, distribute and sell theses le monde, a des fins commerciales ou autres, worldwide, for commercial or non sur support microforme, papier, electronique commercial purposes, in microform, et/ou autres formats. paper, electronic and/or any other formats. The author retains copyright L'auteur conserve la propriete du droit d'auteur ownership and moral rights in et des droits moraux qui protege cette these. this thesis. Neither the thesis Ni la these ni des extraits substantiels de nor substantial extracts from it celle-ci ne doivent etre imprimes ou autrement may be printed or otherwise reproduits sans son autorisation. reproduced without the author's permission. In compliance with the Canadian Conformement a la loi canadienne Privacy Act some supporting sur la protection de la vie privee, forms may have been removed quelques formulaires secondaires from this thesis. ont ete enleves de cette these. While these forms may be included Bien que ces formulaires in the document page count, aient inclus dans la pagination, their removal does not represent il n'y aura aucun contenu manquant. any loss of content from the thesis. Canada THE UNIVERSITY OF MANITOBA FACULTY OF GRADUATE STUDIES A -ft A A A COPYRIGHT PERMISSION University Autonomy and Higher Education Policy Development in Manitoba BY Daniel William Smith A Thesis/Practicum submitted to the Faculty of Graduate Studies of The University of Manitoba in partial fulfillment of the requirement of the degree Of Doctor of Philosophy Daniel William Smith © 2008 Permission has been granted to the University of Manitoba Libraries to lend a copy of this thesis/practicum, to Library and Archives Canada (LAC) to lend a copy of this thesis/practicum, and to LAC's agent (UMI/ProQuest) to microfilm, sell copies and to publish an abstract of this thesis/practicum. This reproduction or copy of this thesis has been made available by authority of the copyright owner solely for the purpose of private study and research, and may only be reproduced and copied as permitted by copyright laws or with express written authorization from the copyright owner. ACKNOWLEDGEMENTS I would like to thank two colleagues who may not even be aware of their contribution to this work. A former supervisor, Dr. Leo LeTourneau, first suggested that I should get a Ph.D. based on the work I did for him in the University Grants Commission and the Council on Post-Secondary Education. Dr. Kelly Saunders, also a colleague from work, provided initial direction as to how to proceed, and considerable encouragement in pursuing the degree. Dr. Lynn Taylor's support in 2001 was outstanding. For close to a year, Dr. Taylor provided direction in terms of the initial topic and the design of the program. She helped to point me in the right direction and was instrumental in the application process. I want to thank the interview participants in this study for their candor, and for generously sharing their time and recollections about the 5% tuition fee policy. They were supportive and encouraging, both on tape, and off. I want to thank the members of my committee, Dr. Lance Roberts and Dr. John Stapleton, for helping along the way with courses, publication manuscripts, and generally making sure that I did not get away with anything. Their commitment to my project was unwavering. I am indebted to my advisor, Dr. Paul Thomas, for his guidance, patience, wisdom and support. His participation was the key element in the success of this project. And finally, I want to dedicate this work to Kirstin for her unwavering love and support throughout the entire course of the program and research. She made significant sacrifices to support my completion of this degree. I also dedicate the work to my son Erik for understanding that, during the first seven years of his life, sometimes Dad had to do homework. ii TABLE OF CONTENTS Acknowledgements ii Table of Contents iii List of Tables ix List of Figures x Abstract xi Chapter 1: Introduction 1 1.1 Introduction 1 1.2 Purpose of the Dissertation 3 1.2. Key Concepts 5 1.3 Tuition Fee Policies in Manitoba During the 1990s 9 1.3.1 The Fiscal Situation 11 1.3.2 Tuition Fees in Manitoba 15 1.3.2.1 The Legal Framework 16 1.3.2.2 Tuition Fee as a Revenue Source 19 1.3.2.3 Government Policy in the 1990s 21 1.4 Post-Secondary Policy Review 23 1.5 Chapter Summary 26 1.5.1 Significance of the Dissertation 26 1.5.2 Plan for the Dissertation 27 1.5.2.1 Methodology 27 1.5.2.2 Scope 28 1.5.2.3 Limitations 29 1.5.2.4 Outline of Chapters 30 m Chapter 2: Theoretical Framework 34 2.1 Chapter Purpose 34 2.2 Neo-Institutionalism: An Introduction 34 2.3 Neo-Institutionalism from a Historical Perspective 40 2.3.1 Structure and Agency 44 2.3.1.1 Structure 45 2.3.1.2 Agency 46 2.3.1.3 The Relationship between Structure and Agency 47 2.3.1.4 Actors: Agents' Internalization of Structure 48 2.3.2 Structure, Agency and Historical Neo-Institutionalism 51 2.4 Deriving Criteria for Historical Neo-Institutionalism 52 2.4.1 Unwritten and Written Rules 52 2.4.2 Parallel Cognitive Constructs 53 2.4.3 Institutions Influence, Shape, Constrain and Enable Behaviour 54 2.5 Chapter Summary 57 2.5.1 Theoretical Framework in Brief 57 2.5.2 Significance for the Dissertation 58 2.5.3 The Next Chapter 60 Chapter 3: Literature Review 61 3.1 Chapter Purpose 61 3.2 University Autonomy in Higher Education 62 3.2.1 University Autonomy Defined 64 3.3 A History of Autonomy in Canada 65 3.3.1 Crisis on Ontario and the Flavelle Report 67 3.3.2 From Nobody's Business to Everybody's Business: The Post-War 72 Era 3.3.2.1 Enrolment Increases 73 3.3.2.2 Increased Government Funding of Universities 76 3.3.2.3 Expansion of University Systems in Canada 81 3.3.2.4 University Stakeholder Organizations 83 IV 3.3.2.5 The Creation of Community Colleges 86 3.3.2.6 Summary of Critical Junctures 87 3.3.3 The Appropriate Role of Government in Universities Affairs 88 3.4 University Autonomy as a Neo-Institutional Construct 97 3.4.1 Unwritten and Written Rules 98 3.4.2 Parallel Cognitive Constructs 99 3.4.3 Institutions Influence, Shape, Constrain and Enable Behaviour 102 3.5 Chapter Summary 104 3.5.1 Literature Review in Brief 104 3.5.2 Significance for the Dissertation 105 3.5.3 The Next Chapter 105 Chapter 4: Methodology 107 4.1 Chapter Purpose 107 4.2 Research Design 108 4.2.1 Rationale for a Case Study Approach 111 4.2.2 Sampling Methodology 115 4.2.3 Data Analysis Methods 116 4.2.3.1 Elite Interviews 116 4.2.3.2 Content Analysis 125 4.2.3.3 Descriptive Analysis 129 4.2.3.4 A Limited Role for Participant Observation 130 4.2.4 Triangulation Strategy 131 4.2.5 Reliability and Validity 132 4.3 Limitations 133 4.4 Ethical Considerations 134 4.5 Chapter Summary 135 4.5.1 Methodology in Brief 135 4.5.2 Significance for the Dissertation 135 4.5.3 The Next Chapter 136 v Chapter 5: Perspectives on Tuition: Evidence from Hansard 137 5.1 Chapter Purpose 137 5.2 Findings 138 5.2.1 Overall Analysis 139 5.2.2 Session-by-Session Analysis 142 5.2.3 Secondary Factors 144 5.2.4 Analysis by Statement Type 146 5.2.5 Analysis by Minister 153 5.3 Discussion 156 5.3.1 Accounting for Political Dynamics 158 5.4 Chapter Summary 160 5.4.1 The Findings in Brief 160 5.4.2 Significance for the Dissertation 161 5.4.3 The Next Chapter 162 Chapter 6: Interview Findings 163 6.1 Chapter Purpose 163 6.1.1 Interview Participants Categorized 163 6.1.2 Chapter Organization 164 6.2 The 5% Tuition Fee Policy 165 6.3 Findings 167 6.3.1 Accessibility 167 6.3.2 Financial/Fiscal 178 6.3.2.1 The Priorities of Government 179 6.3.2.2 Tuition Fees, Universities and Deficit Reduction 184 6.3.3 University Autonomy 188 6.3.4 The Political Dimension 198 6.4 Discussion 201 6.5 Chapter Summary 205 VI 6.5.1 The Findings in Brief 205 6.5.2 Significance for the Dissertation 206 6.5.3 The Next Chapter 206 Chapter 7: The Filmon Government's Approach to Governing 208 7.1 Chapter Purpose 208 7.2 New Public Management 209 7.2.1 The Origins and Basic Tenets of NPM 209 7.2.2 Criticisms of NPM 215 7.3 New Public Management and the Filmon Government 215 7.3.1 Direct Evidence: What the Government Said 215 7.3.2 Indirect Evidence: What Others Said 217 7.3.3 Does Political Ideology Matter? 218 7.4 University Autonomy and the Filmon Government 220 7.5 University Autonomy and New Public Management 222 7.5.1 A 5.% Cap on Tuition 228 7.6 Chapter Summary 228 7.6.1 Findings in Brief 228 7.6.2 Significance for the Dissertation 228 7.6.3 The Next Chapter 229 Chapter 8: Discussion and Conclusion 230 8.1 Chapter Purpose 230 8.2 Findings 230 8.2.1 Summarizing the Evidence 230 8.2.2 Answering the Research Questions 232 8.2.2.1 University Autonomy as an Institution 232 8.2.2.2 Policy Makers' Views on University Autonomy 234 vn 8.2.2.3 Factors Important in the 5% Tuition Fee Cap Policy 236 8.2.2.4 University Autonomy and the Design of the 5% Tuition 240 Fee Cap 8.3 Discussion 240 8.4 General Conclusions 242 8.4.1 Implications 244 8.4.2 Directions for Further Research 245 8.4.3 Final Words 247 Bibliography 248 Appendices A.