Transformation of University Governance Through Internationalization

Challenges for Research Universities and Government Policies in

Akiyoshi Yonezawa, PhD [email protected] Graduate School of International Development (GSID) Nagoya University, Japan Yukiko Shimmi, PhD [email protected] Graduate School of Law , Japan

1 This presentation is based on Yonezawa, A., & Shimmi, Y. (2015). Transformation of university governance through internationalization: challenges for top universities and government policies in Japan. Higher Education 70(2).173-186. in a special issue on world class universities in East Asia edited by Gerald Postiliglione and Akira Arimoto Characteristics of a World-Class University (WCU): Alignment of Key Factors ②

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4 Source: Created by Jamil Salmi Diversity in the balance of three key factors of WCUs among East Asian systems/universities: both in current status and policy agenda 1. Abundant resources: - Classification (e.g. California Master Plan -> Philippines and Vietnam) - Dual Systems (e.g. Polytechnics in Singapore) - Excellence Initiatives (the selection of competitive research units by performance) • Korea: BK21, WCU • China: 211, 985 • Japan: COE21, Global COE, WPI • Germany: Excellence Initiatives 2. Concentration of talent: • A domestic screening system of the students to top universities (all East Asia) • International student & faculty recruitment: Singapore, HK… • Brain circulation (returns of academics trained overseas): Korea, China 3. Favorable governance: (varies among East Asian systems/universities) • Supportive regulatory framework: Japan (in tradition), HK • Autonomy, academic freedom: Japan (in tradition), HK • Leadership team, Strategic vision: ???.. Japan (after incorporation)?? • Culture of Excellence: top among East Asian universities to some degree

-> Trend to pursue WCU through excellence initiatives stimulated Japan 5 Purpose To examine the challenges of internationalization among the top universities in Japan, both for the government and the universities themselves

• Reflect on the historical background of Japanese higher education that developed as an early front- runner in Asia, along with the dynamics of national identity and global trends • Examine a series of government-funded programs for research and internationalization by focusing on functions in governance reform

6 • Discuss that the construction of “world class universities” does not only implies concentrated financial investment, but also a comprehensive transformation of university governance in a global context both by university and government.

• Point out the major challenges for top Japanese research universities, in terms of maintaining and improving their international presence.

• Clarify the implications both for other East Asian economies and for mature economies facing demographic challenges.

7 Historical background: Japan’s top universities have achieved a distinguished status in Asia by 1990s through the strong protection of a national higher education system based on the national language and culture (not by “global”, “cosmopolitan”, or “English speaking”..

• by mid 19th Century: Only a selective exposure to foreign intellectual documents (Netherlands & China). • in the latter half of 19th Century: Constructed first university () and other HEIs by relying on foreign experts invited from the West, but were shortly replaced by Japanese academics trained in the West, and switched the language into the national language. • in the mid 20th Century: Though Japanese scholars were given opportunities to study in the West after the defeat of WWII, the impact of those scholars was much smaller compared with the impact in other new industrial countries in East Asian countries. 8 However… the strong national identity of Japanese universities has turned into a weakness with globalization • By the beginning of 21st century: Japan was facing a difficulty in maintaining a competitive place in a rapidly globalized research and HE community. • World University Ranking (QS): – University of Tokyo was ranked 19th in 2008 and 31st in 2014 – Japanese universities in top 200 remain stable (9 to 10) – Asian universities increased from 29 to 36 • Research & Publication • Japan’s total amount of publication is shrinking (Thompson Reuters 2010). • Japan is notably behind in the increase in international co-authorship when compared with UK, France, Germany (NISTEP, 2013). • Student Exchange • China and South Korea and other Asian countries have become competitors in recruiting international students • The number of Japanese students studying abroad is decreasing from 82,945 in 2004 to 57,501 in 2011 (MEXT 2014). 9 Government-funded programs for research and internationalization

Research funding Internationalization Excellence Initiatives • Strategic Fund for Establishing • 21st Century Centers of Excellence International Headquarters in (21COE) (2002-2009) Universities (SIH)(2005-2009) • Global Centers of Excellence • Global 30 (Project for establishing (GCOE) (2007-2014) university network for • World Premier International internationalization) (2009-2014) Center Initiatives (WPI) (2007- • Project for Promotion of Global 2012) Human Resource Development (2012-2016) Governance improvement • Reinventing Japan Project (2011-) • Program for Promoting the • Top Global University Project (2014 Enhancement of Research -2023) Universities (PPERU) (2014-2023) 10 Research funding Context: “Toyama Plan” in 2001 —> the idea of forming 30 WCUs Stimulated by BK21 in South Korea and Project 211 and 985 in China

Excellence Initiatives (direct funding for research activities) 21COE (21st Century Centers of 2002-2009 271 units 100-500 million JPY/year Excellence) for 5 years

GCOE (Global Centers of Excellence) 2007-2014 140 units 50-300 million JPY/year for 5 years

WPI (World Premier International 2007-2022 9 units 700-1400 million JPY/year Research Center Initiatives) for 10-15 years

Governance Improvement (not directly for research activities)

PPERU (Program for Promoting the 2014-2023 22 400-200 million JPY/year Enhancement of Research universities for 10 years Universities) 11 Table 1: Universities that received funding projects for world-class research (five or more units in total) 21COE GCOE WPI 2002-2008 2007-2013 2007-2021 100-500 50-300 700-1400 annual budget (Japanese Yen) million million million N N Year

Former Imperial University of Tokyo 28 18 2007 Kyoto University 23 13 2007 Osaka University 15 12 2007 13 12 2007 Nagoya University 14 7 2012 Hokkaido University 12 7 Kyushu University 8 5 2010 National Tokyo Institute of Technology 12 9 2012 Kobe University 7 3 4 2 Hitotsubashi University 4 2 Hiroshima University 5 0 4 1 2012 Kumamoto University 2 3 Private 12 7 9 8 12 Ritsumeikan University 4 3 Strategic Fund for Establishing International Headquarters in Universities (SIH) (2005-2009) • Context: Just after the incorporation of national universities in 2004 & achievement of 100,000 international student plan in 2003 • 19 universities (15 national including all former imperial, 1 local public & 3 private) & 1 inter-university research institute • 10-40 million JPY/yr • Purpose: To improve the strategic approach to internationalization on the 9 themes (Ota,2014) – organization and governance for internationalization – goal setting, action plans, and evaluation systems – attracting external funds for international education and research – participating in and utilizing cross-border inter-university partnerships and consortiums – expansion of international activities based on specific transnational research projects – training and recruiting administrative personnel for international programs – improving services and support for international researchers – expanding overseas study and research opportunities for young Japanese researchers – establishing and operating overseas bases • Planning and assessment: Case study approach (qualitative)

13 Global 30 (Project for establishing university network for internationalization) (2009-2014) • Context: Just after Asia Gateway Initiative (2007) & 300,000 International Student Plan (2008-2020) --> enhancement of research excellence & networks, accepting international students and international researchers • 13 universities (7 national including 6 former imperial & 6 private) • Purpose: To elevate the international competitiveness of Japanese HE with the focus on accepting international students and faculty members and developing networks. • Indicators for selection —> Related to world university rankings —> large universities – Granting of 340 or more post-graduate degrees (master or doctor) annually in the last three years – Acquisition of 130 or more Grants in Aid from JSPS annually in the last three years – Acceptance of 300 or more international students from more than four countries in 2008 – Sending of 50 or more students abroad in 2008 under official student exchange agreements – Employment of more than 45 international faculty members – Participation in international university consortiums – Having plans to establish at least one undergraduate and one post-graduate degree program in English, in addition to the existing programs – Establishment of offices abroad for recruiting students, and willingness to allow their usage by other Japanese universities; – Having plans to realize a share of international students of 20% (and at least 10%), and a total number of international students more than 2,599 by 2020; – Plan to make the share of international faculty into 10% (at least 5%) by 2020. 14 • Planning and assessment: including key performance indicators (quantitative) Top Global University Program (2014-2023) • Context: The national plan for making 10 Japanese universities ranked in top 100 in the world • Purposes: • Type A: to aim at the top 100 in world rankings • 13 universities (11 national including all former imperial & 2 private) • Type B: to lead Japanese society in globalization • 24 universities (10 national, 2 local public & 12 private) • Planning, selection, and assessment: • Based on key performance indicators that were provided by the government. (details follow) • The indicators were not only directly related to internationalization but to university reform in general (e.g. governance, management, structure, curriculum, and admission). (mainly quantitative) 15 Key performance indicators used for “Top Global University Project” (1) Internationalization 1. Diversity 1. International faculty members and faculty members with foreign degrees 2. International non-academic staff and staff with foreign degrees 3. Female staff 4. International students 2. Student mobility 1. Japanese students with study abroad experiences 2. Student exchange based on university partnership agreements 3. Support for student exchange 1. Support system for Japanese students to study abroad 2. Support system for hosting international students 4. Language 1. Classes in foreign language 2. Degree programs in foreign language 3. Japanese language education 4. Assessment, monitoring & improvement of foreign language ability of the students 16 Key performance indicators(Cont.)

(1) Internationalization 5. Curriculum management 1. Numbering of subjects 2. Introduction of GPA 3. Syllabus in English 4. Quality assurance and International recognition of the educational programs 6. International openness 1. Flexible settings of academic calendar 2. Usage of International Baccalaureate in entrance examination 3. Entrance examination and screening before coming to Japan 4. Notice of scholarship/loan opportunities before coming to Japan 5. International dormitories 6. International branches 7. Active usage of international alumni network 8. Information provision in foreign language

17 Key performance indicators(Cont.)

(2) Governance & University Reform 1.Personnel system 1.Introduction of annual based contract salary 2.Introduction of tenure track system 3.Introduction of internationally adaptable personnel system 4.Development of internationally adaptable recruitment and human resource development 2.Governance 1.Development of non-academic staff 2.Setting a concrete vision and a mid-term plan 3.Enable speedy decision-making 4.Participation of non Japanese in decision-making bodies 5.Strengthen and improve the functions of institutional research

18 Key performance indicators (Cont.) (3) Educational Reform 1. Qualitative transformation of education & active learning 1. Securing the substantial learning hours of students 2. Promoting students’ active participation in university governance 3. Utilizing Teaching Assistants in education practices 2. Reform of entrance examination 1. Using TOEFL and other external testing services in undergraduate admission 2. Reforming entrance examination to evaluate various aspects 3. Flexible and various academic path 1. Development of flexible transferring system & late specialization, etc. 2. Early enrollment and graduation, five year bachelor + master's program (4) Others 1. Information disclosure (5) An organizational structure to implement the above reforms (6) Type A requested to provide data on 1. Strong academic fields in terms of international reputation 2. Research performance (citation, international co-authorship, international joint research projects, consignment study) 19 Examples of the plans of the selected universities Nagoya University: “Asian university-hub for developing sustainable world in the 21st century,” and launched satellite campuses in several Asian countries for offering doctoral programs to the future national leaders.

Waseda University: “Waseda Ocean Initiative - developing educational networks with international openness, diversity, and mobility,” to improve the international openness of the university to promote academic mobility and to enhance the quality of education and research. Concerns: the use of these indicators for the planning, selection, and evaluation process… • A potential risk of micromanagement by the government through these multiple key performance indicators • Might result in isomorphic standardization in the approach of internationalization among universities

20 Table 2: Universities that received funding projects for internationalization to be world-class SIH Global 30 Top Global University 2005-2009 2009-2014 2014-2023 annual budget (Japanese Yen) 10-40 million 200-400 million 500 million (TYPE A)

Former Imperial Hokkaido University x x Tohoku University x x x University of Tokyo x x x Nagoya University x x x Kyoto University x x x Osaka University x x x Kyushu University x x x National University of Tsukuba x x Hiroshima University x x Tokyo Institute of Technology x x Tokyo University of Foreign Studies x Tokyo Medical and Dental University x Hitotsubashi University x University x Kobe University x Overlap and consistency Tottori University x x among the selected list of Local Public universities Aizu University x Private Keio University x x x Waseda University x x x x x Doshisha University x Ritsumeikan University x 21 x Characteristics of a World-Class University (WCU): Alignment of Key Factors ②

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22 Source: Created by Jamil Salmi – Abundant resources: • Japan: started as “Excellence Initiatives” (e.g. 21COE, Global COE, and WPI); however …the shift of focus from funding research activities directly to the governance reform in research and Internationalization —> The purpose to accumulate resources for research excellence has become unclear. – Concentration of talent: • A domestic screening system of students to top universities have continued to function; however, facing a gap between existing national curriculum and competences that are required in the globalized labor market even among Japanese top universities. • International student & faculty recruitment: Numerical targets were set based on the request from the government; not necessarily based on internal needs of universities for a better education and research, but for meeting the criteria of world university rankings. • Brain circulation (returns of academics trained overseas): Included as a part of the performance assessment, but lacking a clear institutional strategy. – Favorable governance: • Potential risk of micromanagement by the government through the funding projects • Supportive regulatory framework: Japan (traditionally) —> is being lost! • Autonomy, academic freedom: Japan (traditionally) —> became weak! • Leadership team, Strategic vision: ??? —> has become more visible and systematized by the projects and assessment by the government —> not necessarily driven by the universities! • Culture of Excellence: top among East Asian universities to some degree —> is being lost! 23 Conclusion • The construction of “world class universities” does not only implies concentrated financial investment, but also a comprehensive transformation of university governance in a global context. (Though the context was not defined by autonomous decisions of the universities by government policy forces in Japan.) • Considerable overlap exists between the lists of universities selected for the various funding projects. —> The gap may have widened between these top universities and universities with defined international profiles and other colleges and universities. • Japan’s top universities—represented by the former and the long-established prestigious private universities—tend to strengthen their capacity by successfully participating in funded projects. • Other colleges and universities in the middle and lower ranges cater more to the domestic student and labor market and have insufficient funding for internationalization.

24 What comes next? “Categorization” of performance funding schemes among 86 national universities based on self choice: (2016-2021): 1. 55 universities serving for local communities with globally and nationally competitive education and research in specific fields 2. 15 universities conducting globally and nationally competitive education and research in specific fields 3. 16 universities conducting globally distinguished education, research and social contribution in all the fields, and compete with globally competitive overseas universities Restructuring the national Idea of financial reforms of universities: reconsider the national universities by the school and program Ministry of Finance provision, especially in • 1% reduction every year • A general study program not linked to teacher’s in allocation for license at teachers’ operational budget to training schools national universities • Reconsideration of • National universities are humanities and social expected to increase the science programs to fit to self generated income the contemporary social such as tuition and fees, demand income from industries… Challenges for Japanese Research Universities • The effect of the government-led transformation of university governance through the process of internationalization is still unclear. • Challenges 1. Japanese universities’ weak exposure to market mechanisms, which are incentives to participate in the competition for international academic resources, may set limits on these institutions’ further improvement in international competitiveness. 2. The tension between the desire for a global or cosmopolitan profile and the preservation of national identity—as well as between the drive in state policy towards efficiency and the decentralized nature of academic autonomy—are becoming more apparent. • The internationalization of a wider range of education and research institutions must be pursued, as a nation, to stimulate domestic competition in the internationalization of the education system and Japan’s society as a whole. 28 非常感謝！

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