Globalization of Higher Education: Transformation of Higher Education Institutions through the Process of Internationalization by Patricia Sales de Souza A dissertation submitted to the Graduate Faculty of Auburn University in partial fulfillment of the requirements for the Degree of Doctor of Philosophy Auburn, Alabama August 2, 2014 Keywords: globalization of higher education, internationalization, institutional transformation, leadership, organization, international education Copyright 2014 by Patricia Sales de Souza Approved by José R. Llanes, Chair, Professor of Educational Foundations, Leadership, and Technology William I. Sauser, Jr., Professor of Management Andrew Gillespie, Assistant Provost of International Programs Abstract Globalization’s impact on higher education institutions in the United States, along with universities around the world, has been unprecedented. Internationalization—the process of infusing, implementing, and integrating an international dimension to the primary functions of higher education institutions—has been the general response. But internationalization is a dynamic and complex phenomenon, tempting some universities and colleges to recoil into their parochial cocoon. Institutions that have chosen this path of educational devolution have felt, are feeling, or will feel the consequences of an uncharted territory. This study analyzed internationalization within institutions that transformed from having an inward focus to an outward focus. Case studies were conducted at Stanford University, Kalamazoo College, and Troy University to examine institutional transformation through the process of internationalization. This examination answered the principal research question: 1. How does an institution transform from an inward focus to an outward focus through the process of internationalization? The study also answered the following four sub-questions: a) How does leadership play a role in the transformation of an institution through the process of internationalization? b) How does the institution propagate awareness of its internationalization efforts among various stakeholders? ii c) What is the acceptance of internationalization efforts at the institution among various stakeholders? d) What is the participation of internationalization efforts at the institution among various stakeholders? Due to the limited theoretical framework in current research, the researcher developed a fusion framework for institutional transformation. This framework fuses aspects of several existing frameworks into a new tool suitable for this study. Also, transformational leadership was be looked at closely, and its foundational, motivational role in the internationalization of institutions was carefully considered. iii Acknowledgments I am grateful for the opportunity to pursue my doctorate at Auburn University. I thank my advisor, my mentor, José Llanes, for his guidance, support, and patience in guiding me through my doctorate studies. I also thank my committee members Bill Sauser and Andy Gillespie for the valuable suggestions and support throughout my doctoral research and significant influence on my development as a social scientist, scholar, and educator. This accomplishment is dedicated to my family. My parents and siblings have shared this journey in one way or another for a very long time. My family has been a source of constant support, strength, encouragement, and love throughout my life and in particular through my doctoral research. I am able to continue to our family’s legacy of excellence and success. To my colleagues, friends, and extended family who have been there to encourage and motivate me. They provided me with “on-time” advice, suggestions, and support. I am grateful for your unwavering support and dedication to my academic-career and personal development. To the institutional leadership, faculty, and staff at Stanford University, Kalamazoo College, and Troy University, who provided me support with my choice of their institution as a case study. Your generous time and input not only contributes to my research, but knowledge about internationalization of higher education in the United States. Lastly, but not least, all credit and glory goes to my Heavenly Father. My identity is firmly grounded in whose I am and who I am in Christ. “But in your hearts revere Christ as iv Lord. Always be prepared to give an answer to everyone who asks you to give the reason for the hope that you have.” (1 Peter 3:15) v Table of Contents Abstract ......................................................................................................................................... ii Acknowledgments ....................................................................................................................... iv List of Figures ............................................................................................................................ xvi Chapter One: Introduction ........................................................................................................... 1 Benefits ............................................................................................................................. 3 Definition of Key Terms ................................................................................................... 4 Historical Background ...................................................................................................... 7 Globalization’s Impact on IHEs.......................................................................... 11 Purpose of the Study ....................................................................................................... 12 Research Questions ......................................................................................................... 13 Need for Research ........................................................................................................... 14 Summary ......................................................................................................................... 15 Chapter Two: Literature Review .............................................................................................. 16 Globalization and Higher Education ............................................................................... 16 Definitions of Globalization ............................................................................... 17 Globalization’s Impact on Higher Education ..................................................... 20 Globalization and Internationalization ................................................................ 21 Internationalization of Higher Education ........................................................................ 22 Definitions........................................................................................................... 23 vi National and Institutional Levels ........................................................................ 27 Rationales for Internationalization ...................................................................... 28 Profits ...................................................................................................... 29 Access Provision and Demand Absorption............................................. 30 Research on Institutional Internationalization ................................................................ 30 Internationalization Cycle by Knight (1994) ...................................................... 31 Process Approach.................................................................................... 31 Activity Approach ................................................................................... 31 Competency Approach............................................................................ 31 Organizational Approach ........................................................................ 31 Elements of Internalization ................................................................................. 32 Academic Activities and Services .......................................................... 32 Organizational Factors ............................................................................ 33 Internationalization Cycle ....................................................................... 33 Awareness ................................................................................... 33 Commitment ............................................................................... 33 Planning ...................................................................................... 34 Operationalize ............................................................................. 34 Review ........................................................................................ 35 Reinforcement ............................................................................. 35 Organizational Theories ...................................................................................... 35 Transformational Leadership .............................................................................. 36 Charisma or Idealized Influence ............................................................. 37 vii Inspirational Motivation or Inspiration ................................................... 37 Intellectual Stimulation ........................................................................... 37 Individualized Consideration .................................................................. 38 Strategies of