The strategic management of intern ationalization - towards a model of theoiy and practice by Romuald Edward John Rudzki NEWCASTLE UNIVERSITY LIBRARY 098 50607 6 S L b 7-29 A thesis submitted for the Degree of Doctor of Philosophy at the School of Education, University of Newcastle upon Tyne, United Kingdom March 1998 2 Declaration I certify that all material in this thesis which is not my own work has been identified and that no material is included which has been submitted for any other award or qualification. , . Romuald E J Rudzki March 1998 Acknowledgements An aside The monumental undertaking that is a part-time research degree could justifiably be included as one of the labours of Hercules, in that it makes such demands upon the individual (together with relatives and friends), that its completion is indeed 'a consummation devoutly to be wished'. By way of illustration to those who may not realise the extent of the labours, I offer the following examples. The physical demands from the restless nights as churning thoughts prevent sleep, to the endless hours of reading and searching for texts in badly-lit, overcrowded, overheated libraries, followed by the writing and revising with a concentration that denies the physical requirements of food, drink and even more fundamental bodily requirements. The mental exercise of constantly changing what is known about the subject and those rare meta-leaps as new insights and understandings are reached. The emotional highs and lows from the elation at having work accepted for publication and the joy of meeting other researchers, to the despair when better-funded and larger research teams - who started later - produce more comprehensive results in a shorter time, leaving one with the feeling that one is battling against ignorance with a pointed stick while others have a guided missile. Finally the spiritual demands of questioning the purpose and value of a research degree to one's life and work, and the need to draw upon inner reserves especially during the silent watches of the night when the clatter of the keyboard is all there is in the world. I would therefore like to thank the following people who have shared parts of my journey, and made the travelling possible and considerably easier: Dr Madeleine J. Atkins who as my Supervisor has provided outstanding help and support throughout my period of study, thereby ensuring that this thesis has been much improved. The regular meetings held between us have always been a pleasure to attend, and her clarity of thought and willingness to allow me the intellectual space in which to learn have been of great benefit. 4 The many students and staff who were interviewed in the case studies and who responded to the postal questionnaire, together with colleagues across higher education globally whose views and discussions - especially at conferences - have been stimulating and a cause for reflection. I would especially like to thank Els van der Werf of the Hanzehogeschool Groningen for helping me to understand the Dutch Higher Education system and for vital help in the fieldwork. Also, Sylvia van de Bunt-Kokhuis of the University of Tilburg in the Netherlands, whose researches in the academic mobility of scholars and in other areas related to my own studies have been like watching another ship upon the far ocean. In addition, Eva Carnestedt of the Australian Universities Centre in Stockholm, Sweden, who has flattered my ego enormously by using my methodology in her own research and who has extended it in a creative and fruitful direction. Ceridwyn Bessant for being a true friend as well as my professional mentor, and for having the courage to argue with me even when this has seemed completely futile. Alison - my wife, for being generally wonderful, for keeping me fed and watered and for staying out of the way when I was working on the dining-room table. My computer, which although not without its viral illnesses has made the drafting, revision and final production of this thesis a much easier task than that undertaken by previous generations of students without access to such technology. Finally, and most of all, I would like to thank and dedicate this work to my parents - Antoni and Janina Rudzki - who I hope will see in it the realization of possibilities denied them by the consequences of the Second World War and a vindication of their belief in the intrinsic value of education. This belief is one which they have passed onto me and which remains a great and lasting treasure. 5 Abstract The research is concerned with examining the process of internationalization within higher education and specifically within UK Business Schools. The fieldwork includes the first ever national survey of such institutions conducted in 1992 and was followed by detailed case studies of two institutions - one in the UK and the other in the Netherlands, both of which included staff and student interviews. The findings examined the existence ofpolicies and strategies, as well as criticalfactors for success, reasons for fai lure, obstacles and probable future directions. The results show that internationalization within the UK is taking place in a variety of ways, with little or no consideration of the strategic management of the process and is driven both by the need to increase fees from overseas students and to attract external funding such as that available from the European Commission. The thesis goes on to provide a fractal process model of internationalization which can be equally used by individual academics, as well as departments, faculties, institutions, national .systems of education or for transnational organizations. The model is located within a conceptualframework developed using the methodology of grounded theory. The thesis concludes with an examination ofpossible future trends within higher education before returning tofirstprincples in the form of a re-examination of the reasons for internationalization. 6 Contents Chapter Page Title page 1 Declaration 2 Acknowledgements 3 Abstract 6 Contents 6 List of Appendices 11 List of Tables and Figures 12 1. Introduction 15 1.1 Rationale 15 1.2 Definitions 16 1.3 Structure of the research 17 1.4 Time scale of the research 18 1.5 The structure of the thesis 18 2. Review of the Literature 20 2.1 Summary 20 2.2 Overview 20 2.3 The Robbins Report (1963) 21 2.4 Freedom to Study (1978) 24 2.5 The Overseas Student Question (1981) 25 2.6 ERASMUS (1986) 30 2.7 The EC's Memorandum on Higher Education (1991) 32 2.8 Comparative studies of internationalization 33 2.9 Bridges to the Future (1992) 35 2.10 The origins of the Business School in British Higher Education 35 2.11 Strategic management and organizational change 44 3. Methodology 47 3.1 The research question 47 Initial observations 47 7 Definitions 50 The nature of research 51 3.2 Research methods available 56 3.2.1 The purpose and varieties of methodologies used 56 3.2.2 The varieties of methodology 57 3.2.3 Literature search 58 3.2.4 National survey 59 Specification of the exact purpose of the enquiry 60 The population on which it is to focus 60 Available resources 60 Sampling methods 61 Questionnaire design 62 The covering letter 63 The follow-up letter 63 Initial mailing 65 Incentives 66 Validity and reliability 66 Processing survey data 67 Strengths of survey techniques 67 Weaknesses of survey techniques 67 The postal survey as undertaken 68 Problems 69 3.2.5 Case Studies 69 Problems 73 Strengths 73 Weaknesses 74 3.2.6 Historical research 74 Strengths and weaknesses 74 3.2.7 Interviews 74 Strengths and weaknesses of interview techniques 74 8 3.2.8 Correlational and multi-dimensional treatment of data 75 Strengths 77 Weaknesses 77 3.3 Justification for the design together with the methods adopted and justifications for these 77 3.4 Ethical considerations 78 3.5 Design and piloting of instruments 80 3.6 Conduct of research itself and problems in fieldwork 80 3.7 Analytical methods adopted and justifications 82 3.8 Summary of strengths and weaknesses in the work overall 82 4. Results 84 4.1 Summary 84 4.2 Results of a National Survey on the Internationalization of UK Business Schools 84 4.2.1 Methodology 85 4.2.2 Policies and Strategies for Internationalization 85 4.2.3 What are 'international' activities? 86 4.2.4 Critical factors to success 87 4.2.5 Staff resources 89 4.2.6 Power and influence within the organization 89 4.2.7 Obstacles to internationalization 90 4.2.8 Future trends 91 4.2.9 Additional comments 93 4.2.10 Summary 95 4.3 Results of United Kingdom Case Study (UKC Si) - The University of Aidan 96 4.3.1 Introduction 96 The Institutional Plan 1990 - 1993 97 International Policy 1990 - 1994 99 9 European Policy 1991 - 1995 103 The Business School's Strategic Plan 1992 - 93 to 1997 - 98 105 Interviews with staff and students 107 4.4 Results of Overseas Case Study One (OSCS1) - The University of Cuthbert, Netherlands 128 4.4.1 Background to Dutch Higher Education 128 4.4.2 Erasmus activity 130 4.4.3 The University of Cuthbert 130 4.4.4 Research findings 133 4.4.5 Interviews with staff and students 136 5. Discussion 164 5.1 Introduction 164 5.2 Discussion of the case studies 164 5.3 The internationalization of higher education from an historical and philosophical perspective 168 5.4 The rationale for internationalization 175 5.4.1 Economic growth and investment in the future economy 175 5.4.2 The labour market 176 5.4.3 Foreign policy 177 5.4.4 Financial incentives 177 5.4.5 National educational demand 178 5.4.6 The cultural fi.inction 178 5.4.7 Development of the individual 179 5.4.8 Providing an international dimension to research and training 179 5.4.9 Institution building 180 5.4.10 Improvement in the quality of education and research 180 5.5 Strategies for internationalization of higher education 181 5.5.1 The OECD's IMHE Programme 181 5.5.2 Neave's model 184 10 5.5.3 Davies' model 184 5.5.4 Van Dijk and Meijer's model 187 5.5.5 Rudzki's model 188 5.6 Areas for future study 188 6 A Model of Internationalization 191 6.1.