Global Forces, Local Perceptions: Measuring the Normalization Effects of University Rankings in China Ryan Michael Allen Submitted in partial fulfillment of the requirements for the degree of Doctor of Philosophy under the Executive Committee of the Graduate School of Arts and Sciences COLUMBIA UNIVERSITY 2018 © 2018 Ryan Michael Allen All rights reserved ABSTRACT Global Forces, Local Perceptions: Measuring the Normalization Effects of University Rankings in China Ryan Michael Allen China has become one of the most important players in the landscape of higher education worldwide. The nation is home to the largest tertiary sector in the world, is the leading sender of international students, the third largest receiver of international students, and its government has aggressively pushed internationalization policies at its top universities. Policymakers and educational stakeholders in China have been implementing these strategies in order to chase world-class status for the nation’s universities. While the world-class university concept is ubiquitous across the globe, there has been no agreed upon definition for these elite institutions. In China, though, rankings have been adopted to make sense of this elite status. This dissertation explores the impact that university rankings have had on the Chinese higher education system. There has been considerable research on university rankings in China, but some gaps remain. Studies have explored Chinese universities’ ambitions for world-class status, but rankings are often marginalized within these studies. Studies on the impact of university rankings have mostly focused on their connection to Chinese international students, as league tables have key tools in decision-making for this population. Conversely, research that has focused on domestic students has emphasized geographic biases in university admissions and affluence advantages in the system, and usually has not engaged with global or local rankings. To fill these gaps, my study centers university rankings within the intersection of the local and global settings. I used two original datasets to engage this exploration of how university rankings impact Chinese universities. First, I interviewed 48 faculty and staff members from the elite spectrum of the Chinese higher education sector. Through the interviews, I investigated how the concept of the world-class university relates to university rankings in China. I confirmed that these league tables have provided a concrete, commensurate indicator for decision-makers to make sense of the global higher education hierarchy, with specific cut-offs to be considered world-class. Further, I examined the intersection between global ranking ambitions of Chinese universities coupled with stringent control from the central government through the striving model. I found that while international forces have had considerable impact on these institutions, local characteristics are highly filtered through a Chinese domestic lens, as governmental distinction has dominated the focus of elite universities. Concurrently, I surveyed over 900 students from across Chinese universities in an exploration of ranking familiarity and knowledge. Through multivariate analysis, I found that students from affluent classes, elite universities, and those with study abroad ambitions were all more familiar with rankings. However, in an actual test of knowledge, I discovered that elite university students actually did worse in regards to global ranking knowledge, while the associations to affluence and study abroad ambition disappeared. The findings in this research have centered rankings in a comparative perspective of higher education in China and the lessons learned can be adapted to future studies in other societies or sectors. TABLE OF CONTENTS List of Tables, Charts, and Figures iv Acronyms vi Acknowledgements viii Chapter One: Introduction 1 Global University Rankings 2 Research and Gaps in Understanding Rankings China and Rankings 9 Dissertation Overview 11 Chapter Two: Theorizing University Rankings in Global and Local Contexts 15 Introduction 15 University Rankings and Their Impacts 17 The Striving Model Global Rankings and World-Class Universities Rankings and Higher Education in China 28 International Ambitions of Chinese Universities Domestic Rankings and Chinese Education Students in Chinese Higher Education Critiques and the Future of Chinese Higher Education Synthesizing a Framework to Study the Impacts of University Rankings 43 Conclusion Chapter Three: Methodological Approach to Understanding the Impacts of University Rankings in China 48 Introduction 48 Research Design: A Tale of Two Methods 49 Introduction to the Interviews Introduction to the Surveys Data Collection 54 Qualitative Data: Interviews with Faculty and Staff 55 Interview Sample Description Interview Design Interview Coding Quantitative Sample: Surveying Students 69 Survey Design Sample Demographics Multivariate Analysis Limitations 77 i Chapter Four: Making Sense of the World-Class University Concept through Rankings: Commensuration and Elite Global Status in China 82 Abstract 82 Introduction 83 The World-Class University 86 Theorizing Rankings as a World-Class Credential The Chinese Quest for World-Class Universities 94 Data Collection and Methods 96 Sample Coding Limitations Findings 101 World-Class University, a Difficult Conception Reaching a World-Class Rank University Rankings and Partnerships Which Rankings? How Rankings Impact Academic Research Discussion and Conclusion 117 Chapter Five: Balancing Global Striving Ambitions and Influential Government Rankings: Lessons from Chinese Universities 121 Abstract 121 Introduction 122 Striving in Higher Education 125 Characteristics of Global Striving The Chinese Higher Education Hierarchy 129 Data Collection and Methods 132 Coding Limitations Findings 137 Striving Through Global University Rankings Striving Through Research and Publishing Agendas The Ministry of Education’s Own Discipline Ranking Elite-Making Government Projects The Faltering C9 League Discussion and Conclusion 156 Theorizing Global Striving Hierarchy in China Conclusion Chapter Six: Testing Student Familiarity and Knowledge of University Rankings in China: The Global and Local Nexus 162 Abstract 162 Introduction 163 China and Ranking Forces 166 Other Rank Forces University Rankings in China ii Students in the Chinese Higher Education Sector Data and Methods 174 Measurements Data Analysis Limitations Results From the Statistical Analysis 181 Descriptive Patterns for Rank Familiarity and Knowledge Multinomial Logistic Regression Analysis of Ranking Familiarity Binomial Logistic Regression of Ranking Knowledge Conclusion and Discussion 197 Chapter Seven: Research Implications and the Future of University Rankings in China and the World 202 Chinese Higher Education and Rankings 205 Future Research on Rankings and Chinese Education 210 A New Era in China? Issues of Academic Freedom More Competition, More Pressure, More Cheating Connecting University Rankings to ILSAs Conclusion 220 References 222 Appendix A: IRB Material 233 Interview Informed Consent 233 Survey Informed Consent 236 Appendix B: Research Sampling Instruments 239 Interview Protocol Questions 239 Survey Instrument Questions 241 iii LIST OF TABLES, CHARTS, AND FIGURES Figure 1.1: Count of Publications on University Rankings and World-Class Universities, 2000-2016 5 Table 2.1: Faculty Perspective Framework 22 Figure 2.1: Research Funding in China (1995-2013) 35 Figure 2.3: Model for Reactions to University Rankings 44 Table 3.1: Summary of Data and Methods 50 Table 3.2: Full Sample Breakdown 57 Chart 3.1: Sample Characteristics by University Type 59 Chart 3.2: Sample Characteristics by Position 59 Chart 3.3: Sample Characteristics of Faculty by Discipline 59 Chart 3.4: Sample Characteristics by Location of Highest Degree 59 Table 3.3: Qualitative Coding Chart of Stakeholder Interviews 64 Chart 3.5: Concentric Circles of Coding 68 Table 3.4: Student Survey Sample Demographics 74 Figure 4.1: Characteristics of a World-Class University: Alignment of Key Factors 88 Chart 4.1: Leading Global University Ranking Schemas with Weights 93 Chart 4.2: Specific Cut-off for Determining World-Class Universities by University Type 105 Table 5.1: Hierarchy of Domestic and Global Higher Education Striving 128 Table 5.2: The Chinese Ministry of Education’s China Discipline Ranking (CDR) Metric 144 Illustration 5.1: Lock Boxes vs. the Ladder: Representation of Elite Hierarchy from Projects Established in the 1990s to the New Double First Class System 149 Table 5.3: Global Striving Hierarchy in Chinese Higher Education Sector 157 iv Chart 6.1: Number of Universities in the Top-25, 50, 100 of CUAA Ranking by Type 171 Chart 6.2: Number of Universities in the Top-100, 500, 1000 of QS Ranking by Type 171 Graph 6.1: Factors Important to Student College-Selection 182 Figure 6.1: Cross-Tabulation of Students Knowing Domestic and Global Rankings 184 Table 6.1: Definitions, Metrics, and Descriptive Statistics for Variables in the Study 185 Table 6.2: Multinomial Logistic Regression of the Effect of Demographics and Ranking-Related Characteristics on Familiarity with University Rankings 188 Table 6.3: Binomial Logistic Regression of the Effect of Demographics and Ranking- Related Characteristics on Students Knowing their University Rankings 193 Figure 6.2: Estimated Adjusted Probabilities of Knowing University Ranking By Student Familiarity with Ranking 195 Figure 6.3: Estimated Adjusted