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E-Learning Special Focus: “World Class”—Meanings and Implications

Social, and Cultural Rights (ICESCR), which most A second way to think about academic freedom is
countries have ratified, although the United States has as a right to education that has individual and collective
not. The ICCPR does not subject the right to hold dimensions that can only be discharged through com-
opinions to any restriction, while freedom of expression plex relationships between students, faculty, institutions,
can be curtailed only on specified grounds, such as the government, and the society. In this sense, academic
protection of public order or national security, through freedom is not only an end, as it is under an individual-
legal measures that are deemed necessary. The covenant istic conception. It is also the means for realizing other
therefore subjects academic freedom to restrictions important ends, including individual freedoms that go
similar to those imposed by U.S. law. For example, the beyond expressive freedoms to encompass all freedoms
United States could legitimately discriminate against such as nondiscrimination. The ICESCR expressly states
noncitizens under the ICCPR and prevent the application that education “shall be directed to the full development
of Article 19 to private educational institutions. For of the human personality.”
noncitizen scholars working in the United States, this Indeed, a human right to education injects an ethical
does not provide extra protection. dimension into academic freedom by broadening the
objectives of education. That is, academic freedom exists
so that individual professors and their institutions can
The effort to defend academic freedom pursue important educational objectives. Conversely, the
as a human right makes sense from a right to academic freedom can be defended as an
theoretical perspective as well. essential part of a right to education. In other words,
academic freedom is not simply an individual right to
something, but it is also a collective right for the
realization of important societal goals. In our global age,
In 1999, through the ICESCR, the United Nations these goals are themselves global, embodied in the idea
recognized academic freedom as part of a human right of human rights.
to education. As the organization’s Committee on Eco-
nomic, Social, and Cultural Rights stressed, the “right A different version of this article appeared in Academe, the journal
to education can only be enjoyed if accompanied by the of the American Association of University Professors.
academic freedom of staff and students.” The commit-
tee further emphasized that, in its experience, “staff and
students in higher education are especially vulnerable
to political and other pressures which undermine aca-
demic freedom.” This approach—recognition of the im- The Costs and Benefits of
portance of core civil and political rights, such as
academic freedom, for the protection of economic, so- World-Class Universities
cial, and cultural rights such as education—is an inter- Philip G. Altbach
esting and innovative way to defend academic freedom. Philip G. Altbach is Monan professor of higher education and director
Unfortunately, the covenant does not mention in any of the Center for International Higher Education at Boston College.
detail issues such as individual academic freedom, uni-
versity autonomy, or the right of members of academic
institutions to participate in self-governance. Such mat-
ters are left for the jurisprudence of the committee.
E veryone wants a world-class university. No country
feels it can do without one. The problem is that no
one knows what a world-class university is, and no one
The effort to defend academic freedom as a human has figured out how to get one. Everyone, however, re-
right makes sense from a theoretical perspective as well. fers to the concept. A Google search, for example, pro-
There are at least two ways to understand academic free- duces thousands of references, and many institutions call
dom. One is as an individual right, a collection of all the themselves “world class”—from relatively modest aca-
expressive freedoms that any member of the academic demic universities in central Canada to a new college in
community has as an individual, including the rights to the Persian Gulf. This is an age of academic hype, with
free expression, opinion, and association. This view de- universities of different kinds and in diverse countries
fines academic freedom as a subset of a larger category claiming the exalted status of world class—generally
that needs no special protection. The United States, with little justification. Those seeking to certify “world
where academic freedom is subsumed under the First classness” generally do not know what they are talking
Amendment, takes this approach, as does South Africa, about. For example, Asiaweek, a respected Hong Kong–
where the constitution mentions it as part of the right to based magazine produced a ranking of Asian universi-
free expression. ties for several years until their efforts were so widely
6 INTERNATIONAL HIGHER EDUCATION

criticized that they stopped. This article attempts the Definitions

impossible—to define a world-class university, and then Few have attempted to define a world-class university.
to argue that it is just as important for academic institu- The following characteristics are by no means agreed
tions to be “national” or “regional class” rather than to upon by teams of experts—this is an effort to create some
seek to emulate the wealthiest and in many ways most benchmarks that will provide the basis for debate and
elitist universities. analysis. The dictionary defines world class as “ranking
among the foremost in the world; of an international
standard of excellence.” Fair enough, but in higher edu-
This article attempts the impossible—to cation, who decides? We can at least point to some rel-
define a world class university. evant characteristics necessary for world-class status.
Excellence in research underpins the idea of world
class—research that is recognized by peers and that
pushes back the frontiers of knowledge. Such research
Charles W. Eliot, president of Harvard for almost 40
can be measured and communicated. But if research is
years in the late 19th century, when asked by John D.
the central element, other aspects of a university are
Rockefeller what it would take to create the equivalent of
required to make outstanding research possible. Top-
a world-class university, responded that it would require
quality professors are, of course, central. And to attract
$50 million and 200 years. He was wrong. At the beginning
and retain the best academic staff, favorable working
of the 20th century, the University of Chicago became a
conditions must be available. These include
world-class institution in two decades and slightly more
arrangements for job security—many countries call it
than $50 million—donated at the time by Rockefeller
tenure—and appropriate salaries and benefits, although
himself. The price has ballooned, not only because of
academics do not necessarily expect top salaries. The best
inflation but because academic institutions have become
professors see their work as a “calling”—something to
immensely more complex and expensive. The competition
which they are committed by intellectual interest and
has also become much fiercer. Now, it might take more
not just a job.
than $500 million along with clever leadership and much
good luck.
There are not many world-class universities. Higher
education is stratified and differentiated. We are concerned Excellence in research underpins the
here only with the tiny pinnacle of institutions seeking to idea of world class—research that is
be at the top of national and international systems of higher recognized by peers and that pushes
education. In the United States, the number of top back the frontiers of knowledge.
universities is small. The Association of American
Universities, generally seen to be the club of the elite, has
just over 50 member universities (many of which are not Academic freedom and an atmosphere of intellectual
world class), a number that has grown only modestly since excitement is central to a world-class university. This
it was established in the early 20th century—out of a total means that professors and students must be free to
of more than 3,500 academic institutions. Even in the pursue knowledge wherever it leads and to publish their
United States, very few universities have managed to claw work freely without fear of sanction by either academic
their way up to the top echelons. In other countries, the of external authority. Some countries permit unfettered
number of top-tier institutions is also limited, even when, academic freedom in the nonpolitical hard sciences, but
as in Germany, all universities are basically treated the same place restrictions on it in the more sensitive social
in terms of budgets and mission by the government. The sciences and humanities. In most countries, academic
most elite universities are located in a small number of freedom also extends to expression of opinions by
countries—in the mid-1980s, the Asian Wall Street Journal members of the academic community on social and
listed among the top 10 only 4 not in the United States political issues as well as within the narrow confines of
(Cambridge and Oxford, Paris-Sorbonne, and Tokyo). professional expertise.
It is, of course, the judgment of others that carries a The governance of the institution is also important.
university into the rarified ranks of world-class World-class universities have a significant measure of
institutions, and no one has figured out how to conduct internal self-governance and an entrenched tradition,
an appropriate international evaluation. We do not usually buttressed by statutes, ensuring that the
provide such guidelines here, but this discussion may academic community (usually professors, but sometimes
be the first step toward at least developing relevant including students) has control over the central elements
criteria. of academic life—the admission of students, the
 7

curriculum, the criteria for the award of degrees, the means, but there is no substitute for consistent and
selection of new members of the professoriate, and the substantial public financial support. Without it,
basic direction of the academic work of the institution. developing and sustaining a world-class universities is
Adequate facilities for academic work are essential— impossible.
the most advanced and creative research and the most
innovative teaching must have access to appropriate Caveats
libraries and laboratories, as well as to the Internet and A realistic and objective perspective is needed when
other electronic resources. With the increasing thinking about world-class institutions of higher
complexity and expansion of science and scholarship, learning. For most countries, even large and relatively
the cost of providing full access becomes ever higher. wealthy ones, only one or two world-class universities
While the Internet has meant some cost savings and has are possible or even desirable. For many countries, a
eased access to many kinds of knowledge, it is by no world-class university is beyond the ability of the nation
means a panacea. Facilities go beyond labs and to support. Research universities are at the pinnacle of
libraries—staff and students must have adequate offices a differentiated academic system in a country—the rest
as well. of the system is just as important as its top.
Even the best universities are not the best in
everything. Harvard does not rank at the top in
Academic freedom and an atmosphere engineering, for example. It might be more appropriate
of intellectual excitement is central to a for many countries and institutions to focus on building
world-class university. world-class departments, institutes, or schools—
especially in fields that are of special relevance to the
national or regional economy or society. For example,
Finally, and central to the academic enterprise, Malaysia has focused on such disciplines are informatics
adequate funding must be available to support the and rubber technology, areas that are important to the
research and teaching as well as the other functions of local economy. A small number of highly ranked
the university. Not only is maintaining a complex institutions are somewhat specialized. For example, the
academic institution expensive, support must be California Institute of Technology is a small university
consistent and long-term. The cost of maintaining a focusing almost exclusively on the sciences, yet it ranks
research university continues to grow because of the fourth in the United States according to U.S. News and
increasing complexity and cost of scientific research. World Report. The Indian Institutes of Technology, which
Universities cannot benefit from many of the specialize in limited fields, are highly regarded in India
productivity increases due to automation—teaching and and internationally. At the same time, these institutions
learning still generally require professors and students provide educational opportunities in a wide range of
in direct contact. Funding is a special challenge in the disciplines, permitting students to choose and ensuring
present environment because governments are the possibility of interdisciplinary work.
disinvesting in higher education in many countries.
Academic institutions are everywhere asked to pay for
an increasing part of their budgets through tuition and A realistic and objective perspective is
fees to students, generating funds by consulting and needed when thinking about world-
selling research-based products, and other revenue class institutions of higher learning.
generating activities. The fact is that public support is
necessary for research universities everywhere. Only in
the United States and to a lesser extent Japan do private
No one has figured out how to rank universities
research universities of the highest rank exist. And in
internationally, or even within countries in ways that
the United States there are significant government
are acceptable to the academic community or that can
subsidies through government research grants and
withstand serious critiques. There are many rankings
access to loans and grants to students. The top private
of academic institutions—and these generally
institutions have significant endowments as well. The
emphasize the characteristics relating to research
American tax system, which provides for tax-free
university status. Yet, few of these have been
donations to nonprofit institutions such as universities,
conducted by official organizations or reputable
is a major factor in permitting the growth of world-class
research organizations. Newspapers or magazines
private universities. Research universities have the
have done most and, as noted, only a few are taken
ability to generate significant funds through a variety of
seriously. Thus, we have neither national rankings
8 INTERNATIONAL HIGHER EDUCATION

that make sense nor a widely accepted definition of relate to the need of the immediate society and
what a world-class university is so that such an economy and imply responsiveness to local
institution can be recognized or, for that matter, communities. The nature of academic performance
aspired to. It is not enough to quote what U.S. and roles may differ when relating to these different
Supreme Court Justice Potter Stewart said about contexts. To label one world class while relegating the
pornography, “I know it when I see it.” others to the nether regions of the academic hierarchy
is perhaps inevitable, but nonetheless unfortunate.
How to relate to these varying realities is not easy,
Overemphasizing attaining world-class but it is of central importance.
status may harm an individual univer-
sity or an academic system. Perspectives
The debate about world-class higher education is im-
portant. Government and academic planners in coun-
Overemphasis tries such as China, where several top universities are
self-consciously trying to transform themselves into
Overemphasizing attaining world-class status may
world-class institutions are considering the topic. In
harm an individual university or an academic sys-
other countries, such as in South Korea, people are
tem. It may divert energy and resources from more
giving serious attention to the idea. Britain, tradition-
important—and perhaps realistic—goals. It may fo-
ally the home of a number of top institutions, wor-
cus too much on building a research-oriented and
ries that it is losing its competitive edge.
necessarily elite university as the expense of expand-
ing access or serving national needs. It may set up The world-class debate has one important
unrealistic expectations that harm faculty morale and benefit—it is focusing attention on academic
performance. standards and improvement, and on the roles of
universities in society, and of how academic
The concept of a world-class university reflects
institutions can fit in a higher education system within
the norms and values of the world’s dominant
a country and in the global academic universe.
research-oriented academic institutions—especially
Striving for excellence is not a bad thing, and
the United States and the major Western European
competition may spark improvement. Yet, a sense of
countries. The idea is based on the German research
realism must be a part of the equation, and sensitivity
university that came to dominate academic thinking
to the public good as well. The fuzziness of the
at the end of the 19th century, especially with the
concept of a world-class university combined with the
acceptance of this model in the United States, Japan,
impossibility, so far at least, of measuring academic
and other countries. While all of the world’s
quality and accomplishment makes the struggle
universities are essentially in the Western tradition,
difficult. Indeed, it might well be the case that the
the world-class ideal of the research university is a
innovative energies and resources of higher education
special variation of that tradition. The American
should be focused on more realistic and perhaps more
sociologist David Riesman observed in the 1950s that
useful goals.
U.S. universities were missing out on diverse
academic goals and ideas because of a “meandering Acknowledgments: This article has benefited from the ideas and
procession” that almost all were following in an effort writings of Wang Yingjie of Beijing Normal University, Pang
to become like Harvard, Berkeley, and a few other key Eng Fong and Linda Lim of Singapore Management University,
research-oriented institutions. The same criticism can and Henry Rosovsky of Harvard University. I am also indebted
be made now, as universities around the world seem to the ideas of Edward Shils, Max Weber, and John Henry
to be orienting themselves to this single academic Newman concerning the nature of the university.
ideal. Institutions, and nations, need to carefully
assess their needs, resources, and long-term interests
before launching into a campaign to build world-class
institutions. Internet Resources
Universities operate in both national and global
contexts. The world-class idea is in the global sphere. Visit our website for downloadable back issues of
It assumes that the university is competing with the International Higher Education and other publications
best academic institutions in the world and is aspiring and resources at http://www.bc.edu/cihe/.
to the pinnacle of excellence and recognition. National
and even regional realities may be different. They