.

,
DOCUMENT RESUME

ED 252 153 HEA18 '013

AUfHOR Halstead, D. Kent ,. Ed.

TITLE ' Higher EduCation: A Bibliographic Handbook. Volume.

. JNSTITUTION National Inst. of Education (ED) , Washington, DC. I

PUB DATE ?, Jtm.84.
. *
NOTE . 4778p.; For Volume III see ED 238 :C7.
-AvAILABL- ;...OM Superintendent of Documents, U.S Government Printing..
;' Office', Washington,. DC .0402. k=

PU4 .TYPE Reference Materials - Bibliographies (131) Books

.e
(010) "
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,EDRS PRICE ,MF05/PC3A, Plus Postage. . ,.

DESCRIPTORS Annotated ilibliographies; *Cdliege Administcatipn;

*Cbllege Role; *College Students; Comparative
Education; Demoglaphy; Edutational. Economics;
.*Educational Finarrce Educational History; .

Educational Opportunfties; EducatitnaLPhilosopHy;

*Education Work Relationship;f.Gov4rnande; *Higher
..f Education; private Colleges; Productivity; Public
Policy; Research; Resource Allocation; Student
Characteristics; Student. Financial Aid
14

ABSTRACT
A bibliography Of.seadings in higher education, which
'cc.vers 1968-1981, deals with subjects generally approached from an
aggregate state or national perspective. For etch publication, tide
fol4owin9biblidgraphic information is prollided: title alithor(s),
publisher, and number of pages, and abstracts. Subject and author
indexes are included. The topical areas and the associate editors who
4( protride an introductory descriptionof ithi-ir topics and an oUtline_of .

subtopics ire as follows: 'comparative national systems -(Burton R. s

Clark), uL )ggaphy (Stephen P. Dresch), economics (Stephen A.

Hbenack), educational opportunity. (IC. Patricia Cross)', finance '(David
W. Breneman), governance' and.coordination (John K. Folger), historj
(Feedefick Rudolph), independent higher education (Virginia Ann /
HodgkinsoW,P.institutional role aid mission 4,1ohn D..Millett),
quantitative approaches to management (.Oen LaWlence), philosoph.y
Wenneth De Benne) policy and general reference (Kent'Halstead),
,

productivity and co-st-benefit analysis (Wayne R. Kirschling),

research and research administration (Frederick E. Balderston),
resouice,illocati and budgeting (Richard J. Meitinger,.Jr..),
student chatacter sties and development (Alexander W. Astin,), student
viV
financial aselrstahce (Lawrence. E. -Gladiseux), and work and education
(Lewis C; Solmon) (SW') .
.,

*.

e. 1

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.Reproductions,supplied by EDRS are the best that can be,made *

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N .

u-N. HIGHER EDUCATION:

ni A BIBLIOGRAPHIC HANDBOOK
(=I 0

tip.,
Volume,'
r.

D. kont Halstead, Editor

01.

U.S. DEPARTMENT OF EDUCATION

T.H. Bell, Secretary
al

OFFICE OF EDUCATIONAL RESEARCH AND IMPROVEMENT

Donald J. Senese, Assistant Secretary ,

NATIONAL INSTITUTE OF EDUCATION

Manuel J. Justiz, Director
Program on Educational Policy and Organization
. Sharon K: Hors, Associate Director
U.S. DEPARTMENT OF EDUCATION
NATIONAL INSTITUTE OF EDUCATION.
EDUCATIONAL. RESOURCES INFORMATION
CENTER (ERIC)
This ocument has been repipdtictel as
received Nom the person 01 ruganuation
June 198ft of gin
Minor changes have been made to improve
iepioduction quality

Points of view or opinions stated in this docu-

mentdo not necessarily represent
positron oi policy
 V

Library of Congress Cataloging'in Publication Data

,
Main eV /funder title: , .

, Vildher Education: A Bibliographic Handbook

' Two volumes

Inalules index.
1. Education, HigherUnited StithBibliography
I. Halstead, D.. Kent . II. NatiOnal
Institute of Education. .
Z581 4.U7H53 , 015.3781'07 "al- 4104

I
S

V0

U.S. GOVERNMENT PRINTING OFFICE

WASHINGTON: 1904

.
1 6

For sale by the SuPerinteldent of Documents? 4

U.S..Governrdent Printintf Office
Washington, D.C. 20402 .
')

4
 ES

Contents
Volume

ix
INTRODUCTION,

xxi
ASSOCIATEEDITORS

CLASSIFICATION SYSTEM xxvii

1: COMPARTIVE NATIONAL SYSTEMS 1

Burton R. Clark

. DEMOGRAPHY
Stephen P. Dresch
1.0 Social Demand
1.1 General
27
1.2 Population Size, Comwsition, Growth, and
Migration 28
2.0 Sectoral and Institutional Structure and Perfermance
2.1 DemographiC Structure of Faculties 33.
:2.2 Sectoral Efficiency and Planning 35 '

3: ECONOMICS
Stephen A. Hoenack
1.0' Incentives and Student Behavior
1.1 Effects of Prices of Educational Services
1.2' Effects of Labor Market Variables 43

iii
N 1

2.0 Incentives and Faculty and Institutions

"2:1 Interactions Between Institutions
and Students o 16'
Measures of Existing Incentives on
Faculty .48
2.3 Issues in Altering Incentives on Faculty
and Institutions 52
3.0 IncentiVes and Public and1PrivdIe Fanders
3. lntetactions Between Public and
Private Funding 59
3.2 :Tax. Policy and Donor Behavior, 61
4.0 gcoltomit; Impact of 'Higher Education
,
on Students , . 6.2
5.0 Incidence of Benefits and Costs of
Educational Subsidies 73

4: , EDUCATIONAL OPPORTUNITY . 77
K. Patricia Cross . .

. . 80 ,
1.0 General Issues .
W 84
2.0. Adults.
3.0 Ethnic Minorities 91. ,

4.0 Handicapped ..... . . . .

5.0 Underprepared Students

,
101
6.0 Women ' 106

5: FINANCE , 113
David W. Breneman
1.0 General 115
'2.0 Federal Role 123
3.0 State Role . . 125
4.0 Studies of Higher Eduatiop Segments,
4.1 Graduate Education- ; 129
'4.2 Medical Education '. \ 131
4.3 Private Colleges and Universities \ 132
4.4 Community Colleges . 136
5.0 Financial Condition of Institutions 140
6.0 Data Sources % 146

iv
 11.4 50 ri
dit

.5

' 155
6: GOVERNANCE AND COORDINATION
. "John K. Folker 4
157
1.0 General
162
2.0 State Role
Trusteeship- e
a 169
3.0
4'.0 Politics of Higher Education N-

5.0 Descriptions ofCoordinating

173
ancl'Gdverning Arrangements
A
177
7!` HISTORY .
Frederick Baliplph
0 179
1.0 General
196
2.0 Institutional Histories
206
3.0 Admissionss,Articulation, Seco arj Schooling
. . .

209
. 4.0 Students
2,17
5.0 Curriculum ,
222
6.0 Biography and Autobiography
230
7.0 Learning and Scholarship'
'239
: INDEPENDENT HIGHER EDUCATION
Virginia Ann Hodgkinson
242
The State. and Federal Roles
248
2.0. Philosophical Questions and Policy Concerns

INSTITUTIONAL ROLE AND, MISSION . . . . . . 259

9:
John D. Milieu
1:0 Differential Roles
262
1.1 Institutional Purposes
270
1.2 .Classification of Institutional Roles
27.1
1.3 Profiles of Institutional Types ,

1.4 Planning Distinctive Missions -. . ......... . 283

298
2.0 Public Interest
303
3.0 Need for Institutions
307
4.0 Program Review
.

321
MANAGEMENT--QUANTITATIVE APPROACHES
.
10:
Ben Lawrence , .

323
1.0 Critique and Evaluation
 s

:2.0 Foundations ' , . . .

a-
,s. t2.1
Dictionaries and Glossaries 324
4. 2.2 Measures, Structures, and ProCedures 326
si 3".0 Anplysis ,. ,
334 -
I it
11: PHILOSOPHY 339
Kenneth D. Benne
1.0 Current Status of Profession'al Philosophy
of Education in America 343
Q0' Aims' and Purposes:of Higher Education
2.1 The University, and the College . :. . . .149
2.2 Prospects for Liberal and General Education . 155
3:0 Organization and Governance of Higher Education
3.1 The Educational System and Its Control - 360
3.2 Academic Freedom: The Rights of Teachers
and Students 363
Educational Policy 365
5.0 Experiential Learning 367
6.0 Lifelong Learning and Continuing Education 369'

POLICY AND GENERAL REFERENCE -373

Kent Halstead ° .

1.0 Issues and Policy Guidance . . .

.1.1 General 375

1.2 State Role .. 398
1.3 Fcderal Role .
2.0 Comprehensive Handbooks
3.0 Change, Trends, and Forecasts
N
X
414
4.0 Reference
4.1 Statistics and Information 419
4.2 Bibliography 524
4.3 Directory . 420
4.4 Data and Information SotIrces and Services . . 430
I
13: PRODUCTIVITYAND COST-BENEFIT ANALYSIS.. . 433
Wayne R. Kirschling
1.0 Outcomes
, 1.1- Empirical Studies i 435
1. Recommendation_ s 439
1.3 MethOdology ' 441
.
. vi
s

7
 4----
,
4

.
...
2.0 Costs. 448
-.
2.1 Empirical Studies- , 451
, ,

'. 2.2 Recommendations 4.41

. 2.3 Methodology
3.0 Cost/OutcOme Relationships 459
,
3.1 Empirical Stydies , .

461
3.2 Recommendationi 464
3.3 Methodology 4
.
.

ADMiNIStRATION . 469 .

14: RESEARCH AND RESEARCH . .

Frederick E. Balderston i
..e
for Research
".
470 ..
1.0 Institutional Management 7478
and Data
2.0 National Research Policy, Resources,
3.0 University-Goyernment-Industry 492
.
Relatfonships in Research
?

'503
15: RES0aURCE ALLOCATION AND BUDGETING ..
Richard J. Meisinger, Jr. ,
'1.0 Budgetary Theory' and ,Practice 506
1.1 General 515
1:2 St*. Budgetary Process
' 536
1.3 Federal Budgetary Process 541
.2.0 -.Formula Budgeting 548
1.0 Planning - Programming - Budgeting 554
4.0 Zero-Base Budgeting
,

16: STUDENT CHARACTERISTICS 559

AND DEVELOPMENT
Alexander W. Astin
I.0 Development Studies 561
I :1 Impact of Institutional
CharacteMcs 4

567
1.2 Impact of Individual Institutions 571
Studies
1,3 .General' ievelopmenta1 577
7,0 Descriptive Studies 584
,. 3.0 '.Data Sources
, 593
117: STUDENTFINANCIAL ASSISTANCE
larenceE. Gladieux 596
1.0 Governmental Volicies,
; 604
2.0 Student Loans
 --
--r
---
Governance, Administration, and
--3:13

--- Delivery of Student Aid 607

4:0 Special Types and Recipients of Aid 612.
5.0 Statistical Studies and References , 616
6.0 Cross-National Comparisons ,
621' '
1

18: WORK AND EDUCATION , 623

Lewis C. Solmon . .--- I

1.0 Career Dev ent 625

2.0 Cane qcation 1
629
3.0- Job-Related Outcomes of Higher Education 634
4.0 The Credentialing =View . . . . . . . ._. ... . ...... . . . 642 .

5.0 The Job Market for Ph D 's 644

.
6.0. Forecasting 647
7.0 Basic Data Sources 653
r 4

INDEX OF AUTHORS 659

INDEX OF TITLES ,677

PUBLISHERS 643

st.

(I

rI

A
 Introduction

Why not spend some time in determining what is

worthwhile for us, apd then go after that?
William Ross 1!

The art of reading is to skip judiciously.

Hiunerton, The Intellectual Life

ineffective. in
But even wholesale skipping is likely to be
Scholars cannot
dealipg with today's flood of new publications.
produced. Libraries are
keep track of, much less read, the volume
they would be
unable to buy everything, and even if they could,
Voltaire observed that
unable to-store it' More than 200 years ago,
Then his Observa-
"The multitude of books is making us,ignorant."
exaggeration; now it' is seen as a portent of
,tion may have been an
thipgs to come.
300,000 and
The Library of Congress currently adds between
each year. In the
'400,000 vbiumes and pamphlets to iss Collection
Resources Information
field of higher 'education, the 'Educational
joarhal articles,
Center (ERIC) estimates ithat over 4;000 books,
documents are published each
reports, sketches, and other fugitive
year.
in more and more
The increasing number of scholars results
publications. There is no practical way to stem such expansion, nor
The way to handle the
should research at any level be discouraged.
volume of _literature lies not in curtailthent, but in distinguishing
 what is excellent from what is merely competent, and then making
the selected volumes'more accessible. .

. This type of approach was initially- advanced by August Fruge

! (former. director of the University of 'California Ppess), who
.developed the distinction between "publishing" and "recording.".
What is needed, in his view', is a two - track system. One track is for
traditional publishing of rigorously selected volumes; the other track
is for recording and making available tilgpugh a centralrzed bibli-
o4raphic service lesser works that may be useful sornetimes Exit that
do adt.ple4.publieation..Overall implementation would; of course,
be difficult. A 1ajor coneerrn is the rneabsty which publications of
'high quality" can and should be identifie.
The purpose= of this bibliography-and future- editiory is _to
identify and publicize on 'a continuing basis high-quality. references
in higher. education. In. prepiring this volume; the tack' taken to
determine recommended reading has been to rely primarily on the
opinions of experts. Through professional experience nod informed
judgment, 40 noted experts have attempted .to select on, substantial
rand distinctive works, with. emphasis on practical value. These
individuals, chosen to serve as independent associate editors in their
fields of specirilization, have ultimate responsibility, fot -their
selections, but they havexpnsulted freely with their associates' and
colleagUes in making these selections. .

The comprehensive vier of higher education -assumed for this.

bibliography. encompasses all major_ activities of colleges and,
universities (e:g., financing, teaching, planning, governance,
research); programs and organization (e.g:, admission, educational
opportunity, community colleges); resources employed, (e.g.,
-faculty, students, facilities, computing services); and approaches
used to study the field (e.g., economics, demography, management,
history). The ,object has, been., to design. a basic., higher education
library of value to virtuallyall individuals and organizations that
*seek to have essential reference works identified or at hand. Dr.
Charles W. Eliot has termed such a collection a "five-foot shelf." 1

I The two-truck approach was studied by theNational Enquiry into Stkolarly Communica-
tion, Which found considerable merit in the proposal yet questionpd certain aspects of its
workability, including, whethek adequate safeguards could be established to preserve
standards in the selection process. (See Scholarly Conilnunication, The Report of 4he
.Vational Enquiry. The Johns Hopkins Viversity\Press, Baltimore. Md.,. pp. 103 -105.) The
work of the National Enquiry is being continued by the Committee on Scholarly,Communi- 41

e-. cation of the American Council of Learned Societies (ACLS). .

4
This expreases the concept accurately, even if
/fails to reflect.
kind -Of bibliogiaphy
may'
.present -day dimensions.2 The value of this
midi' when he said, "The
have been what Samuel Johnson had in
Vowing where to find it."
next best thing to knowing something is
/6ibliography are those who
The intended audience for this
findings and
study higher education slid attempt<im apply recent
and faculty
advance the field=planners; administrators at all levels,,
Planners, in particular, should
and researchers in higher education. broad
find the breadth of this bibliography matching their own
and practice, is
mission. The content, in empEisizing current theory
value for research. Researcters
most suited for planning; of lesser
useful entries in their
and scholars, however, should find many be
disciplines, -. although. highly _specialized theoretical works may
,excluded. Administrators can employ the bibliography, more-for
al*ntidet given -
occasional reference than detailed study. Again, the
to practice and technology should prove helpful. Those most
and faculty, as
affected by educational policies,. notably students
and finance policy, can
well as the regents and citizens who enact ,
use this bibliography to inquire further into today's issues.
volumes.3 The first
The bibliography is being issued in two
aggregate state or,
deals with subjects generally approached from an
usually studied at
national perspective;:the second embrabes topics is 'exclusive in .
the individual institutional level.. Neither volume
tpse aims. The time period covered extends from- publications works of
issued in_ 1968 through 1981 and soon-to-be-published
bibliography
anticipated value. Periodic supplements will keep the
up-to-date. Author and title indexes arerovided.
.

bibliography would occupy about 90 linear feet

2The nearly 1,400 entries in this two-volume
vision, a box of microfiche 4 x 6 x 7
of shelf space, or, more. in line with Dr. Eliot's
inches.
. .-
1981. It is for sale ($10) from the Superintendent of
3 Volume Il was published by NIE in May
Documents, U.S. Government Printing Office, Washington, D.C. 20402 (202-783-3238).
number (065-000-00114-4), and the
"Pin ordering, be sure to-specify the title, GPO stock
number of copies desired. '
xi
Bibifographic,Design7
Bibliographies come in assorted shapes and sizes, their
composition established by five basic elements:11) subject universe,
(2) organization, (3) selection criteria, (4) annotation, and (5) plan
for updating. To ensure proper usage of this volume, its design is set
down in some detail.
`Subject Universe. The subject of this bibliography-higher
'education -- -can be described as a community and its industry. The
community of higher education in the United States, is, first, the
3,253 college'S and universities providing degree4credit study and the
associated stake and national organizations and Federal agencies
serving these linstitutions. ,In addition to this basic "collegiate"
group, there are a near-equal-number of private career (proprietary),
schools within, the broader "post-secondaly" concept that are
treated in:a separate chapter. Excluded are military training and the
vast complex of intramural education programs conducted!thy
industry,
The industry or business of this community encompassei
instruction, public service, and research. These missions are
accomplished through elements that constitute the substance of this
bibliography 'activities of colleges and universities; the
organization and programs of insatutidns, together with the public
and goVernment roles; the resources employed; and the corporate
knowledge 'developed thrAngh experience and studj, of education by
the different disciplines. : -

This_ community and its industry, are the subject of this bibli-
ography. The literature for higher education, as defined, is further
narrowed in two ways: (1) the focus is tightened slightly by greater
attention to current practice and technology than to theoretical
research; and (2) greater attention-ieitto scholarly works based
on, systematic observation,_ study, of mentation than to
editorial or essay-type. commentary. Yet these are les ctions,
more guidelines. Theoretical works are included where hecess
complete and establishithe research or "cutting edge" of a topic.
Also, many works of great value to administrators deal subjectively
with controversial topics. These studies, some of which are included
in 'policy" sections, enliven the field by stimulating healthy debate
and developing proper perspective.
Organization. For this bibliography, the field of higheri
.

education is organized in two volumes and 38 topic areas with

various subdivisions; The first volume contains topics,generally
xii-

.13
 thi state or
studied in an aggregate universe or Collective wholeat
national level --a macro approach. The second volume includes
of the
topics typically, studied in the context and fromtt perspective
individual institution or campus-3 micro approach. A few tipples
Such as finance and budgeting, planning, and managment are
Most topics,
addressed in both volumes from different perspectives.
dominant approach but
axe treated once, located in the volume of
providing both macro and micro coverage. Thus, while each volume
has a special focus, it is not restrictive in the sense that continu4
and completeness of subject matter are overruling.
constitutes a
The 38 topic areas are listed below. Each topic
in fact, alt
relatively distinct component of higher education. Many, .
-acadeinic and/or_ occupational -fields '.subject to concentrated study
scholars, and
and mastery by a specialized group of practitioners,
descrip-
. researchers., The, associate editors provide an introductory
1.5oth voltimes,
tion of their topics, and an outline of subtopics. For
the number of subtopics totals 246, providing a surprisingly high
listed it the s
degree of classification detail? These subdivisions are
beginning-bn
Contents, as well as in a special classification summary
or.
page xxvii. NW.

Volume 1.
Dfmparative National. Systems
I. C
2. mography
3. Economics
4. Educational Opportunity
., 5. Finance
"6. Governance and Coordination
7. History
8. Independent. ligher Education
9. Institutiolcal Roleand Mission
10.ManagementQuantitative Approaches
11. Philosophy
12. Policy and General Reference
13. Productivity and Cost-Benefit Analysis
14. Research and Research Administration
15. Resource Allocation and Budgeting
16. Student Characteristics and Development
17. Student Financial Assistance
18. Work and Education

,
 Volume II
19. Admission/Articulation/Retention
20. Business Administration
21. Campus and Building Planning
22. Community Colleges/
23. Computing Services
24. Curticulurn
25. Educational Communication and Technology
26.F Fact4tY
27. Health Science Education
28. 'Institutional Advancement (Public Affairs)
.29. Institutional Financing and Budgeting
30. Institutional Management
31. Institutional Pluming, Studies, and Analyses
.32. Leadership and the Presidency
33. Libraries , P.4
It

34. Lifelong Learning' ,(

35. Private Career Schools .

36. Space Management and Projection

37, Student Affairs
38. Teaching and Learning.

Using topic areas as currently practiced and studied encourages

the, inclusiod'of supporting and reference material to complete each.
field. This strength is also a weakness, for the- interface between
related topics, is often blurred and overlapping, more lo than. if a
theoretically deriv;(1 classification system had been Used. Although
divisions '-have --,beeh -made with as much logical association as
possible, many entries might have been classified equally well under
two or,three different headings. The literature in higher education is
not compartmentalized as neatly Is the 'classification plan would
suggest. Large volumes, in particular, may deal with a number of
related but distinctive topics. For location; the rule employed has
, been to -place 'material . based ore the dominant subject matter or
perspective taken. In 'every instance, material is assigned only one
identification humber under the dominant topic involved, although
works may be annotated,in more than one location:Cross-references
have been made only ifa chapter or section in a work detsubstag-
daily with another topic to a degree that it could have n listed
within that topic independently.
xiv

15
 d
4 .

.80

0.

Toprovideran abbreviated identification for cross-referencing

and author indexing, each entry is assigned a single number corres-
ponding, to its location within the taxonomy system and 'year 'of.
publication. The number order can best'described by this example:

Year ot:pt,bliption or A = annual,

S ser4.4
Topic
1 10,.1 .3/77-2 Order
within year .

Subtopic ,°-' "%. Seennd

suhtopie

Selection. Bibliographers seldom label their work as compre-

hensive, as the chaiices of inacjvertent exclusions are too high. At the
same time, truly "selective" compilations are also rare, *since the
jrstification of one's choices is an altogether awkward task. (One
(emphasis
early bibliography claimed .to be "highly
aided) while reporting nearly 3,000 entrjeg ininc011ege and university
administration for a 10 -year period.) Most bibliographers are content
'to find as many entries as possible in,the time allotted, the selection
,toeing controlled as much by available resources as considerations of
quality.
This bibliography', however, attempts to be both' comprehen- r
sive and selective.
and
Critical selection is at once the most important, difficult,-
behind
rare ingredient of bibliographic endeavors. The theory
selecton
i iss obviously
obv to separate from- many works, those most
7' valuable, so that countless, other readers might save time and energy.
(The amount of savings can be substantial, as evidenced by the
estimated 3,000 candidate works reviewed for inclusion in this two -
volume- compilation.)
9uality as a relative matter is always difficult to judge.
generally made more so by the absence orbenchmarks a:s.Ri-tardsn
for comparisod. Writings, however, are clearly note egalitarian;
excellent work can easily be distinguished from the bad. The
difficult but essential task is selecting from among many competent
works those of distinction, and justifying this choice.
Two criteria guided the selection of these recommended refer-
encesrelevancy and quality. The Material of course, be
relevant to the higher education universe. it must deal with or have a
direct bearing on'one or more of the classification topics. The, only
exceptions are a few volumes that deal with a single discipline as a
science, e.g., management or economics, apart from the relation-
readily apparent.
ship to higher education, where the transfer value is
XV

ti
 a

. .

Quality in scholarly .inquiry is interpreted here as having' two

assessible diMensions: substance, and distinctiveness dr originality.
Tote included in the bibliography, entries must be substantial works
. containing' enough.usefuls. essential, or critical information to war-
rant a thoughtful reader's attention, Limited studies, if marginal or
vstricted valuqhave been excluded.
,Entries must also make a diitinetive,contribution. Original, work
introdtking valuable nevi analyses, pro,cedures, observations, con:
elusions, data, etc. weresought. From a number of good works on
the same topic, the. ,best have been chosen. Syntheses or summaries
of material are also included If they accurately capture and capsulize
the main work. Thus, if compendiums' effectively summariz
reference earlier studies, the studies themselves are generall sot
entered'separately: :Most works -achieve eXcellefice -through a
combination of new and existing research. 'Some older landmark
studies remain distinctive when newer- efforts fail to capture the
unique contribution that so often characteriies the original work;
recency in itself is no guarantee that anything new is being said.
plication, of thesecriteria has resulted in the seliction of
m y more books than journal articles. This,weakness in coverage is
due in part to the difficulty encountered in searching the many.
journals. The often narrokscope of papers and their frequent focus
on specialized research Findings, as opposed to pfactical technology
suggests other reasons for this limited. inclusion. SomeWissertations
and fugitive materials met the' criteria of substance and distinctive-
ness, but frequently were too specialized to be included.
. Annotation. As titles give. little or no information abOut .the
nature and value bf contents, annotation is of vital irnportan ce. A
full annotation explains What the volume is about and assists readers
in identifying those entries most likely to meet their specific'needs.
' - As with standard bibliographic practice, the annotations of this
k
compilation outline the general content, scdpe.and`special features.,
of each entry. They are more than abstracts since the content is
further examined to identify the unique contributions or distinctive-
ness. Also, the annotations May include evaluative and critical
appraisal where such appraisal aids in interpreting worp : J.

Updating. 'Bibliographies do not age well....,After just a year

they show serious signs of sehility--:an unfamiliarity with what is
going on around Merl. Research takes up from the past so that new
discoveries eclipse what has preceded them. An extreme case occurs
when a comprehensive treatise is published that effectively sum-
marizes and thereby renders obsolete a hest of earlier fragmentary
VI

17
0
 active role 'in
works. Hence the modern bibliographer must play an
keeping in touch. bibliography by pro-
An attempt will be made to update this
Updated comprehen-
viding periodic stipplements of new material. it
In most instances,
sive, editions will be published less frequently.
of the bibliography for
older material will be retained in new issues
faCilitated and made
historical purposes. This process will be greatly
of readers in informing the
more accurate with the cooperation material. Copies of, or
appropriate associate editors of candidate believeitto meet the
information on, books and journal articles
attention'. (A Special.
selection criteria should be brought to their
notification.) This joint
Request guide is included to aid, in 'such
considerably and thereby
effort will expand the search capacity
reduce the chance of oversight.

Acknowledgments special citation.

The work of recent bibliographers deserves
Lewis B. Mayhew, and L.
M.M. Charfibers, Roger .R. Kelsey,.
higher education in the sixties
Richard Meeth4 covered the field of
style and rare commitment
and early seventies %itith a personalized
Discontinuation of their work, Which.
) not likely to be seen again. service.
dependence on their
,suwar prompted this effort, reminds us of our and the
While, the editor had the concept for this bibliography
had the- responsibility
idea for its Publication, thr; istociate.editors
and annotation. 'They have
for topic definition and entry selection professionally with scant
performed this arduous work diligently and
reward.5 ,f
David Mandel and Saul
At the 'National Institute of Education, that
Yanofsky established a responsive and supporting environment
Thanks is due
possible and enjoyable.
made this intramural research
and author indexes.
Joyce Harris for compilation of the title
collective, the more recent
All research is progressive and contributions of
, advancements of a few depending on the earlier . L

Higher Education initte Middle of It: Nineteen

`Chambers, M. M., A Brief Bibliography of
1966.
Sixties, School of Education, Indian, University,Illoomington, Ariation kW, .
Kelsey, Roger R. ,,A. H. E. Bibliography on Higher Education, American
D.C., 1973-74 (1968 coknposite volume).
Higher Education, WashihgtOn, Highir
Mayhew, Lewis 13.; The Literature of Higher Education, American Association for
,

EdUcation, Washington, D.C., 1965-72.

Education; An Annotated Bibliography.
Meeth. L. Richard, ted., Selected Issues brIfigher
York, 1966.
Teachers College Press, Columbia University, New
XVII
 many. The very real Valui of the hundreds of works that have been
examined but are not included in this volumeis fully recbgnized. For
these investigators, proper perspegiviis best described by Emily
Dickinson's great definition, in her Publicotion is not the businiss Of
. poets: being a pat is all, being know', as a poet is nothing.
Kentflalstead
S

F.

5 Reaping a mixed bag of.rewiffas, bibliographers will appreciate Elliott Cows' comments.
He was for a decade (1878-88) obsessed with bibliography and proposed to write a
Universal Bibliography of Ornithology. Only four installments were ever published, and
even this effort is extraordinary. Of this period he,wrote:
"I think I never did .anxthina else in my life which brought me such hearty praise . .
from ornithologists who knew that bibliographytas a necessary nuisance and a horrible
drudgery that no mere drudge could perform. It takes a sort of inspired idiot to be a good
bibliographer, and his inspiration is as dangerou's a gift as the appetite of the gambler or
dipsomaniac . Perhaps it was lucky for .me that I was forcibly divorced from my
bibliographic mania; at any rate, years have cured me from the habit, and I shall never be
viellbound in ihat way."

XVIII

19
 SPECIAL REQUEST

Although this first edition is to be complete 'and

accurate, it is not:Library searches by afew expertst. however
thorough, cannot possibly provide the comprehensive coverage
and 'collective evaluation required. Additional information
froth the research and professional education community is
necessary. Your participation, in the areas outlined below; will
ensure that the high level of confidence sought for the bib-
liography is obtained. Please respond directly to the associate
fi

editors. involved. Their addresses and telephone numbers begin

--on page xxiii. _
***What works do you feel meet the selection criteria and
nominate for inclusion? (Candidate material may be
older volumes and soon-to-be published works,. as
well as new editions. To facilitate evaluation and
entry, authors , should provide copies -of--nbminated
. works and annotitionsr)----
***What existing entriesifilack the necessary value and
should be reviewed for possible exclusion?
***What improvements can be niade in annotation?
(Authors in particular are encouraged to send revi-
sions and/or extensions tcrassist in properly annotating
their works.)
***What changes .in the taxonomy of topics and subtopics
ao yoti recommend?

ti
Publication of Volume I was delayed a year by 'printing prob-
lems. Updating was not possible within- the framework of the
project. The associate edit( . id submitted current material
and are not responsible foi Adze of the bibliography to
achieve the timeliness hoped kr.

x ix

. 2
.
 y

Associate Editors
Volume

r,

COMPARATIVE NATIONAL SYSTEMS

urtan'R. Clark:;
,'Allan *Cartier Professor of Higher Education
and Professor of Sociology_
IJepartment of Education
University of California, Los Angeles
405 Hillard Avenue
Los Angeles, Calif 90024
(2/3)825-8331

2 DEMOGRAPHY, 4

Stephen P. Dresch
Chairman, Institute formographic and Economic Studies
210 Prospect Street
New Haven, Conti: 06511
4
(203) 4324366

xxi -o

4,
 3 ECONOMICS
Stepheii A. Hoenack .
Professor, Hubert H. Humphrey. Institute for Public Affairs
University Of Minnesota, Twin Citiei
412 Morrill Hall
100 Church Street, S.E.
Minneapolis, Minn. 55455
(412) 376-7351

4 EDUCATIONAL OPPORTUNITY
K. Patricia Crosi
Visiting Professor
Harvard Graduate School of Education
.337 Gutman Library
o Cambridge, Mass. 02138
(617) 495 -3462 a.

5 .FINANCE
David W. Breneman
President
Kalamazoo College
Kakvisazoo, Mich. 49007
(610383-8411

.6 GOVERNANCE AND .COORDINATION

.; .
John K. folger
Director, Center for Educational PolicY and
Pivfessor of Education
Vanderbilt University
Nashville, Tenn: 37203
(615 ) 322-8544

-;

22
7 HISTORY
Frederick Rudolph
Mark Hopkins Professor of History
Williams College
Williamstown, Mass. 01267
(413)597.1416
e.-
8 INDEPENDENT HIGHER EDUCATION
. Virginia Ann Hodgkinson
Vice'President for Research
Independent Sector
1828 L Street,.N.W.
Washington, D.0 .20036 4

(202)223-81004' .4

9 INSTITUTIONAL ROLE AND MISS[ ON'

John D. Milieu
President Emeritus and Professor of 6

Educational Leadership, Miami University

121 Olde Farm Road
Oxftird, Ohio 45056
(513) 523-1614

10, MANAGEMENT-
QUANTITATIVE' APPROACHES
Ben Latfettee. .;.'
Executive Director
National Center for -Higher EduCation-Management Systems
.

',O. Drawer P -`
Boulder, Colo. 80302
(303) 497-0301 .

04.1
..g. .

4
 11 PHILOSOPHY O

Kenneth D. Benne
4000 Cathedral Avenue, N.W .
Washington, D.C. 20016
(202)333-7152
.i

.71 12 POLICY AND GENERAL REFERENCE

, Kent Halstead ,

§enior Asyuciate
National Institute of Education
1200 19th Street,.N .W
Washington, D.C. 20208
(202)254-5928

13 PRODUCTIVITY AND
COSTIPENEFIT ANALYSIS
Wayne R. Kirschling -

Deputy Commissioner for Higher Education

Indiana Commissioh for Higher Education
880 West 56th Street
Indianapolis, Ind. 46208
13 17)232-1900

14 RESEARCH AND
RESEARCH ADMINISTRATION
. Frederick E. Balderston
Professor of BUsihess,fidMinistration and Chairman_ ,
Center for Rei4ch in Management Science
350 Barrows Hall
University of California
Berkeley, Calif. 94720
(415)6424558

xxiv
A
 .
15 RESOURCE ALLOCATION AND BUDGETING
9
Richard). Meisinger, Jr.
Assistant Professor
Division of Behavioral and Social Sciences
University of Maryland
2/41 Tidings Building
I. College Park, Md. 20742
(301) 454-5272 1:

16 STUDENT CHARACTERISTICS
AND DEVELOPMENT
Alexander W ."Astin
Professor of Higher Education
University of California, Los Angeles
President, Higher Education Research institute, UCLA
405 Hilgard Avenue
Los Angeles, Calif. 90024
(413)825-I925

17 STUDENT FINANCIAL ASSISTANCE

Lawrence E. Gladieux
Executive Director
The College Board
1717 Massachusetts Avenue, N .W .
Washington, D.0 . 20036
(202)332-7134

w. 1
18 WORK AND EDUCATION
Lewis C. Solmon
Secretary-Treasurer and Executive O,, rrcer.
Higher Education Research Institute, UCLA
405 Hilgard Avenue, Moore Hall
tj
Los Angeles, Calif. 90024
(213) 825 -8362

X XV

21i
 0

I
assification System

SUBJECT LI-Higher eduailion cotiwrises the 'activities, organiza-

colleges
tions and programs, resources, and corporate knowledge of
and universities and proprietary)chool's, together 'With the associated
state and national organizations and Federal agenies serving those
institutions.
4 '

VOLUME 17Topics generally studied in an aggregate universe or

collective whelk at the state or national levela macro approach.

VOLUMEJILTopics generally studied in the context and from the

perspective of the individual institution or gampusa micro
approach.

NOTE: Volumes I and II are not exclusive in their approaches;

continuity and completeness of subject matter are primary
objectives for every topic.
4 7,

'vii 2 i)
VOLUME I
1: COMPARATIVE NATIONAL SYSTEMS

DEMOGRAPHY
1.0 Social Demand
1. I .General
1.2 Population.Size, Composition, Growih,`
and Migtation
Sectoral and, nstitutional Structure and Performance
2. I Demographic Structure of Faculties
2.2 Sectoral Efficiency and Planning

3: ECONOMICS
1.0 Incentives and Student Behavior
I. I Effects of Pricei of Educatiodal Services
1.2. Effects of Labor Market Variables
2.0 Incentiv'es and Faculty and Institutions 13

2. I Interactions Between Institutions and Students

2.2 Measures of Existing Incentives on Faculty
23 Issuesin Altering Incentives on Faculty .

and Institutions
3.0 incentives and Public and Private Funders
.3. I Interactions Between Public and Private Funding
3.2 Tax Policy and Donor Behavior
4.0 Economic Impact of Higher Education on Students-
5.0 incidence of Benefits and Costs of Educational Subsidies

4: 'EDUCATIONAL OPPORTUNITY
1.0 General Issues
2.0. Adults
3.0 Ethnic Minorities
4.0 Handicapped
5.0 Underprepared Students
6.0. Women -

ti
27

4e.
 w

FINANCE
1.0 General
.0 Federal Role
3.0. State Role
4.0 Studies of Higher Education Segments
I 4.1 Graduate Education
4.2 'Medical Edtication
4.3 'Private Colleges and Universities
4.4 ,,Community Colleges
5.0 Finantial Condition of Institutions
6.0 Data Sources

GOVERNANCE AND COORDINATION

1 .0General
2.0 State Role
3.0 Trusteeship
4.0 Politics of Higher Education
5.0 Descriptions of Coordinating and Governing Arrangements

7: HISTORY
1.0 General
2.0 Institutional Histories
3.0 Admissions, Articulation, Secondary Schooling
4.0 Students
5.0 Curriculum,
6.0 Biography and Autobiography
7.0 Learning and Schqlarship

8: INDEPENDENT HIGHER EDUCATION

1.0 The State and Federal! Roles
2.0 Philosophical Questions and Policy Options
9. INSTITUTIONAL ROLE AND MISSION
1.0 Differential Roles 4

I . Institutional Purposes
1

1;2 Classification of Institutional Roles

1
I .3 Profiles of Institutional Types
It
1 1.4 Planning Distinctive Missions
2.0 'Public Interest
3.0 Need far Institutions
'4;0 Program Reyiew .

10: MANAGEMENTQUANTITATIVE APPROACHES

=1.0 Critique and Evaluation
2.0 FoUhdations
2. I Dictionaries and Glossaries
2.2 Measures, Structures, and Procedures
3.0- Analysis

1 1: 'PHILOSOPHY
I.0 CurrenrStatug of Professional Philosophy of EdUcatiod
in America- ..
2.0 Aims ancePurposes of Higher Education
2.1 The.University_ and the Coll*
'T. 2.2 Prospects for Liberal and General Education
3,0 Organization and Governance of Higher 'Education
3:I The Educational System and Its-Control'
3.2 Academic Freedom: The Rights of Teachers I
and Students,
4.0 'Educational Policy
5.0 Experiential Learning

Oh

29 XXX

I
12: PgLICY AND GENERAL REFERENCE
1,0 Issues and Policy Guidance
1.1 General
1.2 State Role
1.3 Federal Role.,
2.0 < Comprehensive Handbooks
3.0 Change, Trends; and Forecasts
4.0 Reference
4.1 Statisks and Information
4.2 Bibliography
4.3 Directory
4.4 Data.and Information Sources and Services

13: PRODUCTIVITY AND COST-BENEFIT ANALYSIS ,

1.0: Outcomes
I.1, Empirical Studies
1.2 Recommendations
1.3 Methodology
2.0 COsts
2.1 Empirical Studies
2.2 Recommendations
2.3 Methodology
-3.0- Cost/OUtcomp Relationships
3.1 Empirical Studies
3.2 Recommendations
3.3 Methodology.

14: RESEARCH AND RESEARCH ADMINISTRATION

, 1.0 'Institutional Management for Research
-2.0_ National Research Policy, Resources, and Data
3.0: University-Government-Industry Relationihips
in Research.

15: RESOURCE ALLOCATION-AND-BUDGETING

1.0 Budgetary Theory and Practice
1.1 General
1.2 tate Budgetary Process
1.3 Pederal Budgetary Process
2.0 Formula Budgeting
4.0 Zero-Based Budgeting

30
 16: STUDENT CHARACTERISTICS AND DEVELOPMENT
1:0 Development Studies
`1.1 Impact of Institutional Characteristics.
1.2 Impact of Individual Institutions %.
1.3 General Development Studies
2.0 Descriptive Studies
3.0 Data Sources

17: STUDENT FINANCIAL ASSISTANCE

. 1.0 Governmental Policies
2.0 Student Loans
%sae 3.0 GoVernance, Administration, aid Delivery of
Student Aid
4:0 Special Types and Recipients of Aid
5.0 Statistical Studies and References
il
6.0 Cross-National Comparisons

18: WORK AND EDUCATION

1.0 Career DeOelopment
2.0 Career Education
3.0 Job-Related Outcomss of Higher Education
4.0 The credentiatng N4w
5,0 The Job Market for Ph.D.'s
6.0 Forecasting .

7.0 Basic Data Sources

VOLUME II
19: ADMISSION/ARTICULATION/RETENTION
1.0 Admission and Articulation
2.0 Retention/Attrition
Ole

20: BUSINESS ADMINISTRATION

1.0 Accounting ,

1.1 General
1.2 Financial Reporting.
1.3 Auditing
1.4. Grants and Contracts
1.5 Student Aid

31 *41
114

Administration
. '2.1 General
- 2.2 Personal ,

2.3 Legal
3.0 'Asset Management
.

3.1 Investment Management.

3'.2 Purchasing
3:3 Risk Management and Insurance

CAMPUS AND BUILDING PLANNING

1.0 Planning Issues and ResourciAllocatidn,"
Environmental [skies
3.0 Facility T;pes

22: COMMUNITY COLLEGES

1.0 Institutional Characteristics
I. I Role, Mission, Philosophy'
1.2 Governance and Administration
1.3 Finance
2.0 Personnel .

2.1 Staff Characteristics and Preparation

2.2 Students
3.0 Functions CI

-3. I Academic Transfer and Occupational Education

3.2 Student Development
3.3 Community and Continuing Education

23: COMPUTING SERVICES

1.0 Role and.Scope.of Computing
I
2.0 Organizing and Managing the CoMputer Function -
2.1 Management Issues
2.2 Allocation and Pricing
2.3 Networks
3.0 Use of Computers in Instruction
4.0 Use of Computer's in Research -

5.0 Administrative and Library Data Processing'

34
24: CURRICULUM
I .0 General Overviews of College Influences on Student
- Learning --
I. I General Syntheses of Research and Theory
1.2 Special Focus and Folkiwup Studies
2.0 .Curricular Design and Course Content
2. I Historical Reviews
2.2 Professional and Vocational Preparation
2.3 Curricular Change and Reform
3.0 The Ridden Curriculum and the Extracurriculums
3. L The Hidden Curriculum
3.2 TheExtracurriculums

25: EDUCATIONAL COMMUNICATION

.
AND TECHNOLOGY
1.0 Theory, Research, and Issues
2.0 Trends r
3,.0 Instructional Design and Development
4.0 Computerization and Automationof Instruction
5.0 Standards and Guidelines -
6.0 Data Sources

26: FACULTY
1.0 .Characteristics
,
2.0 Staffing
2. I Supply and Demand
2.2 Reductions and Retrenchments
.3 Tenure
2.4 Retirement
2.5 Discrimination and. Affirmative Action
3.0 Performance
1 I Assessment and Rewards
3.2 Professional Development
4.0 Governance
4. 1 Participation iriDecisionmaking
4.2 Legal Issues
4.3 Impact of Unionization
27: HEALTH SCIENCE EDUCATION
1.0 General
2.0 The Disciplines
2.1 Medicine
2.2 Dentistry
2.3 Nursing
2.4 Pharmacy
2.5 Allied Health Professions
3.0 Health Manpower Issues
4.0 Management and Economics
.5.0 Administration of the Academic Health Center

28: INSTITUTIONAL ADVANCEMENT' (PUBLIC AFFAIRS)

1.0 Institutional Advanceinent Program: Integrated
Approach
1.1 Philosophy, Organization, and Administration,
1.2 Role of the President
2.0 Public Relations
2.1 'Managing the Public Relations Program
2.2 Internal Communication
2.3 External/Media Relations and Special Events
3.0 Fundraising (Developinent)
3.1 General/Organization and Administration
3.2 Annual Giving
3.3 Capital Campaigns.,
3.4 Deferred or Planned Giving
3.5 Foundation Relations/Corporate Support
4.0 Alumni. Relations
4.1 General
4.2 The Profession
4.3 Organization and Administration.
4.4 Services
5.0 Government Relations
5.1 General/Organization and Administration r

5.2 'State and Local Government Relations

5.3 Federal Government Relations

xxxv
 6.0 Communication's
6.I General
6.2 Periodic and Non-Periodic Publications
6.3 Direct Mail .v
6.4 Audio-Visual Communicatias
441

29: INSTITUTIONAL FINANCING AND BUbGETING

1.0 Financing ,
1.1 Economics and.Financing
1.2 Financing Sources
7

' 1.3 Program Costs

2.0 Budgeting .

2.'1 The Budget

2.2 ,Budgeting Processes and Systems
.2.3 Resource Allocation and Reallocation
2.4 Efficiency and Effectiveness
2.5 Methodology: Computer -Based Modeling
and Planning Strategies

30: INSTITUTIONAL MANAGEMENT

1.0 Overview
2.0 Staffing
:3.0e Directing and Controlling

31: INSTITUTIONAL PLANNING, STUDIES,

AND ANALYSES
1.0 Instittitional PlanningA General/Overall Pnicess
2.0 Institutional Goals
3.0 Institutional Analysis and Information for Planning

LEADERSHIP AND THE PRESIDENCY

1.0 Concepts in Organizational Leadership
2.0 The Presidency As Influenced by Institutional
Environment, Personal Qualities, and Styles
3.0 Leadership in Action

35
33: I,IpRARIES
Administrative Systems and Procedures.
i .0
2.0 Management of Human Resources
3.0 Organizational Change .

4.0 Interinstitutional Cooperation

5.0 Crollection Management
6.0. Public Service
7.0 Bibliographic Control

34: LIFELONG LEARNING

1.0 General
2.0 , Adult Development and Learning.
3.0 Planning and Mtinagement
4.0 Teaching and Learning
.0 Crediting Noncollegiate Learning
. "6.0 Counsiling and Information Services,
7.0 Informition Sources for Planners

35: PRIVATE CAREER SCHOOLS

1.0 Comparison with Nellie/Nonprofits
12.0 .State Agency Reports
3.0 The Institutions and Their Students
4.0 Operating_a Private Career School
5.0 General

' 36: SPACE MANAGEMEW AND PROJECTION

1.0 Data Collection and Analysis -
. 1..1. General
1.2 :Inventory t.
1.3 Utilization .

1.4 ProjectiOn
0 1.5 Statistical Information
2.0 Specific Space Management Considerations
2.1 Energy Conservation
2.2 AcCes; for Handicapped
2.3 Obsolescence Studies
2.4 Building Costs:Life Costs, and Maintenance

if -

3
37: STUDENT AFFAIRS
1.0 General Iisues
2.0 Career Development and Counseling
3:0 Student Residential Life.
4.0 Student Rights
5.0 Student Health Services
6.0, Student Athletics

3g: TEACHING AND LEARNING

1.0 Teaching
2.0 Learning
3.0 Students and Teachers
.4.0 InstruCtional Support and Development -a

or
0

!imperative National Systenis

Burton R. Clark

Each country organizes its national system of higher education

differently. The basic educational and governmental structures
determine the degree of planning, who plans and for what organiza-
tion, and where the power, is located to turn plans into polikies and
then implement the policies. Some countries have a single nation-
alized system with one sector; others have a single system with
multiple sectors: In still other cases, there are divisions of educa-
tional authority- between national and provincial/state levels of
-government; control in this kind of structure commonly originatei at
in
the provincial level, although national bodies have gained power
recent decades. Lastly, some systems,have major private sectors as
welt as public ones.
Planning is shaped accordingly, taking place where the primary
coordinating power is located. This means that planning may be
national and unitary, as in Sweden; national.and plural, as in France;
essentially provincial, as in Canada; or even extensively fragmented,'
as in the-United States. In the United States we have a mixture of
autonomous private control, state control, and now even some
Federal control in the form of various routes of departmental and
bureaucratic, funding.
.

8'
 COMPARAT1VE.NATIONAL SYSTEMS

The major components of this topic are those studies thaLillu-

minate the similarities and differences, among the basic. organiza-
tional forms of various countries, and those that show directly, or
suggest indirectly, how the primary structures shape planning. The
volumes annotated review the effectiveness of recent trends and
reforms in higher education among various nations. They also
examine how such factors as market behavior, political climate, and
the disObtftioin(power affect higher education planning.
UBIderitanding other national structures can give us fresh
perspectives on our own planning problems, capabilities, and limita-
tions. Broad studies of national E:Items are °more useful than those
of narrow and specific educational plans. Moreover, the few studies
of specific-plans that- are available generally lack,contextuardetail
and a comparative framework. Therefore, most of the selections are
national-system ssiklies in which planning is discussed in the context
of basic organization.

1:0 Comparative Nadonal Systems

1:0/80-1
University and Government in Mexico: Autonomy in an Author-
itarian System, Daniel C.. Levy, 173 pp. (Praeger Publishers, New
York). ,

Recent literature on educational policymaking indicates 'a,. cross-

national trend toward greater government control of univeristies. This
work focuses on the -degree -Of control in Mexico, country normally
stuclied by political scientists as a case of authoritarian rule.
Levy, a political scientist, examines several forms .of control.
Economic control is measured by such factors as the use of allocations as
an instrument of control and the attempts of the government to impose
tuilion-loan schemes. Through an indepth.analysis of the financial. bar-
gaining processes and using a variety of statistical tests, the author shows
limited effects of government financing On university mitonomy.Adminis-
trative control is measured by such factors as the power. to appoint the
rector, the territorial integrity of ithe campus, and the degree of academic
freedom..
The author finds, overall, that institutional autonomy is far stronger in
'Mexico than usually supposed, and not in keeping with the strong hier-
archical control. suggested by the broad label of authoritarianism. The
government and university have establishc4 a modus vivendi based on,
militia! dependence. The government concentrates far more on satisfying
demands than on imposing its wishes. Hence, in the authoes judgment, a
"reconciliation" model far better approximates Mexican government-
1

2-
 COMPARATIVE NATIONAL SYSTEMS 110

Planning is affected
university relations than- an authoritarian model.
of the universities: the
accordingly, subject to the established powers
and the over-
rigidities and limited capabilities of governmr,ntal bureaus,
of higher, educe-
whelming weight of continuing budgetary commitments
education, Levy concludes,
tion. The political economy of Mexican higher
confines planning to
makei policy largely a response to demands and
incremental, marginal. decisions.

1:0/80-2.-
Tony Becher and
Process and Structure_ in Higher Education,
Ltd.,
Maurice Kogan, 222 pp. (Heinemann Educational:Books
London). overview of -the-British
This rigorously systematic effort to give an
perspective that, will
system of higher education attempts to develop a
everywhere.
Clarify basic properties and interconnections of such systems
arity across time in the Britislikystern
The authors explore points of,i
steinsparticularly other decentralized
and, hopefully, across national
emphasizes four structural levels: the
ones. They present a model
authority. They .then
individual, the basic unit, the institution, and central
normative, which involves.
divide each structural level into two aspects: the
the operational, which
the monitoring and maintenance of values; and
involves carrying out practical taskikThe result is an eight-cell matrix.
British' system since
After an historical discussion of changes in the
four successive chapters,.
.1945, the book takes up the structural levels in
and the operational.
using the analytical distinction between the. normative
driving the, operational.. In A
In the main, the authors see the normative
chapteron initiating and adapting to change, they portray change at all
and orientations, thereby
levels priMarily coming about from altered values
phase with one another.
putting the normative and the operational out of
overlooked in
The authors draw the fascinating conclusion, widely
for change
American thinking, that whatever the initial pressures
of change
originating .outside or inside the systemthe crucial processes
:
resilience of
are localized and specific. They also. emphasize the great
implementing planned
existing structural constraints and the difficultiew:of
constraints on
changes' from the top down. They conclude: "The main
the way the
change are social, not psychological: they depend more on
stand that its individual members
system operates than on the particular
choose to take."

40
 COMPARATIVE NATIONAL SYSTEMS

1:0180-3
The Politics of Higher Education in a,Comparative Perspective:
France, Sweden, United, Kingdom, Rune Premfoys, 260 p
(Department of Political Science, University of StOckhOlm
'Stockholm, Swecten).. .

Emphasizing developments during the 1960's and 1970's, this ,book

compares the national politics.of higher education in France; Sweden, and
the United" Kingdom. It seeks to build on and bring together the two
'different research traditions of comparative public policy (mainly practiced
try political scientists) and comparative higtra education (a younger and
more Interdisciplinary '
The five central empirical chapters fist consider the importance of
higher education in the political agendas of the three countries, and then
investigate, four .policy .dimensions: governance, size, structure, and
access. In each area, Premfors analyzes the ,contents of policy, its determi-
nants, and its r implementation' and effects. The concluding chapter,
`Towards a Pynamic View. of Higher Education Politic* generalizes
about the relation of policy to power, ideology and culture, economics and
demographics, prev,ious policy, organization; and markets.
The study is outstanding in its combination of theory, close empirical
. investigation of the 'caso-study sort, cross - national comparison, and sig-
nificant conclusions for Bicory and practice. The concluding chapter alone
"is worth the price of admission," shot through with one insightful
comment after another. For example, Premfors shows lhe great constraint
of past. and present policy on new policy, dramatizing for the higher
education sector the idea of "policy inheritances." The interdependence
between different policy measures is increasing rapidly in modern states,
stemming from both the absolute growth of the public .sector and the'
increasing organizational density- of sectors within it. hi short,- to parae
phrase Aaron Wildaysky, policy increasingly.pecoines its own cause.
As-a second and related example, Premfors' research is convincing
also in the determination of central policymaking by the nature of
academic organization, particularly when work i Quanized around many
specialized disciplines. Here tre' links this concept effectively, to the
organizational concepts developed in the last decade by James C. March,
J. Victor Baldridge, Burton R. Clark,' and others. Premfors also out
that while economic and demographic development's may be said to affect_
policy, they typically do so in an indirect and mediated fashion: they work
their way thiough the funnels of politics and ideological trends and are
reshaped according to responses dictated by existing policy and
organization..
Anyone who studiei closely this sophisticated published Ph.D. disser-`'
tation will come but considerably smarter about higher education politics.
and policy in his or her own country. The book is exciting testimony on the

41
 COMPARATIVE NATIONAL SYSTEMS i 110

kinds of knowledge and insight that can. now be added by sstematic

comparativists in the realm of higher education.

1:0/79 -1
Changes' in the Japanese University: A Comparative Pens*:
live, William K. Cummings, Ikuo Amano, and Kazuyuki Kitamtira,
eds. , 2611)p. (Praeger Publishers, New York).
This volunie is a revised and extended collection of papers originally
presented at.a 1976 conference in Tokyo. Its 12 chapters cover a range of
topics including the .governance, organization, and performance of
Japanese higher education: historical development, problems of expansion
and equality, finance, graduate employment, internal university structure,
nature of the Japanese academic profession (including lets productivity), the
studen the internationalizing of Japanese -higher education
(involv i crucial problem of "westernization"), and comparison of
the Japanese withother major national systems. -

In addition to the fOreword by Michio Nagai,ithe best-known writer

on the Japanese system, the articles were prepared by such prominent
Japanese experts as lkuo Amino, Tetsuya Kobayashi, Kazuyuki Kitaniura;
Michiya Shimbori, and Molikazu Ushiogi4 and by: several American
special ihterest
Observers,' including. William K. Cummings. Chapters of
are one by AlTjancl, on the historical formation of the modern Japanese
system, which reveals the roots of present day' diversity, moth& by
Ushiogi, which makes the point, more clearly than has been made else-
where, that the numerous graduates of mass higher education cannot all.
enter the positions traditionally conlidered appropriate but will and must
enter also into clerical, sales, and -manual jobs. ;A concluding chapter by
Burton R. Clark compares the differentiation 'and coordination of the
Japanese system with other major national systems.
The mixture of European, American, and uniquely Japanese chime-
' teristisp, the rapid move into more accessible and
higher education, the
the problems of gOvern-
diversigy Of public and private institutions,
_ mental finance, supervision, and planning, all make the Japanese system
1 -fascinating. ,This book, the best statement in English on the Japanese
system, provides much information and some insight that aid in bringing
this major system into cross-national comparisons that, among other
returns, give us fresh perspectives on higher education in the United States.

1:0/79-2
Funding Higher Education: A Six-Nation Analysis, Lyman A.
Glenny, ed. 235 pp. (Prtieger Publishers, New York).
This book describes and compares practices and technologies for
allocating funds to higher education institutions in France, Sweden, Italy,
-5

I 42
 1 COMPARATIVE NATIONAL SYSTEMS

Spain, Greece, and the United States, and suggests some reasons for the
'04 similarities differences.
-11ie 1 is intended tor layitersons as well as.educationsil plininers
and policynialders around the world. The five European case studies were
*prepared- by native scholars--two by political scientists, two by econo-
mists, and one by a sociologistroughly following a common outline
prepared by Glenny and based..oln his earlier work on the United' States: An
introductory chaplet by. Glermy defines the task, and his two concluding
chapters take up the wider political and social settings for budget formula:-
tion and the,influences exerted by students and faculty, such as student
asiglatiogis and the ways in which faculty are paid,. ranked, and given job
security.
Each, case /study, distinct and interesting, can be read for its own
value. But the tnost rewarding comments, especially for Americans, are
foUnd in Gknny's chapters: For exaniple, he early states that "much of the
money going to disciplines, chairs, or departments within institutions in
the European countries bypasses the institution as an administrative unit.
'9--_Rather, funds l central atate.agencies go directlyso professors or to
internal units; %fa t considering any institutional pdsition on the sub-
jest :" The European-type structure also integrates the faculty into the
national civil service, thus removing faculty salaries and benefits almost
completely from budgetary control. Hence, "what the institutional budget
consists of amotmis to about twenty Percent of the U.S. college or univer-
sity budget, what in the United States is called supplies and equipment,
buildings, grounds, and maintenance"an astonishing difference. .

There ii ample reason tolhink that this general. European structure

greatly hinders the creation of new centers of excellence and reduces the
leeway and incentive forvinstitutions to improve themselves. These major
differences in outcomes indicate anew how, much the basic, structure of a
national system influences its processes anil de,velopment.

1:0/79 -3
Social Origins of Educational Systeins, Margaret S. Archer, 815
pp. (Sage Publications Ltd., London). .

This huge volume is .or of the major contributions of the last decade
to the sociology of education. Its aim is "to provide a theoretical frame-
work which will account for the major chpicteristics of national education
and the principal changes that such systems have undergone." Toward that
'end, Archer uses current sociological thedry to develop her own way of
thinking about educatiohal systems. Using considerable historical detail,
she compares the educational systems of four countriet -England,
Denmark, France, and. Russiain order to learn how modern orgaiiiied
systems emerged in those cases where emergence was not the result of
foreign domination.
O

43
 :COMPARATIVE NATIONAL SYSTEMS idi
Part, One is devoted to this effort, focusing on why England and
Denmar)c developed decentralized systems while Ranee and Russia went
the route of centralizatiOd. Part Two examines the separate question of how
these systems, once firmly id place, have maintained themselves add
changed down to the present time.
Archer, a macro-organizational sociologist, believes that existing
social structures and, related interactions guide change, first in' society in
general through the educational system and then by solidifying the system
itself. In the latter respect,, the basic principle is simple: "Once a given
form of education exists it exerts an influence on future educational
chanr." She believes that by studying the extent and form of that influ-
ence, we arrivest a systematic way of approaching change and connecting
.
it to basil features of a system. .

The book is overwritten, muddied with long detours in sociological

theorizing, and difficult to penetrate. (bne chapter is over 200ages long
and has 381 footnotes!) Also,' the volume is about educational systems
generally and not higher education per se. But it is worth some time and
thought by higher education administratori and other quick .readers, as well
as by scholars who maybe able to. devote months to its mastery. Crucial
are the sections in the last chapter devoted to "stop-go" change in cen-
tralized systems and incremental change in decentralized systems. Having
detected incremental adjustment in England and ,Denmark, one wonders
how much more incrementalipm she would have found in the United
States.
Archer concludes on 'a note of nonconvergence: once in place, cen- .

tralized systems remain centralized, and decentralized syrtems tend to

remain decenttalized. This conclusion may provide. some .cheer 'to those
Arhericans worried abOut the increasing centralization of our own
system(s) at state and national levels.

1:0/78-1
12 Systems of Higher Education: 6 Decisive Issues, Clark Kerr,
John D. Millett, Burton IL Clark, Brian MacArthur, and Howard R.
Bown, 181 pp. (International Council fOr Educational Development;
New York).
This book developed as part of the study of national systems of higher
education in 12 countries carried out between 1975 and 1977 by the Inter-
national Council for Educational Development. Based on reports on\
France, England, West Germany, Swedeti, Poland, Canada, the United
States, Mexico, Japan, Thailand, Australia, and Iran, the present volume
was designed to cut across and summarize the studies. Its six essays by
different-authors compare national systems on basic ,characteristics:.goals
(Clark Kerr); planning and management (John D. Millett).; coordination.
(Burton R. Clark); flexibility and innovation (Brian MacArthur); measure-
7

44
 o

°
COMPARATIVE NATIONAL SYSTEMS.

ments of efficiency. (Howard R. Bowen); and comparative effectiveness

(Clark Kerr). .
The chapters by Millen and Clark are most reevant, to planning.
Millen groups countries in several dichotomiesmonolithic or pluralistic
party systeins, unitary or Federal gOvernmeni structures, developing or
developed economiesas a way of explaining differences observed in the
planning and management of their higher education systems. After ,dis:
cussing the structures found in each country, he concludei that nowhere
among the 12 countries has planning "been particularly outstanding in the
yearssince 1945."
Clark 'places the 12 countries in four types of national- educational
structures., based on unity of control and form. He then suggests four basic
pathways of coordination: the bureaucratic, the political, the professional,
and the market. He concludes that coordination is affected verywhere by
market interaction as-- -well as by state authority, and by. senior professors as'
well as by state officials, and that the task of planning is to understand the
contribution of each of the major forms of coordination and,to encourage a
fruitful balance among them.

1:0/78-2 .

Academic Power: Patterns of Authority in Seven National

Systems. of Higher. Education, John. H: Van de Graaff, Burton R.
Clark, Dorotca Furth, Dietrich Goldschmidt, and. Donald Wheeler
217 pp. (Praeger Publishers, New York).
This book, a 'product of early work done by the Higher Education
Research Group at Yale; analyzek how power is distributed within tlu.
national systems of higher education of West Germany, Italy, France,
Sweden, England, the United States, and Japan. The authors identify six
levels of organization: the lowest operating unit.(department or chair); the
intermediate campus unit (faculty, school, concoct.; the university or inde-
pendent college as a whole; the multi-campusuniversity or college syStem;
the state level; and the national level.
Authority in different areas, of decislomnaking, such as personnel and
finance, is_located by level., and national patterns of authority structure are
identifiede.g., a Etiropeaf mode that has concentrated power histori-
cally at the bottom, in the Chair and at the top in the Ministry, midi weak
campus administration, and an American mode in which trustee and ad-
ministrative authOrity has produced relatively strong campus-level integra-
tion. While 'planing historically has been weak in all seven systems in the
last decade, it has emerged as a strong force in Sweden due to the country's
small size, its cultural homogeneity, and the planning capability patiently
built up in other sectors of government during-the last four decades.
The authors 'conclude that recent reforms in higher education (up to
1975) have strengthened the powers primarily of central and higher levels
8

45
 COMPARATIVE NATIONAL SYSTEMS 1.0
. .

of organization. In two concluding 'chapters, Goldschmidt discusses unique

features of the national patterns and probes the, effects of recent trends and
reforms, and Clark develops. a set o. and concepts that can
help guide future cross-national -research in the administration and gov-
ernance of higher education.. .

1:0/78-3 ,

Systems of Higher Education: France, Alain Bienayme,'.144 ppi

(International Council forEducational Development, New York).
Prepared 'with the financial support and cooperation of the French
Government, this report is part of,* 12-country study of national system?
of higher education cgrried outbetween 1975 and 1777 by the International
-Council for Educational Development.--"Pnly pages 24- tluough 41 -bear
directly on planning, yet-the reponsmeritiattention.
Among the large nations of Western Europe, France is the planning,
state; it has attempted to organize higher edualtion as a national system for
: a century and a halfsince the days of Napoleon=and it has used a
Ministry of education to .do so. Ritional as well as nodem, the French
should be able to plan higher education within a democratic state, if anyone
can.
But ohat do we find? First; various -grandes ecoksan elite sector
separate from the universitiek7haveleen sponsored by diffeient, minis-
tries, dispersing actual control, and making overall cooidinatioll extremely.
difficult. According to the author, recent major reformsincluding _the.
separation of higher education from the old ministry into .a ministry of its
ownhave "in no way" dealt .with the ingrained dispersal, of control..
Second, "France," the author observes, "is also subject to the sule usually
noted in countries which have, a Minister ofhigheieducationl the millions of
pupils and parents in elementary and secondary schools and the hundreds
of thousands of employees and teachers give the minister of education a
political weight which provides the primary and secondary schools 'with -1
decisive advantage over the universities." Third, planning ishogged dmin
, in a struggle for power between 'central officisis' and university personnel
and students. The plans of central staff are almost automatically resisted,
Compromised, and severely attenuated, as in the case of the 1976 regula-
tions that were intended to reduce graduate unemployment and make the
universities more relevant. to the job market. The new regulations had the
effect of provoking 'unexpected hostile from a combined force .of
teachers and students" that led to at least month-long sttikei in over 50
universities. Fouith, while post-1968 reforms have. proclaiined greater
Autonomy for the universities, Bienayme claims that "we can advance with
some confidence the hypothesis that the. real power of the central adminia
tration (over the universities) has been strengthened, and within it,. that of
9

46
 COMPARATIVE NATIONAL SYSTEMS

the director of financial affairs." Finally, public and political respect fOr
the universities is at loW ebb, and the universities are "pervaded by a
feeling of gloom." .

There is little that planners themselves can do to Control the flow of .

events, despite the established powers and competencies of central

_,__,.____government. The politics_of_tiniversity,state_relatAns- basicallydetennine-
what is done.

1:0/78-4
'Systems of. Higher Education: -Canada, Edward Sheffield,
Duncan D; Campbell,- Jeffiey. .Hohnes, B.S. ,Kymlicka, and James
H. Whitelaw, 219. pp, (International __Council-_-for Educational
Development, New York).
This is another of the 12 studies of national systems of higher educa-
tion carried out by investigators in their hOme countries between.1975 and
19771ur part of a general study organized by the International Council for
Educational Development. The book contains four chapters prepaned.by
different experts covering Canada's 10 provincial systemsthe Atlantic
provinces (Newfoundland, Prince Edward. Island, Nova Scotia, and New
Brunswick), Quebec, Ontario"- and the Western provinces (Manitoba,
'Saskatchewan, Alberta, and British Columbikand introductory and
concluding 'chapters by Edward Sheffield. Planning at provincial and
regional levels is discussed in each chapter. _ _

Sheffield shows.the extent to which the Canadians have reversed the

trend toward the domination of education bb_ the national government
evident elsewhere in the world and found in Canada during the period of
direct fedeial aid to higher education between 1951 and 1976). Federal aid -''
js now quite indirect: Canada has entered "an era of provincial systems."
The "state of federal-provincial.relations" is,the key, making the central
'government much less infhiential in higher education than its potential,
power. would. suggest. At the rvincial level, the organization of higher
edycation varies considerably, Quebec and Alberta being `..inost -charac-
terized by the planning process."
In Sheffield's judgment, "planning for higher education in Canada is
inadequate at all levelsinstitutional, .provincial, national. Such
information systems as exist tend to be both' complex and burdensome.
Projections, e.g:, of enrollment, are undertaken spasmodically rather than
regularly. Too much planning is for the local scene and the immediate
future." He concludes, however,- that decentralization has enabled
Canadian higher education to,respond to regionaLneeds, and, in spite of
structural shortcomings, the overall enterprise "serves Canada tolerably
well."
 COMPARATIVE NATIONAL SYSTEMS 1 80

1:0/78-5
Systems of,Higher Education, Sweden, Rune Premfors and licit!
ostergren, 208 pp. (International Council for Educational Develop-
ment, New York).
This study, prepared with die support of the Swedish National Board
of Universities and Colleges, is part of the 12-country study of national
syitems of higher education carried out betWeen 1975 and '1977 by the
International Council for Educational Development. The report is 06
ganized intO three topics: design and goals of the Swedish system, with
chapters on background, structure, and goals; management of the system,
with chapters on planning, administration, and autonomy; an' effective-
ness, with chapters on social effectiveness, innovative effectiveness, and
efficiency. ;

Of all 'the systems in Western-Europe, Sweden's small; 'nationally

unified system of higher education has perhaps undergone the most change
since 1960especially planned change. Sweden has long,been oriented to
democratic planning; the term planning, the authors Point out, has positive ,

connotations, and over the decades, govenunent buieaus have evolved

planning capacity. °Ministerial planning is very closely linked4o budgetary r1

worked to the political procesi. Deep-probingand future-oriented policy

analysis is largely delegated to ad hoc commissions and to central agencies
that operate at a second level beneath the cabinet ministries. Numerous
commissions, specific and comprehensive; have appeared in the field of
education, and they have "adhered to a tradition in educational policy- .

making in- Sweden -[of a) close relationship between educational planners

and educational research." In the case of the famous "U68" commission,
which covered all postsecondary educatiOn, almost 200 experts, were
involved in its work during its existence between. 1968 and 19741 The
specific agency responsible for higher education, recently renamed the
National Bo of University and Colleges; is staffed by civil servants and
operates m do parts of the national ministry of edUcation in other
countries. ork involves "rolling planning," a continuously renewed
and revised planning for the ensuing 3 or 5 years. With all this going on at
the top of the System, the authors point that "there has until recently been
few things to plan on the part of institutions: central regulations have bieh
too tight to permit the kind of. decisionmaking competence which makes
local planning meaningful."
The most notable point in this useful study is the authors' emphasivion
the growing control of bureaucrats, politicians, and outside interest groups,
in contrast to the influence of academics. High-level civil servants have
become more influentialin more areas of decisionmaking; politicians enter
the decisionmaking bodies increasingly at regional and local as well as
national levels; and, strikingly, organized interest groups, especially those,
of labor and business, are increasingly included through fcrmalrepre nta-
.

48
 COMPARATIVE NATIONAL SYSTEMS

tion in decisionritaking bodiesa form of democratic corporatiim.. And

corporatism is becoming the Swedish version of 10 control. Thus, plan-
ning is increasingly carriedout in the context of intersecting bureaucratic,
- political, and corporatist relations.

1:0/78-6 . .

. Systems of Higher 'Education: Mistrals, Bruce Williams, 93 pp.

(International Council for Educational Development, Nevi York).
This. study, by the ViceriCbancellor.(chief officer) of the University of
Sydney, is part of the 12-country study of national systems of higher
education carried out-between 1975 and 1977 by the International Council
for Educational.Development.The report is organized into five topics: the
design' of the Australian system; its objectives; federal and state influences;
planning and management; and effectiveness. The author -describes the
division of "tertiary education; in Australia into three sectors (uni-
versities, colleges of advanced education, and colleges of technical and
further education) and the division. of powers 'between the national.
government and the six states. Constitutionally and historically, control
has rested with the states, but on .the &lois of the power to make financial
grants to the states, the' Commonwealth government has greatly increased
its role. In 1977 it contributed 80 percent' of the budget.
The author's review of the growth of system planning at state and
national levels indicates considerk variation at the state 'level, a great
amount of Change, occurring_iasetlent yeart at the national.level, and a
_currentpictureofunsettled arrangements. In contrast to continental Europe
and the %Inked States, Australia uses commissions abundantly in system ..
. planning and_ coordination; borrowing this mode froM...Ve University_
.

Grants Coriunittee in Great Britain. ,In Australia, co_mmisiions came into

existence at the national level far all three rectors of tertiary education; and
boards, designed to play a similar buffer role between government and
institutions, were created at the state level for the first two sectors. Tlf
planning process has become intricatejnvolving porical and bureaucratic
officials at the two levels of government, the members and staffs of the
. -many commissions,-and. the institutiOnal -representatives. The effort to
clear .'up confusion and to, provide planned coordination led in 1977 to a
new Tertiary Education Commission at the national level, with.thc former
national commissions of the three sectors redesignated' as subordinate
councils.
In a short chapter on "Planning and Management," the author lists a
number of interesting features of Australian planning:. the use of rolling
triennial programming; the distinction between a real plan and a financial
plan; and the systematic visitation of commissions to instituticks.. Most
interesting are the traditions and structures of government and education
that have fathered the procedures, given Ahem meaning., and made them
_12
 COMPARATIVE NATIONAL SYSTEMS 110

effective. The author points out that ,Auitralia hai "an open' form of
planning that [hasj depended for its continued success on committees; of
inquiry to consider major issues and the publication of reports." The
institutions typically feet that they are under a "form of iterative planing in
which they are closely involved." .
The Australian .framework for planning is one of relatively small-scale
Organization, close contact among interested parties, and a tradition that
independent inquiry by special committee will precede major Ministerial
dec is ions .
0

1:0/78-7
Systems of Higher Education: Japan, Katsuya Narita; 142 pp...
(InternatiOnal Council for Eduditional Development, New York).
Katsuya Narita is a director of research -in -the Japanese National
/ Institute for Educational Research: His report was sponsored by the
Japanese governme4it and is part of the :12-country study of national sys-
tems of higher education, carried out between 1975 and 1977 by the Inter-
national Countil for Educational Development. The three major sections of .

the. report describe the historical' background and present structure' of the
Japanese 'system; its government and management (including politiei for
planning), and its effectiveness.
The authoF presents many lof the difficulties of planning in the
Japanese system, which is large and; diverse. It is made 'up of private as
well as public institutions,. municipally supported as as nationally
supported institutions, and community. and \.year_ colleges as well as
universities. Whereas the United States moved into mass highereducation
largely by expanding the public sectors, J did: so by expanding the
private sector. Seventy-flve percent of its inn lions are now private and
,encompass 77 percent of the students,. Narita says flatly: "The rapid
development of mass higher education in 'modern Japan would mot have
been possible without the private sector." The public sector, dominated by
the Universities of TOkyo and Kyoto; has been selective and 'rigid; modeled
on .theiEdropean mode of Chair (instead of Department) organization; it is
devoted to the ideals and standards of the .research.uniifersity. Private
institutions, on the other hand, are the dynamic element i ansion by
operating in a market of high consumer demand. 0

The author discusses the efforts of Japanese authoritie since the late
1960's to plan and control the-.general direction of thisimassiv ystem and
to raise standards in the private sector. With these ends in vie , yrious
major committees have been at work to devise a national master plan:
gOvernmental organs have been reorganized and major laws enacted, the
most important of which provide increasing government subsidies for
private institutions toward a target of contributing 50 percent of operating
costs. With this' increased government aid have comeguidelinei and rules
13 -
 .
:
COMPARATIVE NATIONAL SYSTEMS

on what these institutions can and cannot do. interestingly,: the author
points out that' the gOvernment has established three broad planning.
categories: Objectives that must be "achieved as governmental oblige-
lions"; those that should be "induced by the government"; and those that
should be "initiated freely."
The author maintains that the results of recent efforts to increase
planned coordination are still unclear since:these results have been piece-
meal and incremental, tether than global. Institutional °initiation and
imitation have remained more powerful than centrally controlled chinge.
Instiboions Icitoiv that their reputations depend on fidelity to certain Oaf-
tional course arrangements and standards. ,"Here lies the main lesson
behind the uniformity and rigidity in curricular structure which is charac-
teristic of the Japanese system of higher education."

1:0178-8
Systems of Higher Education: Federal Republic of Germany,
Hansgert Peisert and Gerhild Framhein, 204 pp; (International
Council for Educational Development, New York).
This thdrough report, prepared as part of the 1975-77 12-country
study by the 'International Council for Educational Development, is the
best study in English of higher education in West Germany. The German
system, is federal in general structure and hence is sdmetimes grouped with
the Canadian; Australian, and American federal systems' But as a result of
the leading role that the German system played worldwide in the nineteenth
and early twentieth centuries in integrating teaching and research in the
research-centered university, it has had a powellful integrative tradition that
deiPly affects thought within various institutions and individual states. The
Linder (the states) are thereby more integrated than the American states,
even while having quite different political and oultural orientation. Over-
all, the German system is quite different from the American; for example,
there arc no land-grant universities or private .uaiersities, and all the
universities have extensive self-administration by the few professors who
hold chairs:
Institutional, state, and national planning has gradually gaitted in
importance in the West German system during the last decade and a half,.
culminating in a hational 1977 Frame Lawhat makes it obligatory for the
Linder to have comprehensive plans. The national government has steadily
increased its role, wial uniform nationwide developmentin mind. It seeks
a "vertical equalization" of financial burdens as way of helping state-kvel
governments finance higher education. It has also helped to bring about a
partial "horizontal financial equalization between the Lander which
14:

:51
 o ,
1 COMPARATIVE NATIONAL SYSTEMS
.. .

requires the financially. strong Lander to 'make equalization payments to

thoie Linder that are financially weak." An even shaker indicator of. the
'groWing nationalization is a I972..decision by the Federal 'Constitutional
Corn qp admission of students throughout the cquntry, which led to the
creation of a central agency for student placement. This action has placed
secondary schools under great pressure to equalize instruction, grading,
the
and degree reqiIiretrients: "a situation that is to be achieved through
introduction of so-called 'norm books'." Peisert and Frynhein note that
this represents "a centralistic and rigid intervention in the structure of
curricula of secondary schools which . . .'contradicts the federal creed."
West Germany is a good place to study both the positive futcontes
and the boomerang effects of new forms of central allocation and super-
vision and thereby deepen our understanding of how planning relizies to
federalism.

-
1:0/78 -9
Elites in French Society: The Politics of Survival, Ezra N.
Suleiman, 299 pp. (Princeton University Press, Princeton, NJ.).
As. Suleiman states in the Introduction to this outstanding volume,'
"All societies are governed by elites and every society has some means
of
producing its elites. But few societies hive succeeded in institutionalizing
their elite-forming mechanism to quite the degree that France has. One
needs io demonstrate considerable competence before one can acquire
membetp- in France's ekte institutions. But once that competence has
been onstrated at an early ale, it is never again called into question. ".
,
Where is that competence "demonstrated," and where do we find the
and not
central "elite-forming mechanism"? In French higher education,
in the top universities but within a sector of special colleges known as the
grandes &ales, some of which exercise extremely sharp selection. Hence,
this book appropriately centers on these schools.
The first chapter; "State-Created Elites," points out that in France the
state forms the nation's elites and has,. in fact, formed a structure
monopolizing that role. The second chapter, "'lie Basis of Eli:e Forma-
nonelite role
tion: The Universities vs. The Grandes Ecoles," describes the
chapter, "The
of tne first sector and theelite role of the second. The third
of
Sanctity of the Grandes Ecoles," adds significantly to our knowledge
a higher education system may profit at the expense
of
how one p
another and still be protected from reform, "democratization," and
,

French higher
change. In fact, after the turmoil of post-1968 reform in
education, the university sector was further devalued and the key grandes
ecoks made stronger.
Educational structures everywhere accumulate an inertia of their own.
This tendency is made worse when the state exerts excessive control over
A5'
 a 0.

, COMPARATIVE NATIONAL SYSTEMS

education a stubborn paradox for those who believe that greater govern-
mental control increases chances for reform and meaningful change. In the
French case, the graduates of the elite sector of higher edUcation occupy
top posts in govenunontknd, increalingly, private industry. They are not
about to dismantle the mechanism;thiti, in their view, serves the natian so
well. So "indispensable" are th'eg,andes kolei that even changesim party .
control of the government do not matter. - I
" Suleiman's research proVides fascinating bieieground foci Oinking
about the pros and cons of concentrated selection.; fraining,-and placement
in higher education. In the French case,-efficiency and merit are well-
served, equality and diffusion of power are t.

1:0/77-1
Systems of Higher Education:. United Kingdom, Tony Becher,
Jack Embling, and Mauricc Kogan, 158 pp. (International Council
for. Educational Development, New York).
' This important book, written by three eminent British authorities, was
prepared as part of the I2-country study of national systems of higher
education carried out between 1975 and 1977 by the International Council
for Educational Development. The study is organized in three major pans:
the structure and purpose of the British system of higher education; the
government and management of the system; and the system's effectiveness.,
The authors cogently locate planning within the context of the
elaborate and subtle structure of British higher education.- They - state -that-
central departments of education in England and Wales, Scotland,. and
Northern Ireland are engaged in "a complex set of relationships" with the
universities abd. colleges, "which ultimately add up to a planning function
exercised nationally." The drift of power, especially since the mitt- 1960's,
hai been toward central bodies, with the central government asserting "its
O

rights to determine higher education policy in response to short-term

economic planning administered by the central government departments
within the Treasury network."
Of special note has been the changing role of the University Grant
Committee (UGC), which froin its creation in 1920 to the mid-1960's
stood as a free, relatively-autonomous body between the Treasury and the
universities, The :UGC had provided the world, with a model of how
academics serving on a "buffer" commission could take government
money without coming under regulation by government officials. In the
last decade, however, the UGC has been formally placed under the
Department of Education and Science (DES). The authors note ttiat the
UGC now "has to follow the planning framework established by the
DES," and they point to specific avenues-along which the DES and the
UGC between them have been developing planning florins and regulations.

16

53 -
 COMPARATIVE NATIONAL SYSTEMS 1 le

Recognizing that there is some current political interest in' Britain in

bringing al, institutions of higher education under a single management
system, the authors express concern 'about the possible losses brought
about by centralization. They note that an academic system operates on
"-`the principle of preserving the initiatives of its prime academic elements,
whether these be schools of study, course teams, or conventional subject
departments.7 The present structure is actually a IQose network of small
enterprises, each built around a marketlible specialty. Therefore, they
conclude; irtnikes more sense to develop 4 "craft Cooperative" approach
to accountability rather than to continue "with the uncomfortable business
of ti' iii.to Use.:the 'large corporation' analogue in a situation where the
model; or the subject matter, or both, have to be seriously distorted to
achieve anything at all."

1:0/77-2 .

Innovations and Innovative Processes in Higher Education,

Barbro Berg and Bertil Ostergren, 157 pp. (National Board of
UnNers.ities and Colleges, Stockholm, Sweden).
Thik book is an English translation of the third of four reports on a
study of &ticational planning conducted between 1974 and 1977 by the
Office of thhancellor of the Swedish Universities (reorganized and
renamed in 1977.as the National Board of Universities and Colleges).. The
entire study was intended "as a clinical examin,otiented toward, the
charting of dysfunctions in. governance, planning,ind organization of
higher education, with primary emphasis °on two Criteria, namely' effec-
tiveness-and innovation capability." .

This particular .report on innovation contains two parts: a briefly-

reviewed questionnaire study of educational changes and a group of seven
case studies of processes of innovation. The authors attempt to integrate
t 'r case studies into a theoretical framework by drawing particularly
on'
0
he field theory of Kurt Lewin.
Front the questionnaire study, the authors conclude that wbere3hre
has been a long - standing dependency on superior authorities, institutions
. are unlikely to initiate innovations. They suggest an inverse relation
between central-control (and planning) and innovative capability in the
operating units. Based on thescase studies, the Swedish investigators argue
against the usual preoccupation of innovation researchers with establishing
a general theory of innovation. Instead, 'they see explanatory models. as
dependent on the charafter of both the innovation and the system. The
Main characteristics of the system that should be probed are membership
structure, ideology, technology, organizational structure, and relations to
the outside world. In this regard, they maintain that universities possess
characteristics that 4istinguish them from other organizations. For
17
p
5
 COMPARATIVE NATIONAL SYSTEMS

exalnple, the most iinportitnt membership groups consist of teachers and

researchers organized in subsystems according w disciplines, with
competence 4i,d professional identity noted in individual disciplines. This
affects ideology; organizational structure, and all ()thyr primary
characteristics.
The authors also make a useful distinction between innovations that
are bonsistent with the systemi.e., in agreement with its existing main
chara'cteristicsand.those that are divergent from the system. They then
conclude that Mhereas innovation 'researchers generally regard the innova-
tion process as .a diffusion or information process, they should more
properly regard it as a politica; process, especially where innovations
diverge from the system.
This brief report is an excellent example of the important international
contributions Swedish researchers are, making to the understanding of
higher education. Their, findings and perspectives provide significant
insights into the complexities and unique features of systems of higher
education and the limits of central planning-. -Much opinion in Sweden has
recently :swung-in faYor of decentralization, in part because centralization
is viewed as obstructing 'the diversity, flexibility, and innovative effective-
nesi that are becoming more and more necessary. If implemented, the ,
Swedish effort in deliberate decentralization will be an experiment in
planing for unplanned change.

1:0/77-3
Acadeinic Power in 'Italy: Bureaucracy and Oligarchy in a
Nitional 'University System, Burton R. Clark, 205 pp. (University
.° of Chicago Press, Illinois).
This study analyzes the way in which power is exercised-in a national
system organized according to a single institutional ,fOrtn the national
university) and under the control of a single bureau (the ministry of
education).
The first chapter describes the development of Italian universities over
eight centuries, identifies the universities themselves-and their faculties,
and poses the problems of system making. Chapters 2 and 3 describe the
relatively weak bureaucratic means of coordination that have developed
and the relatively strong oligarchical means of linkage and dominance,
which have given senior professors great power nationally as well as
. locally. Chapter reviews the Italians' efforts since 1960 to reform their
system. Arid Chapter 5 reasserts the concept of the guild as a way of
understanding the nature and strength of personal and collegial authority in
academic systems in many countries.
The author emphasizes the high degree to which planning is shaped by
the academic and political context in which it takes place. A centralized
18_ _

55
 COMPARATIVE NATIONAL SYSTEMS 110

system, ostensibly integrated by a natiatal ministry, might be assumed to

have the capacity to form and implement plans; but this capaCity is weak in
Italy. The academic oligarchs do not watit a separate class of academic
planners; the executive branch is weak (in comparison to France or the
'United States, for example) and offers weak political support for planning;
and the bureaucracy itself is relatively mediocre in initiative and ability. In
this setting, planning is 'diffuse, handled discreetly by diverse academic
bodies, or, in a few cases, by central committees of academic oligarchs.
Change comes about incrementally, and largely through political' action
rather than bureaucratic mandate or, professional control. A\Kntraliaed
formal structure, provides no assurance that planners will be able to ply
their trade.' In the author's view, the substructure of academic life, rooted
in the way that universities and faculties are organized, undoubtedly has
great monientum and influence in (determining what is done in Italy* as
well as in many other countries.

1:0/774
The Politics of Higher Education in Brazils Jerry Haar, 722 pp.
(Praeger Publishers, New York).
The author set ofit to "examine the formation of public policy re-
garding access to higher education in Brazil from 1964 to 1975, anditol
reveal why, how, and when policy change developed, and the individuals
and groups involved." Brazil the fifth largest nation of the worldhas
pursued modernization under an "authoritarian" regime, which is
nominally in a strong position to plan policies expeditiously and to see that
therare carried out. Brazil has tried to implement planning in higher
education, particularly in the regulation of entry into ibstitutions and the
flow of graduates into the job market.
Haar's central finding is that major planning has not been realized. In
search of appropriate theoretical .understanding, he turned to "disjointed
incrementalisms? as the best way of explaining the Brazilian case. This
theory, by Charles E. Lindblom, an American political economist, holds
that policies that are politically feasible are usually only incrementally or
marginally different from existing policies, and that the policy process is
normally quite disjqinted as various parties move in and out of the action.
Haar applied "the eight states of disjointed incrementalism" to his
findings in the Brazilian structure and determined that seven of the eight
stages applied, ,,despite the great differences in governmental structure
between Brazil Pnd the United States. Choices, even under a centralized
military government, "were made at the margin of the status quo:, only
incremental changes were planned and operationalized." In fact, due to the
heavy weight of tradition in higher education, policy formation in this
sector was "even less inclined to deviate from the status quo." The variety

-19
56
 .COMPARATIVE NATIONAL. SYSTEMS

of policy altematiiles that could be realistically considered was restricted

considerably by thel "nature, structure, vitality, and response capabilities"
of the entrenched reaucracy.
The central di erence between Brazil and the Uhited States regarding
the Lindblom theo is the relative integration of analysis and evaluation in
Brazil compared to ° way it is fragmented throughout American society.
The author conclu that "the rejection of disjointedness [in analysis and
evaluation] is a prim ous course of action. For the absence of independent
Sources to analyze, evaluate, and criticize issues, problems, sand actions
can often result in homogenized and sterile assessment of policy. Pitfalls
and dangers at ti s cannot be anticipated; and innovation, experimenta-
tion, and sound ntingency planning cannot proceed." . .

1:0/76
Ambiguity. and Choice in .Organizations, James G. March and
Johan P. Olsen, 408 pp. (Universitetsforlaget, Bergen, Norway).
In the 17 chapters of this book, March and Olsen interweave lively
and penetrating' theoretiCal discussion with case study reports by 10
authors, including themielves, on decisionmaking in Norwegian, Danish,
and American higher education; The book is devoted largely to decision-
making within institutions, although two case studies concentrate on
national system processes. The theoretical ideas that dominate the book are
potentially useful at both the system and institutional levels of organization.
One Norwegian case study offers a fascinating analysio of how a
national system came to decide on the location of the country's third
medical school. The researcher shows how a shift in the country's general
valuei toward emphasis' m!regional development influenced burelucratic
and professional arguments for Iodating the ,medical school in one city
instead of another. There was a complex connection between "rational
acts" by participants'and the final outcome. The author points out that "an
important precondition for applying the garbage-can model. [of James.
March] to the analysis of more encompassing social structures . . . seems
to be that the different interests or power groups involved are of roughly
comparable strength." A powerful chief or group can clean up a,garbage
can. But the typical situation in higher` education is that power is diffused
among many groups.
The book primarily contributes theoretical arguments that draw
decisionmaking eleory away from the neat logic of traditional models and
toward complicated concepts that are more appropriate for higher educa-
tion, where, in the language of March ahnis associates, organizations
"deal with ambiguitygoals that are unclear, technologies that are
imperfectly understood, histories that are difficult to interpret, and
participants who wander in and out." Although often unclear, the book
20

57
 COMPARATIVE NATIONAL SYSTEMS 10

presents a powerful revisionist argument that is currently under debate by

decisiolunaking theorists. It is a valuable theoretical statement for planners
and administrators in higher education.

1:0/70 .
Bureaucracy and National Planning: A Sociological Case Study
in Mexico, Guy Benveniste, 141 pp. (Praeger, Publishers, New
York).
In this case study, Benveniste exploresthe national pTins ning of educa-
,

tion in Mexico, while attempting, tentative answers to such broad quiestions'

as: "Where, when and how, do planners accrue the power necessary for the
iinplementation of the plans they elaborate? What are the limits on this
' power and,' therefore, what nre the limitations'of any planning exercise?"
He considers all levels of education, focuiing 'the processes rather than
e

the contents of planning.

The author concludes that in Mexico and elsewhere there is a wide
discrepancy between the prevailing theoretical concepts of planning and
the processes that actually 'take place, The processes are inherently
political, involving the accumulation and use of power. Therefore, the
normal picture of impartial, rationai action on the part cf planners in
Mexico is not realized: "the conventional ideology of planning was clearly
dysfunctional to the ongoing process. The fact that planners were not
expected to be organizing coalitions of implementers made their own
search for a 'formula that had a chance 'of being implemented that much
more difficult."
Subceisful planning is heavily dependent, on the "exchanges!' in
,. those transactions necessary to build con-
which planners participate,
sensus and elicit cooperation' from -future -implementers. Such exchanges
are commonly done among relatively small groups of experts and leaders;
hence, the process is not a particularly democratic one, and the intended
beneficiaries are commonly left out. Benveniite interprets both the French
and Mexican student revolts of 1968 as in part a reaction to planning
proeesses that did not allow students much of a voice.
Thus, he _concludes that: "If we want planning to be a tool of social
transformation that limits the need for violence and the erosion of existing
institutions, then . . . we need to perceive the political weight of the
potential beneficiaries whose lives are to be affected by planning, and we
need to invite these groups into the planning process."

21 58
I H COMPARATIVE NATIONALSYSTE.M.S

1:0/66
Planning for Educati9n in. Pakistan: A Personal Case Study,
Adam Curie, 208 pp. (Harvard University Press, Cambridge; Mass..).
As described by Philip H. Coombs in the foreword to this book, the
.author "gives us what might be,..described as a personally cOndUcted
psychic tour Of a developing country by a. technfal assistance exfiert."
'Adam Curie "both emphasizes t)'ie crucial role expatrike advisers and
cuts them down to size." His pórpose in the book .is to shed lighi on the
position and difficulties of fo ign advisers and to discuss problems of
educational planning in Pakistan. He begins with a chapter on the
"dubious role" of the adviser, devotes the next four chapters to eduCa-
tiotial planning in Pakistan, and concludes with four brief chapters on the
role of education in development and on '.personal reflections on his
planning experiences:
The result is a uniquely fascinating account of the many difficulties of
the educational planner's role within the context of national planning in a
developing society. One extremely unsatisfactory aspect of being a short-
term adViser, Curie points out, is that: "It is much easier to construct a plan
than to implement one. It is not usually difficult in a country as poor as'
'Pakistan to realize what needs to be done. It is incredibly hard, on the other
hand, to do it."
Curie was one of the first experts in any field of planning to stress that
"the planner is not just soomeone.whO sits spinning out plans for others to
put into operation. He has, or should have, a continuing concern for their .
implementation." And "the things Which make a plan either easy or hard
to 'implement are functions of administrative, structure, of,the conventions
and procedures of the field involved, of the current political situation, of
the personalities of men in key positions. These are matters which can only
tic learned the hard way, by experience.

'1:0/59 .

British Universities and the State; Robert 0. Berdahl, 229 pp.

(University of California Pres?, Berkeley), 1977 (Arno Press, New
York).
Robert 0. Berdahrs'1959 book on British higher education, reprinted
in l977, is widely recognized as the classic work on the British University
Grants Committee (UGC). The volume remains relevant to the problems of
relations between the universities and government in other countries as
well as in Great Britain.
Part One, in five chapters; traces the historical evolution of
university-state relations: in Britain, from the beginnings of Oxford and ;
Cambridge to the years following World War II. Particularly ,interesting
are the conditions of university weakness after World War! that helped
22
 COMPARATIVE NATIONAL SYSTEMS 14
load to the. establishment of the UGC, the gradual transition to an overall
state policy for universities during the next 20 years (1919-1939), and the.
.emergence of "positive state leadership" in the period following ..
World
War II.
. Part Two, organized topically, examines the constitutional, adminis-
trative, and political aspects of the states dealings with the universities as a
basis for determiniq whether university autonomy has been affected by
state actions. Bcrdahl concludes thdt, at the end of the 1950's, university
autonomy had survived remarkably well, due largely to the UGC. Given
the universities' relative poverty and the state's need for vital resources,
"no other. system could have done what the' present system has accoMp-
lishednamely, integrated university operations into ithe framework of
national 'planning without damaging the, essential Attributes of University
autonomy:'! The author thinks that at least the!general principles of the
UGC-style linkage betWeen state and university are exportable, e.g., that
"the execution of the subsidized policies should be entirely free from the
'.close state supervision which normally. accompanies grants of public
funds.," The UGC model represents national planning by responsible
0
academic notables:
At the time this book was first published, the UGC still occupied a
unique place in British government as a relatively autonomous unit that,
with liule.scrutiny, received funds directlyfrom the Treasury Department.
Berdahl notes three conditions that limited the denuinds of the state for
accountability. The first was a' high degree of trust and informality made
possible by a "common_ outlook of government and university leaders";
they had. gone to Oxford and Cambridge together. The second-was State
fidancial stability: there seemed to be enough money to go around. The
third was the absence of partisan controversy about the universities:
political parties, interest' Slurps, and the general public were not very
interested: But these conditions began to change in the mid-1960's, as
financing tightened; controversy developed.- and trust and informality
came under severe strain. State control grew considerably and Berdahl's
study clearly' foretold this possibility.. In addition to specifying the three
above conditions, he notes the possibility of growing rigidity if all univer-
sities are heavily dependent on a single source, and observes that the UGC
.had "acquired iformidable potentiality for power which could be abused
in less happy times."

23

4,
 Q
,r 1

Demography

ct

Stephen P. breech

`The evolving demographic environment has profound and

critical impact on higher education and thus on education policy and
planning. First, demographic_ phenomena directly and indirectly
determpe and influence social demands on higher education.
Second, the structure and perfo e of colleges and universities
reflect to a high degree responses the education system to these
social demands, 'responses which us are indirectly conditioned by
the demographic environment. .
Chatigesin the size and composition of population directly
influence social demandson and for higher education,. Perhaps even
more important, changes in demographic structure may themselves
induce alterations in the behavior patterns of individuals and groups.
These indirect effects on higher education must be traced through
those other social institutions (e.g., the family and the labor market)
to learn how higher education can interact more.. effectively with
these sectors,
Social Demand. Most analyses of demographic influences on
social demand have emphasized direct effecti, e.g., the effect of
changing ale cohort size on enrollment. Indirect effects, such as the
consequences of declining fertility rates on female labor force. par-
25

61
Z DEMOGRAPHY

ticipation and educational: behavior or the impact of declining birth

rates on 'demands for pediatricians and teachers, have only recently
begun to be examined in anrdetail. ,

The selections in this subject area necessarily overlap in sub-

stance with 'those included under other topics (e.g., Economics,
Mork and Education): However, the fundamental principle of selec-
tion differs. In this section, primary emphasis is on the transmission
of demographic influences. Thus, for example, general studies 9f
.

the determinants of demands for different educational classes of

labor are not included, but studies focusing. specifically on the
consequences of demographic change for labor market demands for
the highly edticated are included.
Sectoral and Inatititional Stricture and Performance.
; Demographic influence on sectoral -and institutional structure and
performance is multifaceted and periasive. Current institutional
configurations and practices have evolved over more than a century
of virtually uninterrupted growth"thal has been, to, a significant ex-
tent, demographically driven. The consequences of reduced and/or
"unsteady" glbwth are thus relatively unknown.
The entries selected on sectoral and institutional structure and
performance emphasize the changing internal demography of
. .

faculties (the most growth-dependent facet of the structure and per-

formance issue) and the implications of the demographic environ-
_ment .for sectoral efficiency and planning. Some issues span the
'domains of'both social demand and sectoral and institutional struc-
ture and performance. This is true; for. example, Of studies that
examine the cOnsequences of the changing demographic composi-
tion of enrollment for different classes of institutions. Rather than
being included in , a third section, these intersecting Studies are
classified according to their predominant thrust.
°Unfortunately, it appears that no general or. Comprehemive
treatments of the subject of demography and higher education exist.

TOPIC ORGANIZATION
Demography
=1.0 Social Demand
1.1 General
1.2 Population Site, Composition, Growth, and
Migration

26

62
v
 ,
SOCIAL DEMAND-GENERAL 211.1

2.0' Sectoral and Institutional Structure and Performance

2.1 Dimographic Structure of Faculties
2.2 Sectoral Efficiency and Planning
1.0 SOCIAL DEMAND
1.1 General

2:1.1/80
Birth and Fortune; The. Impact of Numberg on Personal,
Welfare; Richard A. Easterlin; 205 pp. (Basic Books, New York):
The central theses of this intriguing volume, which is written for a
nontechnical audience, are: ( I) that mature industrial espomies are
characterized by a selfperpetuating, roughly 40-year demographic cycle;
and (2).that the social and economic characteristics and experiences of a
'cohort.
birth cohort are:largely-determined-by the relative size of
Easterlin argues that with the general acceptapce and success if
countercyclical economic policies that have greatly reduced the relatge
magnitudes Of economic crises, the economic success of a birth cohort is
determined primarily by its relative size. Members of a large cohort con-
front intense competition on entry into the labor market, receive less
desirable and relatively lower paying jobs, experience lower rates of ad-
vancement over the life cycle, and the like; the reverse is true for members
of small ;birth cohorts. The deterioration in the economic well-being of
large cohorts, then, has pervasive consequences for behavior, as reflected
in labor force participation, marriage, fertility, and schooling. The self-
perpetuating demographic cycle derives,from the effect. of economic well-
being on fertility: Members of a large cohort respond to economic
constraints by ;reducing fertility, while' the relative economic success of
small cohorts leads to increases in fertility. The 'relationship of fertility to
economic conditions confronting a'cohort derives not only from conscious
decisions concerning family size, but also, arid perhaps ri-9re iMpoitantly,
from the effects of economic constraints on female labor force participation
rates, Marriage rates, age at marriage, and divorce rates.
Easterlin attributes much of the subitantial increase in female labor
force participation over the last two decades to the relatively-unfavorable
labor market 'confronting young adults. In turn, higher rates of and more
continuous labor force participation have encouraged increases in female
educational attainments. For young males, however, the weakening of the
labor market has been accompanied by a decline in returns to schooling and
has thus led to reduced edudational attainments. The latter has been re-
infOrced by the ".sibling squeeze" phenomenon (closely spaced children)
characteristic of the high fertilitipost-war period.
Easterlin's analysis is extremely broadbnish, and many of the
hypotheses may have to be refined or qualified as a result of more narrowly

27 .

63
 2 DEMOGRAPHY

focused studies. For examplt; the timing of the cyclical "recovery" may
lag significantly behind the onset of declining cohort size. Also, .certain of
the changes in behavior induced by large cohort size may be, aeleast in
part, irreversible. Finally, the conditions under which large cohort Si#
implieS a disproportionate weakening in the labor market for the more
' highly educated need to be identified, since the. effect may be a reflection
of unique circumstances.
Although the analysis may raise more questions than it answera.
definitively, it contributes significantly to recognizing the interrelation -;
ships of a number of socioeconomic phenomena that have important social
implications, not least for higher education.

2: 1.1176 ,
. .

The Demographic 'Context of Educational Policy Planning, Peter

A. Morrison, 12 pp. (Aspen InStitute- for -Hurnanistii Studies, NeVv.'
York).
This study provides a comprehensive and comprehensible assessment
Of current fertility patterns and trends and of the implications of changing
fertility for the age structure of the U.S. population. The implications of
trends in female laboi force participation, the "sibling squeeze," migm-
tion and metropOlitan contraction, and racial separation are also reviewed.

1.2 Population Size, Composition, Growth, and Migration

2:1.2/A 4

Current Population Reports, U:S. Bureau of the Census (U.S.

Govemment Printing Office, Washington, D.C.).
The Current Population Reports series constitutes in indispensable
source of detailed current and historical informatiOn.on and projections of
the size, geographic distribution, characteristics, and behavior of the U.S.
population. .These reports are based principally on the Current Population
Survey (CPS), a monthly survey conducted by the Bureau of.the Census
and jointly sponsored by the Bureau of the Census and the U.S. Bureau of
Labor Statistics. The CPS, initiated in 1940; evrently consists of ap-
proximately 55,000 households. The CPS includes a core set of questions
concerned primarily with labor force status. Beyond this, the sittistantive
content of the CPS varies .om month to month, but it is generally constant
across years, thus providing consistent data over time. Current and his-
tdrical labor force data (employment and unemployment rates, hours of ,
'work, etc.) are published by the Bureau of Labor Statistics. (See, es-
pecially, Monthly Labor Review "and Employment and Earnings.)
Summary time series statistics from the Current Population Reports, are
published by the U.S. 'Bureau of the Census in The Statistical Abstract of

28

64
 SOCIAL DEMANDPOPULATIONSIZE, COMPOSMON, 211.2
GROWTH, AND MIGRATION

His-
the United States (U.S.'Govemment Printing Office, annual) and in
torical Staiistics of the United States, Colonial Times to 1970 (Ut.
.
'Government Printing Office, 1976). More detailed time series statistics
must be deyeloped from the individual issues of the Current Population
Reports. .

IndiVidual issues of the Current Population Reports are published in

the following principal series: Series P-20. Population Characteristics;
. Series P-23, Special Studies; Series P-25. Population Estimates and
Projections' ; Series P-27. Farr?) Population (published jointly by the
Bureau of the Census and the Economic' Research Service, U.S. Depart-
and Series P-60;
ment of Agriculture); Series P-28. Special Censuses,.
Consumer Income. Many titles within each series 'are 'recurrent, appearing
annually 'and based upon a particular month's survey. The more important
monthly surveys include October (school enrollment). March (inconitriN
earnings, and educational attainment), and June--(Sertility and child -
spacing). Because of substantial lags, (often I to 2 years) between data
collection and publication of detailed reports, many titles are preceded by
months of original data
summary Advance Reports published within 3 to 6
collection.
The most important series for purpOseS of educational planning are
P-20 (Population Characteristics), P-25 (Population Estimates and
Projections), and P-60 (Consumer income). These series and especially
'relevant, recurrent titles in each, are discussed in greater detail below,.

Series P-20. Population Characteristics .

This series consists primarily, of recurrent titles (generally appeagg ,

annually) that provide consistent data over time concerning population

Composition, characteristics, -a9d; behavior. Data presented in this series
(white, black, Spanish
are generally cross-tabulated by Sex, lace-ethnicity
origin), region, and residence (Metropolitan, nonmetropolitan).. Repreien-
tative titles in'this series include the following:i
"School EnrollmentSocial and Economic Charatteristics of Students:
October 19xx.'"*
"College Plans of High School Seniors: October I9xx."*.
''EducationalMtainment in the United States: March I9xx and I9yy. *.
4. "Marital Status and Living Arriuigements: March I9xx."*
"Geograpbical Mobility; March I9xx to March 19yy."*
"Voting and Registration in the Election of November I9xx."*

is
An asterisk (*) indicates that a title is recurrent. In the case of recurrent titles, the year
and its date of issue are
denoted I9xx. For nonrecurreat titles, the number of the report
is
noted. Reports are numbered consecutively within each series. Thus, an individual report
identified by its series, number, title, and date of issue.

n. 29
 DEMOGRAMY

"Fertility of American Women: June I9xx.''*

"Persons of Spanish Origin in the United States: March I9xx."*
"Population Profile of the United States: I9xx. "*.
"Vocational Schckil Experience: October 1976." (No. 343, September
1979)
"Travel to School: Oct Ober 1978." (No. 342, September 1979)
"Trends in Childspacing: June .1975." (No. 315, February 1978)
"Relative Progress of Childret in School: 1976." (No. 337, April 1979)
"Major .Field of Study of:College Students:. October 1974." (No. 289,
February 1976)
"Demographic, Social, and Economic Profile of States: Spring 1976.'.'
(No. 334, January 1979)
Seven titles are of parti,:ular levance to higher education and thus are
given specific annotation in the following paragraphs..
"School EnrolimentSocial and Economic Characteristics of
Students: October lxx" is a series of annual reports for which Advance
Reports are issued within about 6 months of data collection. It provides
detailed information on the school and college enrollment status of the
population 3 years old and over. Reasonably comparable data (published.
under this or a very similar title) are available beginning in 1946. Data are
reported by age, sex, and tace;thnicity, and, forpersons not enrolled; by
high school completion status. Further breakdowns are provided by resi-
dence (nonmetropolitan, metropolitan non-central c.
central-city), level of schooling, attendance status 1 d control (grade or
.year-of-college, or part-time, public or vate/independent),
prior year attendance status and educational attainment (for those, not
enrolled), marital status, educational attainment of the family head, and
family income. Because of sample size constraints, geographic disaggroa-
tion, when provided at all, is limited to the four-region level (Northeast,
Northcentrah-South, and West). In addition to detailed data for the current
year, summary statistics for the preceding 10 years are included in each
-report.
"College Plans of High School Seniors: October I9xx" reports
college plans of high school seniors' by age, sex, race- ethnicity, region,
metropolitan/nonmetropolitan residence, college attendance status of other
family members, family income, and educational attainment and 'occupa-
tion of the family head. The most serious deficiency of these data, apart
from delays in their release, is that no attempt.is made to assess the degree
to which plans made in October cif the senior year of high school predict
actual college entry. Such an analysis would be possible, in principle,
because the design of the CPS provides for a sample rotation under'whioti
household is included in the sample for 4 consecutive months, is removed
30
 SOCIAL DEMANDPOPULATION SUE, COMPOSITION, 2114
GROWTH, AND MIGRATION

for .8 months, and is'then included for a final 4 montlis. Thus, apart from
nonintervicw difficulties, approxiniately one-half of the sample in any
month v#Oarveyed in the same month in the prior year, while the other
one-half woulde surveyed in the same month in the following year.
"Educational.,Attainment in the United States: March l9xx and
19yy'.' reports distritions over years of school completed by persons 14
years old and over by age, sex, race-ethnicity, occupation, marital status
and relationship to household head, ,and educational attainment of spouse.
In addition to national cross-tabulations, more aggregative information is
providedby region and for the 15 largest states and Standard Metropolitan vs'
Statistical Areas.
::Population Profile of the United States: I9xx" is a summary pre-
sentation of data provided in more Octall in other issues of the Curretit
provides a
PoPulation Reports or compiled from other sources. This report
general picture of the socioeconomic -and demographic characteristics-of
the population, with sections covering population growth, social charac-
teristics, population distributiol, employment, income, and race-ethnicity,
This source is useful for abroad assessment of population changes with
implications for college enrolknent.
. "Geographical Mobility: March I9xx to March 19yy." provides inter-
regional and metropolitan/nonmetropolitan migration rates by socio-
economic and demographic characteristics..
' "Major Field of Study of College Students: October 1974" (No. 289,
.February 1976) provides detailed distributions of s c as sified by
year of college:sex, age, race,-ethnicity, status, occupation of
Tastily head, and family income- over f5 major fields of study. This title
is, unfortunately, not recurrent.
!Trends' in Childspacing: June 1975." (No. 315, February 1978)
provides a detailed assessment of changes in child spacing over
timeim0
relation to the marriage and fertility patterns of women. This information is
particularly useful in the context of findings relating college attendance to
birth order and ages of siblings.

Series P25. Population Estimates and Projections

As its title implies, this series provides estimates of current and pro-
jections of future population. Estimates of population and of components
of population changes (births, deaths, net migration) are developed for the
United States, individual states, counties, and Standard Metropolitan.
Statistical Areas. In addition to population, various reports present esti-
mates of per capita money income. The more important titles are annotated
below, .

"Estimates of the Population of the United States by Age, Sex, and

Race: 1970 to I9xx" presents estimatesby year of age, sexy and race
(white, black, .other)--for the total population (incuding armed forces
31

67
 2 DEM OGRAPHY

, .
overseas), the 'resident population (excluding armed forces overseas), and
the civilian population (total exclVing all members of the armed forces).
."Eltirnates of the Population of Counties and Metropolitan Areas:
July 1, l9xx and l9yy" presents population estimates and components of
change sinte the last decennial census. -

"1977 Pertapita Money InEome Estimates for States, Counties, and

Indorporated Places in the _______. Regiclit o e United States." [No. 882
(Northeast), No. 883 (East North Centtal), o. 884 (West North Central),
No. 885 (South), No. '886 (West), various te.s, 1980) is the only source
of intercensal estimates of it by geographic area. 0
"Projections of the Population of the United States: 1977 to 2050."
(No. 704, 'July 1977) develops projections of the population by age, sex,
t"14
and race under three alternative assumptions concerning long-term trends
in fertility rates. Post-1976 experience suggests that the lower alternatives
will Ix closer to the mark in the relatively short-term.
"Illustrative Projections of State Populations by-Age, Rake; and Sex:
1915 tto 2000" (No. 796, March 1972) indicates the nature of the problem
. , of forecasting popUlation at the subnational
level.
' ,"State and Local Agencies Preparing Population Estimates and
Projections: Survey di 1975-76" (No. 723, June 1978) identifies 474 state,
',local, and regional agincies that make intercensal population estimates and
population projections. For each agency, the area of coverageand methodS
employed are indicated: , ,t

6
110

Series P40. Consumer Income'

This series presents 'detailed' infOrmation of the incomes of house-
holds, families, and individuals. In general, these estimates are restricted
to money income, although efforts are currently under w_ay to measure
r nc ash benefits of social welfare progranis.
"Money Income of Families and Persons in the United States: 19xx"
provides annual estimates of income of families and individuals by detailed
socioeconomic characterilics, with disaggregation to the regional level.
"Characteristics of thb Population Below the Poverty Level: 19xx"
provides detailed infOrmation on socioeconomic characteristics, educa-
tional attainments; labor force attachment, etc., for the poverty population.
"Annual Mean Income, Lifetime Income, and Educational. Attain-
ment of Men in the United States, for Selected Years, 1456 to 1972" (No.
92, March 1974) presents inebme by age and lifetime income under al-
ternative assumptions concerning discount rates and rates of productivity
increase for seven educational attainment groups (from Idss than 8 years of
schooling through 5 or more years of college)' Estimates are developed for
all males and for full-time, full-year workers. Unfortunately, this series for
the period 1956 to 1972 is not directly comparable to subsequent estimates

32
 SECTORAL AND INS"'ITUTIONAL STRUCTURE AND Mil
PERFORMANCE DEMOGRAPHIC STRUCTURE OF FACULTIES

for 1979 (see next entry), and the Census Bureau apparently has no current
intention to recast either the more recent or earlier est.riates to achieve
comparability. However, as noted below, an adjustment to the most recent
estimates and derivation of a consistent series is available.
"Lifetime Earnings Estimates for Men and Women in the United
States: 1979" (No. 139, February 1983). In contrast to the previous report,
providing information on lifetime incomes of males over the periOd 1956 to
1972 (in constant 1972 dollars), this report provides estimates of lifetime
earnings of men and women in 1979 (in constant 1981 doflars). While the
earlier report provides estimates for (a) full-time, full-year workers and (b)
all persons 'with income, this more recent report provides estimates for (a)
A) full-time, full-year workers and (b) all persons, adjusting for the probabil-
ity. of nonparticipation in the labor force. Apart front the discrepancy
between ' income. and -earnings, the data for full-time, full-year male
workers are,' in principle comparable. An adjustment of the later data to
1
achieve comparability with the earlier data and presentation of a.consistent
series for the period 1968' to 1979 is available in Stephen P. Dresch,
"Education and Lifetime Earnings: The Census Bureau's Misguided
'MisrepreF^ntations," Review, of Public Data Use (forthcoming, December
1983). at paper finds substantial declines in the. relative earnings gain
aNsociate with college and postcollege educational attainments, by
comparison to high school graduation, over the period 1972 to 1979.
"Illustrative Projections of Money Income Size Distributions, for
Households: 1980 to 1985" (No. 122, March 1980) projects future income
distributions (in constant 1977 dollars) under alternative assumptions
conperning the rate of real income growth and alternative projections of the
number of households by type (husband-wife families, other families,
,unrelated individuals) and age of head.
See also: 12:4.1/A-2 Digest of Educaiion Statistics; W. Vance
Grant and C. George Liud, and 12:4.1/A-5 Projections of-Education
Statistics, Martin M. Frankel and Forrest W. Harrison.

SECTORAL AND INSTITUTIONAL STRUCTURE

AND. PERFORMAkE

2.1 Demographic Structure of Faculties

2;2.1/80-1
U.S. Faculty After the Boom: Demogtaphic Projections to 2000.
Luis Fernandez, 167 pp. (Jossey-Bass, San Francisco).
Essentially '4 somewhat more sophisticated updating of the late Allan
M. Cartter's last projections (18:6.0176), this'study assesses the effects of
enrollment decline, responses of promotion rates to excess faculty supply
33

69
 DEMOGRAPHY

and demand, and changes in the mandatory retirement age and in retire-
ment policies and behavior on faculty size, composition, and hiring. Impli-
cations for feniale representation on academic faculties are considered.

2:2.1/80-2
Mathematicians in Academia: 1975-2000, Charlotte V. Kuh and
Roy Radner, 109 pp. (Conference Board of the Mathematical
Societies, Washington, D.C..).
Using' a variation of the aggregate Radner-Kush faculty model (see
2:2.2/78), the authors develop a forecast of faculty size, composition, and
Hiring for the discipline of mathematics to the year 2000. They project a 75
percent decline in new hires pf academic mathemati;:ians between 1980
and 1993, and anticipate a rise in the median age of tenured faculty from 43
to 57 years over the same period. The quantitatively more extreme results
for mathematicians_than for faculty as a whole-indicate the importance of
disaggregation in this type of analysis. However, the mathematical
societies are unusual in the data they collect and maintain, and similar
analyses may thus not be-possible for many other disciplines. At the least,
the mathematical societiesprovide a model, the emulation pf which should
be encouraged.
See 18:6.0/76 Ph.D.'s and the Academic Labor Market, Allan M.
Cartter.
The central insight of Cartter's analysis of the academic labor market
is that the demand for faculty is a derived demand for a capital good,
dependent on enrollment, and that even a decline in the rate of enrollment
growth will imply an Absolute decline in the demand for new faculty. Thus,
his 1964 anticipation of a Ph.D. surplus rested not on a decline in the size
of the college-age cohort but ratheron a-substantial decline in its rate, of
growth in the late 1960's. The more recent absolute decline in births, then, _

implies a more severe and more prolonged deterioration in the academic

labor market.
Canter develops a series of ever more refined models of: (I) the
demand for new faculty, taking into account, for instance, induced changes
in graduate enrollment, changes in the rate of gross inflow (outflow) of
senior faculty from (to) nonacademic employment, and changes in mor-
tality and retirement rates as the faculty age distribution shifts over time;
and (2) the effects of labor market conditions on graduate school entry and
degree complelion rates. These models were developed in a manner that
should be highly comprehensible to the noneconomist.
Cartter's general conclusion is fundamentally pessimistic: junior
faculty openings will be very low, in some years negative, throughout the
1980 *s. And although graduate entry and perSistence rates will decline,
faculty openings may absorb as few as 3 percent of new doctorates in the

34
 SECTORAL AND INSTITUTIONAL STRUCTURE AND
232.2
PERFORMANCE-SECTOR AL EFFICIENCY AND PLANNING

enrollments may
1981-85 period. : He further concludes that graduate
and the mid-
decline by more than 20 percent between the late .1970's
anticipatedlto decline signifi-
1980's, and that salaries in academe can be
cantly relative to wages and salaries in other sectors:

2.2 Sectoral Efficiency and Planning

See: 26:2.4/79 Another Challenge:: Age 70 Rethrement in Higher

Education, Hans H. Jenny, Peggy Heim, and Geoffrey C. Hughes.
This study assesses the .probable implications for academic institu,.
in
Lions and faculty of the 4978 amendments to the Age Discrimination
Employment Act, which raijed the minimum mandatory retirement age to
consider the
70 (effective for tenured faclIty on.July I, 1982). The authors
effect -olthe law within the context of probable enrollmentdeclines_and
downward-skewed age distribution of faculty. They examine consequences .
arid, for
for the achievement .of equal, employment opportunity objectives
attention to
the state a the academic labor market, and give primary
retirement income planning and to consequences of alternative retirement
income policies of institutions.
that
A major strength of the study is its clear and explicit recognition
institutions over
the personnel difficulties that will confront many higher
.the decade of the 1980's (e.g., rising tenure ratios and faculty age distribu-
not
tions, and declines in new faculty hires and in faculty turnover) are
primarily the consequence of the increase'" in the minimum mandatory '
persistent
retirement age, but rather* reflect the fairly sudden transition from
growth t contraction.

2:2.2/79
The Decline of the Best? An Analysis of the Relationships'Be-
and Research.
twetn Declining Enrollments, Ph.D. Production,
Kennedy School .of Govern-
Robert D. Klitgaard, 87 pp. (John F.
Mass.).
ment, Harvard niversity, Cambridge,
qualitative implications of
This study raises explicitly the issue of the
in new faculty hires that
the quantitative decline in Ph.D. produc'tion and
in the 1980's and early
will be a consequence .of declining enrollments
reach definitive conclusions,
1990's. While the author does not attempt to
indicates clearly that, from a
he does identify the central questions and
perspective, it is the qualitative
social as opposed to'parochial (academic)
not quantitative
implications of quantitative contraction that are important,
contraction itself.
_4

35
-
2 DEMOGRAPHY

2:2.2/78
Preserving ,a Lost Generation: Policies To Assure a Steady Flow
of Young Scholars Until the Year 2000, Roy Radner and Charlotte
V. Kuh, 57 pp. (Carnegie Council on Policy Studies in Higher
Education, Berkeley, Calif.).
This study is important because it explicitly addresses the impact of
enrollment decline on the age distribution of faculty, and especially on
young faculty, and attempts to assess quantitatively the effect of alternative
policy responses. A certain skepticism, however, is warranted toward the
authors' apparent belief in the adequacy of this type of analysis to support
finely tuned policies designed to mitigate market disequilibrium.

2:2.2/75
"Numerical Models for Faculty Planning," David S.P. Hopkins
and' Anhui -Blenenstock, pp. 23-47 .In.Assuring Academic Progress
Without Growth, New Directions for Institutional Research No. 6,
Allan M. Cartter, ed. (Jossey-Bas, San Francisco).
This paper develops a closed model of the demographic structure of
faculty, explicitly identifying the effects of institutional policies relating to
promotion/retention of junior faculty and the retirement of senior faculty.
The effects of alternative policies in the face of a stationary total faculty
size are assessed, focusing on the proportion of the faculty; that is tenured
and the proportion of faculty overage 45. Benchmark data on the Stanford
University faculty were used in the analysis.

36

72
 Economics

Stephen A. Hoenack

The economics of higher education is concerned with the effi-

cient use of 'resources and with the equity of financing and student
access. Economists address issues of efficiency and equity through
analysis of two broad, behavioral questions: How are students,
faculty, institutions, and public and private funders influenced by
market prices and other incentives? What is the economic impiet of
higher education on students and the corresponding monetary and
no_ nmonetary returns to higher education as an investment?
Much of the economic analysis of higher education can be
useful in planning because economists emphasize the effects of
variables that are controlled by policy on the behavior studied.
Economic analysis also can prOvide information about the relative
desirability of exercising control over these variables at the Federal,
state, and less centralized levels of responsibility (e.g., institutions,
students, donors, faculty, and purchasers.of research).
In this bibliography, literature dealing with the economics of
. -
higher education has been placed in-ke categones. Three deal with
the effects of incentiveson student behavior, on faculty and insti-
tutions, and on ,higher education's funders. The fourth and .fifth
categories deal with the economic impact of higher education on
students and the incidence of benefits and costs of educational
subsidies.
37

73
 ECONOMICS

Economic research covers some topicS in more detail than

others; yet thepolicy significance tf certain neglected
yet important
areas may be high, For example, while a substantial anlount of work
haS been done on the response of enrollments
to prices (tuition),
much less research has been done on the effects'of
intra-institutional
incentives, such anon faculty behavior. Some unevenness in cover-
age may simply be due to the unavailability of 'data.' In 'selecting
entries for this bibliography, the importance of each
topic': has been a
More significant factor than the amount or research available. In
cases where a large body of 'studies exists (e.g., demand
for higher
education), survey reports or articles are substituted
when available.
Another criterion for selection was the use of methodology, that is,
of unusual quality or likely importance for future research.
The annotations include-citations -of- additional
important
reference materials. In several cases, a single entry contains content
in more than one of the defined topics. Works
of this type have been
entered under the topic of primary importance, and Other topics
'covelvd are noted at the end of the annotation.
Finally, in revising this chapter,* new or additional literature
has sometimes been included, within the annotations fOr earlier
studies. This has been done when the earlier studies established a
basic line of research within which 'the recent research
is most
usefully deScribed and interpreted.
1
Incentives and Student 'Behavior. Student choices among
inStitutions'and car.eers are influenced by the prices of
educational
seiyices 'and by the wages and working, conditions' determined in
labor markets.. The entries in this subtopic are divided according to
their attention to the effects of prices of educational services or to the
effects of labOr market 'variables on student behavior. (See also
Topic 18: Work and Education. )
Incentives and Faculty and Institutions. The clientele that
institutions choose and the workloads that _facAies take on- are
influenced by at least three kinds of incentives: incentives within
institutions; incentives resulting from com:setition among institutions
for students, faculty, and research support; and incentives deter-
mined by 'the funding policies of public and private
funders. This
subtopic reviews the scant literature in this relatively neglected area
of the economics of higher education. Interactions between institu-

*This topic appeared as Chapter. 5 of

,;,,r4y4
?Wei .Education Planta,Iv A Bibliographic
Handbook, puhtishett by the Nitiorial Institute of Education in June 1979.

38

74
 ECONOMICS & .

tions and students, measures of existing incentivei.on faculty, and

issues in altering incentives on faculty and institutions are considered
in separate subtopics.
Incentives and Public and .Private Funders. Of particular
interest in this also relatively neglected area is the analysis of how
publiC and private (donor, student, and institutional) funders influ-
ence each other's support efforts. Mutual determination of public
and private funding and donor b'ehavior in relation to tax policy are
described in separate subtopics. .

Economic IMpacts of Higher Education on Students. Many

studies have attempted to measure the economic impact of higher
education on students, including both aggregative returns and such
specific measures as differential impacts of attendance at alternative
kinds of institutions. (See alai Topic 18: Work and' Education:)
however, a number of theoretical and statistical problems make the
causal interpretation of many of these measures ambiguous. Fortu-
nately, there have been some recent methodological advances in this
area, including the use of data on twins to control for influences of
genetics and family background when estimating effects of educa-
tion on earning.
Incidence of Benefits and Costs of Educational Subsidies.
This subtopic, closely related to the one on economic impacts,
includes both the pioneering studies that developed the measures
used and more recent theoretical work designed to evaluate the
intergenerational benefits and costs of subsidies.
A number of the studies in this chapter may -have substantial
value to policymakers and planners who are-willing to become suf-
'ficiently informed to make their own conceptual and methodological
judgments. Dike 'most parts of economics, the economics of higher
education is in a state of active methodological change. For this
reason, the usefulness of studies of the economics of higher educa-
tion depends on the polieymaker's understanding of the underlying
conceptual problems and technical issues.

TOPIC ORGANIZATION
3:' Economics
1.0 Incentives and"Student Behavior
1.1 Effects of Prices of Educational Services
1.2 Effects of Labor Market Variables

39
3 EcoNowS

2.0 Incentives and Faculty and Institutions

2.1 Interactions Between Institutions and Students
M.
2.2 Measures of Existing Incentives on Faculty
.2.3 Issues in Altering Incentives on Faculty and
Institutions
3.0 Incentives and Public and Private Funders
3.1 Interactions Between Public and Private Funding
3.2. Tax Policy and Donor Behavior
4.0 Economic Impact of Higher Education on Students
5.0 Incidence of Benefits and Costs of Eaucational Subsidies

1.0 INCENTIVES AND.STUDENT BEHAVIOR

1.1 Effects of Prices of Educational Services

See: 16:2.0/78 Experiences of Recent High School Graduat* The

Transition to Work or. Post-Secondary Education, George NoIfi and
Associates.
This book and the references cited below contain a number ofirecent
extensions of enrollment analysis that are significant for policymaking.
Experiences of Recent High School Graduates includei topics that have
been neglected by researchersthe career choices of noncollege attendees
and the demand for vo/technical education. This book also contains an
excellent.discussion of the potential uses of enrollment demand analysis in
policymaking, as well as a simulation model for illustrating the estimated.
effects of policy and other :.variables on enrollments. A recently published
study of enrollment demand, which is also based on the National ILOngi-
tudinarStudY, is College Choice in America, ,Charles F. Manski and David
A. Wise, Cambridge: Harvard University Press, 1983.
"The Demand for Higher Education and Institutional Enr011ment
Forecasting" (Stephen A. Hoenack and William C. Weiler, 4onomic
Inquiry, Vol, 17, No. 1, 1979, pp. 89-113) extends enrollment demand
analysis for forecasting at the institutional level.
"Labor Market Incentives, Intellectual Competence and College
Attendance" (Stephen P. Diesch and Adair L. Waldenberg, Institute for
Demographic and Economic Studies, March 1978) analyzes the decision to
prepare for college, reflected in students' test scores, as being jointly
determined with the decision to attend college. The model in this study, as
well as that in the Hoenack and Weiler study on institutional enrollment
forecasting, includes both tuition and labor market variables as influences
on enrollment choices. The labor market variables have been omitted from
most enrollment demand studios, while Richard Freeman's studies of the
40
 INCENTIVES AND STUDENT BEHAVIOR-:-. 38161
EFFECTS. OF PRICES OF EDUCATIONAL SERVICES

6
effects of labor market variables on career choice (see subtopic 1.2). have
omitted tuition variables.
"Can Adults Be Hooked on College?'.!_ (John Bishop. and Jane Van
Dyk, Journal' of Higher Education, Vol. 48, No. 1, 1977, pp. 39-62)
applies enrollment demand analysis to the attendance choices of individ-
uals older than the traditional college-going age group of the population.
Add "Evaluating College Campus Closings for the 1980'S: A Case
Application of the Optimization Model" (Stephen A. Hoenack and And
K. Roemer, Research in Higher Education, Vol. 15, No. 1, 1981) uses
enrollment demand analysis in the evaluation of the desirability of closing
college campuses.;,
3:1.1/77
__Demand for Higher EducMion in the United States: A Critical
Review of the Empirical Literature, David J. Weinschrott, 87 pp,
(Rand Corporatioh, Santa Monica, Calif.).
This report is a thoughtful methodological evaluation of existing
studies on the demand for higher education in the United States. The author
also provides a discussion of the policy issues that demand studies haVe
addressed. The :studies evaluated are those of Barnes et al.; Bishop,
.Coff'azini et al.., Fe'dman and Hoenack; Hoenack; Hoenack and Weilet;
Kohn; Manski and undel; and Radner and Miller.
The author de otes the initial section of his report to explaining the
procedure and crit a used in evaluating the selected studies. 14 criteria
include: (1). treat nt of higher education as a consumption item or invest-
ment, which eva aces the theoretical justification of variables included in
enrollment 'de and models, (2) selection of the "choice set," which
evaluates the ppropriateness of each study's specification of the 'range of
collegiate c ices by students and clarifies assumptions made about the
nature of st dent choice; (3) measurement of financial aid offers, which
evaluates e ch 'study's inclusion of data for all prices and financial aid
faced by sampled students; .(4) identification of demand/supply relation-
ships, which evaluates how each study deals with the possibility that the
causality underlying estimated relationships between tuition and enroll-
ments are in part institutional supply behavior rather than enr ,nent
demand behavior alone; and (5) use of "stratified estimates," nich
explores each study's provision of separate estimates of the effects of the
amount of tuition or financial aid according to the academic 'ability or
income status of the student. A separate section of the report details the
evaluation of each demand study according to these five criteria.
The author concludes that future studies should improve on existing
studies in the representation of the "choice set" of educational options and
in the measurement of financial aid offers. The author finds that existing
studies use samples in which institutional supply behavior is unlikely to be

7
 ECONOMICS a

confused with enrollment demand. However, he argues the'., in the face of

projected decOases in enrollment, future research shoulu explicitly analyze
institutional supply behavior. Further, he states that, while existing studies
have analyzed differential 'demand behavior across ability and demand
classes, futute studies should analyze. the differential demand behavior of
men and women.
Other surveys' of the 'literature on demand for higher education are
Chapter 2 in Roy Radner and Leonard S. Miller, Demand and Supply in
U.S. Higher Education, (3:1.1/75) which also emphasizes methodological
issues; Gregory A. Jackson and George B. Weathersby, "Individual De-
mand for Higher Education: A Reviow and Analysis of Recent Empirical
Studies" (Journal of Higher Education, Vol. 46, No: 6; pp. 623-652),
which compares the results of different studies; Michael S. McPherson,
"The Demand for Higher Education" to Public Policy and Private Higher
Education :(5:4.3p.8.); which emphasizes enrollment effects of tuition
differentials between public and private institutions; and Elchanan Cohn
and J. Michael Morgan, "The Demand for Higher Education: A Survey of
Recent Studies" (Higher Education Review, Vol. I, Winter 1978, pp.
18-30), which provides helpful methodological discussion and describes a
number of studies not covered in the other surveys.

3:1.1/75
Demand and Supply in U.S. Higher Education, Roy Radner and
r Leonard S. Miller, 468 pp. (McGraw-Hill Book Co., New York).
This book provides a number of valuable studies useful to both higher
education researchers and planners. The initial section of the book dells
with enrollment demand..Chapter 2 is devoted to evaluation of a number of
existing enrollment demand studies; and; along with the Weinschrott
survey, is probably the best such evaluation available. Chapters 3 through
5 contain a relatively complete presentation of Radner and Miller's well
known econometric studies of enrollment demand, While the presentation
is comprehensive and discusses a number of the technical issues and data
problems the authors faced, different concepts are carefully explained and
the discussion is laigely unberstandable to the nontechnical reader. The
presentation includes two topics not dealt with in other detnand studies: the
use of models to provide enrollment forecastS (Chapter 4), and the presen-
tation of differences in results under alternative specifications of demand.
(Chapter 5).
/
The remainder of the book deals, with supply issues: the supply. of //
educated manpower and the .supply of educational services, broadly de/
fined 30 include the behavior of institutions in enrolling students and in
hiring faculty. Planning issues are emphasized. Chapters 6 and 7preient an
important study of faculty-student ratios in U.S. higher education. A
wealth of descriptive material is presented, including time series of faculty-

42
 INCENTIVES AND STUDENT BEHAVIOR-- 3s1.2
EFFECTS OF LABOR MARKET VARIABLES

student ratioqy type of institution for 1953-67. Also presented are 1966 '
values of ratios of graduate enrollments to faculty plotted against under-
graduate enrollments to faculty for numerous,,identified:individual institu-
I.
tions. The authors tested the alternative hypotheses for several types of
institutions that increased faculty hiring either accompanies, or substitutes
for, increases in faculty' salaries and in quality of faculty as measured 6y
Ph.D.'s: It is unclear exactly what the results reflectpreferences of
institutional faculty, economies of scale, or strength of bargaining relation-
ships with clienteles (including state institutions' relationships with their
legislatures). Nevertheless, this is one of the first empirical attempts to deal .'
with institutional resource allocation behavior.
Chapter- 8 gives a thorOugh presentatidn of data on the numbers of.
.Americans holding various types of degrees. Chapter 9. provides alterna-
tives to Allan Canter's forecasts of the academic job market for Ph.D.'s
and the sensitivity of these forecasts to each of the major assumptions
underlying them is described. 'Chapters 10 through J2 develop a dynamic
input-output model for use' in educational planning and provide, as policy
applications of the model, calculations Ofthe resource requirements for a
universal 2-year college program and for a compensatory priniary and
secondary program. The calculations are presented under alternative
assumptions about the speed with which plank are implemented. Because
of differences between the nature of faculty demanded under these pro-.
Iv
grams and the capacity of existing gradu e programs, it is shown that
these programs would not substantially all late the problems of excess
capacity in higher education, in the 1980's.

1.2 Effects of Labor Market Variables

3:1.2/80
The Facts About the Declining Economic Value of College,
Richard B. Freeman,../ournal of Human Resources, Vok. 15,
No.1,
pp. 124 -142.
his
This is a response by Freeman to three critique& (also presented) of
work on declining economic returns to college'education. See annotation
below.

3:1.2/76
The Over-Educatid American, Richard B. Freeman, 218 pp.
(Academic Press, New Y ork) .
higher
The Over-Educated American is likely to be useful to the
author
education planner and administrator for two purposes. First, the
describes much of his own extensive research and that of others on the
functioning of labor markets for college-educated manpower. Second, he
describes forecasts of the state of the college job market to 1990, based on

43
79
 3 ECONOMICS

a behavioral model. The book is well-written and readily accessible to the

nontechnical reader. I

The book scans with an overview of key statistics,such.as real starting

salaries of various categories of tollege-educated manpower, ratios of
college-to-nonboflege incomes, and fractions of the labor force represented
by college graduates. The author provides evidence that the labor market .
for college-educated manpower relative to that for noncollege-educated
5 manpower has declined in recent years. Chapter 2 provides some data on
the responses of students and of colleges and unviersities to the decline.
The 'analytical approach to a model of the,labor market is briefly outlined
and used to interpret the aggregative descriptive data in Chapter 3. The
forecasts are also briefly presented.
Two articles tend to support Freeman's hypothesis of overeducation.,
One :article, "The Incidence and Wage Effects of Over-Education" by
'Greg). Duncan and Saul D. Hoffman- (Economics of Education Review,
Vol. I, No. 1, Winter 1981, pp. 75-86), is based on questionnaire answers
...
about ,workers' assessments of the skill requirements of their own. jobs.
Russell W. Rumberger in "The Rising Incidence of Overeducation in the
U.S. Labor Market" (Economics of Education Review, Vol. 1, NO. 3,
i Summer 1981, pp. 293-314), uses data on skill requirements of jobs from
1, the Dictionary of Occupational Titles of the U.S. Employment Service. In
both articles, measures bf educatiOnal attainments corresponding to skill
requirements are compared with educational attainments of workers
holding the jobs. I
Other authorq havelpresented results that tend to contradict Freeman's
overeducation hypothesis. James. P. Smith and Finis. R. Welch ("Black-
White Male Wage Ratios: 1960-70," American Economic Review, Vol.
67, No. 3, June 1977, pp. 323-338) found that the returns to higher
education increased between 1960 and 1970.,They also show income ratios
for "males who have completed college to males who haVe completed high
school" in separate age groups for the years 1967(01969,1971, and 1973.
These ratios declined significantly only for the youngest (25 to 34) groups. ,

The ratio for this age groups in the respective years was 1.32;1.39, 1.29,
and 1.2 1
in "The Facts About the' Declining Economic Value of College," .
Freeman responds to threei representative critiques (by Russell W.
k
Rumberger, David R. Witme and Eli Schwartz and Robert Thornton) of
his work on declining econoniicTeturns to college education. The critiques
are also presented in the same issue of the Journal of Human Resources.
" Using recent data, Freeman/leemphasizes his earlier results.
Although The Over-E muted American is best known for its presen-
tation of Freeman's hypothesis of overeducation, several chapters present
information on the labor markets tiir elementary and secondary teachers,
college faculty, research scientists, engineers, physicians, losyers, and
MBA's. This material is of interest, both in itself and as a useful source of

44

80,
 INCENTIVES AND STUDENT BEHAVIOR 321.2
EFFECTS OF LABOR MARKET VARIABLES

provides
available re earch on each category of labor. The author also
The
chapters on he labor markets for college-educated blacks and women.
problems that
book concludes with a speculative discussion on future
colleges and universities,wilf face. .
appendii, has
The author's forecasting model, briefly described in an
of popula-
equations for: (1') enrollinent of freshman males as a function
of freshman
tion, college, and noncollege salaries, and lagged -values
freshMen; and (3)
enrollments; (2) B.A. graduates as a function of lagged
of demand,
college salaries as a function of lagged B.A.'s, an index
for deter-
noncollege salaries, and lagged college salaries. The equation
author's article; .
mining college salaries is described in more detail in the
"Overinvestment in College Training?" (Journal of Human gisources,
'7
importanycharacterisdc. of this
Vol. 10, No. 3, 1975, pp.. 287-311). An
equilibriate the
model is that the flow of new college graduates adjusts to
Model pro-
labor- market- for all college' graduates. This contrasts. will, the
Technology', and Higher
vided by Stephen P. Dresch in "Demography,
Education: Toward a Formal Model of Educational Adaptation" (3:0/,
from adjustments of
75.1), in which equilibrium in the stock market results
the stock demands and supplies for total educated and Uneducated
manpower.

.
3:1.2/71
,The Market for College-Trained Manpower: A StUdy in the
Economics of Career Choice, Richard B. Preen)* .264. pp.
(Harvard University Press, Cambridge, Mass.).
the economics
-This book remains the ingle most vgduable source on
-.

alternative modils of labor

of career 'choice. The author develops two
Markets for college-trained manpoWer, the 'colreb"andi."incomplete.
margin, a certain
-adjustment" models. Both models imply that, at the
decisionS based:
number of students make current career-related enrollment
model, enrollments and subsequent. ,

on current salaries. In the cobweb

, in a field fully adjust to chart' es in current
qualified new manpower
However, bsequent new
salaries at the beginning of a given time period.
demanded .a the end of the
manpower in the Sid is equal to the amount
enr011nients over time.
time period, leading to an 'oscillation Of wages and
only partially adjust
In the "incomplete adjustment" model, enrollments
that encourage further
within the defined time period, resulting in wages
adjustment in the same direction in the next time period.
cobweb
The author finds strong support for the applicability of the
of accounting,
model to the bachelor of science in engineering, the field
and the MBA. The incomplete adjustment model is found to have strong
Chemists, and
support in application, to 'the Market for doctorates,
evidence
niathematicians. The empirical support for both models is strong
in favor of the hypothaspl: that education is an investment. Professor

45
 v

3 ECONOMICS

Theodore W. Schultz hai also argued that these findings support the
hypothesis that educated individuals tend to respond more readily than
uneducated individuals to the changes in opportunities represented by
disequilibria in markets. Subsequently the author applied these models to
other professions in a number of excellent articles, including: "Labor
Market Adjustments in Psychology" (American Psychologist, Vol. 27,
No.. 5s, 1972, pp. 384-93); "Legal Cobwebs: The Changing Market for
Lawyers". (Review of Economics and Statistics, Vol. 57, No. 2, 1975, pp.
171-9); and "Supply and Salary Adjustments to the Changing Science
Manpower Market: Physici, 1948-1973" (American Economic Review,
Vol: 65, No. 1, 1975, pp. 27-39).
The book contains a number of 'additional related studies. An analysis
of the effects of stipends and starting wages on the amount of time and
competition involved in Ph.D. programs is presented: Also included is a
valuable analysis of institutional behavior id hiring faculty that includai a
structural model of the labor market for faculty. A survey of student k

attitudes and expectations about career choice is described and interpreted.

The author also discusses the implications of his research for public policy.

See also: 18:6.0/74-2 Higher EduCation and the Labor Market,

Margaret S. Gordon, ed.

2.0 INCENTIVES AND FACULTY AND INSTITUTIONS

2.1 Interactions Between InstiSutions and Students

3.21/80
"An. Econometric Mode_ l. of Higher Education," John M.
Abowd, Managing Higher Education: Economi Perspectives, pp.
3 -56 (The Center for Management of Public and Nonprofit
Enterprise, Graudate School of Business, University of Chicago,
Chicago)..
This monograph. by John Abowd is a less technical description of his
1977 study of the U.S. market for higher education, which is abstracted
below (3:2.1/77).

3:2.1 /77 .

An Econometric Model of the U.S. Market for Higher Educa-

Hort, John M. Abowd, 134, pp. (1.hdustriil Relations. Section',
Princeton University, Princeton, N..). ).
An important characteristic of 'higher education is the diversity of
colleges and universities. Previous researchers have not modeled the
higher education market in such a way Oat the diversity of higher educa-
tion institutions is behaviorally determined. Abowd accomplishes this by
46
 INCENTIVES AND FACULTY AND INST,UTIONS-
332.1
INTERACTIONS BETWEEN INSTITUTIONS AND STUDENTS

higher education as
applying a theoretical Model of implicit markets to
Markets:
developed 'by Sherwin Rosen ("Hedonic Prices and Implicit
Journal of Political
Product Differentiation in Pure Competition," PP
According to Abowd,
Economy, $2, January/February 1974, pp. 34-55). deferrnines the price as
"Competition at each point on the quality spectrum
distribution of (buyers and sellers) along the
a function of quality and the
quality choices." distribution as the number of
Abowd specifies art enrollment demand
"less than or equal to a
enrollees who demand schooling at quality levels
quality." The enrollment supply
given level for each pos,itive level of
places supplied by quality
distribution gives the number of enrollment
levels less than or equal to a given quality levels he Maintains. Both
between
mukot relationship
relationships are functionally related to the
"induces -the- enrollpient ilemand distribution
tuition and -quality,- which
be coincident along the quality
and the enrollment supply distribution to
spectrum."
In Abowd's institutions' optimal enrollmet andsquality deci-
When there is excess demand in a
sions determine the supply distributions. differentiated market is deter-
quality interval, "equilibrium inthe quality
places. Alternatively,
mined by competition among students for enrollment
eicess supply, there is competi-
when a quality interval is characterized . by
permit some rationing among
tion for students. This scheme is modified to
schook "
the very high quality public and privatp
his model provides advances
The author's theoretical development of
and of institutional Supply .
bO4 in the "theory of enrollment demand
require his perhaps implausible
behavior. His theory does not necessarily
functions emanate from trustees
assumptions that -institutional -Objective
functions giving more weight to
rather than faculty; alternative objective
toe used. His model is estimated
faculty reseanh and faculty, ,benefits could U.S. Office of Education
Using cross-sectional data from 8 years of the
and Higher Edcuation General
publications Opening Fall Enrollment of the quality of an
Information Survey. These'data permitted a measure
with revenues devoted'
institution's undergraduate offerings that increasesresearch) increase, the
to instruction. Also.,, if other activities decreases if undergraduate
measure of quality increases. The measure a variant on
enrollment increases. Nevertheless, the duality measure, the Rosen model.
instructional expenditures per studenttls not implied
Framework for Educational Output
[See William S. Reece, "A Theoretical
manuscript) -for a measure of qttality 'that is
'Measurement" (unpublished ,
implied by the Rosen model.).
f4 tuition, enroll
The author's empirical results include histograms between tuition
t'nent. and quality, andi estimates of market relationshps
the quilibrium of the higher
and qtiality that were used in interpretation ofinstitutional supply are more
education market. His empirical results. -on
47
, r.
p.fr
83
3 ECONOMICS

useful than his empirical results on enrollment demand because of the lack
of information on individual students in his data base. Differential effects
on institutional behavior of lump-sum and enrollment-related subsidies
also are shown.

2.2 Measures of Existing Incentives on Faculty

3:2.2/81
Expected Interruptions in Labor Force Participation and Sex
Related Differences in Earnings Growth, Yoram Weiss and
Reuben Gronau, 30 pp. (National Bureau of Economic Research
Cambridge, Mass.)*
This paper presents an important theoretical development that should
contribute to' future efforts to estimate faculty earnings functions. In this
paper, .the authors develop a model' in which a married 'woman's earnings
and labor force participation are jointly determined. Wages and participa-
tion are related via investment in huttian capital on the job, so that "par-
ticipation affects future wages which in turn affect future participation."
These investment opportunities, along with wages and home productivity,
determine labor' force participation. Home productivity is assumed to.
increase with the birth of a child and decline as the child grows older.
Thus, the productivity of her human capital at home competes with the
labor.market throughout a woman's career, and a choice between the, two
alternative.s at a. given tirne period 'affects earnings in subsequent time
periods.
The authors' model provides a number of insightS on the 'problems of
making inferences about discrimination. They point out: "If withdrawals
from the labor force are partially endogenous, standardization for differ-
ences in work history will underestimate the full -ffect of discrimination on
earnings differences." Also: "If women expect longer breaks in their work
career, their reduced investment in human 61)41! 1;:autild not be confined
exclusively to investments on the job. Schooling will also be reduced. If
one admits the possibility that the interruptions may be due to discrimina-
tion, a standardization for schooling in comparing male - female earnings
differences yields an underestiMate of the full impact. One may also
question the ,legitimacy of the comparisons of earnings of women and men
with the same level of schooling on the grounds of selectivity bias. Ex-
pecting an interrupted work career, women will invest in schooling as
much as men, only if they are more efficient investors."

48
84
 , INCENTIVES AND FACULTY AND INSTITUTIONS- 3:2.2
MEASURES OF EXISTING INCENTIVES ON FACULTY

3:2.2/78
"Why Women Earn Less: The Theory and Estimation of
Differential Overqualiqation," Robert H. Frank, American
Economic Review, Vol. 68,` o. 3, pp. 360-373.
This study's relatively Solid theoretical basis makes it relevant to
future research on faculty earninss functions even though it deals with
male-female earnings differentialS for all occupations. The author hypoth-
esizes that. families tend to give greater account to the husband's career
than to the wife's in their geographical location decisions when they expect
the husband to spend more time in the labor force. Women are conse-
quently more likely to be geographically constrained and must often settle
for positions for which they are overqualified.
In 'an imaginative empirical test, Frank found =that the _salaries of
equally educated and experienced wives are smaller when they and their
husbands reeide in smaller communities. Because it is often necessary to
migrate in order to obtain a preferred academic position, Frank's hypoth-
esis should be tested for academic labor markets. As Frank points out:
"The identification and disentanglement of . . . possible effects in the
estimate of the unexplained residual in the male-female. differential will
have to await the development of more comprehensive data and better
methods of analysis, but at least a much clearer picture of their combined
total size should be made possible by eliminating the effects of locationally
determined overqualification differentials."

3:2.2/76
Publication, Teaching, and the Academic Reward Structure,
Howard P. Tuclman, 122 pp. (Lexington Books, Lexington, Mass.).
This book is probably the best starting point from which to learn about
the estimation' of earnings functions for college and university faculty. It is
exceptionally well-written and accessible to nontechnical readers.
Earnings functions for faculty usually relate levels of faculty salaries
to variables such as publications, education, and experience.. Because these
functions can be estimated according to the faculty member's sex and race,
there is an interest in using these data to test hypotheses about discrimina-
faculty
t;f1i. Tuckman explains that, unfortunately, this is not a valid use of
for all
earnings functions for two reasons:-First, it is ithpossible to control
qual-
of the important causal influences on faculty earnings, inclu ling the
preferences.
ity of the faculty member's 'work and the faculty member's
Second, when coefficients in a faculty earnings function combine supply
and demand influences, the separate influences cannot be determined.
Chapter 2 is devoted to a discussion of existing research that clearly
specification and
points out the alternative approaches now taken to the
.
estimation of faculty earnings functions. Chapter 3 provides a theory that
49
85
3 ECONOMICS

underlies the author's estimates,cited in Her chapters. The discussion,

includes a figure depicting the academic labor market. There is, however,
insuffic;ent discussion Of the implication for estimation of many important
aspects of institutional demand and individual faculty supply, behavior. In
particular, how would one control for a faculty member's experience,
options, and quality of research and publications? In regard to institutional
behavior, how would one control for political behavior in the determina-
tion of salaries when colleagues evaluate one another? How would one
control separately for demand and supply influences? .

Chapter 4 is devoted to issues related to using faculty earnings func-

tions to deal with possible discrimination. The author explains a number of
possible misuses of earnings functions in this context. However, a number
of problems are not discussed; most importantly the need for a testable
theory of discrimination in academia with explicit tests of the theory. -(For
a theoretical discussion of causal determinants of discrimination, see
Joseph E. Stiglitz, "Approaches to the EcOnomics of Discrimination,"
American Economic Review, Vol. 63, No. 2, pp. 287-295. Also see
Kenneth 1. Arrow, "The Theory. of Discrimination," Discrimination in
Labor Markets, Orley Ashenfelter and Albert Rees, eds., Princeton, N.J.:
Princeton University Press, 1963.) Without such a theory and in the
absence of measures pf quality, preference, and other i'mportant influences
on faculty earnings and of the capability to separately estimate demand and
supply influences on earnings, the attribution of unexplained differences in
salaries (e.g., between men and women) to discrimination is subject to
major error.
Chapter 5 thoughtfully discusses the problems a univesity faces in
making choices between uniform salary structures and differentiating
salary structures by field. Chapter 6 provides a number of calculations of
returns to the faculty member from publication; as well as The effect of
reward structures on faculty allocation of time. Chapter 7 contains a dis-
cussion of the appropriateness of economic incentives on faculty.
Future research on faculty earnings functions will probably be based
on hedonic wage equations. For an application of hedonic wage equations,
see Robert E.B. Lucas, "Hedonic Wage Equations and Psychic Wages in
the Returns to Schooling," American Economic Review, 67, September
1977, pp. 549-558. A recent application to an academic labor market is
provided by Edward S. Pearsall, "An Hedonic Price Model of the Aca-
demic Labor Market: An Application to Ph.D. Biologists," unpublished
paper, Department of Economics, The George Washington University,
1981.

50

86
 INCENTIVES AND FACULTY AND INSTITUTIONS- 312:i
MEASURES OF EXISTING INCENTIVES ON FACULTY

3:2.2/74
"`The Earnings.and Promotion of Women Facultyi", George E.
Johnson and Frank P. Stafford,- American Economic Review, Vol.
64; No. 6., pp. 888-903.
This paper illustrates the difficulty in using reduced form earnings
functions to make separate inferences about supply and demand influences
on differential earnings of female and male faculty. The authors point Out
that, "Male-female differences in salaries are often attributed to dis-
crimination; an alternative explanation is that the differential is primarily
generated by the market's reaction to voluntary choices by females with
regard to lifetime labor force.participation and on-the-job training." .
In the authors' model; it is assumed that female academics make
smaller investments in their careers in anticipation of dropping out of the
labor force or working part-time' to raise children Inparticular, the authori
that female academics are likely to forego opportunities to take lower
paying positions at prestigious institutions that would enable them to
develop skills from association with senior colleagues.,Without such skills,
subsequent salary growth is smaller. The authors suggest that women's
reentry to the labor force, after their childrearing years, is relatively
permanent and their careers begin to catch up with those of men.
The authors' reduced form earnings function includes experience,
whether one's Ph.D. is from a top-ten program, and noncitizen and feniale
.status: They take separate account of pre- and postdoctoral experience, and
the postdoctoral experience variables and squares of these variables are
-interacted win female status as well as entered separately. The squared
terms were introduced to test for the hypothesized earnings profiles.
Specifically, the. au&ors expected and found in a cross-sectional sample
that, for females, experience had a negative effect and experience squared,
had a positive effect (significant in only half the fields studied) that
becomes offsetting, presumably after the childbearing years.
Myra H. Strober and Aline 0. Quester ("The Eaniings and Promotion
of Women Faculty: Comment," American Economic Review, Vol. 67,
No. 2, pp. 207.-13) suggest that Johnson and Stafford's coefficients on
experience might simply be measuring the time profiles of salary dis-
crimination. They point out that since such an interpretation is possible,
Johnson and Stafford should have presented independent evidence on "(a)
initial job preference patterns of women Ph.D.'s; (b) starting salary
differentials between prestigious (i.e., human capital-building) institu-
tions; and (c) drop-out and reentry patterns of women in "acadenlic posi-
tions; " Strober and Quester present some evidence on these variables that
supports their position; most importantly, they show that only a minority of
academic women drop out of the laborforce and that the median length of
time for those that do is only 14 months...However, in a rep y ("Tim
Earnings and Promotion of Women Faculty: Reply," American Economic

,87
3 ECONOMICS

Review, Vol. 67, No. 2, pp. 13-17), Johnson and Stafford cite comparative
census data showing that women academics are considerably more likely
than men to be out of the labor force. Strober and Quester also point out the
importance to,a potential labor force reentrant of the type of contacts that
can be established at a prestigious institution.
The ambilluities pointed out by Strober and 'Quester conceivably
could be overcorr, with more refined data on work histories of academic
personnel and *cif independent tests of the assumptions of Johnson and
Stafford's theory. However, the experience variables could nonetheltss
represent influences on demand as well as reflect supply behavior. Thus,
future efforts to make inferences about supply should be based on actual
supply relationships rather than reduced from earnings function:
Using longitudinal data,.Stephen Farber ( "The Earnings-and Promo-
tion of Women Faculty: Comment," American Economic Review, Vol.
67, No. 2, pp. 199-206) was able to control directly for whether an
academic was working full time at an NSF biennial census year: He found
a strong effect of such status on subsequent earnings and thus generally .
supported Johnson and Stafford's main conclusion. However, his results
differ in a number of respects. For example, he found that predoctoral
experience is positively related to postdoctoral salary increases. An object
of future research will be to resolve these differences.

2.3 Issues in Altering Incentives on Faculty and Institutions.

3;2.3/76.1
Education As an Industry, Joseph N. Froornkin, Dean T. Jamison,
and Roy Radner, eds., 489 pp. (Ballinger Publishing Co.,
Cambridge, Mass.).
This book contains I papers given at a 1971 conference, "Education
As an Industry," sponsored by the National Bureau of Economic Research
at the University of Chicago.
`The first Part of the book deals with educational production. The first
paper, "The Ph.D. Production Process," by David W. Breneman, sum-
marizes his important study of departmental behavior in granting Ph.D.'s.
Assuming that academic departments maximize prestige and that a depart-
ment's prestige is influenced by the prestige of the departments in which its
Ph.D. graduates, are placed, he provides empirical support for the hypoth-
eses that academic labor markets and university budgetary policies.relating
departmental budgets to enrollments (rather than graduates) explain depart-
mental differences in average time of candidacy and in student attrition.
In a paper by Dennis J. Dugan, "Scholastic Achievement: Its
Determinants and Effects in the Education Industry," variables measuring
effects on potential students "of the home, school and community" are
found to influence not only actual enrollments but also earlier aspirations
52
 INCENTIVES AND FACULTY AND INS' ONS- 312.3
ISSUES IN ALTERE4G INCENTIVES ON FACULTY AND IN ONS

and enrollment plans. The author also analyzes admissions decisions by

colleges, and some of the determinants of scholastic achieveinent.
"Graduation, Graduate School Attendancf, and Investment in Col-
lege Training," by Lewis J. Peri, describes studies of college graduation as
a function of variables for student financial fitatus (including time spent
working while in college), ability measures for the collegiate student body,
and characteristics of the institution (inclUding expenditures per student) on
instructionally-relited activities and on "reseftrch and extention."
Findings are ,interpreted to represent in titutional production behavior,
although they may in fict represent conti ing enrollment demand.
f The final paper on educational production is Henry M. Levin's
"Concepts of Educational Efficiency and Educational Production," which
discusses a number of theoretical problems in the interpretation of esti-
mated educational production.functiOnssuch as differences in production
technique and in preferences of participants in the educational process. The
author also makes the point 'that' when these functions differ, "Optimal
fictor proportions will vary from firm to firm, and a uniform adoption for
the industry will reduce allocative efficiency."
The second part of the bodk contains two papers on compensatory
education. "Cost Performance of Computer Assisted Instruction for
Education of Disadvantaged Children," by Dean T. Jamison et al.,
evaluates three computer-assisted instructional programs for disadvantaged
students: elementary arithmetic, initial reading, and compUter p gram-
ming for high school students. The authors evaluate achieveme t and,
using Gini coefficients and other Measures, evaluate the degree to which
disadvantaged students cloyed the statistical gaps between themselv s and
others. The other paper, "A Study of the Relationship. of Instruc Tonal
Procss a ad Program Organization to the Success of Compen atory
Education Projects in California," by Harbert J. Kiesling, app, ies a
production function approach, to evaluate compensatdry education projects.
The third part of the book, deVoted specifically to higher education,.
contains four papers. "Demand for Higher Education in the United States:
A Second Progress Report" provides a large portion of the,major study of
enrollment demand presented in Roy Radner and Leonard S. Miller,
Demand and Supply in U.S. Higher Education (3:1.1/75). June O'Neill's
well-known work on productivity in higher education is presented in
"Productivity Trends in Higher Education." An interesting paper by
Robert M. Oliver and David S.P. Hopkins, "Instructional Costs of
University OutputS," provides an alternative methodology for calculating
higher eduation costs in which the unit of cost is a cohort of students over
their entire careers in an institution. "Faculty-Student Relations in U.S.
Higher EdUcation" presents Roy Rad'ner's important study of these ratios
and related institutional behavior. (See annotation of Radner7Miller
volume, 3:1.1/75.)
53
89
 ECONOMICS

The book concludes with a thoughtful discussion by Joseph N.

Froomkin of "Policy Issues' in the Education Industry." The author
evaluates the concept of educational production functions and argues "that
a better understanding of learning theory may contribute to the building of
more realistic educational production functions."

3:2.3/76-2*
University Costs and Outputs, Studies on' Education, Vol:. '6,
Donald Verry and Blefidyn Davies, 277 pp. (Elsevier Scientific_
Publishing Co., New York).
This book, an economic study of British universities, is the most
thoughtful empirical study of production within higher education to date,
and probably is as successful at possible in- quantifying-production in
higher education. Thus, the reader can use it in part to judge the potential
of production information to validly inform central university decision-
making.
The authors developed a straightforward economic theory of univer-
sity production. From their, theory, they derived both production functions
that express relationships among .inputs and corresponding outputs, and
unit cost functions that express each output's cash unit cost, given the level
of output and the choice of combination of inputs used to achieve the
output. These relationships take accodnt of the possibility that research and
instructional outputs can be produced more efficiently in conjunction with
one another. To estimate_ the coefficients in their cost and production
functions, the, authors collected an enormous data base. Measures of
inputs, outputs, and costs for instructional and research activities. were
constructed for most British universities' academic departments grouped
into categories for.arts, social sciences, mathematics, physical sciences,
biological sciences, and engineering. Multivariate 'statistical analysis was
used for the estimation, with a variety of different measures of variables
and fOrms of mathematical specification of the cost and production func-
tions.
The authors attempt to answer three questions with their estimated
functions. First, are there economies of scale; i.e., when all inputs increase,
proportionately, do outputs increase more than propOrtionately? Second,
what are marginal costs, as opposed to average Costs, of production in
higher education? Third, when are research and instructional activities
performed more efficiently together than apart? Using interesting graphics,
the authors provide estimates of Enarginal costs in comparison with average
costs for different levels of output for each category or department. The
answers to the first and third questions are inconclusive.

This annotation consists of portions of a book review by Stephen A. Hoenack, published in

the )(aortal of Higher Education, Volume 49, No. 3, 1978, pp. 296-298,
- -
. 54

90
 LNCEWTIVES AND FACULTY AND INSTITUTIONS-- . 3t2.3
ISSUES IN ALTERING INCENTIVES ON FACULTY AND INSTITUTIONS

In attaching meaning to the authors' empirical work, two issues

should be kept in mind. The fist is the validity of the measures used for
inputs and outputs. The limited availability of data forced the authors to
use extremely crude measures. The two measures of research outputs used
were counts of,, articles and hours of faculty time spent on research, the
latter being an input used as a proxy for output. The measures of instruc-
tional outputs used were numbers of students and the levels of degrees.
Students' initial levels of achievement were controlled by average grades'
previously earned. Inputs attributed to each output included 'measures of
faculty time based on questionnaire responses to surveys of faculty activity
and data on other inputs, such as nonacademic staff, which were attributed
problem with
to outputs proportionately with faculty inputs. An obvious
these measures is that their quality may vary. ,
The second important issue is the set of incentives that influenced the
behavior underlying observed production activity. A major- goal of
examining production relationships is to learn about the most technically
efficient modes of operation; it is crucial to able to assume that observed
behavior depends on strong incentives to be efficient. In highly .competi-
five industries this assumption is usually realistic, but in higher education it
is most questionable4 A related difficulty. is ill* incentives to give greater
impo'itance to one output than to another cah create the appearanCe of
inefficiency in the production of the other if inputs °are not fully attributed
to each output. Incentives are probably not uniform among universities,
causing the production data to represent .varying degrees both of in-
efficiency and relative importance of outputs. Although- the authors
compensated forothis proklem by omitting data on Great Britain's most
prestigious research institutions, incentives surely must vary substantially
among the remaining institutions.
See, by the same authors, "Cost Functions for University Teaching
55-74.
and Research," Economic Journal, Vol. 85, March 1975, pp. w.

3:2.3/74
Efficiency in Universities: The La, Paz pers, Ke G.
Lumsden, ed., 278 pp, (Elsevier Scientific lishing Co., New
York).
This book contains I I .papers by well7known econo '4 on issues
related to efficiency in universities. The papers are organized within 'four
sections.
The first section, "The Role of the University,", contains Kenneth J.
Harry G.
Arrow's well-known paper, "Higher Education As a Filter" and
Johnson's "The University and the Social Welfare: A Taxonomic Exer-
cise," a thoughtful discussion .of. the economic roles of a 'university's
participants and clientele:
55.
 F.CONOMICS

There are three papers in the second section, "The University As a

Productive Unit." In "The University As a Multi-Product Firm," Donald
V .T. Bear explores the appropriate centralization of decisionmaking
authority and the various uses of information for university efficiency.
"On the Measurement of Inputs and 'Outputs in Higher Education," by
G.C. Archibald, and "Educational Production and Human Capital Forma-
tion," by Richard Attiyeh and Keith G. Lumsden, explores issues in
quantifying production relationships in higher education. [Another
reference to this topic is Donald Verry and Bleddyn Davies, University
Costs and Outputs (3:2.3/176-2)1.
Two papers constitute the,third section, "New Techniques in Uni-
versities." In "The Cost-Effectiveness of the New Media in Higher
Education," Richard Layard provides a cost-benefit analysis of alternative
instructional. techniques. Keith G. Lumsden quantitatively, analyzes course
evaluation determinants in terms of student characteristics and the im-
portance attached by them to different aspects of courses.
The fourth section, "Financing University Education" includes a
paper by William C. Brainerd titled "Private and Social Risk and Return to
Education," which "analyzes the importance of access to perfect loan
markets in a world of certainty" and deals with the effects of uncertainty
on the attractiveness of investment in education. The remaining papers in
this section, along with Richard Attiyeh's introductory essay, discuss. a
number of problems in using market incentives within universities. Attiyeh
'emphasizes issues in ensuring, that basic research is properly priced..
Melvin W; Reder, in "A Suggestion for Inereasing the Efficiency of
Universities," also discusses the pricing of research and suggests that by
requiring students to pay extra for "high participation" options that
involve heavy use of instructional time, a university could induce students
to use this valuable resource economically. Paul H. Cootner provides an
especially important discussion of the concept of economic efficiency in
universities in "Economie Organization in the Modern University." Baied
on this discussion, the author evaluates the potential for use of the price
system to improve efficiency.
For other discussions of economic efficiency and market incentives
within universities, see: David W. Breneman, "Internal Pricing Within the
Universitya Conference Report" (Report P-24, Ford Foundatioh Pro-
gram for Research in University Administration, Berkeley, California,
1971); John Dunworth and Rupert Cook, "Budgetary Devolution As an
Aid to University Efficiency" (Higher Education, Vol. 5, No. 2, 1976, pp.
153-167; Stephen A. Hoenack and David J. Berg, "The Roles of Inten-
tives in Academic Planning" (Academic Planning for the 1980's, New
Directions for Institutional Research, No. 28, 1980, pp. 73-95); Stephen
A. Hoenack, "Direct aad Incentive Planning Within a University" Socio-
Economic Planning Sciences, Vol. 11, No. 4, 1977, Pp. 191 -204; Stephen

56
 iiNCEN11VES AND FACULTY AND INSTITUTONS 344
ISSUES IN ALTERING INCENTIVES ON FACULTY AND INSTITUTIONS

A. Hoenack and Alfred L. Norman, "Incentives and Resource Allocation

in Universities" (Journal of Higher Education, Vol. 45, No. I, 1974,, pp.
21-37); Richard Layard and Richard Jaclunan, "University Efficiency and
University Finance" (Essays in Modern Economics, London: Longmans);
Mark Nerlove, "On Tuition and the Costs of Higher Education:
Prolegomena to a Conceptual Framework" in Investment in Education:
The Equity-Efficiency Quandry (3:4.0/72).
An important economic analysis of faculty behavior in response to
incentives is provided by William E. Becker, Jr., in "Perspectives From
Economics: The Economic' Consequences of Changing Faculty Reward
Structures," one of the papers in Academic Rewards in Higher Education
(26:3.1/79). The other papers in this volume present economic and non-
economic analyses of the issues in introducing incentives in universities.
recent study- (The Economics -of Vniversity Behavior,
Academic Press, 1980) David A. Garvin takes an alternative approach to
that of analyzing the effects of incentives. on ac4,,emic personnel. He
specifies a university's objectives as prestige and the quality and numbers
of its students, and he proposes that universities maximize these objectives
subject to the constraint that their revenues are greater than or equal to their
costs. The author's model is useful in predicting aggregate trends in higher
education, e.g., characteristics of private versus public institutions.
However, it is much; less successful in the analysis of behavior within
institutions.

3:2.3/72
Economic Analysis for Educational. Planning, Karl A. Fox, 376
pp. (Johns-Hopkins Press, Baltimore, Md.).
This -volume discusses, from an economic perspective, optimization
models in which a decisionmaker's objectives and constraints are quanti-
fied, and provides calculations of actidns that maximize achievement of the
objectives. The book covers most of the advances in the postwar period in
the design, interpretation, arid computation of optimization models. Prob-
lems of using optimization models are discussed more thoughtfullithan in
most other sources. However, even here inadequate attention is given to
the contexts in which these models are unlikely to be useful. Nevertheless,
the quality of-each chapter is superlative.
In the first chapter, Karl A. Fox provides an overview of issues in
modeling behavior in nonmarket settings. Chapters 2 and 3, by Ian K.
Sengupta, discuss and evaluate several types of optimization models and
explore issues in interpreting optimality in nonmarket settings. The author
also discusses intervention in internally established
markets to achieve
optimality; an approach to planning is thus derived.
Chapters 4 and 5, by T. Krishna Kumar, provide a rich discussion' of
issues of modeling behavior in an environment of deCentralized decision-

57-
CL
93
 3 ECONOMICS

making, which is an important characteristic of much of education. The

author discusses the concept of decomposition in behavioral models, and an
application of this concept to educational systems is demonstrated. Chapter
6, by Sengupta, shows the different optimal solutions for alternative
models using actual data from an academic department. In Chapter 7,
Bikas C. Sanyal provides an overview of the actual ,Practice of systems
analysis in higher education, including the uses of, simulation models to
O
explore .consequences of alterrunive decisions. Chapter $, based on
experience in applying optimization models to units he.hai headed at Iowa
State University, Fox discusses data prpblems in implementing these
models and approaches he has used in measuring academic quality. In
Chapter 9, Fox describes optimization models, including one employed for
planning of extension services in Iowa, and his excellent and well-known
_work on .departmental planning. In a final-chapter, on areas of potential
application, Fox states: "Although-glamor may attach to models of whole
universities and 6f national educational systems, the optimizing ipproach
may prove to be most valuable at department and subdepartment

3:2.3/64
Higher Education in the American Economy, Andre Daniere, 206
pp. (Random Nouse, New York).
This book is the most comprehensive discussion of the potential role of
pricing in higher education for the purpose of "increased well-being 'for..
American society at large." It is also, perhaps, the best available discus-
sion of the appropriate involvement of government in higher education. As
a measure of the quality of the book, if the author were to revise it, taking
into account the .large quantity of -eMpirical research since the-book was
written; he would_ not need to alter much his behavioral analysis or policy
recommendations. (An exception is the author's proposalfinit planners
make projections of occupational manpower needs).
The book begins with an evaluation of the potential contribution of
economics to policymaicing, given the goals and constraints of the policy
setting. Chapters 2 through 5 offer a comprehensive discussion of pricing
in higher education, including the author's well-known advocacy of
relating prices to costs. The author analyzes pricing in the presence of
jointness in production and economies of scale, and discusses major im-
perfeaions in the higher education market, including absence of informa=
tion and defective capital markets. Chapter 6 is a superb discussion of the
major problem of correctly pricing research activities, particularly when
research does not directly benefit any .potential buyer such as the govern-
ment and when research is produced jointly with instruction.
Chapters 7 and 8 systematically derive specific proposals for govern-
mental involvement and planning in higher edhcation to ovtrcome imper-
fections in the higher education market. This is truly one of the least ad hoc
58

94
 INCENTIVES AND PUBLIC AND PRIVATE FUNDERS-
INTERACTIONS BETWEEN PUBLIC AND litIVA'TE FUNDING

discussions of higher education planning available. The author also

summarizes many of his well-known policy recommendations, including:
combining high tuition with subsidized loans; financing a broad, active,
information and counseling program in "strategic" high school years; and
partially or totally subsidizing the freshman year:
Chaptets 9 and 10 evaluate, on grounds of economic efficiency, the
existence of free public higher education and the co-existence of free
public higher, education and high-priced private higher education. (On the
latter, see also Michael Clurman, "Does Higher Education Need More
Money," The Economics and Financing of Higher Education in'the U.S.,
Washington, D.C.: U.S. Government Printing Office, 1969, pp. 632-651.)
Chapter 11 is a further discussion of higher education planning in terms of
regulating competition, and Chapter 12 is a discussion of efficiency in
primary and secondary education:

3.0 INCENTIVES. AND PUBLIC AND PRIVATE FUNDERS

3.1 Interacticns Between Public and Private Funding

3:3.1/76
"Public Spending for Higher EduaitiOU: An Enipirical Test of
Two Hypotheses," Charles T. Clotfelter, Public Finance, Vol. 31;
No, 2, pp. 177-195.
This study presents estimates from a model in which separate equations
appear for,public expenditures on higher education and for individual
demand for attendance in public institutions. The author 'intends that the
public expenditures equation test two hypotheses about the' nature of public
spending: "welfare-maximization," in which a measure Of outmigration of
college graduates is argued to relate to a state's benefits of subsidizing
higher education; and "fiscal illusion," in which measures of simplicity of
the tax structure are argued to relate to the public's perceptions of costs of
public services and, correspondingly, its willingness to Pay for them.
Enrollments in public institutions appear in this equation as a deter-
minant of public demand for higher education. The equation for individual
demand for attendance in public institutions, i.e., the level of enrollments
in these institutions, includes variables for average tuition in public institu-
tions, a number of variables- for the socioeconomic composition, of 'the
state, and a set df regional "dummy" variables. Average tuition in private
institutions is not included in this equation, and the author apparently does
not treat tuition in public institutions as determined within the model via
the variable for public expenditures.
Results for the expenditure function provide modest support for both
hypotheses. It was found that tuition charges in public institutions were not
related to public expenditures orilhigher education. However, this result
59

95
 ECONOMICS

could be due to treatment of tuition charges as not determined within the

model, zo.misspecification Willie individual enrollment demand function,
or both.

3:3.1/73
"The Effect of Government Subsidies-in-Kind on Private
Expenditures: The Case:of Higher Education," Sam Peltzman,
Journal of Political Economy, Vol. 81, No. 1, pp. 1-27.
This study is a pioneering attempt to estimate the effects Of public
funding of higher education on priVate funding of higher education, and
vice versa.
The author's theoretical discussion analyzes the behavioral effects of
public tuition as a subsidy-in-kind. Empirical estimates are based on a
_
two- equation cross- sectional _model that explains total levels of per capita
education and general' expenditures (excluding orgatOzed research expendi-
. tures). in each state's public and private institutions.,Explanatorx variables
include: per capita income (governmental revenue for public institutions,
personal income for private institutions); high school graduates divided by.
population; estimates of outmigration of state residents to attend, respec-
tively, public and private institutions; and,in each equation, the dependent
variable in the otherLequation. These latter variables were used to estimate
the effects of public on private funding and vice versa. For example', in the
equation for private funding, the coefficient of public funding provided
an estimate of the dollar reduc;:an in privats-institution expenditures per
dollar increase in expenditures-at governnOTtal institutions," The author
found that this amount is about 60 'cents, and, in an equation modified to
exclude public .fundiiig of out-of-state students, the displacement rises to
approximately 70 cents. The author'also estimated equations for public and
private enrollments in each.state and found `:'that.most government higher=
education resources replace private resources with these. resources being
spread over somewhat more students."
A significant aspect of thePeltzman model is the aggregation of
behavioral relationships. The relationship for public funding of higher
education-aggregates student behavior andgovernmental subsidy behavior.
Similarly,' the relationship for private t'unding aggregates behavior of stu-
dents and.; private donors. An important next step in understanding inter-
relationships between public and private funding of higher education will
be the development and estimation of models that treat these relationships
separately.

96
 INCENTIVES AND PUBLIC AND PRIVATIMINDERS 3:3.2
TAX PUNY AND DONOR BEHAVIOR

3.2 Tax Policy and Donor BehaVior

3:3.2/79
"CharitableTConr ibutioos: New Evidence on 1-1odsehold
Behavior," William S. Reece, Americw1.Economii' Kevie;
69, No. 1, pp. 142-151.
Fo'r annohniOn, see 3:3.2/73.

3:3.-
"The Incom 'tax and Charitable Contributions: Part 11---,The
Impact of Rehgious, Educational and Other Organization.4"
Mattin Feldstein, Nation..: TaxJourna 1, Vol. 28, pp. 209-226.
-SincerdorratiOns=to:higher education-institations- are a major soUrcv_ of
.
their income, the itilluence -of, government on these donations .forms an,
important part of higher -.:1;ducation policy. Martin Feldstein's study is a
pioneering attempt to estimate the effects of income and price (including
tax deductibility) on charitable giving. He employed a stA of Limp published
by the internal Revenpe. Service in 962, whii:h provided itemized-
charitable contributions in 17 adjusted gross, income cla'ssesforducalional
institutions and four other classes:of charities. Unfortunately, the educa-,
tional institutions gtegory includes elementary and secondary, as well as
higher education. However,. it is likely that 'the bulk oti giving in this
category is,to colleges and universities. The author found that both income
-and p1icc haye large and4statistically _significant effects on.charitabiegiying
to educational institutions,
One-data problem that-Feldstein. had was the tnied to .measure price
"by. using the 1962 marginal tax rate for a joint return with the average
taxable income in class As a result, with a single year's cross-section-
.
gAample of aggregate data, the price is functionally related to taxable
The author dealt with this problem imaginatively; however, he
.

posits that there may remain an overestimate of the price elasticity.

4. in another study, (3:3.2/79),
William S. Reece employed data from
the ' ,.au of Labor Statistics' ConsnMer Expenditure Survey and Was able
,./o obt i variation inthe price variable independent of the income variable
41 individual tax rates in the state of residence of the donor, as well as by
including nontaxabre income in the income variable. 'Reece' found a
statistittilly insignificant effect of the price variable for contributions to'
edutational,inmitutions., H,owever, Reece's data includethouseholds having
incomes up f'eldstein's IRS data show' qiiit a major portion of
giving to educational institutions occuts al higher /incomes.

if I

9`l
 fic.oNforvikas
t
4.0 ECONOMIC IMPACT OF HIGHER EDUCATION ON
STUDENTS ,

a
3:4.0/80
"Sibling Models and Dita in EconomicS; Beginnings of a .
Survey," Zvi:Griliches,:Jourval of Political EcoOmy, Vol. 87,
. * ,
, For annotation, see 3:4.9/77- I r

.k
"Testing the Education Scr*ening Hypothesis," John G. Riley;
rlournal of Political Econotnies, No: 5,pp: 5227-5252.
11.
Forannotation,-see 3:4.0/74-. . .

3:4.0/79-2
' The Economics of Education; Elchanan Cohn, 45 I pp. (Ballinger
. Publishing Co., Cambridge, Mass.).
This book is the most comprehensive single *source on the literature of
. the economics of educatio4, and Much of this literature is interpieted in an
extrtmely interesting discussiona..,
b
The book enablts one to become readily accfuented with. the vast
literature on .a .number of topics. Separate chapters are,. presented .on:
education and human capital in the history 'of economic shoughlt benefits of
education; costs of education; benefit-cost analysis; educatiop 'anti
44economic growth; production and cost functions in education; teachers'
salaries;- financineg- education; and educational- planning. Separate dis:
cussions pertaining to elementary and secondary education and higher
education are.preserfted within each chapter.
.Perhaps of most. interest to researchers on higher education issues are
the thoughtful discussions of research on production and cost functions, on
the benefits. of higher-education (includinc those -that accrue to'other thane
the educated individual), and on earnings functions and the cost-benefit
analyses based on them. In addition to.covering research' on the topics 4

themselves, the volume summarizes the critical, evaluation of research on

each topic. The coverage of the research controversies is thorough and
insightful, and the ,author often points out important policy issues related to
these disagreements. There is' also a yaluable discussion of educational I
planning, although this presentation does not deal with the ,)sibleuses of
incentives in planning &kwith the (often unintended) behavioral incentives
implicit in centralized planning mechanisnks. t.)

62

I
 .

ECONOMIC IMPACT OF HIGHER EDUCATION ON STUDNTg

3i4.0
.* .
. -.
.

Professor Cohn is to be commended for producing a volume of sub-

stintiat use to profesSionals in so many areas of education, In particular,
the comprehensiveness and'excellent -writing make this volume indis-
pensable to ecdnomists.and planners working on education policy at the
elementary secondary, and postsecondary levels.

3.4.0/77-1 1

- "Estimating the Retyrns to Schooling:, Some EcononAttric

.
Prohlems," Zvi Griliehes , Econometrica, Vol.`45, No. 1, pp. 1-22. .
...
Zvi Griliches' 1977 paper provides an important discussion of the
possible causality Underlying estimated "earning functions," which relate
&
earnings to years chooling and 'other variables. The author gives ear- '
ticul r- anfion
ute M:earning_ ability_as .a causal influence ,separtue from
otsch ling and to how failure to ecintidl foi ability can lead to overestimates
i
of.the effect of schooling on earnings. .
.

The author outlines twoextreme views: one in whith test scores may
be regarded as nicasures of ability, and another intwhich ability includes .
independent causal influences such as "energy" or "motivation." The
author suggests a middle ground where ability relates _to' test scores and
family background variables. A stiuctural model is proposed that includes
an equation for ability as a function of test scores and familly background,
equations for interrelationships between test scores, ability, and schooling,
for'
and an earnings function relating earnings to schooling and instruments
: ability, including alternative test scores. Estimates of an abbteviated
version from'the National Longitudinal Survey
.,,, of this model based on data schooling on earningg when the ability
show a somewhat'sm'aller effect of
measures
.... are included in . the earnings equation. When the model is
expanded to include schooling as an endogenous variable, it *vides
substanlially higher estimates of the effect of schooling on earnings.
While this study goes considerably beyond similar efforts, die author 1
emphasizes many importantaproblems not dealt with in his
model. These-
include the role of on-the-job training and experience, consumption'!"
these
benefits of schooling; and nonruonetary returns to, schooling. On
and Experience
three topics, kspectively, see Sherwin Rosen, "Learning N.
Vol.. 7, Summer
in ;the Labor Market" (Journal of Human Resources,
1972, pp 327-342); Edward Lazeat, "Education: Consumptionot Produc-
1977,;ppA69-
tiOn?" (Journal of Political Economy, Vol: 85, May/June
597); and Robert E.B. Lucas, "The Distribution of Job` CharaCteristics"
54, November 1974, pp. 530 -
(Review of Economics and Statistics, Vol.
540). Another attempt to deal with. the omitted variable pr9blene isiGary
of
Chamberlain, t'EducatiOn, Income and Ability' Revisited" (Journa/
However, the work of Paul
Feu metriis, Vol. 5, 19770. pp. 241-257).
i
nan (see 3:4.0/76;2) strongly sugests that available.
instruments for
TautkTau . .

63

4
99
 3 ECONOMICS

ability and family background are unreliable. Also, Stepho P. Dresi:h and
Adair L. Walde,nberg have provided a human capital investment model that
,
treats test scores as an endogenous variable that is jointly dotertnined with
schooling decisions. This model and some preliminary.empirical tests are
provided in "LabOr Market Incentives, Irtelletual Competence and
College. Attendance" (Institute fdr Demograt.Nhiv and Ecimomic Studies;
March 1978, to be Published by JAI Press).
In a 1980 paper (see 3.:4.0/80), Grilithes specifically evaluates those
studies of the effects of schooling on income that employ sibling data.

3:4,0/77-2
"Economics of Education: An Assessment of Recent'
Methodological Advances .and 1Qlnpirical Reiults," George
Psaeharopoulos, "Sacial-Science Information, VOL 16, No. 3.pp.
351-371.
This article presepts a survey of empirical research on the economics'.
of education that could be helpful as a first readingonthe topic, Only part
of the research discussed is on higher education pet se' However. much of
the discussinof other parts of the educatio-n sector (e.g., on returnIko
elementary and secondaryeducation,relatives'to higher education) is likely
to Oh of interest to the highs education planner.
The survey summarizes: (I) recent shifts in emphasis in research,
including issues' related to income distribution; (2) sociological tools used
by economic !researchers; (3) major results on the economic effects of
schooling. ( without -discussion of posAitilities lorsputions attribution of
earnings, to schooling)--e.)g., that "Ke vial" profitability of education is
higher at-the rower-lev,t1s of-education, cspecfally in letis developed-youri
tries, '-'education do....s not.act.simply as a screening- destiee,'-f-and. as
usually measured, haS a small _effect on earnings"; (4) the author's inter-
pretation, of the policy implications, including "Stop the elaboration of
a
global, long-range educational plans and concentrate on speciqc short term
projects"; and,(5) sugge,;tions by the author of likely fruitful and unfruitful
topics for future research.
The author concludes that "research .argivity (should concentrate) on
how to produce flexible men to titan ever-changing society."

3:4.0/76-1
"Human Capital Theory: A. Slightly Jaundiced Survey," Mark
Blaug, Journal of Economic Literature, Vol: 15, No. 3, pp. 827 -.;
855.
In some respects; this article is already outdated. Howevpr, it is
probably tthe best source for an evaluation of existing research on thg
.

.econotics of human
capital, including the economics of higher education.
The article is also ti useful survey of existing research.

100
 * ECONOMIC IMPACT' OF HIGHER EDUCATION ON STUDENTS
34.0
ft
o

Based, on WO* of Imre Lakatos, the author characterizes research on

human capital as a "scientific research program" with a "hard core" and a
';protective bell.:'' The forma' represents the basic concept of human
'capital as that in which "people spend on themselves in diverse ways, but
'for the sake of future pecuniary' and nonpecuniary returns.", The latter
,represents the articular testable human capital theories on
research,
has been done. The author also makes adistinction between a "pro-.
gressive" research %program in which theories predict "novel, hitherto
unexpected facts'' and a "degenerating" researc) program which "ac-
commodates" whatever new facts become available by endless additions
of ad hoc ?epicycles.'" Much of the duthoes" evaluative discussion is
organized around thtse distinctions. ,

The author elaltiates four specific research areas. The first is the
=demand for schoolling,_-including_ the_demandfor study, in specialized
fields. He argues that insufficient research has been done on this topic and
that much of existing research has failed to account for instructional supply
behavior. Regarding theasecond area--1--the supply of and demarisi for labor
training the authpr argues that existing research fails to "separate
appreciation of human capital over time due to costless learning-bp.doing
from appreciation due to costly 4elf-imploventent by workers. . . ." He
also states that it remains to "squkre 'the picture of workers choosing
firms
between jobs with different earning-learning ratios with tht notion of
jointly producing goods and services' or their customers and giving learn-
analyzed by
ing opportunities to their employees." (This issue had been
Sherwin Rosen in an article cited under 3:4.007- I.) The third research
Social rites of return.: The
area discussed 6" the calculation of ,private and
autEor pointi out the failure of human capital theory to adequately explain
in
differences In returns: "The steadfast refusal to'exploit,these anomalies
best indication we have
a further ,btiOst Of fruittblheorizing is perhaps the
have started. to
that the human-capital research program may indeed
functions.
'degenerate: ' " Ac,fourth research areais estimates of earnings
and in
It is argued that "An earnings function is a reduced form equation
'underlying
the absence of estimated structural coefficients of the
simultaneous-equation model, we haVe every reason to stisrlict that the
with usk by
coefficients of the single equation are biasedt." The problems
researchers of proxy Variables to control for "ability" in earnings func-
tions are also pointed out,.along with the failure of most researchers to use
longitudinal data.
to
The author evaluates the relationship of the screening:hypothesis
titiman-capital research. He concludes that: "In all likelihood, the human-
away to be
capital research program will never die, but will gradually fade
swallowed up by the new theory of signaling, the theory of how teachers
sellers
and students, employers and employees, and indeed all buyers and
about
select each other when their attributes matter but When information
,

101
 it.
3 ECONOMICS

these attributes is subject to uncertainty. In time,' the screening

hypothesis
will be seen to have marked a ,turning point .in the 'human Vestment
revolution, in economic thought,' a turning point to a richer, still, more
ievolution,
comprehensive view of the sequential lifestyle choices of individuals.;
I

3:4.0/76-2
Education, ienotics and Environment, Paul
2/1
faubman., Journal of &man Resources, Vol. 11, No. 4, pp. 447-
Taubman,,
.
461.
This study.is by far he Inose important attempt to.estimate .1
the effects
'
so schoolair on iincome. "Theauthor uses a superior data base and,
%
with they.-
estimates it perulits, casts doubt on all earlier research on this topic:
The data inctqle =a- sapple.'of 2,468 pairs of twins,:which permits=
control fo'r-genes and family background. -When
we regress differences in
brothers' earningS- oi) differences in schooling, we hold constant (by'
eliminating) those' abilities that are common to the brothers. For .fraternal
twins, we eliminate skills produced by the common or family environjnent,
while .for identical twins we'eliminate common environment trtd. skills .

' based on genetic endowments," The:sample

also permitted the author to
estimate the variance of earnings attributable to the "sum and the separate
effects of genetic endOwments and common,(family) environment and the
extent to which this variance is attributable to non- common environment."
(See also Paul Taubman, "The Determinants. of Earningi: Genetics,.
Family. sand Other ,Environments: A Study of White Male Twins,"
American Economic Retiew, Vol. 66, December 1976, pp. 858-870..
The author's estimates of earnings functioas based on data from the
-sample but without the feasible controls for genes and familyt/background
yield. results- similar to those obtainable from Ceous-data. The-addition of',
proxies for family background similar to those used itlothercsmdies
reduce the coefficient iv) schooling by about 1!
percent. .However, the
introduCtion of the controls for genetics and family background permitted
by the sample reduces. the 'coefficient of schooling by two-thirds. This
result casts considerable doubt on all -earlier .estirallifes- of the effects-of
schooling on .income..
Zvi Griliches proposes tharthe smaller schooling coefficient obtained
with identical "twins could result: from errors in the measurement of
schooling. (Sec ':Sibling Models and Data in Economies: Beginnings of tN
Survey,ii Journal of Political Economy, Vol. 87, 'Not 5, Part 2, pp.
537-574.) Howev2r, Griliches'. illustrative results depend on the asspmp-
.. tion that hiS estimate -using early occupation as an,instrument for schooling
is "true .
Arthur Gdldberger has criticized on three grounds, the use of data on
,twins to estimate components of.vpriances of earningsAue to genetic and
other factors. (See The .Genetic Determination of Income:
Con1ment,"
66

102
 'ECONOMIC IMPACTOR HIGHER it !CATION ON sTODENA 3:4.0
r.
I

Amerion rw..'onontic Review, Vol. 68, DecemIKI .4978, pp., 960-969;

.

Tatibmair'*' reply. follows on pp. 470:-976.) To identify the equations used

for.estimating,yakiance componeats, 'it' is ndessaryto assimil that there,is
random mating,:thiat the correlation of environmental chiracteristics ltie I
Iwins' genes
same A1116ngli&nti'cal and fraternal. twins, and that fraternal
assumptions, it
do not affect baihmther's environments. Even under Tire
was .necessary for Taubman to assign arbitrary values to
the environmental,
assumptions.
,
correlation for identical twins, Goldberger argues that these
sensitive'to variation in them
are arbitrary and that Taubman:s results are
'alternative models
under particular circumstances. He also shows several
that yield the, result that individual fraternal twins' environmentt 'are
correlated_ with their siblings: genes, contrary to Tiubman's assurnption.
Finally, Goldberger argues that the use of twins for income variance de-
corripositicinis-not useful in-policy formulation,=which.should be based on__
estimated marginal effects of actual policies,,for example, coefficients on,
schooling in reduced form earningsAquations. However despite possible
.

biases due to enfironmental-genetic correlations, it appears that data on

twins may offer the only hope of controlling adequately for major biases in
the estimation of such coefficients.
his reply,
In regard to Goldberger's other criticisms, Taubman, in
explains how the importance of the assumption about identical environ-.4
depends on,the policy
mental correetions for identical and fraternal twins
coptext in which estimated valiance components might be used. 'Some. '
multiple
recent analysis of parental behavior in allocating r?,Sources among
children-is a steptoward_ reducing the arbitrariness of some of Taubman's._
assumptions. (See Jere R. Behnnan, Robert A. Pollak, and Paul Taubman,
of
"Parental Preferences and _Provision for ,Progeny," Department
Economics, University of Pennsylvania, Novembet 1980.)
ase-of-data on
In this reviewer's opinion, there is Little -alteniativeto
twins so long as there is interest in estimatingtKeffects of schooling and
other policy variables on earnings. '

' 3:4.0/75-1
"DemogiaphY, Technology, and-Higher Education: Toward a __

Formal Model of Educational` Adaptation," Stephen P. Drekh,

Journat of Politicul Economy; Vo1.,133, No. 3, pp. 535-560, r
This study is a major, contribution to the economics of higher educa-
tion for two reasons. First, it provides a basis gryunded in econoniic theory
for the evaluation' of Conk-term trend forecasts .of enrollments,, such as
those providedoby the National Center for Education Statistics and the
Carnegie Commissidn on the Future of Higher Education. Second, the
study provides a basis ft*. understanding the sources of instability of .1

economic returns to higher education and perifiits forecasting changes in

these returns. .

103
 $
ti

3 ECONOMICg

'The author; model makes thesimplifying a,sumpti4;nis that the labor ..

force and. the population betWeen the ages of 24 and 65, referred to as the
Active 'Adult Population (AAP), are identical, and that the educational
composftion of the AAP can be characterized as (college).educated and
(College) uneducated individuals. A production,tunction, incorporating
assumed effects avc: time of technical .change, .posit's relationships
between these two categorits of labor and 'aggregate output. Given the
educational composition of the AAP, the production function determines
"the ,current wage differential- on the basis of relative endoWnients of ,

educated and uneducated labor." Under fhe assumption tbat the educa-
tional charac(eristics of cohorts entering into,the labor force are determined
by educational wage differentials in prior periOds, and under assumed labor
supplwel!itionships, the 4relative.numbers of educated and uneducated
individtal? in the next entering cohort are determined. Given Lg'surhed
death and retirement rates. personS leaving the AAP characterized by age
and education are.also determined. Thus, the model pei'mits forecasts of
the educational characteristics of the AAP and corresponding wage dif-
lerentials in each future period. An important characteristic of thig nRidel is
that, .through use of a production fuvion, the total stock demands and
supplies for educated and uneducated manpower adjlise.to equilibrate, the
labor market. This is in contrkst to Richard 'Freeman's forecasting model
(see 3:1.2/76, The Over-Educated Nmerican) in which the flow of new,
educat manpower adjusts to equilibrate the labor market.
The author provides simulations be the actual and equilibrium future
egucationalcomposition of the -AAP and future-entrants into the AAP for
each year tq 2005. Differences between the actual and eq6ilibrIum educa-
----tionalcompositions of the-AAP-can result" froth the lagsimplied by entry of
__educated individuals into the labor force in response --to past wages.
However, these lag effects are considerably "magnified by the succession
of expanding and contracting entering (and exiting) cohorts" based on the
age composition of the pdpuption.
Enrollment projections were derived from projected future entrants
into the AAP..The author's model suggests a decline qf 7irollinents 8133
percent over the 1970-2000 period, compared with theTarnegie Conunisl
sion prOjections of enrollment increases of betreen 50 and 90 percent. The
author recognizes that someyt-the difference is attributable to the fact that
the Carnegie Commission projection includes assumed increases in con-
'wing education enrollments. However, the/large disparity between the
auth,orl projections and trend projections strongly suggests that further
refinement on presch'F educational 'adaptation model could, be itiwortant
both in educational ix'Aicyrnaking and in guiding research on the economics
of higher education: Some aspects of this model have already been refined.
A revision with an '.'ability-rditited" equilibrium wage relative and a cost-.
'of-education (unction is presented in Dresch's, 'Ability, Fertility, and

'68

lot
 L.
. FC6NONIIC INIP/1 CT O1. 1-11Oiji. ON sfill)F.NTi 3:4.0
I
EdUCTiOnai Agetat ions (Resew rh in Popukition 'cononics, Vol. I,
. study
Julian .1,-04iilon, ed., Greenwich , Conn.: JAI Press,. 1977). \This
,porrifis simulation of the effects of the ability distribution of the \poulation
on the suPply Of educated labor.
Dresch" nu.xlel contains much More careful Apecification!of inipor-
tant behavioral relationships `'than must comparable forecasting, models, ;
and it permits simulation' of sho'rt- and long-term effects of many policy
variables. For these reasons, it is surprising that his model is! not more
widely used by researchers and policy makers.

3:4.0/75-2
inimme and Human Behavior, F. Thomas Juster, ed.,
.4.38-pp. (McGraw-Hill Book Co., NeW York).
This two-part volume brings together ppers that deal with a variety of
aspects of the economic impacts of edu6tion on students.
Part One contains eight papers dealing directly or indirectly with
monetary returns to education. In "Mental Ability and'Higher Educational
Attainment in the Twentieth Century," authors Paul Taubman and Terence
Wales addri!ss the importanN issue of "determining the relationship be-
tween the percentage of high school graduates entering college acid their
mental ability .at the time of college entrance." The authors Thund that
average ability of 'entering freshmen increased during the, upsurge of
'postwar enrollinents. Jacob M_ incer's "Education, Experience and the
Distribution of Earnings and Employment: An OvervIewprovtdeS in
three parts "a sumMary of recently completed research on the relation
between the distribution of earnings 'and' the distribution-of investments in
human capital,-van examination of -"the- effects of human capital -invest-
went on the distribution of employment," and a di':.cussion oti"the effects
& secular trends in education on the structure and inequality of, btith
individual and family inconie."
Two papers. "Education As an Investment and a Screeliiing Device"
--by Taubman -and. Terence Wales and "Ability and-Schooling As Determi.7.._
nants of Lifetime 'Earnings, or If You're So Smart, 'Why Aren't You
Rich?: by John C. Hause, are pioneering attempts to control for ability. in
measuring the effects of schooling on earnings. [Recent advanceS in
.

controlling for afility in earnings functions include those by ZvcGriliches

(3:4.0/77-1) and Paul Taubman (3:4076-2).1 A paper by Paul Wachtel,
"The Returns to Investment in Higher Education: Another View," takes
into account college costs in evaluation of returns to higher education. (For
Lewis
a broader .treatment of college quality in earnings' function, see.
Solmon, "-The Definition of College Quality and Its Impact on warnings"
(Ey/orations in Economic Research, Vol. 2, No. 4, 1975, pp. 537- 587),I
In "Edticatiim and the :Allocation of Women's Time," Arietn Leibowitz
69
105
 VO

3 ECON MICS

analy(es relationships between education and the way womeallocite their

time, such as between child care and the labor market. Sherwin Rosen, in
"Measuring the Obsolescence of 'Knowledge," examines the offsetting
effects of learninkand ót' depreciation through obSolescence of the educa-
tional capital of an individual over his. lifetime,
I
,Part Two of the volume dells with the effects of schooling other than
cash earnings. Three papers deal with effects of education on consumer
saving and consumption behavior. These are: "Edueaton and Consump-
tion' by Robert T. Michael (se'e also Michael's The Effect of Nucation on
Efficiency in ConsuMption, Columbia University Press, .1972); The
Relationship Between Schooling and Savings Beha wior: An Example of the
Indirect'Effects,of Education," by Lewis C. Solnion; and "Education.,and
the Price of Time, and Life-Cycle,Consuniption," by Gilbert R..Ghez. An
interesting paper.by :Isaac Ehrlich; "On the Relation Between Education
and Crime," found "in contrast to the disappointing results obtained in
testing the partial effect of (the mean number of school years completed.by
the population over 25) on specific 'crime rates, interesting and plausible
results were obtained fig the partial effects of education oil the effective-
ness of law enforcement activity across states." In "Education and
Fertility," Robert Michael estimates relationships between education andown
family size..Albert Beaton, in "The lhfluences of ducation and Ability on
Salary and Attitudes," estimates effects of'schOoling and measures of
ability on such variables as "salary, attitudes toward work, attitudes
toward life, katitudes toward determinants on job success,, and views on .
-education."

3:4.0/74
--Higher -Education and Earnings, Paul Taubman and Terence
Wales, 302 pp. (McGraw-Hill Book,Co., New York).
This book provides estimates of relationships between earnings,
schooling, and ability based on a ricfi.longitudinal data base. The data base
includes records for 5,000 men who volunteered for setitice.in the U.S. U.S.
Air Corps in 1943 and parti6pated in followup surveys in 1955 and
1969. Each record includes scores on 17 tests, as well as information on
income and on occupational and educational histories. Among alternative
measures of ability used to estimate the eflectr of schooling on income, the
authdrs found tharonly the score on a mathematical ability test influenced
income. With 'this measure, tshey found there is approiimately a 25 percent
overstatement of the effeLi of schooling on income it' the mathematical
ability testSeore is omitted from the estimation. Tadbman's subsequent
work (see 3:4.0/76-2) suggests that available measures of ability and
family background do not approxinuite these ,crucial influences, The
Authors gave particular attention to-tests of the "screening hypothesis" in
which education can contribute, aside from valuable skill, credentials

70

106
 FCONOM1,4IC IMPACT' OF III(iIWR EDUCATION ON STUDENTS 3:4.d

either desired by employers as predictors of future performance or required

-iis a means of restricting entry into occupations. An ingenious test of this
hypothesis, based on comparigm of actual entry with expected entry into
occupations in the abence of credential restrictions, provided the finding
that for those with a college education, screening does contribute substan-
tially to earnings, A recent test'orthe screening hyptithesis is provided
.John G. Riley (3:4:0/79-1). Riley concludes that ". . . thscreenist inter-
V
pretation of schooling as provider of both additional skill's and information
indeed offers a mon: complete explanation of observed behavior than the
traditional human capital models.
Vie ablhOW'prestrtcalculatious of private and .social rates of return to
.

education that, in any cases, arc lower> dla'n on p'h)rsical capital. This
result-led-the-authorsio-state: it-appears,thilbsociety has investal tob
'
many resources in education if the supply of savings is fixed, Fuitl;er, the
highe,i the education level (excluding lawyerS and M.D.'s), the lower the
rates, sny,g,esting that the overinvestment is more severe at the higher
levels. kiowever, we have not included. in our analysis, allowances for
externalities or consumptioti benefits which, if they yield large enough
returns, could justify expenditures on eduiiation. Since we find screening
to be important. quantitatively,' our conclusion that overinvestment, in
education has occurred has'strengthened." Samples of the many other
'results include findings that _good health contributed $7,090 per year to
earnings in 1969 and that, among students attending institutions within the
upper fifth measureil qtuality, college quality .significantly influenced
earnings. '

3:4,0/72
"Investment in Education: The Equity-Efficiency Quandary,"
Theodore W. Schillez, ed., 292 pp. Journal ofPolitical Economy,
Vol. SO, No. 3. . '
This volume is a series of papers presented at a 1971 workshop at the
University_ of Chicago sponsored.by the Committee on Basic Research in
Education of the National Research Council. It remains one of thernost
important sources on the economics or higher education, in' arge part
because Of Theodore W. Schultz's introductory essay, "Optimal. Invest-
ment in College Instruction: Equity and Efficiency." A portion of this
essay is,concerhed with interrelationships between investment in educk,
tion, economic growth, and the contribution of education to allocative
efficielicy during the economic groWth process. Schultz presents the
hypothesis that educated individuals are more prompt in responding to
opportunities resulting fror&disequilibria, including opportunities cleated
by growth, resulting in rapid adjustmentbeneficial to both the individual
and society.., Inadequate attenttbn has been given to this important
.hypothesis on which Schultz provides further justification in "The Value
71

() 7
 3 ECONOMICS

A ,
of the Ability t o Deal With Disequilibri5?(Joimiai conontiolAtero-
Ifire., Vol. 13, September 1975, pp. 827/6-16.
Schultz's essay sparked an interesting debate within the Avorkshop:.0y
making an eloquent argument h. 'largely eliminating subsidies Thr
income students and targetin2 hat aid to low -income students. Schilltz
argued that this isa proferred4Iternatke to the existing Policy of providing.
relatively uniform subsidies- both because most high-income stadent
would attend anyway and, given the degree to w Inch society is Willing to
subsidize higher education, uniform subsidies may be insuffiient to
influence the choices of rNny low-income students. Anne 0., Krueger
subsidies to the poor should be ralependent of collet
attendance, and Harry G. 'Johnson added that many individuals from low-
income ,backgroundY considering college _have _higher. income, prospects _
than those from the same income background who are not.
Other papers in the volume,inclade."Time Sgrje% Changes in Personal
Income Inequality in the United' States front 1039, VI4th Projeetioifs M '
1985.- by .Barry R. Chiswick and Jacoti Mincer. This is a pioni!ering
attempt to use a human. capital carninis mction to relate changes hi
income inequality Over time to ''the distribution of age, Schooling,
employment, and rates of return, and to the iniercorrelations among these
variables.- The authors found that schooling, age, and unemployment -
were the major determinants of changes in the inconm distribution for adult
males in the United States .between 1939 and 1965. (For a related use of
earnings functions, see Finis Welch, "Black-Wililf.'' Dif.ferLmees in.Returns
to Schooling ,- American Economic Review, Vol. (3, December 1973, pp,
893-907. See also the papers in the supplement to the Journal Of Political
Economy titled Education and Income DiNtribution,kol; 87. No. 5. Part 2,
October -1979; edited by Richard Layard.)
Two papers are included on -attempts to comrol for ability and other
yariables in eskiintites of earnings functions, or relationships. between
income, schooling, and other variables-, -Education, Income, d Ability"
bylvi Griliches.,and Williaus M. Mason, and "Earnings Profile: Ability
and Schooling'' by John C- Haase. Recent' work casts doubt upon- the
results of these 'studies. See Zvi Griliehes, "Estimating rile Kturns to
Schooling, Some Econiu'netric Problems'' t3:4-(1/77-1) and, particularly,
Paul Taubman, "Earnings, Education, Genetics and Environment'. 13:-I.Or
76-2).
In "Equity' Implications of State Tuition Policy-and Student 1.0ans,"
Robert W. Hartman attempts to "illustrate the gross effects on future
p income distributions of an increase in tuition at state 'institutions," with and
without expanded loan programs. Samuel Bowles deals with relationships
between social class, --Schooling, and jneome :between generations in
"Schooling and Inequality from Generation to Generation.- Improve-
ments -in" these pioneering studies are likely to result from the recent
-
72
1
. 'INCIDENCE OF BENEFITS,AND COSTS OF EDUCATIONAL SUBSIDIES 3:5.0

conceptual work of John Conlisk (:1:5.0/77). In "Equity and the Finance of

Higher Education," W.-Lee Hansen-points out*that there is littk evidence
supporting. the argument that extmal benefits from ethcated' individuals
justify subsidies to higher education. Hansen discusses alternative concepts
of equity in educational finance 'and evaluates proposals for improving
equity. In. "On Tuition and the Costs of Higliir Education: PrOlegomena to
"a Conceptual Framework," Marc Nerlove provides a number of insights
on joint production of research and Instruction.,Harry G. Johnson, in "The
Alternative Before Us," provides a discussion of equity 'within higher
education in thelcontext of equity in the societkat large. Finally, in "§ome.
Reflections," Edward F. Dennison states that there. is little empirical
support for the kommon notion that efficiency benefits result from subsi-
dizing students mt(ith

5.0 INCIDENCE OF BENEFITS AND COSTS OF

EDUCATIONAL SUBSIDIES
4`
3:5.0/77
"A Further Look at the Haiisen-Weisbrod-Pechman Debate,"
John Conlisk, Journal of .luman Resources, Vol. 12, N . 2, pp.
147-163.
One-of. the -most :significant results of the Han;en,:AY isbrod_Audy is
the interest it has generated ln the incidence of benefits an costs of higher
education subsidies by,, income groups. A number of esearchers have
argued, however, that calculations of current benefits and costs of educa-
tional subSidies by income group do not give an adequate picture of the
'elkets of higher education subsidies on social mobility.
This paper by John Conlisk is a major contribution in that it provides a
formal model of intergcnerationaf-eosts and benefits* higher ethication.
The -model includes equations -for: ( I ) before----ta-xlittime income of a child.

as a function of hiS schooling, after -tax and-after-tuitiiin e-income of-

the parent, and schooling of tke parent; and (2) schooling of the c as a
function of tuition, after-tax parental income, and parental schoolink<.:
There are also definition'al equations relating taxes to before- and after-tax
income, governmental expenditures to taxes, and.ineome to subsidized and
unsubsidized educational expenditures. The model can be solved to
determine, over generationg, the joint distribution of families by their
before- and after-tax incomes, 'taxes, and schooling. The author uses hig
model to demonstrate that calculations of the current period incidence of
benefits and costs of educational subsidies by income group are not reliable
indicators of the intergenerational incidence of benefits and 'costs of the
subsidies.

73
109
4,
 3 ECONOMICS

Estimates of the parameters of Conlisles model could provide

valuable information on the effects of existin,Y subsidy systems on social
Mobility nand permit simulation,of the effects on social mobility of a wide
variety of alternative subsidy whales. The model would need additicnial
,
theoretical work, particularly in regard to the specification of intergenera-
tional labor market conditions anti the characteristics of the income
distribution..4he work of Taubman with twins. permits estimates of the
effects of schooling on income. These could be incorporated. into thz
model, along with estimates available froM several sources of the effects of
tuition on schooling by income group. The National Longitudinal Surveys
provide some data on matched parent-child incomes, which have already
been analyzed. by Donald 0, Parsons in "Jntergenerational Wealth Trans-.
fers and the Educational Det)sions of Male Youth'-'. .(Quarterly Journal-of ._
Economics, Vol. 89, November 1975, pp: 6037617),

3:5.0/69 .

Benefits, CoSts, and Finance of Public Higher Education, .W.

Lee Hansen and Burton A. Weisbrod, 114 pp. (Markham Publishing
Co . , Chicago).
.

Originally prepared for the California Joint Committee on Higher

.

Education in 1967, this study, published in slightly revised form, was one
of the firSt and m,ost influential in its sytematic application of economic
cost-benefit analysis to state financing of public higher education. Al-.
_though its principal findingthat- California public higher education
.

operates as a vehicle for redistributing resources from lower income groups

.to_higher income groups 174as been criticized, the study continues to-be a Q

highly influential and controversial guide to methodology among educa-

°Ilona! planners and economic researchers, stimulating improved under-
O
standing of the financing of public higher education.
The first chapter describes basic issues related to economic analysis of
higher educatipn, including' distinctions between efficiency and equity,,
private and social benefits and costs, and institutional and noninstitmtional
cosh. The second chapter presents calculations of benefits of public higher
education in California, among them increased individual incomes and
taxes paid. The third chapter describes costs of public- higher education,
1/4
both to students and to the public.
In the fourth chapter, "Distribution of Benefits und Costs of Public
Higher Education," the authors posit two calculations. First, they calculate
present values of subsidie.s' and of resulting additional taxes paid. Based on
these caWulations, the authors note the large benefitrreceived- by students
and by the Federal Government from the state's subsidies. Second, the
,

authors calculate the incidence of higher education subsidies by income

group vra the incidence of attendahce(pattents.by income group at public
institutions in the state. They .find that families with_ children in college
74

1 I. 0
 INCIDENCE OF BENEFITS AND COSTS OF EDUCATIONAL. SUBSIDIES 3:5.0

tend to have higher incomes than families without children in college, and
that the more costly public institutions tend to enroll students from familieS
with relatively higher income backgrounds.
They also find that combined Atate and local taxes are regressive. By
comparing the incidence of taxes by income group with subsidies received
only from higheeeducationohe authors conclude "that the current meth
of financing public higher education leads to a sizeable redistribution of
income from lower to'higher-itieOme." The authors recogniza-the --Crude-
ness of their calculation, suggesting -further research aimed at proving
understanding of the incidence of benefits and costs Of high r education
subsidies. ;
The latter calculation stimulated a number of important articles about
the_ incidence of benefits and costs of higher education by income group.
Joseph A. Pechman's "The Distributional Effects of Public Higher Eduea-
.tion iii California" (Journal of Human Re1;6urces/ Vol. 5, No. 3, pp.
361-370) arguesthat the correct calculation, possible with the data used bye
the authors, is tecalculate directly the subsidies received and taxes paid in
each income bracket. Pechman's calculations suggest the opposite result.
that net, subsidies tend to be higher the lower the income bracket.
Joseph W. McGuire (Journal of fluman Reeures, Vol. 11,11o. 3;1
1976, pp. 343-353) provides calculations of subsidies received and taxes
"---paid by income bracket and type of public ins4itutitm attended with
scholarship data included. He argues that only data on fantilies without 0'

7ehildren in public institutions whose head is of comparable age to'heads of

families with 't hildren in public institutions should be used. His results
support Pechman's,
An interesting interpretation and evaluation of the-debate initiated by
Hansen and Weisbrdd: is provided by Mark Blaug in "The Distributional
EffectsONighead_ucation Subsidiesv (Economics of Education' Review,
-V;:;172,-No. 3, Su'mmer 1982, pp. 209-231). Blaug also provides a number
of new insights on' lifecycte inferences'about distributional effects of
higher edu6tion subsidies.
The work ,of Hansen and Weisb has also stimulated interest in the
intergenerational benefits and costs of higher education subsidies. [See
Robert W. Hartman (3:4,0/72) and John Conlisk (3:5.0/77).1
0

fi

75
 9

Ethrcational Opportunity

K. Patriicia Cross
,

Extending postsecondary educational opportunity to under,

represented segments cif the population has bga a high-priority goal
of postsecondary education for several decades. The flow of litera-
ture on this topic Was particularly heavy in the 1970's. In 1977 . .
alone, nearly 200 documents were indexed under the term "equal
education" in the Educational Resources Information Center (ERIC)
system. in addition, thousands of documents addressed the 'needs of
particular target groups. such as ethnic minorities, women, and
adults. The prolificacy is understandable, however, for literature on
educational opportunity -is quickly rendered obsolete by progress,
new concerns, knowledge, and experience.
EducatiOnal opportunity is usually discussed in terms of "target
. groups," those identified as underrepresented in education enroll- a

ments. Such identification is usually accompliShed through demo

graphic or U.S. Bureau of the Census-des,'riptors such as age, sex,
and race, although a gOod argumeitt could be made that defining
target groups on the basis of educational need would faCilitate
planning. It might be more usefulNor example, to define as target .

groups learners who share a common need for off-campus locations

or special help with basic skills than to attempt to address the quite
77

112
 4 EDUCATIONAL OPPORTUNITY

diverse educational ndeds represented within -a demdgraphic group-

ing such as "adults" or "women." The category, "women," for
example, becomes relatively useless I& planning purposes when it
must address the eduCational needs of reentry women under the /
same labelp women fully occupied with home and family.
, At the presenttinie, most of the literature on educational ow-
tunity addresses the needs of populations that haVe been excluded
from educational opPbrtunity by traditional attitudes and practices.
The target groups' comma ly identified are: adults, ethnic minor-
.
ales, handicapped studetW low - income students,* underprepared
students, and *Omen:it'
,
Of_ these :six target grotips,- three are.demogtraphically defined:
adults, ethnic minorities; and 'women; three are defined in ways that
make it somewhat easier to determine educational needs: handi-
capped, ipw-income, and underprepared. Although educational
planners may have some prbblems,,with,these groupings, this bibli-
ography will follow the accepted,paitem of considering educational
iiiiportunityjk,:terms of. previously excluded or underreptesented
target giqups.
The question best addressed by this selected list of referenCes
'is: What can plann'er ikito'facilitate access t1 educational op-
portunity for particular populatiOn groups that !Lye been under-
represented in higher education in the past? The phrase '0`access to
educational opportunity," however, is broadly interpreted to mean
.more than merely gaining entry..
In the case of underprepared students, for example, selected
references include information about remediation and instruction
designed to open full educational opportunities to'these'students.
Geneial Issues. Dealing .maMly with access, this ,sectioa
defines educational opportUnity. and provides the foundationand
. perspective with which to approach target groups of the remaining
subtopic areas. In recent years, there has been some decline in the
amount or literature addressing the generic topic "equal oppor-
tunity." Most authors are now "specialists" in particular target
groups.
Adults. Recent interest in :adult learning has resulted in a
torrent of 'literature. It is a "hot topic" throughout the world:The
literature comes' under a variety of labels (adult education, con-
tinuing education, recurrent learning, lifelong learning, nontradi-
tional study); it emeoes from a variety of disciplines (education,
psychology,. gerontology, demography_,_ health); it reflects_concerns
78

1 1 '3
 EDUCATIONAL OPPORTUNITY
0

across a broad spectrum of social issues (reentry women, mandatory,

education for relicensing, aging); it. appears in the literature of
numerous sponsors, of educational services (libraries, museums,'
industry, media); and it is approached from different perspectives
(statistics on demography, research and theory on developMental
stages, state and national legislation, marketing surveys). Selecting
a basic reading shelf for planners concerned about learning opportu-
nities for adults is extremely difficult. Volumes annotated% here
emphasize a synthesis of information frotn primary sources.*
Minorities. The literature on educational opportunity for ethnic
minorities over the past decade has consisted larger), of descriptive
studies showing the progressor lack of progressof various
ethnic minorities in attaining access to higher education. While the -.-
literature on blacks remains the most extensive, blew comprehensive
works have recently been completed on Hispanics' and Native
Americans.
.
Other subtopics related to minorities that will be of interest to
planners are Topic 19, Admission/Artictilation/Retention, and Topic'
16, Student Characteristics and DeVelopment.
Handicapped:,' Now that most institutions of higher education*
have had experience with Section. 504 of the Rehabilitation Act,
14- many of the current publications highlight techniques and personal
testimony.. on how to make the Federal laws requiring equal access
for the harldicappzd work. Volume% annotated here were chosen
because they repr.*nt the best of a rather "spotty" literature:
Underprepared Students. When the predecessor-to this bib-
liography .(Higher Educdtion Planning: A Bibliographic Handbook)
as published in 1979, underprepared students were of interest
primarily to community colleges. however, with admissions- test
scores still declining (along with potential students), many 4-year
colleges are accepting all applicants; and all colleges are looking for
ways to increase retention. Thus, .underprepared, students have
become a major topic of concern in higher education. Fortunately,
experience and research now provide good materials, and the litera-
ture on underprepared students, although still limited in qe...antity, is
of good quality. The tWo volumes annotated'here are comprehensive
potential guides based on experience, and they should prove usef '
to planners and practitioners in both 2- and4hyear colleges.

*Ai more comprehensive treatment of adult educatiOn is offered under the heading "Lifelong
Leamieg," Topic 34,

79
1:14
 I
4 EDUCATIONAL OPPORTUNITY

Women. Since 1918 there has been an explosion of Publica-

tions concerning .women's :educational opportuthties. 'Federal legis-
lation, including titles VII and If the Educition Amendments of
1976, has created. a policy focus for state- and institutionahlevel
planning for equal access: Because of the volume of literature,
. information clearinghouses are proving especially helpful.i.The most
recent citations. list;d here provide piformation. about lesislation,
specia'rprograms; ongoing research, compliance, and other issues of
concert in the quest.for women's eAdity. f

TOPIC ORGANIZATION
.
: Educational-Opportunity
1.0 General Issues
2.0 Adults s,

3.0 ..Ethnic Minorities

0
4.0 Handicapped
5.0 Underprepiired Students
.

6.0 Women ..

1.0 GENERAL IS$UES

4:1.0/81
Conflict and-Continuity, John R. Snarey, Terri Epstein, Carol
'Sienkiewicz, and _Phillip Zodhiates,.eds., 471_ pp..(ifurvard Educa-
tional Review, Cambridge, Mass.). , .

The Harvard EducationatReview, in celebrating its first half-century,

brings together from its own pages a volume of articles that reflect the
search for the purposes of edudation and for strategies to achieve them.
-articles .emphasize the aims_ of education and its ability to foster_
_These

human development and 'social equality. The intent.of this volume is to

remind us that the salient,issues of, today are essentially the same as those
of the past.
ThiS two-part volume is organized under two themes: the psychology
of human development and the sociology of education. Part Two, Educa-.
tion and Social Equality, contains I r articles on the general 'subject of
educational opportunity. Among these James Bryant Conant's classic
-I 948-article in-WhiehlidpitSentCalifoitetior a-pet:fed meritocracy in which
9 talents and education are marched in the scHools. Talcott Parsons (1959)
presents his finding§ that student aspirations differ widely depending on
.socioeconomic blickground, and concludes that academic success is partly

80

.115.
 GENERAL ISSUES 4:1.0

the result of the family's socioeconomic status and partly of,individual

ability. James Coleman (1968) reflects on the various definitions of
equality of opportunity: whiCh"he says shifted in the 1960's to educational
outcomes while incorporating the' ideal of socja. integration. Charles
'Hamilton (1968) argues that equality depends on the degree of control that
black parents have 'over their schools.: Thu themes of emancipation and
power are also concerns of Paulo Friere's (1970) article on "The Adult
Literary PrOceSs.", And Jerome Katabel,ln "Community Colleges and
Social Stratification" (1972), contends that although they are considered
egalitarian; institutions, community colleges in reality track studentst r.

th ere by maintaining class divisions.

Aldiotigh originally published before 1978, all of these articles
provide a perspective on the American quest for equality of ,opportunity
I Q. through education. .

I
4:t0/80
Equity.:SelfASsessment in .Postsecondary Education Institu-
tions, Sherrill Cload, 13 I,pp. (National Cenlrfor Higher Education ..
Management Systems, Boulder,
This document offer a .generral framework for thinking about,
uating, and promoting eqdity for students and empayees" in, postsecondary
education. The author presents suggestions that will help higher education
institutions regain management 'initiative and discretion' with regard to
equity issues..
For example, Chapter Two presents' suggestions to institutional:-
administrators for review and analysis of individuals who might be con-
sidercd in relatiorilO,eqUity issues at the institution: age, citizenship,
handicapped status, income -level: Chapter Three- identifies the major
equity issues for colleges and universities: access to institution of choice,
to program of choice, and to resources; and satisfactory completion of each
individual's self-determined level.
This bliok is written for administrators responsible for equal ppportu-
nity or affirmative action for studeris and employees. The author takes the
position that "equity considerations must be built into the infrastructure of
postsecondary education to erisurdhat they become integrated into all
plans, resource allocations and processes,, and actiyities."-

. 4:1.0h78
Admitting and Assist 'Students after Bakke, Alexander W.
Astir, Bruce FUlle'r,ta: .
znneth C. Green, eds.', 110 pp. (Jossey-
Boss, San Francisco) :::. 1

This ,book addressesoriajor Policy issues resulting from the. Regents of

the University. of California v. Bakke decision, Some of the issues the
'meaning and measurement of "disadvantagement"; the actual experiences
,

81

11 6
 4 EDUCATIONAL OPPORTUNITY

and areas of attrition among minority students in the educational system;

the kinds of criteria admissions committees use to evaluate applicants; and
the role and responsibility of states in responding to human service needs' in
underserviced (and often minority) communitio. The book provides
"hard" information for members, of the higher education community:
students, faculty, administratbrs, and state, and Federal policyrnakers. The
book' includes examples of "minority- sensitive" alternative admissions
procedures, Oersonal.experiences of small' groups of minority, students in
graduate and Orofessional hools, and attrition rates for minority students.
,
4:1.0/77
Improving Equity in P ry Educat ion: New Directions
for Leadership;\.ludith Gappa, pp: (National Institute of Educa-
tion, Washington;D.C).
This bobklet final report on an invitational workshop on equal
'opportunity,sponsored bysthe National Instifitte of Education. Because it is
the report of a conference in which most of the participants' 'represented
#nderserved constituencies, it is short on data and long op.feelings. But
tpt should provide a useful' perspective to planners who Occasionally need
4 remind, themselves that ,equity is a human issqe as well its a statistical
one. .

Parisi reviews the current status of equity in postsecondary education

with regard to student,access and treatment, employment, Federal iMpact,
and the interchange between postsecondary education andsociety.
s Part If attempts to chart futtire-directibns -with suggestions for pro-
viding leadership; imprOving.communications and 'understanding among
individuals and groups, and,sUggesting w initiatives for:fideratlegisla-
tion. A rather long list of research questi ns, and, perhapi most useful, an
"action agenda" for ,leaders in .postsec dary education conclude this
helpful overview.
In.general, planners reading this booklet' probably,will learn nothing
new about equity, but will remind themselves of something they knew was
important but hall forgOtteb.

4:1.0/73.
The Sourcebook for Higher Education, Warren W. Willingham.
481 pp. (College Entrance Examination Board, New York).
This Volume represents an ambitious undertaking begun when the
literature on "access to college" .began to, proliferate beyond anyone's
capacity to keep up. Warren W. Willingham has annotated more than
1,500 "selected" references, with emphasis on the access literature of the
late 1960's:
The annottions give the. reader "an understanding of what each
publication is about and why it is important .in relation to the access
mt. ft

82

117 p.

4,
 GENERAL ISSUES 4i11.0

process. A comprehensive taxonomy_ with literature keyed tolaxonomy

categories provides the basic' classification for annotations. Ail author
index and.a subject index help make the volume a handy reference. In this
volume, planners can find an adequale description 'of almost any piece of
significant writing on access to higher education up to the sprineof:1971..

4:1,0/70
Free-Acceastlighec Education, Warren W. Willingham, 244) pp :.
(College Entran ce Examination Board, New.York). .
State planner seeking to extend educational opportunity by making
-educational resources more widely mailable should find this booluseful.
theaudior defines free-access 'higher education in terms of three factors:
annIal tuition y $400 or less; at least one-third of the entering freshman
class composgd of high sChool graduates froth the loWer half of their chits;
and geographical location within:a 45-minute commuting distance. The
author identifiescolleges that fall iithin this definition and then deter-
mines, on a state-by-state basis (as of '19k), what percentage of the
population had 'access to them:.
The percentage of the:population within .commuting distance of a
free,access College ranged from a ;low of zero in Maine, Iadiana, and
Nevada. to a high of '87 percent in Connecticut, 68 percent in North
Carolina, and '65 .percent' in Mississippi. Free 'access to higher education
nationally is graphically illustrated* means of a map of the'Uhited States
showing areas served. by free-access institutions and by tables showing
coun vide comparative levels of accessibility, population, and estimatei-
Of au 'oil(*) colleges required.
Some of the variation in access results from the use of multiple criteria
definingfree-access higher education; generally it is defined-ts publicly
sponsored and ichieved primarily through confmunity colleges, technical
'institutions, and branches of public universities.
.Although the figures are over 10 years old, the discussion and anal-
yses are still relevant. A related study by.Richard 1. FeFrin, A Decade of
= Change. in.Free-Access Higher Education, also published by the College
Entrance Examination Board, compares free-access data for 1958 and 1968
to determine the extent of change that had taken place over: the decade.
During that period, the number of free-accesi collegesalmost all
publicintreased from 538 to 789. In those areas where 30 percent of the
population had lived within commuting distance of a free-access college in
1958, that percentage increased to 42'l'n 1968
' .
See: 12:1.1/74-2 A Digest of Reports oji the Carnegie Commission on
Higher Education, Carnegie Commission.
Of the reports abstracted in this volumc, eight are related to equal
opportuni "Quality and Equality" (1968. and 1970); "A Chance to
83

J
 4 EDUCATIONAL OPPORTUNITY

Learn" (1970); "Open Door Colleges" (1970); "Less Ti e, More Op-

tions" (1971); "Erpm Isolation to Mainstream" (1971) (Negm Colleges);
"New Students aid New Places" (1971); "Opportunities fttr Women in
Higher Education" (1973); and "Toward a Learning Society11973).

2.0 ADULTS

4:2.0/81
E I

Adults As Leanters:K. Patricia> Cross, 300 pp. (Jossey Ba s,. San'

Francisco). . _

This book descrtbes adult leambrs and synthesizes research fit ings
into two explanatory models: one for understanding the motivation,0 adult,
learned, Slid the other for organizing knowledge 'about their characte ties
and circumstances. .
The bottok'S major theme is that service to individual learners shuld
be the goal of the learning society. The author, after reviewing more an
1,000 documents,. organized the book to respc)nd to the following co
'41ions: Who participates' in adult learning? Why do they participate, o ,
conversely, why not? And, what and how do they learn or Want to leant?
Chapter One synthesizes demographic, social, and technological,
trends that stimulate demand for learning opportunities. Chipter Two',
voices -the views of Critics of the lifelong learning movement., Chapter \-
Three reviews research findings about who participates in adult learning.
Chapter Four discusses the research on motivation and barriers to ,
adult earning; it looks at the use of survey information, and experiment/8..
studieS documenting theirnpa* on participants when certain barriers are \
removed' or' imposed. Chapter Five reviews major motivation theorits
concerning adult learning; theory comparisons are made possible through'
the identification of common elements. o
ChaPtei Six looks at isstiss and implications of increasing participa-
tion and motivation for adult learning. Chapters Seven and Eight review
research on what is known about "what and how adults learn," em-
phasizing the learning process, developmental research, self-diretted
learning, and what is known abOut adult learning from existing state and
national surveys. Chapter Nine examines cigrent learning theories and
suggests a conceptual framework for analyzing the interactions between -
learners and their environments.
The book concludes with two appendixes based on common themes in
current definitions of lifelong learning.
t1
See: 12:1:1/81 -pThe Modern American College, Arthur W. Ctiickering
and Assoeiates.
84
 ADULTS 4:2.0

This volume, titled to reflect its relationship to Nevitt Sanford's 1962

classic on The American. College, reasserts Sanford's thesis that the
development of the student as a person is the central aim of education. In
19.81, however,' students in "The ,Modern Americaff College" are 'in-
creasingly diversein age, educational purposes, baCkground and
preparation, socioeconomic status, and ethnicity.
Chickering and his 51 coauthors contend that the purpose of higher
ye education should be.to enhance the dlvelopment of students from ages Iii
to 80, and they took upon themselTes the ambitious task of providing
research-based information and a concePtuakframework for understanding
"the nature of humaridevelopment within the context of lifelong learning.
The book is organized in three parts: Part One synthesiies basic'
information about the development ate- learning -of- adults -Its 14 chapters-
present data on.. the life' cycle of 'adults, their Atelleetual and ego 'de-
'velopment, and their learning probleineThe sty-studded cast.of authors
includes Robert Havighurst, William Perry; K.. Warner Scliaie, Joyce Parr,
Carol Gilligan, Elizabeth Dpuan, Robert White, and many others who
have:done significant wiirk.dn human d6-elopment.
. PartTWo uses key concepts from the research and thetiry presented in

Part One to emphasize the need for varied curriculum made up .of
academic disciplines and professional programs .including anthropology
business administration, .engineering, English, history,,human services,
and philosophy. Part Two'also Asks the following questions: What are the
implications of these findings for teaching in particular disciPlines and
areas of professional development How can teaching bestruCtured to help
students meet life-cycle challenges and encourage delklopmental change.:
...Part Three applies this new knowledge about adults to higher educa-
tion institutional operations. gurteen chapters, including such topics as
"Student-"FaCtilty Relationships," "Field Experience Education,
"Administrative Development,- and "Residential Learning,'; build on
the concepts introduced in Part One and suggest ways to reform institu-
tional policy and procedures in order to more fully support adult develop-.
ment.-Part Threelike lois One and Two advances -the authors' view
that by giving proper a ention to life-cycle challenges, educators can
design coherent prograths that better prepare adults for a rapidly.changing
society'. The developmental needs and life-cycle concerns of staff% as well
as students, are also considered.
This comprehensive volume provides a wide range of theoretical
orientations. The unifying theme is that each of the distinguished coauthors
believes that a major purpose of education is to. promote adult develop-
ment. From that central theme, the book spans a diverse and rich field of
transdisci n perspectives on adult development and higher education.
In t c authors' own words, "research and theory concerning human
develoPments and the life cycle can provide a unifying vision for higher.
9
85

1 ,., .
 . 4 EDUCATIONAL OPPORIkINITY

education and lifelong learning. We proposed that colleges and universities

intentionally encourage developmental change throughout the life cycle as
their basic purpose. We noted that such an orientation can help
. . .

address the major social challenges likely in the 1980's and beyond, can,
strengthen our capacity to achieve both immediate and long-range
educational objeckives. . . ."
This impressNe volume may well become a landmark in the field of
d educational inquiry.

4:2.0/80-1
American's in Transition, Carol B. Aslanian and Henry 1M
Brickell, -170 pp. (C011ege Entrance Exinithation -Board,- New
York).
This study,, sponsored by the Future Directions for a Learning Society
project, investigates the causes and timing of adult learning,. The anitlysis
is b&sed on national survey research data collected from approximately.
2,000 randomly selected adult Americans 25 years of age and older. The
questiim asked during faceito-face and telephone Interviews was: Why do
adults gO back to *schbal or decide to study on their own? The dominant
answer, and the central. conclusion Of the book, :is "that most adult
decisions to seek educational renewal are clearly and directly related to
significant [extra-educational] changes in their liveschanges affecting
-their careers; family situations, health, religion, or leistire-OppOrtunitieS.".
lh essence, the Vook argues that "going back to school is less significantly
a transition in itself than. the consequence of some other change . . in
individual circumstance," By highlighting key motivational factors for
adults' return to formal. education, the lithors present research findings
that have direct implications for teachers and administrators of transitional
adult learners.
Part Two, "Findings," *vides evidence on what causes adults to
learn, along with data on what and where they learn. The survey informa-_ .
tion permitS the authors to: "profile" learners and nonleamers; offer I+

reasons` for adult learning (e.g., life changes, transitions); discuss

"triggers" for motivating adults to learn; provide examples of the relation-
s* between life transitions and ,triggering events (e.g., changes in
careers; %Indy
, life,. leisure, pergonal health); summarize how learners
differlyategoricaltype (e.g., "adults under age 65 learn chiefly because
of c.aieer transitions, while adults over 65 learn chiefly because of leisure
and family transitions "); and suggest reasons for what and where adults
Y.

A-tie:book' also discusses implications for each of the falowing: ( I)

those WhoTrovide adult learning; (2) those who supply information and
counseling ,to.adult learners.; (3) those_who make.public policy concerning
86

O
 ADULTS 4d2.0
..
.
adult learning; (4) those adults who are or shOuld be learning; and (5) thO'sN .,

who study adult learning. . ,..

4:2.0/80-2
Adult De. velopment: Implications for Higher Education, Rita
Preszler Weathersby and Jill Mattuck Tarule, 59 pp. .(American
Association for Higher EducationERIC, Washington, D.C.).
This monograph summarizes much of the'currentiesearch in adult and
human development theory. itiltook suggests methods for applying
human development theory tohigher education program develOpment and ,

strategy, curriculum and teaciiing"methixis, faculty development evalua-

tion, and counseling and support services. .

The authors divide-the -adult *Ind' human- development res earch

literature. into two basic perspectives: chronological periods in the adult life
cycle and developmental growth toward maturation..
The work on life-cycle stages presents a numberpf useful tables and
charts synthesizing across the work of Keugarten; Erickson, Le.vingon,
Gould, and Hayighurst.\ln the section on dt.velopmental stages that are
related to maturation iatheilhan to age, the w':k of developMentalists such
as Kohlberg, Perry..Loevingfr; Piagei, and Bloom are abstracted.
The ,chief asset of the book is that it draws'togetlier into one brief
report the major theories of adult and human development, and it suggests
.direct application' methods for their use in higher education, This book
:woellci:be useful to planners and researchers as a quick reference guide to
,
an emerging body of theories.-
. 4
411

42.0/79 47
Policies for Lifelong EductOion, Jamison Gilder, ed., 127 pp.
(Americap Association of Cliiinmanity and Junior Colleges,
Washington, D.C.). h. .
This book is a collection of policy deommendations developed in
1979 by a national assembly of distinguished educators called together by
the American. Association of Community and Junior Coljeges...The book is
intended to provide specific recommendtitions for the current practice and
future direction of lifelong education.
Each chapter is a summary of remarks made by an invited speaker.
The following are among the topics included. "The Pay-off of Lifelong
Education and Training" frames lifelong education in economic terms=--
e.g., national capital investment, productivity.- "Lifelong Education and
Politics" offers explanations fa' existing political barriers blocking the
develoginent of Federal, state, and local policies that promote lifelong
education. The chapter on existing "attitudes" toward adult, part-time,
and evening students highlights problems with recognition, curriculuth,
87

12') 4.,
 4 EDUCATIONAL OPPORTUNITY

services, legislation, and finane6. "Legal Policies on Lifelong Learning'

An Oveqiew of the States'ilesisibestal-pro.visiotisestate
laws, administrative rulesand regulations, general rulings, and court
decisions that impede the implementation-of lifelong education. "Restruc-
turing Community Colleges .for Lifelong Education" describes practical
.problems that community colleges must_addreis, such as lack of state .

fundingmechanisms,' attitudes regarding the ,value of lifelong learning,

personnel policies,. budgeting,, and needed facilities. The final chapter,
"Report of the !979 Assembly," summarizes the conference by making
Specific recommendations on the killowing;°community colleges; the
Aniericin Association of Community and Junior Colleges, Federal and
state governments, and the general public. ,Since labor, business, and
industry are also components of lifelong education, a set of recominenda-
lionseoncemingrelationships-with the private sector is-included.

See: 34:1.0/79 Lifelong Learning in.America,- Richard E. Peterson, K.

Patricia Cross, Susan A. Powell, Terry W. Hanle, Mark A. Kutner, and
John'R. Valley. t
This volume, designed specifically for planners; is probably the singe
most vali4le sourceost information about the ethication of adults and the
phenomenon of lifetong learninig. In the worth of the authors:
. : the basic purposes of the volume, after first suggesting 'lifelong
learning' as a conceptual framework for fashioning new sets of ser-
vices to better aid continuing learners, are to afford broad- perspective
planners:- (1) a -vie* of inany-of' the --Potential Partners in broadly
conceived cooperative lifelong learning. enterprises; (2) an array of
facts about the motivations of adult learners, their. perceptions about
barriers to further learning, and -related-matters; and (3) an overview,'
of the kinds of policies and programs being actively considered, if not
yerimPlemented, by the federal and various state governments. This
document is not a policy study; it contains no recommendations. It is,
instead, akin to an information base that can, hopefully will, inform
planning processes toward the ends of intelligent.policy and effective
programs.

The book has seven chapters., .. The first chapter, by Richard E.

Peterson, presents a typology o' the broad range of learning resources
available to people throughout their lives from 'schools, industry, proles-
sional associations and trdde unions, government, community organiza-
tions, newspapers, television, 'etc. The author puts planning for formal
educational programs in perspective by showing them as one facet of the
merging learning society.
Chapter II, by K. Patricia Cross, synthesizes data about adult learners
from some 30 s:atNtud national surveys of adult -:.a-ticipation and interest

88:

.123
 6 r
tr.
ADuv rs 412.0

in various leaining acn tivites. The consistency of findings across studies

makes it possible to present a generalized profile of the interests and needs
of adult learners.
Chapter III, by John R. Valley, discusses adult learning resources
,provided by local organizations and agenciesmuseums; libraries, and
'4 counseling and information services, as well as nontraditional programs
devised by colleges and universities. Chapter IV, by Susan A. Powell,
provides a review of recent activities and plans in the stags as revealed by
doCuments from state planning offices and commissions. \Case studies of
four states are included: Chapter V, by Terry W: Hartle and Mark A.
Kutner, summarizes Federal programs related to lifelong learning and
speculates on the Federal Government's role. Chapter VI is a compendium
of- sources of further informationdirectories, advisory councils, clear-
inghouses, journaJs and newsletters, abstracts of current researclrfrograms,
...and services, and relevant legislation. And Chapter VII, by Richard .E.
Peterson, presents the implications and consequences of lifelong learning
for the futuie. This chapter discusses the case for lifelong learning, its
benefits, and the significance for planners and program directors.
This book. is a sourcebook
o. for planners. Although
it will be quickly
outdated because of the rapid changes taking place in planhing for adult
learning, it provides an excellent background of information, It does not
recommend actions, but it can put planning in touch with a network of
useful resources.

4:2.0/78
Lifelong-Learning and Public-Policy, Lifelong Learning Project,
57 pp. (U.S. Department of Health, Education, and Welfare,
Washington, D.C.). .
This is the report of the Lifelong Learning Project authorizeity Title
--

I-B of the 1976 Higher Education Act, popularly known as the Lifelong
Lewning.Act. The projectWhich was under the auspices of the Assistant
Secretary for Education of HEWcommissioned studies, sponsored
conferences, conducted public briefings, and facilitated exchanges ti,
,information among major lifelong learning efforts. The project's primary
goal was to arrive at recommendations for the Federal role in lifelong
learning. The report spells out what the Federal Government could do to
improve and make more equitable learning opportunities for adults at
Federal, state, and local levels.
This report, which was transmitted to the Congress on February 10,
1977, takes a broad view of the learning society, recommending comple-
-mentary roles of Federal and state governments in cooperation with local
providers of educational opportunities. It calls on the Federal Government
for program coordination, research~ and information dissemination to
facilitate adult learning in a range of both formal and informal settings,
A

89

124
 4 EDUCATIONAL OPPORTUNITY

including universities, community colleges, public schools, workplaceS,

community centers, public libraries, museums, and public broadcasting. A
supporting role rather than one of leadership is recommended for govern-
ment. "Federal, State, and local policy should be directed toward sup-
plementing, not supplanting, the efforts if local providers. Policymakers
should emphasize three kindS of support; developing services 'tor the
currently ,,unserved, developing mechanisms which link learners to the
appropriate resources, and developing planning and-coordinating strategies
which encourage collaboration rather than competition among local
providers." .

The report 'Provides .speCial analyses and recommendations for in-

creasing the learning opportunities for four groups of learners: workers,
urban youth, women, and older adults. An appendix provides references to
some 30 papers and reports addressing= the- --Specialiroblems of these
learner groups, as well as a potpourri of other concerns,
Planners will find4his brief report more useful for its broad perspec-
tive op social policy and the Federal role than for facts, data; or specific
recommendations about how to plan for lifelong learning. "

4:2.0/77-1 .
Policytnaking Guidelines for Extended Degree Progranuni A
Revision; Leland L. Medsker and Steward I. Edelstein, 124 Pp.
(American Council on Education; Washington, D.C.).
This' paperback book is concerned with the, policy implications of
extended and external degreeS, i.e., degree credits arned by' unconven-
tional -or nontraditional - means. An intensive study' of extended -degree
programs, conducted by the Center= for fteseareh,and Development
Higher Education of the Univetsity of California at Berkeley in 1974-75,
led to the forMation of the guidelines. The research findings were, pre-
sented along with their implications for public' olicy atolpolicy seminar
consisting of some 60 leaders in American higher education.
_

This publication summarizes the results of both_the research and the

policy seminar. It attempts to organize policy issues, to raise questions
about what needs to be considered in designing, launching, and main-
taining external degree programs, and to.suggestguidelines4 action.
Policy issues are organized into seven areas: clientele; program
features .and student services; staffing; ;organization; finance; planning,
:,initiation, and evaluation; and extrainstitutional policies and priorities that
are the primary responsibility of state and Federal agencies, accrediting
bodies, regional associations, etc.
Each major policy area is introduced by4a brief contextual background
statement. The policy issues are then addressed as questions, and are
followed with relevant information and guidelines.

90

125
 ETHNIC MINORITIES .4441.

The .boik has:a major yet unusual advantage of presenting the impli-
cations pf research findings in the practiCal context of a polity seminpr. It
s;?ould serve as valuable background for planners as well as provkk a
chbcklIst of considerations foe planning external degree pngiams.

4:2.0/77 -2
.
The Adult, Education, and Public Policy, Michael O'Keefe, 63
pp. (Aspen Institute for Humanistic Studies, Palo Alto, Calif.). ,

t, This sbccinct report prepared by Michael O'Keefei Deputy Secretary

for Planning and Evaluation in the former U.S. Office of Education, pro-
vides.an appropriately cautious balance-for. the optimistic writings of the
lifelong-learning enthusiasts. O'K e predicts the early saturation of
growth. in adult education. Indeed, sinterpretatian of statistiCal trellp
suggests that the adult education, of the early 1970's mar already
have peaked.
While admitting that better, dita and insights are needed in order to
formulate adequate 'social pqficy, he sees critical problems already present
in meeting the 'educational needs of-g* ups currently underrepresented in
educational activities primarily undereducated and unemployed seg-
Ments of the population, as well as groups.such as ethnic minorities and
women. The .-author is basically supportive of programs-that make e,dtka-
tion available tobroader stgments.of the population, but he is cautious and
even pessiMistic abcitit political support for large -scale government
spending for adult education.
This is an iniporta,t , thought-provoking book, with good, albeit
somewhat dated, tabulations of adult participation in educational activities.
O'Keefe uses data well to articulateothe issues, and his discussion and
'recommendations reflect his underaanding. of the *basic realities of
planning.

See also: 34:3.0/74 Planning Non-Traditional Programs, K. ,Patricia

Cross, John R. Valley, and Associates.

34:1.0/73-1- Diveraly by Design,- Commission on' Non - Traditional

Study.

3.0 ETHNIC MINORITIES

4:3.0/81
Equal Educational Opportunity: The' Status of Black Americans
hi Higher Education, Institute for the Study of Educational Policy,
330 pp..(Hovard University Press, Washington, D.C.).. ,

'91
 EDUCATIONAL OPPORTUNITY

This 'report is the fourth in a ptanned series of reports on-opportunities .

forablacks in higher education. Each report will concelltrate ob one school

year and will include followup documents recommending state and Federal
action.
This report, covering the school years 1975-77, provides compre-
hensive data and analyses on the current status of- blacks in highesxduca-
tion,' the economic returns for blacks, the continuing barriers to equal
educational opportunity, and the problems inherent in the data by which
public policies are often determined. Based largely on surveys and other
data, the study specifically addresses the following issues: (1) How is equal
opportunity measured? (2) Why are blacks underrepresented in the nation's
". colleges? (3) How does the return on investment in'a college education' for
blacks compare with that of their white counterparts? and (4) What has
been the effect of Federal mandates regarding equal educational opportunity?
Accessthe opportunity-to enroll in a college is not the only way to
measuiefrogress in providing higher education to minorities.. The kind and
quality of colleges.available, as well as a student's ability to do the aca-
demic work, present problems for planners concerned with quality educe-
tion. While Federal mandates have to some extent made access easier, the
a authors feel more effort is needed to boost the quality of minority education
and the staying pOwerof minority students once they'have gained access.

4:3.0/80-1 ,

The Condition, of Education for Hispanic Americans,, George H.

Brostm, Nan L. Rosen, Susan 71'. Hill, and Michael A. Olivas, 268
pp. (National Center foiEducation Statiitics,Washington, D.C.).
This .descriptive report brings together from existing data statistical
information concerning the educational participation and achievement of
Hispanic Americans. It then organiies and interprets this information.
chapter One providei- an cverview of Hispanic Americans in the
United States. It discussei the problems of defining Hispanics and
Hispanic subgroups, and presents general information on the size of the
Hispanic population, their age and geographical distribution, and their
school eollment statusAChapter Two dealewith elementary and second-.
ary education'. Chapter Three covers' postsecondarreducation and *ncludes
such topics. as enrollment data. degrees awarded, and characterise of
studems. It includes 46 charts/tables on topics as digerse as His is
participation in postsecondary and adult education; selected characteristics
of institutions of higher education with 4,000 or' more Hispanic student's,
distribution of first professional, degrees for Hispanics and whites by
discipline, and Hispanic and white-faculty by rank and tenure.
The fourth chapter, "OUtcomes of EduCation," relates the status of
Hispanic teenagers and adults in AmeriCan society to their education.
Included are such topics as: employment by broad occupational category,

92

127
 s,

-`ETHNIC MINORITIES 483.0

unemployment rates, post:high school experiences, and income levels.
Throughout the report, data on Hispanics are compared with data on non-
Hispanics to provide an interpretive context.
This document is excellent in its pregentation of statistical aifld
deMographicr information about Hispanics. It provides -more than 100
informative charts and tables and presents the available data in a most
intelligible way. .

4:3.0/80-2
A Losing Battle: The Decline in Black Participationin Gradlate
and Professional Education, J. Christophir Lehner, jr., 69 pp.
(National Advisory Committee on Black Higher. Edpeation in Black
Colleges and Universities, Washington,"D.C.).
The task of the National Advisory Committee on [hack Hi hetEduca-
tion in Black Colleges and Universities is to advise Federal po *cymakers
on ' `all aspects of the higher education of black Americans." This 's one of
the Committee's reports.
'the -Publication presents 1976 and. 1978 data sh the deteri7
orating involvement of black students .in graduate and professional
education. The evidence shims that blazk participation in graduate and
professional education not only remains low (4.7 percent in 1978), but has
actually fallen from a 6 percent rat, of participation in 1976. Aiiiing
medical students, bla1k enrollment has fallen. to its lowest level since;
1972:73. The Committee attributei the low participation rates to in-
equalities in the awarding of Federal and _institutional financial support,
demonstrating through data that blacks receive few fellowships and
assistantships and are more dependent than whites on their own, earnings
for support. Although historically black colleges represent only 3 percent
of the Nation's graduate schoolsAhey account for more than 18 percent of
all black graduate students.
The report dc;Cuments the decline, advances reasons for it, and then
recommends'strategies to correct the situation and to increase Federal and
institutional commitment to equity in graduate and professional education.

4:3.0/80-3
Minorities in Two-Year Colleges: A Report and Recommenda-
tions for Change, 63 pp. (institute lot the Study of Educational
Policy, Howard University, Washington, D.C.).
This volume is the "executive summary",of another publication, The
Dilemma of Access: "'Minorities in Two Year Colleges, by Michael A.
Olivai (see 22:2.2/79-1 y. The summary report begins with an annotated list
of 18 recommendations for change, Chapter One offers institutional statis-
tics on minorities in 2-year colleges, and Chapter Two follows up with
93

). 12a
 4 EDUCATIONAL OPPORTUNITY

statistics on student characteriStics. UOng these statistics, the authors show

the disproportionate number of full-time minority students who achieve
access to 2-year colleges, which receive lower .per capita appropriations
and subsidies than 4-year colleges. The reasons given for the high enroll-
ment of minority students in 2-year colleges Include proximity, open
admissions, convenience, and low cost.
Chapter Three cites statistics on enrollment patterns of minorities in
2-year colleges. Faculty, administration, -and trustees are the subjects of
Chapter Four, with Chapter Five covering minority students and academic
and. Support services. The final chapter considers several teChnical, con-
ceptual, and political issues concernipg racial wild ethnic educational data..
This summary oftwo larger. Institute 'monographs contains references
to more fully do_cumented issues concerning minorities in higher educk
tion. orities in Two-Year Colleges: A Report and Recommendationsfor
Change is a concise presentation of the data and'underlying issues dealing
with the subject.

.4:3.0/79
Elusive Equality: The Status of Black Americans in Higher
Education, 1,0retizo Mortis, 369 pp. (Howard University Press,
Washington, D.C. ):-
;
This report is the third in a series put out by the Institute for the Study
of Educational /Policy at HoWard University on the progress of blacks in
higher education. Progress in obtaining equal opportunity is measured in
terms of access; distributions and perSistence. The concern is with Federal
policy,. and the 'analysis of data looks at what Federal polity is doing to
promote or fail to promote 'equal' opportunity. Data 'sources' are both
primary and secondary, but the report leans, of. necessity, otedata reported
by Federal agencies U.S. 'Census Bureau, National Center for Education
Statistics, and the Office for Civil Rights.
'Morris concludes that equal opportunity "progress in all areas of
higher education has slowed down, and in areas like professional edu-
cation; it has-. come -to a standstill:" He attributes the lack of progress
primarily to "no clear national policy of'equal opportunity; there is only
collection 'of loosely defined programs. Consequently, measuring and
promoting progress for blacks has been a little like putting out brush fires:
when racial inequalities in one place are dealt with, unseen inequalities
emerge in other phices."
Nearly a hundred tables and figures present a wealth of data. The
author is understandably concerned with documenting the lack of oppor-
tunity, but he consistently ,marshalls the analysis to demonstrate the
concluSion that progiess for blacks is ras than that portrayed by some
recent reports. The author is making the point that so-called "objective"
analysis is not always objective; "Social values penetrate statistical
 ETHNIC MINORITIES 4i3.0

methods." This offers the reader 05, opportunity to compare the

"objectivity," of traditional4ocial science with some alternative analyses.
To his credit, Morris usually makes clear his reasons for questioning
reports of progress that make the system seem more egalitarian than he 1

thinks it is. For example, -"Unfortunately, many critics have been so

impressed by the newly erected monument to equal opportunity that they
those which
have failed to recognize that the foUndations are the same as
for centuries have perpetuated a structure of inequality of opportunity."

4:3.0/78-1
The Schooling of Native Amer*, ThoMas Thompson, ed., 191?
pp. (American Association of Colleges' for Teacher Education,
-Washington, D.C.).
This volume is a c9Ilection of essays 'written by Native, Americans
intimately involved in 'Khan education. They discuss the probleMs and
challenges in Indian education today, from the need for politiCal mobiliza-
tion to the planning and administration of Indian demonstration schools
and programs in Native American studies. The following chapters are of.
particular interest to postsecondary educators and planners: "Why. Do
Indian Students, Drop Out of College?"; "Native Atperican Studies; the
University, and the. Indian Student"; "Teachers for Indian Studenti."
The publication is both a scholarly document and a manifesto of .4t4

convictions.

4:3.0/74-2
Special Programs for Female and Minority Graduate Students,
Frank J. Ateisek and Irene L. Gomberg, 33 pp. (Higher Education
Panel RepOrt, American Council on Education, Washington, D.C:).
This report summarizes the results of a survey that examined the
extent to which. academic institutions; currently provide special assistance
to women and minorities for graduate study. Some facts highlighted by the
report include the following. Forty -six percent of colleges that award a
clegree beyond the master's had at least one formal program specifically
designed for female or minority graduate students. Special recruitment or
admissions efforts, were made at 39 percent of the institutions; special
financial aid programs were run by ,35 percent; and special academic
assistance was given by 24 percent. Public institutions were more active
than private institutions in special efforts for women and ,minorities, and
universities were more active than 4 -year. colleges. Schools of law and
medicine were the most active fields of graduate study in providing special
programs for both women and minorities.
The survey results are presented in tabular form, with tables on the
types of special programs for female or minority graduate students .in
departMent such as engineering; health professions, and law. a

95

0
4 EDUCATIONAL OPPpRTUNITY

4:3.0177
Minorities in U.S. Institutions of Higher Education, Frank
Brown and Madelon. D.' Stent, 178. pp. (Praeger PAiblishers, New
York).
Using several sources of data (mostkeurrent through the mid- 1970's),
the authors attempt to determine the social and psychological benefits
gained by minorities from attending LYS. institutions ofhigher education
and the characteristics of those minority students. Among the variables
considered are: numbers enrolled; courses studied, and degrees attained; . .

and deterrents encounterefl, such as povErti and racism. The major groups
examined are American Indians,' blacks, Asian Americans, and Hispanic
Americans. The book is rife with tablysincome tables, enrollment
'tables, population ,tablesall'of which form a picture of, minority under-
reprsentation in U.S. institutions of higher education.
The strength of this book lies in the critical examination of the-data,
°hen compiled from several sourcesthe American Council on Educa-
tion, the Department of Health, Education, and Welfare, and the 1970
census. The authors also weigh several factors before reaching tl1eir
conclusions. For example, one group appeared to be overrepresented in
undergraduate. institutions in relation to their oveyl population. A review
pf the percentage graduated from high school, however, showed thept to be
underrepresented.
The authors also identify the special problems minorities have in
entering the various' graduate disciplines r.,.d examine minority matricula-.
tion in Ove states (Texas, California, Florida, Illinois, and New York),.
noting °correlations between attendance and public funding. Concluding
chapters review various state and Federal funding programs, evaluate she
interaction of minorities on the campus, and make recommendation for
increasing representation of underrepreiented minorities...
The book is' one of the most up-to-date analyses of the status o(
minorities in institutions of highe education.. It shows planners what to
expect from incoming classes and how they can change the odds. It in-
cludes a bibliography.

Minority Group Participation in Graduate Education, National

Board on GraduatelvEductition, 272 pp.. (National Academy of
Sciences, Washington, D.C.);
This study was undertaken by the National Boardon Graduate Educa-
tion in order to "assist in policy formulation, program planning, and
specific actions designed to reduce' barriers confronting minority group
members as they. seek graduate education and to develop a hospitable
academic environment that will encourage the success of those who enroll."
96

131
l
 ETHNIC MINORITIES 44.0
A 25-page executive summary contains the Board's conclusions and
recommindations. The,conclusions are the/result of an analysis.of minority
-participation (based mostly on data up to 1973-74) and vartius barriers
(categorized as financial, 'educational, psychosocial, and *cultural) on the
'one hand, and an analysis of the current situation from the perspective of
graduate institutions on the other. The latter includes discussions of the
declining labor market; affirmative action, legal issues, need for. sup-
4.
portive services, etc.
Other sections of the Study contain discussions of the efforts of other
agencies and organizations. Including Federal agencies, states, profes-
sional societies, philanthropic foundations, Auld business and industry to
increase minority participation. The final chapter is an abridged version of
a report on, black graduate schools prepared by the Conference of Deans of
Black Graduate Sehooli:

4'4:0/74'
,Disegregating America's Colleges: A Nationivide Survey of
Black Students, 1972-73,. .Boyd, 110 pp. (Ptaeger
Publishers, New Yock).
This volume presents the results of a survey of reactions to the black
experience on white caMpuses. The survey included 785 blaCk student's
and 194 black and white faculty members at 40 predominately white
colleges and universities across the United States: Black employees,of the
Educational. Policy Center_conducted the interviews, with the expectation
that Candid reactions could be obtained.
The characteristics of black students and their reactions, to their
college experiences are described in early chapters. Issues such as per-
' ceived faculty attitudes toward blapks and separatism on campus (including
black housing) are candidly discussed. One chapter describes, differences.
in perceptions between staff members and black students,, revealing that
students are, in general,, better satisfied then faculty think they are. Never-
theless, much remains to be 'done to accommodate the needs of black
students at white universities; and 18; recommendations suggested by -the
data are presented in the final chapter.
ti

4:3.0/71
Minority Access to College, Fred E. Crossland, 139 pp. (Schocken
Books, New York).
"Higher education," rites the author of this readable overview of
the minority access problem, "has functioned as the chief instrument of
social' mobility for every ethnic group in American society, except for
; e.thOic groups that are not White." The deprived ethnic groups include
bilicks, Mexican Americans, Puerto Ricani, and American Indians. In the
97

-s
 4 EDUCATIONAL OPPOATUNITY

'academic ,,year 197.0 -71, they represented less than 10 percent of the
Nation's total college enrollment. Blacks, by far the largest of these
groups, receive the major attention in this study.
The decreasing enrollntent in traditional black institutions (TM's) his
raised questions as to the value of maintaining them. The status of TBI's,
once the "primary educational resource" for black Americans, has
diminished in direct proportion to minority enrollment in other institutions.
The author feels, however, that TB1's play an important role: that of
preparing black and other youth to, ctpe in a "complex, multi-racial,
multi-ethnic society."
The steady, influx of minority Astudentf into institutions other than
TBI's has presented problemS to bdth students and institutions. Students
encounter the following barriers: (1) adverse grading and testing policies,
(-2) academic difficulties:due to poprpreparation, (3) lack of Money, (4)
geographic distance from good colleges, (5) lack of motivation to con-
tinue, and (6) racial hostility. on the patt of faculty, administrators, and
peers.
The efforts of many institutions to dal with these barriers are often
ineffective. The authornotes, however, that some strides have been made,
largely because of, institutional effOrts. What is needed now, he continues6,
is organiztion on the part of secortdary and postiecondary institutions, and
more state and Federal planning and figancial support.

fee also:. 19:1 .0/77-1 Seketive Admissions in Higher Education,

Carnegie Council on Policy Studies in Higher Education.

4.0 HANDICAPPED*

4:4.0/A .

Yearbook of Special Education, Glen R. Tkcimpson, ed., 442 pp.

(Marquis Academic Media, Chicago).
This book, a yearly publication, collects and organizes material on
issues of special e.lucatioli. The 1980-81 edition stresses reports on current
implementation of support laws, the promise of current research and
technology, and issues such as mainstreaming.

*See: Topic 21: Campus and Building Planning, Subtopic 2.0: Environmental Issues: and
Topic 36: Space Management and Projection, Subtopic 2.2: Access for Handicapped, for
information on the architectural considerations involved in accommodating the handicapped
1'1 institutions of higher education.

98-

13'3
 . HANDICAPPED 414.0

Over 80 articles by different authprs cover many of the current issues,

lxing debated About special education." General, topics include: ( I )
minimum competency testing, (2) physically handicapped, (3) speech and
hearing impaired, (4) blind and visually impaired, (S) 'learning disabled,
(6) mentally retarded, (7) emotionally disturbed, (8) gifted aria talented,
(9) the professionals (those wdrking in related fields), (10) rights and
litigation, and ( I I) subject and geographic indexes.
The book is primarily a basic reference document. While much of its
content centers on poliey issues directly related to elementiry and
secondary education, the document does provide valuable insights into the
consecjuences for higher education.. For example, it includes articles on
Ffieservice Changes in Teacher Education Relative to Mainstreaming,"
"Liberal Education for the Handicapped,' and new thoughts regarding the
P
of prOfesiionalS who will work with the handicapped,

4:4.0/79-1
Disability:. Our Challenge, John P. Hourihan, ed., 190 pp.
(Columbia University Press, Nuw York). . .

In the spring of 197C; the Regional Education Progri% for Nandi-

capped College Studentsbased at Teachers College, Columbia
Universitysponsored a lecture series on topics of vital interest to the
handicapped. The topics included employment, civil rights, education,
'social service, and recreation and leisure. The lecturers, themselves
disabled educators, serve as both role models and experts on the educlition
of the disabled.
The tone of this publication, presented in lecture format, is conversa-
tional, emotive, and personal. It offers the insights of accomplished
educators with various diiabilities of their own. Two articles on the civil
rights of handicapped persons contain information on pertinent legislation
as court cases, as does John J. Gavin'i article on employment of the
disabled. The segment of the book that specifically addresses higher
education emphasizes "Liberal Education for the H dicapper and
"Education in Dentistry and the Health Professions."

4:4.0/79-2
Assuring Access for the Handicapped, Martha Ross Redden, ed.,
121 pp. (Jossey-Bass, San Francisco).
This book resulted from the work of 23 major higher education
associations and consumer organizations that work with handicapped
persons. Their efforts -are coordinated through .a project entitled Higher
Education and the Handicapped' (HEATH). Chapters are written by stu-
dents, faculty members, campus administrators, and association staff
members.
The first two chapters, written by students,-give personal views and
99

,134
 4 EDUCATIONAL OPPORTUNITY

practical suggestions about the responsibilities of students and professors

in dealing with access. Relationships between handicapped studentrind
professors are stressed. The remaining chapters, prepared by people who
have worked with the HEATH Project, deal with the practical concerns of
facul members and administrators, such as answers, to legal questions
abcFederal regulations, examples of institutional reactions, and advice
about the materials and assistance available from the HEATH Project.

4:4.0/78 ..
Guide (o thetion -504' Self-Evaluation for Colleges and
Universities, Richard G. Biehl, 127 pp. (National Association of
College and University Business Officers, Washington, D.C.)...
This volume is a functional, well-written guide to compliance with'
Section 504, which calls for equal access to educational institutions forithe
handicapped. It provides a self-evaluation procedure that, when com-
pleted, should become an institution's "master plan" for abolishing
discrimination and achieving equal access fa the handicapped.
The book points out that compliance neednot be a. painful process,
and it discourages teparate programs and activities. Rather, the handi-
capped must be provided access to existing programs. Creating the proper
atmosphere and attitudes at institutions will make handicapped persons '
better able to help themselves.
In the first section, key terms are defined, general provisions outlined,
and U.S. Department of Health, Education, and Welfare regulations listed.
A separate section on "program accessibility," the key- term in Section
504, clarifies the difference between program accessibility, which is
required by law, and a barrier-free environment, which is not. thermal
section, entitled "ImplerAenting the Plan," deals with fipances. An
appendix gives additional sources ofiftformation and technical assistance.

4:4.0/77
Planning Tor Accessibility: A Guide to Developing and Imple-
menting Campus Transition Plans, .Margaret Milner, 86 pp.
(Association of Physical Plant Administrators of Colleges and
Universities, Washington, D.C:).
In the author's words: "Thik manual has been prepared to assist
college and university administrators in making their campus facilities
accessible to physically 'handicapped students, faculty and staff." In
recognition of the uniqueness of each campus, the author presents general
guidelines and recommendations for action as starting points trim' which
each instittl ion can model a program responsive to its own needs.
In order to comply with Section 504, which calls for equal access to
all university programs, many campuses must make changes tb aCcommo-
100

35
 UNDERPREPARED STUDENTS 415.0
in
date handicapped students who are taking advantage of,the revolution
possible, the
accessibility of higher education. After access has been made
deals with
problem becomes one of publicizing the program. This volume
for -reaching into the
a program handboOk and suggests methods
.,
community.
implementa-
The appendix includes sample documents, surveys for
tion of guidelines, and other relevant references. ,

5.0 UNDERPREPARED STUDENT°

4:5.0/80
Teaching Basic Skills in College, Alice Stewart Trillin et al., 327
pp. (Jossey-Bass, San Francisco).
This book is a sytithesis of ideas and teaching techniques that Abe
skills programs
*authors considered successful-when applied in the basic
addresses fOur
offered by City Univeriity Of New York (CUNY). The book
and
major skills areas: writing, 'reading, English as a second language,
in the
mathematics. Each chapter of the book is written by a specialist
subject area. The final chapter is devoted to program eialuation.
What are the
Six. basic questions are addressed for each area: ( I)
different
objectives of the skills programs in this area? (2) What are the
be determined?'
skills levels of entering students, and how can these levels
teaching methods
(3) What sholild be taught at each skills level? (4) What
How can-the scope and
are most appropriate for each skills level? (5)
How should a
effectiveness of curreht skills teaching be determined? (6)
skills program in this area be administered?
of suc-
The value of this book to professional staff is its description
is written by
cessful 'practices in teaching underprepared. students. It
teachers and for teachers, and it grew out of the trial-and-error experiences
of a basically traditional faculty attempting to find new ways to deal with
the challenge Of underprepared students.

Maxwell.
See: 38:3.0/79 Improving Student Learning Skills, Martha
the
This book is a comprehensive guide to strategies for increasing
A

of
performance of underprepared students. It is based on the experiences
coun-
the author in working with learning problems over a long career as
selor, teacher, academic adviser, reading specialist, researcher, and
administrator.
prob-
In this book; she discusses the nature,and causes of learning
that have
lems, strategies for their prevention and treatment, and programs
been developed to help overcome die problems,
Part One provides the historical' background for remediation in
American colleges and presents an overview of the role of remedial pro-
101

136
 4 EDUCATIONALOPPORTUNITY

grams' today. Part Two, "Organizing Successful Programs," presents

ways of organizing Writing-support services through tutorial programs and
learning centers. The six chapters in Part Three focus on understanding the
characteristics of underprepared students and preparing programs to help
them improve their skills in reading, writing, studying, mathematics, and
science. The'final segmeht, "Resources," lists available tests, publica-
tions, and forms that program directors and instructors might find useful.
In -general, 4-year 'colleges will probably find Maxwell's approach
more useful the will public community colleges dealing with large
numbers of underprepared stud,:nis, The strength of -the book lies in its
comprehensive titatment of the subject and the author's extensive profes-
sional experience.

4:5,0/77-1
Handbook oh Open Admissions Success; Failure, Potential,
Ann Folger Decker; Ruth Jody,'" and Felicia Brings, 161 pp,
(Westview Press, Boulder, Colo.). 114
This handbook describes the ope,n admissions experience of City Uni-
versity of New York (CUNY) in 1973. The authors evaluate the problems,
solutions, and administrative policy attendant upon the new experience,
including the .physical ,chaos of sheet numbers, the curriculum revision
demanded by new`kinds of students, and' faculty and administrative
adjustments.
The issue of lowered standards versus greater opportunity is well-
handled, 'and the volume systematically discusses the difficulties of the
new students, the primary one being a lack of basic skills. Discussions on
solutions inchide testing,,remedial courses, and ad,iging, all described in-
.
respective chapters. The sections dealing with "The!CUNY System"and
with "Maintaining Standards" will be of particular interest to planners.
The experiences of CUNY are widely 'applicable since many univer-
sities grapple with similar problems regarding open admissions.

.
4:5.0/77-2
Overcoming Learning Problems: A 'Guide to Developmental
Education in College, John E. Roueche and Jerry. J. Snow; I pp.
(Jossey-Bass, San Francisco).
"The problems associated with remedial education in college will not
gO away. In fact, the 'problems' get more awesome each year as more and
more students enter college without the verbal and quantitative skills
needed to enroll, let alone succeed, in-freshmen level courses." With that
statement, John E. Roueche and Jerry J. Snow introduce their book, which
describes trends and practices in collegiate remedial offerings collected
from a survey of some 300 2- and 4-year institutions. These findings are

137
 $

UNDERPREPARED STUDENTS 41111.0

related to earlier surveys and to. theory and research ablut learning
problems.
Roueche is an experienced authority on remedial education, and 'per-
haps.one of the most useful sections of the book describe 12 programs
six in 2-year colleges and six in 4-year colleges--that the authors rate as
"exeniplary." These, programs offer good evidence that remedial ap- 4 A.
proaches can be designed to "promote high retention and achievement
with large numbers of non-traditional learners." .

This fairly short, readable book offers planners an overview of what is

being done and what can be done to meet the challenge of underprepared
b,
students.

4:5.0/76
Accent on Learning: Improving Instruction and Reshaping the
Curriculum,. K. Patricia Cross-, 29.1 pp. (Jossey-Bass, San
Francisco).
This book contains useful applications of research and theory for
improving learning across the broad spectrum of higher education, but its
major concern is for instruction and curricula that improve education.for
underprepared students. The book Yeas awarded the. American Council on
Education Book Award fbr the best book in higher' education in 1976.
'71is volume is really a sequel, to,Cross's earlier book; Beyond the
Open Door,» which descried the needs and characteristics of underpre- .

-pared students. Accent on Learning mikes some recommendations for

designing educational programs to meet these needs. The author searched
. the literature of education, psychology, and sociology for research findings

that would' shed light'on the problems of low .achievers and "turned off '
learners,-and then presented the implications of the research and theory for
practice..0yer 1,000 studies'were reviewed, and an extensive bibliography
contains citations for much of the recent literature relevant to learning for
personal development as well as for academic competence.
Educators interested in some of the recent teaching and ..learning
innovations will find evalu\tions and sources of further information on the
following: individualization of instruction;' mastery' learning;-computer-
assisted and computer-managed instruction; self-paced learning; cognitive
styles; programmed instruction; audio-tutorial methods; Personalized
Systeni of instruction, or the Keller Plan; intellectual and moral develop-
tne,nt; laboratory education or sensitivity training, and micro-teaching.
This book is concerned with providing educational opportunity
through changing instruction and curriculum rather than through facili-
tating access via financial aid, counseling and guidance, etc. As such, it is
more relevant to planners working with faculty and administrators on
program design and faculty development than to planners concerned about
attracting new clientele into institutions of postsecondary education.
103

138 Kt
 4 EDUCATIONAL OPPORTUNITY

4:5.0/73
"The Case for Open Admissions," Timothy 'Healy, Edward
- Quinn, Alexander W. Astm, and fack Rossman, Changi., Vol. 5,
No. 3, Summer, pp. 24-37. g
' This, reference consists of three journal' articles describing the open'
admissions ;'crisis" at the City University of New York (CUNY) in the
early 1970's. It is included here because although thitrgs have changed
somewhat at CUNY,. many of the anxieties and doubts about open admis-
sions at CUNY in l973 still exist in many parts of the country. This set of,
articles.'articulates the problems in a sensitive and realistic manner that
helps put planning for equal opportunity for underprepared students in
perspective.
Articles by Timothy Healy.--who was vice-chancellor for academic
_ affairs at ;CUNY --and Edward Quinna professor= of English atNew.-
York City College, CUNY present administrative and faculty perspec-
tives in essays that capture the spirit of the times in delightful prose. The
third article presents research data collected during CUNY's firSt year of
open admissions.

4:5.0/72 . .

Higher Education and the Madvantaged Student, Helen S.

Aitin, Alexander W. Astin, Ann S. Bisconti, and Hyman Frankel,
359 pp. (iitrman Services Press, Washington, D.C.).
This study uses two sources of information: case-study data from 19
institutions operating special programs for disadvantaged students, and
longitudinal self-report questionnaires froestudents in special programs or
from disadvantaged backgrounds collected by the American Council
Education from 1966' to°1969.
The outdated information and the institutions' inexperience in
operating special programs in those early years make this study limited in
its, usefulness today. However, the section on implications for educational
policy and guidelines for program development still contain relevant
reminders regarding student characteristics and institutional response.

4:5.0/71
Beyond Open Door: New S5udents to Higher Education, K.
Patricia Cross, 200 pp. (Jossey-Bass, San Francisco).
This book calls for new educational approaches to serve the needs of
large numbers of underprepared students entering open-admissions col-
leges. It is written for plannem, faculty, and administrators, and its purpose.
is to document some of the differences between "traditiOnal" and"new"
students in their approaches to learning.
Basic data for the book derive from four large national questionnaire

139
 UNDERPREPARED STUDENTS 40.0
surveys, involving from 9,000 to 400,000 high sato°. I students and
graadoates. For each of the four data banks, studentt graduaing in the
lowest academic third of the high school class (new students) are -con-
trasted with those graduating in the top third (traditional students).
Variables discussed:are broad, ranging across interests, attitudes, motiva-
tions, self-concepts,' aspitations, and 'achievements.
This book is specifically concerned with the challenge to colleges
posed by students with poor past records of academic alhievement. While
ethnic minorities are Overrepresented in this group, the majority of under-
prepared students are white first-generation college students who are the'.
sons and daughters of blue-collar workers. Most of these loW academic
achievers are, entering community colleges and other nonselective forms of
postsecondary education ' ,

Most of the chap( rs in Beyond theppen Poor integrate data across_

four national s di s to describe ihe characteristics of "new students."
Several chapters, h weVer,, discuis related topics such as national egali-
tarian trends in higher education and theories about self-concept and the
fear of faikire. Chapters on the characteristici of ethnic minorities and
women are included: even though these groups are not_ necessarily
synonymous with low academic achievers. A final chapter makes some
recommendations about how open-admissions colleges should deal :with
the challenge of nonselected student bodies.

4:5.0/70
Postsecondary' Education. and the Disadvantaged: A Policy
-Study, Amitar Etzioni,131 m (Center for-Policy-Research, New
York).
This classic study sets forth essential concepts and analyzes sociolog-
ical data and research on compensatory education for the disadvantaged.
Divided into three sections, the study examines alternatives and makes.
recommendations for policy,
The first section, 'written by Amitar Etzioni, examines black studies
from the perspectives of undergraduate and graduate, specialization,
bridging education, and social centers. The second section, ,written by ;,

Irene Tinker, concentrates on goals, agendas, and policies concerned with

programs for the underprepared and for pre-college students, as well as
with motivational', intensive and remedial, and compensatory programs.
The third section is an annotated bibliography.
.. Although the information is,somewhat dated, this study deals less
with the application of statistics than with the. concepts and theories that .

continue to be relevant.

105
 EDUCATIONAL OPPORTUNITY

6.0 WOMEN

4:6.0/S
.The Project on the Status and Education of Women, Bernice R.
Sandler, Association of American Colleges, .Washington, D.C.
The Project on the Status and Education of Women of the Association
of American Colleges provides a clearinghouse for information concerning
women students and staff in education. The major work of the project is the
development of information packets that 'can be used by higher education
instituticna to develop procedures assuring educationaleguity for women.
Each packet contains five to seven documents addressing a giVen
topic; packets currently available are on minority women, rape and sexual
harrassment, Title IX, Title IX and sports, students, faculty, and adminis-'
gators. Because of the current interest-in reentry -women; special mackets
have been prepared on this topic; they cover financial aid, child care,
counseling, recruitment, and admissions. There is also a packet containing
information about resources--e.g., women's centers, organizationsthat
may provide useful services.

4:6.0/81
Sex Equity in Education: NIE Sponsored Projects 'and Publics'
tions, Compiled by Susan S.. Kiehl; 313 pp. (National Institute of
Education, Washington,- D.C.).,
This volume is-a-collection of abstracts of sex equity projects funded
by the- National Institate: of Education (NIE) and abstracts- of NIE-
sponsored sex equity publications: The purpose of the _publication is to
facilitate communication among researchers and others- about current
research and development "in the field.
Projects promoting sex equity co ter a 'wide range of issues: ( I)
women in matheinatics and science; (2) sex equity in careers and em-
ployment; (3) sex equity in elementary and secondary school practices; (4)
women with special needs; (5) women educators; (6) women and minor-
ities in highet and continuing education; and (7) general projects on sex
equity.,
NIE-sponsored publications on sex equity include those titles avail-
able through NIE and through the Educational Resources information
Center (ERIC).

4:6.0/80
Returning Women Students in Higher Education: Defining
Poli,cy Issues, Carol Kehr Tittle and Eleanor Rubin Denker, 213 pp.
(PEaeger Publishers, New York),
This book is an excellent and comprehensive overview of information

-:=106

141
 41.41.0

for policymakers who must prOvide for the needs of reentry women. 'The
best description of the contents of this book is contained in the chapter
headings: (1) "Women in Higher Education: The Past and The Present";
(2) "Returning Women: Characteristics. Go_als-, and Barriers to Re-
turning"; (3) "Programs and Services for Returning Women"; (4)
`'Developing nnd. Disseminating a Community College Preadmission
Counseling. Program"; (5) "The EPWIS Program; Preparing Women to
Return to a Career in Science"; (6) "The Theoretical Context of Returning'
Women: Vocational and Developmental Perspettives".;(7) "Nignettee of
Returning Women"; (8) 'Themes for Returning Women "; (9) "Devel-
oping a Responsive Climate: Institutional and Public Policy Issues."
The narrative is well documented with 'references from the research
literature on reentry women.° The authors augment the narrative with
appropriately placed-tables that illustrate key toficepts:
. The book concludes with an excellent bibliography that contains over
250 citations of related lioratute.

4:6.0/79
Women In 'Academe: Steps to Greater Equality, Judith.k Gappa
and Barbara S. Uehling, 89, pp. (ERIC Clearinghouse on Higher
Education, Washington, D.C.). 1-, .

This monograph reviews research and literature about women stu-

dents and professional staff in higher education,' using data from 1969
through 1972. Gappa and Uehling report.. that although progress toward
equity 63 'been made by-women in higher -education,: their status as stu-
dents and employees is still not equal. to that of men.
The monograph contains information and statistics on constraints that
affect women's access to and participation-in academe..it surveys data
about women students, faculty, and administrators; it 'reviews legislation
pertaining to the rights of women in higher education; and it examines the
state of enforcement efforts.
In the final section, the authors recommend steps that can provide
greater equality for women in higher education: ( I) expand the information.
base through further research at national, regional, state,' and institutional
levels; (2) provide incentives for change; (3) eliminate barriers that impede
or constrain women's participation; (4) create new institutional services;
and (5) provide a continuous review of progress and additional efforts to
improve the status of women in higher education. '
The authors "also recommend that j,rograms be developed from the
collaborative efforts of men and women within institutiorts, and that less
reliance be placed on enforcement agencies aid the courts. In their
opinion, "When equality of opportunity-is achieved, women will not be
constrained by: early socialization experiences, social and economic
factors, institutional,policies and practices', or any factor other than ability,
107

142
 4 EDUCATIONAL OPPORTUNITY

they end with recommendations foiprograms, research projects, and.legis,

lation to. ensure More equal educational access for women.
Unable through time constraints to ;conduct many of their own
Surveys, the authors do a good job of synthesizing and interpreting existing
data. Although they draw no monumental conclusions, they give a good
indication of trends among college students in the 1970's.

4:6.0/75
Barriers to Women's Participation in Posfsecondary Education:
A Review of Research and Compentar As of 1973-74, Esther
Manning Westervelt, 76 pp. (U.S. Department of Health, Eddca-
tion, and Welfare', Washington,. D.C.).
This report offers, a good, succinct -overglew of the research up to
.

1974 on women's participation in higher educed* It is divided into three

sections, one dealing with institutional barriers, one with social con-
straints; and one with ps7chological factors.
Institutional barriers in areas such as admissions, financial aid,'
housing, and others subject to the direct control of colleges and universities
are given the most attention, and it is this discuision that will\ beOt greatest
interestto Vanners. Another valuable contribution of this overview is the
perspective it ,gives by placing institutional barriers to equal educational
opportunity for women in the context of barriers erected by social attitudes
about women's roles and the psyChological conflicts that -women face in
balancing traditional roles and exPectations with 11CW models and pressures
for achievement.

4:6.0/73
Opportunities for Women in Higher Educitio;I: Their Current
Participation, Prospects for the Future, and Recommendations
for Actions, Carnegie Commission on Higher Education, 282 pp.
(McGraw-Hill Book Co., New York).
This Carnegie Commission report begins with the observation that at
each "gate" to successive key points of advancement in the academic.
.
Jworld, the percentage of women declines. F:tensive charts.and data illus-
trate the paths of women through, the educational system as entrants 'to
college, undergraduates, graduate and professional students, faculty mem-
bers, and administrators. The special pn*tems at each stage of education
are explored, usually through statistical charts and tables, and recommen-
dations are made for overcoming these problems at each successive level.
Two final chapters discuss the issues of affirmative action (including
legal bacicgrourid, case histories, and policy considerations) and needed
campus facilities such as continuing education and child care centers.
Although books that present substantial data tend to beCome dated

. 143
 WOMEN 4410

rather quickly, the probkmi discussed in this volume still exist, and the
recommendations arc as relevant now as they were in 1973. This volume
probably remains. the single best information resource on the education
of
women.within the traditional framewOr of higher education.
 4 EDUCATIONAL OPPORTUNITY

from access to and full participation in the services, educational programs, .

and benefits of higlieieducation."

A 10-page bibliography makes this report a useful tool fOr other
researchers of women in academe. .

4:6.0/78,
Putting Principle Into PraCtice: Guidelines for Administrators
in Implementing Title IX; Donna Shavlik, Emily Taylor, and Judy
Touchton, 45 pp. (Resource Center on Sex Roles and EdUcation,
Washington, D.C.).
This booklet synthesizes much of the literature on Title IXthe
Federal regulation that prohibits sexual discrimination in studentprograms
and in employment policy and practice in educational institutions receiving
Federal fundsand discusses the responsibilities of high-level adminis-
trative personnel for implementing Title 1X.:.
A primary value of this work lies in the statistics and studies cited on
women in higher education; all .of which clearly Point to undenrepresenta-
tion of women.
The booklet offers suggestions for achieving equity in hiring and in
student programs, and poses questions for administrators as they evaluate
institutional operation and possible areas of discrimination. Throughout the
booklet, relevant sections of the regulation are noted, each followed by
practical suggestions for implementation. Although the emphasis of this
volume is on hiring practices, any volume dealing with equity in the
institutional structure is tangentially beneficial to students seeking equal
access.
The authors conclude with suggestions for more _equitable hiring in
light of Title IX, among them, guidelines for preparing job .descriptions
and for recruiting, interviewing, and screening candidates.

4:6.0/77
Women in Higher Education, W. Todd. Furniss and Patricia
Albjerg Graham, eds., .336 pp. kAmerican Council on Education,
Washington, D.C.).
A collection of brief essays prepared.for the American Council on
Education's 55th annual meetingthis book explores the role of women
as professors, students, and staff membersat Anierican colleges and
universities. 6

One of Yale University's first women undetgraduates writes about

being in the minority (8 to I) at a newly coeducational school. h professor
writes of her efforts.to start an employment agency for women historians..
A university president details some problems he has had initiating affirma:
110

145
 WOMEN 4d1.0

tive action. .A president emeritus discusses her views on balancing the

t
pursuit of a professional degree with m 'age and motherhood. .

These essays treat these other issu thee rate of promotion and
the possibility of part-time work for women teachers; attrition rates among
women faculty; maternity leave policies; and the fate of womep's college's.
Written by some of the most notable men and women in higher
education, the essays form a well-rounded picture of the female academic'
in the mid-1970's, particularly of the areas in whih she faces discrimina:'
tion. Several of the writings suggest ideological shifts useful for planning
and practical steps one can take to anticipate them.
The essays are lively, well-written, and thought provoking, and are
..---- recommended for anyone who wants a quick look at contemporary ques-
tions facing women in higher education.

4:6.0/76
Sex Discrimihation in Education: Access to Postsecondary
Education, Helen Astin, Michele Harway, and Patricia McNamara,
394 pi). (Higher Education Research Institute; Los Angeles).
This study. attempts to identify factors that_ either facilitate or inhibit
educational access for women, particularly at the postsecondary level. The
authors Idok at. the kind of high school courses women take, the grades
they achieve, the kinds of institutions in which they enroll, and the major
fields and careers they choose. The authorsthen compare these factors with
similar ones for men and for racial/ethnic gioups to see whether they affect
access to educational institutions.
The personal and social backgrounds o women are also reviewed as
possible contributorS to be 'generally lower educational and occupational
aspirations and achieVethents of women." Moreover, the, study looks for
signs of discrimination in the way information on various ,educational
opportunities filters downthrough parents, guidance manuals, and
counselors. Other areas,reviewed for possible discrimination include the
cbilcge admission process, attitudes of male faculty, and availability of
financial aid. One chapter is devoted- to the special Problems of, adult
women returning to school.
Relying heavily on previous surveys (the study was conducted over a
9-month period), the authors conclude that despite their high& grades,
women are less likely than men to go to college, and those who do may be
more likely to select a less expensive, less prestigious school, Part of the '
reason is discrimination: schools lack female role models; institutional
catalogs'are biased toward men; schools encourage "traditional" women's
majors that limit choice; and American society historically has given
higher priority to education of men than to education of women.
Throughout the study the authors pose questions for further study;

I I I IP

146
 C
ti

David W. Dreneman

Higher education finance involves both descriptive and judg-

mental features, i.e., who pays and who should pay. The descriptive
side focuses on how the costs of higher educatiim are-met by support
provided from the several levels of government (F;deral, state, and
local), from private sources through contributions and bequests, and
from student payments of tuition and fees. The various- forms :in
which support is PrOujded aria also included in the study of finance,
e.g., grants, loans, tax subsidies, and payments to institutions ot°
students.
The judgmental side of finance involves analyses of how the
cost burdeh should be distributed,among the several sources: In this
Sense, higher education finance is a component of the broader field
of public finance. Criteria,commonly applied to cost distribution are
efficiency and equity, the first through analysis of individualversus
societal benefits and costs; and the sccond through analysis of the
distribution of these beneftis and costs among the members of
society. *
The topic of finance is limited in this bibliography to the fi-
nancing of institutions Of higher education. The emphasis is on the
aggregate financing of all or major groups of colleges and universi-
-113-

4
147
 5 FINANCE*
.,.

ties, nOt *On ihe financial mana .ernent of individual institutions. ThiS
focus exclud6s: the .financing if students, whiih is treated in Topic
.
17, Student Financial Assis r
e; studies related to finance, such as
the rate of return to investmet in college education, which are part
of 'topic 3, Economics' and tudies of institutional program costs,
budgeting, and resource all tion, which are discussed in Topic 15,
Resource Allocation and. B dgeting, and Topic 20, gInstitutional
Financ
Finance is organized int Nix component parts.
General. These volum investigate the financin§ of higher
education generally, and at not limited to a particular level of
government, type of institution, or instruction.
Federal.-Role. These studies concentrate on the l'ederal role in
higher education finance, without reference to a particular type of
institutini: or level of instruction.
State Role. Th4 collection concentrates on the state role in
higher education finance, including studies of public higher educa-
tion systems but excluding special topics such as state support for
private colleges.
Studies of Higher Education Segments. This section covers
four segments of higher /education finance, including: graduate
education, 1nedical education, private colleges and universities, and
community colleges. This section is generally not limited to a
particAlar level of government.
inancial ConditiOn of Institutions. Investigations of the
financial status of institutions are covered here, along with the
possibility of remedial action.
Data Sources. Sources of statistical data on college and,
university finance are treated in this section.

TOPIC ORGANIZATION__

5: Finance
1.0 General
2.0 decal Role
3.0 ale
4.0 Studies of Higher Education Segments
4.1 Graduate Education
4.2 Medical Education
4.3 Private Colleges and. Universities
4.4 Comniunity Colleges
-114

. 48
 GENERAL "al
.

5.0 Financial COnditiOn of Institutions

6.0 Data Sources

1.0 GENERAL

5:1.0/80
--Subsidies to Higher Education, Howard P. Tuclunan and Edward
Whalen, eds., 301 pp. (Praeger Publishers, New York)..;"
This interesting collection of articles exami s the fin ng o her
education through
ro the "grants" econom approach that s s ose
forms of payment that are t an explicit quid pro q hi a
foreword to the book, economist Kenneth Boultng observes
As we move into higher education; the grants investmen t of the
operation beComes quite dominant for students in colleges and univer-
sities, who usually finance only a small part of the cost of their
education, if any, by themselves. Mostly it is financed by kgnuit
either from family or from society. Some of this may be a current
consumer good, for it may be more fun in college than it is in the
factory; but 'a great deal of it is investment in the hope of benefits in
years to come: The willingness of society to do thiseither through
the °family, college endowments, foundations, or the tax systemis
%. very much a function of its length of time horizon and its sense of
identity with the future. . . . The grants element in higher education
makes it a little precarious because its dependence on the integrative
structure of society over time, and proposals to shift it more into the
-exchange 'investment sector. 'through educational- banks, -public bans,-
and the like, are receiving increasing consideration, especially where
the individual returns are high, as in some professional education.

The 15 chapters in the book develof various aspects of this perspective on

finance.
Rerrcsentative chapters cover the following topics: "Grant: Elements
in Private Higher. Education," .by. Richard K. Stuart; "Financial 'and
Behavioral Implications of Federal Student Loan 'Programs and Pro-.
posals," by 'Stephen P. Dresch; "Who Qualifies for Financial Aid ?" by
Kenneth M. Deitch; "Cost, Benefit, and Envy; Alternative Measures of
the Redistributi? Effects of Higher Education," by Estelle James; and
"Federal Regulations As Negative Grants," by Edward L. Whalen.
Other chapters cover such issues as: "The Impact of Federal Grants
on Output and Employment in Universities," by David A. Katz; "Grant
Elements in Faculty Mobility: Some Initial Interpretations," by Lewis C.
Solmon; "The Effects of Tuition-Free Universities and Open Admissions

115

149
5 FINANCE

on Higher Education: The New York Experience," by Raymond S.

Franklin and Ali Want Hamovitch; "The Rationale and Impact of Coriorate
Giwing to Universities: Advancing Free Enterprise,'" by William E.
Becker, Jr.; and "Union Subsidies to Workers for Higher Education," by'
Ivan Charner. The concluding chapter, by Efoug las M. Windham, ex-
amines "Public Responsibility for Higher Education: Policy Issues and
Research Directions."
Ai with any collection, the'quality of contributions is uneven. None-
theless, readers will find the appPoach taken in most of the articles fresh .

and provocative.

See :.13:2.1 /80 The. Costs of Higher Education, Howard R. Bowen;

Thii study measures institutional' costs for the education of studenti in
terms of a standardized student nnit..Using this measure., it is possible to
'calculate unit costs and thus to make long-term cost comparisons among
institutions and groups till institutions, to study factors influencing cost, to
examine the effect of institutional differences in cost on educational out-
comes, and, ultimately, to reach some tentative answers to the question of
how much higher education should cost in the 1980's and beyond.
The study is limited, however, to institutional costs for the education
of students (i.e., the costs of instruction and departmental research, student
financial aid paid from institutional funds, student services, and a pro rata -
share\ of academic support, institutional support, plant operation and
maintenance, and mandatory transfers). It° excludes costs for organized
research, organized public service, auxiliary enterprises, and teaching
hospitals, asATI1 as personal expenses of students; including transporta-
tion, books and supplies, and forgone income.
A theme running thr.ugh the study is that costs are determined by
revenues. Viewing the matter from the standpoint of the higher education
system, average cost per student unit is determined by the amount of
money society chooses to spend relative to the prevailing mission or work-
/load, by public attitudes about the importance of higher education, and by
the competition of other uses for publiC and pflvate funds. The same
phenomenon, when looked at from the standpoint of a single institution, is
that unit costs are determined by the amount of money the institution can
raise relative to its mission or workload. And a major objective of virtually
all institutions is to maximize unit costs.
Boweri conducted an intensive investigation of unit costs from 1929-
30 to 1977-78 and found that cost per student unit (inconstant dollars)
declined slowly between 1929-30 and 1949-50 and again in the 1970's, but
rose rapidly form 1949-50 to 1969-70. The last period, often caved the
"golden years," was an exceptional episode in the history of American
higher education. The nation recognized the need not only to expand but
also to improve the higber edusatiorkayskm. The decline in unit cost over
1M
150
 GENERAL 511.0

periods before and after the golden years reflected in part the' dramatic
expansion of the_low-:cost,Public sector of higher education relative to the
high-cost private sector. The overall cost reduction was du; in part to a
structural chinge IIn the system. This change has been largely completed,
and further cost reduction from this source is likely to be less pronounced
in the future. 4
When the unit costs of institutions are compared, the most significant
finding is the sharp differences in total cost per student unit. Some of the
differences can. be attributed to statistical anomalies and to subtle differ-
ences that aronot recognized in the classifications of institutions. Yet no
matter how much care goes into. the 'statistics am! into the classifications,
substantial cost differences persist. These findings can be explained by the
revenue theory of cost; namely, that institutions raise all the Dmoney they
can and spend it all. The differences among institutions in the way they
allOcate their resouiceS -internally-are alsoremarkable. On 'the -basis of the
data, one is hard put to identify a pattern of allocation that could be called
normal.

See: 12:1.1180 Three Thousand Futures: The Next Twenty Years for
Higher Education, Carnegie Council on Policy ,Studies in Higher
Education.
This volume is die final report of the Carnegie Council. The body' of
the rkort focuses on enrollment projections, disaggregated by state and by
institutional 'iype. Implications of enrollment changes are' discussed for
institutions, facolty,; students, and Federal, state, and local governments.
The text.ends with a series of policy recommendations to the above groups.
The Council's general view on financing of higher education in
coming decades is-as follows: Higher education needs to reconcile itself to
the unlikelihood of any massive. new Federal programs. This places great
emphasis on private support, which, over the long run. Jus_been a-falling
component of support. The Carnegie Commission once suggested that, it
was reasonableto expect that tuition in public institutions be about one-
third of instructional costs: offset by tuition scholarships on the basis of
_need. The exception would be community colleges, which should have
comparatively low tuition. The Council considers this to be a proposal
worthy of consideration. Several states now approximate these levels. Tax
policies should encourage private gifts to colleges. And states should
consider all private gifts as over and above their own contributions,
The Council proposes that state governments take the following
actions: (1) prepare financing formulas that will encourage diversity. and
new initiatives, that make allowance for rising overhead costs per student
as enrollments go down, and that permit institutions to keep the private
funds they raise; (2) introduce state equivalents of the Fund for Improve-
ment of Postsecondary Education (FIPSE); (3) stop preaudit controls over

1,17
 5 FINANCE

expenditures, emphasizing instead postaudit measurements of managerial

performance; (4) ease the possibility of transfers of funds within institu-
tions, preferably through pimp -sum appropriations; (5) provide for por-
tability of state financial aid to students; (6) step in, as necessary, to assist
in mergers of institutions (which can be costly) and to help with close-outs
(particularly the preservation of past records): (7) encourage more sophisti-
cated'advance estimates of enrollments than many states now have; and (8)
assist interstate consortiums and cooperative use of facilities.
The Council argues that the Federal Governments in addition to
providing financial aid to students, has a major role in maintaining the
research capacity of higher education. The Council recommends that the
Federal Government: ( I) continue the present level 'of support for research .

in colleges and universities at, approximately 12' to 13 percent of total

Federal support of research and development (R&D), while raising total
Federal support of- R &D. -to- about; 1:8 percentOf the GNP-, 'which it
averaged in the 1960's; (2) establish a Fund for the Encouragement of
Young Scientists to assist the flow of young scientists into faculty positions
in selected fields in universities, either directly or through absorption of all
or part of the costs of existing .tenure positions; (31 encourage, through
appropriate tax policies, industry and foundations to grant research funds
O
4o universities; (4) introduce a policy to support research libraries and other
research resources, including computers, by including within overhead on
research contracts a standard 5 percent allowance for this purpose; (5)
adopt policies to target student 'self-help, and assist the states with State
Student Incentive Grants; and (6) gradually increase thefunds allocated to
FIPSE. :

See: 12:1.3/80 A Program for Renewed Partngrship: The Report of

the Sloan Cominission on Government and Higher' Education, Sloan -_

Commission.
This volume, prepared by the 22-member Sloan Commissi art
Government and Higher Education, is a wide-ranging report. covering Joth
financial an regulatory issues governing the relationships betweeti higher
education and state and Federal Governments. In preparing its report, ,ttie
Commission was assisted by a small professional research 'staff; and it
commissioned a number of outside studies as background for its recom-
mendations.
Chapters in the report cover the following topics: Chapter I,
"Overview and Summary of the Recommedations"; Chapter 2, "The
.Context of the Problems"; Chapter 3, "Federal Regulation"; Chapter 4,
"Role of the States"; Chapter 5, "Financial Aid"; Chapter 6, "Federal
Support for Academic, Research"; and Chapter 8; "Why Should We
Care'?" Two appendixes complete the volume. The first lists the numerous
studies prepared for the Commission, most of which are available sep-

118
 GENERAL fis1.0

arately through the ERI system, and the iecond provides source materials
and detailed tables that Support chapters of the report. '
The Commission vas created in 1977, by the Alfred P. Sloan Founda-''
tion, in response to in4easing concerns being expressed on the Nation's
campuses about the gro ing costs and intrusiveness of government regUla-
tions in the life of colle esoand universities. In Chapter 3, the Commission
examines Federal regul ions as they bear on colleges and universities, and
proposes that the severa 'Federal 'agencies now involved be combined into
a single council for Equ l'Opportunity in Higher Education. In discuSsing
state regulations in Cha ter 4, the Commission advances its most contro-
versial reeomtnendatiO, calling for periodic quality reviews of educational
programs at public tiblleges and universities. These reviews, to be con-
ducted by ucademici. peer groups, are intended to offset.the tendencies
toward dilution of quality prompted by increased competition for students
and resources. While urging private institutions.to participate as well, the
Commission does not recommend that private colleges be subject to the
'reviews as a requirement for receivinestate support. Unfortunately, the
furor created over this proposal has tended to distract attention from the
rest of the report, reducing the.impact of its financial proposals.
The strongest chapters.are 5 and 6, dealing with student financial aid
and the Federal support of academic research. Noteworthy are proposals to
integrate educational benefits from military service with existing Federal
student aid grants, eliminate Social Security benefits for students, create a
Federal Undergraduate Merit Scholarship program providing `3,000
scholarships annually,' and consolidate. loan -programs into a National.
Educational Loan Bank. Recommendations for research support include
continuance of the peer review process, transfer of financial oversight of
all academic research grants to a new Office of Inspector General attached
to the National:Science Foundation, and support for postdoctoral fellow-
ships and research facilities grants.

5:1.0/73-1
Financing Postsecondary Education in the United -States,
National-aCommission on the Financing of Postsecondary Education,
442 pp. (U.S. Government PrintingOffice, 'Washington, D.C.).
The National Commission on Postsecondary Education was mandated
by Congress as a result or the acrimonious debates that accompanied the
Education Amendments of 1972, particularly over the need for' Federill
institutional aid. The 17-member Commission included two U.S. senators
and 2 U.S. congressmen.
Although the Commission did not present its own set of financing
recommendations, its members argued that their major contribution was
the creation of an "analytical framework" for evaluating alternative
financing schemes. This kamework included the specification and opera-
119 .
5 FINANCE
t

.tional definition of eight objectives for postsecondary. education---:student

access, student choice, student opportunity. educational ,diversity, institu-
tional excellence, institutional independence, institutional accountability,
and adequate financial support. Also included was a simple interactive
computer model of the student access and choice objectives, drawing On
econometric estimatespf the effect of price on student decisions.
This report contains detailed chapters that describe fiScal 1972
financing patternS and evaluate their success in achieving the eight objec-
tives. line with these objectives, the Commission evaluated' eight
finance recommendations using the computer model to simulate the impact
of the proposals on student enrollment patterns and institutional finance.
(Institutions were grouped for analysis by Carnegie Commission
classification.)
Separate chapters review the incidence of financial distressing
institutions and discuss proeectures fqr develOping standard methods for
institutional cost determination .and data reportilig. The book ends with a
short section of conclusions and recommendations, coupled with indi-
vidual comments by Commission members.
Several staff reports were published separately. Of most interest to
those who wish to learn more about the compyter model is A FramewOrk
for Analyzing Postsecondary Education Financing. Policies, by Daryl E.
Carlson, James 'Farmer, and George Weathersby (U.S. Gove:nment
Printing Office, 1974).
The Commission's impact on Washington policymaking has been
limited; the computer model has not used extensively, and many of
the recommended data bases have not been developed. The Commission's
work did help to introduce certain analytical 'techniques and findings into
the policy arena, however, and several states have emulated the Commis-
sion's procedures in conducting state financing studies:Although the'data
are outdated Wand federal aid programs and policies have changed in
intervening years, the report remains "must" reading for those who want a
comprehensive grasp of how postsecondary education is financed in the
United States.

5:1.0/73-2
Higher Education: Who Pays? Who. Benefits? Who Should Pay?
Carnegie Commission on Higher Education, 190 pp. (McGraw-Hill
Bdok Co., Ntew York):
Published in 1973 at roughly the same time as the Committee on.
Economic Development's report on The Management and Financing of
Colleges (CED, 1973), this Carnegie Commission book was caught up in a'
divisive and hotly contested debate over tuition policy that distr. cted
attentbn from the book's more enduring contribution.

120

154
 GENERAL 61.0

In this book the Commission carefully document solaces of edu-

cational revenue, including Federal, state and: local governments, private '
., philanthropy, and private tuition 'payments. A brief investigation of the
distribution of benefits of higher education is also included.,ThelCommis-
sion drew on the analysis and findings to present several recommendations
for 'gradual shifts in the payment burden- ring the distribution of costs
more in line with the distribution of beef s.
Two of these recommended° s received the most attention. The
Commission urged first, "a redistri ition of student subsidies froni higher
to lower income groups," and, secpnd, "a . . modest and gradual rise in
public as against private tuition." The first recommendation was to be
accomplished by a gradual increase in tuition charges to those able to pay
and redistribution of public savings to lower income students in the form of -
increased student aid. The second called for mOdest increases in public
4-year colleges and universities, .rising until tuition was roughly equal to
'one-third of education costs. The Committee on.EconOmic Development
report urged a much larger and more rapid increase in public. tuition,, and
both ,reports were lumped together and attacked .by public college and
university representatives strongly opposed to increased public tuition. .

Their attack was sufficiently strong that the Commission issued a supple-
mentary report, Tuition (Carnegie Founditica for the Advancement of
Teaching, 1974);ciarifYing its earlier recommendations ,and updating the
data on which they were based.
It is unfortunate, that public discussion of this book became so
narrowly focused, since it represents orm of the most concise yet compre-
hensive treatments of higher education finance in print. Much briefer than
the report of the National ConunissiOn on Financing Postsecondary,Educa-
tion, this should be the first book read by those seeking to understand,the
distribution of costs and benefits generated by the United States' method of
higher education finance. Detailed tablei are kept Out of the text, rendering
it more readable, but are contained in an appendix.

5:1.0/69
The Economici and Financi9g of Higher Education in the
United States, A Compendium of Papers Submitted to- the Joint
Economic Committee, U.S. Congress, 94 Cong. I Ses., 686 pp:
(U.S. Government Printing Officeiyashingtan, D.C.). )
Most literature on higher educatiOn finance has a very short half-life,
rapidly becoming obsolete as expenditure patterns, poliCies, and programs
change. Thiii collection of essays is one of the few exceptions, for most of .

the' articles are concerned with' issues of continuing importance. Their

value lies in the approach toanalysis and in the questions asked, rather than
in any particular solution proposed. Most still warrant careful reading.

121 ,

155
 FINANCE

This six-part book approximates an encyclopedia on the economics

and financing of higher education, and the introductory overview by Roger
E. Bolton remains one of the more comprehensive studies available in this
field. The papers inPart 2 examine two of the issue's most basic to fonnu-
71ating economic policy in higher education: the efficiency otexpenditures,
and the distribution or equity impact of costs-and benefits.
Part. 3, which focuses on economic efficiency, examines'the factors
that detennine the quality of education offered by colleges and universities
and discusses the factor; that inAuence short- and long-run variations in
institutional costs. The role of enrollment°growth and class size are con-
sidered, as are the centralization of university functions and the year-round.
use of university, facilities.
Part 4 appraises the future structure of higher education and examines
the long-rim perspective. A series of projection; into the latter part of the
-.
1970's is 'presented for *such pertinent variables -as- enrollment, staff,
expenditures, and degrees granted. Because of the significant portion of
total, higher education income expended on faculty salaries, one of the
papers in this section is devoted to the 'academic labor market: Part 5 deals
with the implications of increasing demands, higher costs, and pressures
for change currently experienced by private colleges and Universities. One
topic, based on a sampling of private Universities, examines the trends in
expenditures andincome over the past decade. Another includes estimates
of future expenditures reported by 30 privitecolleges.
Part 6 deals with the financing' of higher education in*the 1970's
including prospects for financing higher..education horn sources other than
the Federal. Government and the major issues and various questions that
arise inconnection with Federal aid to higher education. The subject matter '
includes the,basic decisions that must be made in determining the optimum
form of federal aid; the benefits and costs of a number of forms of student
aid; the early findings of the Carnegie Commission on Higher Education;
and strategies for securing Federal aid.
Authors include Roger Bolton, HowaId Bowen, William Bowen,
Allen Cartter, Andre Daniere, Paul Feldman, Roger Freeman, Lee
Hansen,. Seymour Harris, Hans Jenny, Clark Kerr, Selma Mushkin, Alice
Rivlin, and many other nationally known experts in the economics ,field.
Readers interested in the intellectual development of this subject will find
much to ponder in these more than. decade-old writings.

See also 29:1.173-2 The Management. and Financing of College,

Research and Policy Committee of the Committee for Economic
Development.

122

156
 FEDERAL ROLE MILO

2.0 FEDERAL ROLE

See: 17k 1.0/80 Federal Student Assistance: Issues and Options,
Congressional Budget Office.
The Congressional Budget and Impoundment Act of 1974 created,
among other things, the CongressiOnal Budget Office (CBO), which is
devoted to dispassionate analysis of budgetary issues \confronting the
Congress. Because .the ,agency is closely linked to policy, its reports
concentrate on subjects of current congressional interest. And since con-
gressional decisions for fiscal 1981 concerned the. future role of the Federal
Government in postsecondary education, this report deals with the critical
issue of whether to maintain or alter the current focus of the major Federal
student assistance programs.,
They report considers the .three basic options available to the
Congressmaintenance of current programs, expansion of the Federal
role in student assistance, and reduction of the Federal role. It discusses:.
( I ) Federal goals in postsecondary education, and the effectiveness of
current programs in meeting those goals; (2) each type of Federal student
assistance Orogram., including the impact of various proposals on eachfand
(3) the overall budget impliCations of four specific Federal policy options.
Because the CBO is mandated to provide objective and impartial analyses,
this report contains no recommendations.
CBO budget issue reports such as this one should be forthcoming each
year. The CBO distributes its reports free of charge.

See: 12:1.3/78-3 Scholars, Dollars, and Bureaucrats, Chester E. Finn,

Jr.
for the reader who wants a good'overview of Federal policy. towards
higher education and how it has evolved in recent decades, this is the ideal'
book. In a highly readable fashion, the author discusses the roughly $14
billion of Federal expenditures, direct and indirect, that support institu-
. tions, Studeals, and research. Tfiese outlays are discussed within the con-
text of policy debates that flourished in the late 1970's regarding the
Federal role in higher education.
The book's eight chapters are as follows: Chapter I, "Time' for
Another Look" (an examination, of the evolving Federal role); Chapter 2,
"The Once and FuturCrisis," (a discussion of the growth years for higher
education and the '"New Depression" of the 1970's; Chapter 3, "College
Prices and the Student Aid Muddle" (an exaMination.of the Federal role in
student aid); Chapter 4, "Toward the Reform of tudent Assistance (a
discussion of inequities in the current system, and a proposal for reform);
Chapter 5, "Support for Institutions" (an examination of Federal support
for university-based research and development. and other institutional
support); Chapter 6, "Exploring the Regulatory Swamp" (the growth of
9

123

157
5 FINANCE.

goyernment regulation of higher education and possibilities for reform);

Ch4ter 7, "Policy and Structure" (educational programs and manage-
ment within .the executive branch, with a look at proposals for &Depart-,
ment of. Education); Chapter 8, "Looking Ahead" (a summing tip, with
views of the 'future relationships between the Federal Government and
higher education).
961, the Brookings Institution published a book by Alice Rivlin.
entitled The Role of the Federal Government in Financing Higher Educa-
tion. This book can be viewed as the sequel to that earlier effort:

5:2.0/75 ,

The Federal Role in Postsecondary. Education: Unfinished

Business, 1975-1980, Carnegie Council on Policy StUdies'in Higher
Education, 97 pp. (Jossey-Basi, San Francisco).
This report of the successor organization to the Carnegie Commission
is concerned primarily with existing aid programs that; in the Council's .

view, need more adequate funding. The Council sees the Federal Govern-
ment as having the following responsibilities wi.t.b_zegard to higher educa-
tion: ( I ) encouragement of equality of opportunity; (2) support Of creative
research capacity and its development; (3) distribution of opportunity and
creative:capacity among the 50 states; and (4) in, affiliation with the states,
assurance of a reasonable degree of overall institutional health.
The Council suggests three ways to make improvements in these
areas: establish a National Student Loan Bank to reduce the serious diffi-
culties of some student loan programs; establish a matching program'with
the states of Tuition Equalization Grantsto involve the pate in support of
private institutions; and establish a program of support for major research
lib_ raries.

The Natibnal Student Loan ?ank would consist of a "nonprofit

corporation to be chartered by the Federal Government and fulanced by the
sale of governmentally guaranteed securities" with no financial need test
required for student eligibility. The Tuition Equalization Grants would
provide matching Federal funds for 'one-half the cost of a state tuition
equalization. grant of about $750 for all undergraduate students attending
private institutions. The support to research libraries Would require an
initial appropriation of $10 million. The Council recommends that the
funds resulting' from the phasing down of veterans educational benefits
"(G.q. Bill) be used for these, purposes.
Also covered in the report are: national purposes and the Federal role,
particularly recent changes in Federal funding, equality of opportunity, and
attaining a national balance; student aid and related programs, including
discussion of Basic Educational Opportunity Grants, Supplementary
Educational Opportunity Grants, State Student Incentive Grants, student
124

158
 STATE ROLE 5.3.0

loin programs, cost-of-education supplements, tuition equalization, part-

time students, and the College Work-Study program; Federal support of
vocational education; and Federal suppert of research and graduate educe-
tiOn. Statistical tables and brief summaries of some of the above student aid
programs, plus the Student Loan Marketing Association and the National
Direct Student Loan program, are also included.

5:2.0/71
Financing Higher Education: Alternatives for the Federal
Government, M.D. Orwig ed., 390pp. (American College Testing
Progratn, Iowa City). '
The 13 essays in this volume capture excellently the debates current in
the late 1960's and early 1970's regarding the changingipattems of higher
education finance and, in particular, the rapidly evolving role of the
Federal Government. Since .the framework of current Federal policy was
largely established in those years, these essays are still pertinent today. In
fact, most of the concerns that confrontihe higher education conpunity
'now were recognized then, and many of the financing options currently
being discussed are covered in this lxibk: Consequently, it merits reading
not only as a germane treatment of still lively issues, but for the insights it
can provide on the subtle shifts in attitude and in argument That occurred
during the 1970's.
Topics covered include: the economic and social background against
which financing policies must be developed; the diverse views,on -who
should pay" (students and parents, society, or various.combinations); and
alternative Federal strategies, inclUding diScussion of student loans, tuition
tax credits, institutional support, categorical grants, agd.revenue-sharing
with the states, and an eclectic approach drawing on several of the above.
With few exceptions, these represent the basic strategies still under
discussion today.
1

3.0 1STATE ROLE

_

5:3.0/81
The Financing of Public Higher Education: Low Tuition, Stu-
dent Aid, and the Federal Government, Jacob Stampen, 63 pp.
(American Association for Higher Eilucation, Washington, D.C.).
This report, No. 9, in the AAHE -ERIC series of 1980 aresearch
reports,' provides a good survey of the literature on public subsidies for
state institutions of higher education and the competing philosophy, That .

argues for higher tuition coupled with need-based student aid. The report
examines three aspects of this tuition debate: the policy debate fmong
academics; the results of int studies and experiments on relationships

125

159
 FINANCE

among twiion, student aid, and enrollment; and the decisions made by
Federal and state governments pertaining to the financing of public higher
education.
Theauthor concludes that the challenges to low tuition have neither
justified nor resulted in substantial modifications to public higher educe-
.tion's low-tuition system. In public higher education, which currently
educates approximately 8 out of 10 college students, student 'aid has
evolved mainly asa sOplement to low tuition. This has occurred, the
author argues, largely because little, if any, compelling evidence has
emerged from' research or experience indicating that. combinations of
scholarships, loans, and work programs Could be substituted to maintain
the high levels of educational service and college participation supported
by public policymakers and society at large.
The author further argues that student loan strategies, favored by
some economists as an-alternative -to 'low tuition, have-suffered from-the
reluctance of students to borrow or of private lenders to invest in students
unless subsidized by government. Federal loan subsidies thus amount to
roughly 50 cents on the dollar. Further, the author states, research has
shown that loans are less than half as effective as low tuition or student
grants in attracting students,' and particularly students from low-income
families.
The report concludes by citing,three issues for further study: 'How
effective is need-based student aid in increasing college participation rates
among students from low- income families? How can student aid programs,
particularly those of the Federal Government, be refined to simplify needs 4

analysis and the distribution of aid and to clarify student, institution,,arki

government accountability? Is it feasible to maintain high levels of access
by combining low tuition with stable.or declining amounts of student aid?-

5:3.0/74-1
Alternative Tuition Systems, Robert F. Carbone. 146 pp.
(American College Testing Program, Iowa City).
This work outlines five models for innovative methods of tuition
payment by students to public institutions. of higher learning. It was
prompted in part by uncertainties arising from recent court decisions and
.legislative actions regarding residency,age of majority, and voting rights.
"Its primary puipose is not only the identification of 'alternatives to the
current system of differential tuition in public colleges and universities,'
but also an analysis of the 'legal, economic, political, and educational
implications of these alternative tuition assessment models,' as seen by
four consultants, eachAualified by virtue 'of training and/or'expetiences to
bring,special insights to bear on the models."
The five tuition models are: ( I) the Nonresident Student Surcharge
Model, in which 'tuition is the same for residents and nonresidents alike,
126

1,6
 STATE ROLE 541.0

charged a sub-
but at the time of initiat.matriculation, the nonresident is
subsidy
stantial one -time' fee, payable over time, corresponding to the state
Fee Remission
that resident students receive; (2) the Resident Student
Model, in which tuition for both residents and nonresidents is set at full
schools receive a tuition
cost of instnktion; but graduates of in-state high
voucher that reduces the direct costs while nonresidents pay a much higher
which utilizes a
fee; (3) the Sliding Scale (Multiple Criteria) Model,
nine tuition
number of weighted residency criteria to sort students into
(4)
levels that correspond to varying degrees of resident/nonresident status;
students into five
the Sliding Scale (Single Criterion) Model, which sorts
the state; and
tuition levels according' to the duration of their residency in
sub-
(5)' the National Tuition Bank Model, which institutes educational
sidies, provided by all states and/or the Federal Government, for students
who attend public institutions in nonresident states.
Each of the models is described in a separate chapter that ends
withr\
political, and
brief commentary written from an economic, educt, ion31,
Van
legal perspective. These' were" prepared, respectively, by Carol
Alstyne, Joseph F. Kaufman, Frank B. Pesci, and Allan D. Vestal. The
the tuition
volume also describes an exchange bank that would channel
subsidies directly to those institutions that enroll students.
Five appendixes contain: ( I) a summary of traditional ,reasons for
(2) the
diversifying -the student body at publicly supported institutions;
nonresident tuition
A.
legal issues pertaining to the problem of resident and
and how they have been met by recent court decisions; (3) an explanation
explanation
of the Blackerhy ."multiple criteria assessment model"; (4) an
scale" tuition model; and (5) an investiga-
of the Hanson-tiethen 'sliding
in the Federal
tion. of the "residency and university admission problems
Republic of Germany," which compares the. tuition and enrollment sys-
issues in Germany
tems and their effect on legal, _social, and philosophical
and the United States.

5:3.0/74-2
Exploring the Case for Low Tuition in Public Higher Education,
Kenneth E. Young, ed., American Association of State Colleges and
Universities, American Association of Community and Junior
Land-Grant
Colleges, National Association of State Universities and
Colleges, /84 pp. (Available from American College Testing
Program, lowatity).
This reifort is a collection of six papers resulting from a 1974 invita-
tional seminar on low tuition. The various associations that sponsored
education.
these papers represent both public and private non-profit higher
appendixes, are to
The purposes of this report, both the papers and the
127

161
 FINANCF..

explOre the intellectual arguments for the low-tuition principle

and to
identify possible hiture lines of research into the economic, social and
political consequences of changes in the current tuition levels.,
The first paper, "Financing Higher Education: Tne Current
State of
the Debate," written by Howard R. Bowen, deals with reports by the
Carnegie Commission on Higher Education, the Committee for Economic
Development, she National Board on Graduate Education, the National
Commission on the Financing of Postsecondary Education, the National
Council of Independent Colleges and Universities, and the-Special
Task
Force to the Secretary of the. Department of Health, Education,' and */
Welfare, It examines these organizations'
evaluation of the issues of
efficiency, tuition levels, long-term student loans, and the competitive
position of the private sector. Also mentioned are benefits and'costs,
arid'
alternative approaches including loans, tax credits, institutional
support,
direct grants and revenue shariqg with states.
Carol Van Alstyne's "Thition: Analysis of Recent Policy Recom-
mendations" examines the three main arguments of those ;advocating
increased public tuition. She labels their analysis of financial distress as tob
pessimistic in outlook and too narrow in perspective. She also says that
their. "conclusions about the present distributional inequity and the ineffi-
ciency of public support for higher education are based on an incomplete
analysis of the issues and confusion over goals," and too much emphasis
is placed on competitio or enrollment as the cause of the financial
distress of private institutions
"Equity and the iddle Class," by Larry L. Leslie and Gary P.
Johnson, examines t e impac of recommendations by the Carnegie-
Commission and the ommitte for Economic Development for increased
tuition and student id by f ly- ineome level. The authors argue that
proposals "to incre' e public t ition and expand grant programs for tow -
income students would result n a regressive distribution,of the burden,
with the middle-income student and their fimilies faring badly... JP*,

In the fourth paper, Repre ntative James G. O'Hara (D.-Mich),

then
chair of the House Education ubcommittee,.argues that what is needed
is
a well-financed, natiOnwide stem of low-tuition or no-tuition
state uni,
versifies,- Colleges, and coin unity and juilior colleges, as well as inde-
pendent institutions. th the lift paper, G. Theodore Mitau, then chancellor
of the Minnesota State Col ge System,. "raises questions about the
'market model' which would rovide funds to studentS and lei them shop
for higher education," and di usses some possible unforeseen, ill effects
of higher tuition$. And in the s'xth paper, Harold L. Enarson,
president of
Ohio State University, calls on "public institutions and their
supporters to
work to preserve low tuition d educational oppottunity and for a new
, -1
agenda in higher education, ino. uding, the degree of response to emerging
needs."

128
 STUDIES OF HIGHER EDUCATION SEGMENTS- 5:4.1
GRADUATE EDUCATION

The appendixes include: the American Council on Education state-

ment on tuition policy; the Association of American colleges statement on
tuition policy; a joint. statement 6y the American Aisociation of State
Colleges atick Universities and the National Association of .State Univer-
sities and Land\Grant Colleges; and 12 recommended guidelines for public
support of commbt and junior colleges..

See .also: 3.5.0/69 Benefits, Costs, and Finance of Public Higher

I; . Education, W. Lee Hansen and Burton A. Weisbrod.
12:1.2/76-2 The States and Higher Education: A Proud Past and a
Vital Future, and commentary Supplement, Carnegie Foundation for the
Advancement of Teaching.
5.

4.Q STUDIES OF _HIGHER EDUCATION SEGMENTSL.

4.1 Graduate Education

See: 14:2.0/77 -2 The State of 'Academic Science,' Volume 1, The

Universities in the Nation's Research Effort,. and 14:2.0/78 VoltIme
2-Background Papers, Bruce L. R. Smith and Joseph J. Karlesky.
, This two-volume set is the most recent and comprehensive treatment
of the health of scientific research within universities. The study on which
the volumes are based was the Association of Ainerican Universities.
Conducted by two social scientists with the assistance of a 10-member
Advisory group and several outside consultants s involved
analyses of existing data, as well as visits t niversities. For anyone
crcerned with the research capability'Of the Nation's universities, these
volumes are essential.
Volume 1, published in 1977, discusses trends in the financial Support
and performance of academic research, drawing- heavily-on data collected
by NSF: The changing .relationship of universities to other research per-
formers (nonprofit institute..., government in-house laboratories, industry)
- is examined, as are current developments in selected fieldschemistry,
physics, mathematics, life sciences, and engineering. Among the emerging
issues noted are: declining support for and-deteriorating quality of research
instrumentation and other capital investments; manpower problems related
to supply- demand imbalances for new Ph. D's; deteriorating government/
university relationships; disputes over the way to comptite and allOcate
overhead costs; and changing relationships between the university and state
governments. The concluding section contains recommendations for policy
changes.
Volume 2; published in 1978, contains five detailed research papers
on university research. They are: "Forces Affecting the Research Role of
Universities," by Dael Wolfle; The Changing Relationships: Universities
129

1 63
 5 FINANCE

and Other R & D Performers," by Walter S. Baer; "Targeted Research:

An American Tradition," by Carl M. York; "Effects of Recent Trends in
Graduate Education on Univeristy Research Capability in, Physics,
Chemistry, and Mathematics," by David W. Brenernan; and "Account-
ability and the Research Universities," by Sanford A. Lakoff.
(For a
complete annotation of Volume 2, see 14:2.0/78).

5:4.1/74
Federal Policy 'Alternatives To rd Graduate Education,
National Board on Graduate' Education, Commission on Human:
Resources, National Research Council, 127 pp. (National Research
Council, Washington, D.C.)
This report contains a compressive discussion of the Federal
role in
financing_ graduate -edueation. :Since there :have been-fewsignificant
chartgetin Federal policy toward graduate .education since the report was
issued, the document is still useful.
4Fhe first chapter provides
an overview, together with the National
Board's recommendations, on Federal/policy in financing graduate
educa-
tion. The second chapter provides 'a brief history of Federal support for
graduate education, while the third chapter discusses the problems facing
graduate education, including overproduction of Ph.D.'s, declining finan-
cial support, difficulties in promoting access for women and minorities, the
complexities of institutional cost analysis and 'accountability, and the
difficulties of adjusting to a "steady-stak" environment.
The next three chaptergAiicuss issues of graduate student
support,
research support, and instittitival Support, including both analysis and
recommendfitions. The absence of coordinated Federal policies and of
adequate data bases for policy analysis is considered in the seventh
chapter, while a supplement by Frederick Balderston comments in
greater
:-detail on the difficulties of cost analysis.
An appendix contains several defailed statistical tables on time trends
. in support for university research and graduate programs. Many of these
data are collected annually by the National Science Foundation, and the
tables cduld be easily updated by referring to various NSF publicak
This report is out of print, but can be ordered from the ERIC Clear-
inghouse for Higher Education at One Dupont Circle, Washington,
Copies were distributed to the offices of mos: college and
university
presidents and to graduate deans, and thus should be available on most
university campuses.

411

130'
 STUDIES OF HIGHER EDUCATION SEGMENTS- ISt4.2
MEDICAL EDUCATION

4.2 Medical Education

See: 27:1.O/76 Progress and Problems in Medical and. Dental Educa7

tion: Federal Support Versus Federal Control, Carnegie aimed on
Policy Studies in Higher Education,.
In 1970, the Carnegie Commission, predecessor to ' the Carnegie
Council, issued a report on medical and dental education entitled Higher
Education and the Nation's Health. That report war consulted in drawing
up a major piece of Federal legislation, the Cortiprehengive Health
Manpower Act of 1971, which created, among other things, capitation
grantS to medical and dental schools, bonuses to schools that expanded
enrollments, grants and loans for students, support for construction and
start-up grants for new schools, and support tor'training of physician's and
_dental assistants. _

Much progress was made over the intervening years but problems
4 continued, including heavy reliance on foreign medical graduates, .geo-
maldistributioh of physicians, and excessive specialization in
medical practice. Proposed changes in legislation to cope with these prob-
Ions prompted this second Carnegie Council volume, based on concern
controls over medical education. The preface notes that: "This report urges
a policy.of sustained and consistent Federal support of medical and dental
education, along with the provision of strong incentives toward needed
changes, rather than excessive controls. It is a report in the tradition of the
Carnegie Commission's 1970 report, but with central orientation toward
the more complex legislative issues that have emerged in the last six
years."
The book begins wits three warnings and fiverecommendations, The
warnings are that the nation is in danger of starting too many new medical
schools, that Federal attempts to alter :geographic distribution and to
counter excessive specialization through controls will be less effective than
poliCies emphasizing incentives, and that the time has come to quit relying
on foreign medical graduates to meet the need for physicians. The recom-
niendatiOns call for a. variety of changes in Federal financing policies
related to these problems.
Other chapters.include a summary.of the 1971 legislation and discus-
sions of the projected labor market, for doctors and dentists, Federal capita-
tion payments and related policies, the National Health Service Corps, and
the need for new medical and dental schools and for area health education
centers. A chapter on state support for medical and dental education
completes the text, while two appendi'xes provide supporting statistical
tables and projections of physical supply.

131
 5 FINANCE

5:4.2/7t
Financing Medical Education: An Analysis of Alternative
Policies and Mechaitisms, Rashi Feign and Gerald .I: Weber,
Report Prepared for the Carnegie Commission on Higher Education
and the Commonwealth Fund, 279 pp: (McGraw-Hill Book Co.,
New York).
While the Carnegie Council volume annotated above concentrates on
national problems confronting,medical and dental education, and focuses
particularly on Federal policy, this volume emphasiies the microeconomic
aspects of medical education. One of the book's main contributions is to
explore and develop ideas about the behavioral responses to alternative
financing schemes of students and of those ho manage medical schools.
It examines the production processes within medical education, investi-
gating statistically the relationships between financial inputs and outputs .

such as educated personnel, research, and service. Since so many of the

problems in this complex area of professional education involve unantici-
pated consequences of financing policies, this volume is a valuable
complement to the more policy-oriented publications of the Carnegie
Commission and Council..
The chapters include a detailed look at the medical school, how it
functions, and how it is financed, and at medical students, who they are,
how they decide to apply, and how they progress from M.D. candidate to
intern to resident. The factors that influence decisions on medical specialty
and location are investigated. The financial roles of state and federal
governments are each accorded a chapter, and the book ends with a discus -
sion -of policy alternatives. Five appendixes provide useful. information on
data sources, joint production and costs in medical schools, rates of return
to medical education, statistical equations, and state support of private
medical schools.
This book is.an outgrowth of a 1967 conference held at the Brookings.
Institution, and was completed prior to enactment of the Comprehensive
Health Manpower Act of 1971. Since that act did so much to, change the
incentives in medical and dental education, particularly by providing
support for expansion, some of the- book's findings are outdated. The
analytical approach taken and the issues considered ari still germane,
however, and students of this subject should consider the book essential
reading. It can be viewed largely as a contribution to the broader subject of
the microeconomics of nonprofit institutions and of the public sector.

4.3 Private Colleges and Universities

. For related policy issues, see Topic 8, Subtopic 2.0.

132

16
 STUDIES OF HIGHER EDUCATION SEGMENTS- 114.3
PRIVATE COLLEGES AND UNIVERSITIES

5:4.3/78
Public Policy and Private Higher Education, David W. Breneman
and Chester E. 'Finn, Jr., eds. 468 pp. (The Brookings Institution,
Washington, D.C.),
This volume provides a comprehensive and up-to-date discussion of
the prospects for 'private higher education in the 1980's and the variety of
state and Federal policies that might be pursued in order, to maintain a
financially healthy private sector. Both philosophical questions and prac-
tical and political problems are discussed. Ample data, including demo-
grdphifi trends, enrollment patterns over a 25 -year period; the growth of the
private sector of higher education, and trends in tuition and other charges
to students are supplied:-
The book combines' economic and political analyis:of a variety of
----option4 and_ in -the_ chapter. of the book the editors argue for the
creation of a national student marketplace characterized by: (I) purposeful
links between state and Federal financing policies; (2) reduced price
barriers to interstate mobility of students; (3) continued Federal emphasis
on need-based student, aid rather than' direct institutional aid; and (4)
'stabilized or narrowed' tuition differentials between the public and private
sectors. A sharps. increase in the Federal State Student Incentive Grant
Program is proposed, together with legislative changes that would make
interstate. mobility a grant condition, In essence, the Federal Governmot
would offer to finance a percentage of increased state,student aid pro-
grams. If states choose to, reduce their direct support of public-campuses in
response to this increased student aid, the result would be higher public
tuition levels and a narrower tuition gap.
The political analysts writing 'in the book iloubt that such a major
transfomiation in the way states finance higher education is likely to come
about, and thus-a variety' of "second best"' proposals- are -adVanced -and
evaluated. "Second best" in this context refers to policies, that, can be
implemented by the states or Federal Government acting alone rather than
in concert.
Chapters I and 16. written by the editors, sire intended for a general
audience and- contain -a -summary of the -main- financial- problems con-,
fronting private higher education, along with proposed solutions. The
intervening eight chapte:.s contain more detailed analyses of the private
college dilemma. Susan C. Nelson presents a thorough treatment of finan-
cial trends and issues in the private sector, based largely on time series
analysis of inStitional.financial data collection by the limner U.S. Office of
Education. Michael S. McPherson provides an incisive discussion of. the
literature covering demand 11w higher education, and carefully assesses the
significance of price and nonprke factors. Lawrence E. Gladieux and
Thomas R. Wolanin analyze the Federal political scene, with special em-
phasis on the developments between. the Education Amendments of 1972
133
 5 FINANCE

and 1976.. Robert W. Hartman. explores Federal policy options, including

the proposal for a Federal-state matching grant program to increase need-
based portable student, aid. Emil.M. Sun ley, Jr., analyzes Federal and state
tax policies that affect higher education, concentrating on the deduction for
charitable contributionS,and on proposals for a tuition tax credit.
Two chapters. focus on state.pol icy. Robert 0. Berdahl discusses the
politics of public-private' relationships, drawing on case studies of
California, New York, and Ohio. Colin C. Blaydon investigates the finan-
cial possibilities open to states that wish to increase support for the
independent sector of higher education. And two college administrators,
David G. Brown and Thomas E. Wenzlau, provide the college president's
view of the importance of various existing and proposed state and Federal
programs.
Most chapters in' the bOok are followed by appendixes providing
extensive tablesand other forms of data. The text is generally annotated
with references and 'extended explanation and comments. The volume is
generally objective and giyes not only a broad overview but an indepth
consideration of basic issues..
Although most of the isvdts discussed in the book are pertinent to
2-year and 4-year colleges as well as to universities, the book'S main
emphasis is on undergraduate education financing. All papers were com-
missioned. for this book, and were the subject of a 2-day invitational.
conference at the Brookings Institution in November 1976.

5:4,2/77
The States and Private Higher Education: Problems and Policies
in a New L'a, Carnegie Council on Policy Studies in Higher Educa-
lion, 206 pp. (Jossey-Bass, San, Francisco).
The plight of the private sector of higher edit\cation is the subject of
this Carnegie Council volume, with particular emphasis on state policies .

that can help maintain the dual system, public and''.private, through the'
1980's. This study is unique in that it was the first one "specifically
designed to assess the impact of existing state policies toward private
--higher education -on enrollments, finances, autonomy, academic 'freedom
and other conditions of private institutions."
The book Provides a brief' but thorough discussion of theeeonomic
position of the private sector in terms of enrollment, the tuition gap,
financial status, vulnerability, and the future outlook. This discussion is
followed by a description of several current state aid programs. An assess-
ment of the impact of general state programs indicates that they have had a
much greater 'effect on students than on institutions. The pattern of oper:
ating deficits characteristic of the early 1970's seems to have been reversed
in those states with more extensive state aid programs. Attention is given to
such matters of public policy as they affect imome groups, public institu-
=134_,

168
 STUDIES OF HIGHER EDUCATION SEGMENTS 5114:3
PRIVATE COLLEGES AND UNIVERSITIES

tions, potiabdity, coordination and 'statewide planning, Federal programs,

and Federal-state relationships. The study concludes with a series of 21
recommendations for state and Federal policy.
In addition to analysis of existing data 'sources,. the-Council com-
missioned a special survey of 230 ,private colleges- and universities to
determine the effects of existing state aid programs on institutional finance.
Results of this survey are.contained in a technical supplement published as
part of the book. A second, technical supplement provides detailed statis-
tical analyses of enrollment trends..in the private sector; with data broken
down by state and by Carnegie Commission classification. These data will
be particularly useful to state planners and to administrators 'of Private
colleges. A third supplement presents case studies of the development of
state aid to the private sector. in California, Georgia, ;"linois,- New York,
and Pennsylvania.

5:4.3/74
Paying for Collese: Financing Education at Nine Private Institu-
tions, Sloan Study Consortium, 137 pp. (University Press of New
England, Hanover, N.H.).
The growing problem of paying for nigh- priced higher education
prompted this comparative study, which draws oskinformation provided by
Amherst, Brown, Dartmouth, Harvard, MIT, Mount Holycike, Princeton,
Wellesley, and Wesleyan. The original nine - member organization was
subsequently enlarged to 21 members and renamed the -Consortium on
Financing Higher Education: with headquarters at Dartmouth.
The nine-college study concentrated heavily on loan financing, in-
eluding recommendations for change in existing Federal 3nd state -loan
programs and the implementation of a new supplemental loan program for
:young -alumni- who,-,-for unexpected = reasons, have-difficulty paying back
educational loans. The book's discussion of loan finance; and particularly
the analysis of the National Direct Student Loan and Guaranteed Student
Loan Programs, remains pertinent today.
The discussion of loans is preceded by brief chapters that. document
the growing financial distress of-the-nine-colleges during the late _1960's
and -arty 1970's, including an analysis of growth in operating expendi-
tures, efforts to control costs, and steps to increase income, A chapter titled
A Search for Solutions" concludes that there 'are limits to cost control
and to IN! 'ability to raise, outside income, meaning that tuition will remain
of central importance, The book's emphasis on loans is prompted by this
realization and the need to help students finance these ever-rising charges.
The Consortium on Financing Higher Education published a report in
April 1975 entitled Federal Student Assistance; A Review of Title IV of the
Higher Editattion Act, intended to influence the Education Amendments of
I 976,

135

169
5 FINANCE

4.4 Community roileges

5:4.4/81
Financing' Community Colleges: An Economic Perspective,
David W. Breneman and Susan C. Nelson, 222 pp. (The Brookings
Institution, Washington, D.C.).
This book provides the most comprehensive treatment of its subject
currently in print. The first chapter gives a .statistical overview of the
growth in numbers of community colleges. and enrollments, changing
trends in financing over time, current financial patterns in the 50 states,
and the shares of Federal, state, local, and private support 'that make up.
2-year college revenues. Considerable information about students is also
provided, together with'discussion of educational programs and graduates.
The chapter ends with a discussio'n of the numerous theoretical and prac7
.
'heal issues that must be considered in evaluating finance plans.
.The second chapter develops the economist's concept or efficiency in
'the context of higher education finance in general' and as it applies to
community colleges in particular. The nature of social and private benefits
associated with transfer, vocational, 'remedial,. and commodity service
programs are discussed, and the implications for financing are developed.
The chapter also examines the literature on outcomes of community
college education and presents statistical analyses based on the National
Longitudinal Survey of the'High School Class of 1972'. The authors inves-
tigate the differential effects on educational, psychological, and labor force
outcomes of students who enroll in community colleges rather than 4-year
colleges and universities.' .

The third chapter explores the eqUity questions that arise when
evaluating a financial plan. Three aspects of equity are considered: tuition
and student aid, interdistrict- equity when local property tax- support is
provided, and. the distribution, of state funds among 2-year and 4-year
colleges. The'authors find that, paradoxically. the greatest potential gains
in equity may be generated by a policy that increases tuition and student,
'aid., charging those who can afford it a higher price, while increasing
subsidies to-the most needy students.
The fourth chapter investigates Federa' support of community col-
leges and their students, which is provided primarily through student aid
programs, The question of whether community college students receive a
fair share of student aid is investigated carefully, and the difficulties in
reaching an 'unambiguous answer are discussed. Current Federal policy on
student aid is evaluated from the standpoint of the community college and
generally found to be satisfactory, particularly it' the legislative provisions
of the Education Amendments of 1980 are fully funded.
State and local issues occupy the fifth chapter. Drawing on 4,- visits
to several states, the authors conclude that a single best finial( plan
.

STUDIES OF HIGHER EDUCATION SEGMENTS- 514.3

COMMUNITY COLLEGES

does not exist, ,nor is it likely to be found given the different purposes
served by the colleges in the several Elates. Further,-the authors state that
Much of the debate over financing plans reflects more fundamental dis-
agreement over the educational mission and priorities of the colleges,
particularly differences in values held by community college leaders and
state officials. Finance plans embody answers to specific policy questionS
about which students and programs to subsidize and at what level, and each
of these issues is discussed and evaluated. The strengths and weaknessesof
various approaches currently in use are presented, and recommendations
are advanced for approaches that are equitable and efficient.
The concluding chapter discusses the future of community colleges in
the 1980's. The authors present both an optimistic and a pessimistic
scenario, covering the best and worst cases likely to be experienced by the
colleges, identify factors that contribute to one or the other scenario, and
examine the financing recommendations of their study in the context of
these scenarios. They also spell out strategic choices facing community
colleges regarding activities to emphasize,. highlighting the fact that these
institutions can choose to retain traditional collegiate values or opt instead
to become community-based learning centers.

5:4,4/80
Community College Students, Costs, and Finances: A Review of
Research Literature, Willian Hyde and John Augenblick, 118 pp.
( Education Commission of the States, Denver, Colo, ).
This excellent review of the community college financing literature
was prepared as part'of a larger study (suppOrted by the National Institute
of Education and slated for publication by the Education Commission of
the States in 1982) of the effects of tuition and 'student aid On access to
2-year colleges. Four topics were -identified for review, with a separate
chapter in the report covering each topic.
.
The first chapter deals with the characteristics of community college
students. Tie authors point out that one factor that distinguishes 2-year
colleges from other postsecondary institutions is their appeal tdi nontradi-
tional studentsadults, minorities,-low income people, and less educated,
people. They also provide estimates of the numbers of students attending
community colleges, and their demographic characteristics,
The second chapter focuses on prospective student enrollment.
behavior and educational needs. The authors present findings drawn from a
large number of needs assessment survey reports and provide a critical
review of the design of surveys conducted by community colleges. They
also discuss some of the differences between modeling community college
choice decisions and choice decisions for higher education in general,
including discussions of the small number of. studies that have focused
explicitly on community c011ege.

,137
 FINANCE
.
The question of wIwther community colleges and their students
'receive a fair share of student financial aid is the third subject of the
review, and that about which the least research has been done. A lackjf
consenstis about several critical lalue judgment's that must be made to
address this question blocks an unambiguous resolutidn of the issue.
The fourth subject, finance, is covered extensively in the report.
Topics include the effects of different funding patterns on enrollments,
quality of education, and institutional autonomy, as well as criteria for
evaluating community college finance formulas. .

A final chapter contains a brief summary and identifies issues that

should be important research topics in coming years for community
colleges.

5:4.4/78
Issues in Financing Community Colleges, John Augen,blick, 66
pp. (Education Commission of the States, Denver, Colo.); ; .

This. study concentrates on the equity of financing systeins for

community colleges,.with particular reference to interdistrict eqtlity among
the campuses within a state system. This measure of equity is applicable
only to those states where the 2-year colleges receive a local property tax
contribution to operating revenues, as well as state support. In this sense,
the issues explored .here are comparable to those investigated at the
elementary/secondary school level under the rubric of schoOl finance

;
reform:. To what extent does the difference in local property 'tax wealth
among cOmmunity college districts result in unequal expenditures per
student or in unequal levels of taxpayer effort?
The author explores this question empitically, using financial data
Elvin four states: Mississippi, New Jersey, California (pre-Proposition 13),
and Illinois. He, finds that district wealth varies substantially between
community college districts, and ,that variations in total revenues, while
smaller than those for wealth, are related, in some cases strongly, to
variations inwealth.-Tuition levels. are also shown to be related to-wealth,
although the direction of the relationship is not uniform aiming the states
examined. The ability to generate equal revenues at equal tax rates is
shown to vary widely among districts, and the distribution of state general
aid is shown to reduce disparities in tax power, although not necessarily to
a very loW level.
In addition to the analyses of interdistrict equity, the author discusses
two other types of equity questionsintersectoral issues in the distribution
of state support among 2-year, 4-year, and graduate education, and equity
questions related to tuition and student aid. No empirical work is presented
on either of these issues; however.

138

179
 STUDIES OF HIGHER EDUCATION SEGME.NTS
COMMUNITY COLLEGES

5;4.4/77
FinanciniCommunity Colleges, 1976, Walter 1. Garrns,. 120 pp.
(Teachers College Press, Columbia University, New York).
This book is primarily a "think piece," specifying criterja that an
ideal 'finance plan should meet and then evaluating several models in
relation to these criteria. Gums sees community colleges performing three
special functions: ( I ) providing access to ,pdstsecOndary education for
'those who cannot easily attend 4-year or residen 'al colleges; (2) providing
courses and programs not piovided by other in 'unions: and (3) 'serving
the educational, needs of the local community at the postsecondary lei/.
He. specifies nine criteria, including efficiency and equity goals, that
finance plans should meet in furthering these three functions, and devotes
the balance of the book to a discussion of financing alternatives. Many of
: theplans he considers are actually in use, while others are only theoretical.
Since local governments in many states finance community colleges
and th_ e eleinentary/secondary school system from the same property tax
base, Garms d scusses the issues and. concerns (e.g.. school finance
reform. the Sec no case in California) in 4n,integrated manner from the
standpoint of both sectors that share this common source of revenue. Two
of Garms' nine c 'teria relate to student and taxpayer equity in the fashion
of elementary/se ondary school finance.
- Garms argu s that all financing systems can, be classified as market
models, iis plan d economy models, or as hybrids of the two. For states
with no local co tribution, hiS nine criteria lead him to.endorse what he
calls a "modif d decentralized system." which attempts to maintain
. .
responsiveness o the local community although most of the funds come
from the state For those states that do have a substantial local contribu-
tion, he end s a "modifiedsower-equalizing system." a -version Of the
original C ns, Clune, and Sugarman district power-equalizing model but
adapted t the unique features a community colleges. In either instance,
Garms ar ues for increased tuition payments from those students able to
afford thlm.

5:4.4/76
Financial, Support Patterns for Community Colleges, 1976,
James L. Wattenbarger and Paul M. Starnes, 118 pp. (Institute of
Higher education, University of Florida, Gainesville).
This volume provides a description of existing formulas that each
state uses to finance community colleges. The information came from
surveys the authors sent to state directors of community/junior colleges.
The book begins with a discussion of the community college
philosophy andihe various purposes the institutions serve or want to serve.
The authors then argue that' the states have failed to finance these activities

139
ti

173
 $ FINANCE

adequately, preventing many of the institutions from meeting their goals.

States oft.gn. refuse to pay for part - time, .egree-credit instruction, for
short courses offered through continuing education units, for older students
or student's enrolled at night, for counseling services, and the like. The
chapter concludeS with a not very convincing argument for the states'
assuming the full cost of each of these activities.
The second chapter offers a taxonomy of financial support patterns
and identities four categories into which state plans fall: ( I I negotiated
budget funding, in which each campus budget is negotiated directly with
the state legislature or:A state Mud; (2) unit rate formulas, a general term
applied to most formula-driven budgets, whether based on enrollments,
contact hours, or other activity unit; (3) minimum foundation funding,
used in states where 'there is a local contribution, with the state effort
usually inversely related to the taxing capacity of the local district; and (4)
COSt-baSed program funding; in which the budgets are based on cost studies
broken down by discipline, instructional category, program function, or
object of expenditure. . .

The third chapter pro:ides .a detailed description of each state's

financial procedure, while the fourth presents the authors' proposal for an'
"ideal- plan under which the state would fully underwrite the expenses of
the multiple activities of the typical 'community college,' using various
formulas for each activity, The book ends with three appendixes that
present state and local support by state (dr 1974-75 and 1975-76, a defini-
tion of the way each state measures various a Hies, and a description,of
'financing chargesvnacted recently in selecte states.

5.0 FINANCIAL CONDITION OF INSTITUTIONS

5:5.0/S-1
Preserving America's Investment in Human Capital: A Study of
Public Higher Education, 1980, W. John Minter and Howard K.
Bdwen, 91 pp. .(Ameriean Association of State Colleges' and
Universities, Washingttm D.C.),
This is the first in a projected series of biennial reports on financial
and educational trends in the public sector of American higher education.
The purposes of the series are to monitor the progress of public colleges
and universities regularly and to provide reliable and timely information /
/
..fix the use of government officials, educators,' doom, faculty, students/
. and other persons or groups interested in public higher education,
series parallels a series of reports produced by the same authoron the
financial condition of independent colleges and universities (sue 5:5.0/5-
2). The work is being sponsored by a consortium of three national bodies:
American Association of CommUnity and Junior Colleges, American

140

174
 FINANCIAL CONDITION OF INSTITUTIONS 5d1.0 ,

Association of State Colleges and Universities, and National Association

of State Universities and Land-Grant Colleges.
The initial report covers the period 1976-77 through 1978-79, with
some data available for earlier years. and'for 1979 -80.. The data presented .
here are based on a stratified sample of 135 accredited institutions, of
which 95 participated. These institutions represent all parts of the public
sector except autonomous professional schools. The universe froM which
the sample was drawn is about 1,300 institutions.
The report provides data on enrollments and admissions, student at-
trition, faculty size and compensation, tenure.and faculty turnover, faculty
workload; and administrative and, general. -service employees. It also
discysses educational programs, with reference to student achievements,
faculty qualifications, and instructional methods. On the financial side,
information is provided on operating revenues and expenditures, under-
graduate student financial aid, and liabilities and net revenues, and an
analysis is made of. the relative financial condition of institutions indi-
vidually. The report ends with the authors' summary and concluding
observations.

5:5.0/5-2
Private Higher Education, (First, Second, Third) Annual
Report on the Financial and Educational Trends in the Private
Sector of American Higher Educat on, W. John Minter and
Howard R. Bowen, 110, 116, and 77 .(Associlation of American
Colleges, Washington, D.C.),

Independent- Higher Education, -Fourth Annual- Report on the

Financial-and Educational Trends in _the Independent Sector of
American Higher Education, W. John' Minter and Howard R.
Bowen, 148 pp. (National Association of Independent Colleges and
Universities, Washington, D.C.). .

These volumes comprise a continuing series of reports widely recog-

nized as--among the most-useful to date in reporting and analyzing the status ,__
of the private sector of higher education. The first three:reports were based
on a .sample of 100 private 4-year colleges and universities, while the
fourth report was expanded to include major research universities and ,

2-year colleges. Subsequent reports will also be based on this enlarged

sample of 135 institutions, which is representative of the over 1,150
private colleges and universities.
.
The reports draw on the Higher Education General Information Sur-
vey (HEGIS), salary information submitted to the American Association of
'University ProfeSsors (AAUP), audited financial statements of each
college. annual college budgets, the president's annual reports, the college

141

70,
 5 FINANCE

catalog, and a voluntary financial support survey. In addition, the colleges

and universities responded to a six-part questionnaire directed to major
institutional administrators.
These data have permitted the authors to Ara* conelasions on ad-
P.
mission and enrollment, retrenchment, environment, revenues and
expenditures, assets, liabilities and net worth, student housing anti dining,
attitudes about present conditions and future outlook, comparison with the
public sector, and analysis of individual institutions. The authors have also
attempted to relate changes in financial status to changes in educational
programs through analysis of additions and deletions to the course
offerings, changes in faculty size and composition, etc,
The authors have made several interpretive generalizations. For
example, in the 1975 report, they note that approximately 25 percent of the
institutions studied appeared to be in financial distress and that those were
found- chiefly amOng the Comprehensive Universities and Colleges and the
'Liberal Arts Colleges II (Carnegie Classification). They also express
concern over whether the pressures of the market may not be forcing such
institutions to compromistheir integrity. At the same time, they found no
significant deterioration in program quality! Finally, they observe that
relative financial health should be. credited largely to state and Federal
Governments, which helped through student aid programs and in other,
ways. 4
In 'addition to providing statistical, information; -the reports are par-
ticularly valuable for the interpretations that the two experienced scholars
draw from the data. Vince the/tour reports cover the period 1969-70
through .1976-77 (and for .s5atne- data through -1977-78), they offer a
valuable longitudinal .data ase. The authors will continue to ensure the
reliability and timeliness- f the statistics through' a yearly compilation Of
data; however, after 1978 he report will be published biennially.

5:5.0/80
The Venture Capital of igher Education, Martin Kramer, 80 pp.
(Jossey-Bass, San FraticiscO)i: I. .
The topic of this essay. is finance, but the concern .is. not so much with .

the financial health of institutions as with their creative health; it is with the
margin of financing that makes possible qualitative gains as opposed to
sheer survival. Such a margin7W usually been provided by private funds
and, less often, by public. finds made available for discretionary use.
Because of the importance Of such funds, the -author attempts. to outlirfe
how and why private and "pitivate equivalent" resource.; have played such
a large role and how that role can continue-to be per in a financially
troubled future.

17 142
 FINANCIAL. CONDITION OF INSTITUTIONS 51 5. 0

Giyen the desirability of discretionary funds and the recent slowing of

private(support for higher education, the author focuses on the ways in
which public support can be made more like private support and looks
particularly at changes in accountability for public funds that have occurred
in recent years. To determine the additional amount of diScretionary funds
that institutions need to maintain their "creative autonomy," the author
estimates the share of total funding of institutions that ought to be dis-
cretionary and subject mainly to the accountability of the future. Finally,.
he discusses ways in which the amount of discretionary funds might he
raised to that level.

5:5.0/76
Higher. Education and the Economy, -Hans H. Jenny, 56)f
(Educational Resources Information Center, Washington, D.C.
This brief essay, the, second in a series prepared under the auspices of
the ERIC Higher Education Clearinghouse, is actually a careful survey: of
much of the literature on the economics of higher education, and thus
should be the first document read by a novice in this area. The reader will
find in it a systematic discussion ,of many of the other works included in
this bibliography, as well as a critical evaluation of many ofthose works.
The essay 'briefly examines the impact of overall changes in the
economy on the fortunes of hi:ther education, and includes.a discussion of
the specific effects, both positive and negative, of the 19741.75 recession. It
also traces the'effects of recession on higher education revenues through
the impact on enrollments, on state government appropriations, and on
philanthropic support.
The volume also summarizes the growing literature on demand for
higher education, as well as recent reports onstinane!al condition: including
the Bowen-Minter reports t5:5.0/5-2) and the Lanier-Anderson report
(5:5.O175). A criticism of the Higher Education Price Index by' Kent
Halstead is also incltided. , .
, The author argues that the single most serious detect in our national
data bases for higher education ". . lies in the absefince of nationally
.

credible indicoors of institutional health, especially if t e latter is defined

in the broad nianner suggested by the National Commission on the
Financing of Postsecondary Education." He goes on to argue that "The
development, nationally and with the assistance of the states, of a set of
comprehensive indicators of institutional health should have highest
legislative priority." In Jenny's .view, higher education will find it difficult
to argue its case persuasively in the 1980's if such indicators, simple and
compelling to legislators and other policymakers, are not developed.
t

143 177
5 FINANCE

5:5.0/75
A Study of the Financial Condition of Colleges and Universities:
1972-1975, Lyle H. Lanier and. Charles:. J,Nanderson, 102 pp.
(American Council on Education, Washingtop,
This study was, prompted by a.concern that the National CommissiOtt
on the financing of Postsecondary Education report had not taken suffi-
cient note of the changes in real resources per student that a combination of
inflation and reduced state appropriations and declining endowment yields
had firoduced,during the first half of/the 1970's. To provide evidence of
this change, surveys were sent to a representative sample of institutions to
collectcurrent data similar tothose. published from the Higher Education
General Information Survey (HEGIS), but often with a delay of 2 or more
years, institutions were grouped into Carnegie Commission categories, and
changes in operating revenues per student were traced over-the 1972-75
period.: in. both,current. And, _constant .dollars., The. authors _found -that-the
sharp inflationary increases- that marked these years had contributed ro a
drop in real resources per student, reversing an over 30-year-pattern In
which resources,per student increased by an average of roughly 2.5 per-
centage points per year.
The report Includes information for this 3-year period on enrollment
trends; trends 'in operating revenues, including both educational and
general and tuition and tee revenues; current fund and student aid deficits;
and the changing distribution Of expenditures by function. Of particular
interest are the chapter on inflation and the several pric&indexes that have
been developed for higher educatiog. Comparisons of five higher educa-
tion priceindexeswiththree aational economic price indexes is especially_
Useful, as is the author's' discussion of the strengths and weaknesses of the
various measures. For their own study, the authors used the Halstead_price
index. slightly modified, notwithstanding the 'criticisms that have been
-leveled against-it by some university administrators..
Although the use of expenditure per student data can be misleading
across institutional types, particularly when the problems of joint produc-
tion are present (e.g., faculty engaged in teaching, research, and public
service), this study is a valuable contribution to the understanding of
changes-in higher educatiun resources. It is unfortunate-that it was aone;
time effort.

5:5.0/73 4,

The New Depression in Higher Education: A Study of Financial

Conditions at 41 Colleges and Universities, Earl F. Cheit, 169 pp.
(McGraw-Mill Book Co., New York).

144
 t,FINANCIAL CONDITION OF INSTITUTIONS 8.5.0

The New Depression in Higher EducationTwo Years Later,

Carnegie Foundation for the Advancement of Teaching, 84 pp.
(CFAT, Berkeley, Calif. ).
Although the specific information contained in Cheit's seminal report
is dated, this volume is included in this sectiontogether with the follow-
urstudytone-2-years- later -- because it-contributed greatly to the discus
sion of higher education finance during the 1970's. It brought out into the
open private concerns about financial stability that had haunted' many
college and university presidents in the late 1960's. l)nti1 the publication of
this volume made it respectable,, it was difficult for presidents to talk,
publicly about growing budget deficits.
The book -presents 41 case studies based on interview reports and
appropriate financial records. The sample selected for the study represents
several types of institutions, both public and private: universities, liberal
arts colleges, comprehensive colleges, and 2-year institutions. Cheit found
that 29 of ,the institutions (71 percent) either were approaching or already
experiencing financial difficulty. (Financial trouble was considered
imminent if, at the time of the study, an institution had been able to meet
current responsibilities but:could neither ensure that it could nitich ,Ionger
sustain current program and qualitystatidards nor plan to suppoitevolving
program growth. Colleges and universities forced to reduce services or
eliminate important education programs were considered in financial'
difficulty.) On a nationally-weighted basis, Cheit found thar4Ipereenuol
U.S. institutions (accounting for 54 percent of the students) were headitip,
for financial trouble. Again on a weighted bask, slightly less than-one-
fifth, or 19 percent of the, institutions (accounting for 24 percent of the
students), were already in financial difficulty.
In addition to -revealing the magnitude of the.emerging depression in
higher education, the author calls attention to the nature and impact of the
financial problems as they affect .various kinds of institutions and to the
way these institutions are'responding. The author's case-study examination
of expenditure patterns, income factors, and administrative practices
enables the reader lo obtain a down-to-earn .perspective.on ,a variety of
financial problems and how they may be most effectively, solved. The
study also presents views of school administrators concerning public policy '
toward financing higher education.
The followup study. The New Depression in Higher EducationTwo
Years Later, documents zi "fragile %ability in revenue and expenditure
trends that had occurred since 1971. In particular, the increase in real
expenditures per pupil in these institutions had dropped from 4 percent per
year in 1971 to 0.5 percent lic1973, Irliese figures can be compared to the
decline in real resot..ces per student noted in the Lanier - Anderson study for
the 1972-75 period.

145

1 7:i
 5 , FINANCE

6.0 DATA SOURCES

Note: The following entries make up 'a basic list of data sources with
which any student of higher education finance should be familiar.
Whereas most of the preceding entries involved analysis of data'
. steadingAip to recommendations for public policy, the materials in this
section. are among the more important sources of, information re-,
quired for such analyses.

5:6.0/S
Financing'Higher Education in the Fifty States: interstate Com-
parisons for FY 1979, MardynMcCoy and Kent Halstead, approx.
pp. (National Institute of Education,-Washington, p.c.).
This study presents a systematic model of data relating to state and
local government financial support of higher educatiori. The framework
and graphical layout assist in understanding the component eleiTients
affecting insti-utional financing and their interaction, and serve as an aid in
appraising performance levels through use of interstate comparisons.
Separate reports are provided for each of the 50 states, andeat..h state report
consists of Seven topicscommentary, state financing of 'higher educa-
tion, public institutions status report, independent institutions status report,
trends, faculty salaries, and institutional descriptors.
The 'authors' commentary section presents fundamentals anti a profile
of state financing from which the reader can construct more detailed inves-
tigations. Questions of interest to legislators, state planners, and budgeting
officers that the commentary and data address relate to maintenance of
appropriations, proportional enrollment and inflation, consistency of
enrollments per capita- with state goals, taxation effort -and allocation to-
higher education relative to enrol! ient load, utilization of the tax base, and
level of appropriations per Student compared with national averages.
The state financing section 41des a diagram of the state and local
-
government budget for seven public services to suggest the relative
standing of higher educatiOnin the' budget-through comparison with-other
states. A brief summary of enrollments includes the attendance patterns of
resident and nonresident students. A series of related measures show the
fiscal actions of state and local governments in taxation and allocatinn of
collected revenues to higher education. Distribution of the restating
government appropriations to higher education by sector and function are
presented. Collectively, the data can be used to trace a path from potential
tax capacity to ultimate recipient and the allocation decisions associated
withtach step. A table of state and local tax capacity reports the ability or
potential of state and local governments to obtain revenues for public
purposes through various kinds of taxes.

146
ISO
 DATA SOURCES .5141.0

"Status reports" for both the_ public and independent sectors are
organized in tour parts--the principal entries of "Institutional Revenues"
and "Institutional Expenditures," and two supporting entries of "State
and Local Finances Per Capita" and "Enrollments." The status reports
show how state and local government appropriations allocated by type of
institution interact with related enrollments per capita to result in appropri-
ations per student that, together with other institutional revenues, support
institutional expenditures. Important here in establishing meaningful
comparisons are the number of institutional type, classifications and provi-
sion for revenue and expenditure detail.
The trend diagrams report enrollments and revenues over time in
absolute amounts and in percent change and relative distribution. A sep-
arate chart illustrates the trend in state and local government appropriations
-relative to-enrollment-growth and- inflation.: The faculty salary data-report---
average state salary amounts for 9- to 10-month full-time faculty by
academic rank and institutional category. The institutional descriptors
section provides additional data such as the number of institutions within
each of the 10 institutional categories, their size, FTE enrollment,
and percent distribution of enrollment by student level.
The current plan is to publish the, basic data in a biennial edition, with
a comprehensive study and analysis presented eriodically. The' volume
appears to be a major step in,,converting otherwise 'sterile raw data into a .
meaningful organization and interre:ationship that should be of significant
value to planners in appraising their state and local goVernment support of
higher education.

5:6.0/A-1
Special' Analyses, Budget of the Unite_d States Government,
Fiscal Year 19_, Office of Management and Budget, approx. 350
pp. (U.S. Government Printing Office, Washington, D.C. ).
Published each January concurrently with the President's budget, the
Special Analyses are an essential source of information on Federal outlays
for higher education and related areas, such as medical education and
'research and development. Special Analysis D. lists investment-type pro-
grams, including outlays for research and development and for education
and training. Special Analysis F focuses on Federal credit programs,
including those for education, and describes the Education Amendments of
1980. Special Analysis G deals with tax expenditu es, including education,
health, and 'training outlays. Special Analysis I-I includes discussion of
grant funding to. help educate and train low-income unemployed youth.
And Special Analysis K is devoted to research and development. Special
Analyses of previous years have focused on education, health outlays. and
tax expenditure provisions that benefit educational institutions, 'students,
and faculty.
147

181
 FINANCE

5:6.0/A-2
Financial 'Statistics. of Institutions of. Higher Education, Fiscal
Year 19_, State Data, Paul F. Mertins and Norman J. Brandt,
approx. 250 pp. (National Center for Education Statistics,
Washington, D.C.).
Published- annually, this-report- from -the -Hither-Um:Ail-offal 'Getiefal
Information Survey (HEGIS), collected by the National Center for Educa%
tion Statistics (NCES), is the basic source.of information on institutional
finance for U.S. higher education.. Surveys are mailed yearly to all institu-
tions,'and better than 90 percent usually respond. Estimates are made for
missing data, rounding out the universe of higher education:
The basic. tables include current fundsrevenues_and_current..funds _

expenditures, physical plant assets, indebtedness on physical plant,

endowments, and a statement of changes in fund balances. Published data
are broken down according to state, type of control, university, and
whether the school is 2- or 4-year. Data for individual institutions .ate
available on computer tapes from NCES at a reasonable charge.

5:6.0/Ar3
.
Voluntary Support of Education, 19_, Council for Financial Aid
to Education', at)prox. 70 pp. (CFAE; New York).
Published annually, this survey of philanthropic giving to institutions
of higher education is the basic source of information on voluntary support.
Although less than half of all philanthropic institutions complete the
survey, estimates are made, of universe totals., The figures reported _by
respondents provide information on total giving, sources of support, forms
of giving, support through the annual fund, total nonalumni parent support,
corporation matching gifts, and current market value of ericlowment. .
The survey has be'en conducted since 1954-55, and thus provides an
excellent time series of information.

-----5:6.0/A-4
Higher Education Prices and Indexes '( 1975), D. Kent Halstead,
114 pp. (U.S. Department. of Health, ..Education, and Welfare,
Washington,'D.C.).
This volume is kept up-to-date with annual supplements currently
published each fall by Research 'Associates of Washington, D.C.
In examining expenditures on higher education over time, analysts
must be concerned with changes in the purchasing power of the' dollar
caused by inflation. Priorto publication of this book, one was forced to use
economy-wide indexes, such as the consumer price index or the implicit
GNP deflator, which were better than nothing but hardly accurate for the
Specialized goods and services purchased. ty institutions of higher.educa,...,

148
82
 DATA SOURCES 54.0
tion. Halstead's annual publications provide four specialized indexes for
higher education, calculated annually from 1961 to the present: a current
operations index, a research and development index, a physical plant addi-
tions index, and a student charge and tuition index. The first has received
the greatest attention and the most use.
In addition to the indexes themselves, the initial publication contains
chapters on the uses and limitationsof price indexes-generatty-and
number theory. Annual supplements simply update the time series:
The composition of, Halstead's current operations index has been
criticized by Princeton University president William G. Bowen for concen-
trating too heavily on education and general expenses rather than on the
full (range of university costs, including auxiliary enterprises. (ape William
G. .Bowen, "The Effects of Inflation/Recession on Higher Education,
Educational Record, Summer1975, Vol. 56, No. 3). Also see discussion
of Halstead's index in the documents by Jenny (5:5.0/76) and by Lanier
and Anderson (5:5.0/75).

See: 14:2.0/A Federal Support to Universities, Colleges, and Selected

Nonprofit Institutions, Fiscal Year 19 .
This is an essential reference for those seeking information on the
distribution of Federal dollars to colleges and universities. The NSF
collects these data annually from the 14, Federal 'agencies that account for
over 95 percent of the Federal obligations to institutions of higher educa-
tion. The guide ranks the top 100 recipient institutions by dollars received,
an organizes by state obligations to each college and university. informa-
tion on obligations by each agency and by type of support is also presented,
with particular emphasis.on support for academic science.
These annu I reports an N.: ordered from the U.S. Government
Printing Office o from the -Division of Science Resources Studies at the-
National Science oundation.

See: 17:5.0/A-1 National Association of State-Scholarship and Grant

Programs: 12th Annual Survey, Academic Year, Kenneth R.
Reeher.
This ad hoc survey of state scholarship and grant programs is the only
source of information on this growing area of educational finance. During
the 1980-81 academic year, states awarded $912 million in student aid, up'
from $650 million in 1976-77. Tables provide information.on the number
of awards and total dollar outlays for every .state and for every. program.
With increased emphasis on direct student aid, any study of resources
available to students will necessarily have to cover these state programs.
Copies of earlier surveys are out of print. Current Surveys are avail-
able for a tee from NASSGP, Survey, c/o PHEAA, Room 211, Towne
House, Harrisburg, Pa. .17102.

bl.,r3
 5 FINANCE

5:6.0/80
Foundations and Higher Education: Grant Making from
Golden Years Through Steady State, Earl F. Cheit and TheOdore
E. Lobman, 141 pp, (Jossey-Bass, San Francisco).
This volume investigates the chan ing role of foundation support for
higher education. In undertaking.. thi,.. 'nvestigation..the_ authors first-L- - -----
selected an appropriate sample of foundations and applied a classification
system t ,', their grant-making activities. Their aim was to analyze the ex- ,
perience of three kinds of grant-making fodndationscommunity founda-
tions (which are created, by donors), corporate foundations (which are
created by business firms), and general purpose foundations (which are
usually created by individuals or families). .

Compared with other summaries of foundation giving, this summary

-is= unique in two ways.-First, it includes all grants affecting higher educa- ----.

tion. Second, the data quantay foundaticin attention to certain issues as

well as to conventional purposes such as endowment, buildings,sstudent
aid, and research.
The authors found that foundation grants support nearly every aspect
of higher education operations and all types of institutions. Howevef.
specific trends and patterns in grant-making were evident. In terms of the
four general purposes of grantsdevelopment, general strengthening,
sustenance, and researchdevelopment grants were generally favored by
the foundations in the. sample. The authors also identified a shift from
support of research toward support of development rid frf..m support of
general strengthening toward support of sustenance: In addition, it was
found that two-thirds of the grants for higher education went to private
institutions, and, in general, 'each -kind of foundation favored a- particular
type of grant.
Among the other issues discussed are the facts that grant-making
foundations publish little information about themselves, that foundation
grants have not kept pace with inflation, and that there is a conflict between
the foundations' emphasis on change and institutions' emphasis on stability.

5:6.0/78'
Tax Wealth in Fifty States, D. Kent Halstead, 250 pp. (National
Institute of Education, Washington, D.C.),
This study is an update of two earlier efforts to assess state and local
fiscal capacity published by the Advisory Commission on Intergovern-
%
mental Relations. One was a 1962 study by Selma J. Mushkin and Alice
M. Rivlin, Measures of State and Local Fiscal Capacity, and the other a
1971 study by Allen D. Manvel and Donald J. Curran, Measuring 'he
Fiscal Capacity and Effort of State and Local Areas. The present work
draws heavily on a simplified computer-based technique for generating
estimates.of fiscal capacity developed by Robert Reischauer while at the
150

154
 DATA $OURCES 54.0

Brookings Institution. It should be possible to. keep such estimates

reasonably current through use of this technique,. whieh draws on data
available yearly.
.
The volume presents data on and a comparison of the tax capacity and
effort of state and local goVernments. Assessment of state and local public
service needs. including a separate analysis of public higher education, are
.

presented in the appendixes. !.

The data for this volume. are for tax year 1975.. A tax wealth Sup-
plement, published ,by NIE, presents tabular data only for tax year 1977.
Subsequent issues providing every-other-year coverage (1979, 1981, etc.)
will be published by the. Advisory Commission on Intergovernmental
r Relations,

5:6.0/73
Sources of Funds to Colleges and Universities, June A. O'Neill
and .Daniel Sullivan, 45 pp. (Carnegie Commission on Higher
Education, Berkeley, Calif.).
This slim volume provides valuable data on the revenue sources of
higher education institutions from 1930 to 1968. Drawing primarily on
U.S. Office of Education survey*, conducted before the' establishment of
the Higher Education General Information. Survey (HEGIS), the data
provide a bridge from earlier periods topresent. Any research that attempts
to track the changing importance of a given source of revenue, such as
tu'gtion, Will find this volume-indispensable.
For an example of the way these earlier data can be merged wit more
current HEGIS data; see the chapter by -Susan C. NelSon, ncial
Trends and Issues," in the Breneman -Finn volume annotated in ntry
5:4 3/78 of thiochapter.

5:0.0/71
Resource Use in Higher Education: Trends in Output, and
Inputs, _1930.to 1967, June A. O'Neill, 106 pp. (Carnegie Commis -
sion on Higher Education, Berkeley, Calif.)
This pioneering effort involved an investigation of trends in output
and, input in the higher education 'Industry" over the years 1930,1967.
Output was measured according to instruction, using the student credit
hour as a base. Other products, such as research and public service, were
not included. Inputs were measured both by operating expenditures and
with estimates of the stream of services provided by the capital stock. A
price index for instructional services was devised to convert.the measures
into constant dollars. The study's principal finding was that the constant
dollar cost per credit hour did not change appreciably over the nearly 40
yearsstudied, indicating, that the instructional function,of higher education
has not increased in productivity._ _
151

185
3 FINANCE

One can make many quibbles with the methodology of this study, but
it remains an essential resource for students pf the higher education indus-
try. It is also invaluable as a guide, to sources and limitations of data in
those earlier years, and provides a number pf methodological appendixes
on ways to cope with these data in order to render them comparable and
useful. It is an essential referenCe work.
.

152

186
 a

Governance and Coordination

John K. Folger

This chapter focuses on governance and coordination as legal

and organizational frameworks' within which specific policy is set.
Governance is a formal and legal method of control and decision-
making through which policies .and regulations are administrated.
Governance over institutions.of higher education can include direc-
tion and control of ttie following: a single institution or campus,
multiple institutions and multicampus systems, and statewide
systems.
Coordination is the effective interrelationship between institu-
tional entities in pursuit of common goals and policies. Coordinatidn
can involve legal control of specified procedures program
approval, budget review, planning) as a means of assuring effective
joint action by institutions. This form of .coordination regulates
institutions and their governing authorities. Coordination that doe's
not include legal authority is termed voluntary or adVisory. Volun-
tary; coordination is generally concerned with identifying problems,
conducting studies, and making recommendations. Coordination
may be regulatory with respect to public institutions and voluntary
with respect to private institutions.
The boundaries between governance and coordination often
overlap. For example, if an institution has a governing board,
153
187
 GOVERNANCE AND COORDINATION

agencies that regulate the institution at the state level are called
coordinating boards, even if they control the key processes usually
associated with governance, such as budget and program control.
This chapter is organized into five sections.
General. This section lists Sliorks that focus primarily on
general and 'institutional governance. It includes conceptual studies
of ' .T s., ec e. wor s rom re ated organiza-
tion and administrative theory.
State Role. This section focuses on the more limited literature
dealing with the organization and functions of state-level co-
ordinating and governing boards. It covers two themes: the proper
relationship between state agencies and institutions in terms of
centralization versus decentralization -and accountability Niersus
independence, and the functions of state agencies in terms of inter-
relationships and performance levels. .

Trusteeship. This section deals selectively with 'the extensive

literature on trustees and on the conce0 of lay governance in
education. Since trusteeship, for both single- and multicampus
systems, is a key part of governance in American higher education;
emphasis is on the effective performance of trustees in fulfilling their
responsibilities.
Politics of Higher Education. This section contains only
selected entries from the broad topic of politics of higher education
because the topic is covered in entries under other sections.
Descriptions of Coordinating and Governing Arrange-
ments. This section lists works that are primarily descriptive of state
organizations for coordination or governance. These descriptions are
of value in tracing and analyzing changes in state organizational
arrangements.
For works that deal primarily with internal governance between
faculty, departments, and administration, see Topic -26: Faculty,
.Subtopic 4.0, Governance. The impact of the Federal Government,
which has no direct role in coordination or governance of higher
education, is 'discussed under Topic 12: Policy and General
Reference.

TOPIC ORGANIZATION

6: Coordination and Governance

1.0 General
2.0 State Role
154'

18 If
 GENERAL dit0
3.0 Trusteeship
4.0 Politics of Higher Education
5.0. Descriptions of Coordinating and Governing Arrangements

1.0 GENERAL

6:1.0/81
Higher Education in American Society, Philip G. Altbach and
Robert 0. Berdahl, eds. , 326 pp. (Prometheus Books, Buffalo,
,N.Y.).
The eighteen authors of this volume were commissioned to examine
the forces that have shaped American higher education in t'le last decade.
Six of the chapters cover various aspects;of governance ad coordination
and are annotated here'. Of special interest are the changing relationships
shown between government, law, and institutions of higher education. The
chapters and their authors are: ,"Autonomy and Accountability" by T. R.
McConnell, "State Government" by John Millen, "The Federal Govern-
ment" by Aims McGuiness, "The Courts" by Walter Hobbs, "Presidents
and Governing Boards" by John Nason, and "The Insulated Americans,
Five Lessons from Abroad" by Burton Clark.
The etlitors give the reader a sense of perspective on the issues in
higher education. Forinstance, the continuing tension between institutions
and government, and between faculty, administration, and trustees is
discussed from the perspectives of the participants. Most of the authors
place these-relationships within- their-historical frameworks. Shortages of
funds and impending declines of enrollment ate_described, along with their
impact on relations between participants. ,
There is a good deal of consensus on principles that should be fol-
lowed in the organization and governance of higher education: Ittstitutions
must be responsive to public needs and priorities, but they cannot be
closely regulated from either within or without! they must be accountable
and responsive to clients, but must maintain standards and avoid excessive
consumerism. Since these prnciples mean different things to different
groups, the tensions are expected to continue and new generations of
students, faculty, trustees, and public officials will also grapple with them.
According to Steven Bailey, in the concluding chapter, ". . . at heart we
are dealing with a dilemma we cannot rationally wish to resolve."
For readers disturbed by these tensions, Burton Clark, in "The
Insulated Americans: Five Lessons from Abroad," makes it clear that
we've done better than most nations in maintaining a "creative" tension
among these various forces. The book contains a topically arranged
bibliography for those readers wishing to read furthecon the subject.
155
 6 GOVERNANCE AND COORDINATION

See: 1:0/78-2 Academic Power: Patterns of Authority in Seven*

National Systems of Higher Education, John H. Van de Graaff and
Associates.
In this study, the authors compare the organization and decision-
making processes of educational systems in Italy, France, and Swedenas
examples of centralized national systems, "state power"with those of
Great Britain, Germany, Japan, and the United Statesas examples of
decentralized systems, "campus power." This is one of the few studies to
base its analysis on a conceptual framework that can lead to generalizations
about how governance processes in systems that operate in very different
cultural and historical contexts deal with changes.
The authors analyze the interactions of representatives Of state power
(i.e., multicampus sytems, individual states, and national governments)
and of _representatives .of campus power (i.e.,_ faculty members, depart -.,
mental units,-.and institutions). They draw conclusions abour the adjust-
ments of these, different systems to the massive growth and change of the
last 20 years and discuss the systems' capabilities for responding to social
change and for initiating necessary internal responses.
Burton Clark and' Dietrich Goldschmidt show the unique .way in
'which each systgm has developed by tracing 'these developments back to
their historical influences. Additionally. Clark describes six types of
academic potverprofessorial, guild, professional, trustee, institutional
bureaucratic, and governmental bureaucraticand discusses their various
combinations within the systems examined. He then describes some of the
consequences resulting from such combinitions.
The volume contains a statistical appendix that provides comparisons
of each system's educational inputs, outputs, revenues, and expenditures.

See: 26;4.1/78 Sharing Authority Effectively, Kenneth P. Mortimer and

T.R. McConnell.
The, authors present a comprehensive treatment of governance ar-
rangements in colleges and universities in the United States. The first six
chapters dealprimarily with governance issues within institutions, and the ,

authors-build their discussion around two main themes: the distribution of

.,authdeltity among the various groups (i.e., shared governance responsibili-
ties), and the basis for legitimate authority. The authors also discuss the
conflicts between functional' authority (collegial) and bureaucratic
authority.
The chapters on internal governance cover °such topics as the role of
the academic senate, the impact of collective bargaining, faculty-
administrative relations, administrative leadership, 'and relations with
trustees. The authors discuss concepts of authority, legitimacy, account-
ability, and leadership, and de3cribe processes of decisionmaking as well
as structures of governance.

156
 GENERAL 6: 1 .0 .

Three chapters are, devoted to external governance structures and

processes, including statewide coordination, accountability, and de-
centralization and centralization of authority. The chapter on statewide
coordination describes the various state structures, including their strengths
and weaknesses, and identifies some of the tension points that have
developed between campuses and statewide agencies.. The chapter on
centralization versus decentralization points out the problems of each
within,tinstitutions and systems. The authors: believe that the systems
adopted by institutions of public higher education are becoming increas-
ingly important. They are concerned about what they consider the erosion
of responsibility of campus heads and State Boards of Education by
collective bargaining.
The final chapter contains recommendations for changes that would
increase the effectiveness of shared governance. The authors believe that
sharing responsibilities is essential but that first the participants must reach_
agreement on the specific responsibilities that each must assume. This
agreement must be, applicable within institutions themselves as well as
, between institutions and their external constituencies.
The book offers a particularly good treatment of the impact of
collective bargaining on coordinatiOn and governance arrangements in
higher education, and it contains an extensive bibliography.

6:1.0/77
New Structures or Campus Power, John D. Millets, 294 pp.
(Jossey -Bass, San Francisco).
John D. Millen and 30 other authors examine the Changing:structure
of management, decisionmaking (governance),. and leadership that
emerged on campus in the decade covering 1966 to 1976. Increased faculty
and student participation in governance characterized this period; and
Millen, through 30 case studies of various types Of A-yearinstitutimis,
attempts to assess the effects of the changes on the effectiveness, clarity,
and acceptability of the new arrangements. The alnhor limits his assess-
. menus to the 'internal governance of individual campuses and does not
consider multicarnpuses or statewide governance arrangements, although
their impact is obvious in some of the cases.
The book has eight chapters. The first reviews studies of governance
and different models of the governance process. It defines the dimensions
of leadership,imanagement, and decisionmaking that will be examined in
later sections. The second describes study methods: The, next three
chapters include case studies, respectively, of major research universities,
other universities, and general baccalaureate colleges. The last three
chapters examine the results of the governance arrangements of these insti-
tutions and develop generalizations. They point out that the increased
participation of faculty and stud .ants in decisionmaking was largely a result
157
 GOVERNANCE AND. COORDINATION

increased acceptability of their decisionmaking (and the resultant deci-

sions), but that this was offset by a reduced effectiveness of university
, governance arrangements. In the seventh chapter Millen discusses a -
workable model of campus governance, and the final chapter is a realistic
examination of the requirements for an offective governance structure.
This book is a valuable blend of concept, theory, and Millet's exten-
sive practical involvement with leadership and decisionmaking in higher
education.

6:1.0/75 . ,
Managing Multicampus Systems, Eug_ne Lee and Frank. M.
Bowen, 174 pp. (Jossey-Bass, San Francisco).
This book is a reexamination of the nine multicampus systems studied
by the authors for their 1971 book The Multicampus. University. Like the
earlier work, this was produced under the auspices of the Carnegie Council
on Policy Studies in Higher Education (sudcegsor to the earlier Carnegie),
Commission). It examines the ways in which these systems responded to
changing pressures in higher education, enrollment stabilization and
decline, and more limited resources.
The first chapter describes the nine systems studied; the next six
chapters describe key functions of planning, program review, budgeting,
prograth development strategies, faculty retrenchment and renewal., and"
student admissions and transfers; and the final chapter concludes with a
prognosis about multicampus 'systems in the 19$0's.
The information in this study is bacon questionnaires and about 100
interviews with ..Systetn officials. There are a number of interesting com-
parisons with the-earlier study of these same institutions. For example, the
institutions now do more planning; academic and fiscal. planning are mu-Ch
more closely related; and there is a much greater development of systems
that go beyond the aggregations of individual campuses. The key issue,
however, is still Centralization versus decentralization: what functions must
be centrally governed and manaaged, and what functions can be coordinated
at the central level but managed at the campus level?

See: 30:1.0/74-4 Managing Today's UniversitiesFrederick Balderston.

This book is in part the outgrowth of a major program of research on
university administration conducted by Frederick Balderston and others at
Berkeley from 1968 to 1978. The work reflects the author's rich .back-
ground of administrative experience and teaching about administration.
There are 10 chapters that provide a conceptua; framework, practical
descriptions of the con nituencies involved in university governance and
management, their values and objectives, the policy analysis process, and
university market environments. Several of these chapters discuss the
-158'

1.92
 yr

GESIERAL 681.0
fo

ei.linomics of universitjf, management; one chapter provides t,information

needed for management; and final chapter examines the management
requirements for institutional survival, stability, and excellence.
This book focuses primarily on the internal managenient of the
university, although. impottatit external forces' .are given' considerable
attention. There is a heavy emphasis on fiscal management and on the use
of suantitatiye management procedures, although the author also is quite
sensitive to the values of the academic community within which, these
banageinent methods operate.
4

`6: / .0031 ./ . ,

The University As an Organization, James A. Perkins, 273

pp.(McGraw.Hill Book Co.,,New York).1
This volume, One ctf.a series commissioned by the Carnegie Commis-
;

. sion on Higher Education, fbcuses m the university as a Unique, multi- 0

. purpose organization in our society. e.

James A. Perkins wrote the'first and last chapters himseifland in them
he outlines some of the conflict's and tensions between the multiple func-
tions 'of universities. In the tasi chapter he assesses the tensions b,tween
the different functions, and offers his opinions as.to whether they are likely
to lead to the elimination of some of the functions in favor of the central
role of instruction. He gives limited attention to the-fact that most univer-
sities are part of larger, external organizational structures and focuses
primarily .on the'internal organization of institutions.
. The bixik is organized into three
thajOr sections. The first gives per-
Speetives on the history, similarities, and differences among American
universities. It also provides comparisons between Gesrmuh, English,
French and Canadian universities, and has a.chapter on the tensions that
the university as a community.
. haveileveloped as a.result of considering
Thesecontl section contrasts university organization with other insti-
tutions: a government agency, a foundation, and a business corporation.
The ihild section considers legal status, corporate auttarity, and relations
with true, This section is most relevant to those interested in statewide
goverrupt, tnd coordination. Particularly
relevant is the chapter by Lyman
.

Glenily and Thorrias DalgTish on trigger education and the law.

'This'is a somewhat diffu 'series of essays on universitrorganization,
but it provides useful new pe ctives on some old problems.

6:1.0/60 ,
Gthvernance of Colleges and Universitiei, John/J. Corson, 209 pp.
(McGraw-Hill Book Co., New York). .

This examination of governance by an experienced economist and

management consultant provide, a basic overview of _institutional gov-
"b. -159- t
 6 GOVERNANCE AND COORDINATION

erriance and administration. I/ is one of the, first to, use the conceptual base
of, organization theory, 40 -analyze ankell as describe university decision-
making and governance processes. There is limited attention to external
organizational Or governance influences, for the book deals primarily with
internal governance. .
The first chapters describe the nature and significance of governance
4.
' and the university as an administrative enterprise; then 'there is a series of
chapters about the various groups that pailicipatedPin decisiunmaking:
,universitywi& officers (presidents and vice-presidents), academic deans,
departmental chairpersons, and ,faculty. Thee are followed byrchapters
t.
.4haticompare university decistonmaking andirdininistrative processes with
those of other organi;ititions and identify differences in 'university goals,
,pFrsonnel, and procedures that makethen. governance prows different. A:
-.---`,=chapter on ex ternal-intluences- on-governance-is followed-by-a-final-chapter
.
that examines the effects of leaders'hip and institutional character (purpose)
on decisionmaking and governance.
The book contains.aiuseful commentary on the literatUre on manage-
ment, 'governance, and organization theory in both higher education and
general works; While the book is based in part on visits and inte/views at
10 institutions, John Corson successfully generalizes his analysis.to pro-
vide a attic view of university decisionmakitig processes in institutions of
higher lettrning. .
,

See also: 12:1.3/80 A Program for Renewed Partnership: Report of

the Sloan Commission on Government and Higher Education, .Sloan
Commission.

2.0 STATE ROLE

6:2.0/89-1
Challenge: Coordination and Oovesnance for the 1980's, Educa-
tion Commission of the States, 84 .pp. (ECS, Denver, Colo.),.
This report, prepared jointly bx the S..iff ortheEducation Commission
of the States' (ECS) postsecondary department and an advisory panel,
contains recommendations to statewide postsecondary agencies for han-
dling the changing conditions of the 198(rs-1 The authors foresee increased
functions for statewide agencies in planning for variable enrollment, fiscal
retrenchment, and nitre legislative and gubernatorial oversight.
Specifically, the report recommends that. state agencies do more
planning, take. more active roles in evaluation, provide suggestions ap-
plicable to institutional governance:. partake in program planning, and
review existing.and new programs. The report recommends against in-
creased state government control and management, but it Toes urge that

I60
r
1 9 ,1
4
 a

STATE,ROLEi4 4:2.0

states provide budgets that would enable higher education agencies to

provide such necessary services as accountability reviews, progratri're-
views, and budget reviews. Such budgets would complement ?rather than
duplicate legislative or executive budgets.
ECS has avoided recommending ::model" structures for state higher
education agencies in the past and continues to do so. But states are
advised that they will need agencies to plan ajid "develop the piilicy
framework that will guide postsecondary' education the difficult.
erWirOnment of this decade.

, .
6:2.0/80-2
t`fower of State Coordinating Agencies," Richard M. Millard'
-pp. 65,95 in =lmprotr Academic Manageinent, Paul -.1,edamus. and
Marvin W..Peterson-, eds. (Jossey-Bass,,San Francisco). .

This paper provides an excellent summary of'statewide agency struc-

tures, their functions, and their current problems. Millard. gives a brief
histbry of the. rise of statewide agencies, describes various types (e.g.,
governing, regulatory coordinating,' advisory 'coordinatirt)ng), and classifies
them according to their program control authority, their budget review
authority, their planning responsibilities, and whether they are statutory or
constitutional. 404
The author discusses the impact of the changing economic, demo-
.\
graphi, and political conditions of the 1980's.on the roles of statewide
agencies and how these changes have affected their power.;, budgets;. and,
furictionS. Millard also comments on the controversy regarding a greater'
state role versus a greater- reliance on the marketplace..The book ends with,
1 brief bibliographic essay.

6:2.0/76-1
State Boards Qf Higher 'Education, Richard Millard, 69 6:
(American Association for Higher Education, Washington, ,D.C.).
This relftort summarizes the histopi'val development of statewide
boards and describes their functions, .powers, and legal structures. One
chapter traces the. development of Federal support for state postsecondary
commissions (1202 Commissions). A final chapter,on issues, trends, and
directions describes some current problems that agencies,a fe. trying
resolve.
The author,.a former director of the Education Commission of'the
States' Department of Po'stsecondary.Education, drew much of his int*,
matron from his own extensive backgrqund., Thusothe report gives, a good
general overview. It also provides an extensive bibliography forthe reader
who wants to pursue the subject in more deyil.

161
6 GOVERNANCE AND COORDINATION

W.0/76-2
Changing.Patterns of Governance in Higher Ethication, John J.
Corsdn, 65 pp. (University..of Arizona Higher 'Education Program,
Tucson)..
This collection of papers, first presented at a conference at the Uni-
versity of Arizona, is typically diffuse and somewhat uneven. John J.
Corson outlines five external forces that have' had a major impact on higher
education:demographics, the expansion of 1Zntowledge, the pressures for
democrinizatiOn, the expansion of government, and the rise of the,"under-
dog. He concludes that it will be hard to maintain institutions dedicated to
developing "inquiring minds" in the face of-demands for mass higher
edr ration on the one hand', and limited resources on-the other. 'A paper by
John 0. Mil lett examines the expanding role of the states in highereduca,
lion; and One by Marvin D, Johnson deals with the institutional perspective :$

of state-institutional relations: Allan W. Ostar discusses the Federal impact'

on state and institutional policyniaking, and T. Harry McKinney presents a
long paper on the organization and ,coordinatiomf postsecondlry' voca-.
tional program, and the impact of the Federal 'Government on state
vocational education structures.

6:2.0/75-1 "-
Evaluating Statewide Boards, New Directions. for Institutional
Research, No. 5, Roberi 0. Berdahl, ed., 114 pp. (Jossey-Bass, San
Francisco).
This isa valuable, although somewhat,uneven, set of papers about the
cOntempdrary problems of statewide -Muds' and the functions- they will
need:to perfarm in'th- future: The papers raise many qUestiohs but provide
relatively, few answers. They do indicate that the future of statewide 'boards:
is likely to be uncertain and difficult.
Berdahl -wrote the first and Jast chapters. In the first chaptCr he calls,
'for periodic appraisal of the, perloymance of boards, reasoning that since
most of them have evolved 13eyond the formative stage, their further .

development should he guided by external peer reviews of their effective-

ness. Pat Callan follows with a perceptiveoet of recommendations about
evaluation of the ,functions of boards, and Bob Graham, as State legislator
froni Florida, suggests 'that legislatures, as shapers and implementors of
puhlic policy, are the proper groups to evaluate boards.
Several of the papersthose by Fred Harelernad, John. Keller, John
D. Millet: and Frederick Balderston examine decentralization ys. '
centralization of authority ih dealing with changing problems of the next
decade: Decentralization is advocated, despite the fact that centralization
seems to be the likely trend. Another theme that runs through several of
these papersthose by Miller, Holderinan, and Grahamis the necdlor
:162

19
 StATE ROLE 612.0

statewide boards to develop and maintain effective political relationships:

The authors believeithat such relationships will influence the weight and
effectiveness of the boards' ,poliqy recoMmendations. This set of papers
raises important questions, and will 'be useful to both higher education
administrators and students of educational cirganitation'and evaltioron.

62.0/75-2 v

Administration of Statewide Systems of Higher Education, Fred

Harcleroad, ed., 51 pp. (American College Tesjing Program, Iowa
City, Ia.). . .

This ollection' of conference papers covers several, specialized

aspects of dminiStralion of statewide systems, the need for better informa-
tion, student aid programs as a component of statewide systems, and,
centralized 'vs. decetralized organizatiorg. Two of the papers,,"Changing-'
Patterns of Statewide Co9rdination," by Richard Millard, and "Or-
ganizing State System's for Maximum Effectiveness," by Fred Haicleroad,
discuss general trends, an4ssues in the'functions and structures of boards.
Harcieroad discusses ow applicability of new patterns of deventralization
in business to state board- institutional relationships.
Two other papers, one by John D. Millet, .on the analytic use of
information in statewide planning and .the pther by Ben Lawrence on the
analytic use of data in postsecondary planning; 'discuss the need for and
uses of information in statewide planning and coordination: John Folger
continues the theme of information use by examining the kinds of data and
.
analysis needed to assess progreSs (or lack of it) in, achieving equal educa-
growth of
tional opportunity at the state level. Joseph,Boyd discusses the
student assistance programs and their relation to statewide planning and
.
coordination.
'',4 theme-covered bthree of these papers is the need for information
more relevant to policy andplanning problems of state agencies. Another
theme is 'the persistence of tensibil between statewide oversight, coordina-
tion functions, and institutional autonomy.
, 7

6:2.0/73-1
Governance of Higher Education: Sbc, priority Problemi,
Carnegie Commission on Higher Education,.A9 pp. (McGraw-Hill
'Book Co., New York).
. This.. repOrt deals with the decisionmaking aspect of governance and
presents recommendations in six areas Where tensions over such decision-
making have developed.
The first area is the relation of the,campus to 'external authority (state
and Federal). 'Selective independence rather than autonomy is recom-
mended, with the campus being independent in intellectual conduct,
"-.

1 9"/
Op
GOVERNANCE AND COORDINATION
,
,
academic' affairs, and administrative arrangements. The Commission
developed. a detailed list of areas properly requiring public control and
those requiring institutional independence. Inc Commission ad ad-
veloped five recomrriendations dealing with control and inderkendence.
One ..suggestjon is that each state define the proper state sphere of authority
and the areas, of. institutional independence. The recommenclation#in%this
chapte,r. are balanced, well- reasoned, and backeti up by evidence.
The other priority problcmi examined are: the governance role of the
board of trustees, its composition, and its relation 'to the president; collec-
. :tive bargaining and 'faculty' powet; principles and practices.iof tenure
(which is both a governarwe and a' personnel issue): the proper role of
students in academic and institutional governance and decisionmaking; and
decisionmaking in' times of emergency and 'crisis. Five appendixes make
up about two-thirds-of?the-book-and 'include= faculty and student-responses
to a questionnaire on §ovemance issues, as well as statements 'about
.governance issued by several groups. The sic problem areas are connected
%only' by their relationship to and effect on decisionmaking.

AZ:2.073-2
%Public Universities, State Agencies and the taw; Constitutional
Autonomy in Decine, Lyman Glenny and. Thomas. Dalglish, 194
: pp. (Cetiter for Research and Development in Higher Education,
Berkeley Calif. )..
. The authors of this' report review the legal relationships between pub- )
lie universities and the state. They examine the meaning of constitutional
status,and how it has been affected by court decisions and by an increasing
involvement of state agencies in institutional affairs. The authors conclude
-*
that state agencies have increased their supervisioll'Over higher education,
and that constitutional status confers increasingly limited independence
/upon the institutions that hake it.

6:2.0/73-3 4'
Coordination or Chaos?, Report of the Task Force on Coordination,
Governance and Structure of Postsecondary Education, 110 pp.
(Education Commission of the States, Denver, Colo.).
A Iasi; force of institutional representatives, legistators, and state
postsecondary agency heads prepared gis report under the auspices, of the
.Education Commission.of the States.,The task force was headed by former
GRvernor Robert Scott of North Carolina.
The report reviews theiforces affecting higher educatiOn, stresses the
key role of planning in state coordination, and discusses state agency
tlinctionsplanning, program review and evaluation, and-Budget review.

f.) 164

t'
 .

' .4 A SIAM:ROLE 6:2.0

The rtiri-,elLitISol contains recorurneridations that The Federal Govern-

ment recognizt the uniqueness and dttt nomy of the statel. The recom- st
mendations underline the import'ance of ;inning and urge that all partS of
t
public priyate. pogsecondary educati be included in coordination,.
not just pane colleges and universities. Each ikencourged to de-
iistate

velop. a 'single *tatewidt! agency for 'planning. and coo vdi,Ration and to
delineate the respethive responsibilities and authority -of its ageneies and
. institutions. Other recdrumendations deal with decentralization of .deci-
sionmaking, legislative support qt: coordination and planning through a,
state agency, and the undesirability of any state-level preaudits.
The report concludes that pOstaudits are the proper and effective-
. means of requiring accountability. It ends with a series, of very general
_-- recommendations,. th.t _first of...w.hichiis ttiatItyre is no (single best why of
performing state-level functiohs. Tile task ,torce suggests that each state
develop a structtire that fits its own history and rolitical conditions.
-

6:.0/71 -1
Statewide Coordination of Higher Education, Robert 0. Berdahl,
285 pp. (American Council on Education, Washington, D.C.).
This book, completed near the end (lithe 1960's when the expansion'
of higher education was slowing, is the n%st comprehensive examination
of statewide coordination in the wake of the boom of the sixties. In the late
-.--
1960's most states had established a statewide agency; therefore, the -issue-
of institutional autonomy versus public contra is the main point .4 this
book, which complements the 1959 study by Lyman Glenny.-- ii 'to' '-- --
The book, which is based on indepth -visits to t3 states And-on reports---
commissioned by 6 others, contains a thorough study and discussion of the
I
development of and differences among statewide agencies, as- well as
chapters on board membership and stalling and on the functionslof plan-
hing, budgelreview, and program review. The chapter on the relationships'
of-statewide-agencies to -governors-and legislatures on-the one hand and-to-
public institutions 'on the other provides stimulating contrasts for
discussion. .. , -..

One important area of autonomy and self-government is in the private

sector. This Study is of speiial interest to those iu the private sector because '..

or its comprehensive review of state aid to private institutions and the

relationship of this aid to statewide coordination and planning. Berdahl It
recounts the history of public aid t private colleges notes the shift in
enrollment from private to public ins utions in the previous three decades,
and describes the'need for state aid. Institutional accountability and the
politics of state aid to priVate institutions arc discussed in light of the role
of coordinating agenc,ies as they operate in various states.

165
19th
 4
)114.

,
45 GOVERNANCE AND COORDINATION

' The conclusion contilips recommendations for the coordination,,.

necessary to implement effective higher education development, but at the
same time suggests that 'coordination be tempered by a sensitivity to
necessftry institutional freedoms traditions of self-govemment.

6:2.0/71-2
Coordinating Higher Education:for the ,1970's, LS,inan Glenny;
Robert 0. Berdahl, Ernest PAlola, and James Paltridge, 96 pp.
(Center for Research and Developmekt in Iligher Education',
Berkeley, Calif.).
This report was prepared as a "guide for political, and institutional
.
leaders, as well as coordinating boards and their staffs:" The report begins
with .arguments- for _coordinationrather- than*--govemancein-statewide
boards. This is followed by chapters that briefly discuss several topics and
theft offer guidelines for boards and their staffs to use in developing func-
. lions. Topics covered are: membership and organization of the board;
planning; Progratn review;budgeting, operating, and Capital;. data bases for
planning; oiministration of aid pnigrams;. and nonpublic higher education.
This guide has the advantages cOlibrevity and clarity, and the authors
offer specific suggestions in,,controversial areas: As a result, mosfprac-
titioners can find some things with ,which to disagree,. but a lot more with
which to agree. The booklet has probably been used as a guide to practice
more than any otheyingle publication., with the possible excepkion of D.
Kent Hal stead's Statewide Plantlin8.inlligher.Educazion.(_12:2.0/74).

02.0/.59-1
Autonomy of Public Colleges; Lyman blenny, 325 pp. (Mcdraw-
.

Hill Book New York).

This is the first comprehens treatment of statewide coordination,
and it has become a classic in t e field, Glenny offers an excellent discus-
sion of the development of 'coordination uP to 1957; and has chapters
dealing with ,be major functions of planning, policymaking, prograin
-and. budgeting., Glenny'eXamineS-the ten i66 between institu-
tional autonomy' and some form .of, effective stat coordination, and
ident lies procedures that are likely to strike a between them. This
boo was based on visits aastudies in 12 statec, and a major contribu-
ti n to higher education research.

6:2:0/59-2 4

The Campus and the State, Malcoltn Moos and Frances Rourke,
414 pp. (Johns Hopkins Press: Baltimore).
This is a detailed 'report' of the staff work done for the Milton
,
Eisenhower ComrniSsion, which produced *a much shorter summary report

111 166
 ,
USTEESH IP'

and retommendatiel,:flicietwy of Freedv. The ComMission was

establighed,10-'examine 4he. growth of .statz controls (some t:o state co-
.. ordinatifieand governing boards, but a majigtity as a result of t e budget
execs) over institutions of higher education. Opinions were obtained
from a wide spectrum of institutional administratprs, most of whom
deeriedthegrOwth of controls, ,proceduros,seit red tape.
The authors' major themes:, which are supported by the data. and
opinions they collected, are that freedom and autonomy of public institu-
tiois should be restored, and that controls and regulapions are. a major
deterrent to institutional effectiveness.:The--authors conclude ! that de- I'
centralization of authority at ea mpus to the maximum
m extent feasible
is.the best policy to folio

See -rt/s9,;;1;0/76 Ambiguity -and- Choice in-Organizations, James.March

and--J-6han Olsen, 408 pp. (2nd Ed. New York, Columbia University
---Tress.
12:1.1/75-1 FoimulAting Policy in Postsecondary Education, The
Search for Alternativs, John F. Hughes and Olive Mills.
12:1.2/76-2 The States and Higher Education: A Proud Past and a
Vital Futurand commenta%SuPplement, Carnegie Foundation for the
Advancement of Teaching. This volume contains an important discussion'
and recommendation about State-level governance arrangements.
12:1.2/71 The Capitol and the Cimpus: State Responsibilityfor Post-
secondary Education, Carnegie Commission on Higher Education.
12:2.6'474 Statewide Planning in Higher Education, D. Kent Halstedd.
15:1,2/77 State Budgeting for Nigher Education: The Political
Economy of the Process, Frank Schinidtlein and Lyman A. Glenny.
15:1.2776-3 State Budgeting for Higher Education: Interagency
Conflict and ConSen.sus, Lyman Apenny.

.TRUSTEESHIP

6:3.9/80
Rey'ommendations for improving Trustee Selection in Privipte
Colleges and Universities, and Recommendations for Improving
Trtstee -SeleCtiOn in Public Colleges, National Corninissign on
COlege and University Triistee Selection, 46 pp. and 52 pp.,
respectively. (Association of Governing Boards of Univer.sities and
Colleges, Washington, D.C.).
These companion volumes offer recommendations for the selection of
trustees in both public and private, institutions. The recommendationi are
designed so that in each case the persons selt!cted have the Ability and

167

201 f.
 GOVERNANCE AND COORDINATION

. , commitment, tqe necessary irviie Bence, and sufficient diversity and

balance to provale effective decisional' n7.
.. Sincermost private boards select a m rity of their own members, the
14' recommendations contained in the volume orr Private college. selection
are directed tat trustees thippelves. The recommenkations cover screening
f `a n d selection, orientation, length of service, eligibility for service, conflict
of interest, and the role of the alumni, ,.
The 18 recommendations for the selection of public trutgees, as-for
. trustees at private institutions; aredirected at the public officials who make
the selection4. These recommendations deal with such areas as nomination
and screening; appointment and confirmation., orientation; ex officio
members, residency and political affiliation, ancrlength of term.

See: 28:1.2/80-1 Handbook of College and University Trusteeship,

Richard T. Ingram -4nd Associates.
This is the definitiiie work on what college trustees need to know and
do. The purpose of the handbook is ". . . to offer a new synthesis of what
is now known about how governing boards function, how they. should
function and how they can be helped to fulfill their legal, moral, and public
obligations."
)
The 19 contributing authors cover topics silch as the sigttificance of '
trusteeship, board management; institutional oversight, resource develOp-
ment and management, -and performance assessment. They also include a.
section orOtrustee. self-study criteria, trustee audit, contlict-of-interest
rules, -and recommended
the chapters cover clearlfInd comprehensively all,of the functions
-that aboard should perform. The emphasis is on practical advice, and the
chapters contain a- number oruseful guides and checklists.= For eXample.-
JohnNason 's chapter on selecting a chief executive has sections on: setting
up the selection procedure; organizing The search committee; deciding on
the type of person wanted; developing a pool of candidates;screening,
interviewing and selecting candidates;,,and making the appointment. A
presidential search checklist is .included.. and .n final. section, The Silver
Lining," explains why it is all worthwhile.
° Although the authors deal with the problems 'of birth public and
private trustees, they write more from-pe pet-spective of the independent
. private board responsible for a single campus than from the perspective of
the public board, which isnot only jubject to a variety of state rules and
constraints but is Often fesptnisible for many Campuses.
A bibliographic essay 'for each chapter provides 'suggestions for
additional reading. "Resource" sections outline procedures for."Trustee
Audits," "Self -Study Criteria for Private Boartis," "Bylaws for Inde-
pendent Colleges,' ' and "Statement on Conflicts of Interest." This book is
' an essential refereneefor all trustees and for those who work with them.
.

168

202
 TRUSTEESHIP 8:3.0

22:.2/77 Trusteeship: Handbook for Community College and

See:.
Technicallustitute Tru,steeGeurge E. Pottei.
This comprehensive iharidboOk.for the trustees of community colleges
, covers the same general topics as the Handbook of College and University
Trusteeship (28:1.2/80-1); 9amely..preeldential selection. trustee role and
responsibilities, board organization, develoOniet vivifies, evaluation of
,institutional effectiveness, working with unions 'add collective bargaining,
. financial manageinent.and oversight; and legal issues and the 5e1e0ion.iif
an attorney. Howeverwhereas that volume' looks. at many sif those topics
from the perspective. of independent college. Potter's discussions reflect
,
the oVerWlielmimg, loeaknd .public nature of the 2-year college. Addi-
tionally, Potter addresses such special .corfceIrri; orl-year totloges.as
_working_with the_Community.and dealing with poical.action:
'
This volume should be required reading for 2-year college trustees,
and will be helpful also to those who work with them.

See: 32:2.0/80-3 Presidential Search: A Guide to the Process of

Selecting and Appointing College and University. Presiidentst, John W.
Nason.
As its title implies, this is a comprehensive guide to selecting a chief
executive. The author and Nancy Axelrod sent questionnaires about their
search processes to 450 institutions that had selected presidents during
1975-76 and 1976 -77. These actual procedures skillfully illustrate the
various steps' in selecting' a °president. The 'author presents checklists
covering each step of the proCess and practical advice on dealing with these
various. steps. This guide is invaluable fooany trustee wtlo must select a
new chief executive, a task faced by 300 to 400 institutions every year.

6:3.0/75
The Future of Trusteeship, the Role hnd Responsibilities'eCol-
.. lege and University Boards, John W. Nason, 52 pp. (Association
, of -Governing -Boards -,of. -Universities and_ Colleges, . Washington,
D.C.).
. John Nason is one of the most prolific writers on the role and func-
tions of trustees in America: He has a broad perspective of thtrustee's
role, as a Vassar trustee, and has been president of two* colleges
(Swathmore and Carleton).
This systematic, description of the functions Of the trulees and of the
lay board system in America .covers such topics as presidential search,
selection and evaluation, fundraising, setting of institutional. priorities,
organization tithe board. andraluation of institutions. It Was the best
comprehensive treatment of What taistees heed to know until the publica-
tion of the Handbook of College Trusteeship (see 6:3.0/80). in' which
169

2O3.
 GOVERNANCE AND COORDINATION

Nason also had a major part. Since both vo mes were designed to give a
comprehensive overview of the work of trtistees, Future of Trusteeship. has
'become more of an historical work. Rwever, as with all of his writing
the book is enhanced by Nason's cl 1r and direct prose style.

.,.

'4.0 POLITICS OF HIGHER EDUCATION

6:4.0/80
Politics of Higher Education, Edward R. Hines and Leif S.
Hartmark, 75 -pp. (American Association for Higher Education"
Washington, D.C.,.
This research'report (ERIC /Higher EducatiOri-RepOrt No. -7) -Cflripha--
sizes that higher education as a social institution isclosely entwined ivith.
the political process, of America's liberaNithocraey, thapthe relationship
is dynamic, and that socio/political relatiOnship.s are involved at the
national, state, and local levels of government. 't
A chapter on Federal' GOvernment relationships deal; with financial
suppOrt, government regulation, and lobbying activities, while a chapter
on state 'government relationships deals with statewide coordination,
accountability., institutional autonomy, budgeting, and interinstitutional
relationships. A chapter with a different, and sorinewhat discordant,
concern deals with the internal operation of a campus as a political system.
This same chapter reviews-the community college role in politics.

41/' 6:4.0/75
The Political -Terrain -of -American Postsecondary EducatiOn,
Clyde E. Blocker; Louis W. Bender, and S.' v: Martorana, 223 pp.
(Nova University, Fort Lauderdale, Ha.).
The separation of higher education, public and privatr:1 from the
poJilical system isone of the traditions of American society This separa-
.

-tion rests largely on the understanding that the contributions "of -higher
education- to society are essentially apolitical. Moreover, the search for
knowledge.and the dissemination of ,knowledge tre to be protected froM
external political manipulation.
The authors of this study argue that many factors encourageincreaseg
state and Federal concern with higher education. Theo-factors include the
Federal drive for research and manpower training, the egalitarian move to
broaden access to higher education, .the-.Changing roles and missions' of
institutions as they respond -to -Changing social circumstances, puNic.
concern with student activism in the 1960's, and institutional demands for
increased financial support. Conflicts between governments and institu-
tiOns are -identified as centefing on issues of:autonomy, academic freedom

170

'2 4 s.
 POLITICS OF HIGHER EDUCATION 6:4.0
°

and tenure, management of resources vs. essential processes of education,

and institutional diversity. , . .

: The discussion of the political environment of higher education pro-

vided in this study is at best somewhat sketchy. The authors attempt to
. identify those elements in society That affect higher educationthe power
brokers, the sources of political power, ana political tactics. This informa-
tion is elementary, and could be misleading at times.. A consideratipn of
internal institutional .politics acknowledges their existence without demon-
, strating their relevance to external, political events: Attention is given to
community-level polities,- state-lrel politics, Federal-level politics, and
the politics of nongovernmental orAnizations.
This study explqres an important subject but lacks an adequate con-
-- ceptual framework and, a factual base from=which to develop a general
understanding of the Ireletionship between higher eduihttion performance
and politida; action.

5.0 DESCRIPTIONS OF, COORDINATING AND

GOVERNING ARRANGEMENTS,,,

See: 12:4.1/A-7 State Postsecondary Education Profiles Handbook,

Nancy M. Berve, ed.
This annual profile Series provides thita on state structure~ aid related
enrollment and finance statisticskin higher education: The series is a joint
project of the Education Commission of the States, the National Center for
Higher Education Management Systems, and the State Higher Education
Executive Offices.
, Data for each of the 50 states are provided in three sections. The first
section provides descriptions of state-level organizations for higher educa-
tion, along with brief descriptions of their functions: Changes in these
functions can be identified by compaiirig-descripiions for successive years.
The second section contains statistical indicators-for,po_stsecondary edu-
cation, receipts and expenditures, tuition, average faculty saliies, nroll-
ments, measures of tax effort, and share of taxes used for higher education.
The third section lists reports and special studies from each state agency.
Future ,statistical infomiation will be provided in more detail in
Financing Higher Education in the Fifty States (see 5:6.6/S). The descrip-
tions 'of state structures will be ,updated periodically by the Education
Commission of the States (see 6:5:0/79),

171

20
 6 GOVERNANCE AND COORDINATION

6:5.0/80
The Study of Politics and Education: A Bibliographic Guide to
the Research Literature., Mule, H. Hastings, 291 pp. (ERIC
Clearinghouse on Educational Miinagement, University of Oregon,:
'Eugene).
This extensive bibliography is not'annotated, but all.authors and titles
are listed in thelelected volumes of contributed' papers. The bibliOgraphy
is organized into eight major sections and 47 subsections, and works are
cross-referenced when they deal with 'More than one topic.
The terns "politics" is defined broadly and therefore covers a wide
variety of subjects, such as policy, governance, finance, planning, and
management:Section One deals with the politics of education as a fie1d-Of
study; Section Two, with elementary and secondary education; Section
Three, with economic and fiscal studies; and Section. Four, with special-
ized topics such as vouchers, accountability and the politics of research.
Section Five 'deals with "the polities, governance, and finance of po'st-
secondary education," and over 170 items are listed in its nine subtopics.
Section Six contains general 'education literature; Section §even, general
works on politics and public policy and Section Eight, selected worldon
general government.
the bibliography is so broad and all inclusive that it does not focus
very sharply on the politiceof education, and only a small number of
'entries are really "research literature" as the title implies. _However, the
bibliography ddes provide a comprehensive nonselective startinepoint for
a review of the literature.

6:5.0/79
"Survey of the Structure of State Coordination or Governing
Boards," Higher Education in the States, Nancy M. Berve, 57 pp.
(EducatiOn Commission of the States, Denver,-Colo.).
This report provides, in tabular form, information about the organiza-
.tion and structure of all statewide coordinating or governing boards,, as
well as limited information about the multicampus andtinstitutlonal gov-
erning boards in each state. Items of information include: legal basis; type
of agency (governing or coordinating); appointing authority for chief
executive; legal responsibility for the functions of planning, budget
review, and program review; size.of board; method of Uppoiritment; and
types of membership.
This report provides a good overview of each state's higher education
structure asjof July I , 1979, and it can be compared with entries 6:5.0/72
and 6:5.0/60 to discover changes in structure over a 20-year period.

of 172
) 0 0;
as.
 DESCRIPTIONS OF COORDINATING
AND GOVERNING ARRANGEMENTS 84.0
6:5.0/75 .
,

'-The Changing Map of Postsecondary Education, Aims C.

McGuinness, Jr..,.T. Harry McKinney, and Richard M. Millard, 268
pp. (Education Commission of the,States, Denver, Colo.).
This is a Comprehensive report do the establishment of State Compre-
hensive Planning Agencies under Section 1202.of the Higher Education
Amendmenf)of 1972..The report contains three chapters plus appendike
of basic souike documents.
The first chapter, by Aims*McGinness, who helped draft the jeisla-
tion, is a detailed accotint of the development by the Congress ofthe idea
for comprehensive planning commissions. This chapter 1(o reviews
Office ofEdueation actions to implement (or delay the impternenlatioR
this section=of the legislation. _
,

-The second chapter, by T.yHarry MACinney, reviews the state re-

sponses to. the act. The third-chapter, by Weiard M. Millard, reviews the
problems and prospects growing out of dris first. Federal act to assist state
comprehensive planing and is recommended for 'the /average reader who
wants an overflew of the development of this legiSlat0n. For scholars
interested' in the origins, development, and state responses to this legisla-
tion, theintire report is a valuable' source,
4.)
etli,0/72
State Boards, Responsible for Higher Education, J. L.'Zwingle
and M. E. Rogers, 55 _Pp. (U.S. Government Printing Office,
Washington, DC.). .

This report is an update of the 1960 report by S..V. Martorana and E.

V. Hollis on state organization and structure for coordinating and gov-
erning higher education (see 6:5.0/60). State-by-state descriptions cover
not only state,wide boards, but also sector. multicampus, and individual
_boards. -Organiiatiorcharts are presented for each state. This world. is a
very useful basic reference on organization.

6:5.0/71 ,

Legal. Bases of Boards of Higheducation in Fifty States,

Robert L. Williams, 185 pp. (Council of State Governments,
Chicago).. ,

This repdrt is an update of the author's 1967 study, "Legal Bases of

Coordinating Boards o( Higher Education in Thirty-nine,, States." It starts
with a brief introduction and summary table, which tht author admits
oversimplifies the complex' relationships and functions of the beards.
These are followed by 50 state deOptions globe composition of-their
boards, along with their poigers and duties. The basic sources of informa-
tion were ttle statutes under, whicheach board operated) The report did not

173
 CrOVENANCE AND COORDINATION

identifij, any functions added by regulations, by practice, or by fiscal notes

on the budget act, which is a source of legislative direction to boards in
some states. Even Witt) these limitations, this is a useful source document
about the legal basis for statewide boards in 1971.

6:5.0/70
Coordination of Higher Education: An Annotated4 Bibliography.,
James Waitenbarger, 28 pp. (institute of Higher EduCation, Univer-
sity of Florida, Gainesville).
Thig work contains 110 briefly annotated items covering coordination
during the 1960as, a number of state reports, and a list of general articles,.
books, and special reports. It is recommended for persons interested in
reviewing the literature 011 state coordination prior to 1970.

6:5:0/60
State Boards Responsible for Higher Education, S: V. Martorani
and E. V. Hollis, 254 pp. ,(U.S. Government Priming Office,
Washington, D.C.).
This was ,the first comprehensive state-by-state, description of the
organization and boards resonsible for public higher education. The
report contains a general disCussion and analysis of higher education,
boards, followed by state-by-state descriptions of the organization and
structure for governing and coordinating public higher education. Since'
this volume appeared before most states had added coordinating boards; it
provides a useful picture of the administrative structure for big* educa-
tion before the major expansion of both higher education and coordinating
arrangements.

1.

174

ti 0 8
 Hist*

Frederick Rudolph

6
The history of educatiOn attempts to under;tand the past and, in
doing so, sometimes succeeds in Clarifying the present and guiding
us to the future. Since education itself 'is subject to varying. defitiii
Lions,,, it might be useful to note that the selection of bibjiographic
entries for this topic has been guided by two definitions:of education
. that have received wide acceptance among historians of education.

One, offered by Bernard Bailyn: in Education in the Foaming of

American Society (1960), describes education not only as formal,
pedagogy but as the entire process by which a culturetransmits itself
across the generations." Lawrence A. Cremin refined this historical
focus in the first volume of his projected multivolume history of
American educatiOn,.Amenican Education: The Colonial Experience
1607-1783 (1970). In it, Cremin defines education as '"the deliber
ate, systemativand sustained effort t o t ransmit or evoke knowledge,
attitudes, (talues, skills, and sensibilities." Cremiri narrows BailynN
definition by emphasizing structured and purposeful edtication,
.rather than accidental, implicit, and tangential educational experi-
ence.
Sinc.elhe urpose of this bibliography is to serve the needs of
higher education n .planners and administrators,. the selection of entries
ert ,

175
7 HISTORY

has been ma* without slavish adherence to either the Bailyn of

Cremin definition, A comprehensive bibliography of" educational
history 'would include, for instance, works on' the-history of radio, ra

the press, and Hollywood, an understanding of which might help

college and university administrators to understand better the chal-
lenges of their own jobs. However, such works have been excluded
from this chapter in favor of selei:tions that instruct on what colleges
and universities have done, how they have fared, and with what
consequences. .

General. This section includes those booki. that provide a

general understanding of historical developments over an extended
period of time, as well as monographs focused on a general topic.
Institutional Histories. Every year; a great number of colleges
and universities reach significant birthdays.' Often tRe cerebration
calls for a history of the institution. Even though ventures of this son
may serve the needs of the sponsoring colleges, few are likely to be'
compellingly ins'tructi've to those on the outside. Selections in this
section represent hibtoriCal explorations of the first order that make
signifi'cant contributions 'to an understanding of the entire national
explience with higher educatipn. ,:
Admissions, 'Articulation, Secondary Schoolik The rela-
do' nship between the Schools and the colleges is vital to the health of
both. The articulation between them .has ,often been clumsy, and
awareness Of the other's particular heeds and functions has some-
times been lacking.SelectionS here represent not only works on the
process of selecting students from the secondary school pool, but
also important historical studies on education in the.schools.
A Students. Although often ,neglected and little understood as
creative innovators in higher education, students erupted in the
1960's and 1970's into academic consciousness in most dramatic
ways. They also beCame the subject of historical study, as'reported
in several volumes in this section.
Curriculum. The historical literature of highCr education does
not yet includean account of,the careers of the liberal arts subjects,
as well as others, that illustrate how the major
developed, how they were modified by social and intellectual
change, how they were taught, and how they were experienced on
the campuses. In the' meantime, the territory is being surveyed and
groundwork is being laid.
Biography and Autobiography. .Biographies and autobiog-,
raphic-S,-though -not -Sul-day- history as -it- is taught in-the graduate
I'M
 V
41*

a,
GJNERAL 1111.11

if
schools, nonetheless are, history in that they capture significant
motnents, make intuitive judgments,ed provide the whole fabric of
higher education with a sense of human involvement. Mgn and
womee wrestling with the problems and challenge's of their day,
either as the subjeCt of biography or in their own mature recollee-
.
tions, are histoiy alive.
Learning and Scholarship. High* education is an,''arena"
where .ideas are at work, where s deed, ideas are one of its
products. The role of colleges an niversities in supporting and
shaping the intellectual life of the country is aft area of historical
study that is ripe for growth.;
-Among- the selections assigned to 'the various categories of this
topic, there are .no .contemporary documents-cif-collections of docu-
ments. Although such materials may be of historical importance or
potentially, significant for the work of future historians, they are not
yet 'history. Else'wl;ere ill this, bibliography- are the documents from
which history will be written in the future.

TOPIC ORGANIZATION
History of Education
1.0' General
2.0 Institutional Histories
3.0 Admissions, Articulation, Secondary. Schooling.
4.0 Students
5.0 Curriculum
6.0 Biography and Autobiography
7.0 Learning and Scholarship
A

1.0 GENERAL

1:1.0/81
The University Library in the United States: ItsOrigins and a

Development, Arthur T. Hamlin,, 271 pp. (University of Pennsyl-

vania Press, Philadelphia).
The library is today accepted as such a ntral fixture in higher educa-
tion institutions that it is ,possible to argue Convincingly that- only in
marginal colleges and.universities is the chapel or the athletic field more
important. This informal, chatty history makes clear that, until recently,
this vIas not so; it also constitutes, tesome extent, the memoirs of a veteran

177

211
 i

7 HISTORY
11.

university librarian and an anecdotal chronicle of the rise of the research

0 library in the approximately 150 universities in the United States with
professional schoolk.
Arthur Hamlin's history is full of surprises and of reminders of what
. we knewor_sfiould have known: early college libraries were not intended
for students but' for professors and tutors if they were so inclined; the first
college libraries built'as such appear:cod in the early 1840's at the University .

df South CarOliria,, Harvard, Yale, and Williams; student literary society

libraries surpassed in breadth and size the holdings of their colleg.es brad
mid-century; not until 1861 did Harvard have a card catalogue available to
persons other than its staff.
Theemergence.of the American university in -the -years after the Civil
War, the development of academic professionals, and the creation of a
whole new work' of American scholarship led to the creation of the uni-
ve9ity library as the heart of the university enterprise. In 14 chapters, 5
chronological.and 9 topical, Hamlin traces'lhe hiStory;Of the' American--
- academic library from the few books with which Harvard began to the

: present, when a university library may routinely-acquire 200,000 volumes

annually. Th., topical chapters dell--witOuilding collections, 'financial
'support, buildings, service, cooperation among libraries, cataloguing, and
Other matters, all treated historically.
The year 1876 was a signal year for the university library: the
American Library Association was founded, the Library Journal was fiist
issued, and Cutler's Rules for a. Dictionary Catalogue was published, as .

was the outline of Melvil Dewey's decimal system. From that time,on, it
.sas simply a matter of bigger and better: udder Justin Winsor, Harvard
pioneered .with a reserve book system and student access to stacks;
Columbia, under Dewey, organized the first reference department, and,
under James H. Canfield, created an undergraduate library separate from
the university research library. Yet not until after World War II, as Hardin
tells it, .did the American university library arrive at established profes-
sional procedures, direction, and administration. -And since then, the
research library, under the impact of new tecinfologies, has been learning
to live with oral history, dial access, networcking, and microprints. Some
problems, however, are beyond solution: "Few libraries," he notes,
"would be so naive as to put bound copies of Playboy on the open shelf." .

7:1.0/80
American EducatiO he National Experience 17831876,
LaWrence A. Cremin, 6t), pp. (Harper & ROw, New York).
In this second volume lf his projected three-volume history of Amer-
ican education, Lawrence Cremin covers the years between the founding of
the Republic and the centennial. His focus is on the creation of an
American style in education, defined, as in the earlier volume, to include
178

212
 AG EN BM 7t1.0

those agencies'iformal and informal, that have shaped ':American thought,

character, and sensibility." For the years under study, hetiefines'that styli
as a compoymkofa evangelical religion, popular aspirations, and utili
tarianism. ,

Cremin gives 'higher education even less coverage than in his volume
for.theearliet period, apparently on the grounds that the great expansion in
educational enterprie during these years did not, mean a significant in-
.
crease in college enrollments. He does, however, place highereducation in
appropriate Context. :And if the nineteenth century does not lend itself as
readily as the colonial period to a self-sufficient history. of Anierican
society and culture, there is much 'here that enlarges brid clarifies the
meaning of education as 4 social process. The author gives attention to the
various schemes of educational organization proposed by Rush and others,
institu:ional chafiges, the Dartmouth College case, curricular movements,
and professional careers. Approximately 5 pages of the 72 -page bibli-
e
ography cover 'higher education:
The relative weight given to higher education in the first two volumes'
of Cremin's history should not turn those concerned with..coLleges and
universities away from a Work that monumental in its intent and likely to
become classic in its field. These volumes provide a balance and a sense of
context that are often denied to myopic inhabitants of academia.

gee: 32;2.0/80-4 Presidenth4 Prokspors and Trustees, W. U. Cowley

(DonalcJ. Williams; Jr., ed.). :
W. It Cowley, who died in 1978, had a distinguished career in higher ."
education that included the presidency of Hamilton College and, the first
incumbency of the D4vid Jacks Professorship of Higher Edircation at
Stanford. The three books on the hifory of higher education' on which'
Cowley was forever at work Were experienced as preliminary drafts by his
students at Stanford, but none wete completed during his lifetime. This
history of academic gOvernment was prepared for publication by Donald J.
-Williams; Jr., one of his formergraduite students. w

In this book, Cowley digresses, reminisces, inspires, and occasionally

scolds. And if the book suffers from being so long in incubation;* none-
theless expertly clarifies the relationships and responsibilities 'that consti-
tute the fabric of academic government. Cowley understood and respected
the civilizing function of institutions, and civilly enjoyid the opportunity
,; this book gave him to dispel the myths that he recognized is getting in the
way of felicitous and effective governance.
The myths that receive his attention include the belief in a golden age
in which faculties once operated colleges and universities as free republics
of scholars, the notion that lay trustees and presidents are American inven-
tions that intruded upon unspoiled faculty territory, the assertion that'
faculties are essentially poswerlefs and disenfranchised victims of trustee-

179

21
 HISTORY

presidential authority, andthe idea that student and alumni.voice and

power inacademic governance are of recent, origin.
wley's first six chapters subject these myths to the scrutiny of a
s Kolar who goes back to the continental and British originsof American
p ices, and then delineates the American experience with the power and
authority of presidents, professors, trustees, and others. In the next three
chapters he shoivs how these central and ,responsible elements of gov-
ernance have been influenced itt their decisions, by accrediting bodies,
learned societies, individual benefactors, philanthropic foundations, and
government, A concluding chapter on "Conflict and Interdependence in
Academic Government" is a plea for acceptance and understanding of the
central importance, for professors and their. work, of the institutional
framework and cooperative communities that sustain.them.
If there is a target of Cowley's analyses it is narrow, exclusive faculty
-governance: authority vested in the professors at the expense of presideh-
.
tial effectiveness and lay responsibility. One of the pervasive and well-
documented themes of the book is the danger to institutions of higher.
PS

learning of strong faculty government:, X-icorollary theme suggests that

weak. presidents have not generally meant strong faCulties, but rather
strong governing boards.
The subtleties and complexities of 'Institutional life often escape
Cowl ; his experience often misguides his generalizations -=every place
is no Dartmou , Hamilton, and Stanford, nor are the influences at work
in one c exac the same in the next. Even so, presidents; professors,
and,pustees alike hould be aware, of the cautions that Cowley has
surmhoned from hist ry.They neednot be guidedby them, but they should *
surely know.aboUt the

7:1.0/78
"The American College in the Nineteenth
Nineteenth Century: Toward a
Reapptaisal,' James McLachlan;
9
College Record, Vol.
-80, pp. 287-306: 1/4)

. .

This brief .essay is. judicious and imaginative, and it speaks with the
authority cif a scholar who is moving the historyof American higher
education in new directions and.toward not - yet - attainable new synthesis.
In it, James McLachlan,.a biographer of Princeton alumni and a historian
of boarding Schodla and ''q' college life, assesses "where a
generation Of renewed :attention to the history of American education"
lewieS us with respect to an historical understanding of the, evelopment of
krrgher ednko(iOn: .He. attempts "an overview of the whole field by dis-
cussing; titi the prevailing conventional wisdom ,concerning the history
of 'the nineteenth-century American college and university: second, recent
"Studies that sugge4 the revision of theaccepted account; and last, some
modest propoSais concerning future research in the field;"
t
I 80

2144
 a.
GENERAL Mt.
'Confessing that the higtorian of education can now deal on' with
"fragments of an as yet unknown whole," in the absence of any acceptable,
-synthesis of American history 'into which the history of higher edit' ation
can be placed, he draws attention to fragments of understanding that c
de
expected to inform future studies. Among them are the role of "do ble
vision" in shaping the early colleges as advance agents of civili3t on,
even as they were required4o be responsive to barbaric tendedcies in he
developing national culture. Another is the development, by 1900, of "t4aro.
stnicturetof collegiate. education": one. cosmopolitan, professional, a d
secular in orientation, defined by university aspirations, lacking local
narrow attachments and intentions; the other local, catering to specifi
clienteles determinedby such qualities as sex, rate, ethnicity, religion, and
geography; and lacking the profesoional; sevular,-andcosinopolitan quali=
ties of the other.
Ncl.-achlarri "modest proposals" suggest hOw much yet needs tu tie
done before a satisfactory new synthegiS can be jeached, but his work gives
clear evidence a he at least is op the right track. He would have a new
generation of scholar move us beyond the informed guessing with which.
we have generalized about college founding in the* nineteenth century and
get down to the business of finding out exactly what colleges were 11.

founded, for what ptirpose, where, and for how long. He would direct the
energies of others to recapturing the nuances and directions of student life,
and still others to studying the college man, .and woman in action--uthe
-graduates, the products, the very justification for the whole academic
enterprise.

7:1.0/76-1
Mars and Minerva: World Walk I and the Uses of the Higher
Learning in America, Carol S. Gruber, 293 pp. (Louisiana State
University Press, Baton Rouge). . ;

. This. study 'of the behavior of the academic community during World
War I, in Carol Gruber's'words, is concerned With "the impact of the war
as a crisis situation thin brought lo the surface key problems of defining the
naturi, function, and social value of higher learning in America."' Her
history explores "the consequences antimimplications of prtifessors' be- '.
coming .servants of the state in their role as public propagandists, in their
response to wartime threats to academic freecim, and in their cooperation
with the military assault on the autonomy of the campus."
Based on research in publie.tecords as well as major manuscript
collections in university 'and government aichives, this book finds the
'professors at best guilty of compromising their professional ideals; at worst
of "mental - corruption." In Grubers view, the eagerness 'with which
academicians engaged in propaganda, assisted in campaigns against (he
fothign language press, lent their reputations to IV authentication of forged

181

215
 7 HISTORY

documents, and overstated German atrocities is as much. a.,part of the

problem as are their actions. What, was missing from academic behavior
Ika; an unimpassioned disinterestedness, a cool skepticism, a critical
stance, a regard for principle. But civilization was at stake, and the
professors* not want to be found wanting.
The fledgling Arnericdri Association of University ,Professors, instead
of appointing a watchdog com lute on the threats of war to the profes- r
. sion, appointed one.to study ys WI which profeisOrs might best serve the
needswf the state. Acaitemic reedom suffered. And on October I, 1418,
on 516 university and college campuseh the) War Departmentin the
of -lived Students' Army Training Corps-I-drbjected higher educitionlin
113

v the United Sthtes to a startling expurjehce with the completely militarized

(

institution.
:A r Cf.
Gruber describe s how all this happened, explains why, and in the
process makes clear that, in times gone mad, colleges and universities are
not nec.eSsarily repositories of sane and human values. She believes that
'because The American uniVeriity had just recently emerged 4 a "service"
1
institution, 14 he professors. then lacking a "collective consciousness
'solidarity,," were'unaware of the difference between srerving.the society in
peacetime and the state in wartime. There is evidence, .too,o support her
conclusion that the war gave bath professor and university an opportumty .

to "escape from alienation" and "lay 'the ghoit of ivory-towerism that

haunted them." Whether the subsequent strengthening Of .professional
consciousness ancrautho'rity would make any difference was, of course,
l! ysted by the experiences of higher education in World War 11, a subject on
vArch Gruber is at work;
.
7:1.0/76 -2
. The Revolutionary. College: American Presbyterian Higher..
Education, 007407, Howard Miller, 381 pp; fNew York
University Press, NewYork). .
This book demonsgatis how, far the,writing of the history of Ameri-
can higher education' this come from those bleak parochial histories that
seldom even entertained:the graditateilloward Miller takes an entire
constellation (If institutionsthe seven Presbyterian college' and
academies of thi Colonial periodand shows.how Presbyterian "views of
the good society, politicsand religion", shaped the institutions and how
the colleges in turn influenced ,the Church, He achieves % successful inte-
gration of religious and educational history.
Because of the Chdrch's hierachical organization and its commitment.
to 'centr authority, the Presbyterian institutions shared a common ex-
perie ackingAn the dongregational colleges founded in New England
and elsewhere byVale graduates.On the other hand, Princeton and the six
institutions
o
founded by its graduates,lerid theinselves admirably to, the kind

182

1.6
 GENERAL 7r1.0

" of analysis likely to deliver informative generalizations. The six other

institutions: whose records, along with Princeton's and those of the
Church, were basic to Dr. Miller's research ale: Hampden-Sydney, Liberty
'Hall Academy (Washington and Lee College), Dickinson, Washington
Academy and Canonsburg Acadethy (Washington and Jefferson College), .
rrd Transylvania Seminacy.
Miller divides his hislory into three periods: Religious Reform (1707.-
7759, Revolution (1775.-1795), and Early Republic (1795-1820). In the
first period, both Church and college joined forces to establish a Christian,
Comnionwealth, bending curriculum, the classics, and philoliphy to this
, optimistic pdrpose. Stagnation and decline overtook the
institutions toward
the end of the period, which was followed by the unsettled Revolutionary
era wohen students and administrators,struggled for authority. By .1800 the /
colleges had become bastions of orthodoxy, fiercely denominational. The
organic view 'of 'society that had once informed their hope of bringing
'''society under their sway was abandoned. The expectation that.the colleges
and the Chyrch in coo' peratiOn might establish' a moral community gave
way to asesolution to compete as aggressively as posiible with all those
other churches and colleges.that somehow were laying claim to the right to
bring heaven . to earth. What had bgn a grand religious design was
becoming a struggle for survival.

7:1.0/75
A Bibliographic Guide to American Colleges and Universities: .
From Colonial Thu* tothe Present, March Beach, ed., 314 pp. '
(Greenwood Press, Westport,Conn.).
This bibliographic guide, although it has shortcomings, does fill a
need, and it may be supposed that subsequent editions will make it more
complete and therefore more reliable. The editor has compiled 2,806
entries that, with the exception of a few general titles for each of the 50
states, pertain to ;specific institutions.
Books, articles, and dissertations on subjects that pertain to higher
education but that are not limited' to specific institutions are generally
excluded from this guide. On the other hand, the guide provides a ready
referelice to institutional history. The listing of institutions, by state,
follows the same order as that used in other standard guides. For each
institution, the citations are listed alphabetically and uncritically, except
for the first, which is the editor's choice of the most important work on the
subjectperhaps the most comprehensive work or the most scholarly or
most recent, but not necessarily all three.
No allowance is made for cross-references, and thus a book that deals
in depth with five institutions (George E. Peterson, The New E'thfland
College in the Age of the University) appears only under 'Amherst. Bliss
Perry's And Gladly Teach, which is as much about growing up on the
183

1. ;
217
 0

.7 .1.1ISTORY

Williamscampus and teaching there as it is about his Harvard clireer:, is

liSted only under Harvard. And there are significant omissions.
But this is a bibliographical Neginning that deserves to be encouraged;
developed, and refined. is imaginative in its inclusion of autobiograph-
ical and biographical materials.(The- AutobiOgraphy of Lincoln Steffens for
the University of California, Berkeley), and it is not limited to existing
.
institutions. The editoris probably more unerring in his choice of the most
important book 'for each institution than in, his selections of the other
important works that should be lied. As is the case for most bibliog-
raphies, however, use and editorial refinement will improve it.

7:1.0/74-1
PrrspeCtives on ihe. History- of Women's.' Education in the,
United States," Jill Conway, Historypf Education Quarterly, Vol.,
14, pp. 1-12.. .
This essay, written before Jill Conway became the president of Smith
College, provides a thoughtful and prwiocative overview and recon-
sideration of assumptionegarding" the ex{p; .rience of American women
with higher education. Conway questions Whether, coeducation was a
_'`liberating experience for American women: ands, wheOr access to
professional education really made ..women sOCially and professionally
equal with maps. .

x'`
Early.thcorists of women's educaiton, such as Franklin and Rosh,
_ .

took a bio ,teal view ot women us not being made for the liberating,
dyrinmic, cr arive experieifeetfor which the American male wa,sdestined.._
Early- in th nineteenth eitibiy, domesticity trxrk form as the appropriate
role for -womear- who were expected to function as constienceand-moral
caretaker, compensating for and tidying up a world made by men. Conway
argues that Ole early coeducational colleges advanced the same kompen-
satory philosophy. At Oberlin, womenistudents laundered the clothes of
, men studehts on MondaY.s.,' and everywhere itwas believed thatd woman
of. conscience__ was _good for .a man. 'The coeducational colleges -did not-
encourage women to break loose and assert their independence, to be
openly and fully human. That opportunity Was first Provided by the
struggle with which number of bold women, such as the Grirnke sisters,
asserted themselves in tile anti-slavery movement.
Not until the founding and development of the new Eastern women's
colleges after the Civil War was there a collegiate environment that sup,-
ported "a collective female life . a'trajning for The mind that was not

derivative." One result, in the 4890.s,. was' a generation of women re-,

formers so liberated by their college experience that they were unfit for
aniventional marriage. In fact, approxithately 60 to 70 percent of the first
generation of graduates of women's colleges remained single.

184

218
 GENERAL 71.0
Regardless °Nile- liberating .impulse of the women's colleges,
however sex development
.the scicalkd "women's service professions" and resting on theii-a itiottal "
notion of a "nurturing female temperament." The_ women's. professions,
Con4t concludes, channelled women's intellectual_ energies into
"perpetuating women's service role," thus denying. to,women the liber-
-2ting, independent, zestful,. intellectually adventuresome opportunities
available to men. What matters, she says, is not whether women have
access to education but whether that education raises their consciousness as
intellects.

7:1.0/74-2
The G.I. Bill,-the Veterans, and 'the Colieges, Keith-VV.- Olson,
139 pp. (University'Press of Kentucky, Lexington).
Begun as a project funded by the -U.S. Office of Education, this
account of the origins, operation, and results of Title Two of the Service-
man's Readjustment Act of 1944 plates the so-called "G.I. Bill" firmly.
within the grasp of history. Over 2 million World War 11 veterans went to
college under the benefits o*at act, which was inspired by concern about ,
the postwar economy and, the behavior of a posiille mass of discontented
unemployed
At the time the bill was enacted, the potential of its provisidns were
not anticipated. It was opposed by the Veterans of Foreign Wars, who
feared that so geneious a bill would jeopardize benefits for the disabled.
Hutchins of. Chicago and Conant of Harvard opposed it as inviting an
unwelcome'and demoralizing lowering of academic standards. Neither the
Administration nor. the American Council on Education was the driving
force behind its creation; that role was played by the American Legion,
which iound,politically attractive the idea of an omnibus bill covering a
wide range of benefits, including provisions for mortgages and unemploy-
ment. The educational benefits covered fees, tuition, books up to $500 a
year, and a monthly subsistence payment of $65 for, single and $90 for
married veterans. Ninety days of service entitled each veteran to a year's
study; in addition, cacti month of service qualified a veteran for another
month of education.
The educational program of the G.Y. Bill was a 'model of public-
private. cooperation: the Veterans Administration certified the veteran's
eligibility, the veteran applied to any accredited institution, and the institu-
tion evaluated and either admitted or rejected the applicant. There was no
Federal condo' or supervision. Over 2,000 institutions 'experienced that
heady moment, 1945-1950: when the campuses weredominated by young
men who were graduates of depression and war before they graduates
of college.
185

219
9
 0

7,, . !HISTORY

The author uses the University of Wisconsin as a case study of the

impact of the G.I. Bill on higher education, but his study is fleshed out by
evidence from elsewhere and by tables that spell out the dimensions of the
phenomenon. Some of the unexpected consequences of the act i.vere: the
appearance of great numbers of married students; the remarkable institu-
tional growth that it helped to underwrite; the achievement and Maturity of
what were-soon recognized as "the best college students ever";- the be-
ginnings of significant selectivity in admissions baseq on ability; and the
necessity on. the part of the colleges, confronted With ,overwhelming
numbers, to operate with smaller faculties and bigger ,lasses. The author
concludes that the impact on curriculum was negligible.

7:1.0/74-3
The Academic Melting Pot: Catholics and Jews in American
Higher Education, Stephen Steinberg, 183 pp. (McGraw-Hill
Book Co., New York).
What happened when two disIthiilar immigrant religious grodps
Jeys (high literacy rate, drawn from industrial environments) and
Catholics (low literacy rate, recruited from the European peasantry)were
confronted With an American educationaLsystem defined by and for
Protestant upper-middle-class native Americans? This question is among
those answered in this report prepared for the Carnegie Commission on
American Higher Education. The report is part history and part analysis of
a -1969 Carnegie survey on faculty and studeht opinion. In its entiketi, it is
a thoroughly informed and imaginative monograph that deserved the
doctorate.from Berkeley that it earned its author.,
The report is divided into three sectionsa historical section dealing
with the experience of Jews and Catholics with American schools grid
colleges in the lite nineteenth and early twentieth centuries; a iectiori` on
theories that attempt to explain the cultural and social differences and
achieVements of immigrant groups; and a section- on religious trends
fecting enrollments, choice of fields of study, and degrees of religious
commitment in contemporary higher education. A concluding chapttx
assesses "The Fact and Fallacy of 'Jewish Intellectualism' and 'Catholic
Anti-Intellectualism'."
The hIstorjcal section deals with what the author rightly calls the
"de:Protestanization of higher education." the first chapter is a detailed
study of how Harvard in 1920, still controlled. by "a complacent ruling
class living off pagtachievements," met the challenge of a- "class of
talented upstarts . resented all the more because . .,JeWish." The
. . .

almost 2() percent Jewish enrollnient at Harvard in 1920 provoked a

response that revealed the conflict between "the status interests and the
educational functions of the elite colleges."

186

2,2 0
 GENERAL 7:1.0

Catholics' early preference for their own colleges and universities

'meant that, by the time they chose to invade the old collegei (essentially
since World War 11), they presented no .challenge: by then. Amerilan
Cathof lics had accommodated themselves to the secular focus of American
life,' and the elite colleges and universities themselves -had been accul%
,Thrated to diversity by serious, coMpetitive, scholarly Jewish studentstho
simply could no longer be kept out.
Thirty-seven tables graphically support all three sections of the study,
including the conclusion that "religion and scholarship tend to be incom-
patible:" There are as vt no definitive answers to the questions that probe
the relatiLe importance of cultural-baggage and social class in defining the
experience of immigrant JeWs and Catholics and their descendants, with
American higher education. But there is no question about whether that
=experience brought to_an end the once_"Protestant and elitist character of
higher education" in the United States. The consequences of this develop.
ment are being spelled out in colleges and universities all across the
country, but thus far their meaning and significance remain obscure.

C.

7:1.0/74-4
"The NeW Puritanism: Values. and Goal, of Freedmen's Educa-
tion in America," James M. McPherson, in The University in . 9
f
Society, Lawrence Stone, ed.,11, pp. 611-642 (Princeton University
Press, Princeton, N.J. ). °
James`McPherson's is an authoritarive, persuasive, scholarly account
of the directions that white-dominated education for blacks took in- the
century, after the Civil War. The so-called "missionalS, era" *of, black
Oigher education came to an end between 1900 and World War 1, but its
influences lingered on long after, 'as- Ralph Ellison vividly portrayed in
Invisible Man.
McPherson focuses on the experience of. 29 colleges created in the
'South expressly' for the freedmen and supported in signifort fashion by
. Protestant missionary and educational societies. He
finds them over-
whelmingly devoted to the inculcation of nriddle- class "puritanical
values," advanced by a combination of missionary piety and paternalism:
The values that found expression in the curricular arrangements and institu-
tional style of those colleges were the same that were ding -white
colleges In the North; but for the 'rime; that might not have 'been an ap-.
propriate direction for institutions helping liberated slaves lay claim to their
identities and define their aspirations.
The "New Puritanism" appeared, according to the author's inves-.
. tigations, in three guises guilt and conscience, piety and repression,
and
the work ethic. All three worked wonderk in giving-the missionary
educators a controlling authority in supervising and advancing the accul-

187

22, 1
 HISTOVY

turation of the freedmen. The myopic focus on acculturation, however, so

neglected the contribution to and enrichment of American culture bylblack
culture (hat the missionary colleges in fact created a ',Jack bourgeoisie with.
an unztable identity and 'a weak sense of the folk cultutV.that was their
SPecial inheritance.

7:1.0/73
The Separation of College and State: Colnmbia, .bartmouth,
Harvard, and Yale, 1776.1876, John S. Whitehead, 262 pp. (Yale
Utliversity Press, New Haven, Conn.).
This book eXamines'the relations between colleges and state govern-
ments. during the first century of American independence, in an era char-
acterized by provincial colleges and a weak and reluctant Federal presence
in higher education. Drawing on the experience. of Columbia, Dartmouth
Harvard, and Yale, the author dehionstrates the closeness of ties between
college and state during the first four decades of the period under study,
including state representation on,college governing boards and significant
financial 'support. The clear distinction between private and public did not
exist until mid-century, after the Dartmouth College, Case; poptilar hostility
to all higher education and institutionni'acqniescence in a declining state
role defined a neWarelationship. That acquiescence was made possible by
the development of an assertive alumni 'movement on which the colleges
learned to rely as they had once relied on the state.
This study is sound and well-researched with regard to such matters as
state suirport and control and the conflicting purpose of public and private
institutions. Whitehead majies abundantly clear that, for a very long time,
it generally understo& that. all colleges chartered by the state served
society by fulfilling a public purpose, and that a reciprocal relationship
bptween state and college supported that purpose. And even as these four.
old colonial colleges underwent the experience 'of separation and achieved
it by the centennial of the Republic, their "independence" and stattis as
"private...institutions did not abrogate theiepublic purpOse norseiiminate
goyernmentilocal, state, and Federalas a presence in the life of higher
education* book such as this one puts complexity backinto our under-
standing of phenomena and relationships that have been simplified by
rhetoric in the service of speCial causes.

7:1.0/72 _

Congress and 'Higher Education In the Nineteenth Ceti

George N. Rainsford, 156 pp. (University of Tennessee Press,
Knoxville).
This book provides a brief but illuminating account of the Federal role
in the support of higher education in the nineteenth century. George
Rainsford ---a graduate of the Yale
:,
Law School, holder of a doctorate in
168

222
 GENERAL 761.0

history from Stanford, and president' of Kalamazoo Collegetackles a

subject last given a reasonably thorough treatment by Frank W. blackmar
in 1890 (The History of Federal and State Aid to Higher; Education in the
United States). This is a Subject that can only 'grim' in impprtance, and
'Rainsford's contribution is to provide educators and government 'officials
-with a sound sense of the American experience with' Federal assistance to
higher education.
In nine clearly written and closely argued chapters, Rainsford de-
.
scribes the colonial policies that supported the. provincial colleges, con-
siders the failed efforts in' the early national period create a national
- .
university,, and illuminates the arious ways in which ongress fell into
using Federal 'lands and moneys to support higher edu tion. TwO ap-
pendixesa list of ?major educational enactments and an accounting of
Federal land grants for higher education raild a. bibliography enhance the
value of this usefill little book.
.
After' establishing what the congressional record of assistance to
higher education was( "the objectives of the legislation enacted, 'the kinds
of educational programs assisted or established, the recipients or bene-
ficiaries of federal gants, the conditionS of the grants, and the resources' .
a
gianted"), Rainsford asks what it all means. And here he may have smile
, surprises for both legislators and educators: Federal support for higher
education was only incidentally concerned with`educatIOn, and while "it is.
difficult to,deterrnine what caused the passage" of any particular legisla
tion, the educational trust . was. to 'broaden educational oppor-
tunity. He .concludes that expirience proves that !'federal assistance does
not necessarily establish federal control"' and that "Congress is more
likely to pass, and the-president to Sign, legislation if federal aid is tied to,..
or, Combined with'.' noncontroversial social objectives. In the past, as he
deinonstrates, these objectives have been as diverse as facilitating the sale
of public land, aiding in the settlement of new states, cementing the
internal unity of.the Republican Party, and responding to the demands of
4
such powerful special interest groups as the farmer.

7:1.0/70
Ainerican Education: The Colonial Experience, .1607-1783,
'Lawrence A. Ciemin, 688 pp. (Harper & Row, New York);
Somewhat more than one tenth of this book is devoted exclusively to
higher education, but -that is exactly what the author would,argue is a
prOportion appropriate to a sound understanding of the relationship
between the colonial colleges and the entire structure and experience of
education 'in colonial America. The author is a distingughed historian of
education and the president of Teachers College, Colunibia University.
This volume, the first of a projected three-volume history of American
education, was sponsored jointly by the -American Historical Association
189

223
.
 7 FUSTOR Y..

and the U.S. Office of Education and was funded by the Carnegie Corpora,
tion. The volume begins with the transit of civilization from the Old World
to the New and concludes with independence and ThomaS Jefferson's
efforts to define a new systeni of education for i'democratic republic.
Cremin defines education as "the deliberate, systettatic, and sus-
tained effort to transmit or,evoke knowledge, attitudes, values, skills and
sensibilities: In line with his definition, he has written, essentially, a
hist9ry of American culture from 1607 to 1783, skillfully placing educa-
tional institutitins, ineinding the colleges, in a context that includes family;
church, publAing, agricultural. fairs, newspapers, and other agencies,
fomial and informal, that have shaped "American thought, Chafacter, and
sensibility." Ile is concerned with religiOn, demography, and science as
they impinged on the school, its methods,and its processe;s, as well as with
the relationship between education and national character. Eighteen
chapters diVided between the 1607-1689 and 1689-1783 periods constitute-
a book that may provide as fine "a way as there is of understanding 'colonial
America:- .

One chapter placeS the colleges of the early period in a context of the
.England that was left kehincl and the provincial society that sustained them.
In the later period, higher education is discussed in relation to religion,
curricular concern with utility and careers, colonial political life, and the
relationship of the colleges' to other social institutions. A 92-page biblio-
graphica essay, of which 15 page's are devoted to higher, education, is a'
special feature.' /
7:1.0/69 _

The Education of American Leaders: Comparative Contriba-

tions of U.S. Colleges and Universities; GeOrge W. Pierson, 261
pp. (Praeger Publishers, New Yogic):
This research monograph, begun as an inquiry into how well alit
graduates did in "life," ikas for some, years a hobby of George Pierso s,
carried on while his scholarly attention was focused on explaining
-American culture and preparing-his definitive histories of nineteenth and
twentieth century Yale. When the monograph appeared in. J969, it had
grown into a large undertaking, replete with tables, broad statistical
samplings, and comparative numerical evaluations. It addressed the ques-
tion: Which colleges and universities have made the largest contribution to
"the education . . . of those who later 'would achieve high public office,
professiobal eminence, careers of unusual distinction, or lives of excep-
tional originality and social usefulness."
To answer his question, Pierson and his associates examined lists of
every conceivable nature: signers of ,the. Declaration of Independence,
delegates to the Constitutional ConVention, Presidents and Vice Presi-
dents, Cabinet officers, Justices of the Supreme Court, members of the
190

224
 GENERAL '111.0

diplomatiC. corps since World War II,'members of the 88th Congress, and V
r. leaders in the professions,busineSs, science, arts; letters, and learning.
The results confirmed what had probably been long apparent wher
ever power was exercised in the United States: -almost 20 percent of the
men (women? on these lists?) who found themselves eligible for Pierson's C'.

,study were graduates,of Harvard, Yale, or Princeton. Of the next 14 major

sources of American leadership, 8 (Columbia,. Pennsylvania, Chicago.,
M.1.T., Dartmouth, N. Y .0 Stanford, and Williams) were private institu-
tions. The leading. public institutions were Michigan, finishingin fifth
place, California (seventh), Cornell (ninth), Wisconsin (tenth) Minnesota
(thirteenth), and Illinois (fourteenth). 0
What can. and should be made of such findings'? One suspects that
they helped to massage the.pSkehes,of the Ivy League East' at a time when
post-World .War' 11 expansion...Of the state -universities sug,gested that- a
similar study a hundred. years hence might tell a different story. And they
certainly certify the nation's indebtedness to the old institutions (5 of the 11
were of. Colonial origin) and the. strong state universities (6 of the )7) for
educating its leaders. But as Pierson himself'is quick to point out, his study
leaves altogether unanswered the relative importance of college education
as compared to "native ability, parental character, inherited money or
family connections, and the pl;niiecl or accidental associations of schooling
and growing up."
a. .

7:1 :WO
The Academic RevOlution, Chirstopherlencks and- David,
Riesman, 580 pp. (Doubleday & Co., New York).
This collabOrative journey into die ,past, 'present, and future -Of
AineriCan higher education falls outside the specified.years covered by this
bibliography, and its authors may be dismayed to discovit their work
under the heading of history. The book's importance, howeiir; requires its
inclusion in the bibliography; its authors have a magnificent zest for'.
generalization, and their long romp around the 'country (visits to .150
Campuses) and'in the literature is a provocative invitation to think about the
relationship between higher education and American society. Probably no
,other contemporary book on American higher education 'has inspired .so
wide a recognition of "the rise to power of the academic profession." As
for whether the book is history, Of ,course it is historyhistory,.put to
work, history informed by sociological iMight, history with an eye on the
future.
The organization, quantitative investigation, and writing are mainly
the work of Jencks; the college visiting and interviewing, of Reisman.
Both shared the reading and reflection that Ihrther shaped the outcome.
The "academic revolution" that concerns the authors is the rise .9f the
university as a central institution in American life, but their imaginations
191
0 9 t-
4.
 7 HISTORY

move them everywhere in their investigation of the functions of higher

education, its various segments and their different clienteles, and the
patterns of diversity and their meaning. They concede that their attempt to
Arrive at a general theory of the relationship between higher education and
..social mobility is a failure, but the effort results in profound insights to the
ctlanges that moved higher education in the United States from aristocratic
-to meritocratic values and styles. Whit are called "special interest','
institutionsthose serving specific geographical, religious, racial, prier,
or Vocational clientele receive close inspection. But the authors never
lose sigh of the main theme and argument of their inquiry: "The shape of
American higher education is largely a, response to the. assumptions and
demands of the academic profession," not of politicians, philanthropists,
businesspersons, trustees, or students. Only in the community college
movement and in the "romanticism of the general education, movement do
they loCatesignificant resistance to the academic ethos.
Reading this hOok is like having a long conversation with two experts
who are aware of their own limitations (they admit to bias, to being
impressionita- when they would have liked' to be specific, to being
contradictory) but who are nonetheless magnificent, companions with
whom to think through the American experience with,higher education.

7:1.0/65
The Emergence of the American- University, Laurence R.
Veysey, 505 pp. (University of Chicago Press, Chicago).
This book, although falling °aside the d,tes specified for this bib.
liography,. is not likely to- be soon displaced. Its critical and analytical
grasp of the conditions that gave shape to the American university and-its
_sense of the conflicting values and emphases that sought expression within
its walls make Laurence Veysey's study a landmark, book. Discussion of
the modern American university begins here.
The author's concern is the process by which universities rather than
colleges began to define the focus and purpose of higher education in the
'United State's. .Although there were no universities in the_United States
'-before the Civil War, regardless of what they called themselves, by 1900
there were at least a dozen institutions that were lending themselves to a
definition of an American-style university that, while incorporating charac -.
teristics of both English and continental models, was unique. These 12
institutionsHarvard, Yale, Columbia, Princeton, Johns Hopkins, Clark,
Cornell, Michigan, Chicago, Wisconsin, California, and Stanfordand
the styles of governance and priorities; that -shaped them provide Veysey
with the materials for his study4,
1
Veysey argues that betwiiin 1865 and 1890, disputeS;:tontlicts, and
e.differfnces of emphaSis within the acadr-nic community revolved around
not simply whether the university would crowd out the college but what

192
226
 . GENERAL 1 711.0
I

kind of university 'would shoulder the burdens of highet learning in a

rapidly growing industrial society. He identifies four warring philosophies
that competed'for ascendancy iwthe academy: piety and discipline, utility,
research, and liberal culture.
The first of these was more or less abandoned to the colleges, alp
-though in older institutions stretching 'toward university status, the piety- r
discipline axis had its adherents. Essentially, however, the university in theme
United States, as nowhere else, chose to accommodate all the philoso-
%phies, combining service with research, utility with liberal culture. If by
1890 this accommodation had been reached, thereafter administrators
shifted their focus to matters oftontrol, shaping a university structure that
could make room for a developing gulf between stydents and faculty, the
Rise of administrative bureaucracies, academic hierarchies, and academiC
ffsedom. The result is the American university-as it is now understood and-
eXPeio nced'-a structure that contain and supports scholars, football
players, and even its alienated critics. Here is a book that invites the reader-
world but on the
to locate herself or himself not only within the academic
spectrum of history.

7:1.0/62
The American College and UnlversityCA Filfitori, Frederick
Rudc:lph, 516 pp. (Alfred A. Knopf, New York).
This standard reference work, first ptiblished in 1962 and since then
11

the
nude availablein a Vintage paperback editioe, attempts an overview of
hook
history of Arrican higher education in, one volume. Althotigh this
ideentions to
has not been revised since its original publication, the'author's
provide an understanding of how- and why American higher education
developed as. it did are still fulfilled.
The book is divided'into 22 chapters and an epilogue, beginning with
of the
the colonial college and ending/with In attempt to capture a sense
upcoming 1960's. Narrative and anecdotal. in style, with thematic inter-,
pretiveianalysis, the chapters convey something of the spirit of their origins
School of Education. The
as a course of lectures in the Harvard Graduate
book is essentially important as a. synthesis and an indication of
the iondi-
tio'h\of .scholarship in the history of higher education. However, it also
inakds original Contributions. in its emphasis on the role of the student
extracurriculum in defining college and university and in its recognition of
old
the role of state' universkies and land-grant colleges in certifying
bodies
vocations as professions, 6y recogniziniand advancing new formal
of knowledge in such fields as agriculture, teaching, mining, and the like.
The chapters folloi, a chronological scheme in .which the following
topici are treated: origins and development of colleges in the colonial
the
period; the impact of American Revolution, and enlightenment on
colleges; the expansion of colleges; religioug life and purpore; -the in loco
193

22 7
 b

HISTORY

parentis tradition', attempts at reform in the 1820%; the

extracurriculum;
governance; finance; the impact of Jacksonian democracy; the crisis, of
confidence of the 1850's; reform; the emerging university; the elective
principle; the impact of progressivim on. ,the universities; the rise of
football; the professional professors; the bureaucratic institution;
curricular'
reform in the '1920's; and accessibility and diversity
a characteristics of
American ,higher education.
Itudolph's interpretation emphasizes the eclipse of the college and the
rise of the university, and the process by which higher
education has been
populuized and mocratized. Subsequent scholarship and a new genera-
lion of scholars a but guarantee that a nes% synthesis and
interpretation is
on its Way., But ntil then, this is a useful volume, with a helpful 20-page
bibliographical essay that assesses the literature of the history
of Americaff
higher education as of 1960. _

2.0 INSTITUTIONAL HISTORIES

7:2.0/80-
The Uncertain,ProfessiOn: Harvard and the Search for Educa-
tional Authority, Arthur G. PoWell, 341 pp. (Harvard OniverSity
Press, Cambridge,.Mass.).
,yrofessionitl .historians have paid less attention to the development
and growth of professional schools than to any other aspect of university
education. Medicine, law, theology, engineering, education-al-functions
of the American universitygenerally are treated as. essential but
sideshows or accretions to the undergraduate college, out of -which -.

university . purpose and function have grown. This history ,,Of Harvard's
experience with the professionakoctucition of teachers is literally "the first.
analytic history of a major school of education." *-
Powell's,book is a case study of hoW; beginning in 189.1, Harvard has
defined the legitimacy of education as an Academic subject, clarifying its
responsibilities to the yak-ions roles pliied by. educators in the society,
establishing. an accommodation between theory and practice; and fash-
ioning a program appropriate to the development of professional educators.
An exhaustive use of "manuscript and archival materials, at Harvard and
elsewhere, hag' resulted in a revealing account. of the troubled and contro-
versial history of the HarVard Graduate School of Education.
Education was first taught at Harvard in 1891 by a young_ assistant
professor of the history and art of teaching. In 1920, with a half million.
dollar endowment gift fro$ the General Education Board, the 'Harvard
;Graduate School 'of Education was created out of the Division of Educa-
tion.ty apathy and hostility of older academic departmeos had prevented
. education from flourishing; but by the second decade of the twentieth
,
k - ° -194

228
 INSTITUTIONAL HISTORIES 741
century; affluent businessmen-reformers seized upon professional educa-
tion as an instrument for shaping the American high *school into "society's
decisive institution for adjusting youth to the.urban and industrial, world of
the twentieth century." Supervised play, vocational guidance, the training
of noncollege-educated secondary school teachers, physical education, and
even boy scouting were to become concerns of education at Harvard as it
sought to achieve both growth and stads in the university complex.
Yet tensions and uncertainties bedeviled the new school as it wrestled
with how beSt to fulfill its role, urge4 on it by wealthy benefactors, as the
essential institution for "the maintenance of the social fabric." Powell's
account reveals the running bv,tiei over definition of purpose and style
within the school and within tiff univeAity, explains thetrequent reversals
and repudiation of policies, describes the efforts a Harvard to focus on the
training-qf an elite cadre tf professional educators,' arid conclude with, an
account of the struggles in the 1950's and 1960's to achieve some answer
to the question of what criteriaresearch, instractipn, effectiveness in
reforming the schoolsshould deterriiiai faculty appointment and
promotion.

7:2.0/80-2
The Forging of an Aristocracy: Harvard and the Boston Upper/6
Class, 1800-1870, Ronald Story, 256 pp. (Wesleyan' University
Preis, Middletown, Conn.).
0 The opportunities and imaginative dirriensibny of educational history
become immediately apparent in this exploration of how Harvard shaped a
self-conscious, coherent, urban upper class, was in turn shaped by it, and
became an institutional expression and support of that. class. In the author's
terms, Harvard College, founded alian expression ofpublic support for
public needs, was deflected from irtraditional cultural role and beeline
"an engine of clans," functioning in "the interests of a single increasingly
homogeneous and modern constituency."
Shaped by in analysis based in dialectical materialism, the book is
intended to clarify the process by which a culture and its supporting institu-
tions are products of economic fOrceS. The author's- interest is 'in the
formation of a class: that interest, given the ways' in which business and
culture flourished in tandem in nineteenth century Boston, !ed him ines-.
capably to Cambridge and Harvard.
Archival sources and -a use of quantitative methods that do not get in'
the way of the narrative support the author's' purposes and conclusions.
The transformation of Harvard,' from an institution intended to meet the
educational needs of the ctimmunity to one that functioned to provide form
and stability to an upper class, is developed in a 'series of chapters that deal
with governance, finance, faculty, social connections,.student recruitment,
and the creation at Harvard of a class ideal. When, at mid-century, Harvard

-195 -
 7 HISTORY

was challenged by democratic outsiders for its.exclusiveness and Atsfailure

to meet the needs of aspiring newcOtriert, both Harvard and thelite it had
been serving and creating were shocked into a sense of who thcy were and.
what they had been up to. Harvard's relationship to'what the/author calls
the nation's most entrepreneurial and ambitious metropolitiO elite'' gave
its history a unique twist. Before it became a university, Harvard became
an instrument of an upper class, although its founders intende0 neither.

7:2.0/76
From King's College to Columbisi, 1746-18001 David C..
Humphrey, 413 pp. (Columbia University Press, New York).
0 Here, for the first time, the eighteenth century origins of Columbia
University are given 'an extended scholarly examination: Humphrey's
4tudy corrects- and' modifies generalizations about Ameriein culture that
...deri,v.e,too exclusively from New England and Puritan experience. He
ilelielOps a convincing sense of what going to college in New York in the
decades before the American Revolution was likeits tone, its texture,
and the ways in which King's College diffe d from other colonial col-
leges. The result is educatiOnal history, that e riches our uVerstanding of
the politics, economics, and social patterns/of the age. It illuminates the
impact of the college on the political thought of its alumni during the
revolutionary years, Meieparation of chucei and state, and the beginnings
of professional me ine in New York,. /
Based on printe anuscript 'Ounces, this look at King's. College
is, on one level; an account of how ieligious diversity and an urban en-
,
vironment frustrated efforts to makeXt (and later Columbia) a prototypical
Americanic011ege, denominational and residential in nature. The chartering
of King's, as an Anglican colleg proved impossible in pluralistic _New'
`York; room was made for dissenting clergy on the governing board. After
the Revoluiton, the residential pattern of student dormitories collided with
offiCial priorities, which placed a higher value on intellectual resources
than on student residences: Columbia became a college for students who
lived off campus. In s interdenomenational character and its rejection of_
dormitories, the colle e was less typical of its contemporaries than it was
of the directions in which American society was moving.
a: On another levet,1Humphrey has succeeded, especially through the
cautious but imaginative use of group biographies of students and college
governors, in drawinea picture of an institution 'designed, to serve the
needs of an economic '!and social elite, composed of the advantaged pro-
fessional and merchant classes of New York who were attached to concepts
of hierarchical order inssociety. ,Half of King's alumni were loyalists; its
alumni is the ranks of American patriots were conservative friends o
ordered societyAlexander Hamilton, John Jay, Gouverneur Morris, and
Robert E. Livingston. Certain chapters"Higher Education from an

23 0
p.
 /INSTITUTIONAL HISTORIES 712.0
-/

Elitist Perspective," "The Education of Wise. and Good Men," and "The
Undergraduate Experience"are model case studies in educational'
history.

7:2.0/75
Education and Politics at Harvard, Seymour Martin Lipset and
David Riesman, 440 pp. (McGraw -Hill. Book Co. , New York).
In two essays that share the same cover, two distinguished social
scienlists info tell aliers why "Harvard is best." Except for their com-
mon sponsorship by the Carnegie ComMission on Higher Education, the
essays are not particularly comfortable together. Lipset's essay, "Political
Contnwersies at Harvard, 1636 to 1974," is a review of the history of
intramural and extramural_ political controversies among the various ,

Harvard estates. Riesman's essay, "Educational Reform at Harvatt

College; Meritocracy and Its Adversaries," is an impresssionistic memoir
of his Harvard experiences since entering as a freshman in 1927.
If Lipset's purpose' is to come to some understanding of Why Harvard
has become the world's greatest university,.Riesman's purpose is to come
to grips with the rise of the meritocratic, as opposed to ascriptive, values in
Harvard College and the challenges to tbem and to the possibilities of the
university maintaining its eminence. Both essays fall within a definition of
history, although their ultimate value-may be as documents of the period
when, academicians began to take stock of the damage to institutions of the
political activism of the:1960's and early 1970's.
Drawing heavily on the work of Morison, Veysey, Hawkins, Bajtyn,
and others; Lipset explains Harvard's eminence as deriving ftotn a cck-
bination of developments that include, most importantly :. "from 1700 on
. . its Close link to the elite of a relatively cosmopolitan, wealthycommu-
nity that combined the Puritan-inspded commitment to education and
Pr

scholarship with' the tolerance for diversity and new ideas needed for
intellectual creativity"; and, from 1869 to 1909, the presidency of Charles
W. Eliot, who syste irnatically and single-mindedly transformed Harvard
from a college primarily concerned with training youth to
oh; dedicated
to creative scholarship."
Riesman's essay is sprinkled with delightful bemusings on the
Harvard he has known, but he is not misled by
his bemusings. His sense of
Harvard'auture is apocalyptic, in contrast to the optimistic cyclical theory
that* emerges from Upset's essay. Even so, while Lipset believes that
1968769, the year of the Harvard Yard bust and the capitulation of the
in the
faculty to the black student caucus, was "the most momentous year
University's history since Eliot foci( office," Riesman is ready to
acknowledge that "an institution, like an individual, can continue to live
with a lot of ruin within the system."
s.

-197
2j1.
 ),

7 HISTORY

7:2.0/74-1
Yale: A History, Brooks Mather Kelley , 588 pp. (Yale University
Press, New Haven, Conn.).
If young colleges and universities need- centennial histories, just
imagine what Yale needs. Since 1936, Harvard has had Samuel Eliot'
Morison's Three Centuries of Harvard 1636-1936: Thomas Jefferson
Wertenbaker solved most of Princeton's problem in 1946 with Princeton
1746-1896. William and Mary's history will never feceive a satisfactory
telling: all the early records went up in flames. At last, however, with
1
Brooks Mather Kelley's brave 'venture, "ale has a one-volume general
history.*
Kelley has divided Yale's past into six periods: 1701 to 1739, the
critical years when the college was wandering around the Connecticut
countryside looking for reliable friends; ,1740 to 1795, a period of influ-
ence in the 'sectarian life. of Connecticut, where it was essentially the
official college of the official religion; 1795 to 1871, almost a century of
ay.
national influence, defining curriadar purity and exporting the.message of .

liberal learning to: the barbaric West; 1871,to 1921, a frightening 50 years
of stagnation' when Yale lost its preeminence to Harvard and fell into an
orgy of extracurricular indulgence; 1921 to 1950, a period when Yale
resolved the,terisionA between a cornwitmenf to the college and its aspira- .
Lions as a university (it decided to do both and succeeded); and 1950 to
1963, the recent pasti.when Yale no longer needed to apologize for its
former backwardness and, indeed, did not.
Students, the college, Yale as a community rather than as the arrogant
"best"all this has, defined Yale and made its history something quite
different "from Haryard's. Kelley knows Yale well enough to be sensitive to
the difference. NO more than is appropriate or necessary, he' organizes his
history around the remarkably long incumbencies of Yale's famous presi-
dentsEzra Stiles, the firit Timothy Dwight, Jeremiah Day, Theodore
Dwight Woolsey, No Porter, Timothy Dwight the younger, Arthur
Twining Hadley, and Ines *Rowland Ange11-7-eight presidents in 160
years (1777 to 1937).

*Books Such as Kelley's and the others referred to do not make any money for anyone. They
seldom pay for themselves in any traditional sense of payment. but they are as neceSsaryto a
College or university's health and sense of identity. as is the Bible to Christianity. Moreover,
given the maturity of American academic hiNtOry and the availability of scholars of the
quality of Brooks Mather Kelley, institutional hiStories no longer need be maudlin appeals to
graduate memories. In fact, they had betternot be.

198- G.
II

232 o.
 INST(TUTIONAL HfSTORIES 712.0

7:2.0/74-2
The University of Kansas: A History, Clifford S. Griffin, 808 pp.
°
a (University Press of KansasoLawrence),,
Few univeisities have been as' well served by their centennial his-
torians as has the University of Kansas in this model case study of a
university in the process of becoming an American university. Beginning
in 1866 as "a.preparatory school fora nonexistent college," the University
of Kansas; in Clifford Griffin's words, has developed into "an institution
'of learning with aspeNs so diverse, lften so antagonistic, as to beggar
'description." Not so. Griffin is in no way intimidated by either the diver-
sities or the antagonisms, and the result is a lively portrait of how that
preparatory school; in 100 years, became a gollege and nine, professional
schools with an enrollment of .15,000 and a faculty of 1,000.
Griffin' explores the tensions that emerged as die University sought to
define and express its identity--between humanistic and technic& train-
ing, academic excellence and 'athletic success, 'absolutists and relativisits,
learning sand play.Griffin'concludes that, for 100 years, Kftas has been
engaged in an argument over "what The, school should do and what it
`should,be," receiving conflicting directions and signals from the national
academic community. the American people, and the citizenry of Kanhas.
He does not mislead the reader into belieVing that, in some triumph of
institutional wizardry, the University was always'in possession of itself:
there were times.when it was in possession of inertia and sheer size.
In chapters that reveal a sound and comfortable understanding of the
fabric of the University, Griffin deals with student life, curricular develop-
ments, the extracuiriculum, faculty, important academic freedom cases,
and the expansion of the institution's commitment to giaduate education.
Because this is a history of a state university, it is also a history of state
politics and of the policies and mechanisms with which' the University*
established its usefulness to the state. And because it is a history of the
University of Kansas, it is an account of how one institution encourage a
kind of continuing debate over putpose and identity'as a fruitful source of
self - study and direction.

7:2.0/73
School of the Prophets:. Yale College, 1701-1740, Richard Warcli,
339 pp. (Yale University Piess, New Hdven, Conn.).
The authbr of this history of early Yale, which began as his doctoral
dissertation in American studies at Yale, is the president of Lawrence
University in.Appleton, Wisconsin. Richard Warch's interest in colonial
Yale apparently did not disqualify him for the presidency of a midwestern
college, and it may in fact have sufficiently immersed him in the intellec-
tual, social, and religious dimensions of an eighteenth century college as to

233,
 7 HISTORY

prepare him for the complex and subtle and sensitive demaitds of college
leadership in the twentieth century. In other wqrds, a college or university
president-cannot know enough about the past,. and this study of how Yale
managed to survive its first 40 years is_an important contribUtion to such an
understanding.
heading this study, is an experience in realizing how long we have had
to wakfor historical studies that take education seriously and that place the
performance of colleges and universities into a setting that once was
thought limited to politics and war: Because of Warch's research, the Yale
of over two centuries ago isthoroughly alive.
A central contetn. of this book is the impact of new imported leg
ti
on the capacity of Yale to turn out, as if on order, "learned and orthodox"
clergymen and civil leaders. The trouble with a powerful and stubborn
elite,- .faced with the challenge of ideas-that have intruded on the quiet and
ordered preserve of certainty and authority, is that it often behaves as if it is
beyond learning. Warch's history explores the ways in which Yale found
out that, while ideas and thought could be accommodated, they could not
be resisted. He also sheds new light on those old relationships among
college. church, and state,that have an unending history

7:2.0/72
B1ac4 Mountain: An Exploraticin in Community, Martin
Duberman,"578 pp. (E.P. Dutton, New. York).
' Community and innovation are concepts loosely tossed about by
academic leaders: they are very much in favor of both, seldom admitting
how little they do to support either and hardly aware.of how difficult it is to
live in an institution where'both community and innovation are supported.
Black Mbuntain College, a remarkable moment in American educational
history, was a community and it was an experiment. It lasted 23 years
(1933 to 1956).
A leading historian who has established his reputation in biography
and4n literary and diplomatic history, Martin Duberman has ventured. into
the archives of an extinct rhstitution and, with significant assistance from
its survivors, has pieced together an account of the experimental commu-
nity in the. foothills of North Carolina known as Black Mountain. In addi-
tion, choosing to make this work itself an experiment in historical writing,
he has chosen to reveal himself even as he reveals Black Mountain. If the
college has secrets to tell, so does Duberman: This is not scientific history
pretending to lack a point-of-view, experience, and a history of its own.
The result is instructive and fascinating.
Black Mountain'S vitality and importance derived from the coming
together of an explosivd community of artists and intellectuals, some of
them teachers, some of them students, none disposed to act out roles
considered appropriate in a traditional college: John Cage, Merce'
6 e
200
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INSTITUTIONAL HISTORIES 7:2.0 .

Cunningham, Buckminster Fuller, Josef Albers, Paul Goodman, and.

Robert Rausclipberg. These and ours managed to create a unique defini-
tion of what an American college might be, and Duberman manages to
keep us constanlly reminded of the demands that community can impose
on .a college that rejects tradition, structure, order, and discipline. Black
Mountain, in its utopian and communal aspects, unintentionally echoed the
beginning of Harvard and Yale, at the same time that it antitipated t
communes of the counterculture of. the 1960's and ,1970's. Dube an
neither weeps nor condemns, but he does embrace both Black Mo tain
and his readeri as he succeeds in bringing them together. There h been
no other college just like Black Mountain, and Duberrhan has g en it an
,appropriate.epitaph. Is it a warning to those who would seek c mmunity,
to those who expriment? Or to those who would not?

7:2.0/70,1

R, Clark, 280,pp. (Aldine, Chicago). /

The Distinctiveg011ege: Antioch, Reed and S arthmore, Burton

Burton Clark is a sociologist with a sensia history, 'and this study,

supported by grams by the Carnegie Corporation to the Center for the
Study, of :Higher Education at Berkele , is a fine blending of both disci.;
plines. As a sociologist, Clark is .ncerned with "the fate of culture
values, norms, kdrwledgeat e hands of social conditions and social,
structures." He is inte in the importance of organizations in sus-
taining culture and values, and ip the present study he has used the histories
of threes liberal arts coil gekjo help him locate L41 define "the organiza-
tional saga ----the history andlegendorwhich each has hung its-mission
and fulfilled its potential as a liberal arts college.
For Clark, "the private liberal arts college is the romantic element in
'your educational system, because of its historical primacy, its public
affection, and its peculiarly= American form of organization. While the
worst of the private liberal arts colleges may be narrow and mean-spirited,
the best of them, Clark contends, set the pace of duality in undergraduate
education in the United States and thus play a significant role in "the fate
of culture."
In ,case studies that carry the histories of Antioch, Reed, and
Swarthmore Cplleges to approximately I , Clark has asked how a col-
lege goes about making itself first rank and keeping itself there. In the early
1950's, his three colleges were among the, top 10 in the United States in
producing scholars and scientists, What Clark has done is toe search into
their pasts for the origins of their present orientation, sought out the role of
innovative leaders, identified the components that had to be manipulated to
create and sustain innovation, and assessed the strains of achieving a fixed
character.
201
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While strong-willed, charismaticeadership played a role the

development of a distinctive at all three institutions,
instutions, Clark reminds us
that "organizationi have a number of weapons against charismatically
inclined individuals." MOreover, William 3. Foster at AntiOch seized the
4 opportunity. Of a new college, Arthur E. Morgan at Reed revolutioniZed an
old but foundering college, and Frank Aydelotte at Swarthmore provided a
nondisruptive but distinctive evolutionary push at .a quiAt Quaker college.
Clark concludes that innovations survived and became "permanent,"
and legendary at all three institutions because of five factors: the commit-
ment and authority of core personnel,, especially the senior faculty; the
distinctiveness of the curriculum and the teaching style; a strong external
social base that supplied students, money,. and philosophic support; a
talented and committed student bOdy; and the shaping of an'institutional -
-ideology and identity, which Clarl suggests- is. located in 'statue and
sidewalk, story and sons." -

7:2.0/(02
Economies at Parvsard, Seymour Harrii, 519 pp. (Mcpraw:-Hill
Book Co., New York).
Unique in the literature of the history of higher education, this volume
by the Harvard economist Seymour Harris is a detailed, fully, documented,
analytical, and statistical study of the economic's of 333 years of Harvard.
Yet his focus is not narrowly economic: his interest and his purpose wander.
from the books in the treasurer's office to students, faculty, adminittratien,
discipline, 91anagement, land, "groWth, and expansion as they impinge on
and define the economics of the institution. .-
7- This is an imaginative and remarkable undertaking, surely not without
error, given its appetite for.-grasping and squeezing for meaning in every
possible-aspect of Harvard's economic.lite: the socioeconomic and geo-
graphical origins of students, room and° board, tuition,: financial aid,
faculty salaries, tenure, faculty-student ratio, productivity, rate of Promo
tion, .comparative cost structure, investment policies, land use policy, .
fundraising.
A summary condensation of the book comes at the beginning: without
notes and tables, for almost 50 pages it presents the main argument and
conclusions. The rest of the book not only spells it all out but also is
something of a mine in which others will dig forleari,to come.
Harris's review of Harvard's economic history supports the work of
others who have stressed the dependence of early Harvaitl on government
support. Harris documents a return, to that dependence in recent years. He
also concludes that as the university grew and enlarged its purpose
strengthening its curriculum, adding professional schools, cutting the
grassit increased its expenditures without increasing its productivity. In
other,i/ord, it got better by becoming more expensive or, if one prefers, it
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became more expensive by getting better. In, either case, it has had talearn
to live with a pattern of economic behavior that distinguishes it from
ordinary corporate enterprise.

7:2.0038
The Cornell Campus: A History of Its Planning and Develop-
ment, Kermit C.-Paitiiii-C-336-OpT(Coirflie PresS; Ithaca;
) N.Y.).
Except for Thomas Jefferson's architectural plans for theUniversity,
of Virginia, very little of a scholarly nature has been done on the planning
and development of the college and University 'camptis in the United States:
This book-is a model exception, a distinguished and fascinating account of
the -making of a great and beautiful'university campus. The author, who at-
the time the bouk was published wls chair of the Department of City and' ,C
ReglOnal Planning in Cornell's College of Architecture,' knows his subject
and is master of its intricacies. This is no dull recital of buildings come and
gone; it is a description, analysis, and case study of hoW men create, live
in, and use an environment peculiar to an American university.
The opening of Cornell in 1868 as the great prototype of the American
land-grant university was an 'event of far-reaching significance; its
founders respected their own visions and built with in eye to the future. If
Ezra Cornell held his planners and architects to ii style that acknowledged
the pragmatic emphasis of the Cornell course of study, Andrew D. `White
played- an essential'. role in capturing for the new university- a spirit of
aesthetic concern and romanticism. For 52 years, as president and trustee,
White, insisted-that Cornell be- beautiful. And Frederick Law. Olmsted
persistently and successfully impressed uixin- the university a Olanner's
preference for flexibility and an adaptability to centuries of growth. Kermit
Parsons tells the history, of Cornell's first century through an informed and
sympathetic discussion of buildings, architectural styles, and vistas; almost
50 pages of documents and over 200 illustrations arc integrallo his account.
One chapter on "Cottages and Villas" deals with the Ithaca hOmes of
faculty and benefactors. Another on the 'building of Cornell's great
librarywhich-might_huye been subtitled "How.the Establishment Builds
a Library"is a remarkably reVealing account of how universities fell into
bad building habits 'and great buildings: The' dynamic growth of the
College of Agriculture under Liberty Hyde Batley becomes an inquiry into
a declining sense of style and design.
There are glimpses' here of a fundamental indecisiveness and am-
biguity at Cornell on a policy for student housing: Cornell never made up
its mind where it really wanted its students, young men or women, to
sleep. The fraternity houses that crowded faculty of the campus in the late
nineteenth century, the clumsy beginnings of on-campus housing for
women, the post-World War II effort to overcome almost .a cAtury Of
0,
203
237
7 . HISTORY

confusionthese are matters of significance not only for campus design

but also for the tone and style of university life.

3.0 ADMISSIONS, ARTICULATION,

SECONDARY SCHOOLING

7:3.0/79 ,

The Half-Opened Door: Discrintipation and Admissions at

Harvard, Yale, and, Princeton, 1900-1970, Marcia Graham
Synriott,. 310 pp. (Greenwood Press, Westport, Conn.).
This is a remarkable pathbreaking 'book, a work of history that, as
Arthur: S. Link_ remarks in his, foreword. wpuld have been impossible, 25
years ago. The mere' existence of Synnott's study documents a revolution
in college admissions and,in the history of anti- Semitism in American
higher education. Hers is a bold undertaking: a thorough, painstakingly
researched, detailedpaccount of how Harvard, Yale, and Princeton estab-
lished quotas for Jewish students and; from the 1920's to the late 1940's,
preserved themselves ar bastions of a white Anglo-Saxon Protestant elite,
and of how, in. subsequent decades, these elite universities were trans-
formed by a number of interacting developments into ir.creasingly diverse
andpluralistic insiitutions. It is difficult to think of any work of scholar-
ship, fair and detached as it is, that exposes so much dirty linen--and with
the complete cooperation of thoSe who wore it.
Synnott subjects each of the "Big Three" to close. inspection and
findi that, .while each moved 'toward effective disciimination against
Jewish applicants in its own style (Harvard under its president A.
Lawrence Lowell, Yale under the urging of its faculty and students,
Princeton.at the insistenceof its governing board), adsucceeded in arriving
at what was thought to be a comfortable policy of denying access to
qualified Jews. (Of course, where applicable, the policy also restricted
entry by blacks, Catholics, and other minorities considered unlikely candi-
dates for the elite positions for which these universitiesprepared.)
There are villains and heroes in this story, as well as lessons for
students of the relationships between society and institutions of higher
learning. Harvard, Yale, and Princeton were able to carry out their policy
of discrimination at a time when they were dependent on the financial
support of a snobbish elite and when they were uncertain of themselves as
primarily intellectual (as contrasted a social) institutions. The changes in
society that transfromed the universities in the 1910!s and 1960's were
complex, Uninvited, and insistent, giving all tares an opportunity to
demonstrate .their vitality or their resistance to dynamic social change.
Synnott's narrative and analyses. are' supported by a series of tables that
demonstrate the diligence of her research and authenticate her conclusions.
204

238
 ADMISSIONS, ARTICULATION, SECONDARY SCHOOLING 7i3.0

7:3.0/77
The Qualified Student: A. History of Selective College AdmissiOn
in America, Harold S. Wechsler, 341. pp. (John Wiley & 'Son4,
New York). .

Prepared originally as adoctoral dissertation, this study of the history

of'selectivity in college admissions is a fascinating and welcome corrective
to much that is legendary and apOcryphal in the kre of college enrollments.
'Harold Wechsler is interested in the role of higlier education as an agency
of certification, an instrument for awarding the credentials that provide
access to economic and social mobility' in a meritoctatit society: The
methods and criteria 9f stident selection are more important today than
they were in the nineteenth century; when a majority of the age group did
not go to college and the rest essentially went 'wherever tin( wanted to.
In 1870, the University of Michigan moved from vihat Wechsler
describes as a passive policy of admitting whoever applied to an active
policy of certifying the high schools from which it would admit graduates.
thus setting a precedent for the positive use of admissions policies to
facilitate the selection of students destined to play a leadership role in.
twentieth century America." Michigan. and the midwestern and western
state universities that followed its lead developed the certificate system as ri
means of encouraging public high schools as a source of studentvand as a
means of competing with small private colleges having.their own prepar-
atory departments. In the East, Columba and Harvard provided leadership
in using the College Entrance Examination Board (C.E.E. B.) as an instru-
ment, for standardizing entrance requirements and liberalizing the list of
acceptable college preparatory subjects. Their purpose se was to use adinis:
sions policies for.creating universities and for-providing anducation.that
was both liberal and professional. ri t

The certificate system- and the C.E.E.B. did not, however, create
selectivity in college adrnissions. By 1910, it was apparent that the
Michigan approach was certifying too many academically unqualified
students and that the examinations of the C.E.E.B. were qualifying ,too
many socially unqualified Jewish students. After. WOrld War I, Columbia
met its admission problem by announcing a policy of selective admissions.
Others followed, but because the colleges were not e ;mating with a large
pool of applicants, selectiVity did not mean accepting the best qualified, it.
meant keeping out Jews. Deqlining enrollments and the illusion of selec-
tivity characterized college admissions in the 1930's, when personality
reports, personal interviews, and preference for children of graduates or
members'of particular religious denominations allowed admissions officers
to keep some applipants out without actually improving the quality of those
pit admitted. In 1930, the University:of Minnesota confronted itsprpblem of
too many unqualified but certified. high school graduates' by creating its
General College, which welcomed the unqualified along with the qualified:
_

239
o_ a
7 HISTORY

Wechsler has divided his book into four case studies, based on good
use of the archives 'of his model institutions: the University of Michigan
(certification), Columbia (a1111,Semitism), the University of Chicago
(graduate emphases, limiting enrollment in order to encourage applica-
tions), and the City University of New York (open admissions, twentieth
century egalitarianism). The burdens of admissiCns policies are large; in a
society in transition from elite to mass higher education,' they direct the
traffic, regulate access to opportunity, and determine who gets which
credentials.

7:3.0/76
Education in the United States: An Interpretive Hisiory, Robert
L. Church and-Michael W. Sedlak, 489 pp (Free Mess, New York).
The theme that informs this one-volUme interpretive history of
American education is the tension that has enabled the schools to be instru-
ments of both democracy and social inequality, of both social control and
individual liberation. Drawing on the quantitative studies of a new genera-
tion of scholars, the authors concentrate on "the varying commitment
'anions Americans to 'mass schooling' and equality of education."
They begin in the early, decades 'of the nineteenth century with the
common school movement, and end with a consideration of 'Changing
definitions of equality of educational opportunity, 1960a1975." As an
introduction to their main themes, they consider the early manifestations of
republican=educationthe district school and theIntebellum college and
academy (1776 to.111430). They see the period 1830 to 1860 as a "quest for
commonality,?' defined by, the common school and the search for; a new
pedagogy, and followed by a long retreat ( 1840 to 1920) from efforts to
fulfill the equalitarian aspirations of an earlier day. In a series of chapters
headed "Retreat from Commonality," they, consider the failure of the
common schools in both the South and the North, the rise of vocational and
manual education as class education, and the function of the university in
training an elite leadership clasS.
Church and Sedlak keep clear the distinctions between progressive
education and educational reform in the Progressive era, focus'ing on the
development of the high school, the kindergarten movement, and reaction
and reform in schools and colleges between the World Wars, 1918 to 1940.
Thiieaction against progressivism after World War It and the meaning of
Brown v. Board of Education of Topeka and other developments for educa-
tional opportunity Share the focus of their'concluding section.
While the book concentrates its attention on the school, "because it
stands as society's most deliberate mode educating its young and thus
becomes the primary institution through which social groups attempt to use
educational .efforts to influence American society," it also clarifies the
, 206
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STJDENTS .714.0
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relationshiPS between the schools and higher education and the varying
degrees of success with which articulation has defined those relationships.

7:3.0/74
The One Best System: A History of American Urban Education,
David B. Tyack, 353. pp. (Harvard University Press, Cambrid6,
Mass.).
In the 1960's and 1970's, the history of schooling in America cap-
tured the attention of the graduate schools and of a new generation of
scholars. These' scholars have focused on' the relationship' between the
sch9ols and society, and they have raised probing questions about the
intentions and the functions of schools and about the tensions between the
aspirations of students and their families and the goals of society. Among
other things, they have tested myth against perfotmance, questioned the
role of the schools as social and economic elevators, and measured the
success of the schools in meeting 'the needs and desires of both rich and
poor.
While the particular works of these scholars are not appropriate for
1.
inclusion in a bibliography of higher education, certain studies that incor-
porate and synthesize their findings in broad interpretations and accounts
of Americameducation should be of value to practitioners of higher edu-
cation. One such work is David Tyack's history of American urban educa-
tion, although it is somewhat misleadingly titled: the bOok does Not ignore
rural eduCation and it does not include higher education. It does, howvet,
draw on the work of Carl Kaestle, Michael B. Katz, Edward A. Krug,
Marvin. Laierson, Diane Ravitch, Theodore R. Sizer, and Selwyn K.
Troen, -as-well as on the author's own investigations into the history .of
schooling in America.

4.0 STUDENTS
.01

7:4.0/7Z'
The Rights of Youth: American Colleges and Student Revolt,
1798-1815, Steven .1, Novak, 218 pp. (Harvard University Press,
Cambridge, Mass.).
Heie is an adventuresome book that moves.into unexplored territory
with a fine combination of imagination and caution. Between 1798 and
1815, American colleges were characterized by widespread student
revoltrebellions, gross disorder, and insubordination. In these revolts
and in the official response to them, Steven Novak has located a post-
Revolutionary generation of students busy establishing their identitx in an
environment shaped by republican principles but also informed by' an
academic tradition poorly eqUipped to concede the "rights of boys.'

207

24 1,
 HISTORY

'The students, who resented the' arrogance of their academic elders,

were expressing a generational selr-consciousness in their riots as well as
in their ultran,ationalistic response to the quasi-war with France in 1798.
The authorities, however, mistook the romanticism and coming of age of
the ."Sons of the FOunders" as somehow being an aspect of an inter-
national atheist/anarchist conspiracy. Their overreaction unfairly smeared
the students, but the consequences for the colleges were equally far-,
reaching: blacklists of troublemakers, tightened discipline, the ascendancy,
of evangelical religion, and the.stitling of efforts to move the curriculum to
a more utilitarian and elective basis. Novak, furthermore, makes-a con-
vincing case for attributing the strengthened hold of the classics in the early
/
nineteenth century to official reaction to student disorder.
Available sources atc wisely used, intuition comes to the assistance of.
inert facts. and thercare numerous marvelous vignettes,-such as those'
Timothy Dwight's Yale as the epitome or evangelical edueatip_
Jefferson's Univerity of Virginia as the last gasp of republican editeatiiin;
and the origins,,,iof tile Ilartmouth College Case as an argument over
religious and academic style.
This book represents an important new line of historical inquirythe
role and experience of students, a long neglected subject that came alive in
the 1960's and thatcan be expected to inspire rewarding studies for many
years to come.

7:4.0/75
Pauperi and Scholars: The Transfo motion. p1- Student Life in ..
Nineteenth Century New England, avid F: AlImendinger, Jr.,
160 pp. (St. Martin's Press, New York).-
A great deal more work will have to be 4 ne before the transformation
Of student life for which David Allmendinge , argues in this monograph is
completely convincing, but his essay is informative, imaginative,: and
suggestive of the explorations into quantitative history being undertaken by
a .younger generation of scholars. In its focus on students it is also compen-
sating for a long tradition of scholarly neglect.
,
Allmerfdinger's concern is the incidence and experience of poor stu-
dents at pew England colleges during the first 60 years of the nineteenth
century, the. role of benevolence in suppOrting them, and the role of
1. poverty in shaping their lives and the nature of the collegiate community. a
He makes use of manuscript materials at Amherst, Bowdoin, Dartmouth, .

Harvard, Middlebury, Vermont, and Yale (but not Brown, Colby, and ,

Williams) and the records of the American. Education Society (1815-1874)

to advance the thesis that the high percentage of students "too poor to
pay, who ."had to take charity or support themselves with their own
work," created "a new kind of student life" in the nineteenth century
colleges. Alltnendinger sees, this new kind of life as being defined by a'
\
.a
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242
 STUDENTS 7 :4.0

wider range of student ages, ,increasing maturity, cheaper tuition, the wide-
spread prictice of supportingg. Oneself in college by teachibg in the district
schools, and the benevolence of the extramural education societies.
The restilt is a perceptive interpretation of "the organizational revolu-
tion that took place in Anierican schaling during the last century:It deals
with the politics of education: who got what, where, when and how. .It
attempts to assess how the schools shaped and were shaped by. the trans-
formation of the United States into an mrban industrial nation." The author
addresses himself to the experience of those he calls "in some sense," the
"victims" of urban education, the poor and dispossessed; he illuminates
t' "transformation from village school to urban system," and he shows
how the school cutriculum became a bridge between family and SOCi(4/.
He concludes that "schools have rarely taught the children of the poor
effectivelyandthis failure has been systematic, not idiosyncratic;" and
that "urban schools did not create the injustices Of,American urban life,
although they had a systematic part in perpetuating them."
The book contributes not only to educational history;' but also to the
history of politics, bureaucratization, corporate organization, 'and
"Americanization.
7:3.0/70
AMerican Boarding Schools: A Historical Study, James
McLachlan, 384 pp. (Scribner's, New York).
Graduates of American boys' boarding schools have had 'an influence
on American life that is out of &portion to their number: In 1941, Who's
Who:in America had a place ttlr 1 but of- every -19 alumni of St. Paul's
-..
School; founded in 1855 in Concord, N.H., destined to become the.model
boarding school: In This study, deVeloped from a doctoral dissertation,
James. McLachlan undertakes a bold foray into a past when schools were
being founded for, training an elite, assuring the soundness of its vs,
and readying the sons of the wealthy for attendance at the right unive'ritiZs
and colleges. McLachlan'; focus in this 'book is the schools, not the ;
universities and colleges, but there are aspects and periods of higher educa-
tion, particularly at the old prestigious Eastern institutions, that can only be
understood in reference to the boarding school movement.
.McLachlan makes clear that while the boys' boarding school erupted
in an explosive way in the 1880's, it built on over a half century of
American experience, including that of the Phillips Academiei at Andover
and Exeter, George Bancroft's experimental Round Hill School' in
Northampton, and the Flushing Institute in New Yokk. By the time Groton
was founded in 1884, St. Paul's had been in operation for almost 30 years,
long enough to make clear what a boys' boarding schoolwai about. By
making extensive use of school archives and incorporating insights
nsights from
his knowledge of the American family, religion, city, and childhood, the
author demonstrates as has not been done before exactly what that was. In

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4
2C3
7 HISTORY
1

the first place, the boys' boarding school .was,fot the sons of rich Ameri-
cans: tuition at these schools in 1904 was greater than the annual wages of
two-thirds of the male workers in the United Statesn'he schools attended
to a variety of purposes, but none more important than the prevention of
aristocratic attitudes: the Nys' boarding schooltaught such middle class
valuiss as self-control and frugality in personal style; the intended product
was a conservative gentleman.
As the Movement grew and more schools were founded, otheilitir-----
poses found expression: taming the nouveau riche, providing a safe and
isolated environment for the nurture of innocence, providing an environ
ment appropriate for refining the offspring of wealthy small town families,
fulfilling the aspirations of the rich for their sons, and meeting the needs of
' the universities and colleges for properly prepared applicants.
'--The focus 'of McLachlan's study'is the, 'nineteenth centory Origins and
proliferation of the boys' boarding schoei(He does not, given his focus,
'differentiate between the purposes of the schools and their functions, Nit
he does draW attention to the fears held by the schools that the Ivy League
universities--with lick undemocratic social systems, overemphasis on"
grades rind intellect, an isinterested professorswould undo all their
qwn good work in traini a right-minded class of gentlemen.
Allmendinger concludes that over a quarter of the students in thi
pre-CiVil War colleges were "too poor to pay," and he provides striking
evidence of the significant contribution of the. American Education Society
to their support: In 1835, this philanthropic ann of the Congregational
churches provided $55,213 for 1,040 students; in 1838, one out of every
seven New -England college students was a beneficiary of the Society's
patronage. it is clear what the Society was up to: the steady production of
Congregational ministers, assuring a bulwark against Catholicism, main-
taining the idea of a college education as a necessary.izzavtion for the
ministry. But what tas the meaning for the colleges?
Allmendinger believes that a diminished role on the part of the
colleges in supporting poor students "entailed a significant loss of power'
over the student population," a condition that was furthered by the degree
to which the frugality of poor students led them into rooming and boarding
arrangements beyond the authority of the colleges. In addition, in re-
sponding to the needs of poor students, colleges found themselves intro-
ducing economies in room and board that were objectionable to' wealthier
stude s. Social divisions were created and fostered, and the college
commasitself became so fragmented as to introduce a "crisis of
disorder" that led to the replacement of the in loco parentis tradition by a
bureaucracy. .

"Slowly, cumulatively,' he argues,. "a transformation of great

magnitude began to take place. Hereafter, order would be imposed through
a student's daily academic performanceand discipline 'through the in-
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fluence of his own' family. Scholarship would become a competitive

activity and discipline an internalized matter of self-control and family
watchfulness. The intellectual life on.t#e student was transformed, and the
modern system of discipline was Nom." Allmendinger's investigations
into who was poor and who was not is too frail a structure on which to rear,
such weighty conclusions, but they move usin the right direction with
great imagination and.promise.

7:4.0/74-1
Student Politics in America: .A 'Historical Analysis, Philip G.
Altbach, 249 pp. (McGraw-Hill Book Co ew York).
If there are any doubts a ther
_ events, shape the historical
imagination, Philip Altbach's history of organizeckstudent activism should
erase them. Hi:: analysis of "student organizations and movements devoted
to politics and social concern" is a pioneer work. And while his emphasis
On liberal and radicalrather than conservative activism may at first seem to
be a function of bias, the historical record Supports his focus: Generally,
when students registered their discontent with the national political and
economic environment, their purpose was to move the country to the left.
Altbach gives attention to the eighteenth and nineteenth centuries,, but
his essential concern is with the twentieth century, eipecially the past 50
years. His 'coticlusion that student political and social activism has never
enjoyed a majority interest (the anti-war movement of the 1960's and
I 970's was spotty and ephemeral, even if- of lasting impact on its sur-
vivors) and that it has been "generally ineffectual" in American university
life helps to explain why his book is an exploration of uncharted territory.
In contrast with other countries, where students have constituted.a
threat to the-stability of the political system, the history of student activism
in the United States a tale of much sound and fury, taken seriously in
most instances only by the activists themselves. Why?
Altbach, whose research was supported by a grant from the National
endowment for the Humanities, attributes the lack of success 'student
activism to five major causes: the diversity, size, and complexity of what is
mistakenly called. the. "system" of higher education in the United States;
the absence of a sense of community among college and university stu-
dents, for whom higher education is an adventure in defining and nurturing
the ego: the lack or any tradition of political activism, Alexander
Hamilton's activities as a-King's College enemy of the King to the con-
trary:. a political systeM so complex and well-developed that events are
already subject to a multiplicity of powerful and often conflicting influ-
ences; and the absence among American college and university students of
r any sense of elite status and consciousness, elsewhere a powerful impetus
to political activism.
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 HISTORY
O

The author organizes his investigations around chapters that deal with
the period. 19(X) to 1930; the 1930's, post World War II, the 1950's, and
the New Left. He identities three strains_ of activismliberal/radical,
religi9us, and conservative--and he concludes that, historically, foreign
affairs and matters of war and peace have had greater appeal in engaging
students in political activism than either civil rights dr civil liberties. In an
appendix he lists and classifies. student organizations concerned with social
and political action: they include SDS as well as the YM-YWCA.

7:4.0/74-2
"American Colleges and the Transmission of Culture: The Case
of the Mugwumps," James McLachlan, in The Hofstadter Aegis: A
Memorial, Stanley Elkins and Eric McKitrick, eds., pp. 184-206
(Alfred A. Knopf, New York),
James McLachlan breaks new ground in this bold dnd imaginative
inquiry into the influence of their college experience on the,thought and
action of that late nineteenth century generation of college-educated civic
reformers known as "Mugwumps." Basing his study on 'the careers of a
random sample of 185.Mugwumps drawn fromlbkLiberal Republicans of
\1872, the civil service reform and free trade movea.vits, and the Indepen-
dent Republicans of 1884, the author locates "a style of thought, a mode of
dis urse, the emerging outlines of a particular social and intellectual world
view'' .and accounts for its acquisition in youth and its expression in
maturity .\\
The Mugwump was a contemporary of -the robber baron and the
machine politician, but ofthe three, he was the one who had gone to college,
essentially in the years between 1845 and 1875 and largely at Harvard, Yale,
_and other 'institutions cast In the New England mode. The Mugwump
belonged to the last geneiation educated at the old-time college. He was a
product of a curriculum and an environment that stressed moral philosophy,
applied ethics, virtue, and duty. The Mugwump was an expression of
Protestant conscience and elite pretension; his failure both in oveniment
and in the academy was in a sense a judgment on theclasgical college, one
more announcement of the perennial battle between. God and Maniknon for
the soul of man.
In this brief essay, McLachlan does not allow himself to say more than
his research permits, but his excursion into a clearly defined moment when
the classroom found explicit expression in ,the. body politic is also a re-
markably illuminating look at the role of the college in nineteenth century
America.

212;

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 STUDENTS 704.0

7:4.0/7473
"The 'Choice of Hercules: American Student Societies in the
Early 19th Centuiy," hulks McLachlan, in The University in
Society, Lawrence Stone, ed., Vol. II, pp. 449-494 (Princeton
University Press, Princeton, N:J .).
Here is a fascinating inquiry, complete with illustrations' and
iconography, into the decision of the American Whig Society, a student
literary society at Princeton, in 1819 to imprint on the diplomas that it
-awarded to its members a representation of the Choice of Hercules. This
rendering by the American artist Thomas Sully shows Hercules at the
Parting of the Ways, choosing between the path of Pleasure/Vice and
Virtue.. The students' choice of t,his classiCal icon, says McLachlan, was
"extraordinarily revealing of their intellectual world, their aspirations, and
the nature of the American college ind.culture early in the 19th century."
McLach1an's essay i's an important contribution to the historiographyof
student life, using the Princeton group as an opportunity to provide. a case
study in the enterprise, intellectual interests, and life of students. The Whig
'Society not only provided diplomas for its members that-directed them to the
path of Virtue. Some plits members held positions in the Society as subject
matter professors; the Society literalLycOnducted a curriculum for its mem-
bers in the belles lettres tradition that lay outside the range of official
Princeton, In supporting libraries, debates, reports, and journals, the Whig
Society art its counterparts elsewhere were not only'engaging in activities
appropriate to their tastes and energies nor simply enlarging on the official
currieuluril with an c-xtraeurriculum. McLachlan argues convincingly that
the activities of the American Whig Society should not be seen as "extra
but as an integral partalong with the official curriculuni.of "a total
educational process that was intellectually solid, rigorous, broad in scope,
and surprisingly well tailored to the character and interests of the individual
student."
The student societies had the support and approval of college officials.
.and therefore their-activities were not construed by, the' authorities as
,----frivOlous or unimportant. In stressing how the sti:dent societies meshed with
and complemented the classical curriculum and the prevailing moral
emphasis of the colleges (even to joining Hercules in choosing Virtue),
McLachlan provides a corrective for that narrow estimate of the nineteenth
century college That sees only generations of-students Trapped in a classical
course of study that ignored their interests and capacities.

7:4,0/73
SDS, Irkpatrick Sale, 752 pp. (Random House, New York).
What would have happened it' American journalism had been suf-
ficiently advanced in 1774 for someone to write a lengthy study of the radical

213
247
 HISTORY

left at King's College, with ipecill emphasis on that most conspicuous

student radical, Alexander Hamilton? We'll never know. In the meantime,
Kirkpatrick Sale, a free lance writer with a sound sense of history, has not
allowed the 1960's to fade into forgetfulness without recording and anal-
, yzing "the rise and development of the Students for a Democratic Society,
. the organization that became the major expression of the American left in the
sixtiesits passage from student protest to institutional resistance to revolu-
tionary activism, and its ultimate impact on American politics and life."
This is a history based on 3 years of research, access to the SDS
archives, and a consideration of the leaders who shaped an organization that
may some day be seen as the ingtniment that politicized American higher
education. Tom Hayden, Rennie Davis, Carl Oglesby, Carl Davidson, and
Mark Rudd are among the major actors; but all across the country, college
and uoiver ity campuses responded to the insistent SDS message that
-American institutions were no longer fulfilling the promise of American life.
Civil rights sit-ins, the 1964 Berkeley protest, antiwar marches on Wash-
ington the 1967 assault on the Pentagon, explosive campus disruptions at
Columbia, Wisconsin, and Harvard, and the almost universal campus dis-
marand demonstrations after the invasion of Cambodia and the killings at
Kent Statethese are the events around which SDS created its role and
influence.
To what extent SDS was a response to curricular and institutional
inadequacies is not answered by this book, nor does it make a convincing
case for the myth 'it may indeed be perpetuatingthat SDS was "chiefly
responsible for most of the ..reforms in campus curricular and living condi-
tions." Even so, here is a book that has succeeded in catching and revealing
an important moment in the history of higher education: the decade of the
1960's, which, whether divided into the author's periods (reorganization,
, reform, resistance, revolution) or defined in some other way, was nonethe
less a remarkably instructive era for anyone who would understand the past,
deal with the present, or anticipate the future.
The book is organized chronologically, by seasons, like the acadc.nic
calendar, and includes as appendixes thanks to both J. EdgarHoover and
Mark Rudd, a list of organizations involved in the student movement of they,.
1960's, a list of SDS officers and membership statistics for 1960 to 1970,
and a,brief history of leftist student activity from 1905 to 1960.

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 CURRICULUM 1

5.0 CURRICULUM
7:5.0/80
"The. Teaching of Ethi in the American Undergraduate Cur-
riculum, 1876-1976," ugias Sloan, in Education and Values,
Douglas Sloan, ed., pp. 191-254 "(i'eachers College Press, New
York).
This essay on the care of ethics in the undergraduate curriculum
appears in a book consisting of contributions by scientists, philosophers,
theologians, and historians to What was originally a special issue of Teachers
College Record (1979). The inspiration for the volume was a common
interest in the connection b,itween values and knowledge, with the stated
intention of "reestablishi g imagination, insight, intuition, and human
t
values where they belOng, at the heart of reason." .
The burden of Doug as Sloans'-contribution is to show how and why
'ethical concern fell out of favor as a curricular purpose. In the traditional
classical college of the .first half of the nineteenth century, the capstone
course in moral philoiophy served three purposes: the promotion of intel-
lectual and curricular harmony; the accommodation of new subject mat-
terLespecially that which eventuated as social science; and the formation
and support of moral character among the undergraduates. Ethics were
served up in ways that encouraged a common set of values, a philosophic
basis for those values, and common ,standards of ,individual conduct.
The fragmentation of knowledge and the insistent appeaiance of new
courses reduced the role of the moral philosophy course, but even in the
developing universities at the-end of the century, the ethical concern of the
early social scientists and the reforming zeal of many of the new professors
compensated for the decline of the old capstone course. In the end, however,
scientific resarch and the rise of "value-free" objective social science won
out. Sloan takes an especially close look at what happened to psychology
and sociology as they were drained of ethical content and focus, and even to
philosophy, where ethics tought for recognition as an elective, competing
with other philosophical concerns as well as with .the entire exploding
course of study.
By 1965, the author concludes, the isolation of ethics in the curriculum
was exacerbated by the emphasis, in the teaching of ethics, on analysis and
theory, to the neglect of practical ethical considerations. The real enemies,
however, were the splintering of knowledge and the ascendancy of scientific
method as the favored mode of knowledge.

See: 24:2.1/77 Curriculum: A History of the American Undergraduate

Course of Study Since 1636, Frederick Rudolph,
Prepared for the Carnegie Council on Policy Studies in Higher Educa-
tion, this is the first book-length effort to encompass the history of the
215
249
 . 7 HISTORY

American collep and university. curriculum since the slender volume in

1907 by Louis Franklin Snow, The College Curriculumin the United States.
The chapters in Rudolph's work provide a chronological development of the
undergraduate course of study, emphasizing the relationship between what
was happening in the classroom and in the society at large. Although
Rudolph does not attempt to cover the intellectual developments that
changed the content and style of the various academic disciplines, he shows
hoW the growth of knowledge and the professionalization of the faculty
manifested themselves in the curriculum.
`"He begins his study with a consideration of the inherited English
, curriculum with which the colonial college' attempted to fulfill their obliga-
tions to traditiona compound of the medieval liberal arts, gentlemanly
concern with humanistic ideals, and the Reformation focus on religion. This
inherited curriculum. was soon subjected to the influence of "New Learn-
ing," the unleashing of scientific an'! experimental inquiry on a.scale That
henceforth would make the curriculum permanently unsettled. A notable
effort to rationalize the college course of study and to provide it with an aura
Of certainty and authority was a report issued by the Yale faculty in. 1828
describing and defending, course by course, what it considered to be the
essential curriculum. The Yale report established the model classical cur-
riculum for, the middle decades of the nineteenth t.:AturY, but it could not
withstand the demands fora tnore ut I itarittn edUcat ion and for colleges more
accessible to those who aspired to careers outside the old professions.
After the Civil Warunder the influence of air explOing scientific
knowledge, the research orientation of the German universities, and the
successful launching of Cornell (which. promised to teach everything to
everyorie)the required authoritative undergraduate curriculum as
envisioned by the Yale faculty. was rapidly eroded. One instrument of that
erosion was the elective principle, which Charles W. Eliot applied to the
Harvard coufse-of study as a means of transforming the college into. a
university. In reaction' to the.eurricular disarray and uncertainty introduced
by election, the concentration and distribution movement in the twentieth
century has attempted to give an element of stability to the college course of
study.
The author concludes that, -whatever certainty and authority there may
once have been in the curriculum, it has become a repository of "conflicting
purposes and contradictory educational philosophies" held together by "a
body of standard practices and expectations and a sophisticated bureau-
cracy. It is obvious that the author is a friend of liberal learning, but he does
not hide his belief that the time has long since passed when a faculty can
define a.required basic college course appropriate for everyone.

216

5
 CURRICULUM 74.0
p.

7:5.0/75 ,

Science and the Anteeliwit American CollegetStanley. M.

,Guralnick, 227 pp; (AmericanYhdosophical Society, Philadelphia).
Stanley Guralitick has, written a ,book that withdraws considerable
authority from the ignorance .and arrogance that have described the early
nineteenth century college as a marathon with prayers and Plato: His study is
a belated corrective to the widespread notion among the unread educated that
science. in higher education awaited the "xploiiiie growth Of universities in
the post-Civil War period.
'Responding to European scientif advances, expressing 'a somewhat
nationalistic sense of the need to invi orme American institutions, looking
for ways to increase their attractiveness to their potential'clientele, colleges
in the early decades of the nineteenth century asked themselves: What do we
'do'? New York UniVersity imagined itself.as a university and failed. R.P.I.
becalm scientific- and vocational, bur postponed .becoming a college..
Almost everywhere else,. the bachelor of arts program made room for
increasing segments of mathematical and scientific understanding, even
sooner than there were textbooks 'available to accommodate widespread
desire.
The evidence is overwhelming: the endowment of professorships in
science, support for new scientific equipment and trips to Europe for
professors authorized to buy it,-the 10-fold increase in'the number of science
professors emplOyed in higher education (182-1860), the intrusion. of
chemistry, geology, mtheralogy and bOtaily into a curriculum that was
total ly,unaware of them before the American Revolution.
Guralnick has explored the archives, the printed resources, even the old
and tired scientific equipment of IS colleges in the Northeast that produced a
majority of the country's pre-Civil War college 'graduates (Amherst,
Bowdoin, Brown, Columbia; Dartmouth, Dickinson, Harvard, Middle-
bury, Pennsylvania, Princeton, Union; VerniOnt, Wesleyan, -Williams,
Yale). He has subjected himself to a laborious but rewarding chronological
understanding of the difference between college mathethatics in 1820 and in
1860, and in all the years in between. He has followed the careers of
mathematics, physics, astronomy, and chemistry in the liberal arts course.
Whatever else he-may-have found, there can be no dispute about whether the
pre-Civil War college, omfortably embraced classical learning andscienee
and recognized a responsibility' to define scientific literacy one of the
qualities of'an educated perso'n.

217
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7:5.0/73
'"Stability and Experiment in the American Undergraduate
Curriculum," Laurence Veysey, in Content and Context: Essays on
College Education, Carl Kaysen, ed., pp. 1-63 (McGraw-Hill Book
Co., NeW York).
The volume in which Laurence.V eysey's'essay appears was sponsored
by the Carnegie Commission on Higher Education. His is the only essay in
the colic ction that i$ primarily historical. He provides, in effect as an
introduction to the diverse essays that follow, a succinct account of cur-
t ricular change and movement, the, impulses to common patterns and diver-
sity. He considers the challenge of the university to the old classical course,
the developing service and utilitarian orientatiodof the curriculum, and the
role of the genteel tradition in defining the function of liberal learning.
Among the topics covered are the major subject system, concentration
and distribution, and interdisciplinary courses.,He describes the duce poles
_

that 'define
,
the intrinsic limits of the curriculum," as being depth/breadth,
election/prescription, and abundance/scarcity of courses. The tone of this
brief-but perceptive-survey isinformed by judgments such as,this one: "It
may be seriously argued.. .that the paperback revolution of the 1950's did far
more to improve academic quality in this countrytham any curricular
innovation of the last 70 years." .

7:5.0/71-1
"Ha y, Chaos, and Consensus: The American College
Cu alum," Douglas Sloan, Teachers College Record, Vol. 73
pp. 22 1-251.
This brief but imaginative asSessment of the present and halite of the
college curriculum, informed by historical perspeCtive, takes the form of an
:essay revieW, of the historical literature: That is in trouble is
never- news, but efforts to explain the trouble are as diverse as they are
frequent. Is the democratization of higher education tilling the colleges with
resentful students so little inclined toward stilly that no curriculum can
satisfy? Is the orientation of the graduate schools toward academic disci-
plines ad research envelopintg the colleges in a standard homogeneous
course of study hostile to diversity and imagination? Such questions occur
when the history of the curriculum is passed in review.
Sloan argues that in the heyday of the small liberal arts college in the
early nineteenth century, the burden of education was widely shared with
theological schools, medical schools, academies, technical institutes, adult
extension, lyceums, and the like. Later the university incorporated this loose
fabric of educational institutions, including the college, into a consensus that
entitles the university to do and to be all things. The harmony of the old
college, where revivalism was curricular and science-and religion were
compatible, was succeeded by a chaos of conflicting demands and oppor-

218

25,_,"
 CURRICULUM 7411.0

tunities, creating tensions between revivalistic and rational religion, bask

and applied science, genteel and popular culture. irk

' His review, of the literature ancitof the pait leads Sloan to suggest that
the university ',4onsensus may be breaking up, may be subject to more
universality of access and more social discord than it can bear. What will
take its place is of course uncertain, but Sloan seems to point to greater
flexibility and diversity, less sameness of orientation, even &return to some
of the focus on teaching, the quality, of student life,eollegiality, character,
and moral ends that gave the pld colleges a sense of harmony,:

7:5.0/71-2
The Scottish Engllghtemflent and the American College Ideal,
Douglas Sloan, 298 pp. (Teachers College Press, New York).
English and German influences i,n shaping American higher education
have long been recognized, but until' in this study by Douglas Slows, the
impact of Scottish universities on American colonial colleges has been
largely ignored or misunderstood. SIAM makes it abundantly clear that
much of the intellectual excitement df the late eighteenth century colleges
owed its inspiration to Scottish universities, which were the embodiment of
Englightnment thought in Scotland, and to a band of Presbyterian ministers;
manyeducated in Scottish universities, who founded academies and col-
leges in the middle and southern colonies.
American academic life in the eighteenth century was invigorated_by
the belief in the power of education to reshape society and by &curriculum
increasingly receptive to new developments in science,- philosophy, and
teaching methods. Much of the inspiration for this vigor derived from the
Presbyterian acadethy movement, American students who 'attended Scottish
universities for medical training, and the Scottish and Scotch -Irish immigra-
tion. Its most -notable representatives were John Witherspoon, Benjamin
Rush, and Samuel Stanhope Smith, and its most important institutional
expression was the College of New Jersey (Princeton).
Sloan's study is organized around seven chapters: one on the Scottish
universities, onfbn the Presbyterian academies in America, foUr on impor-
tant merican exponents of Scottish influence, and one on the Scottish
impact On the American college curriculum. These chapters conclusively
support Sloan's contention that there existed "a genuirie trans-Atlantic
community that extended from beyond the Susquehanna to the Thamei
and, in education, to the Firth of Forth and above the River Tay." An
appendix lists the American Presbyterian Academies, 1740 to 1795.

219

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HISTORY,

6.0 BIOGRAPHY AND AUTOBIOGRAPHY

7:6.0/79
Howard Mumford Jones: An Autobiography, Howard Mumford
Jones, 294p. (University of Wisconsin Press, Madison). ti
Howard Mumford Jones, emeritus, professor of humanitiesit Harvard,
critic, and literary historian, has in this autobiograirhy quite unintentionally
written something of a comparative history of American higher education as
experienced by a sensitive humanist and a perceptive observer. Jones
attended LaCrosse State Teachers College in Wisconsiq before' attending
and receiving his B.A. degree from the Univirsity of Wisconsin in 1915.
The next year he received an M.A. in English from the University of
Chicago,, and from then on .threw himself into the professorial life on the
academic frontier (UniverSity of Texas .916717, 1919-25; .Univeriity of
Monutita,1917).; in the South (University, of North Carp line. 1925-30); in
the Midwest (University of Michigan, 1930-36); and in New England.
(Harvard. 1936-62).
Political influence on theuniversity in TeXas and corporate: nfluence
on higher education in Montana defined his early academic experiences. But
perhaps nothing was more memorable than the refusal of the University of
Chicago, having accepted his doctoral dissertation, to examine himfOr the
, degree because he had not taken enough. courses, (He got nowhere by
pointing out that, for a number of years, he had been teaching courses of
similar caliber in the University of Chicago summer term.) Jones refused to
take the courses demanded of him, never received the 'Ph. D. degree (certain-
ly- he carried, it), land was awarded .a prize of the American Historical
Association when the dissertation was published as ittneril and French
'Culture: 1750848 in 1927.
Jones. has had a knack- for being at the right places at =the- right'
times.-Wisconsin under Van Hise and Birge, Chapel Hill during its era of
intellectual and cultural renaissance," and Harvard during the decades
when its preeminence was unclouded and Jones himself could be misled into
asking in this autobiography, "Take the Harvard 'elite' out of the history of
.1
America,.and tell nie, what have you fefer
Jones' importance as a scholar rests on his interpretation of American
culture as the -result of "the slow adaptation of Old Worm assumptions to a
New setting , . the adaptation of European man to a new environ-
_niept physical, emotional, and intellectual." His autobiography is in part
an account of how he staked 'out a place for himself as an historian of
American cultural development, emphasizing, as he did in his dissertation
and in Many of his Anon' than 30 books, the role of imported cultural
influences. Jones cares about writing, which is another way of saying that he
also Cares about reading. .

4
 - BIOGRAPHY AND AUTOBIOGRAPHY 7:4.0

7:6.0/74
Josiah,: Quincy 1772-1864: The Last Federalist, Robert -A..
McCaughey. 264 pp. (Harvard University Press, Cambridge, Mass.);
Josiah Quincy prepared for his years as Harvard's 15th president
(1/329-1845) by being the 'quintessential Brahminan anti-Jacksonian
.

member of Congress, mayor of Boston, and .developer of what became

known as the Quincy Market. While only a quarter of this biography is
devoted to hi:. HarVard presidency,,thet chapters convey a vital senseof.a
oa
provincial college attempting to come to terms with and accommodate
urgent chiwge. Quiney;'says McCaughey, transformed Hary d "fr )m a
mismanaged, ill-disciplined . high school" ato a groping NT( consc
prototype of a university-in-process a quarter century. before Charles
William Eliot seized the opportunity that Quincy in part prepared.
Tgn years before Quincy assumed the Harvard presidency, theft had
been_an,vxpectation that_the young Americans who had gone off to-study in
Germany would return and invigoiatd the intellectilal life of Harvard..But
under President John 'Thornton Kirkland, those prospects turned sour,
undergraduate indolence and disorder took, over, reform failed. In selecithg
Quincy to succeed Kirkland, the Harvard -Corporation Was, consciously
.rejecting both scholarly and clerical qualifications: it wanted an administra-
tor, some one who could govern. What they got was an astute elitist who was
trying to be functional in a society that was becoming insistently equali-
tarian Upon his appointment; Quincy. took off from Boston for 5-week
tour of eastern colleges.
Quincy'sadministratiOn was notable for his success in putting down a
student rebellion in 1834, although, as McCaughey pointsout, henceforth
Harvard peesidents would have to govern without the love of undergradu-
ates. But what distinguished hiS tenure Were the policies that took.the college
from "the brink of despair Ito) . . . the threshold of greatness ": -a standard:.
ized grading system, agonsistent -discipline policy, nvigorating faculty ap--
pointments, optional studies, sectioning. by ability and interest in mathe-
matics, aigreatly augmented scholarship fund. His proposal that entrance
rcquiremnts be 'stiffened was defeated, and an experimental graduate pro-
gram in classical philology was allowed toexRire, but "by 1843 virtually
courses beyond the freshman-year at Harvard were-optional."
Quincy- rejected the open-enrollment trade school model propOsed by
critics of Harvard in the legislature, and instead responded to the aspirations
of those members of his faculty whO argued that the time had come for
Harvard to ready itself for the university that lay within its potential. His
retirement was followed by a reaction that was not repudiated until the
refighting era of Charles William Eliot.

V 221
7 HISTORY

7:6.0/73
Frederick ,Jackson Turner: Historian, Scholar, Teacher, Ray
Allen Billington, 599 pp. (Oxford University Press, New York).
.Frederick Jackson Turner's thesis on "The SignifiCance of the Frontier
in American History", was the .first great interpretive idea offered by an
American historian for synthesizing the country's past. Advanced at a
meeting of the American Historical Association in Chicago in 1893, it for
many years dominated th interpretation and understanding of the American
past. Now in disfavor, it has had no replacement: American history is today
lacking a widely acceptable synthesis. Turner's biographer and former
student, Ray Allen Billington, argues that for all of its commanding im-
portance, the -frontier thesis was not Turner's greatet contribution. That
designation tie. assigns to Turner's role, as an innovator in the use of
demographic techniques and interdisciplinary investigations.
Billington's biography is about a scholar who made notable contribu-
t in his frontier- -and sectional interpretations, to shaping American
history, but his focus is Turner's life as a college professor, those quali-
ties"his way of life, his ambitions, his hopes and frustrations"that
made his life in many ways typical of Thousands of other collep-.: and
university professors-. It is a portrait of respectable poverty, defined by
interrupted work, frustrating demands on his time,. failure, the trivia of
administration, and classroom preparation.
.
ArriVing on the University of Wisconsin faculty in 1889 with a brand
new doctorate from Johns Hopkins in the offing, Turner established himself
as. a prototypical acadmic man, soon learning how to use the,renlwn that
followed the gradual acceptance of the frontier thesis to build his own
position-and to strengthen his department at Wisconsin: Billington remarks44
that, "to lure Turner frOm the University of Wisconsin was the ambition of
many an administrator," just as "to stay at Wisconsin while benefiting from
the bidding fortis services was Turner's." In Billington's view, Turner was
"the premier graduate instructor of his generation," an originator of
exciting new ideas'who.emphasized the importance of broad knowledge and
experience joined in the undertakings of his students as a fellow explorer,
asking questions but never answering them.
In 1906, a politically inspired investigation of the Universit' attacked
its commitment to scholarship and research, -siting Turner's half-time teach-
ing arrangement'as'evidence of misdirected energy and purpose. In 1910.
Turner accepted an appointment at Halyard, offered by A. Lawrence Lowell
at the urging of Charles Homer HtAins of the History department and with
the assurance that Archibald Cary Coolidge, another colleague in history,
would guarantee Turner's salary of $5,000 for five years.
Turner was never completely comfortable at Harvard, but both there
and at Wisconsin, although producing only two books, his focus on multiple
causation and on the complex origins--social, economic, anthropological,

222

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 BIOGRAPHY AND AUTOBIOGRAPHY , 7115.0

and psychological of human behavior had the effect of prOdding the

historical profession "into a far more sophilticated technique of historical
analysis." in the meantime, as Billington's biography superbly demon.
. strates, Turner lived a professOr's life:

7:6.0/72-1 .

Between Harvard and America: The Educational Leadership of

Charles W. Eliot, Hugh Hawkins; 404 pp. (Oxford University Press,
New York).
The development of the American university has been the focustf the
scholarship of Hugh Hawkins, professor of history and of American studies
at Amherst. His 1960 study of the beginnings of Johns Hopkins (Pioneer: A
History of the Johns Hopkins University, 18744889) provided him with a
depth and understanding that enhances this definitive exploration of
Harvard's coming of age as a university under the leadership of Charles W.
Eliot, president from 1869 to 1909 and something of a public oracle from the
time of his retirement until his death in 1926.
Eliot was a determined and resourceful president whose life was in
many ways defined by the provincial college that he dragged, shoved, and
led to prominence in the university movement. Ancestors had populated the
governing boards, his father was treasurer of the college, he knew the place,
but he also understood the needs of the United States for great universities
responsive to the needs of a democratic and industrial society. Hawkins
shows how ENot fashioned Harvard into such a university, confronting and
ameliorating The tensions between science and'. religion, intellect and
democracy, and/culture and Utility. The issues in which these tensions were
imbedded included the elective curriculum, admis5ions policy, secondary
school reform, strengthening of the professional schools, and the clarifica-
tion of university purpose at,'the expense .of collegiate identity.
Hawkins accomplishes two purposes in this book: an account and
analysis of how Harvard moved beyond its history as a provinciil New
England college. to become a national university, and a study of academic
leadership. Eliot's 40 years as Haivard's president provide him with a
remarkable opportunity that he has admirably met.

7:6.0/72-2
G. Stanley Hall: The-Psychologist As Prophet, Dorothy Ross, 482
pp. (University of Chicago Press, Chicago).,
G. Stanleii. Hall was "oneof the leading figures in American scientific
and intellectual life' in the closing decades of the nineteenth century,and the
first decade of the twentieth century. As one of the firs scientific psycholo-
gists, he created, with William James, the academic discipline. He fostered
the child study movement that found expression in the work of his students

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Arnold Gesell and Lewis M. Terman, fie was the founding president of
Clark University. Hr formulated the modern concept of auolescence. In the
crowning achievement of his career, in 1909 he brought Freud and Jung to
Clark, giving "Freud his first academic recognition uhywhere in the
world."
Dorothy Ross'i definitive biography illuminates not only the develop-
ment of the uni' 'ersity movement but also the emerging discipline of psycho-
logy and the struggle of the late Victorian era to accommodate religion and
science: Hall, after graduating from Williams College, went off to Union
Theological Seminary as, his biographer relates, was appropriate for "a
young man of philosophical interests and slender means." But in .1869,,the
support of a private benefactor gave him the opportunity to study in Ger-
many, an experience that was followed by graduate study at Harvard with
James, further study in Germany, and eventually his appointment to the
chair in psychology and pedagogy at Johns Hopkins.
A biography of G.-Stanley Hall requires a new -telling of the Clark
University story, a tale of flawed benefactor, flawed presidential leadership,
and a debilitating struggle over whether Clark was to emphasize collegiate or
graduate purpose. The new university opened in 1889, Hall at the helm,
without an undergraduate college and with a faculty of 18 and a promising
group of 34 graduate students. Hall envisioned the University as a source of
trained specialists, an elite corps of experts, but this was a concept that
enlisted the support neither of Jonas Clark, the founding benefactor,-nor the
Worcester community. Seizing the opportunity created by the developing
tension, William Rainey Harper, putting together the new University of
Chicago, walked off with a third of the faculty and student body in the spring
of 1892; as many went elsewhere. Clark University never fulfilled the early
promise that Hall held out for it, but it was the site of the great 1909
conference that brought Freud to the United States.

7:6.0/71
Eliphalet Nott, Codman HiSlop, 680 pp. (Wesleyan University
Press, Middletown, Conn.).
Eliphalet Nottminister, orator, educator, inventor, promoter,
speculatorwas president of Union College from 1804 to 1866. He lived
one of those lives that reveal the essence of nineteenth century America:
optimism, money, moral ambiguity, wreckless speculation, imagination,
daring. His biographer salutes him with the judgment: "Probably not more
than a half-dozen other college presidents in the history of this country can
be said to have done so much so quickly with so little initial advantage."
Nott also may have achieved the longest tenure of any American college
president. The thought of a tenure so long is staggering, but Nott put it to
good use.

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 BIOGRAPHY AND AUTOBIO6RWHY 74.0
Nott moved Union from inconsequence to academic leadership, ar
identifying it with innovations in elective courses and in scientific and
engineering programs. His senior course in moral phllosophy was one of
those on Which lesser presidents and colleges patterned their own. In 1813,
he employed "U French architect Joseph Jacques Ramee to provide Union
with an integrateTdcampus design, one of the few such plans in the history of
American higher ed tion.
In 1815, Union offered a parallel, course with a senior year devoted
exclusively to science. In 1828, its parallel scientific course allowed stu-
dents to choose between ancient and modern languages, abstract and applied
science. In giving the' B.A. degree for both the traditional and parallel
programs, Union scandalized its critics; but of the attempted curricular
reforms of the troubled 1820's, those at Union were alone in being a
spectacular success. It alone created a curriculum that neither damaged the
intentions of the old curriculum nor denigrated the legitimacy of the new
subjects.
The public responded fayorably. Enrollment merrily increased, sur-
passing Harvard, Yale, and Princeton by 1830. In 1861; Union's graduating
class was the third largest in the country. By the time Non had been president
for 40 years, 30 of his former students, including Francis Wayland of
BroWn, had carried the Union style elsewhere as college presidents.
Nott was autocratic and devious; he certainly stayed in office after he
had outworn his usefulness, but at Union he created an institution where
ambitious young men could train themselves for a practical role in nine-
teenth century life in a moral environment presided oysr....brnne of the
Century's truly representative men.

Tt0/70-1-
Frank Aydelotte of Swarthmore, Frances Blanshard,. 429 _pp.
(Wesleyan University Press, Middletown, Conn.).
The thrust of American higher education has been so much in the
direction of equalin and numbers that it is remarkable that a biography can
be written about an important figure whose focus was quality and excel-
lence. For 35 years, Frank Aydelotte built a career around stimulating the
best to do their best. In this account of his life, written by a fonner colleague
and completed after her death by her husband (the philosopher Bland
Blanshard), Aydelotte becomes one of the legitimate heroes of American
academic history.
A graduate of Indiana University, Aydelotte was greatly influenced by
his experience as a Rhodes Scholar at Oxford, where he recognized the
university's commitment to "humane and liberal values, fostered by small
residential colleges where students were treated as individuals and as
adults" and subjected to rigorous intellectual experience and equally
rigorous examination. At Indiana University, where he first taught, his

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7 HISTORY

English courses were experiences in how to think. As president 'of

Swarthmore College,,1921 to .1939, he took an inferior college and made it
the equal of its prestigious neighbors, Haverford and Bryn. Mawr, by
developing,an honors program that captured some of the spirit of Oxford and
introduced into American higher education the distinction between a pass
and an honors degree. His career in the nurture of quality,encompassed his
role as American Secretary to the Rhodes Trustees, adviser in the creation
and awarding of Guggenheim Fellowshilt, and planner and director of the
Institute for Advanced Study . At one time he aired three offices, one at
Swarthmore, one for his Rhodes responsibil les, and another for the
Guggenheim Fellowships. Ilis*success was it out of a finely tuned
combination of precise planning, enthusiasm, and energy. .;
Somewhat more than a third of Mrs. Blanshard's study is devoted to the
Swarthmore years, but the whole is an uncommon account of an uncommon
num intent on establishing, maintaining4 and rewarding standards of excel-
lence in the intellectual life of the United States.-

7:6.0/70-2
Five Counter-Revolutionists in Higher Education, Michael R,
Harris, 224 pp. (Oregon State University Press, Corvallis).
Michael Harris had a fascinating idea, and he carries it out with skill in
this little book: Why not look at the ideas and careers of five important critics
of American higher education whose writings and scoldings made them
extremely visible during the years between World War I and World War 11?
These backward-looking romantics," as W.H. Cowley describes them in a,
foreword, were reacting against the professional, useful emphasis that
developed in undergraduate edlltation between 1870 and' 1900. Hostile to
the service function of the uniyer§ity, they rejected research, vocational
preparation, extension, and the concept of professors as consultantsthe
whole range of policies and activities with which institutions of higher
education went about de veloping."the ability of students to play useful roles
in society" and producing and communicating useful knowledge. Four of
Harris's five counterrevolutionists woilld have none of it; one would
eliminate the collegiate altogether.
Harris begins his stud', with a chapter on the University of Wisconsin,
using it for a case study of the rise of a university of operational utility Then
there is a chapter that introduces his counterrevolutionists, followed by
individual chapters on each of the five critics: Irving Babbitt, advocate of
humanistic standards fo an elite student body, who hoisted the banner of the
New Humanists at Harvard; Albert Jay Nock, who used his editorship of The
Freeman to advance the cause of character as the purpose of.higher educa-
tion; Abraham Flexner, unhappy with the intrusion of collegiate values into
the university, who would get rid of everythingbut research and did just that
as founder of the Institute for Advanced Study; RobertMdynard Hutchins,

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 BIOGRAPHY AND AUTOBIOGRAPHY 7s11.0

friend of great books and Aristotelian metaphysics. who identified the

University 'of Chicago with his outlook; and Alexander Meiklejohn,
advocate of the use of great books to develop socaal intelligence, who was
given an opportunity to try his ideas at the Experimental College of the
University of Wisconsin.
Harris' critics had 4ittle in common except their opposition to the
American college and university as they found it and their pessimism. Their
ideas were not contagious; their exhortations fell largely on deaf ears.
Perhaps the one other respect in which they were united wls in the relatively
slight impact they had on the general shape and tone of Atnerican higher
'education. Harris provides bibliographies of the five.

7:6.0/67
Woodrow VVibOnvirlie Academic Years, Flury Wilkinson liragdon,
-519-pp. (Haryard [University Press ,_Cambridge, Mass.).
Twenty-eight years of research and over 150 interviews went into this
4 full anti not completely digested account of the academic career of Woodrow
Wilson, ivho became president of the United States in 1913 at the age of 56,
after 3 years' political experience and a long career as an academician. Son
of college professor, Wilson attended Davidson College in North Carolina
1 a yeir before attending Princeton, from which he was graduated in 1879.
A year at the University of Virginia Law School qualified him to practice law
for a few years before entering Johns Hopkins, which awarded him the
Ph.D. degree in 1886. He taught political history at Bryn Mawr, Wesleyan,
and Johns Hopkins before joining the Princeton faculty in 1890 as professor
of jurisprudence and political economy..
Wilson's appointment at Princeton occurred at a time ywhen a struggle
was developing between conservative Presbyterian forces and a group of
liberal alumni intent on moving Princeton from its collegiate orientation to
university status .'At the time Princeton appeared tp be devoted toprolonging
the adolescence or privileged Presbyterians in an environment that could
only be described as a .big country college. Wilson's election to the presi-
dency of Princetonin 1902, the first layman in th ution's history, was a
victory of me alumni over the church, but Wilson was o academic radical.
His fascination with football as aniexperience in s ggle and orgartiza-
tion blinded him to its faults and perversions. He was posed to coeduca-
tion, women's education, electives, and the encourag ment of scientific
study; While at Bryn Mawr he wrote in his diary: cturing to young
women of the present generation on the history and inciples of politics is
about,as appropriate and profitable as would be turing to stone masons on
the evolution of fashion in dress." When he arrived at Wesleyan l; wrote:
"I have long been hungry fora class of men."
As president of Princeton, Wilson established himself as a conservative
reformer, proving himself more hospitable to science than earlier statements

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7 HISTORY

had promised, encouraging the shaping of academic departments, moving

'Princeton in the direction of solving problems created by the conflicting
demands of general education and specialization, and regenerating the
faculty. His most notable innovation was his corps of young preceptors,
instructors barely olderthan the undergraduates who functioned in a friendly
tutorial manner, their essential purpose beingto make intellectual activity
both respectable and exciting.. Wilson misjudged the opposition and
overestimated his own political astuteness and powers of persuasion when
he engaged the undergraduates and alumni in a battle over the social and
intellectual deficiencies of the Princeton eating clubs, and the dean of the
graduate college and the board of trustees over plans for the location and
style of a proposed new graduate facility. Like othei studies of Woodrow
Wilson, Bragdon's account of his academic years is a study of flawed
leadership. -

7.0 LEARNING AND SCHOLARSHIP

7:7.0/80
A City and Its Universities: Public Policy in Chicago, 1892-1919,
Steven J. Diner, 263 pp. (University of North Carolina Press, Chapel
Hill).
What difference does iuniversity make to a great city? One resounding
answer emerges from this study of.the years between the opening of the
University of Chicago in 1892 and the defeat of one of its professors for
mayor in 1919, In between, the University made all the difference in the
world to the city of Chicago.
In its early years, there developed at the University of Chicagoand to
a lesser degree at nearby Northwesterna self-conscious faculty of acad-
emic professionals and experts who established themselves as the soutce of
authority for solutions to the problems of modern urban industrial society.
With the support of urban reformers and men of good will in the business
community, the professors were caught up in Chicago's determination to be
both fin expression of democracy at its best and of "culture" as well. They
pressed solutions in education, criminal justice, social welfare, and munici-
pal administration. The roster included Albion W. Small, Charles E.
Merriam, John Dewey, George Herbert Mead, Ernst Freund, Sophonisba
Breckenridge, and Edith Abbott. Their supporters in the community in-
cluded McCormicks, Cranes, Rosenwalds, and others.
The author views historically and sympathetically the developments
that Thorstein Veblen deplored in The Higher Learning in Americathe
connection betWeen the University and the life of the city that Veblen
considered a corruption of learning. On the other hand, Diner provides a sort
of historical exoneration in a series of chapters on how professors went about

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creatingal fiances and contributing to the solution of specific problem's. They

were neither corrupted-nor always successful; indeed, the defeat of Merriam
for mayor in 1919 suggested that although the reformers might know best,
the political machines were able to keep the loyalty and support of the great
mass of voters who the professors and-their elite colleagues were champiOning.
This particular moment in the history of the American university was
made possible by the coming together at the same time of academic profcs-
sionalization, the appearance of universities, explosive urban problems, and
rationalizing bureaucracies. The professors shaped "modern Mechanisms of
public policy" as expressions of urban reform, and when they were rebuffed
by the successes of urban political machines, they and their adherents
increasingly looked to Washington as an appropriate arena for action. In the
meantime, however, out-,Of the experiences of the Chicag professors.and'
their colleagues elsewhere came "the rise of public administration, urban
and-regional -planning-,-and administrativelaw;" not-just-as academicfsub-----
jests but as vital ways of conducting public life.

7:7:0/79-1
1 tie Rise of American Philosophy: Cambridge, Massachusetts
1860-1930, Bruce-Kuklick., 674 pp. (Yale University Press, New
Haven, Conn.) . .

This study of the history of philosophy at Harvard is much more than its
title' suggests. It is true that a report of a committee of the Board of Overseers
found philosophy to be moribund at Harvard in 1860 and that a book'on
Contemporary American Philosophy published in 1930 was.dominated by
Harvard,- but this is -more' than- an account' of philosophy triumphantin...,
Cambridge. During the 70 years covered by this investigation, American
-philosophy achieved significance and pragmatism -ways given definition as a
coherent_ and ordered. philosophy. And where this was happening was
Harvard.
in "synthesizing the thought of fifteen philosophers with the history of
an institution," Kuklick has focused on the relationship between the
philosophersamong them Charles Pierce, William James, Josiah Royce,
George .Santayana, Alfred North Whitehead, anu C.I. Lewisand their
academic affiliation. Harvard, he finds, provided a shaping environment for
their thought. His own attempt taunderstand their ideas leads him into the
society that nurtured them and the men who espoused them.
The result is a remarkable adventUre in intellectual history,'educational
history, and the history of professionalization. The book is divided into five
sections: a consideration of the period of amateurs and theological crisis that
culminated in the eclipse of traditional intellectual and moral philosophy,
the impact of Darwin, and the emergence Of Charles Sanders Pierce; the
years 1869 to 1889; the years 1890 to 1912, both of these.eras belonging to
what the author called the "Golden Age"; the years 1912 to 1920, a period

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7 HISTORY

of crisis; and, finally, the triumph of professional philosophy, the transition

from philosophers to philosophy professors, and the structuring of a world of
teachers and students.
The history of philoSophy in Cambridge from the Civil War to the
Great Depression," the author concludes, "illuminates the history of
American thought as a whole: it is a history of Harvard writ large; Moreover,
the story of the professionalization of philosophy at Harvard epitomizes the
professionalization of the academy in twentieth-century America." The
appendixes include a list of recipients of the Harvard doctorate in philosophy
between 1878 and 1930.

7:7.0/79-2
The Organization of Knowledge in Modern America, 1860-1920,
Alexandra Oleson and John Voss, eds., 478 pp. (Johns Hopki%s
University Press, Baltimore, Md.).
Nineteen contributors, most of them historians, were invited by. the.
American Academy of Arts and Sciences to focus their expertise on various
aspects of the developments that created, in the years under review, an
"expanding network of national organizations for the advamment of
specialized knowledge." In the words of the editors, "these essays il-
luminate the interacting forces that brought the American order of learning
into existence' at a critical time in the development of knowledge and
American society." This volume presents a series of close inspections of
how Americans concerned with nurturing thought moved. beyond regionally
isolated learned societies (the subject of an earlier Academy project: The
Pursuit of Knowledge in the Early-American Republic: American Scientific
and Learned Societies from Colonial Times to the Civil War) and created the
organizational structure that, while its contributions to knowledge were
vastly overshadowed in significance by those of Europe, would in the
decades after 1920 move the United States into "a poition of eminence in
the intellectual world." This latter development will behe subject of a third
volume.
The essays in the 1860-1920 volume consist largely of case studies of
various academic disciplines, applied fields, and institutions. And while
they soundly document the key roles of the rise of the university in the
organizational complex that creates, promotes, and sustains learning, the
essays as a whole clarify the integral role of sucn government agencies as the
Department of Agriculture, the U.S. Geological Survey, and the Library of
congress; private philanthropy in its various manifestationsmuseums,
specialized libraries, foundations; such industrial firms as General Electric,
Westinghouse, and DuPont; and the national associations of specialists that
federated in 1919 to become the Amerian Council of Learned Societies.
Most of the essays are provocative and clarifying, seldom definitive but
always suggestive and imaginative. Among the contributors are John
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Higham on "The Matrix of Specialization," Edward Shils on "The

AsCendancy of the University," Laurence Veysey on "The Plural
Organized Worlds of the Humanities," Hugh Hawkins on "University
Identity: The Teaching 'and Research Functions." There are essays on the
social sciences, the physiCal sciences, ,and biology, as well as on the
Carnegie institution of Washington and the National Academy of Sciences.
WY

7:7.0/78
Americans and German Scholarship, 1770-1670, Crrl ;Diehl, 194
(Yale University Press, New Haven, Conn, ).
In the nineteenth century, between 9,000 and 10,000 Americans
studied in German universities, with , profound impact on American .

academic and intellectual. life. This book is concerned -ith "the gradual
evciution of [a] Sense. of personal and social
. .Atment to the
scholarly vocation" in the United States, and it USC.i the contrasting
experience of the first and second generation of American students in
Germany as a means of getting at that process.
In the early decades of the century, the author concludes, Americans in
Germany studied philology and learned to look at classical languages and
literature historically. They experiefeed literary texts as insights to language
and culture. On the whole, however, this generation of students had trouble
reconciling "humanistic vision with the practice of scholarship." They did
not learn to be Germanic scholars, and at hoine, where there was little use for
the talents of Ticknor, Everett, and Coglwell, they had little influence. For,
the generation that followed, however, the story was to be different. They
learned the scholarly message but did not catch the humanistic vision 7and
thus returned to the United States prepared to reshape American higher
education along lines of specialized, conventional, mechanistic scholarship.
As Diehl sees it, the business of nineteenth century intellectual life as it
was formulated in the German' universities was to del-site "a scholarly
problem, the fc,fm that a scholarly explanation should take, and the kinds of
data that would be permitted to count as evidence in a properly scholastic
account of reality." In recording the triumph of technique in huManistic
_study over humanism itself, the author attempts a tentative exploration of the
"evclution of modern scholarship in the humanities...the acquisition of
technique and the rejection of vision by Americans who studied in German
universities.." r
This study is divided into six chapteri that explore the transfer of
German scholarly technique to the American uniyerMty:' a consideration of
the Gernianic scholarly ideal; a case study of the paradigmatic German
scholar; an account of the movement of Americans to the German universi-
ties from 1800 to 1870; the failure of the early students to assimilate the
scholarship and style of German learning; the growing acceptance of the new
learning in the United States; and the triumphant return of a later generation

231
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7 HISTORY

that mastered the techniques of German scholarship and brought to

American higher education the apparatus and style of graduate study in the
arts and sciences. Exemplars Of the later generation were William Dwight
Whitney, the first American Sanskrit scholar; Edward Elbridge Salisbury,
the first American philologist; Francis Child, from 1851: to 1896 professor of
English at Harvard; Basil Gildersleeve, professor of claisical languages at
Johns Hopkins; and G. Stanley Hall, pioneer American experimental
psychologist.

7:7.0/77
The Emergence of Professional Social Science: The American
Social Science Association and the Nineteenth Century Crisis of
Authority, Thomas t. Haskell, 276 pp. (University of Illinois Press,
Urbana, W.).
While this volume covers the same years and explores the same general
subject as Furner (Advocacy and Objectivity: A Crisis in the Professionalizu-
tion of American Social Science, 1865 -1905, 7:7.0/75 - I ), Haskell's interest
is the amateur social scientists who were eclipsed by the emerging proles-
sionals on whom Furner focused her attention . 'Both books document the rise
of the professionals and the changing requirements for those who would
speak with authority on the questiOns and issues appropriate to social
science. They are marvelously complementary.
Haskell has essentially provided us with the career of the American
.

Social Science Associationits appearance in 1865 as a, club of genteel

New England intellectuals and reformers who wanted to understand and
improve post-Civil War America, and its displacement by the emergence of
the professionals who, in the 1880's and 1890's, created a new group of
learned societies appropriate to their specific professional yearnings. The
American Social Science Association folded in 1909, a date that may be
taken not only as signifying the establishment of the authority of the
professionals but also the end 'of the amateursthe lawyers, doctors, and
clergymen who, as untrained formulators of social theory and social practice
in an urbanizing industrializing society, brought their humanitarian and
religious values to the solution of contemporary problems.
T amateurs played a significant re: in civil service reform, in
crea g the National Conference of Charities and Correction, and even in
lo ding the professional organizations that woul define them as amateurs.
their loss of credibility was assured by explanations and understandings
rooted in an agrarian past, by an idealism that was unable to take the measure
of urban and industrial reality, and by an ethic of self-reliance that the
professionals were arguing was inappropriate to the scale 'and nature of the
problems that beset modern society.
Haskell's book makes a contribution 'to the history of prolissionaliza-
tion and of the academic disciplines, both their organization and their
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 LEARNING AND SCHOLARSHIP 7i7.0

intellectual content, but it dOes much more. Here are the first professional
scientists, the economists and sociologists. and political' scientists making
their way into college and university faculties, rejecting the individualistic
and religious path to social reform in favor 'of an approach both more
collectivist and secular. This development would have lasting importance
far the nature of academic communities, tensions in academic governance,
and the role of the academy in society.

7:7.0/75.
Advocacy & Objectivity: A Crisis in the.Professionalization of
American Social Science, 1865.1905, Mary 0. Furner, 357 pp.
(University Press of Kentucky, Lexington).
This study of the emergence of self-conscious professional econo-
mists, sociologists, and political scientists at the end of the nineteenth
century is a pioneering work that received the Frederick Jackson Miner
Award of the Organization of American Historians. In it, Furner does not
concentrate on the basic knowledge of the emerging disciplines but instead
on how the new professionals separated themselves from their amateur
social science predecessors and clarified both the dimensions of their own
specialities and their expectations for themselves as professionals. This is
social history broadly conceived: an inquiry into Complex social groups at a
time when a new breed of academicians was defining the ambitions, func-
tions, and values appropriate to their professional mission.
Furner has diawn heavily on the personal papers of some of the
leading early social scientists-7Richard T. Ely of Wisconsin, E. R. A.
Seligman of Coluinbia; Henry Carter Adams Of Michigan-as well .as on
the presidential papers of James B. Angell of Michigan, William Rainey
Harper of Chicago, David Starr Jordan of Stanford, and Andrew D. White
of Cornell. These' and other sources have allowed her to describe and
analyze the social scientists as they wrestled with the tensions created by
their quest for scientific 'objectivity and their role as social reformers. One
significant consequence of that tension, the definition and codification of
standards of academic freedom:receives a fresh perspective in this study.
Furner shows how. those social scientists concerned with market
phenomena turned toward economics, while reformers drifted toward
sociology and political scientists were shaped by an interest in public
administration. The book is a contribution to the understanding of profes-
sionalization as a social and intellectual phenomenon. It clarifies the ways
in which an emerging university movement in the United States fed.and fed
upon the emerging social scientists, who in turn fed and fed upon the
universities as they achieved and defined their own professional status.

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7:7.0/74-1
"Economists As Experts: The Rise of an Academic Profession in
America 1870-1917," Robert L. Church, in The University in
Society, Lawrence Stone, ed., Vol. 2, pp. 571-609 (Princeton
Univerity Press, Princeton).
This essay is a contribution to the growing body of historical studies
pertaining to the beginnings and development of the professionalization of
the academy in,the United States. In this instance, the author's purpose is
to describe and understand the process whereby academic economists,
from 1870 to 1917,, provided relevance and value to academic careers by
asserting an extra-academic influence and establishing themselves asimen
of consequence in society. In the author's view, "the shift from a stress on
moralism and reform [18701 to a stress on objectivity and science [19201
. . . is best seen as a shift in strategy designed to enhance the economist's

capacity to affect society:"

7:7.0/742
"The Transformation of American Academic Life: Harvaid
University 1821-1892," Robert A. McCaughey, Perspectives in
American History, Vol. 8, pp: .237-332.
This essay convincinglychallenges the conventional wisdom that has
assumed that the emergence of professionalism ori university facultieS was
a sudden, dramatic, late nineteenth century phenomenon.' As the author
remarks about his study, "details about the impetus, timing,; and
mechanics of professionalization within a specific institutional setting,have
never [before] been presented." The instrument of his study is "an inves-
tigation of the, origins, inherited socig,status, education, career patterns,
self-images, and institutional perceptions of the 179 men who comprised
the Harvard faculty at five- points [1821, 1845, 1869, 1880, 18921
spanning the nineteenth century."
Itis the author's thesis that, during the nineteenth century, the,
Harvard faculty was transformed in two Ways: it slowly became more
professional in credentials and outlook, and more universalistic and ;less
particularistic: "What has he done?" becomes more important than "Who
is he?", a distinction "absent in the 1820's . . . adumbrated in the 1840's
. and operative at Harvard long before 1869."

McCaughey finds the characteristics of the professional in the

ascendancy in his sample of professors: certifiable training in an academic
specialty; experience as a teacher-scholar in a probationary capacity,
employment by an, academic institution as a specialist; commitment to
publishing for other specialists, a priority of scholarship over teaching. He
finds a gradual increase of appointments to the faculty of "outsiders,"
which he defines as academicians with impersonal institutional ties,
professors lacking aniy privious ties with the institution of present
268 : 234
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LEARNING AND SCHOLARSHIP 717.0

employment, and professors with broad, occupational and social contacts

beyond the institution.
McCaughey has employed the Harvard archives imaginatively and
has supported, his findings with an impressive battery of appendixes that
include an outsider index, a professional index, and a 'typology of the
Harvard faculty by institutional pereptions, as well as studie, that estab-
lish size and rank-structure, 'geographical origins, and faculty rosters. This
essay is rare in seeing the academy from the peripective of the faculty, for
if students have been neglected by historians, so have professors: there 'is
no history of. the profession. One result in the historical literature is an
overemphasis on the president. .

7:7.0/70
The Unitarian Conscience: Harvard Moral Philosophy, 1805-
1861, Daniel W4lker Howe,. 398 pp. (Harvard University Press,
Cambridge, Mass). ..
Here is a book that is a reminder of what colleges and universities are
all about:. ideas. Thelauthor has written an intellectual history, taking as his
focus the Unitarian frame of mind that prevailed at Harvard and among
many of its graduateS for the first two-thirds of the nineteenth century. The
election of Henry Ware to the Hollis professorshipof divinity in 11305

signaled the retreat Of orthodox Calvinism from Cambridge and a shift in

the ethical point of view of Harvard. Henceforth Harvard was enlisted in
advancing the cause of liberal Protestantism at. the expense-of Calvinist
theology, adjusting Christianity to the Enlightenment, and emphasizing
ethics rather than ogma, life rather than creed. Unitarianiim may have
been a religion of elite, but it was an elite.that mattered: Boston in those
years was the I rary and intellectual center of the country, and it was
pervaded by H and Unitarianism.
Moral p ildsophyevery undergraduate was exposed to itwas, in
a curricular sense, successor to theology and ancestor of the social
sciences. Ho e builds his account of Harvard moral philosophy around a
study of the works of 12 leading Unitarian intellectuals of the Harvard
schoolfour occupants of the Alford professorship of moral philosophy,
tour other Harvard professors, and four Harvard-trained Unitarian min-
isters. These include James 'Walker, Francis Bowen, Henry Ware, Sr.,
Andrews Norton, and William Ellery Channing. The author devotes five
chapters to a study of their theory and explication of the humanism and
liberalism that made them; in his view, "the most attractive representatives
or the modem bourgeoisie." Another five chapters examine thf; implemen-
tation of their theory in the community, inreligidn, literature, politics, and
education, and in confronting the slavery question.
Although "orthodox professors 'at Yale and Princeton' enjoyed the
approval of a wider public in their day," Howe concludes that "the long-
235
7 HISTORY

range impact of the Harvard moralists on American religion was more

significant." Their optimism and humanitarianhm, as well as their role rn
mitigatingAhe "callousness of laissez-faire '.4pitalism," left their mark on
the country's moral and intellectual ,life. Science, Biblical criticism, and
the changing nature of the university, in the end undermine their
influence. but there is no understanding the moral and intellectual thrust of
nineteenth century America without acknowledging the contribution of the
Harvard moral philosophers to academic scholarship, Transcendentalism,
the genteel tradition in American literature, humanistic religion, philan-
thropy, and social reform.

236
 I

Independent Higher Education

Virginia Andtiodgicinson*

More than 1,500 institutions of higher education in the United

States are classified as private or independent. In recent years, the
latter term has gained favor with the private sector under the
rationale that all iotitutions, whether controlled by the state or by an
independent board of trustees, are "public" in that they serve the
public welfare and are accessible to all who meet admissions
criteria. Further, such institutions have been recognized by both
state governments and the Federal Government as a significant
resource in meeting society's demand for a skilled, educated work
force. Programs providing support for independent institutions and
their students have been legislated at both levels of government.
Many of the issues affecting independent higher education are
included in other sections of this bibliography; such as those dealing
with planning, finance, and student aid. However, there are some
issues that are peculiar, to independent higher education, both from
the perspective of pubic policy and from a constitutional basis, that
relate to the very essence of the role and missions of independent
colleges.

'Abstracts for 13 publications issued before 1979 were prepared by Elden T. Smith, who
served us the original Associate Editor for this chapter.

237

271
 INDEPENDENT HIGHER EDUCATION.

This section deals with these issues in two parts: first, in terms
of the special relationship that has been established between the
independent sector 'and the Federal and state 'governments; and
second, in terms of the philosophical and policy etinerriithafderive
from this relationship, as well as policy issues unique to the inde-
pendent sector.
The State and Federal Roles. Both the states and the Federal
Government play major roles in providing support to independent
higher education. State governments, traditionally the primary
source of 'support for higher education', also have a direct relation-
ship to °independent colleges and universities as the ,chartering or
certifying agencies for those institutions. Moreover, in the last 2
years, almost all of the States have established programs of financial
Assistance to- independent institutions and their students, including
student scholarships and grants, direct institutional support, con-
.. tracts for services, facilities assistance, and special purpose and
formUla grants. This relationship is further enhanced by the involve-
, ment of the independent sector in statewide planning, in cooperative
arrangements with public institutions, and in coordination of pro-
,

; grams and curricula, and by the implementation of portability and ,

reciprocity in state student aid programs.
The Federal role also has been important to independent bigher
edtration. Virtually all legislation establishing Federal programs of
assistance to higher education has enabled, either by _legislative
language or intent, independent institutions and/or their students to
participate in these programs. Federal initiatives have been primarily
in the areas of student assistance (grads, direct loans, and guaranteed
loans), facilities grants and loans to institutions, categorical aid for
education in the sciences, humanities, and arts; and research grants
and contracts for services.
Although student financial assistance is handled in Chapter J7
of this bibliography, some studies -on state and Federal policy
specifically relating' to independent higher education are inclUded
here. The entries range frorti national studies on Federal and state
policies toward independent; higher education to the participation of
independent institutions in statewide planning and coordination. The
focus of these_ studies is the Federal and/or state role toward inde-
pendent colleges and universities, as opposed to Federal and state
policy applying to both the public and private sectors.
Philosophical Questions and Policy Concrns. The receipt of
public funds by private institutions carries with it a mandate for
238
 INDEPENDENT HIGUER EDUCATION II

accountability, tor compliance with goVernment regulations and

guidelines, and for acceptance of specific goals and broad social
objectives. indeed,' the mere exemption from certain forms of taxa-
tion for nonprofit educational institutions implies a limitation on
freedom and independence. Although recent court decisions
have tended`to' minimize the issue of constitutionality of various
programs of state and Federal aid, it is never fat removed.
Further, government involvement with the private sector tends
to limit the distinctiveness of independent institutions. As inde-
pendent colleges and universities increasingly seek government
financial assistance, and as state institutions increasingly_seek funds-
from business and industry, alumni, and other-private donors, the .

distinction between the two, sectors. becomes less pronounced.

.

Howeverc it -is -argued. that-indirect- funding--from- Federtil -and- state --

.governments through student assistance provides more autonomy for
both public and independent institutions.
Any bibliography covering the topic of independent higher
education and government must include publications dealing with
the issue of accountability vs. autonomy, the effects compliance
with laws,. regulations, and guidelines on 'institutional policies and
practices, constitutional question's, the impact of publicifunds on the
independent sector, and the concern 'of independent 4o1 leges with
diversity.. The entries in this section, in dealing with (these topics,
cover a range of both. philosophical_ issues and policy_ concerns. The
range includes studies of specific types of independent institutions,
-from church - related colleges _co. women's colleges; rpOlicy changes
specifically .related to the condition of independent! colleges and
universities in the areas of mission and financial vitality; and speCific
studies relating to legal issues and independent higher education.
'collection of entries is eclectic in nature, but always reflecting
issues peculiar to independent colleges and universities
nature, their missions, and their specitie.problems and challenges.

TOPIC ORGANIZATION

8: . Independent Higher Education

1.0 The State and Federal Roles
2.0 Philosophical Questions and Policy Concerns

239

27,3
 INDEPENDENT HIGHER EDUCATION

1.0 THE STATE AND FEDERAL ROLES

8:1.0/80-1 .

Economic, Social and Cultural Impact-of Independent. Higher

Education on Missouri, -Independent Colleges and Universities of
Missouri-Research Foundation.; 90 pp. (Independent Colleges and
Univ.ersities Of Missouri-Research Foundatiorf, St. Louis).
This study demonstrates the combined economic, social, and cultural
impacts of member institutions of the htdependent Colleges and Univer-
sities of Missouri on the State of Missouri and on local communities. For
example, it shows that, in terms of total payroll, these institutions.are one
of the fop industries in the state, generating more than $1.3 billion annually
in Missouri's economy and.accbunting for over 27,000 jobs in'the state.
The importance of this study goes far beyond its relevance to
---------lvfissouriAt'is-unique-in being OnebithelirstlitS kind in thedation arid,
in showing not only total economic impact, but also in giving the breakout
of the impact on various economic sectors of the state. It is an ex-Cellent
example of an impact study, and the methods developed in this study can,
with minor modifications, be readily applied in otherstates.

8:1.0/80-2'
The Independent Sector and Statewide Planning for Higher
Education: The Data Initiative, 58 pp.; Suggestions for Imple-
menting the Data Brokerage Function in the State AssolciatiOn,
32 pp.', SOme Policy Consideratioins fOr the 1980's, 13 pp.-, Gerald
H. Lunney and Eric D. Walters. (Council of Independent Kentucky
CollegeS and Universities, Danville).
In-three related papers, the authors, both of whom- are -on the -staff of
the Council of Inexpendent Kentucky Colleges and Universities, report on
the Council's experience in examining the policy implications of the State
Level Information Base (SLIB) project of the National Center for Higher
EductitiorrManagement Systems. Their purposes in developing a response
to the SLIB project were to point.out.the potential misuse of data should the
relationship between independent institutions :end the state coordinating
agency deteriorate and to stress the unnecessary paperwork burden that
could be imposed by state agency's expectation that independent institu-
tions provide.the same data as public institutions.
. In general, the Council recommends that state agencies, in requesting
planning data from the independent sector, "be sensitive to the nature of
these institutions, its relationship to the institutions and the burden which
its data requests will place on the institutions." Further, the Council
stresses the fact that "a significant amount of information exists in a
240
 THE STATE AND FEDERAL ROLE

variety of state agencies which could be used by individual colleges and

universities for institutional planning."
The Council's approach is relevant to other .states' situations and
needs. It serves as an important source in generating planning data and
offers guidance and suggestions for independent institutions and state
planning agencies in other' tates.

8:1.0/80-3
Keeping Pace: Trends in Federal and State Financial Aid for
Students in California's Independent Colleges and Oniversities,
1,975-76 to 1980-81, Morgan Odell and John 'Thelin, 65 pp.
(Association Of Independent California Colleges and Universities,
Santa Ana).
This report analyzes the effects of needbased financial aid on stu-
dents attending colleges and universities in California. It includes informa-
tion on students and on the amounts of financial assistance at public and
independait institutions, and it reports on the impact of inflation, tuition
changes, and financial aid on these colleges.
Outside of California, the general importance of thiS report is a sig-
nificant case study. The authors have gathered a large amount of informa-
tion from a variety of sources and put it into a single volume to,focus policy
discussions. The report also serves as a model and slurcebook for student
aid policy discussion in other states in suggesting guidelines, logic, and
sources that lend themselves to analytic strategies for policy planning,
8:1.0/78
Independent College and University Participation in Statewide,
.Planning for Postsecondary Education, Jay L. Chronister, 62 pp.
(National Institute of Independent Colleges and Universities,
(Washington, D.C.).
In this volume, Jay L. Chronisar, an associate professor at the Uni-
versity of Virginia's CeRter for the Study of Higher Education, describes
the results of a 'study of the participation of the independent sector in
statewide planning for postsecondary education. The study was designed to
provide information on the operational relationships between the inde-
°pendent sector and state planning agencies and to report on the issues and
accomplishments of the independentsector in statewide planning.
Among the conclusions noted by Chrorlister are that nearly every state
has one or more mechanisms for involvirii independent collegesdand uni-
versities in state planning for 'postsecondary education; However, there is a,
significant difference between gm planriing -agencies and the independent
college associations in tPrms'of agreement on the mechanisms for involve-
ment, activities in which the independent sector participates, the level of
the participation, and the use of measures of success.

241
27 5
 a INDEPENDENT HIGHER EDUCATION

From a policy perspective, the study is important for two reasons.

First, although a number of mechanisms and strategies for involving the
independent sector in the planning process are identified, the importance of
these mechanisms lies in the quality of the participation in those states
where the participation is identified as successful. Second, in comprehen-
sive planning, the issues that policymakers face seem relatively ,common
across all sectors. If a state desires to achieve efficiency and effectiveness
in meeting the postsecondary .education needs of its constituencies, all
institutions should 'be viewed as potential resources. This study demon-
strates that not all states have:taken that view toward the independent sector
in terms of planning.

-8:1.0/71-1
State Aid to Private Higher Education, A.E. Dick Howard, 1,02U
pp. (The Michie Company, Charlottesville, Va.).
This volume presents a detailed and thoroughly documented study of
the constitutional c'!mensions of state aid to independent colleges 'and
universities in the 50 states. A.E. Dick HoWard, a law professor at the
University of Virginia, discusses both the federal and state constitutional
constraints within which those drafting programs of aid to independent
higher education must .work. Jay L. Chronister of the University of
Virginia's School of Education has, contributed a chapter, that outlines
policy considerations and describes aid programs operating in the states
Various state-by-state analyses follow a format that includes relewnt
provisiOns of each state's constitution, a sketch of historical events relating
to church-state relations, and a commentary on the current state of the law.
Because of many changes in state aid prOgrams that have occurred
since the study was completed in 1977, Howard'S work is partially out-
dated. However, as a historical reference and constitutional guide, his
analysis is extremely useful in the policy considerations regarding stale aid
to independent higher education in the

8:1.0/77-2
Final Report and Recommendations: Task Force on State Policy
and Independent Higher Education, 52 pp. (Education Commis-
sion of the States, Denver, Colo.).
This report recommends that each state develop a policy regarding the
independent institutions that serve its citizens. Such a policy should be
developed in light of state purposes and with a clear understanding of the
, conditions and role of independent colleges and universities. Rill participa-
tion by the independent sector in statewide planning is urged.
The report suggests alternative approa0es to state support, such as a
student-centered approach for the - creation of a= network of =institutions,

242

276
 THE STATE AND FEDERAL ROLE 01 1.0

both state and private, providing services and subsidized through direct ix.
indirect grants, contracts, loans, and other means. The choice of alterna-
tives would be largely determined by constitutional restraints and by the
history and tradition of the state's higher educational structure. The
importance of maintaining institutional integrity and autonomy in both
private and state institutions is stressed. Further, the report emphasizes the
need to continue and enlarge. Federal programs, especially through the
mechanism of the State Student Incentive Grant Propel.
The report also examines the current (1976-77) status of independent
higher education, its role in serving the public interest, and the rationale for
maximum utilization of the private sector. Constitutional and legal issues
in each of the 50 states are discussed. The report is well-documented by
statistical tables and a series of exhibits detailing existing state programs,
fund expenditures, participation in statewidl planning, court decisions,
enrollments, tuition differentials, and the like.

8:1,6/76
Private Higher Education and Public Fundhig, Louis T. Benezet,
62 pp. (American Association for ijigher Education, Washington,
D.C.).
In this paper, Louis T. Benezet dischsses the present status of private
higher education, describes the various kinds of public funding that have
been provided, and analyzes the issues of independence and autonomy,
public policy, and the rationale for a dual system of higher education in
America.
In the first chapter, Benezet admits that private higher education is in
trouble and cites evidence that this is an ongoing problem. He reviews
-efforts to pin substantial financial support from donors and from business
and industi:, through organized, cooperative efforts such as the state
foundations of private colleges and the Independent. College Funds of
America. He concludes that although the total dollars raised in such efforts
have been significant, the result has been disappointing in relation to total
institutional operating budgets: He also concludes that the private sector
cannot survive entirely on its own and that recourse to tax funds is in-
evitable. He then proceeds, to discuss Federal aid policies and programs,
traces their development, and evaluates their effectiveness.
In his summary and conclusions; Benezet call g on private institutions
to challenge certain basic, assumptions by addresng such questions as:
How do the liberal arts liberally educate people? Do private college faculty
members give personal attention to students? If so, what differences in
outcomes are evident? What impacts do institutional autonomy and
diversified financial support have on a college campus? Perhaps the chief
contribution of Benezet's study is his critical but nonpartisan approach to a
subject that has few objective commentators.
243

27'/
 INDEPENDENT HIGHER EDUCATION

8:1,0/74
State Financial,, Measures. Involving the Private Sector of Higher
Education, William H. MacFarlane, A.E. Dick Howard, and Jay L.
Chronister, 105 pp. (Association of 'American Colleges, Wash-
ington, D.C.).
This study, commissioned by the .National Council of Independent
Colleges and Universities, examines .the rationale, for state aid to the
private sector with respect'to its historic, legal, programmatic, and policy
bases. A.E. Dick. Howard, a law professor at the Universityof Virginia,
explores the constitutional aspects of state aid and reviews the provisions
of the constitutions of the 50 states, together with a brief statement on any
litigation instituted 'in those states. Another chapter ,discusses ,charac-
teristics of various types of stateaid and uses tables to indicate what kinds
of programs states have established. Student support programs are then
described in more detail, and a brief statement is made on the impact of
state programs on private colleges and universities.
The study is an accurate and reasonably detailed account of the status
of state programs in 1973, but because of the rapid changes in programs
and funding levels that occur with each succeeding session of the state
legislatures; the information given is useful chiefly as an historical base.
t

8:1,0/72-1
State- Aid to Private-Higher-Education,- Carol Shulman; 38 pp..
(American Associationfor Higher Education, Washington, D.C.).
The-author reviews private higher education's eIaith that it provides
diversity,.- and- v is4vis- public -higher- education, -permits innovation -more
readily and gives students more attention by reason of smP2ness and free-
dom from political. control. She then cites the pragmatic finiricial reasons
for public support of private higher education. To illustrate, she asks what
would happen if private institutions were to close and the state universities
had_ to. absorb, the enrollment of the private _sector. She also discusses the
various methods of giving aid to the private colleges and raises the question
of whether student aid really increases the enrollment in private colleges to
the point 'where institutional .financial needs are alleviated.
Shulman also analyzes the various formulas that were either proposed
or in effect As of 1972; discusses the problems created by the new state-
private college relationships such as accountability, loss of autonomy
through state intervention, loss of diversity in student bodies if students are
primarily in-state residents, and the possible surrender of a highly selective
admissions program; and discusses the question of constitutionality under
state constitutions. Finally, She 'provides a bibliography of material
relevant to the subject but prepared, for the most part, at the state level.
The book lists various.state programs_establisheu as of 1972.

244
 THE STATE AND FEDERAL ROLE :1.0
8:1.0/72 -2
Institutional Aid: Federal Support to Colleges and Universities,
"Carnegie Commission on Higher Education, 290 pp. (vlcGraiv-Hill
Book Co,, New York).
Although this study does not deal specifically with the private sector
of education, the private as well as the public sector is included as a
possible recipient of Federal aid,. The book analyzes the various formulas
proposed for the distribution of Federal grants and.discusses the distribu-
tion patterns that each would involve. The authors explore in depth the
responsibility of both the Federal Government and the .states ,for higher
education, stress the importance of diversity in academic programs, and
treat such subjects as the responsiveness to the financial crisis, -the resource
gap and the tuition gap, and the need for Federal support to serve Federal
priorities: They -also discuss --cost-of-education -supplements -to-student- aid
and constitutional feasibility.
The book has 12 appendixes, including a collection of statements
from higher education associations reflecting their positions on whether
and how Federal grants should be provided and administered, a listing of
selected institutional grant proposals and formulas, a listing both of private
and public institutions by type and enrollment, and a collection of relevant
quotations frorn.Earl F. Cheit. William W. Jellema, William .Bowen, .and
others on the financial situation in colleges and universities.

8:1.0/68
New York State_and Private Higher Education; Report of the
Selec Commission_ on the Future of Private and Independent
Higher 'Education in the State of New. York,' .145 pp._ (New__ York
State Depai anent df Education, Albany).
Although a nuin\ber of states had made direct grants to private colleges
and universities, this report was the first proposa! for across- the -board
grants to all eligible institutions based on a formula related to degrees
granted.
The report's stated purpose is to ease the financial crisis of private,
independent institutions of higher education in. the State of New York: It
proposes giving direct aid to eligible nondenominational colleges and
universities for general educational purposes, with the amount of aid based
on the number of annual earned degrees and with different levels of
t'upding for bachelor's, master's and doctoral degrees. The report urges the
establishment, of a statewide coordinating and, planaing agency for private
institutions, and proposes planning grants for the development of inter-
institutional cooperation among both. private and public"institutions. The
report also recommends that the state constitution be amended so that all
private institutions would be eligible for state aid, but omits any reference
to support for 2-year colleges.

245

2 7;)
 INDEPENDENT HIGHER EDUCATION

The recommendations of. this report were implemented, and the pro-
gram set a standard for the other states to emulate. A referendum on the
constitutional provision failed to enact the recommended change.

See also: 12:1.2/71 The Capitol and the Campus: State Responsibility
for Postsecondary Education, Carnegie Commission on Higher
Education;
6:2.0/71-' Statewide Coordination of Higher Education, Robert 0.
Berdahl.
5:4.3/77 The States and Private Higher Education: Problems and
Policies in a New Era, Carnegie Council on Policy Studies in Higher
Education,

2.0 PHILOSOPHICAL QUESTIONS AND

,POLICY CONCERNS

8:2.0/81
A Study of the. Learning Environment at Women's Colleges,
Women's.College Coalition, 193 pp. (The Coalition, Washington,
D.C.).
This report presents a statistical profile of the I I7-women', colleges
in the United States., Four areasmission, curriculum, adir.ink :ration, and
facultywere evaluated to offer descriptive data on the 'learning eriviron-
!Ilene' at these colleges. A section on the institutional mission of women's
colleges deals with identifying -some-of the-intended "outcomes -associated-
-with -a specialized 'environment.- A curriculum section is concerned pri-
marily with docutine,nting the institutions' efforts in adapting the traditional
curriculum. to recognize the contributions and concerns of women. And
sections on administrators and faculty explore the level of women's repre-
sentation and their contributions to the learning environment.
The report, which describes _the. institutional characteristiCs of_
women's colleges as they affect the climate in which students and faculty
live, is one of a planned series of research profiles on women's colleges by
the. Women's College Coalition.

8:2.0/80-i
Colleges and Corporate Change: Merger, Bankruptcy, and
Closure, Joseph P. O'Neill and Samuel Barnett, 206 pp. (The
Conference on Small Private Colleges, Princeton, NJ
This volume is intended as a sourcebook for trustees and adminis-
tratbrs of institutions of higher education considering merging with another

246
 PHILOSOPHICAL QUESTIONS AND POLICY CONCERNS 8:2.0

institution, declaring bankruptcy, or closing. As such, is a significant

contribution to the higher education literature.
According to the authors, the sourcebook suggests ways to assess the
costs and benefits of assuming a new corporate structure or dissolving an'
old one. The first five chapters are written primarily with trustees in mind,
focuSing on the importance of understanding the college's financial con-
dition, the variety of and options for the corporate change of a college, the
advantages and disadvantages of a merger, closing or declaration of
bankruptcy, and the trustee's obligations and potential liabilities during the
process of change. The finalthree chapters focus on the duties and re-
sponsibilities of senior administrators, especially in the case of a college
,closing. There are also two excellent appendixes tharprevid,Istate-by-state
summaries,,of regulations regarding-the- disposition:of student records of
independent colleges and universities and regulations concerning the
disSolution of these institutions..
This book is a valuable tool for trustees and senior adMinistrators who
are considering a major change in their institution's corporate structure. It
is useful compendium of a wide range of administrative, legal, financial,
and human problems of closing and merger,.

8:2.0/8072
Church and College: A Vital Partnership, four volumes, National
Congress on Church-Related Colleges and Universities, 724. pp.
(The Center for Program and Institutional Renewal at- Austin -.

College, Sherman, Tex.).

This report discusses "a 2-year cooperative program of the Nati nal
Congress on church-related colleges and universities in which 23 den mi-
nations examined the issues facing their institutions. The four volume of
the report contain the significant papers and a record of events that de el-
ope,d from the activities of this'National Congress. ,
Volume 1, AFFIRMATIONA Shared Commitment for Creative
Renewal (160 pp.), is a summary of the work of the National Congress. It
contains affirmations about the value and contribution of the church related
college to American higher education, action plans to renew the colleges'
ability to face the issues of the future, and an "inventory for renewal" to
help colleges and. churches alike continually assess their status. This
volume also contains a brief description of all National Congress activities
and processes, including excerpts from speeches at two national meetings.
Of particular importance are the reports,about the responsibility of churcb-
related colleges to remain involved in public policy discussions as they
relate to social issues, taxation issues, 'and legal issues pertaining to the
first amendment to the Constitution.
Volume II, MISSIONA Shared Vision of Educational Purpose
(160 pp.), and Volume III, ACCOUNTABILITY--Keeping Faith with
247
 I NDNEENDENT HIGHER EDUCATION

One Another (182 ,pp.), contain the papers developed by the six study
commissions of the National CongreSs.The papers cover the six areas of
educational purposes and programs, issues of society, relatitinships
between churches and colleges, legal issues, public policy issues, and
financial issueS. For each area, the paws attempt to define the issues and
to. identify options for churches and colleges in dealing with them. An
overview statement at the beginning of Volume II describes the general
framework of dutch-related colleges and is the base from which the study
commissions delved into'specific issues.
Volume IV, EXCHANGE Sharing Resources for Renewal (222
pp.), contains information of two kinds: a bibliography of recent books and
published article's about church-related higher education; and a bibli-
ography= of materials on church-related higher education .available through
,
denominations and colleges. This volume is perhaps the most extensive
bibliography on church-related higher education available to date.
The value of these volumes is in the various analyses of the present
condition, mission, and contribution of church-related colleges,, There are
also extensive discussions in Volumes I and III of the responsibilities and
concerns of church-related, colleges in the development of public policy,,
particularly as it relates to college missions. These. publications give the
best overview of the position and concerns of church-related colleges as a
part of American higher education and also relate the decisiotM these
colleges to take .a more active role in social issues as they relate to their
academic. mission. They alsO review the intention -of these colleges and
their denominations to actively engage in discussions relating to Federal
tax policy: toward church-related colleges, student aid issues, and_legal
issues, particularly those relating to church state constitutional issues:

8:2:0/78-1
Church-Related Higher Education, Robert Rue Parsonage, ed.,
344 pp. (Judson Press, Valley Forge, Pa.).
This_ volume is a collection of papers that examine a wide range of
'issues concerning church-related colleges. Among the topics considered
are the "myths of church-relatedness," various categories of church-
related colleges, historical overview of church-related issues, a considera-
tion of current denominational policies and studies in higher education, and
future "church-culture relations" and their impact on chiirch-related
higher education.

8:2.0/78-2
Colleges and Sponsoring Religious Bodies: A Study of policy
Influence and .Property Relationships, Philip R. Moots and
Edward McGlyn Gaffney, Jr., 101 pp. (Association of Catholic
248

26')
 PHILOSOPHICAL QUESTIONS AND POLICY CONCERNS 8:2.
Colleges and Universities, Washington, D.C., and the Center for
Constitutional Studies, University of Notre Dame, South Bend, Ind.).
This paper sets out to identify legal issues to be considered and steps
taken to establish relationships that both sponsoring religious bodies and
colleges agree are desirable. The goals that the authors have identified to
be shared by leaders of religious bodies and of related colleges include: (1)
establishing and maintaining a relationship in which the sponsoring reli-
gious body exercises some degree of influence upon policies and actions of
the college; (2) maintaining some degree of security in or control over
property that is contributed by the sponsoring religious body; (3) avoiding
imposition on the sponsoring religious body of any liability as a result of its
relationship to the college; and (4) maintaining eligibility for support from
both-Federal and, state sources for _the_ institution and its students. This
study is relevant to any religious denomination that is affiliated with ,a
college or university.

8:2.0/78-3
Freedom and Education: Pierce v. Society of Sisters Recon-
sidered, Donald P. Kommers and Michael J. Wahoske, eds., I 1 1
pp. (Center for Civil Rights, University of Notre Dame Law School,'
South Bend, Ind.).
This book grew out of a symposium held at the University of Notre
Dame to .di the impact and aftermath of the 1925 Supreme Court
to
decision i the case of Pierce v. Society of Sisters. This landmark case
involved a suit against the State of Oregon over an attempt to require,
effectively, that every child .between the ages of 8 and a6 attend a public
school.
The papers that make up this book discuss, with the Pierce case as a
backdrop, current issues of parental rights in education and state and
Federal jurisprudence as it relates to public funding of programs providing
aid to church-related colleges and universities. There is also an extensive
bibliography of literature relating to church-state relations in the United
States.

8:2.0/78-4
Church, State, and Public Policy, Jay Mechling, ed., 119 pp.
(American Enterprise Institute for Public Policy .Research,
Washington, D.C,).
This book is based on a conference that explored changes in church-
state relations and examined some assumptions by which the controversies
relating to church-state relations should be resolved. The distinctive as-
sumption on which, the conference participants based their reports was that
decisions on church-state relations should take full account.of the role of

249
a INDEPENDENT HIGHER EDUCATION

"mediating structures" in public policy. Mediating structures are defined

as **those institutions in contemporary society that stand between the indi-
vidual's private life and the larger institutions of the public sphere."
Many will find the discussion very stimulating and thought-provoking.
It is relevant beyond the specific references to education and'. is importwit
reading for anyone interested in church-state affairs.

8:2.0/78-5
Problems and Outlook of Small Private Liberal Arts Colleges,
96 pp., U.S.' General Accounting Office (Comptroller Generai of
the United States, Washington, D.C.).
This report focuses on independent "Liberal Arts II" colleges, with
an emphasis on institutional finances. The fieldwork for_ the report, con
ducted in 1975-76, indicates that one-fourth to one-third of these colleges
were experiencing financial difficulty as shown by extensive deficit opera-
tions, borrowing substantially to cover current operating deficits, and
being delinquent in debt service payments. These problems were reported
as being due to insufficient revenues because of declining enrollments,
inflation, and a lack of prompt and effective administrative controls.
The report also indicates that most college officials were guardedly
optimistic about the financial future of their' institutions and expected
improvements within 5 years, although GAO warns that this guarded
optimism might be short-lived. Such continuing problems as declining
enrollments, increases in payroll taxes due to changes in social security
legislation, minimum wage increases, growing energy costs, and the in-
creasing costs to meet Federal social program regulations could adversely
affect these colleges' future financial condition. Among the recommenda-
tions to Congress and the Administration are requiring the periodic assess-
ment of the financial condition of postsecondary education institutions
using standard indicators.
Since this report was released, much has been done in the area of
assessing the financial condition of higher education, particularly in the
independent sector. However, much remains to be done in this area. "While
the information in the study has become somewhat dated, this is still useful
as a historical piece and as a tool to provide some direction for future
research.

8:2.0/77-1
Private Colleges: The Federal Tax System and Its Impact,
Gerald P. Moran, 88 pp, (Center for the Study of Higher Education,
University of Toledo, Ohio).
This eoremely useful little book brings tpgether a great deal of infor-
mation about one of the most important sources of support for the private

250
 PHILOSOPHICAL QUESTIONS AND POLICY CONCERNS 11122.0

sector of higher education. Law Professor Gerald P. Moran first discusses

exemption from Federal income taxes. He reviews the philosophical bases
and historical precedents that led to the acceptance of the principle of t
exemption, describes "the problems that have arisen as a result of deft t-
tional difficulties and modern business practices, and discusses re ent
representative cases and rulings dealing with private colleges and u iver-
sities. He then provides similar coverage of the charitable deducti n as a
motivation and a mechanism for providing financial support to in pendent
colleges and universities and other eleemosynaryiorganizations He corn-
mends the Filer Commission Report, which urges increased eductibility
from income of such contributions and proposes that such uctions be
available to taxpayers using the standard 'deduction. He reports on. the
governmental cost of tax subsidies and reviews curre t 'mks on such
matters as capital gains, ordinary income, anti estate an gift taxes.
Moran also discusses the role of the private cot ge, especially with
reference to ethical control and use of er.:,owment , briefly discusses the
concept of tax credits, and reflects on college's sponsibility to be con-
cerned about the tax interests of faculty and sta . This book should be of
interest not only to the members of boards of, nistees of private colleges
and universities, but also to higher educ ion planners who are often
unaware 'of this important source of rev nuerof both state and private
institutions.

8:2.0/77 -2
A Profile of- Private Liberal Arts Colleges; Bruce .M. Carnes; 73
pp. :(U.S. Department of Health, Education, and Welfare, Wash*-
ington, D.C.).
Using data collected by the National Center for Education Statistics,
the American Association of University Professors, the Association of
American Colleges, and the American Council on Education the author has
developed a' profile of independent liberal arts colleges. The institutions
chosen for examination were those classified as Liberal Arts I and II under
the Carnegie system. At the time the report -.41:S issued, the number of
colleges in this category was approximately 690.
The report begins with a: overview of the condition of higher educa-
tion in,general that attempts to establish a context in which to view these
liberal. arts colleges. From there it moves to an examination of trends in
,
institutional and enrollment growth, changes in students, and the,impact of
( those changes on curriculum, the status of faculty and staff, and institu-
tional finances.
Because this report used statistics current only through fall 1976, it is
4. W'
net a very up-to-date reference. However, it is valuable as a historical
piece and serves as a basis for future research by providing a significant
amount of information and by indicating what data still need.to be collected.

251

28;5
a INDEPENDENT HIGHER EDUCATION

8:2.0/77-3
Strategic Policy Change's at Private Colleges, Richard E.
Anderson, 97 pp. (Teachers College Press, Columbia University,
N .Y . ).
Demographic changes and economic conditions have made many
institutions of higher education alter their educational goals. To expand
their college's applicant pool and thereby increase enrollments, adminis-
trators at these colleges have turned to a more "general" institutional
mission.
This report examines the environmental, educational, and financial
consequences at 40 independent institutions that changed their policies
relating to their historical missions. Specifically, the report focuses on
colleges that were either religiously-oriented. or single,sex In the middle
1960's, and compares 10-year environmental and financial trends.
The author; a faculty member at Teachers College, Columbia Uni-
versity, reports that while colleges that expanded their missions increased
enrollments somewhat, more rapidly than those that did not, adverse
environmental consequences (e.g., decreases in "campus morale" and
"sense of community") appear to have. accompanied these changes.
However, the real loss, as, Anderson sees it, is that the special and dis-
tinctive educational environments that characterize the special purpo%e
college are rapidly disappearing.
For college administrators, as well as public policymakers, this report
is significant. Institutional planners may balance economic improvement at
the potential cost of uniqueness over time, leading to short-run increases
btit long-term problems. Policymakers may find the study interesting as it
shows the decline of institutional diversity during a decade when a number
of single-sex and religious colleges changed their missions.

8:2.0/77-4
A Survey of Public Policy Priorities at Independent Two-Year
Colleges, Peter Pelham and Virginia (Fadil) Hodgkinson, 76 pp.
(National AsSociation of :Independent Colleges and Universities,
Washington, D.C.).
This survey was intended to determine the extent to which inde-
pendent 2-year colleges are involved in and affected by existing public
policies, Among the major findings and implications for public policies'
reported are: (I) the emphasis on the major Federal need-based student
assistance programs, in addition to 'the Veterans' Education Benefits
Program and the Social Security Benefits Program; (2) the importance of
various Federal categorical programs, such as the College Library As-
sistance, Veterans' Cost-of-Instruction, manpower training, Fund for the
Improvement of Postsecondary Education, and Strengthening Developing

252

O
 t,
PHILOSOPHICAL QUESTIONS AND PQLICY CONCERNS 32.0

Institutions programs; and (3) the necessity to fund pmgrams or develop

legislation for the construction and renovation of buildings, for partial aid
in offsetting costs of federally mandated social programs, particularly in
the Affirmative Action to Correct Discrimination Against the Handicapped
and the.Occupational Health and Safety Acts. "
Although this study was written several years agd, the issues remain
priority concerns for most independent 2 -year colleges. Therefore, this
report isaluable not only as a reflection of priotity issues at a particular
time, but also as an indication of the Continuing importance of those same'
issues over several years.

8:2.0/76
Endangered =Service: Independent- Colleges, --Public-POlicy--and,
the First Americans, National Commission on United-Methodist
Higher Education, 144 pp. (The Commission, Nashville, Tenn.).
This book is an analysis of public policyand legal issues related to
institutional-state and church-state relationships. It examines alternative
-social goals for public policy and strategies to implement such goals. The
book discusses independent colleges and the public service they perforni,
and argues that it is important that state and Federal-policy recognize that
service and preserve its benefits to society. It stresses the importance of,
diversity and autonomy,- and urges that the government be-aware of the
need to preserve these characteristics. The book also exploresthe values of
-freedom -of -Choice for -students- in -selecting- the attend, and
states that the formidable financial barriers to freedom of choice,should be
removed by the establishment of offsetting financial assistance:-
.
The book_ devotes much attention to constitutional. questions. It re-
views the relevant court decisions and concludes that the legal validity, of
aid to the private sector has been substantially established. The book states,
however, that the case has not yet been won in relation to the accepthnce of
firm and generally accepted public policy. The book stresses the im-
. portance of .continued tax exemptton for private colleges, urges the
continuance of Federal and state tax policies providing incentives for
voluntary support, suggests, that private institutions be deeply involved
with the public sector in statewide planning, and urges state and Federal
governtnents to make every effort to- reduce the onerous burden, both
financial and otherwise, imposed by excessive regulation and reporting
requirements.

8:2.0/74-1
A National Policy for Private Higher Education,' Task Force of
the .National Council .of .Independent Colleges and Universities, 80
pp. (Association Of American Washington, D.C.).
di
253
 INDEPENDENT HIGHER EDUCATION

-. .
This task force report on financing private higher education begins by
stating the case and claiming that the preservation.of the private sectors
important because it maintains diversity, provides a system of checks and
balances, sets a standard of excellence, reinforces academic freedom,
champions liberal learning and values, and relieves the taxpayers of a
significant financial burden. It presents evidence, of a mounting financial
crisis in the private .sector and stresses the importance of narrowing the
"tuition gap" between charges made by private institutions and state
colleges and universities. -
The report then addresses the problem of geographical inequities in
state aid to students in the private sector and suggests modification of
Federal aid programs that would enhance their usefulness to
students attending :pri Vat; institutions. it..advocates. statewide __planning..to
avoid duplication of programs and wasteful competition. It stresses the
importance of maintaining the tax deductibility of philanthropic gifts and
the need for continued. tax exemption from, real "estate and other taxes. it
urges private institutions to accept the effort of state institutions to raise
funds from private sources.
The major innovative idea set forth by the task force is that a program
of tuition offset grants should be established by the states in an effort to
narrow the tutitionLgap between private and state institutions. The task
force offers the options of: ( I) making grants directly to an institution in I
payment for set-vices: (2) providing grants to students on the basis of the
cost of attending the institution, or (3) establishing offset grants to all
students at private colleges. lt.Also advoeateelimination of the need factor
for such grants.

8:2,0/74-2
Private Colleges: Present Conditions and Future Prospects,
Carol F. Shulman, 62 pp. (American Association for Higher Educa-
tion, Washington, D.C.).
This study begins with a pre review of the history of American
public-aid to-higher education-from colonial times through the 19th century:
and into the 29th century. The author then deals with the problems of
defining goalS, formulating curricula, and attracting students. She dis-
cusses the questions of distinctiveness, student characteristics, recruiting
efforts. the benefits of private education, and curriculum.
The author then takes up the matter of governnient relations with
private institutions. She reviews the state of governnient support in 1974
and the various programs by which such assistance is provided, concluding
that attendance in the'private sector is affected by state student grants. She
discusses the disadvantages of state student aid and indicates that a major
hazard is for the state to develop a level of expectancy on the part of
students and then disappoint them by failure' to legislate adequate funds so

254
 -

PHILOSOPHICAL QUESTIONS AND POLICY CONCERNS ,

that the ihstitUtiiins have to supplehient public funds from tpeir own
in the
resources. She citer the increasing degree of state involvement
management of private colleges as a disadvantage. A discussion of FeOral
aid' leads to consideration of the church-state question of constitutionality
ana court decisions relevant to the issue.
The author's review of the financial problems in the private sector is,
the
largely a recapitUlation of ,other studies on the subject. She describes
burden of student aaci furnished'by the institution and speCulates on the
.financial outlook for private higher education. The study is interesting
f. chiefly asu reflection of the particular time and the conditions that txisted
'when it wasinade. 4

See: ?9:1.1173 -2 The Management and Financing of Colleges, Corn- .

rnitteefOiEcortOmicQevelopment.
This report was, spasored by a committee, 'composed primarily Of
representatives of the business community:that studies major economic
issues facing socieiy. The report was published, widely disseminated, and
'discussed in a series' of regional meetings, but it seeds to have had
relatively minor impact on government or higher educitfon. It devotes
attention to such matters as goals, objectives, accountability,' and edu-
cational planning. Much emphasis is placed on thanagemeot authority and
responsibility, with special reference to the reserving of these powers by
trustees. Management and educational policy are discussed, with etriphasis
on management methods and personnel, manasgenient,and budgeting, and
management and. the improvement- of teaching. 'Swatejies for economy,
nontraditional eduCation, academic freedom, security and due process,
faculty tenure, -and collective bargaining are covered, and special attention
is given to strategy for increased financial suport.
The primary yrget of the, report's critics was a proposal to raise
'tuitions to a level nearer the cost of education in both the publie and private
sectors andto provide the need-based grants and loans to students to help
meet these increased costs. The report includes a number of specific
'recommendmions relating to various phases of higher education.

8:2.0/72
To Turn the .Tide,'Paul C. Reinert, Si., III. O. (Prentice -Hall,
'Englewood Cid' ).
In 197.1 Paul C. Reinert, Si., president of St. Louis University,
undetook."-"Prujett 'SearCh" to determine the situation in the private sector
of higher educatiOn and to'suggest what might i",e done "to thrn the tide."
He created a series of panels comprising educators, legislators, laypersons,
students,Nand business leaders to discuss certain basic questions about
private higher educa 'on. Essentially, this book developed from those
discussions. The boo describes the financial crisis in private higher edu-
255
 8 INDEPENDENT HIGHER EDUCATIO

t
e

cation, along with the rittiona -Tor the continued existence of private
_corteges. The question of colle e finance is explored, and the author calls
for a, sharp improvement in internal management of the institutions. He
then 'discusses the appropriate role for the states in relation. to private higher
education, wlfich he' deems to be that of leadership in pointing the way', and

/
/he advances arguments fnr increased Federal Aid to follow. .
This book creates a sense of the urgerof of the crisis Tor private higher
education, and it had considerable impact on various publics. While well-
.
documented, it is. not loaded with statistics but ratheedescribes the problem
..
0
and discusses the various factors, including substantial government sub- ,
vention necessary to achie'ving a solution. It haS been an important book in
the development of the rdatii,i9s of the private sector to state and Federal , . '
c;
governments. - 7 .

° a . ,

. 8:2.0/71 %

-......? .1
Tilton v. Richardson,
.. TheeSearch for Stratarianism in Educa-
.

tion,, Charles ,H. Wilson, Jr., 53 pp. (Association of American,

Colleges, Washington, D.C.). '
' Charles H. Wils;m. Jr.. was an attorney for the defendant Connecticut
.

..
.-- . colleges in the landmark case, Tilton V. kichardson, on whi,:h the United ,
States Supreme ,,,c ourt handed down a decision on June 28, 1974 . 'The
Court ruled in its 5-4 .decisiOn that church-related colleges may receive
Federal grants to construct academic and other buiidings under the Higher.
Education-Facilities -Act of -1965,-with"- the restrictiOn that sUeh-buildingS.
may never be used for religious instruction or worship.
Wilson-reviews the court decisions leading-up-to TUN') Ad analyzes
the majority opinion ( written by .thief Justice Warren Burger) anZl the- t
.

dissenting opinion. He then examines the implications of the decision and

-

the.criteria established by the Court. He also suggests what actions institu-

tions might take to retaisi their historic sectarian tradition and still remain
on safe constitutional grounds. The criteria articulated by. the Court set
precedents for later decisions on institutional 'and strident aid,. making the
'
..

WilsOn analysis substantively important and somewhat'prophetic.

Secs also: 5:4.3/78 Public Policy and Private Higher Education, David
W. Brenernan and Cb(:ster E. FinnJr.. eds.

5:5.0/73. The New Depression in Higher Education: A Study ofo

Financial Conditions at 41 Colleges and Universities, Earl F. Cheit.

5:5:b/S-2 Private Higher .Education, 'First (Second, Third, Fourth,

Fifth) Annual Report on the Financial andtducational Trends in the
Private Sector of American Higher EdUcatiop, W. John' Minte: and
Howard R. Bowen. :,
Ilr

256

0
 Institutional Role and Mission
ove
I

John D. Willett

ti

The topic of institutional role and mission is concerned with

efforts to describe or prescribe differential purposes teOr.various col-
leges and universities comprising the universe 9,f higher,education. It
has lOng been recognized that individual colleges'and universities
serve different -ends, even though the differences arc frequently'
muted in institutional self-desCription and even though divergity is
often forgotten in the competition for enrollment growth. kdmidis-
trators and faculty members may bbject strenuously to thelefforis Of
others to describe their unique characteristics and sometimesist.
the prescription of .4 specialized role set toi-th by a state board of
higher education.
Differences among colleges and universities are of many kind4'.
One fundamental difference is that between public and plate spon-
sorship. Although the distinction is familiar, the meiinitg and the
scope of the difference have not been simple to .articulate. Another
difference is that between the residential institution, wh,ici) provides
or superyises housing for its students, and the commuting or urban
institution, which enrolls students who commute from a family
residence. The residential institution tends to attract primarily full-
.time students; the commuting institution may enroll large numbers
is
257

29L
 INSTITUTIONAL ROLE AND MISSION

of par-tirne students.. A third distinction is that between selective

admission and open admission, between Institutions prescribing
certain ability and other Mandards for entry, and, institutions admitting
any high school graduate or any 'person with the equivalency of high
school completion. .
The most important distinction among institutions, however; is
the distinction based on program. The primary scheme of classifica-
tion of colleges and universities in the United States .differentiiitek
institutions by major purpose: the research university, the compre--
hensive university, the liberal arts college, 'the :separate specialized
professional scitool, and the 2-year institution. In some instances,
the comprehensive univeility maY be an upper-division and graduate_
study institution. . .

The institutional role and mission topic is sufficiently broad to

permit organization of the subject matter into four major subtopics.-
The first deals with the 'nature and description of the differential
roles: the second with the social expectations reqtiired.ofthe,e roles;
the third with determination of the need. for institutions and
programs; andAurth with review of the programs of established
colliges'and unNersities.
Differential ,Roles. The classification of institutions by one or
more predominant characteristics is necessarily accompanied by an
effort to explain- the basic-differences. The -explanationS. reflect
observations about differencis' in purpose an ifferences in. per-
formance. To some extent, diffetences , arise .t m -variAtions in
quality,- and -qualitath .1 differences 4ie likely .to be- reflected. by
differences in economic resources. For state boo of higher educa-
tion, with their authority to promulgate, master p s, to approve
academic programs, and AO coordinate institutions operations in
,.

terms of statewide needsat least insofar as slat manced institu-

tions are concerned=-the prescriptiOn of differ t roles and missions
for different campuses is anstessential part of higher education
planning. .

Public Interest. The presence of different tyres of educational

programS amOngqiitTetent types of institutions may be considered*
appropriate response to diversity in .social expectations. Perhaps no
aspect of the study of higher education as a vital social institution has
been -more neglected than the subject of social expectation. This
circumstance may partly be attributed .to, the pluralistic and liberal
1eatures of American society. Social expectation is,.txpressed
through the voices of many groups and interests and through actions-
258
 INSTITUTIONAL ROLEAND MISSION 9
. .
, .

of nongovernmental as well as governinental agencies. partly, this

,circumstance maype attributed to the reluctance of, American
leaders to set limitations on social 'aspirations. The desirable and
reasonable, social expectationS to be addressed to collekeg. and
.
-Universities currently are in a state of flux and in need of analysisand
determination. No doubt these,, social expectations have to do with
the preservation and transmission of knowledge and culture; the
cognitive,. affective, and skills devel9pment potential of individuals; 4

the prOvision of educated manpoWer to the econon3y; the encourage-

ment of "social Mobility based on talent; the advancement,of knowl-
edge and the patronage of creative abilities; :the utilization of-
creMive ability for thepractiCal- and esthetic benefit
of society.; and cosrioffective service.
The Need for Institutioni...The ex'ctations of societj, for
benefits fraint:higher eduCation must be-translated intothe organiza-
tional reality'of particular colleges, and universities. To some extent,
determination of the need for particular' educational programs, and
for particular enterprises able to deliver these., programs occurs
within a governmental context, reflecting the polifical' response to
per&ived and desired benefits And to some extent, iroccurs within
and'artiong voluntary groups A sense of need usually prekedes the

'enterprise.
,
decision to build and support a particular kind of higher education.
,

Prrogram Review. Once establishecolleges and universities

develop their-own dynamics. The internal aspirations of adminis-
trative leaders, faculty MeMbers,- and students may lead to various
kinds of program change-and program expapsion. The availability of
new sOurces of income may encourage new kinds of educational
...Ventures. 'Changing social circumstances may induce varied re-
sponsetly partisulat colleges and universities. The programs of a
college or aniversitymay come under external review in an effort to
ensure qualitative performance, appropriate action to meet social
needs, and the utilization of scare' economic resources for programs
of highest priority. As the performance of various educational pro-
grams involves more and more requests for social support in terms of
y.
charges to clients, appeal to benefactors, and expected subventions
by government, colleges and universities' have found themselve
increasingly subject to program scrutiny. Salt scrutiny can be ex-
pected to increase in intensity and scope with changing social .
perceptions o' the benefits being derived from higher editcation.

259
 INSTITUTIQNAL ROLE AND MISSION
. . '
,

No orderly presentation of a 'c4rticular planning subject can

hope to avoid overlap with other subjecis or to prtvitie a precise
presentation of research findings and general observations, The
stibjec of institutional role and missign is no exception. The outline,
here is at best suggestive; it cannot achieve orderliAess where order
does not exist. The outline is at btst indicative of a range of concerns
present in highereeducation planning.,
It must be emphasized here as elseWhere that both govern-
mental 'and nongoverninental planning are cblicerned ,with the
p determination df roles and missions for particular colleges and
universities. In. turn, governmental planning in a federal structure of .

political power involves local units of government,. state units of_ _

government, and the Federal government:hist as there is no simple

structure to American society, there is no simple structure to higher
education planning.

TOPIC ORGANIZATION
9: Institutional Role and Mission
1.0 Differential Roles
1.1 Institutional Purposes
12 Classification of Institutional Roles
1.3. Profiles of InstitiltiOnal Types
1.4 *Planning Distinctive Missions
°
2.0 PublicInterest
3.0 Needfor Institutions
4.0 Program.Review
-1

, 1.0 DIFFERENTIAL .ROLES

1.1 Institutional Purposes

9:1.1/81 .

A Quest for Common beaming: The Aims of General Educa-

tion, ,Ernest L. Boyer and Arthur Levine, 68 pp. The Carnegie
Foundation for tihe Advancement Teaching, Washington, D.O. ).
This essay bly the president and vice president of the Carnegie Foun-
dation was written to encourage continuing discussion of a troublesome
and singularly intractable problem: how to design a general undergraduate

260
yei

;..). 971
 # . I

;..
.

DIFFERENTIAL ROLESINSTIT 'TONAL PURPOSES 9r1I1

a
piograrrn, as opposed to sk:ialized education. 'The authors acknowledge
tha( general education is chronically in a state rangipg from casual neglect
to serious 'disrepair. The essay mentions the extensive attention.given to.
geeral, eduati,on during the 1970's, most of which resulted in little
,coherent progrigm development, and identifies three different genrral,
education Feform movements evident during this ce14,ury.
The authvi define the agenda for general- education as those expert=
ences, relationships, and ethical concerns common to all persons. simply
because Of their membership in the human-family. They see a 'revitalization
of general education as an urgent requiiement of our day. Th; academic
major and its accompanying electives are pictured as giving emphasis to
individual interests. General education is needed to give emphasis to the
--.;--common interest. NO

Following a review of current practice, the authors ser forth their own
proposal for common themes of general education: shared use of symbols,
shared membership in groups and institutions, shared producing and
consuming, shared relationship with nature, shired sense of time, and
shared values and beliefs. The appendixes add useful bibliographical data
for further review by academic planners.

See: 12 :1.1 /81 -3 The Modern American College, Arthur W. Chickering

and associates.'
Intended as a sequel to or revised version of The American College
- (edited by Nevitt Sanford and colleagues published in .1962), this current
effort again argues that the overarching purpose .of.'higher education' is to ,

encourage and stimulate intentiona! developmental change throughout the

life cycle of the individual. The volume is introduced by a foreword written #
by Sanford.
The discussion is based on tworrimary assumptions: (I.) that colleges
and universities in the 1980's will have to.deal with an increasingly diverse
range of students in terms of age,' educational goals, ethnic background,
preparation, and socioeconomic status; and (2) that undergraduate edUCE;
tion must better understand student motives, attitudes toward fimily and
citizenship, work interest, competence, knowledge, and ways of.learning.
These propositioage elaborlted and analyzed in 42 chapters written by
52 authors., The Mers are orgapized in three pans that cOnsideraesRec-
lively, today's students and their needs, the implications for curriculum,
and'consequences for teaching, student services, and administration.
Part One begin* with a chapter on the life cycle by Chickering and
Robert Havighurst that reviews at some length the literature on the subject.
The developmental tasks of the adult years are described by age groupings:
late adolescence and youth (16-23), early adulthood (23-35), middle tranSi-
thin (35-45), middle adulthood (45-57);- late-adult transition (57-65), r.nd
late adulthood (65+). This discussion is followed by chapters on ego
261
 II INSTITUTIONAL ROLE AND MISSION

development, cognitive anti ethical groWtft, intelligence, moral develop-

ment, humanitarian- concern, interpersonal t!onipetence; Capacity for
intimacy, professional and v,.Lational preparation, learning styles,
women's educational needs, special ,needs of blacks and other minorities,
interests of 4dult learners, and opilirtunities for adult learners. Of these
chapters, the pne on learning styles by David A. Kolb is particularly ueful:'
for curriculum planners and facult)7 members.
Part Two deals with teaching and learning issues of particular disci-
plines: Engli4h, theater arts,. philosophy, history, economics, psycholOgy,
anthropology, biology, interdisciplinary studies. business administration,
-engineering, education, human service, and the helping professions. The.
combining of disciplines with fields of professional, learning makes for 1'

= some, disjunction -.of discussion-,--and the treatmentthroughout--remains-----

fairly elementary.
Part Three is especially heterogeneous in content, from beginning
chapter On how persons acquire a sense of purpose to it Concluding chapter
on evaluating adult learning and program'costs. In, between are chapters.on
4 instructional methods; individualized education, field experience, medi:-
ated instruction, credekialing prior experience, student-faculty relation-
.
ships, out-of=class activities, residential learning, editca0onal advising,
governance, administrative development, and. professional development:
This part claims to undertake more than it can deliver. Three chapters in
- particular on governance, on administrative development, and on pro-
fessional developmentare out of focus with the. others. -

The book addresSes a vital subject how should colleges and univer-
sities alter their. instructional, programs, course structures and 'requirei,
ments, instructional Methods, and relationship to students ofp varied 0.
background and interests. There are many useful insights. Inevitably, in a
volume of so extensive coverage and so many different authors, both depth
of discussion and consistency of content are sacrificed. The book nonethe-
less remains a challenging staking point for all academic planners.

9:1.1/80-1
41.4.
// ,
.

-
Affirmation, Mission, Accountability, and Exchange, National
Congress orrChurch- Related. Colleges and Univeisities,_160 ,pp.,
188 pp., 182 pp., and 222 pp. (The Center for Program and, Institui
tional Renewal, Aqstin College, Sherman, TeX:).
In the two years 1978-1980, the National. Congress on Church
Related Colleges and Universities brought together 23 denominattims to
examine the issues facing their institutions of higher education. The 23
denominations represented over 600 colleges and universities with an
enrollment of 1.2 million students.. The Congress held two national
meetings and accomplished much of its work through various task forces.

262
 . _

DIFFERENT1,44:16CES-LINSTITUTIONAL URPOSE '911.1

, ,---
______-:-

IIIN-riincipal purpose of the National Congress\ was to reaffirm the

. ....-
it9k and value of church-related colleges andnniversiiies. Its reports seek a
-"
...--"-- to restate basic Christian commitments, to establish nevlbonds qf unity and
---
understanding between the institutions and their spohsoring denomina-
tions, to encourage an attitude oI'llpc nnes among chUrch-related institu-
tions. and to foster ''an, understigiding and awareness. by the American
,). public of thy contributions of church-related 'colleges an4 universities. .

The first 'report, Affirmation, contains se7ral papers presented to the

National Congress, a statement onfifirmation adopted by the Congresi,
'and an action plati'h)r ren . 1. The 'oiliest dmurnent (some 4d pages)IS
c.urceifircumstances of church-institut(onal relationShips.
an inventory of rue
The second repor/, Alission, reviews the concerns of church-reiated /
colleges-and-universities, presents vaious papers, dealing ,With_purpose,.. .

..-----. program. and concern with social issues,, and offers discaSiOns of the
.
kinds of relationships ,etWeep church and college. The third report, .-
Accountability, presents papers on legal issues, policy issues, and financial:,
issues confronting church-related colleges and universities. The 'fourth :.'...
report. Excliange, is primarily -a bibliography, plus a listing of documents.: ,' ..
and activities dealing with the mission, gbvemance, mimagerrtent, faculty,.. ... :'.
.
and ministry of churNi-related higher education. . .
The four reports of the, National Congress providl the mosy extensive
statement in this century about church-related colleges and universities.

9:1.1/80-2
Education and Values, Douglas Sloan, ed., 279 pp. (Teachers
Prjss, New York). a
This collection of essays first appeared in a special edition of the
Teacli4ers College Record and then was Made avadable -in-bOOk-fomr:
Twelve contributors from various backgrounds and perspectives have
sought to explore the connection between knOwledOe and human .values.
The very distinction isunacceptable to some authors, while others valiantly
insist that empirical knowledge and ethithif knowledge are not competitors
but twin purposes in the pursuit of learning,
In an.Osuch collection, the reader will find .some essays more insightful:,
,, more .intriguing, and even more convincing than others...This reader was
particularly impressed by four essay: "Excluded Knowledge,by Huston
Smitt* 'f.A.Personalistic Philosophy of Education," by Per A. Bertoeci;
"Toward a Methodoliigy of Teaching About the Holocaust,'" by Henry
Friedlander: and "The Teaching of Ethics in the American Undergraduate
- Curriculum, 1876-1976," by bouglas Sloan.
The entire volume provides helpful suggestions for all faculty members
who struggle io define their instru,ctional objectives. The foureSsays men-
tioned in particular, make the volume doubly rewarding for all who care
about the purposes of higher education.

263

4f) a y
 ,
INSTITUTIONAL ROLE AND MISSION

9:1.1./80-3. .
.

Liberal, Education in Transition,' Clifton F. Cohrad and Jean C.

.\Wyer, 66 pp. (American.Agti4siation fortligher EduCation, Washing-,
ton,. IY,C.).. .

Tills reseAqh reportt ERIC/Higher f4lueation-Research Report No. 3)

reviews the eXtensive writing about liberal and general education. it begiris
'..with attention to the liberal -tradition and then explores in more detail. recent
literature. about liberal .leakning. The trends obserted include increased
attention to theyksign of liberal education becauseof financial pressures,
reaction to Curriculum changes of the.1960's, interest in competency skills,
. and interest in the'values associated with education.
The authors. disCuss three dominant models of liberal arts curriculathe
distributive model -ti continuum-of -prescription -with a core curriculum at
one end.'and' a' free elective system at the other"); the integrative model
-("..the.develOpment of a body of knoWledge and skills through the syner-
gistic combination of several disciplines with a'focus on a specific theme or
problem"); and the competencebased. model ("recognition of compe-
tencies regardless of where'they. are achieved and without major time '-
constraints").
9:1.1/80-4, / . I

"Essentials of Mission," John D. Millett; Management, Gayer-

nence, and Leadership, John D. Millett, 207 pp. (AMACOM.: a
_ diVision_blAmerican Management-Associations, New York)..
apter (Chapter 3) of Millett's guide for college and university
admix strators provides. the .most comprehensive outline currently-4 the
higher ettication literature regarding the various issues to be resolved in ._

formulating a statement of mission. In the. author's view, a mission state-

ment must address broadly issues involving instruction (objectives and
program), research,. publiF service, urBan or residential orientation, access,
enrollment size, enrollment:characteristics, quality, and resources. Millett
outlines these components and discusses the thoughtprocess and alternative
choices in.developing'mission statements in each of these areas.
.
See: 34:1.0/80-2 Power and Conflict in Continuing Education: Sur-
*vival.and Prosperity for Alti, Harold J. Agord, ed. ,
this volume consistsof nine articles, mostly by deans of continuing
education; addretsed to three; Major questiOns: Who shall provide continuing
education'? How' shall continuing education be organized and financed?
*hit new efforts are to be made in the field? The book offers almost as many
answers to these questions as here are authors. l'herels much advice, and
sometimes it is conflicting in nature. For example, one dean argues that
confirming education administrators should not seek the-support of central
administration lest they be saddled with financial objectives and overhead

264 '.

2116
 DIFFERENTIAL ROLES I NSIITUTIONA L PURPOSES 911 a 1

costs harmful to their effort. One sees continuing.education as the salvation

of an underemployed faculty: Another sees traditional faculty meinbers as
hostile to continuing education.
If continuing education islo betinanced on the bask of direct charges,
then certain clienteles and certain marketing practices are imposed upon the
,endeavor. If continuing education 1sto seek out disadvantaged groups, the
it must be supported by governnients or philanthropy. And over the whole
activity hafts the threat of ever larger corporate initiatives and asgociation
efforts the field. It may be that some corporations would rather buy
, continuing edkation service than Produce it, fisaime corporke official
maintains, but we tiuiy be gkepticalibmi his,,ppint of yie;.v.
. There is kftle doubt there is ample room for conflict and, for power?
struggles ig the realm of continuing education.-

9:1;1 /79-1
Academic Strategy: The Determination-laud Implementation of
Purpose at New Graduate Schools of Administration, Larue Toiler
Hosmer, 247 pp. (Graduate School of Business Administration; Uni-
versity of Michigan, Ann Arbor).
Wing three casestudies of the development of new graduate schools of
administration, two in England and'one in the United States, Larue Hosmer
purports to find strategic guidance for all programs of academic institutions.
A successful strategy; he maintains, 4epqnds on the formulation of a distinc-
tive mission, a careful. interrelationship Of instruction and research and
coursu developmery, and an appropriate evaluation ofecodtput.
.
The author states that the current political and finangial difficulties of
colleges 4nd universities call'for strategic change, -a process that-he-believes--
most faculty members and administratorstresist. He finds the business
organization more likely than the academic organization to understand the
importance of strategic change and. to implementsuth change. Only as the
academic enterprise is willing to accept the need for such change, Hosmer
says, will-it be able to cope-with the changing environment ofthe-1980's.-

9:1.1/79-2
Preface to the. Philosophy of Education, John Wilson, 249 pp.
(Routledge and Kegan Paul, Boston).
The Itauthor, a lecturer 'and tutor in the Department of Educational
Studies at the Unitiersity of Oxford, argues that feducation is sufficiently
general, sufficiently disconnected from other human enterprises, and suf-
ficiently permanentlo have a philosophicil problem of its own. The problem
turns out to be a set of problems: What is iearning?'What is learning worth,
and how much learning ds a man need? What virtue or quality is inherent
in learning'? How do we encourage persons to learn? The questions seem

265
p
 A'
9 INSTITUTIONAL. ROLE AND MISS1( /41

,
not.
.

/ 1

relatively ob.vious and simple, hi,rf. any teacher knows that the answers are

The author begins his discussion by defining education as irpartieular,,

institutionalized, form a process Of human enterpriSe designed to prtida0
certain kinds of results or goods gained thrOugh learning. The intention of
learning is not sufficient to justify the endeavor; rather, the fact of learning is
the justification for education. But is any kind of learning to be Valued or
only certain kinds of learning? What about learning to torture or kill? The
author'passes by the moral issue in order to restrict his definition to embrace
learningabeivte the level of natureintended, successful,.and part of some
4 :generarplan for the learning of persons as persons. \.,
The discussion grapples with many basic issues, such as the difference
--between-trainingandedueation,genetaraS opposed -to specialized learning,
-the cultural constraints. on ;earning; the moral dimension of learning,
concepthal as opposed to applied leaniiriv anditiseful as.opposed to non-,
useful learnifig. The philosopher seeks to illuminate the issues even when he
has no final 'answers or prefers to avoid the dogmatism of final answers.
In his discuksion of learning, the author sets forth some conceptual
requirements that Will seem quite reasonable to educators. Similm1).,the
discussion of the content of learning will win general approval. When
attention turns to learning in relation to human nature, the philosopher has
concerns to express rather than certainties to explicate.-
A philosophy of education must necessarily deal with vital issue;.:'sgt.it
in-Western culture, philosophy is- hesitant: partial, te)tati,ve., dynamic;-Such
a philosophy reveals Western culture at its best, and at its worst, in refusing
-to propound absolutes even-when they may be demanded by one extremists.

9:1.1 /79.3
Renewing Liberal Education: A Primer, Francis J: Wuest, 225 pp.
(Change in Liberal Education, Kansati City, Mo.
vr
ThWreport resulted from a national project to develop and evaluate
alternatives to traditional patterns of teaching and learning.in undergraduate
liberal education. Some 30 Institutions. from small and 2-year colleges to
large and research-oriented universities, participated actively in the pro-
gram.
The definition of It al learning employed was essentially a definition
of general education: e institutions involvi:d followed a considerable
variety of pattems,'in their effort -to accomplish their general- ed6catirin
objectives. In some instances", liberal education was the major purpose of a
4-year degree program; in other instances, general educatioit was.a compo-
nom part of a baccalaureate program. In every instance, the participation of
the selected institutions was directed toward renewal of their liberal 'or
general education objectives: toward rethinking and evaluation of cur-
riculum, instructional processeS, and athievement
266
) t)t)
f.
 DIFFERENTIAL ROLES INSTITUTIONAL. PURPOSES 9:1.1

The process of renewal is presented arou nd themes of motivation,

energy', time, agents, institutional acharacteristics, and external factors.
Subsequent sections of the report deal with cuniculum change, the,integra-
tion of purpose and practice, tha exchange of renewal experience, and an
agenda for renewal. The experience of four institutions (one regional state
Uhiversity, two private liberal arts colleges, and one community college) iR
reported. The report is more helpful in terms of process than in terms of
design. . .

9:1.1 /73
The Purposes and the PerformanCe of Higher Education in the
United States: Appro*ching the Year 2000, Carnegie Cqmmission
on Highet 107 pp, (McGraW-Hill Book Co New Yqrk).
In some respects, this report of the "Cam egie Commission might be
,considered the most important single document among same 21 reports the
Commission has issued. Acknowledging that there are both intornal and
external conflitts over..the purposes of higher education, the Commission
declares that there are five "main purposes": the development of students,
the transmission' and advancement of learning, the advancement of human
capability, the enlargement of educational justice, and the critical evacuation
of society through individual thought and persuasion for the sake of social
;self- renewal.
In terms bf fulfilling- these purposes, the Commission rates student
development as generally adequate, the transmission and advancement of
knowledge as superior; the advancement of human capability .as superior,
the enlargemetie of educatidnal justice as unsatisfactory hut improving, and
the critical evaluation of-Fociety--as uneven in-the-past and-uncertain for the---
future. The Commission proposes a number of mays' to improve perfor-
mance: more'attention to general-education,' more concern about the quality
of the educational environment, a steadier supply of Federal research fund-
ing, a major expansion olopportirnities for lifelong learning, amore deter-
,mined- effort to provide places in-editege_for low-income and minority
groups, and better rules and understandings e society's critical
evaluation.
The Commission points out three major doctrinal views regailiteke
central purpose of higher education. One view is that higher education
shOuld be concerned with a search for and socialization of values, a view
supreme in the United States before the'Civil War, according to the Com-
mission. The second view is that higher education should further the evolu-
tion of knowledge and of skill development within existing society., a view
that has beendominant throughout the past century. The third view-arguevs
that higher education should prepare the way fOr, or assist the perpetuatio%
of, some designated type of society. The Commission identifies this third
viewas-themain_challenge.tolhe.still dominant,,view,as.talhe purpose of
higher education.
267 30i
 9. INSTITUTIONAL ROLE AND MISSION

See also: 12:3.0/80 Academic Adaptations: Higher Education Preps res

for the 1980s and 1990s, Verne A. Stadtman.

1.2 Classification of Institutional Roles

9: 1 .2/80 ,
An. Improved Taxonomy Of Postsecondary Institutions, David
14akowski and Rolf M. Wulfsberg, 44 pp. (N4Lional Center for
Higher Education Management Systems, Boulder, Colo.).
For 50 or more years, the National Center for Education Statistics
(NCES) and its predecessor offices in the. Federal Government have col-
' lected and reported data in a six-division classification covering the public
and private sectors of three types of institutions -- universities, other.4-year
colleges, and 2-year colleges. The igadequacies of this classification have
been evident to researchers and others for over 30 years. The Commission on
Financing Higher Education (1949-1952) developed a different taxonomy,
and a Somewhat similar scheme was devised by the Carnegit CoMmission
on Higher Education (1967-1973).
In this working paper, the two authorsone-fron! the National Cen-
ter for Higher Education Management Systems and the other from
NCES--propose a modified taxonomy, based on the Camegiemodel, for
future use byNCES. In addition to.the primary grouping 'of public versus
private sponsorship, the authors recommend a six-fold classification, along.
with criteria for the assignment of individual institutions: major doctoral,
comprehensive, general baccalaurate, 2-year, medical, and specialized.
Somewhat simpler than the 10 groupings used by the Carnegie phi-
mission, the recommended taxonomy appears to be a reasonable and feasi-
ble scheme of classification according to primary mission. It is understood
that the Higher Education General Information Surveys of NCES will begin
to make use of this improved taxonomy.

9 .2/76-
A Classification of Institutions of Higher EduCation, Carnegie
Council on Policy Studies in Higher 'Education, 126 (CCPSHE,
Berkeley, Calif.).
This revised edition of a volume first published in 1973 biiings up to
date a taxonomy of institutions of higher education useful for planning and
research. The revision adds some' institutions, eliminates others, and
changes the category of still others..
The Carnegie classification scheme basically groups institutions by
mission: doctoral-granting universities, comprehensive universities, liberal
arts colleges, 2-year institutions, and specialized or professional institu-
,

tions. Numbers of institutions and enrollment by type are provided for 1970
and 1976, along with the percentage of change in this period.

268

3 01
 .
I
DIFFERENTIAL ROLES--- 911.2
CLASSIFICATION OF INSTITUTIONAL ROLES
i
the claskification Offers several subgroupings within each general
category,.as well ara division between public and private governance. FOr
1976, eachof the 3,074 campuses in the United States has been assigned to
its aPtpropriate classification/ It is noteworthy that while enrollments/were
some 2.6 million students higher in 1976 than in 1970, the proportion nf total
enrollment in 'public institutions advanced from 74.8 percent_to-7 .4 per-
' cent. The proportion' of students in doctorate-granting univers0:es in that
sang time period decliqedfrom 31.4 percent to 27.4percent; the proportion
'in comprehensive universities declined from 29.6 ,percentZ 28.4 percent;
the proportion in liberal arts colleges declined from/11 percent toA.8
percept; and. the proportion in specialized instituons increased slignily
from 3.4 percent to 3.8 percent. 'On the other jiand, enrollment in 2-year
institutions:advanced from_27.5 percent to 35'6. percentottotal enrollment.
The planning 'process of the roles and missions of colleges and uni-
versities will necessarily begin with a consideration of the Carnegie classi-
fication.

4.3 Profiles of Institutional Types

9:1.3/81
Urban Universities in.the Eighties: Issuei in,Statewide Planning,
Steyen H. Smartt, 66 pp. (Southern Regidnal Education Board),.
Atlanta, Ga.).
Although this study by a staff member at the Southern Regional
Education Board was restricted to the southern region of the United States
and to case studies in just three states (Florida, Kentucky, and Virginia), the
issues raised-are of nationwide importance. In the expansion of higher
education in the '1960's and early, 1970's, state government higher education
planning tended to give particular emphasis to community collegesand to
urban universities. This study presents the problems to be resolved during
the k980's as urban universities achieve some degree of maturity.
The urban univ.ersity as de/eloped in the 1960's was expected to have
a specialmission: to enroll commuting, often part-time, and older
students on an open-access basis. The programs of the universityinstruc-
tion, research, andpublic servicewere expected to have an urban orienta-
tion,..being concerned with and helping meet urgent urban needs. Unfortu-
nately, the leading graduate schools in the 1960's were little disposed to
produce Ph,D.'graduates with this kind of urbadc.ommitment.
This study reports two kinds of conflict: ( I ) the conflict within the urban
university between those faculty memtrrs and administrative officers con-
cerned with access, as opposed to thoKconcerned with quality; and (2) the
conflict between. the urban university and the flagship state university at the
level of state government. In the case studies,The statewide competition for
269

303
 INSTITUTIONAL ROLE AND MISSION

graduate programs and state resources is presented as particularly evident in

'Florida and )Centucky, less evident in Virginia.
Although the study analyzes the problem with care and insig it offers
no solution. State governments will still have to find appropriate wers.,

See: 4:3.0/81 Equal Educational Opportunity: The .Status of Black

Americans in Higher Education, Institute fc7r the Study of EduCational
Policy.
This report underlines two policy objectives for higher education: (I) to
.
haVe the same percentage of black students' in higher education as there are
blacks in-the higher education age groups; and-(2) to provide the talented
black sup:lent with educational opportunities, of equal qua0 to those avail-
able to white students. Although acknowledging progress in black access to
highei education, the report states that opportunity in terms of matching
aspirations and objectives with performance and outcome is still to be
achieved.
The authors express particular contem about the distribution of black
stildents among types of institutions and about the relatively modest propor-
tion of blacks in graduate and professional schools. The future opportunity
for blacks in higher education is seen to depend on the commitment of
educators and policymakers to support equal opportunity. The authors report
that from 1966 to 1976, black student enrollment increased frorn6.1 percent
of all enrollments to 9.3 percent. They view access s a continuing problem,
a_

not a resdlved situation. ,

The discussion of black student distribution makes use of the classfiica-

tion structure of the. National Center for Education StatisticsA 1) public-
private,.and (2) universities. other 4-year institutions, and 2-year insti-
tutions. The report asserts'that the differences between these institutions'
reflect family and institutional wealth more than,a separation of students by
academic aptitude. The repo,rt Calls attention to the concentration of black
students in 2-year institutions and in less selective institutions and the
concentration of black studenesin-the discipliiieiTiraicatioitirnd the social
sciences, with smaller proportions in agricultre, the biological sciences,
engineering, and the physical sciences. The persistence rate to degree status
is reported to be less for black than for white students.
The issues for the 1980's are identified as continuing income inequality
among blacks, disproportionate distribution of blacks among types of insti-
tutions, the low retention rate for blacks, and the limited enrollment of
blacks in graduate and professional schools.

t.

270
304
 DIFFERENTIAL ROLES-PROF
.
ES OF I UTIONAL TYPES .11.3

9:14/80 .

The University and t I er City; W: Franklin

ikes, ed., 191
(Lexington Books, D.C. Heath and.Co., Lexingto Mass:).
This volume comprises nine articles that seek to set forth a mission for
the urban university.. At the very outset, the urban university is defined in'
terms oY four fundainental elements: location, clientele, program, and
priorities. The urban university is local and egalitarian. It receives little
Federal support foe research but enrolls many students whp depend on
Federal financial assistance. It has mostly commutinestudents and only. a
limited sense oiacadernic community. e , .

The authors of the first article draw, a sharp distinction between the
"cosmopolitan," or research, university and the "metropon," or urban,
university _They _present =this contrast as four liaradoxes:_ quality versus
.

equality; institutional versus individual 'influence; elitism versus

egalitarianism; and professionalism versus qmanism. The 'faculty,.:.,.
develOpment program at Northeastern Illinois University is cited as £form otm;
t 4:.
response to an urban mission.
Other articles w this collection focus on.the use of urban resources by
an urban'university, the arts and humanities in an urban environment,
lifelong learning in an urban setting, graduate education in an urban uni-
versity , the. role of the independent college in an urban community (es-
pecially the Central YMCA Community College in Chicago); cooperative
education, the joint.education project of.the niversity of Southern Cali-
fornia, and prison education .
Although quite different kinds of experience are reported in this
volume, the cement that holds the university edifice together is a com-
. niitment to a concept of urban higher, education that is different' from the
mission of-otlier institutions of higher education.

'0:1.3/78-1
Blatk Colleges in Amerita: Challenge, Development, Survival,
Charles V. Willie and Ronald R. Edm2nds, eds., 292 pp. (Teachers
College Press, Columbia University, New York).
In 16 chapters written by 2 I persons, this volume sympathetically and
hopefully examines the. history and mission of the predominantly black
college's in the United States. The central theme is that the higher education
of blacks in predominantly black colleges has provided opportunity and
identity for the black minority, as well as offering evidence of moral values
vital to all Americans.
.01hrougliout the volume, the objectives of black colleges are set forth as
The achievement of social justice, the reform of an oppressive social order,
and service to black communities. A long-time president of a black college,
Benjamin E. Mays, asserts.that the black image.in American has been kept

27I
305
 INSTITUTIONAL ROLE AND MISSION
L ;
U
r 4

.o
alive by black colleges. With appropriate attention to a concept of quality in
educationa achievement, the authors see the specitirmission of the black,
college in terms: of attracting; educating, and graduating black men end
women Who would'not otherwise have gone to college.
In a part of the volum ckvoted to the administration, financing, and -4-
govemiince of black colleges, the single most perplexing problem confront-
ing black-colfege presidents is identified as the concern to provide a.,:'4ound
edutation with limited financial resources. Black colleges have also be-
come a. major source of ettiploy,ment in their communities. Sherman Jones
0, and George Weathersby call attention to the early financing of blatk schools
by the Freedman's Bureau and by benevolentsoCieties, the distribution of
income by major sources as of 1915, and recent trends in financing of both'
e independent and public black colleges and universities. Prezell RobtriSon
-suggests-five guidelines-for
,
-the effective main-we-Merit Of scarce -reSdurces,..-
beginning with careful formulation of the fnissioh and goals of each institu-
t ion .
In a section foctised on teaching and learning in the black college, black
students are said to regard higher education as an effective economic tool for
improved material status. The black7college teacher is looked upon -as a
symbol of success and.upward social mobility. The objective of the-black-
college teacher is one of transforming "high-risk" students into community
and vocational leaders. Various chapters are concerned'with teaching in die
social sciences, sciences, humanities, and English-. -

' The overall conclusion to the volume, as stated by Charles

-,thatblack-colleges-in- the -United-States area vital national resource:,

9:1.3/7.1372
The Community and Junior College, Collins W. Burnett, ed._147
pp. (College of Education, University of Kentucky, Lexington).
This compilation of articles about the 2-year community college
sunimarizes.current knowledge, about the largest and most rapidly groWing
sector of the higher education system in the United States. If 2-year institir7,
tions attached. to 4-year colleges and universities are included, 2-year institu-
tions as of 1977 had some 36 percent Of all student enrollments, more than
such .other sectors as doctoral-granting universities, comprehensive'uni-
versifies , baccalaureate colleges, and specialized colleges and seminaries.
Several subjects are reviewed in terms of the available research find-
ings: the history of the private junior college, forge adaptations of the
American community college, The cohtrasting experience of "native" and
transfer students in obtaining a baccalaureate, the transfer probleni between
2-year and 4-year institutions, and .faculty characteristics in the 2-year
college.
. A particularly useful chapter describes the student personnel program'
.in a community college. The outline of a comprehensive 'program' drawn

272-
 DIFFERENTIAL ROLES-PROFILES OF INSTITUTIONPU TYPES *1.3
.

from various studies presents a vivid portrait of tiow the community college
0
seeks to serve its unique student body.
Only one instructional prodrarn of the community college is discussed
in the volumethe program in allied health technologies. The absence cif.
attention to instructional programs, instructional objectives,and curriculum 7
detracts from this otherwise valuagle summary.
!.%
9:1.3/76
The Regional State Co -ft. and Universities in OK Middle
1970's, Fred F. HaLcleroartheodore Molen, In., and Suzanne Van,.
Ott, 103 pp. (Higher Education .Progratii, University of Arizona,
Tucson).
.This- study --is the 'third -and- Most-recent- report=:on the growth -and
expansion of regional state colleges and universities. In general, the institu-'
tions identified as regional state colleges and universities are the 324 institu-
tions. comprising the American Association of State Colleges and Uni-
versities. The Association cooperated in developing the data presented in
these repot'ts. objectives of the reports are to describe, for the decade
1966 'to 1976,igeneral institutional changes; institutional characteristics in
enrollment size, program. offerings, 'and financial support; prevailing pat-
terns of administrative organization; and'the development of plans for future
progiam endeavors.
For the most part, regional state colleges and universities are reported
-. to be of two kinds: former teachers colleges that have expdnded _prOgram
mission and enrollment, and urban universities meetih variety of urban
higher _education needs. The studies develop a usetul two- dimensional
framework for claisifying higher education institutions, both by level of
degree programs (associate, baccalaureate, master's, and doctoral), and by
program orientation'(applied vs. theoretical).
This report (covering 1975 data) indicates continued enrollMent growth
(especially in graduate proirams), expansion of technical and professional
programs.other than those of teacher education, increased attention to new
and innovative instructional programs, ; some improvement in library hold-
ings, stability in student/faculty ratios,' an increase in per student
expenditures, and increases in income friim student fees, primarily in the
midwest and northeast regions of the United States.
All three of these reports on reional state colleges and universities set
forth the relative stale of well-being for an important and often overlooked
segment of public higher education. Moreover, the mission, program of-
ferings, and enrollment size .of Lilese particular institutions will become
major planning problems for the 1980;s.

273

307
9 INSTITUTION'AL ROLE AND MISSION

9:1.3/72-1
Edigation and Evangelism, A Profile of Protestant Colleges,
Robert Pace, 123 pp. (McGraw-Hill Book Co:, New York),
In this study, conaticted fOr the Carnegie Commission of) Higher
Education, the author found that there is no short, direct answer to the'
question: What is a Protestant college? Protestant denoMinations have
founded.pv'er theyears more than 1,000 colleges ill the United States, and
about 600 of these were still operating in the 1960's. Some Protestant
colleges and universitieslave become nonsectarian in affiliation: Others are
relaxing their denominational ties. A third group continues its relationship to
major denominationS, but the denominations themselves have become less
evangelical. A fourth group consists of colleges. related to evangekal and
fundamentalist churches. Using data from sample of 88 such colleges, the
.author drew a profile of Protestant colleges.
In terms of environment, the author found that the evangelical and
fundamentalist colleges are more homogeneous than other denominational
Prdtestant colleges or comparison groups. The 'Protestant colleges tend to
have a considOrable sense of community,- -to observe standards of decorum,
and to be somewhat-less cc mmitred to ideals of scholarship than comparison
institutions. The sense4of religious commitment is strongest within the
evangelical and fundamentalist colleges and somewhat evidept in the .

"mainline" Protestant colleges. .-

The author concludes that there is no,typical Protestant college student

or alumnus. The colleges teed to be soMeWhat small in enrollment size, to be
friendly, places, to be occasionally innovative, to be residential, to have
--increasingly permissive 'social regulations, -to be uncertain about religious
faith, and to be increasingly _moralistic in -attitude -toward social and .

economic problems.

9:1.3/72-2
The Home of Science: The Role of the University, Dael Wolfle,
201 pp. (McGraw-Hill Book Co., New York).
This study, prepared for the Carnegie Commission on Higher Educa-
tion, maintains that the American university at the end of the nineteenth
century became the principal home of science and research activities. The
author proposes that this development Was not the conscious determination .

of some planning body but the consequence of interrelated intellectual and

economic influences.
The author traces foul r themes: the prolessionalization of science,
the search for sponsors, th, gection of (he university as the appropriate
location of professional scientific endeavor, and the development of the
Piniversity's commitment to graduate study and research. The impact of
science on higher education is identified as fourfold: the breakup of the
college tradition, encouragement= to -specialization-in the- humanities and
274
308
 DIFFERENTIAL ROLESRROFILES dF INSTITUTIONAL TYPES 11011..3

social sciences, institutional fragment n and dispersal of power, and

ietterinsroutional competition. The experience. of World War II iind the
increased involvement of, lie Federal Government in the growth' of uni-
/versity science necessarily, is a major part of Ate story. Research support of
university, science grew from $360'million in 1953 to over $2.6 billion in
1973, with 60 percent of this support coming from the Federal Government.
The author also.) gives careful attention to the rationale for university .1

researcti,activities. as a key function in scientific study. One"justification is

that practical applications of knowledge can have social benefits. Another is
that science is the new frontier ibi humanity to explore. It has even been ,
suggestedthat scientific research is the modern equivalent of Egypt's
pyramids of, the medieval cathedral. Unfortunately, the author states, it is
not easy to formulate the university 'rationale. The convincing argument is
the expectation of,soclal benefit; the conviction is weakened wh ri the
expectation is not fulfilled. In turn, there is the question about gove mein'
rationale in .supporting university research: national defense, interpatiOnal
prestige, social benefit. University research 'has become 'government
dependent. Government support seeks national objectives, a national
interest, still to be clearly identified, advocated, and realized.

9:1.3/72-3.
The Invisible Colleges: A Profile of Small, Private Colleges with
Limited Resources, Alexander W. Astin and Calvin B. T. .Lee, 146 pp.
S Declaring that colleges and universities in the United States have
evolved into a "highly refined" hierarchy, consisting of a feW elite institu-s
tions, a substantial middle class, and a large number of relatively unknown
institutions, the authors of this study sought to describe this third group the
one-third of all 4-year institutions comprising the little- known - private col-
leges. Although'the term "invisible". was considered by some as pejorative,
the authors had two primary characteristics in mind: a relatively low degree
of student selectivity for admission and relatively' small enrollment size. In
general, the criteria for defining the type of institution described were SAT
composite scores below 1,000 and enrollment size below 2,500. _
In the (eport prepared for the Carnegie Commission on Higher Educa-
tion, the authors present a brief historical sketch of the invisible colleges.
Among administrative characteristics, the invisible colleges. were 'found
primarily in the midwestern regions; tended to have religious affiliations;
included most of the private, predominantly black colleges; tended to have
lower annual tuition charges'to students; tended to have a smaller proportion
of faculty members with doctoral degrees; and had modest endowment 40.

resources per student. Data about student characteristics, learning environ-

.
ment, and educational effects are include& S

The authors conclude that the probleMs of the invisible colleges are
qualitatively differint from those of the elite colleges. They state that there

309
9 INSTITUTIONAL ROLE AND MISSION

is no strategy for the survival of these'colleges that does not jeopardize

their small size or their private status. The most important attributeOf the..
invisible college is identified as its small size. These colleges are educa-
tionally useful in serving' a student body not equally well served by the elite
private college or the larger public'eollegenr university. The authors assert
that the invisible college in general has justified its existence and has in
large tpeasure been ignored or overlooked in State and Federal government
planning...Increased enrollment size is given as an itpperative, as well as
curriculum development more nearly consistent with 'the .actual-educational
mission-of the institution.
9:1.3/71-1 ,

Between Two Worlds: A Profile of Negro HigherFEducation,

Frank Bowles and Frank A. De. Costa,_ 326 (McGraw -Hill Book
Co., New York). .
In this study for .the Carnegie 'Commission on Higher Education; the
authors set out to describe and analyze the"conditien and role of the. his-. .
torically Negro college. They found that, by the late 1960's, these colleges
no longer held the pre-eminence they once did for the black student. During
a 50-year period inthe South,' blacycoileges were the sole custodian'of black
literacy, black history. anti black aspiration's. Moreover, the principal.pm-
fessional opportunity open to black graduates was to teach in black elenien-
tary and secondary schools. However, opportunities for black 'access to a
wide variety of colleges and universities expanded substantially in the
1960's. By the end of the 19601, it was clear that the unique role of the
historically Negro college to provide edicational opportunity for .blackl.
students hat ehded, No. longer bound by its traditional mission and oilliga-
tion. the historically Negro college became free to undertake a new role.,
Exactly.what this new role would bc remained uncertain.
After a substantial presentation of historical,, statistical, and descriptive
data, the authors turn to speculation about the future. Obviously ohe World
of higher education for blaCk students IS in transition. Should students be
prepared to,participate in black society or in aplintegrated society? Whatever
the objective, will the educational needs of black-students be better met iu a
segregated or integrated learning environment? How can the competence of
black-students to compete with white students be advanced'? How can the
.defict of professional blacks be [post rapidly and effectively reduced'? Like ,

others, the authors have no precise answers tathese'complex issues.

The authors assert that there remains a mission for the historically Negro
college to perforth: to. take students of poor preparation, to lit them
into appropriate educational programs, and, in time, to qualify them for a.
profes'sional position within the black community, or a permanent position
with a reasonable future in.the white community. Finally, the authors urge
that public policy and public programs' assist the predominantly black
college in fulfilling this mission.
276

3i
 . - .

DIFFERENTIAL R01.PROFILES'OF INSTITUTILINkTYPE...% 9:1.3

. 1

9:1.3/71-2 I
Breaking the Access Barriers: A Profile of TworYear Colleges,
Le and I.s..,Medsker and Dale Tillery, 183 pp. (McGraw-Hill Book
Co.., New York ),
Co-authored by a leading proponent of the comniun\ity college, this
study sponsored by the eamegie Commission on Higher.E4ucation is both
an account of Ad an explanation for the phenomenal gr wth of 2-year
colleges.in the 1960's. .The atithors assert that three princip I factors were
7involved id the expansion:' the increased demand for techni Ily educated
, personnel in American business and government; the)ncre d gOvem
mental financing ;available to veterans and others with which\ to meet the
personafeosts'ecgoing to'cotlege; and the aspiration of individtkals to know
_.
niore about themselves, and the World of which they are a part Statistical
(iwi of various kinds are used to demonstrate the facts of growth.
Me authors give considerable attentionfto'a statistical .pro ild'of the
community college student:In terms of.academie ability, the stu ent tends
to fall'in the second and third quartiles; just above and below the median.
The family income correspoqds similarly. Few community college tudents
are ot: high academic ability and high family income, but few are Of low
academic ability orlow family income AlthoUgh about two thirds .1.C4r11.7
mutiny college students intend to transfer to a 4-year program, on1pabout
one-third actually do so. Only about oneLlhini of all newly enrolledstudents
cor
-complete a 2-year instructional. program. . .
,

rams.- the authors stress the tenden6y off

In teens of instructional programs,- . 1ar
2-yeat colleges to offer a wide variety of Opportunities, espe'cially in career
education. The discussion of developmental or remedial education antici-
pitted but could not fully forecast the-experience that ociurred in the WO'S-.
. --There ckin-. -no- doubt -that the ,stinmunity- .college, in the I960.'s
,
achieved a elitral'iole in American higher education. That role involved
promise of educationafaghieveinent, career development:, and community
' service for a whole new class of citizens. Front the perspective of the 1980's
this promise seems large14 to.havebeert fulfilled.

9:1.3/71-3 . :

Models and Mavericks; A Profile of Private Liberal Arts Col-.

leges, Morris T. Keetop.;':191 pp. (McGraw-Hill book co., New
York)..
- -,.
In an effort to provide a rationale for the private college, the author of
this study "for the Carnegie Commission on.'Higher Education argues that
these institutions could relieve the burden of overcrowding in public institu-
tions and could "undertake ventures in qualitative achievement." Qualita-
tive achievement is identified in terms of three perspectives: the freedom to
Orient student life and a'curriculum to a particular religious of philosophical
point Of view, the opportunity for unique instructional achievements, and
277 '

31.1
 9 INSTITUTIONAL ROLE AND MISSION

the freedom to undertake socially useful but often risky innovation.

One chapter discusses the idea of Uttality based upon distinctive phi-
. losophy. Another chapter develops the idea of quality based upon distirtti,ve
resources. Still a third chapter presents ':vignettes" of five "excellent
colleges." '
The author then argues persuaSively for a public policy aimed at ..
preserving and losteringl "dual system" of higher education:The elements
of a desired public policyor presented as grants and !cans tb individual
institutibns, support of institutions in Meeting the costs of an expanded
enrollment, anti extended suppock fdr construction and special programs.
The author also insists that private colleges should realign. their authority
relationships,, improVe intrinal communication, and strive fdr greater
decentralization of management.

1.3/70
The Upper Division College, RObert A. Altman, 202 pp. (Jossey-
Bass, San Francisco).
This book traces the histo'rial development of upper division colleges,
and' universities established to draw Students (from public comMuniry
leges. clo supplement and extend the comtnuni# college' system, state
planners and state governments identified particular places initheir states
where upper division colleges on universities should be established. The
total number laf such universities at the time of the study was about 15,
concentrated largely in Florida, Illinois, and Texas. The mission of these
institutions was to achieve an articulation with 2-year campuses and to
meet regional needs for baccalaureate and master's degree instructional
programs.
.
Since most uppekdivision colleges were established in the 1960's, the. 41
authoi has only a relatively brief history to report. He 'describes some of the
early operational difficulties, but overlooks the reluctance of faculty mem-
bers newly recruited from graduate schools to_accept and implement the
institution'S"mission. in some instances, the enrollment proved to be less
than plannerll anticipated; for reasons that deserve much more attention
than has been dven to the subject.

9:1.3/69:1
Colleges of the Forgotten AmeriCans: A Profile of State Colleges
. and Regional universities, E. Alden Dunham, 206 lip. (McGraw-
Hill Book Co., New York).
The colleges and universities examined in this study, sponsored by the
Carnegie Commission on Higher Education; are essentially of two kinds.
e'is the teachers colleg.k, which evolved in the 1950's and 1960's into a
comprehensive university, adding more courses in the arts and sciences and
new professional schools (mostly of business and fine arts) to a curriculum
.
.
278

3 It' )
 .

DIFFERENTIAL ROLESPROFILES OP INSTITUTIONAL TYPES lit 1 .3

previously preoccupied with the professional education of teachers. The

second is the state urban university, newly created or newly transformed
from some earlier sponsorship in order to expand die opportunities for higher
education.
The author makes clear that the colleges and universities he describes
have indesd eli*.varieil. in their history, their performance, and their
expectatiodt. What the &lieges and universities have in common is publil
sponsorship, new program ideas or w concept's of service, and the laCk
of prestige and status associated with er stata,universities and selective
private colleges and universities. The co geidnckuniversities Alden por- V

trays are the institutions that absorbed most of the great enrollment expan- 4Ie

% sion of 1960's, only to give way i5. he 1970's to the continued groWt.03 h of
community colleges. . f -

One consequence of a changing mission for state colleges and universi-

ties in the 1950's and 1960's was the impetus to create state boards of higher
education to keep program expansion under control. Another consequence
was the appearance of multicampus governing boards inherited fro the
' days when a single state board of education operated several dill nt
teachers colleges. These consequences are not explored in the volume. he
author already had a sqbstantial task in sketching student .characteri ics,
faculty expansion and *partition, program proliferation, and admini rative
styles in this new kind of higher education institution.

9:1.3/69-2
From Backwater to Mainstream: A Profile of Catholic Higher
Education, Andrew M. Greeley, .184 pp. (McGraw-Hill Book Co.,
New York). ,

Some 350 of over 2,800 institutions of higher education enumerated by

the Carnegie Commission in 1968 were related to the Roman Catholic
Church. Yet them was diversity in organization and operation under this
heading, rather than a massive, ..smoothly Organized, and efficient
monolithic structvre. There were, of course, similarities. The Catholic
colleges and universities were generally established' by various religious
orders of the Church, usua'ly presided over by priests or nuns, subsidized in
some measure by contributed services, committed to the Catholic faith, and
founded primarily to provide higher education opportunity to Catholic
immigrants in the large cities of the United States.
Of the 350 institutions identified in the study, more than 100 had been
founded after 1950. These newer institutions tended to be junior colleges
or colleges for women. A considerable portion ofethe colleges founded for
men prior to 1950 were no longer in existence.
In various ways, the distinctive religious objectiVes of the Catholic
college have been altered by the increasing participation of Catholics in the
mainstream of- professional,, managerial, and technical positions in Ameri-
279
313
 -

9 INSTITUTIONAL ROLE AND MISSION

can society. .Xs some Cath olic 'youth entered nonsectarian and public insti-
tutions of hither education, the'Catholic institution did not darn to offer
educational oppc)rtunity. of a lesser quality. And the urban location of the
CaTholic university encouraged a non- Catholic student enrollment in many
professional programs. Increasingly,' the Catholic institution has been
challenged to determine what is distinctive about Catholic higher education,
The Catholic institution has found itself beset in recent years by rising
costs, an increasing proportion of lay faculty members, difficulties in
recruiting competent aid effective top-level administrative personnel,
expanded. public higher education opportunities in urban areas, and ques-
. lions of relationship to COmmunity and Church.

9:1.3/69-3.
The Liberal University: An Institutional Analysis, J. Doakkas
'Brown, 263 pp. (McGraw-Hill Book New York).
This book, by the dean emeritus or faculty and former provost of
Princeton University, was written: ".,.to analyze the..uurposes, organiza-
tion, policies. the processes ofa particular ire otuniversity; that is, the
"'liberal university' as later defined. In-this analysis, the aim has been to keep
constantly in mind the inter - relations, tension's, and interactions normally;
present in the Operation of an institution which.mhst be responsible to many
categories of .constituetits. The emphasis is,. therefore, upon how these
various elements-and interests-can be brought, into-moving equilibrium -in
advancing the mission of the institution," fa,
- As viewed by the,author, the key attributesof at-liberal university are
that it is person-centered rather than knowledge-centered; value centered
rathfr ttwn neutral of or divorced from values; concetned-w)th fundamental
knowledge and its integration; given to empha4izing,independerit study and
individualized instruction; and prone to encouraging individual freedom and
prOmoting individual responsibility. Working from this description, .the.
author discusses the constituent elements, functioning, and problems of
liberal university in the -following.sequence; organiiation, the presidency,
the Ilaculty,.the administration, the trustees, the students, and the. alumni.
Attention is Th recte4principally toward policies and adenistrative ar-
rangements that can form a consistent whole. Some of the most rewarding
chapters (in Cater sections of the book) deal with issues concerning acalemic..
policy. questions of economy and control; and' problems of external' rela-,
(ions.
The author draws on 2 I years of experience as dean and prtvost and
earlier specialization irfihe study of industrial relations and-organization to
provide a wealth of observation and analysis; Among the topics covered are
academic freedom and 'tenure, the relation between teaching and research,
the role of the university press, tie optimal size of enrollment, the control of

280

31
 / t'

/DIFFERENTIAL ROLES--PLANNING DISTINCTIVE MISSIONS 9:1.4

/
subject specialization, the control of sponsored research, and faculty salary
Policies and procedures-.-- -1-: --., --------....

1.4 Planning Distinctive Missions

4:2.0/82
Selected Topics in Graduate Education, Martha Romero, est. 50
pp. (Council of Graduate Schools in the United States, Washington,
D.C. ).
This annotated bibliography reviews' published material on selected
issues in graduate education, including the assessment of quality as
evidenced in faculty evaluation, program evaluation and self-assessment
measures within graduate schools, minorities, and nontraditional students.
Citations are given on publications pertaining to doctoral degrees other than
the Ph.D., on mid-career changes for academics, and on university part-
nerships with government and industry. The bibliography, which includes
material published from 1977 to 1982, will be available in Fall 1982.

See: 4:2.0/81 Minks as Learners, K. Patricia Cross, .

The authorgillsists that lifelong learning is necessary for everyone. The

goal of a learning society Rs serviceto individual learners. The subject of this
study, reviewing literature and theory; is the adult as a learner.
The early_chapters deal with the recruitment of adult learners, with
adult participation in learning activities, and with the:motivation for adult
learning. The author proposes her own chain -of- response modal to advahce
She understanding of adult motivation. In a summary cliapter, the author
identifies two baiic kinds of learning: self-directed learning and participa-
tion in organized inStruction._Latcr chapters are concerned with patterns of
adult 1 arning and development, what adults want to know, and how to
facilitatc adult learning.
This study provides a convenient handbook about our knowledge of
adult learning and about the problems involved in promoting adult learning
through a college or university soing.

See: 16:2.0/81. The Characteristics and Needs of Adults'in Post-

, secondary Education, Lew isC. Solmon and Joanne J. Gordon.
This study was undertaken in an-effort to underline the special needs
and characteristics of adult students, defined as those over 21 years of age.
The authors maintain that, if colleges and universities are to seek out and
serve this nontraditional age group, they will have to modify 'traditional
modes of teaching and learning:
Using data from the Cooperative Institutional Research Program, the
authors report an in&easing proportion of freshmen studtnts over 21 years of

2$1
 °INSTITUTIONAL ROLE AND MISSION

age. These students tend to be part-time, women, increasingly drawn from

minorities, unmarried, and disadvantaged in terms of parental educational
attaintnent. The greatest concentration of adults is found in public tom- 11,

munity colleges, partly because of access and partly because pf low cost.
The authors also note that: financing a college education is a major concern
for adult students; .tclult students tend to be poorly prepared for college
study; degree aspirations are relatively modest but advancing; and the
major interest is employinent-related.
The implications of the increasing numbF of adult Students for college
instruction and institutional services are pointed out in a concluding chapter. ti
See: 4:2.0/80-2 Adult Development: hnplications for Higher Educa-
tion, Rita Preszler Weathersby and Jill Mattuck Tarule.
In-this research report, the auditors present a range of research in adult
development as the basis for the beginning of programs in adult education.
They acknowledge that adult development is just emerging as a field of study
and that the research drawn from many disciplines is incomplete and lacks a
unifying theory. They review life-cycle stages and hierarchical sequEnces of
development.
final and somewhat brief section suggesis the application of know-
. ledge 'About adult development to programs of higher education. The
authors
point out that development is expected to be a major outcome of students'
experience. They suggest that education can be important as a supportive
factor for individuals in life transitions and that program planning must be
undertaken in terms of grotips of persons to be served and an awareness of
their needs. They link adult development research with improved instruc-
tional procedures, and they advocate expanded services-in career planning,
counseling, and individual support.

9:1.4/80-1
As'essing the Needs. of Adult Learners: Methods and Models,
Lynn G. Johnson, ed., 71 pp. (Ohio Board of Regents, Columbus).
This collection Alf five papers is concerned with procedures v
assessing the educational needs and interests of adult students. The first
paper, written by K. Patricia Cross, discusses the state of the art in needs
assessment. The other four papers resulted from a nationwide competition to
find, exemplary models, of actual assessment efforts. The 'Winning
paperssubmitted by persons ar Springfield (Massachusetts) Technical
Community College, the University of Illinois, Holy Name College (Cali-
fornia), and the New York State Department of Educationcover the
assessment of needs of adult women, the assessment of needs for a bac-
calaureate completion program in nursing, efforts to determine interests of
adult learners in the inner city, and the development of a continuing state-
wide inforniation system on adult learners.

282

3IG
 DIFFERENTIAL ROLESLPLANNING DISTINCTIVE MISSIONS 111.4

The papers report the results of particular surveys and provide illustra-
tions of the survey instruments employed. For example, the fir/ York studN
found that the major fields of interest for adult learners are arts and crafts, '
physical fitness, sports and games, hoMe decorating, and gardening. The
most importanfbarriers .to continuing educatiOn are home responsibilities,
the cost of tuition, and inconvenient class schedules.
A final section of the report presents guidelines for implementing needs
assessment, and the report includes ap annotated bibliography on needs
assessment.

9:1.4/80-2 - .

Integrating Adult Development Theory with Higher. Education

Practice, Current Issues in Higher Education No. 5; 26 pp. (Ameri-
can Association for Higher EducatiOn, Washington, D.C:
The AAHE here presenis two papersby Arthur W. Chickering and
by L. Lee Kneklkarnp--that earninewhether theories of adult deverop-
ment provide an organizing purpose for higher eductition. Chickering argues
that-adult development must encompass a concern "for international col-
.labOration, the ,need for institutions' promoting individual Auld collective
well-being, and an integration of theory and practice (liberal learning and
career education). He believes that life-cycle challenges can be effectively*
linked with learning processes, but that the 'relationship is mow of a state-
ment of faith than a map of direction.
Knefelkamp addresses a.quite.different concern=that for rerkwinthe g
concept Of a community of scholars as the objective of faculty and stadent
development during the 1980's. He pleads for an affirmation of a total
educational purpoSe; a recognition of mutual need, and a ommitment to
continued endeavor in,spite Of conflicts. : p

vl

1.4/80-3
he Philosophy and Future of Graduate:education, William K.
Frankena, ed:, 259 pp. (University of Michigan Press, Ann Arbor).
This volume tvings together papers and coi. nentaries delivered at an
international conference on the philosophy of graduate education held at the
University of Michigan in 1978. Nine of the twelve papers were written.by
f Americans; the other three papers'were written byltgoslav, an Australian,
and a Britisher. , .

Insofar as there is a philosophical issue for graduate education to

resolve, it appears, from these papers, to center on whether graduate educa-
tion should be highly specialized in content and method: Is -the primary
purpose Oreacluate education, esp4cially at thelloctoral level, the education
of a research scholar? Or is the primary purpose to encourage the develop-
' ment of competencies.and interests broader than research specialization?

283
5
 9 INSTITUTIONAL ROLE AND MISSION

IT9es graduate education adequately prepare scholar/teachers whose

primary role may become the education of undergraduate students?
None of these questions is,new. The purpou, of graduate education has
been much debated, argued, and written about fOr over 20 years. Although'
there are no new answers in these papers, -there are ,.certain additional
perspectives, especially in the papers presented by Sterlirtg McMurrin,
Kenneth Boulding, Laurence Veysey, and Howard Bowen.
It seems evident that the purpose of graduate education met certain
social expectations as formulated by political and other agencies during the
1950's and 1960's; and that these social expictations stilt had some but a .

lesser vitality in the 1970's. There may be some ferment in the 1980's that
may bring about some change. But the papers here studiously avoid one
major practical matter, the costs of graduate education eicept as the matter
. is raised incidentally in,the paper by-William Miller.

9:1.4/80-4
Science. find Technology: Promises and Dangers in the Eighties,
President's Commission for a National Agenda for the Eighties, Panel
, on Science and Technoegy, 97 pp. (U.S. Government Printing
Office, Washington, D.C.).
Prgident Carter's CommissiOn for a National Agenda for the Eighties,
appOinted in October 1979 and consisting of 45 prominent citizens, issued a
general report :entitled A National Agenda for the Eighties, along with nine
panel reports. In its general report, the Commission states its belief that the
'' topic ' '-. of higher education is important, but explains that it did not have the
resources to exafnine the issue "thoroughly." However, two of the nine
panel reportsthose on social justice-and on science and technologydo
take up the subject of higher education.
The panel report on science and technology stresses two primary
concerns: increased support for research and development in the natural
sciences and the social sciences, and better understanding of science and
technology. The one concern speaks to gradUate education and research by
10101 research universities; the second speaks Iodic need for, a. general
education within all higher education in order to ensure that the social
regulation of science and technology is performed intelligently. The panel
comments about the close relationship between the health of the economy
and the health of the scientific-enterprise. Its, report identifies four major
challenies for science and technology: ( I ) limited resbattes;(2) -a-cbanging
world order, (3) the role of technological innovation in reshaping American
society, and (4) the complex interrelationship between science and society.
The panel reports that universities perform over half of all basic research in
the nation, and mentions three case studies on interaction between science
and society: the nuclear power question, recombinant DNA technology, and
information storage and access. The panel calls for better education about
284

31 c.3 k
 DIFFERENTIAL ROLESPLANNING DISTINCTIVE MISSIONS 1011 .4

the nature Orscience and technology in order to develop science literacy and
to increase a public awareness of probability, risk, and uncertainty in the
development of future technologks.. .

See: 14:3.0/80-3, 14:3.0/60-5, 14:2.0/80 -4, 14:3.0/80-2, 14:2.0/80-6

Research Accountability: Restoring the Quality of the Partnership;
Revieiv Processes: Assessing the Quality of Research Proposals; Fund-
lag Mechanisms: Balancing Objectives and Resources in University.
Research; Industry and the Universities: Developing. Cooperative Re-
search.Relatiohshipi in the National Interest; and Research Persqnne.1:
An Essay on Policy, National Commission on Research.
The National Commission on Research was established in 1978' to
examine the relationship. betieen government agencies and universities.
-Thy Commission was sponsored by 'the four associated research organiza-__
the Association of AmericanUniyersities, and the National AssoCia7
the
Lion of State Universities and Land -grant Colleges, and was financed by
grants from five private foundations, the National Science Foundation, and
the U.S.Air Force. The Commission consisted of J3 persons drawn from
research universities, the American Association for the Advancement of
Science., two private corporations, and the Woodrow Wilson Center for
Scholars. These five reports published by the Commission iii 1980 present
its general findings and reconimenditions.
The first report, Accountability: Restoring the Quality of Partnership,
states that the research universities and the government are not working
together as well as they should. The Commission thus .recomMends:41)
vigorous, concerted action to overcome mutual suspicions and misunder-
-stbdings; (2) development of a new.system of accountability appropriate to
the nature of the activity and based ona set of minimum core.requirements;
(3) revised Federal cost and management principles; and (4) the-intepration
of technical review and financial audit of project performance. Other
recommendations inciUde More self-regulation of research work assign-.
ments, a new approach to indirect costs, unjversity review' of research
finanOal management, greater flexibility in fund management, and better
processes of project accountability' .
The Commission's second report, Review Processes: Assessing the
Quality of Research Proposals, is concerned with the review of project
proposals and the aWard of pre,ject funds. The' Commission concludes that
some diversity of review processes is appropriate., provided equality of
. opportunity is preserved and the quality of awards is thigh. While
recognizing criticisms of peer review, the Commission states that the system
had worked well, that open competition in the submission of proposals is
desirable, and that the selection of propos through peer review should be
retained. Several recommendations are t lide for improvements in the 're-
view process.
.
3t)
 9 INSTITUTIONAL ROLE AND MISSION

The third report, Funding Mechanisms: Balancing Objectives and

Resources in University Research, covers grants, cooperative agreements,
and contracts. The Commission tenors that various Federal agencies appear
to have different interpretations of and attitudes ,toward these funding
- arrangements. Among other problems, the Commission identifies a rapidly
developing obsolescence of research equipment, inadequate proyision for
new research initiatives and for sustaining research capacity, and the erosion
of institutional support for research in the humanities and social sciences.
Funding procedures are characterized as lacking continuity, stability, and
flexibility, and the cost- sharing requirenitnt is found tostimulate paperivork
and controversy.ThComnnission obsel .Vestheadvantagesbf continuing to
combine teaching and research, but speculates about the possible decline in
young scientists available for zresearch -activities. Some 16 general
recommendations address; these 'issue's, including one _that universities
examine more carefully the implications involved in the development and
growth of university-associated research institutes.
The fourth report, lndustrxandthe Universities: Developing Coopera-
tive Research Relationships in the National interest, departs from the theme
of university-government relationships to urge more extensive university-
. industry cooperatiVe research. The Commission Urges the Federal govern-
ment to facilitate this relationship by providing financial incentives and by
permitting universities to retain title to inventions developed under federally
supported. research,
The fifth report,, Research Personnel: An Essay on Policy, deals with
the national need for an 'ample pool of research scientists. Rather than
submitting recommendations, the Commission offers 13 questioni for
further discuSsion and resolution by government and the universities. These
questions include such issues as: the way science is introduceto elementary
.- and secondary school children; the science requirements for college stu-
dents; the numbers of "well-prepared" scientists needed at the start of the
next century; access to scientific careers for all, sectors of society; the
distributiqn of research effort between universities and other agenCies; the
role of universities in the "whole" formal education of scientists; and the
state of general access to research results.
These' reports provide the most extensive review of the university-
Federal Government relationship in research undertaken since the end of
World War 11.

9:1.4/79
The Impersonal Campus, Virginia. B. Smith and Alison s R.
Bernstein, 137 pp. (Jossey-Bass, San Francisco):
The authors of this volume, who formerly served with the Fund for the
Improvement of Postsecondary Education, are concerned with finding
alternatives to what they consider to be the impersonal campus. Specifically,

286

3ti0
 DIFFERENTIAL ROLES-PLANNING DISTINCTIVE MISSIONS 61.4
they ask the question: Is there a clear relationship between the size di a
college or university and the learning outcomes? Their conclusion is that
there is no simple relationship between size and quality. Yet they insist that
certain types of learning tend to sufferin-iOnassive institution."
The authors begin their discussion by reviewing the enrollment growth
and the expanded size of colleges and universities betWeen 1950 and 1974.
They observe the various reasons given fqr increased size, IQ remain
skeptical about their validity.. Ike), 'argue that concerns for student de-
welopment, instruction, and istitutional "climate" have been overlooked
in the rush for expansion.
In enumerating alternative to size, the authors consider consortiums,
cluster colleges, individualized instruction, consumer information, support
services, and "alternative" colleges. Ina concluding chapter, they argue for
both more research about the impact ofsize and more faculty-administrative-
attention to the impact of size and process upon learning. Clearly, the
authors are convinced that small is beautiful in higher education.

Sec- 37:2.0/77 Career Education in Colleges, Norman C. Harris and John

F. Grede. .

In this guide for planning 2- and 4-year occupational programs for

employment, the authors argue that the conflitt between "education for
view
life" mid, "education for. a filing" is no longer meaningful. They
career education as a new objectthe new unifying force for higher education.
'The first part Of-this volume presents a discussion of change, in higher
education prospects, in students' attention to ,career opportunities, in the
composition of the labor fin*, and in the 'institutional 'settings for career/
education. The -second part presents a discussion of career education in
business engineering and technology, allied health fields, public service,
and the liberal arts. The third pait deals with the planning, financing,
management, and governance of career education.
It is, understandable if the authori tend to give more attention io the
community college than to 4-year. baccalaureate programs in the, light of
is as
their own experience and expertise. Yet much of what they have to say
applicable to education for the.bachelor's degree as it is to education for the
associate degree. The observations and insights are worth careful attention
in both 2-year and 4-year institutions. But those educated in the arts and
sciences during the 1950's and 1960's will find it difficult to accept a
supportive role to career education. Change is not all thateasy for faculty
members committed to a particular intellectual tradition./

Responsibilities of
See: 34.:1'.0/77 TheFuture of Ault Education: Nei'
Colleges and Universities, Fred Harvey Harrington:
In this voluMe, the former president of the University of Wisconsin
.

4.
287
 9 INSTITUTIONAL ROLE AND MISSION

looks at the education of adults as one part of the mission of higher

education. The author asserts that "the day of the adult is,comingAo higher
education in the United States; if it is, not already here," The largest and
most successful adult education enterprise has been agricultural extension.
This experience, along with other efforts, provides a backdrop for. future
planning.
The author's approach is eclectic. Considering the noHoo-reassuring
record of adult education through on-campus courses forqedit, he reviews
new opportunities for off:campus credit programs. Continuing prnfessional
educatici and continuing general education for adults are additional pro
gram interests and possibilities he examines. His review of agricultural
extension gives way to the uncertainties of urban extension. Finally, he fits
higher education's obligations to the disadvantaged into the portrait.
The problems of prograM focus are considered' in the framework of
academic administration and financial managementconcerns that no
academic planner or administrator can ever ignore. The list of recommenda-
tions for action.are time)), and persuasive.
Higher education has new opportunities to expand its endeavors in two
important directions: the enrollment' of nontraditional' students in .degree
programs, and the expansion of,continuing education for adults. In con-
sidering these new opportunities, no institution can afford to ignore the
practical experience and the practical advice set forth in this volume.

9:1.4/75-1
Outlook and Opportunities for Graduate Education, National
Board on Graduate Education, 73 pp. (National Research Council,
Washington, D.C.). .

Appointed in 1971 by the Conference. Board of ,Associated Research

Councils, the now defunct National Board on Graduate Education sponsored
a number of studies and issiLd, several reports intended to counteract an
apparent diminution of public interest and public support for graduate
education. This volume, the National Boaid's final report, is a summary of
some .4 years of study and discussion.
The report calls attention tolhe rapid expansion of graduate education
during the 1960's and asserts that graduate education can be only as sound as
the universities within which it is administere- d. The total financial condition
of a university is identified as determining the quality-of graduate programs.
The problems confronting graduate education within the university context
are enumerated as general financial retrenchment, a lower national priority
for 'research, reduced labor market demand for Ph.D.'s, almost stable
Federal Government support in terms of dollars of constant purchasing
power, and state government concern about graduate education planning.
In looking to the'future of graduate edwution, the National Board gives
particular attention to reduced labor market demand, reduced graduate
288
 DIFFERENTIAL ROLES - PLANNING DISTINCTIVE MISSIONS . 911.4
.

student support, and the problem of access for women and minority stu-
dents. The Board recommends that planning for graduate education bibated
on the fundamental changes occurring in the 1970's, since these will affect
higher education performance in the 1980's.

t
9:1.4/75-2
The States and Graduate Education, Education Commission.of the
States Task Force on Graduate Education; 29 pp. (ECS, Denver).
This report represents an effort to provide guidelines to state govern7
mints in their plainin$ for graduate education. The task force begins with
two assertions: that graduate education is essential to the welfare of the states
and the nation, and that the priMary resp6nsibility for providing graduate
14 educational opportunity--including support of public universitiesrests
with state gc "ernments. The report proposes an effective institutional, state,
.2._ and Federal partnership in graduate education.
The task force urges coordinated planning for graduate education. Such
planning should include multiple .soirrces of support: primary support of
graduateeducation in public universities by state goVernments, effective use
of available resources, and Federal Government fupport of basic research
and graduate students. The report recommends strengthened state govern-
:. ment planning for graduate education, Mc/tiding a concern for unique
resources, student accessibility, response to employment needs, and the
development of neW" and imaginative" programs bf graduate educatiOn.
State planning should develop clear statements of goals and objectives
for graduate education by the institutions of the state' knd effective
tiVe and quantitative criteria for the elimination of some programs and the
'approval of others. The report acknowledges the difficulty in developing and
applying such criteria, but does not offer any particular suggestions about
how to approach the task, or about appropriate kinds of.criteria to employ.
OtherrecomMendations deal with graduate programa, comparable cost data,
the assessment of benefits, and regional planning.
The 'Education Commission of the States task force report 'is a reaf-
firmation of faith in graduate education, and it is useful i0 counteracting 'a
. current public inclination to belittle the
importance of graduite education in
N) general. Moreover, the report presents a realistic outline of institutional,
state; and Federal roles in planning for graduate education. But it does little
to advance planning and decisiomaking about the critical issues of graduate
education: what hinds of graduate programs should a state support, what
should be the desirable enrollment size and resource requirements for
graduate instruction, what should be the geographical distribution of
graduate programs, and what institutions should be assigned the mission of
graduate education at the Ph. D. level?

'289
.21.,
 INSTITUTIONAL ROLE AND MISSION

9:1.4/75-3
Vocational Education: Alternatives for New Federaltegblation,
Pamela H. Christoffel, 57 pp., (College Entrance Examination Board,
New York).'
This study, prepared in advance of the 1976 amendments to and
extension of the Vocational Education Act. of 1963, clearly delineates the.
issues of Federal and state government planning in an important program
area of postsecondary education: career or technical education beyond the
secondary school level. The original 1463 law applied to both secondary
vocational education and postsecondary technical education. At the same
time, state planning and managenlent of the program was restricted to a sole
O

state agency, which in most instances was a state board of .vocational

education or a state department of education having authority over
secondary education but not over public higher education.
'In 1976, higher education associations made an effort to change the
vocational education. law at the Federal Government level in order to
increase the proportion of funds allotted to postsecondary technical educa-
tiort, to eliminate the sole state agenty requirement, and to permit delivery of
technical education programs by a range of public 'higher education
organizations, including community colleges, technicW institutes, and state
universities. Although these proposed modifications were largely ignored in
the final 1976 law, some concessions were made involving increased higher
education involvement in state planning for so-called vocational education,
including technical'education.
Although this study addresses Specific issues of 1976 legisla tion, the
problem areas enumerated continue to be troublesome and to perplex both
Federal and state pvernment planning for secondary vocational education
and postsecondary technical education. Government planning must still
cope with the prograit problems and the.problerns of institutional mission
presented in this study and generally not resolved by the 1976: legislation.
A

9:1.4/74
Adapting Universities to a'VechnologiCal Society, Eric Ashby, 158
pp. (Jossey-Bass, San Francisco).
In this essay, a distinguished British. educator presents the thesis that
universities have not adapted themselves sufficiently or adequately to the
environment within which they perform their services. He characterizes
universities as congregations of faculty members committed to the pursuit of
their own intellectual interests, free from external social and political pres-
sure. At the sange time,'.he points out, society is confronted with urgent
problems: poverty, unemployment, inadequate health care, environmental
pollution, and national defense.
;r The author argues that conflict between u niversity and society is not
, preocdained. He believes that faculty members can pursue both intellectual
414..
-290 .

S.
 DIFFERENTIAL ROLES - PLANNING DISTINCTIVE MISMONS 911.4

and practical objectives without subverting the tradition and the commit-
ment of the university. Moreover, he is convinced, that modern technology
represents the hope, not the curse, for the future of a progressive society. He
is even inclined to believe that technology can improve the learning process.
. It is apparent throughout the discussion that Eric Ashby is drawing
heavily on his own experience asa scientist and as an administrator within a
'uni versity 'of the United Kingdom. His observations about science, tech-
nology, faculty members, studentsyand academic administration present a
, cogent description of conflict in purpose as this situation emerged in his
country after 1945. Yet the comments are not without general relevance to
universities that have inherited or adapted the it ntellec tual tradition of
Western society.

9:1.4/73-1
Scholarship for Society, Panersponsored by the Graduate Record
Examination Board of the Council of Graduate Schools in the United
States, 60 pp. (Educational Testing Service, Princeton, N.J.).
This report evaluates the urgency of A 'need to change the basic
characteriitics of American graduate schools. The report begins w16 the
assertion thaathe demands made on graduate schools have been contradic.
'tory in nature. On the one hand, there have been complaints thmraduate
schools have been inflexible in their standards, unimaginative in developing
optional styles of study, and remote from the realities of social expectation.
On the other hand, there have been complainti that graduate education lacks
adequate standards of performance, is expanding into too maw fields'and
too many institutions, and is .2 oriented toward practical need.
The report urges a "re ned response" to. these various criticisms.
After presenting a historical perspective on graduate education expansion
ind retrenchment, the report pleads for a ''sound philosophy of change."
The recommendations urge a clarification of mission among graduate
schools, increased recruitment of women and minority students, greater
attention to nonacademic experience is a resource for learning and teaching,
a broader definition of faculty qualificatidns to iSarticiapte in graduate
education, enlarged use of new instructional media, periodic review of the
state of knowledge in each discipline; and increased attention to planning to
meet environmental change.
Although this report appears to be addressed priinatily to institutional
planners and largely ignores state and Federal planning in relation to
graduate instruction'and research, it makes one particularly important con-
tribution. It acknowledges that there might be differential missions in
graduate instruction and research, it makes one particularly important
contribution. It acknowledges that there might be differential missions in
totally ohented to the standards of rest!' arch eminence...."
291

325
 °I/ INSTITUTIONAL ROLE AND MISSION

9:1.4/73-2 LI

The University in an UrimmEnviromnent, Nicholas' Abercrombie,

Ian Cullen, Vida Godson, Sandra Major, and Kelsey Tim§on, 246 pp.
(Sage Publications, Beverly Hills, Calif.).
This study, undertaken by a British research group, is essentially an
analysis of polieldecisions regarding the desirable location of the "new
universities" in England and Wales. The study argues that location is
essentially the consequence of a certain ideology about the nature of a
university.*Although the new universities were mostly located adjacent to
. large urban areas, suburban sites were selected to emphasize Libeil rather
than vocational education, an elitist rather than...a democratic structure,
internal cohesion rather than external linkages, and total rather than partial
involvement within the academic community.
Drawing on data obtained at one college located in London ' s'West End,
the authors point out that the college was heavily committed to teaching
rather than to research, that students and faculty had limited interaction with
, each other and one another, and that involvement with the urban environ-
ment was individual rather than institutional. Unfortunately, extensive
comparative datiwere not available.
What emerges from the study seems to'be an awareness that an urban
location in and of itself does not necessarily mean strong linkages between a
university and its environment. Students in an urban university may look to
the urban rather than thoiacademic community for their social, cultural, and
personal relationships. Elut this circumstance does not mean close student
involvement in an educational-urban linkage. Faculty members may culti-
vate intellectual and cultural values that only partially reflect both the
resources and the needs of the-Urban community.
This research study suggests that thelocation of a university affects
performance to some extent, but not critically. If a university is to be of as
well as in an urban environnient, the required linkages depend on more than
location alone.

9:1.4/72-1
Reform in Graduate Education, Lewis B. Mayhew, 1.82 pp.
(SOUthern Regional Education Board, Atlanta, Ga.).
In this special study for a regional planning and advisory agency, the
author reviews the essential problem areas for planners of graduate educa-
tion. Mayhew first summarizes the defense and the criticism of graduate
education. The basic conflict involves the essential purpose of graduate
education: Are the giaduate departments in the arts and sciences essentially
professional schools producing scholars to staff other graduate departments
#nd to produce the research needed to advance the knowledge of a
discipline? Should graduate departments produce college teachers? Should
graduate departments. in the arts and sciences produce peions qualified to
S

. 326 p.
a
 DIFFERENTIAL ROLES-PLANNING ISTINCTIVE MISSIONS :Id
apply knowledge to practical problems? Can one graduate) department
prepare individuals for all three roles, or must the differentiated purposes be
assigned as differentiated missions to different institutions? These are the
troublesome questions facing Ph.D.-level graduate education in the arts and
sciences. Like others, Mayhew had no ready answers.
The author provides a useful summary of various studies and observa-
tionscabout graduate education. The subjects included in the discussion are
carriculum and instruction, structure and organization, preparation of col-
y legfiacherigtild various "unresolved" issues such as the foreign language
requirement, financial aid, special admissions, and developmental as-
sistance to students.
Although the study is aimed primarily it institutional planning rather
than state_or Federal, Government planning, it identifies issues that Federal
and state planners cannot avoid, especially as they consider iristitutional
missions in graduate instruction and research performance,

9:1.4/72-2
Where Colleges Are and Who Attends: Effects of Accessibility on
College Attendance, C. Arnold Anderson, Mazy Jean BOwman and
Vincent Tinto, 303 pp. (McGraw7Hill book Co., New York).
This study, conducted for the Carnegie Commission on Higher Educa-
tion, questions whether immediate geographic accessibility to a college
increases the proportion of high school graduates whil undertake post-
secondary education. The authors begin with several, givens: the local
presence of a college Pr.courages enrollment through' lowetecl costs of
attendance; standards, of selectivity influence enrollment; and tuition costs
affect enrollment. The authors add to this list the factor of communication:
the local perception of the opportunity for higher education affects the way
that prospective students view it. Making use of data from studies conducted
in California and Wisconsin, the ceuthors tried to measure the impact of
location on the individual propensity, to enroll in higher education. In
general, they. found that college enrollment does appear to increase when an
institution is located in a community; the increase is notable particularly
when a 2-year public college or a 4-year state college is present in the area.
The authors examined, a number of determinants for college enroll-
ment. The ability of high school graduates.sind the status of their parents
were found to have.a strong influence on enrollment, while information
supplied by the institution aboutitself appears. to have limited influence. The
authors. foqnd that' students of modest academic ability and of low fancily
income are those most likely to be affected by the availability of a college,
especially a public college, in the immediate geographical area. At the time
of the study, boys and girls responded differently' to accessibility of higher
education opportunity.
293
327
 INSTITUTIONAL ROLE AND MISSION

While the data drawn upon are not recent, the variables of sex, ability,
and socioeconomic status are of enduring importance, and the penetrating
analysis should prove useful to policymakers ready to challenge established
opinions about the accessibility of all types of institutions and increased
attendance. Comprehensive data from California, Illinois, Worth Carolina,
Massachusetts, and Wisconsin illustrate what should be collected if other
states wish to reexamine the,prirnary question in a current setting.

9:1.4/70
The Open-Door Colleges: Policies for Community Colleges,
Carnegie CommisM,on on Higher Education, 74 pp. (McGraw-Hill
Book Co., New York).
This report by the. Carnegie Commission-sets-forth observations and
proposals concerning 2-year community colleges. The report asserts the
"teat worth"' of the community college to AmericansoOety
and urges that..
such colleges be within commuting distance of all. persons except those
living in very sparsely populated areas. The Commission favors the model of
a comprehensive community college offering general education, academic,
and technical education programs, and it states that community colleges
should be satisfied to remain 2-year institutions and should not become
4-year or graduate institutions.
The Commission sees Coordination between 2- and 4-year institutions
as a major problem, and advocates full transfer rights for qualified graduates .

of the 2-year college. It acknowledges technical education as a program tote

given full support and accepted status within the community college. Open
access is advocated as the basis for admission. Tuition chargeS should be
nonexistent or quite modest. Occupational and personal/guidance should be
major functions of the colltge. The college should enrich the cultural life of
thtcommunity, The optimum enrollment size should be between 2,500 and
5,000 students. The college should be linked to its community through a
local governing board or a local advisory board. And financial support
should be provided by local, state, and Federal governments.
For the. most part, the Carnegie. Commission statement reflects a
planning consensus about the mission and program of the community
college. The recommendations ofthe Commssion were largely in the pro-
cess of implementation by state and local governments when the report was
issued; only the Federal Government has remained apart from community
college development.

294

323
 DIFFERENTIAL ROLES-PLANNING DISTINCTIVE MISSIONS 911.4

9:1.4/69-1
Graduate Education: Parameters for Public Policy, National
Science Board, National Science Foundation, 168 pp. (U.S. Govern-
ment Printing Office, WashingtonD.C.).
This descriptive and factual account of the development and charac-
teristics o(graduate edircation in the United States as of 1968 provides the
background for the National Science Board's recommendations for public ti
pokey published the same year. The account begins with a brief historical
sketch, data 'bout enrollment, and graduate enrollment projections up to
1980. Another section discusses the type., of institutions offering graduate
programs, with particular attention to graduate education in science and
engineering. The geographical distribution of graduate enrollments is noted,
and the concept of "deficits": in graduate enrollments by states is
formulated. Summary =data -are Inclucleci- about -graduate faculties and--
postdoctoral students.
The second section of the report discusses the issue of quality in
graduate and mentions such factors atufaculty qualifications,
re
physiCal plant sources, library resources, enrollMent size, institutional
funding, and student selectivitY. gspecially interesting are the discussions of
the cost of quality andithe geographical distribution of quality.
A third' section deals, with financial perspectives related to graduate
education, and 'especially the relationship of financial patterns to Federal
Government funding. The vital interconnection in graduate education
between instruction and research is traced in a historical sketch. A projection
of tht costs of graduate education to 1982 is included.- Acknowledging Char -7
graduate education is the most expensive form of education per student, the
report states that the only major source:of incregsed income for gratjpate, °
education appears to be the Federal Government.
The report Concludes with a simple enumeration of policy issues to be
considered: (1) the capacity of the eduational system to meet graduate
echication needs in the next 10 years; (2) the achievement and maintenance
of quality in graduate education; (3j the geographical deployment of
graduate capacity to provide maximum benefit to society; and (4) the role of
the Federal Government in relation togradiate education:

9:1.4/69-2
Toward a Public Policy for Graduate Education in the Selene's,
National Science Board, National Science Foundation, 63 pp. (U.S.
Government Printing Office, Washington, D.C.).
This report, prepared by the National Science Board of the National
Science Foundation, is a landmark document in Federal Government
planning 'for higher education. Noting that American science 'and
engineering has achieved a position of great strength and that graduate

_ _ _ 295
32
 V INSTITUTIONAL ROLE AND MISSION

education is the most rapidly expanding ele\nent of higher education, the

board laments that institutions of graduate education have developed with-
out the guidance and focus of'an explicit national policy directed to their
needs and opportunities. The board urges universities to undertake graduate
programs only when they have strong academic departments and when
adequate'resources for graduate education are assured.
The board recommends that state and regional planning ensure that
.4
every metropolitan area with a population in excess of 500-,000 has graduate
A,
education of high quality and of sufficient capacity to contribute fully to
social, economic, and cultural development. The board sees the Federal
Government's role as one of supplementing, not replacing, nonfederal'
funding. The board proposes six types of grant programs for the Federal
Government in order to achieve a significant share of the total support of
graduate education: (1) institutioaal sustaining grants, (2)= departmental
sustaining grants, (3) developMental grants, (4) graduate facilities grants,
,(5) graduate fellowships, and (6) research project grants. The last five kinds
of grants are to be based on national competitioh; and the first grant is to be
based on a formula that includes a quality factor.
Although this report came at a time when graduate, education was about
to undergo considerable review rather than further expansion, it sets forth
important Ideas that have influenced Federal and state government planning
involving the research mission of higher education institutions.

See also: 4:1.0/70 Free-Access Higher Education, Warren W.

Willingham.

24:3.2/74 Commuting Versus Resident Students, Arthdr W.

Chickering. :

2.0 PUBLIC INTEREST

1

For discussion of the econymic aspects of public interest; see

Topic 3, Economics:, ;for the politics of higher education, see Topic
6, Governance and Coordination.

9:2,0/79
Giving Youth a Better Chance: Options for Education, Work,
and Service, Carnegie Council on Policy Studies in Higher Educa-,
tion, 345 pp. (Jossey-Bass, San. Francisco).
They Carnegie Council has issued this extensive report in an effort to
place higher education in a larger social context. In the Council's view,
there are serious inequities between the resources devoted,to young people
296

33 0
 PUBLIINTEREST Ot2.0

enrolled in higher education and those allocated to youth who did not go to
college
it. he report identifiest "youth' problem" in the :United States evi-
dence41 by school dropout rates, deficiencies in language and numerical
. skills, dissatisfaction with educational experiences, the absence of an
effective transition from youth to adulthood, high youth unemplivment,
the lack of service and job opportunities, and inequality of opportunity.
The report tails attention to successful experiments to remedy these de-
ficiencies 'in several cities and urges concerted social attention to broaden-
ing both the high school choices for youth and the opportunities available
after high school. -
At the postsecondary level, the Council sees a considerably expanded
role for/the community college in assuming a youth service function that
includes advice and assistance in finding jobs and. in obtaining needed _

personal services. All fflstitutions are urged to target their student financial
aid programs more. to low-income 'students, to expand.work-study oppor-
tunings, to%improve. teacher education programs, and to assist schools In
basic skills training.
This Carnegie Councit report comes as raCas any of its reports in ..
providing a social setting, or a.set of social expectations, for higher edu-
cation. The report says, in-effect, that higher education should not be
expected to meet all the employment and other needs of youth. Rather,
higher elcation is one of three' options for youth after high school: further
education, national service, and work. There, are suggestions about a
. desirable interrelationship but no definitive statement of respective roles
lindnteraction. Especially, notable is. the omission of a strong declaration
of obligation on the part of college graduates to serve their fellow citizens.

: See: 12:1.1/79-1 American Higher Education in-Decline Kenneth*

Ashworth.:
Although acknowledging the achievements of higher education in
providing the requisite talent for a high-technology economy and in con-
tributing to the personal fulfillment of individuals in terms of under -.
standing and cultural appreciation, the author Of this volume is concerned
about abuses that may be practiced by academic enterprises. These abuses
involve misleading packaging and labeling of the benefits to be deri,e8
from higher education, the prodyetion of outcomes of dubious worth or
and the pursuit of goveniment subsidies. The author believes that,
as a consequence of such abuses, both the quality and economic valiie of
higher education have declined and may continue to decline.
The author, who has been coMinissioner of higher education in Texas,
is especially critical of Federal Goverment agencies in their:handling of
higher education programs. He asserts that Federal officers know too little
about the organizational and operational characteristics of colleges and
297

33I
 $ INSTITUTIONAL ROLE AND MISSION

universities, aidhe sugge,sts rotating officials between universities and

A government agencies. He also believes that colleges and universities
should,, be more careful and more selective about their participation in
Federal programs. In addition,' he pleads for less administrative, legis-
lative, and judicial interference in academic affairs. The extent to which
state university officers might make a similar plea to state governments is
passed by.
The author poses a serious social an8 political dilemma, but he pose's
the issue indirectly rather than directly. Colleges and universities have
responded to social pressures to extend the scope of their instructional
programs, to expand, the numbers of students (often poorly prepared), to
give high priority to research talent. and to undertake extensive community
O and other service programs. In performing these (endeavors, faculties have
expected- substantial -remuneration, students -ljave needed and sought
various kinds ofinancial and other assistance, and academic, enterprises
have had constantly to seek more income from charges; from the govem
mem, and fromphilanthropy. Both a commitment to learning and a respect
for quality' in performance have been sacrificed, in the process. It will
require more than an increase in institutional. autoKomy to rectify the
decline as perceived by Ashworth.

9:2.0/75-1
College Responses to. Community Demands, Arthur M. Cohen
and Associateg, 190 pp. (Jossey -Bass, San Francisco).
A professor of higher. education at the University of California, Los
Angeles and Director of the ERIC Clearinghouse for Junior Colleges, the
principal author of this study tries to determine the'extent and scope of the
ttevelopmental mission of community colleges. In an earlier study, the
author had discussed the tensions arising in community colleges as a result
of the promise of equal opportunity and the certifying function inherent in
an educational process that recognizes differential abilities and achieve-
ment. This study continues and advances the earlier analysis.
The author and his associates divide, the discussion into three parts:
the social forces intruding upon the community college mission, the at-
tempts of community colleges to respond, and the perplexities confronting
faculty endeavors. The study asserts that the control of community colleges
is gravitating toward 'state capitals, in part because of increased, state
funding. A corollary of increased funding is an enlarged state role in
prescribing the mission and the programs of community colleges. In-
'creasingly, community colleges have acquired a community service mis-
sion demanded by local groups, without any corresponding provision of
funding with which to perform such a mission. Meanwhile, faculty atti-
--tudes have been fashioned in ;large 'part by education and experience
acquired, before the community service mission emerged. As a result,

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 PUNIC INTEREST SILO

faculty members see their role av instructional and as standard-enforcing,

mthersharrss- community developMentAob satisfaction has thus become a
major concern in facility expectations.
While the author asserts that community colleges have become a
permanent and useful adjunct to universities and have acquired an assured,
role in state plans for postsecondary educations
college spokespersons have not articulated the role of the college and have
net confronted the contradictions in public expectation of program
performance..

9:2:0/75-2
Managing Academic Change, S. V. Martorana and Eileen Kuhns,
218pp. (Jossey -Bass, San Francisco)..
The authors of this study set for themselves it challenging task: to
Construct a theory of the forces that ,interact to produce change in ac-
customed modes of behavior within colleges and universities. If the result
is somewhat less impressive, than the objective, it is not because they did
not try.
The demand for change in higher education is accepted -as self-
evident. The authors see the forces behind change as rising social ex-
pectations, public disenchantment with higher 'education, pressure', for
accountability, competition among institutions for students and dollars,
concern for affective-lesbing values, student insistence upon career edu-
cation, and the prospecti4 decline of traditiOnal4ge students. The authors
also identify four particular -signs Of change: the creation of new campus
institutions, the development of noncampus opportunities, the establish-
ment of satellite campuses, and internal program reform (calendar change,
interinstitutional cooperation, adoption of a humanistic manageMent
philosophy)..
From their illustrative data,' the authors yerceive six "major currents
of change": new social objectives on the part-of colleges and universities.-
a new focus on teaching and learning, aseparation of teaching and learning
from research and public service, increased attention to experiential learn-
ing, internal organizational flexibility, and a "drift toward systemization."
It is- when the authors turn their attention to a strategy of change for
academic leaders that one begins to have reservations about the.diseussion.
The authors Offer, on the one hand, advice about systematic experimenta-
tion, 'improved communication, and the development of legitimacy; on the
other band, they mention such manipulative practices as creating a social
demand for new services, organizing power blocs, and presenting change
as evolutionary rather than revolutionary. A suggestive matrix of inter-
active forces affecting innovation provides a common sense outline but no
theory. Social change represents a high political art that successfully defies
reduction to a science.

333--a
 INSTITUTIONAL ROLE-AND MISSION

See; 31:1.0/76-1..Planning the Development of Universities, Victor G.

Onuskin, ed.
This fourth volume in a series of publications presents case studies
about university .planning,.i n five different countries: the U.S.S.R., the
German Democratic Republic, the United States, Australia, and Belgium.
Necessarily, the contrast is substantial. In the U.S.S.R.. and the.Gennan.--
DeMocratic Republic, higher education planning is part of a national eco-
nomic plan. In the Other three countries, higher education planning occurs
in the context of some degree of social pluralism and 'liberal democracy,
The author of the, U.S.S.R. study insists that university planning .
cannot "produce" talent but only develop it, and that University planning
cannot determine the timing of scientific discoveries but only encourage it.
The Sol/let system seeks to plan those events, processes, and Objectives
wain the university endeavor-that-are amenable to quantitative appraisal
and evaltiation. This planning process; he says, is based upon lessons of
the past; the 'social 'purpose of higher education, the present state of
learning, and methods for calculating the national demand for experts and
scientists' in industry, teaching, and culture. Although brief, the discus-
sions of enrollment planning and admitsion, of job placement, of faculty
education and development, and of evaluating performance provide sub-
stantial information about higher education in the U.S.S.R.;
The case study from the German Democratic Republic focuses on
Humboldt University (the former University 'of Berlin). Although the
presentation is largely doctrinaire in tone, some sense is offered of the
complicated interaction betWeen ministry, rector, central councils, faculty,
and students. The reqlity rather than the prescription would be fascinating
'to know.
A lengthy account of development at the State University of New
York at Buffalo is three stories in' ne: the transition of a private university
to a state university, the travail of a particular campus as part of a multi-
campus system, and the complexities of planning and :budgeting for a
university with internal vested' interests' to appease and external con-
stituencies to satisfy. One suspects that students are instructed and faculty.
memberi teach in spite of rather than because of the-system.'
The Australian case study reports the development of the Western
Australian. Institute.of Technology, a college of advanCed education. The
planning process is comprehensive and sophisticated. The study of the
Catholic University of LOuvain deals with ,the development and use of a
management informationosystem of substantial complexity, involving
activities files, an analytical framework, ..and various subsystems of
Oformation flow. We are simply told that all the information is used by the
decisionmakers of the university, whoever these persons may be.

-300.

334
 NEED.POR INSTITUTIONS 0490

9:2.0/71
The Politics Of Disorder, Theodore .1. Lowi, 193 pp. (Basic Books,-
New York) 1 I

Within' the general conte ' 'of a discussion of the contemporary dis-
order and failure of social institutions, the author presents a notable chapter
on higher education, with the arresting aubtitle of "the roots of construc-
tive alienation."The author insists that the students of the 1960's were the
first group in the university to perileive the collective inititutibnalize
commitments to society. The consequence was an attempt to politicize the
university.
. Thauthor attempts to'classify educational systems and class interests
in 'a matrix setting forth educational norms, educational ethics, and social
interests. His observations.. are both innovative' and .worthy'of extended
discussion. Educational norms are identified at classieeducation, liberal
1/ arts education, disciplinary education, practical) education, and techno-
cratic education. The educational ethic corresponding to,each of 'these
noims rs expressed as the consumer' ethic (knowledge for its owts. sake), a
second consumer ethic (the 'Renaissance man), the producer ethic (the
major or specialist), the training ethic, and the problem-solving ethic. The
social interest represented by each of these norms and ethics are Shown- as
aristocrticyl.old bourgeoisie, the new middle classes, the working classes,
and regimes: .
The prescription of how universities may appropriately address them-
selves to social interests will appeal to some and will repel others. But the
linkage_of higher education norms with social interests constitutes a major
contribution hi thought, a concept requiring mush more attention than it,
usually receives.
.°. .

See. also:. 12:3.0/80 -Academic -Adaptations: Higher Education

Programs for the 1900a and.1990s, Verne K. Stadtman.
12:3.0/71 Institutions in Transition: A. Profile of Change in Higher'
Education, Harold L. Hodgkinson.

3.0. NEED FOR INSTITUTIONS

9:3.0/81
Report to the President from the Committee to Study Co ida.
tion of the Chicago Campuses, Committee to Study Consolidation
of the Chicago Campuses, 135 pp. (University of Illinois, Urbana).
Thii report to the president of the University of Illinois recommends
consolidation of the University of Illinois Medical Center in Chicago and
the University of Illinois Chicago Circle campus. The (committee to study,
consolidation consisted of eight faculty members, four administrative
301
 INSTITUTIONAL ROLE AND MISSION

officers, two professional .support staff members, and two students. Six
members were drawn from the University's Medical Center campus, six
from the Chicago Circle campus, two from the Urbana-Champaign
campus,, and two from the general university.
In preparing its report, the committee addressed eight questions raised -
by the president of the. UniVersity of Illinois. Would the presence and
image of the University of Illinois cernpuses in Chicago be improved by
consolidation? Would consolidation, improve the university's capability-to
respond to the needs of the community it serves? Would the two Chicago
campuses be stronger in concert than separately in the competition for
limited resources? Would Consolidation proyide opportunities for mutually
beneficial academic program relationships? Would there be, possible and
reasonable options with regard to consolidation of organization? What
would be the implications for Board of Trustees oversight under different
models of oversight? What particular issues of concern would arise for the
university's publics in the event of consolidation? What would' be the
university-wide implications of ,consolidation, including implications for
the Urbana- Champaign campus?
After careful and extensive consideration of these questions, the
`committee recommended a merger model as an initial step toward consoli-
dation. The committee recognized that consolidation could not' be achieved
in one quick action, but would haye to proceed in an orderly fashion over a
considerable period of time.
The report is important for two reasons. First, it represents an institu-
tional rather than a state governmert initiative in analyzing and_proposing
the merger of two campuses within a public multicampus syitem. Second,
it represents a rational, careful approach to the problem of the desirability
of merger withid a university system. In many Ways, this report might well
serve as a model for further such concerns in multicampus systems as the
decade of the 1980's unfolds.

9:3.0/75
Science Development, University Development, and the Federal
-Government, National Board on Graduate Education, 48 pp., and
Science Development: An Evaluation Study, David E. Drew, 182 pp.
(National Research Council,Washington, D.C.). '
These two documents, one a policy statement and the other'a staff
technical study, deserve careful attention for a single reason. The
University Science Development Program, conducted by the National
Science Foundation from 1965 to 1971, was a Federal Government excur-
sion into institufion building. The Fcderal Government research programs
as of the early 1960's were criticized on several grounds: they provided
support to a handful of universities, the support was concentrated in two
geographical areas (New England and California), and both economic

336
 NEED FOR INSTITUTIONS 91360

development and the, achievement of quality graduate education *ere being

hampered in other parts of the nation by the existing pattern of Federal:
Government research s;ipport. The government response to these criticisms
was that research support went to persons in those universities in which
high-quality'researchw AS the basic institutitgnal
T1X'University Science Development Program was an NSF endeavor
to assist additional universities to achieve distinction in graduate educa-
tion. The program was based on the proposition that below the top 20
leading research universities were another 20 or so research .universities on
the verge of quality achie;iement. The 'NSF attempted to assist these other .

universities in their efforts and aspirations for research. quality. The pr6-
gram was c. reful not to identify the top 20 research 'universities. (Some 31.
universities eceiving development grants at that time were obviously not
-then-consider -in the top 20. j.

The study found that the additional NSF grants did produce positive
changes in the quality of gtaduate educati6n. The study also found that the.
institutions with careful internal planning and with additional external
support tended to maintain the gains made possible by the Federal. giants..
The program did advance the geographical dispersion of leading research
universities. The report and study deserve attention .also because of their
contribution to evaluative procedure.

9:3.0/71
New Students and New Places: PoliCies for the Future Growth
and Development of -American Higher Education, Carnegie
Commission on Higher Education, 158 pp. (McGraw-Hill. Book
Co.-, New York).
-This report by the Carnegie Commission presents-enrollment-projec-
tions. for American higher education to the year 2000, and then prescribes
the numbers and types of additional institutions needed to meet projected
e nrogment
On the basis of then current enrollment trends the Commission fore-
._ saw.a total enrollment.of13.5 million students.in_1980 (compared with 8.5
million students in 970),.-1 3.3 million student's in 1990, and 17.4 million
students' in 2((X), On the basis Of so- called "prospective trends," the
.Commission projected enrollments, of 12.5 million students in 1980: 12.3.
million students in 1990, and 16 million students in 2000..
The Commission found that, to 'accommodate this further enrollment
growth after 1970, additions were -needecl in only two types of institutions: t
community colleges and comprehensive colleges located in metropolitan
areas, especially thime areas with a population over 500,000 persons.
Nccording to the report, the inner cities were not adequiftely served by
.existing institutions.. The Commission suggested the need for 1.75 to 235
additional community colleges and 80 to 105 comprehensive colleges. The
303'

'337
a 'INSTITUTIONAL ROLE ANDUISSION

Commission categorically asserted: "Wefind no. need hatioever in the

roreseeable future for any more research -type 'universities granting the

.go some extent, the Commission's recommendations for new institu-

tions were based on its definition of ideal size for any particular campus.
For community colleges, the Commission proposed a minimum size of
2,000 students and a maximum size of 5010; for cotnprehensive colleges.
it advocated a minimum of 5,000 students and a maximum of 30,000; for
universities, the desirable range was hum 5,000 to 20;000 students. The
Commission pointed out that the maximum desirable size was already
exceeded by 23 public universities, 12 public cOmprehensivetolleges, and
7 public liberal arts colleges.
There is a dearth of research on community, regiorial, and urban
colleges. .A work that looks promising.-but is actually otlittle 'substance is
Lifelong Learners-4 New Clientele for. Higher Education, Dyckman W.
Vermilye, ed. (Jossey-Bass, San Francisco). The theme of the various
essay is that colleges and universities in the 1970's and 1980's can
perform a new mission, which is true; yet as a guide to programplanning,
the volume is generally inadequate.

9:3.0/69
The Invisible University: Postdocto'ral Education in the United'
States, Report of a study conducted under the auspice. s of the Na-
tional Research Council, 31.0 pp. (National Academy of Sciences,
Washington. D.C.).
The "invisible university" of this study is the university serving as
host. to postdoctoral fellows, ..T. is study_ is the only one that. provides
historical and analytical data abO t the development of postdoctoral study
aS'part of the educational mission f research universities and as cart of the,
preparation of scholarsfor the. pra'etice of scholarship.
The study identifies the postdoctoral fellow a a young Ph.D. recipi.; .
ent who seeks further research experience under a mentor before beginning
the independent practice of his or her scholarly discipline. The host uni-
versity is 'usually- a leading research university: -The-mentor is 'usually
university professor distinguished for research accomplishment. There are
exceptions to these findingsin the humanities the fellow may be an older
scholarbut the generalizations indicate predominant characteristics.
This study maintains that the postdoctoral appointee should be viewed
as a scholar "in development" rather than as a means to other.ends, such
as.staff for a specially funded research project. The study states that few
universities, public or private, have adequate space or facilities for post-
doctoral fellows. Yet funding agencigs, including state budget offices, are
urged to recognize the importance of the .postdoctoral program to the
university in Which research-is a major activity.

-304
338
 PROGRAM REVIEW 984.0
4
This study, Ihich appeared just as the major period of postwar
Federal ,research support was beginning to stow down, addresses a little-
recognized part of a leading research university's mission: That mission
still remains invisible. It is pitiin that postdoctoral fellows will be hosted to
the exient that there are specialized research funds available and to the
-- extent that mentors continue-to-enjoy-hiving-such-fellows 'around them.
The university heavily involvied in research will be the university heavily
involved in postdoctdral education.

See' Topic 8: _Independent (Priyate) Higher Education or further

referencee on the subject of need for institutions.

4.0 PROGRAM REVIEW

.9:4.0/81-1
Assessing and Interpreting'Outcomes, New Pirections for Pro-
s gram Evaluation, No. 9, Samuel Ball, ed., 89 pp; (Jossey-Bass, San
Francisco).
The articles in this collection of papers explore the complexities, of
observing and evaluating the outcomes of complex programs and systems,
and review basic research methodologies in evaluation.
One problem that these artielesaCknowledgebUt cannot resolve is that
of determiniqg the benefit produced in many kinds of endeavors, especially
those in education. Determining the quality of change achieved Is even
more elusive than determining the quantity of change. The outcome assess
ment lirinciples set forth' here involve a determinbtion whether or not ,
program goals are being achieved, an examination of outcomes in addition
to cognitive achievement, a systems approach concerned with various
factors (psychologiCal, social, environmental), and differentiated out-
comes for different groups of students.. A table on data sources for evalua-
tion efforts is worth careful attention.

9:4.0/81-2
"Program Review hnd the State Responsibility for Higher
Education," Kenneth C. Green, Journal of Higher Education, Vol.
52, Januiry/February, pp, 67-79.
The traditional state government position about quality in higher
education has been based on traditional institutional concern: students
with high test scores or high rank in high school class, faculty with doctoral
degrees and research interests, appropriate physical facilities, and generous
financing.
305
339
4 ti
 INSTITUTIONAL ROLE AND MISSION
. :
The author of this article insists that this traditional position may be
undermined by court decisions on access to public.higher education and by
changing patterns of student enrollment. He suggests that states give
further attetrion in program review to access and opportunity, service to
* client popuNions, program finances, cost/benefit -analysis. 'and degree. ;
.
productivity-.
. r.
. , .

.
9:4.0/81 -3
QualityHigher Education's Pritidpal Cluillenge, Thomas M.
Stauffer, ed., 122_0'. (American Council on EducatiOn, Wash-
.t ,
. '
ington, D.C.).
The article's in this volume originally were commissioned. as back-
ground papers for the ,1979 annuahtneeting of the Arntsican Council on
Education_ The 23 contributors included College presidents, vice presi-
dents, association officers, faculty members, and consultants. If ,there is a
common thenie to be found,among such a.disparate array of authors, it is
that qualit is an essential attribute of higher education but an elusive
characteri c to identify and define. ,
.. , ..
The concern with quality has resulted especially from the extensive
expansion of enrollment and the broadened access. to higher education
, occurring since 1945. To some, one ,correquence of this development is
that stolards of intellectual achievement haw: been sacrificed. A contrary
positio argues that the American economy and soc:ety offer useful tasks
0
fora wide valiety of abilities and that education Can and does advance
these diverse competencies.
The authors of this yolume grapple valiantly with the concern for.
quality. The prevailing response seems to be acknowledgmentof a need for
multiple criteria in defining quality. But there is no apparent agreement
about the scope or application of these criteria. 4
h
the papers in this collection are grOupel into several component
parts:, the definition of quality, the quality oracademic leadership, the
yuality of campus morale, the measurement of quality by process or out-
comes, the quality of campus planning, the quality of academic programs,
the quality of institutional self-regulation, and the quality of the black
college experience.. All of the articles are insightful, and some arc es
pecially helpful. One section, on the process and criteria for making cut-
backs in academic programs, seems to be particularly useful', even if none
of the articles, are quite as blunt as the difficulties of the 19/3(rs may'
demand.

306

3(10
 6

PROGRAM REVIEW II:4.0

9:4.0/80-1
Academic Program Evaluation, New Directions for Institutional
Research, No. 27, Eugene 'C. Craven, ed.., 119 pp. (Jossey-Bass,
San Francisco).
This collection of papers explores problems in academic program
evaluation. Fred F, Harcleroad looks at the history of academic program
evaluation, po,inting out that it began shortly after the founding of Harvard
and has evolved through various stages of development down to the present
day. Barry A. Munitz and Douglas J.=Vright 'argue that lesponsible
planning and resource allocation require systematic processes of program
evaluation, and they draw on exa es from 'three universities. Donald K.
Smith relates program ing and evaluation to the peculiar circum-
.
stances cif the maticampus goveqng _board. He refers particularly to
differentials of mission, apprsoval new programs, the requirement of
institutional evaluation of existing programs,)and the conduct of special
planning studies. He,, also relates ,program evaluation to budgeting. E.
Grady Bogue examines the same issues from the perspective of the state
government coordinating board. Hesuggekts particular attention to degrees
awarded as a criterion of program efficiency and need. Finally, Kenneth E.
Young and Charles M,. Chambers describe the accreditation approach to
,7
academic program evaluation.

9:4.0/80-2
Accreditation: History, Process and Problems, Fred F.
Harcleroad, 53 pp. (American Association for Higher Education,
Washington, D.C.).
One of the well-known research reports of the ERIOClearinghouse on
Higher Education, this study reviews the history of voluntary accreditation
of institutions as a means for ensuring that minimum standards of 'per-
formance are observed in instructional activities. Harcleroad divides his
brief account of the development of accreditation into five periods-1787-
19 I 4, 1914-1935, 1935-1948, 1948-1975, and 1975-1980and identifies
the particular characteristics and concerns of each period.
Harcleroad accepts a three-pan definition of Voluntary accreditation
formulated by Kenneth E. Young: (1) voluntary, nongovernmental ar-
rangements to encourage and assist institutions in the evaluation and
improvement of their educational quality; (2) a process of self-evaluation
reinforced by independent judgment whereby an institution determines that
it substantially achieves its own objectives and is generally equal in quality
to that of comparable institutions; and (3) a status of affiliation with other
accredited institutions.

.._
307
341
 INSTITUTIONAL ROLE AND MISSION '

A bask difficulty in accreditation has been the inability of the process

to guarantee that a college will appropriately participate in state and
Federal programs for financial assistance to institutions and to students:
When higher education gave way to an expanded definition Of post-
secondary education, Federal Government agencies found themselves,
involved with propriety training enterprises and with other arrangements
for meeting individual efforts to develop vocational and technicil skills.
By 1977, the U.S. ,Office of Education had listed 8,544 institutions as
acceptable for partiCipatitin in student aid programs; only about 3,000
could be regarded as,accredited institutions of higher education:
The alternative to voluntary accreditation has been identified as either
state governmentor Federal Government licerizure: Beyond concern about
government regulation and domination of educational activities, Harcleroad
refers. to other- problems including'consumer protection, diversity in
postsecondary education, and confusion in defining a college. He lists six
possible methods of accreditation, and believes that both an expansion of
voluntary review and a system of state government licensure will probably
'develop in the 1980's. There is a useful bibliography..

9:4.0/80-3
Funding Quality Improvement: Lessons, from the FIPSE Ex-
perience, Charles BUnting, and Proliferation and Agency Effec-
tiveness in Accreditation: An Institutional Bill of Rights, H. R.
Cells, Current Issues in Higher Education No. 2, 34 pp. (American
Assbciation for Higher Education, Washington; I1).C.)
Written by Charles Bunting, then acting director of the Fund for the
lipprovement of POstsecondstry Education, this .first paper reports the
results of -an evaluation of the Fund's first 7 years of grant effort. The
theme of the paper is that Federal programs need to analyze carefully the
field or problem to be handled, the goils to be achieved, and the appro-
priate strategies for accomplishing desired goals. The. Fund early decided
that projects should be learner-centered, cost-effective, and far-reaching in
impact. The author maintains-that Fund gojects have yielded a consider-
able body yf useful knowledge, 'although the scope 'Ail content of this
'knowledge are not indicated. Rather, attention is directed lime to project
management. than to project accomplishment. Three commentaries follow
the paper itself.
The second paper, by H. R. Kells; deals with the relationship between
institutions and accrediting agencies. The author, a former associate
director of the Middle States Commission on Higher Education, stresses
that there are too many accrediting agencies (between 45. an6160), too little
coordination between them, too many self-studies, and a burdensome
schedule of visits. He argues that accrediting agencies must validate their
standards. provide more on-campus staff assistance, improve evaluation
308
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team activities and reports, and provide rights of appeal. The author '
tadvocates an Institutional Bill of Rights for colleges and universities to' .

reduce duplkation and promote effectiveness in evaluation.

9:4.0/80-4
Improving Degree Programs, Paul L. Dressel, 319 pp. (Jossey
Bass, San Oancisco).
' Subtitled "A Guide to Curriculum Development, Administration, and
Review, this volume brings together Dressel's many yeat'S of experience
and studs on the subject of instructOnal programs. After- an introductory
i:Wapter on conceptionS of .educational .programs, the author divides his
discussion into three parts: factors in *gram development; planning and
developing .programs; and reviewing and administering programs. In a
brief tiro' section, he suggests certain standards for program development
andenrollment:-
Dressel begins by defining 'a degree program as a fixed set of courses
"or curriculum leading to award of a degree. This degree program or
curriculum may consist of requiretreourses .General or specialized), a
major field of- concentration, and some electives. Over time, the author
says, the tendency in many undergraduate degree programs has been for .
.
increased flexibility and, choice. The author insists that an under-
graUvate program is intended to involve progress toward complete and
pore difficult ideas and tasks, as well as An interrelationship of concepts.
He laments a slighting of values and manipulative skills in most formal
programs and courSes.
DresseLdevotes _foil!. chapters to program structure and:objectives.. He
reports that undergraduate programs have tended to become more and more
highly- specialized, to. the neglect or abandonment of _breadth of knowl-
Experimental or interdisciplinary. programs have endeavored to
overcome this defect but have not had a notable record in student entotki_
went or cost effiCiency. The discussion of-various eopcepts of breadth and
of the_diffieulty of determining any- particular progratti requirement'will be
familiar to all who have wrestled with curriculum problems in the past 30
years.
Another four chapters -arc concerned with program planning.- Dressel----
begins this discussion with a review of fa'eulty motivation. He-lists various
factors that inhibit curricular change and 'presents models tor program
planning.- One Chapter deals with methods and practices in individualizing
programs, and Dressel's observations and the cautions mentioned here are
worth careful consideration. His discussionon evaluation is both elemen-
tary and necessary.
Four final chapters involve program review. Dressel concludes that
such review tends to be erratic and perfunctory. He recotnizes among the
purposes of review a concern for quality, need, costs, and public relations.

309

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 9 INSTITUTIONAL ROLE AND MISSION

He presents ProcedUreS ,rd criteria for decisionmaking, and he offers

guidelines for the appropriate procedure in phasing obt a program offering,
Finally, he offers guidance about advising students about programs and
-courses.
There is. little in this volume that will be new to the experienced
academic planner. The important service rendered by Dressel is to haVe
brought together, in a relatively concise manner,. a comprehensive re-
Minder about the vital considerations in program development and review.

49:4.0/80-5
Improving Teaching'. and Institutional Quality, Current Issues in
Higher Education No. I , Alexander Astin and others, 58 pp. .

(American Association for Higher Education,Washington,

In six serarate papers, the .authors address questions
, of measuring
,
instructional quality and improviqg teaching effectiveness. Alexander
Astin identifies five different view& of qualitythe mystical conception,
the reputation conception, the resources conception, the outcome con-
-ception, and the value-added conceptionand advocates a new approach
to quality that would maximize the leamer'sknowledge 'cc results-and time
on task. C. Robert Pace discusses 14 quality-of-effort measures used in his
College Student Experience Questionnaire and reports the re-sultsof use of
the measures at 13 institutions. Toni B. Troinbley and David Holmes
predict that colleges and universities will strengthen their academic
advising -systems as one of the. best investments they can make in the
11980.s. Robert 1..-Menges reviews Programs and procedures for improving
teaching as a process and concludes -thkit teaching remains an art. in -which
some ideas and tools can at least be helpful. Robert T. Blackburn and his
associates from the Center for the Study of Higher-Education at the Uni-
-1-versity -of- Michigan report the results-of-a- -project-to evaluate-faculty
development programS; This paper and its conclusions deserve careful
attention as guidelines for practice, Hans 0. Mauksch identities two ma:
obsocles to quality teaching; a lack olfactilty belief that quality teaching
Will be recognized and rewarded, and a lack of institutionarencouragement.

9:4.0/80-6
"Institutional Participation and Reciprocity in State -Level Pro-
gram Reviews," Richard F. Wilson, Journal of Higher Education,
Vol. 51, November-December, pp.,601:615..
In this article, Richard Wilson explores institutional participation in
program review by state boards of higher education, by statewide gov-
erning boards,' and by private colleges and. universities. The author reports
that review procedures, are quite widely established and practiced among
45 states, but that:private institutional participation (ranging from limited

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I

to extensive) s included in only 10 states. According to Wilson, the

existence of a tatewide' governing board tents to disCourage private insti-
tutional partici ation. Wilson favors participation by private institutions on
a reciprocity b is involving review, particularly of graduate programs, of
both public and private universities,

9:4.0/80-7
Toward,Ref rrn of, Program Evaluation, Lee, J. CrOnbach and
Associates, 4 8pp. (Jossey-Bass, San Francisco). .r
This volu &resulted from an interdisciplinary evaluation consortium
project carriel out at Stanford UniverSitY. Cronbach and seven other
authors set mit to develop and present the view that evaluation is a novel
political pr ess and institution: the,object of attention is not evaluationtof
hisher'educ' tion as such, but evaluation of all kinds of social activities in
-the interest of selkenewal of institutions-.--------
The book begins with 95 theses that set ,forth the-general position of
the authors. The theses begin with the statement: "Program evaluation is a
process by which society learns about itself." The final three. theses, assert
that: an evaluator is an educator to be judged by what others learn; the
evaluator's 'task is to illuminate the circumstances of decisionmaking and
not to dictate the decision; and an evaluation shbuld aim to be comprehen-
sive, complete, correct, and creditable to partisans on all sides.
In the context of this volume; a program is a standing arrangembnt
.providing for a social service. Prograrffevaluation is a systematic examina-
tion of events 'occurring in the performance of a program with the intent of
improving- program endiavor and, contributing- to the ,consideration . o f
alternative plans. Evaluation is alSo considered to be a product of social
science research-used primarily in the. years since-1960. .

The reform toward which this volume points is essentially twolold:,to

improve the technical process of evaluatkOn and to alert the evaluator to the
political and social context of evaluation. Although some of the illustra-
tions in the book are drawn- from educational programs, almost all in
elementary and secondary education, this study is a treatise in social
science methodology, a methodology that higher education pliinners
,
cannot afford to-ignore.

9:4.0/80-8
Values, Ethics, and Standards in Evaluation, New Direc tions for
Program 'Evaluation, No: 7, Robert Perloff and Evelyn Perloff, eds.,
103 pp. (Jossey-BaSS-, San Francisco).
This collection of,artieles about program evaluation seeks to explore the
goals and purposes of programs and to assess the values inherent in their
outcomes. There is no doubt that evaluation efforts ought to be fair, un-.

311
45
 INSTITUTIONAL ROLE AND MISSION

biased,;and objective. Yet these very terms .defy precise definition, anti,
little help is provided by the authors in setting forth guidelines to..such
desirable attributes. .The discussion of biases is helpful in promoting a
recognition of factors and practices harmful to so-called objectivity. Cer-
tain ways and methods are available at least to minimize the factor of bias..
A paper on ethics in the professional andperSonal decisions involving
prograM evaluation draws upon the work 'of the National Commission for
the Protection of Human Subjects of Biomedical and Behavioral Research:
a The three basic principle set forth there were principles of beneficence;
respect, and justice. The role (al the evaluator is to do,everything possible
to establish the true nature of the impact of a program. Ther search 'for_
standards in evaluation efforts is ongoing but far from being completed.

9:4.0/80-9
Voluntary --Organizations 'in --Ameklea -and'the.-Development ot:
Educational Accreditation, Fred Harcleroad, 29 pp. '(Council on
Postsecondary Accreditation, Washington, aC.).
In this paper, the author begins by paying tribute to 'voluntary associa-
tions as the American way Of solving new social problems.' Harcleroad
identifies 16 different' types of nonprofit organizations constituting the
voluntary sector society, and refers also to the private enterprise sector
and the public enterprise sector Ifor meeting social needs. This three-fold
classification is further divided into six organizational types. Accreditation
of colleges and universities is assigned to the fourth category of nonprofit,
nontaxed,, nongovernmenta! voluntary organizations operated in the public
O
interest.
Harcleroad reports that voluntary educational accreditation began in
-the last quarter-of -the nineteenth century as a result of-the-unevenness of"
'quality and.wiee,scread chaos of high school and:collegiate-education. He
reVieWs the complicated relationships in voluntary accreditation resulting
from the expanded Federal Government involvement withjtigher education
after World War If. The author concludes that voluntary accreditation still
has an impOrtant role to perform in the United States.

'See: 4:1.0/80 Equity Self-Assessment in Postsecondary-Education

Institutions, Sherrill Cloud.
EqUitable action in access to -higher education, in the services of
higher education, and in employment by higher education is not easy to
define or to practice. Institutions of higher education are expected by law
to -o5serve the standards of equity.. And self-evaluation is one of the
primary techniques for fulfilling these legal and moral obligations. d
-In this book, the author reports the results of several initiatives under-,
taken by the Nil. tional Center for Higher Education Management Systems
to imptoy,.! higher education planning and managenic'A in the area of
312

3 '113
 PROGRAM REVIEW 914.0
I.

nondiscrimination and affirmative action. Nis discussion begins with

attention to the target areas: 'race, age, sex. An accompanying table is
helpful in identifyingethe individual characteristics and 'circumstances that
may raise questions about equitable treatment. The major'equity issues are
identified as access to institutions, access to programs, access to resources,
and access to employment.. A-self-assessment framework presents basic
questions to be answers by die institution. The author presents an outline
for the analysis of equity als, and necessary processes of goal imple-
mentation. The bulk of the plume; some 90 pages,, is devotetho a selected
bibliography indicating t e kind of material available for institutional
guidance.

See: 37:1.0/8072 Understanding Student and Faculty Life, Leonard L:

Baird, Rodney T:,Hartnett, and Associates.
-- This book _is a plea for administrators, faculty members, and students
to make better chOices by means of environmental assessment. This plea is
illuminated in nine chapters by various authors..The two principal authors
are associated with Educational Testing Service.
The first chapter describes the history, uses, and importance of
campus surveys. The surveys involved move from descriptive statements
to the environmental assessment technique to interpretative analysis.
'particular- attention is given to the College and University Environmental
Scales and to the Institutional Goal" Inventory. The next. seven chapters
deal, respectively, 'with: information systems about student activities and
opinions; assessing diversity among campus groups; faculty attitudes and
responses to, their environment; the collection and analysis of social and
economic information; interinstitutional comparisops; problems involved
in undertaking and implementing campus studies; and using survey-data to
-bring about improvements in college operations. A final chapter provides
an inventory of .leading available instruments. for assessing campus en-
vironments. This chapter alone may make the volume worthwhile for
Academic administrators and others.

See: 31:2.0/79 The Assessment of College Performance, Richard I.

Miller.
,
In this volume, subtitled "A Handbook of 'I echniques'and Measures
for Institutional Self-Evaluation," the author has undertaken to provide
assistance in the development of criteria and. procedures (or Astitutional
appraisal.. He begins with suggestions about how to plan effective' institu-
tional self-study: He points out that if institutions do not undertake their
own vigorous self-assessment, someone else will probably do it for them.
In his views, institutional quality can be defined in terms of characteristics
of students, faculty, administrators, trustees, and alumni, and in terms of
purposes, programs, and resources.

313

34 7
 0 INSTITUTIONAL ROLE AND MISSION

In 10 chapters, Miller, examines as many .aspects of the, academic

enterprise (goals and objectives, student learning, faculty performance,
academic prOgrams, institutional suppOrt services, administrative leader-
ship, financial management; governing board, external relatiOni, and
institutional. self-improvement), reviewing relevant .literature and research
findings and providing suggested evaluation procedures and criteria.
.
This .handbook is an essential guide for any institutional self-
evaluation effort. However,. one wonders whether or not the criteria and
the discussion recogniz% the actual variety of purposes and programs that
exists among the,3,0004campuses in America.

See: 37:3.0/79 -1 Evaluating Eductitional Environments, Rudolf H'.'

This study JepreSents the-application of. knowledge about environ-

mental impact upon human behavior to two educational settings: university
--student, living groups-and'high"schoOl classrooms, The .volume discusses
two new scales for evaluating social environments and examines a brOad
range of student outcomes related to personal and academic life.
Moos presents model of the relationship between-environmental and
personal variables that interact to produce student stability and,change. He
conceptualizes the environwental system in four principal domainsthe
physical setting, organizational factors, the human aggregate, and the social
climate-2--and reviews research about student living groupt. Moos alsd
.

.:discusses a University Residence

Environment Scale developed to measure
the social environment of residence halls, fraternities, and sororities, and
reports the results of sampling some 10,000 students in 225 living groups
at 25 colleges and- universitiein .12 states. The -findings of Moos'- study.
should be useful to student service officers as well as institutional planners.
In a final-chapter, Moos- presents his -cbnclusions that student living
groups vary considerably among themselves. -Some groups- are 'more
supportive, more structured,'more independent than others. The process of
assessing living group arrangementS\apparently can be helpful to students
and staff of higher education institutions.

9:4.0/77-1 . .

"Program Review by Statewide Higher Education Agencies,"

Robert J. Barak, in Increasing the Public Accountability of Higher
Education, 99 pp. (Jossey 7 Bass, San Francisco).
Statewide boards of_ higher edugation ma use various sources of
information in reviewing institutional programs. T ere may be self-review,
peer review, or external review. The purpose of stake agency review is to
eviiluate accountability and the use of state'resources by an educational
institution in relation to other' institutions. To make such a. review, the

314
 PROGRAM REVIEW 04.0

agency must measure income and.putcome based on need, cost, produc-

tivity, and quality. .

The author uses theitcomprehensive development plan of 1%9 in

Florida as a case study in establishing criteria for the review of instruc-
tional programs. The Florida plan involved a 51year moratorium on Ph.D.,.
programs and a formal procedure for identifying and reviewing similar
programs offered by the nine"state universities. No new degree program
could be planned by a university without'. prior .approval and annual
analysis of degree productivity was introduced fain degree programs. If
the number of degrees fell below specified minimums (6 degrees in a
doctoral program, 9 to 15 degrees in a master's program,. and 15 to 30
degrees in a baccalaureate program), the program was placed on probation.
It' the minimums were not. reached within 3 years, the.program was, studied
in depth to determine whether it was needed.
This procedure encountered considerable faculty criticism, and a
modified -Procesomaking- more extensive use of outside -consultants -.was
introduced. The author also' reviews the piocedures introduced in New
York State to review dOctoral degree prograni.

9:4.0/77-2
State-Level Academic. Program Reviews in Higher Education,
Robert J. Barak and Robert. O. Berdahl, 141 pp. (Education
Commission of the States, Denver, Cob.).
This study of programreview procedures employed by State boards of
higher education found that the process had become more comprehensive
and sophisticated by the first half of the 1970's. The criteria for review
involved a -careful description of program content, a clear statement of
'ilprogram objectives, an analysis of prOgram need, a projection of program
costs and a plan for financing them, a review of accreditation requirements
and expectations, And a statement of student financial aid intentions and
availability. The process of program review has usually involved intra-
institutional approvals, interinstitutional approvals, state staff review, and
state lard action.
The critical pi blem has become not the review of new programs but
the review of.existing programs. Here additional issues are involved. The
number of programs offered necessitates some screening deviCe or some
criteria about urgency and scheduling. The factors given predominant
weight are quality, output, institutional priority, rand cost.'Here the review
process generally consists of two phases: the determination of programs to
be reviewed, and extensive analysis of progrn experience. This analysis
begins at the institutional level but eventually involves interinstitutional
review, the possible use of external consultants, and staff recommenda-
tion. Governing boards rather than state planning and coordinating, boards
must make the decision to reduce the scope of a program dr, to eliminate a

9 315
X315
 W INSTITUTIONAL ROLE AND MISSION

program. There is always the possibility in program review, however, of

intervention by state budget agencies, state chief executives, and the. state
legislature.

9:4.0/75-1 -.

':Report of the System Advisory Planning Task Forte: Reducing

the Scope of the University of Wisconsin .Systeni,. University of
Wiconsin Board of Regents,. 98 pp. (University of Wisconsin,
'Madison)..
In January 1975, the Governor of Wisconsin, in view of fiscal con-
straints on the state budget, asked the University of Wisconsin. Board of
Regents to examine ways in which It could change the educational system
and, in, particular, to present recommendations involving the phasing out,
trimming down,' or consolidation of existing campuses and programs. With
:
only a very.brief periodin which to respond, ,theboard,throughla System
Advisory Planning Task Force, organized and provided a thoughtful
answer to the Governor's request.
The task force raised five critical issues of public policy: what access.
did the state wish to provide for higher education; what was the state
commitment to quality as a central or first priority; should the system
.inlintain quality by reducing access; should the state continue to provide
multipurpose, universities in various. legions of the state; and should the
system maintain quality' by reducing the number of programs. The univer-
sity could provide its recommendations on these issues but it could not
resolve them.
Based on various simulation. studies, the task force presented several _..

conclusions. Substantial cost savings could be realized by closing institu-

tions and terminating some programs,. but °illy: if enrollment throughout
the system was reduced. The reduction of programs on a particular campus
would increase the-costs -of instruction for -the remaining student's. Di
Phasing out of an instructional program involved 'arious interactions, 'and
sayings could be realized only if the entire budget unit were eliminated.
The task force further concluded that a continuous process of program
audit and review with attention to program quality, need, productivity,
and costwas the best-approach -,to eliminating low-productivity -pro-,
grams. Cost savings could best be achieved by the management of class
size and by the consolidation of small budget units rather than by the
phase-out of programs, The closing, of an entire campus would have sub-
stantial impact on a. community. The costs of a campus need to be identi:
Pied as fixed costs, incremental costs, and variable costs.
The entire report provides a substantial and careful analysis calculated
.to discoura0 simplistic solu,:ons to complex problems.

.3 )
 PROGRAM REVIEW 9$4.0*

, 9:4.0/75-2
"Role of Statewide Boards in Program Review," Elizabeth H.
Johnson, in Learner-Centered Reform, Dyckman W. Vermilye, ed.,
37 pp. (Jossey-Bass, San Francisco).
Embedded in # general discussion of the authority of statewide boards
of higher education, this essay considers in particular the' role of such
boards in reviewing academic programs. The purposes of program review
are seen as: ( I ) conserving resources, (2) assuring quality programs, (3)
avoiding unnecessary and unwise duplication and proliferation, and (4)
assessing theneed for a given program.
According to Johnson, program review' involves the determination of
three procedures: ( I ) the programs to be reviewed, (2) the criteria to be
. used in judging program desirability, and (3) the mechanism for review.
Regarding criteria to judge the program, the author notes that statements of
institutional mission- ustiaNy provide little' guidance- about appropriate
academic programs. She further observes that pro ram termination con-
serves resources only if the number of faculty is reduce

9:4.0/73
`Meeting the, Needs of Doctoral Education in New York, Regents
Commission on Doctoral-Education, 67 pp: (New York State Educa-
tion Department, Albany, N.Y.).
Meeting-the Needs of Doctoral Education, a policy -statement by the
New York Board' of Regents, and the Regents Commission report on which.
the statement is based constitute a program of review for doctoral educa-
tion by the most powerftil state government education board in the United
States. The :objective of the statement. was to establish standards for
evaluating doctoral programs in both public and private institutions of
-higher education, °
Following a review of the data about doctoral degree programs in
,New York, the Board of Regents statement endorses the recommendations
of its study and declared the Board's intention to i,nplement those recom--
'mendations immediately. All doctgral programs, both public and private.
were to be considered-a statewide _resource for graduate 'education. All
.
doctoral programs would be expected to meet standards of high quality and
demonstrated need, and all qualified New York students should have equal
access to doctoral education. The Board declared its intention to undertake
a review and evaluation of doctoral prograMs on a subject-by-subject basis
and on .a statewide basis. Resources for graduate education would then
support those programs meeting standards of high quality and need. The
Board identified 17 major subject areas tier .reyiew: 13, in the arts' and
sciences, plus education, engineering, business and.management..and area
studies. f

V
317
351
 INSTITUTIONAL
_ .
ROLE AND MISSION ,

The P.-igents Commission proposed that evaluation committees em-

'ploy both objectist and judgmental criteria. Among the factors mentidned
were quality of students, scholarly achievement of faculty, quality of.
library and laboratory facilities, financial supptirt, and caliber of disserta-
tions. Need was defined as including demand for educated manpower,
concern. with "societal problems." the transmission of knowledge the
"most esoteric ,fields," and new forms or 'types of doctoral progratik. It
was further proposed that need be determined on a. regional. statewide. and
.national bask.

4:

318
 0.0

')

Management
Quantitative Approaches
Ben Lawrence

The function of management is to obtain and utilize efficiently

the resources needed to accomplish desired ends. This chapter deals
with quantitative approaches to planning and management in colleges
and universities and in state systems of edUcation. The higher
education planner/manager seeking to apply quantitative approaches
must initially address these basic questions: ( I) Will quantitative
approaches 'help with this particular planning decision? (2) What
information is needed'? (3) Where can this information be Obtained?-
(4) What techniques will be used to analyze the information and thus
clarify the decisionmaking issues? (5) How will the information be
used in a particular case?
The entries in this chapter, which are grouped in three suikapics
related to the above questions, show that planners can find answers to
these questions through the use of mddels and manuals. (Information
on the third question can also be found in Topic 12: Policy and
General Reference; Spbtopic 4.4: Data and Information Sources and
Services.)
Critique and Evaluation. Quantitative approaches to planning
and managethent are relatively new, higher education. And there is
still considerable opposition to andieservation about their use in this
iinPrtimt and labor-intensive enterprise. The works included in this
subtopie are evaluative in nature, touching on the advantages and
disadvantages of <applying quantitative approaches to higher educa-
tion management. Early evaluations were general and conceptual.
More recent evaluations and critiques are specific to particular
319
1.3
 10 MAN AGEMENT-QUANTrTATIVE APPROACHES

quantitative approaches 'or, when general, are based op empirical

studies: Planners and managers need to be aware of these discussions
and evaluations as they consider use of these tools.
Foundations. The paramount need of the higher education
manage'r who seeks to apply quantitative approaches is for an
"information l'inguage" that adequately describes higher education
institutions, agencies, and programs. Such a language is important for
two reasons: It provides the basic vocabulary for talking about higher
\education as it relates to management; and it guides or structures the
formation of complete thoughts and ideas that lead 1)1nnerit to make
management decisions. The works referenced in this subtopic fall into
tvico categories: dictionaries and glossaries that deal exclusiVely with
s ' dard definitions, and volumes that address terms, definitions, and
pro edures common to the language of postsecondary education.
1 Analysis. This subtopic pro'ides references to generalized
mathematical models relevant to state and national planning. These
publidations usually include documentation and application manuals.
The Models are generally computerized and synthesize the volume of
data a ilanner must consult in reaching decisions. Models that deal
with specific-planning topics such as costing, facilities projections,
and facility tenure are included, respectively, in Topic 13: Produc-
tivity and\Cost-BeneE: An is; Topic 5: Finance; Topic 2_1: Campus
and Buildkng Planning; Icipic 26: Faculty.
Over. II, this topic covers the foundations of quantitative and
general an lytical techniques, rather than specific quantitative and
analytical approaches. The area of analytical foundations is one that
has been of primary concern to the National' Center for Higher
Education Management Systems, (NCHEMS) but to relatively few
researchers elsewhere. for that reason, a substantial portion of the
publications referenced here are NCHEMS publications.

TOPIC ORGANIZATION

10: ManagementQuantitative Approaches

1.0 Critique and Evaluation
2.0 Foundations
2.1 Dictionaries and Glossaries
2.2 Measures, Structures, an0 Procedures
3.0 Analysis

320

"354
 CRITIQUE AND EV ALUATIQN i 01 i 60

1.0 CRITIQUE AND EVALUATION

Ns10:1.0/81
Using Computer-based Planning Models, New Directions for
Inst tional Reseal-et Daniel A. Uixlegrove, forthcoming. (Jossey-
Bass, . t Francisco).
This brief article explains the recent resurgence of the use of computer-
based models in higher education despite harsh criticism during the past 10
years. It describes the new'approaches to modeling, projecis future trends,
and provides an assessment of one of the most frequently used models today,
the Educatiqnal Finance Planning Model (EFPM).

10:1.0/80
The Value of Uniform Financial Data for the Institution and the
State: A Case Study, Douglas J. Collier, k'pp. (National Center fOr
Higher Education Management Systems, Boulder, Colo.). -
A major theme in quantitative approaches to management is uniform or
standard treatment of data. Several states have mandated uniform pro-
cedures for reporting financial data. This study examines the Oregon System
adopted in I976, assessing the value of various types of financial data tt) both
institutional and state-level users.

10:1.0/79
Evaluation of the IEP Costing Proc c Pilot Study by Six
Major Research Universities;-7'. es R. Topping, 4 pp. (National
Center for Higher Education Management Systems, Boulder, Colo.).
This document reports on a pilot-test study by six major research
universities to evaluate the use of NCHEMS' Information Exchange
,Procedures (IEP) in the university setting. IEP is the most widely publicized
and perhaps the most commonly used costing model in the country. And as
this report concludes: "IEP ,constitutes a set of well-developed, well-docu-
mented procedures for performibg cost analysis at both the full- and direct -
cost levels, wit .emphasis upon instruction." However, colleges and uni-
versities compete with one another for scarce resources. And within institu-
tions, academic' departments and administrative units engage in similar
competition. Any set of procedures devised to produce comparative
information for use in such competitive settings will not only be criticized
but will be found wanting on some dimensions. This study carefully high-
lights both the strengths and weaknesses of the procedures and serves as a
useful qualitative guide to those who must develop cost information for
exchange purposes.

321 355
 10 MANAGEMENT-QUANTITATIVE APPR6ACH.ES

See: 29:2.3/79-1 New Approaches, to Management 1. Victor Baldridge

and Michitel L. Tierney.
This book assesses the utility of management in format ion'systenis in 49
°private liberal arts institutions. It addressess,the general. question, "Are
colleges affected by changes in their management techniques arrzl, if so,
how?'' Conducted by two social scientists, the study is the first research-
based study of its kind. While it examines only private institutions,
inferences may be drawn rtilative to other sectors of higher eduueion,
paiticulady since there are sin r studies in other sectors. It provides a
prudently ..qtialified positive -lose sment. of the utility of management
information system*when applied tothese colleges.

.10:1.0/77
Quantitative Approaches to Higher ..Education Management:
Potential, Limits, Ind 'Challenge, G. Ben Lawrence and Allan -L. _ .

Service,eds., 91 pp. (Anterican °Association for Higher Education,

Washington, D.C.).
This work, attempts to .assess and describe the current status of the
5
complex designs and techniques thtit fall under the heading of quantitative
approaches to. higher education management. Designed for the executive
reader, it Provides a brief history of the roots of quantitative approaches to
management, a dis-eussion of the assistance quantitative approaches can
provide, and their limitations and complexities. The more substantive sec-
tions deal with data and with data standards and procedures as the founda--
lions for quantitative approaches, information systems, cost and resource
information goals apd;outcome
. inforniation,and models and model build-
ing. Otherteetioni &porton evaluation studies of various quantitative
approaches tind their ftneral impact, describing' factors that influence th,
use of these newapproaches and-making some predictions about their future
-use and development.

See: 13:2.3/78 A Study of.Cost Analysis in Higher Education, Carl R.

Adams, Russell L. Hankins, Gordon W. Kingston. and Roger G.
Schroeder.
v._

2.0 FOUNDATIONS
2.1 Dictionaries and Glossaries

102.1/79
A Glossary of Standard Terminology for, Postsecondary Educa-
tion, Sherrill Cloud, 121 pp. (National Center for Higher Education
Management Systems, Bouldev,
This glqssary (an update of a 1977 edition) is intended as a reference for
 FOUNDATIONS-DICTIONARIES AND GLOSSARIES 10:2.1

those whoexchange or collect information throughout postsecondary educa-

tionespecially 'those who deal with data in institutions, governmental
agencies, and educational associations. It is consister with other efforts by
NCHEMS and the National Center for Education Statistics (NCES) to
promote awareness and tie of a common language of terms, definitions, and
procedures in postsecondary education.

10:2.1/78
Adult/Continuing Education: A Handbook of Standard
Terminology for Describing the Learning Activities of Adults, G..'
Rager Sell, 248 pp. (National Center for Higher Education Manage-
ment Systems, Boulder, Colo.).
This handbook provides teniis and definitions for collecting and re-
porting information that describes the learning activities of adults. The terms
and' definitions in this handbook .representinformationifems that, when used,
consistently, provide a basis for communication between the various institu-
tions, organizations, and agencies that serve adult learrierS'. The handbook
identifies'and presents a elasSitication structure of terms and definitions
within these major categories, including subdivisions of informatiOn cate-
goric A glossary orterms is also provided.

10:2.1/75,
Statewide Measures Inventory, Paul Wing, James McLaughlin,
and Katherine Allman, 380 pp. (National Center for Higher Educa- ,
tign Management Systems, Boulder, Colo.).
As indicated by the authors in.the introduction:" The Statewide Mea-
sures inventory is essentially a list of items of information, along with
concise definitions -and-other- information of interest,. relevant to statewide
postsecondary education planning and.management. It has _been designed,
primarily as a working document tbr use by State-level postsecondary
education planners and decision makers
The docUment (NCHEMS Technical Report No. 68) includes a 68-
page paper that discusses in nontechnical terms the origins, features, and
possible uses of the inventory in state-level planning.

1021/731
Data Element Dictionary: Second Edition, Suzette Goddard,
James S. Martin, and Leonard C. Romney, 420 pp. (National Center
for Higher EducationManageinent Systems, Boulder, Colo.).
This volume (NCHEMS Technical Report 51) is the only publisher± and
regularly revised reference of its type dealing with postsecondary education
data definitions and Codes. For each data element a concise 'definition is
provided, codes and categories are suggested, and comments are made

323
3
10 MANAGEMENTQUANTITATIVE APPROACHES

concerning linkages with other elements, conversions, and relationships to

Higher Education General informdtion Survey (HEGIS) and FICE codes.
The appendixes provide other valuable standards associated with data man-
agement, classification, and use. The volume is bound in hardback, loose-
leaf style, designed for regular revision without complete reprinting.
Revisions are made regularly and volume owners are provided updates.

10:2.1/73-2
Program Measures, James R. Topping and Glenn K. Miyataki, 245
pp. (National Center for Higher Education Management Systems,
A
Boulder, Colo.).
This manual (NCHEMS Technical Report 35) was developed as a
companion document to the NCHEMS Program Classification Structure
(PCS), but is useful to any planner utilizing a similar or modified structure.
To ,use or implement the PCS -or a similar approach, various jitems of
information are required to describe each element within the structure. For
example, as the authors note in Chaper I: ". . . an activity identified by the
PCS is 'instruction in the Physics discipline at the lower-division level.' But
just to know the name of the activity is not enough. There is a need to identify
the content of this instruction activity: the number, of enrollments, the
number of courses offered, the number of faculty assigned to teach the
courses, etc. Therefore, descriptive it)formation must be associated with the
PCS in order for it to be used at all. Moreover,: these information items can
be arranged or structured in a manner that will facilitate the process of
analyzing higher education programs. These,categories of information are
collectively called 'program measures.' "

See also. 9:1.2/76 A Classification of Institutions of Higher. Education,

Carnegie Council on Policy Studies in Higher Education.

2.2 Measures, Structures, and Procedures

10:2.2/81
A Classification of Instructional Programs, Gerald Malitz, 215 pp.
(National Center for Education Statistics, Washington, D.C.).
This classification of instructional programs is designed to facilitate
effective communication between the institution providing information and
the external organization collecting or receiving information. The volume is
intended as a reference tool to assist in the collection, reporting, and
interpretation of data about instructional programs.
It is intended to aid those people who design data collection instru-
ments, respond to questionnaires, and compile, verify, and analyze data.

t- 0 324
 FOUNDATIONS-MEASURES, STRUCTURES, AND PROCEDURES 1012.2

For the first group, the classification provides- a universe from which
program titles may be selected. The survey respondents and those who
compile and verify data can use the classification to clarify where a particu-
lar item of data should be reported. Finally: for researchers and dialysis, the
' classification can be a means of understanding the scope or content validity
of a particular item of data.
Instructional programs are categorized, defined, and coded, The
document Contains sections comparing the new classdication with previous
classifications (HEGIS, Handbook VI) and an alphabetical index. The new
classification, developed jointly by NCHEMS and NCES, is intended to
replace older classifications used in Federal and state reports and in program
,
classification structures.
1.

10:2,2/80
The' Higher Eduction 'Fin-Ake-Manual (HEFM), Richard
Allen and Douglas J. Collier, 284 pp. (National Center for Higher
Education Management Systems, Boulder, Colo.).
This three-volume reference work on higher education financial re-
porting contains information needed by institutional and agency staff to
understand; produce. and use financial reports. The manual provides a
detailed 'and comprehensive guide. to reporting procedures and formats
consistent with the generally accepted, higher education accounting
principles adopted by the National Association of College and University
Business Officers, the.American Institute of.Certified Public Accountants,
and the National Center for Highet Education Management Systems.
Volume .1, Ditta Providers' Guide is designed -to-assist -college and-
university staff in reporting financial information; it provides a detailed and
Comprehensive compendium of -accountirk definitions, degn:bes national
standards for financial reporting (including those prescribed for HEGIS'
reports). and provides the information required to comply with those
standards.
Volume 2, Data Users' Guide serves to guide the nonaccountant through the
complexities of higher education finance and to help information specialists
_implement tinnacial information systems based on generally accepted ac-..
counting principles. Special features of this. volume include explanations'of
( I ) the principles of fund accounting for higher education in easy-to-under-
stand, nontechnical language; (2) the purposes, formats, and limitations of
ths, three principal types of financial statements; (3) institutional and state-
level considerations in developing a reporting system based on the HEFM
accomaing and reporting procedures; (4) the relationship between The
-HEFM functional expenditure categories and the NCHEMS Prograin
Classification Structure.
Volume 3. The Source /Use CoUcept presents an innovative format for
financial reporting -a matrix displaying revenue 'sources and expenditure
 10 - MANAGEMENT -- QUANTITATIVE APPROACHES -

categories'simultaneously. It presents institutional financial operations in a

simplified graphic form that can easily be understood by administrators,
legislators, donors, and the general public. The .volume explains how to
implement the format at both institutional and state levels.

10:2.2/79-1
Alternative Conceptual Approachev information Exchange Pro-
cedures fOr Major Research Universities, James R. Topping and
Ed Myers, 128 pp. (National renter for Higher Education Manage-
ment Systems, Boulder, Colo.).
This handbook is a set of procedures designed and developed by
NCHEMS in recognition that NCHEMS Information Exchange Procedures
do not adequately describe.the complex research institution,
While-thiS doeument- haS been carefully developed with the assistance
of an advisory committee from six major research universities, it has not yet
been pilot tested for practical fcasiblity. ItS purposes are essentially the same
as those of the 'NCHEMS Information Exchange Procedures (see also
10:2.2/76), even though the approach to the task is significantly different.

10:2.2/79-2
PSE (Postsecondary Education) Information Planning at the
State Level, Roger Bassett, Sherrill Cloud, and Anahid Katchian,
470 pp. (National .Center for. Higher Education Management
Systems, Boulder, Colo.).-
This set Qf five separately bound documents is designed to help state-
,.: agency .leaders, analysts, and information systems staff make an-efficient
and effective match between agency ressibilities/staff agenda and agency
information requirements. An underlying theme of all the documents, is the
recognition that each state has unique responsibilities and analytical *re-
quirements, as well as different histories, traditions, and philosophieS, and
thus *needs an individualized' information system. This individualization
requires that _each state -agency review its authority and responsibilities
regarding the postsecondary education enterprise and recognizeihe need for
ongoing communication with the institutions.
Volume 1, Overview, is a brief description of purpose of the study of
'postsecondary education intbrmation planning at the state level:
Volume 2, Planning Guide, provides a context for undtrstanding the
major environmental and procedural factors inhuming the development of
state-level information systems. Specifically, it discusses assessment of the
developmental environment (agency authority and role, institutional con-
cerns), selection of a procedural approach to information system planning,
assessment of information needs generally, selection and evaluation of

326

3o 0
 F011;4DATIONSMEASURES, STRUCTURES, AND PROCEDURES 1012.2

specific data elements, and assessment Of resource requirements (staffing,

computer'and systems support, institutional costs).
Volume 3, Selection of Data To Address Planning Issues, a companion
to the Planning Guide,- provides a framework for reviewing common state-
level planning issues, the questions that focus analysis on those issues, and
the general data requirements associated wit the more common questions
and analyses. The document includes a section summarizing references to
applicable data sources (in either published or machine-readable format);
including, when possible, descriptions or txamples of these se'..rces. The
glossary section of the document contains standard data definitions and
suggested categories'for collecting and presenting data.
Volume 4, Pilot-Test State Case Studies, describes the background and
functions of eight pilot7test.state agencies; their.approaches ,t-,information
systems; and their planning'resIxinsibilities (comprehensive bud-
.

geting, .program review). Each agency'S data set is deseribi.;,rand each

state's information system costs are summarized. This document also dis-:
cusses attempts to develop state - level information about: adult and
continuing education in two pilot-test states and about educational outcomes
in two others.
Volume 5, Systems-Related E.wefienes in Eight Pilot-Test'States, as .

companion to the Case Studies, describes pilot-tes: state experiences with

systems development, including evaluation of information needs, hardware
and software choices, survey administration...staffing considerations, data
organization, and data storage and linkage considerations. The ranges of _-
developmental costs among pilot-test state agencies are summarized, and
-difficulties-in-obtaining reliable and informative.-cost data are discussed.-

10:2.2/79-3
Library Information Handbook: A--Handbook of -Standard
Terminology for Reporting and Recording Information About
Libraries, National Center for Higher Educatiop Management
Systems, 313 pp. (NCHEMS, Boulder, Colo,).
This reference handbook provides a framework of information and a
data Set intended to: ( I ) provide an 'informed bais for library management
and planr,,ng; (2) facilitate inforiLtion exchange and communication
among libraries: and (3) forward a common language and 4 framework for
external reporting.
It is comprehensive in scope, suggesting formats, structures, and
definitions. In addition, it deals with using the information for internal
planning and management, as well' as external reporting and,exchange,of
information.

327
361
 10 MANAGEMENT-QUANTITATIVE. APPROACHES

See: 13:2.3/79 Cost. Information and Formula Funding: New Ap-

proaches, Richard H. Allen and James R'. Topping, eds.
This document derives from a conference sponsored by several national
higher education organizations concerned.with the impact of cost informa-
tion on statewide budgeting and planning. It marks the formal beginning of a
search for new approaches to formula funding, stimulated by the failure of
existing formulas (based on average per-student costs) to reasonably ap-
proximate the actual decline in costs associttted with enrollment decline..
As it becomes increasingly probable that enrollments will decline
through the 1980sby as'much as 25 to 30 percent in some statesthe
potential negative impact of applying present.day formulas in this kind of
environment has become a major concern. This concern arises from the fact
. that almost all budget formulas are based largely or entirely on average costs
(so many dollars per student).
It has long- been-recognized that in-higher-education, as in most other
enterprises, actual costs do not behave in a straightforward fashion. Rather,.
costs respond in a variety of ways to volume changes, as well as to
environmental and policy' changes.
When enrollments' were increasing rapidly. many institutions found.
that average -cost formulas worked to their advantage. The: formulas
generated additional funds 'that could be used. to increase the quality of
existing programs, as well as to develop new programs and reach new
clienteles. This was possible because the 'costs of adding new students in
existing programs.did not riseproportionately with increases in enrollments.
Unfortunately, the inverse is also true. When enrollments decline, overall
costs do -not decline proportionately. Therefore. if formulas reduckeinstitu-
tional revenue on a per-stiklent basis, institutions may be forced to reduce
...duality.,. drop programs; and restrict clientele. .-

The document describes the general problem, considers alternative _

approaches to funding formulas, and documents the experimental efforts of

several states.

10:2.2/78
State-Level Postsecondary Education Financial Reporting,
Richard H.. Allen, '175 pp.. (National Center for Higher Education
Management Systems, Boulder,. Colo.):
This document reflects the status of state-level financial reporting .

structures and, of the NCHEMS Higher Education Finance Manual ex-

penditure and revenue categories as of January I, 1978. The document will
be updated periodically by the combined efforts of the State Higher Educa-
tion Executive Officers, the National Center for Education Statistics, and the
National Center for Higher Education Management Systems. It is intended
to assist state-agency staff in reading and understanding financial data from
other. states and to highlight the areas in which adjustments may be needed

328
FOUNDATIONS - (MEASURES, STRUCTURES, AND PROCEDURES 10s1Lt

before financial data can be used for interstate comparisons. The looseleaf
binding is designed to facilitate updating.

10:2.2/77-1
A Common Core of Data for Postsecondary Education, Marilyn
McCoy, 17 pp. (National Center for Higher Education Management
Systems, Boulder, Colo.). .

Toward a Postsecondary Education Data,Core, Marilyn McCoy,

230 pp. (National Center for Higher Education Management
Systems, Boulder, Colo.).
.. These two documents (the first executive summary) are initial drafts of
a manual designed to identify Federal postsecondary education planning
issues and the data needed to address those issues. The work, sponsored by
the National Center for Education Statistics and conducted by NCHEMS, is
expected to lead to the development of a clear framework for Federal
postsecondary data collection as a basis for facilitating data coordination
across the many Federal agencies that collect data needed for postsecondary
education planning.

1 G:?.2/77-2
A Manual for Budgeting and Accounting for Manpower Re-
sourcesiin Postsecondary Education, Dennis P. Jones and
Theodore H. Drews, 66 pp. (U.S. Government Printing Office,
Washington, DC.).
This manual is the product of a 6-year joint effort by the National
-Center for Education Statistics (NCES) and the National Center for Higher
Education Management Systems (NCHEMS). While most institutions of
postsecondary education have mariginally acceptable, personnel systems,
their capacity to acquire and use manpower resource data is considerably
less sell developed. Manpower resource data are those most relevant in the
context of planning and accountability and, thus, the subject of much data
exchange andseporting.
The manual describes, in detail, the basic elements of an information
system designed to support the management of manpower resources in
institutions of postsecondary education. The system is compatible with the
NCHEMS Program Classification Structure and the NCES Higher Educa-
tion General Information Survey. .

329
 10 MANAGEMENT- QUANTITATIVE APPROACHES

10:2.2/77-3
The Outcomes Structure: An Overview 'and Procedures for
Applying It in Postsecondary Education Institutions, Oscar T.
Lenning, 79 pp. (National Center for Higher Education Management
Systems, Boulder, Colo.).
This document is designed specifically to describe practical uses of the
NCHEMS A Structure for the OuteOrnes of Postsecondary. Education
(13:1.3/7773), as well as detailed procedures for its implementation. in
institutions. It provides an overview of the structure and is very helpful to
individuals who wish to introduce trainees to the strut tune and its uses.

10:2.2/77-4
Previous Attempts To Structure Educational Outcomes and Out-
come-Related Concepts: A Compilation and-ReView of the-Litera-.
ture, Oscar-T. Lenning, 231 pp. (National Center for Higher Educa-
tion Management Systems, Boulder, Colo.).
Over the years, there have been many attempts to structure and order
educational outcomes so that the relationship of outcomes and outcome-
related concepts to one another and to other factors can be clearly shown.
Establishing such relationships is an important aspect of both planning and
evaluation.
This document reviews the. frameworks of more than 80 previous
attempts to structure educational outcomes and related' concepts. it is useful
to the planner who would like to.consider different approaches developed in
-differing contexts,- and -it is,-of course, extremely valuuble to the individual
interested in conducting .research on outcomes,

. 10:2.2/77 -5
Program Classification Structure: Second Edition, Douglas J.
Collier,- 65 pp. National Center for Higher Education, Management
Systems, Boulder, Coto.).
As the author states in the introduction: "The Ptogram Classification
Structure is- a set-of categories and related definitions which allows its users
to examine the operations of a postsecondary education institution as they
relate to the accomplishment of the insfitution's objetitive. Specifically, the
PCS is a logical framework for arraying inlomiation in a hierarchical
disaggregation of programs in which a program is defined as an aggregation
of activities serving a common set of objectives."
The first edition, published in '1972, was the culmination of 2 years of
work by representatives- of all sectors of higher education. It has been
adopted by hundreds of higher education institutions, by 'Many state-level
planning agencies, by most Federal-level educational planning agencies,
and by institutions in several foreign countries.

_DA)
FOUNDATIONS-MEASURES. STRUCTURES, AND PROCEDURES 1012.2

Tohe second edition (NCHEMS Technical Report 101) includes changes in

the nature of planning and manageMent that have accrued since-the early
1970's. It alsO recognizes the evolving nature of "postsecondary" educa-
tion as compared to the'more traditional concept of "higher" education.
1 '
10:2.2/76
Introliuction. to Information Exchange 'Procedures: A Guide for
the Project Manager, Gary S. Gamso and Allan L. Service, 115 pp.
(National Center for Higher Education Management .Systems,
BOulder, Cola,).
The NCHEMS Information Exchange Procedures (IEP) are a standard
set of data definitions and procedures for 'collecting data for use by post-
secondary education institutions to produce compatible information useful
both forlcomparison.of internal activjties.and for exchange and comparison
with other campuses. The information produced by these procedures in-
eludes 'instructional outcomes,- institutional costs, and descriptive
characteristics data. While NCHEMS advises against the use of [EP for state
planning{ -and encourages the use of its State-Level Information Base
Proceduresseveral states do use IEP with considerable satisfaction.
This document (NCHEMS Technical Report 76) is intended to help the
administrai tor by describing briefly the IEP and related issues and by
providing la guide to planning and organizing an IEP implementation effort.,
If a decis on is made to implement IEP, the guide_ 's documentation and
supportin software must be obtained.

10:2.2/ 5
Outc es Measures and Procedures Manual, Sidney S. Micek,
Alla L. Service, and Yong S. Lee, 335 pp. (National Center for
Hi her-Education Management Systems, Boulder, Colo.).
This manual (NCHEMS Technical Report 70). defines a wide range of
-masures of the outcomes (results or impacts) of postsecondary education
ir4titutions and their programs, and suggests procedures for acquiring the
data needed for each measure. An, overview of the manual provides the
context and procedureS for its use. Measures and procedures are divided into
three major categories: student growth and development, new knowledge
and art forms, and community impact.
10:2.2/74 .

An Examination of Possible Statewide Applications and Exten-

sions of NCHEMS Program Classification Structure, Nut Wing
and Leonard Romney, 62 pp. (National Center for Higher Education
Management Systems, Boulder, Colo.).
This reference book (NCHEMS Technical Report 50) does exactly
what its title implies suggests possible applications and extensions of
131

365
10 MANAGEMENT-QUANTITATIVE APPROACHES

NCHEMS Program Classification StructUre for statewide, planning. In so

doing, it touches upon the sensitive question of ho' much detail is needed
within the data required for statewide plannit,L,. The document does not
purport to be a standard or a policy statement. It is designed as a reference for
those who 'wish to utilize the Program Classification Stnicture at the state
level.

See also: 5:6.0/A-4 Higher Education Prices and Price Indexes, D. Kent
Halstead.-
13:1.3/77-3 A Structure for the Outcomes of Postsecondary Education,
Oscar T. Lenning, Yong S. Lee, Sideny S: Micek, and Allan L. Service.
36:1.4/71-1 Higher Education Facilities Planning and Management
Manuals, Harold L, Dahnk, Dennis Jones, Thomas R. Mason, and
Leonard C. Romney.

3.0. ANALYSIS

10:3.0/81
Planning Models for Colleges and Universities, David S.P.
Hopkins and William F. Massy, 544 pp. (Stanford University Press/
Stanford, Calif.).
John Kemeny points out in,the forword to this book that management
science models can contribute a great deal to furthering the goal of effective
planning in colleges and universities, The authors describe a large number of
such models, most of which were deVeloped at Stanford from 1973 to 1979.
Categories of models include: financial forecasting; incremental costs and
revenues; long-run financial equilibrium (including determination of the
payout rate on endowments); financial decisions under uncertainty: faculty
staffing, tenure ratio, and retirement projection; student enrollment and
admissions yield; and tradeoffs among competitive emands for resources.
ComprehenSive descriptions of the models and discussions (their applica-
tion are provided.
The first chapter of the book represents a ge.neral.overview of the use of
models in higher education and pitfalls to be avoided. The second chapter
recounts in some detail the authors' experience in applying modelg at
Stanfordwith emphasis on the interplay of models and, organizational
dynamics in setting the target for the 3-year, $10.5 million program of
budget adjustments instituted by Stanford in 1974. The next tXtpter sets
forth the first comprehensive mathematical-economic ,e(-y of utility
maximization, subject to financial, productivity, and market constraints, for
nonprofit enterprises, with special emphasis on colleges and universities.
The authors provide advice on starting and implementing modeling in the
332

366
 ANALYSIS 10:3.0

academic environment throughout the book, but especially in the final

chapter.

10:3.0/80
Costing for Policy Analysis, National Assocation of College and
. ,
University Business.Officers and National Center for Higher Educa-
tion Management Systems, 82 pp. (NACUBO, Washington, D.C.).
This report describes a costing process that can assist managers in
estimating how certain institutional costs change in response to volume,
policy, and environmental factors. Four case studies are presented using the
procedures. The results of the studies can enable managers and analysts to
better understand the process of determining the relationihip of cost func-
tions to various factors at their institutions.

See.. 29:2.5/79-1 Financial Planning Models: Concepts and .Case

Studies in Colleges and Universities, Joe P. Wyatt'', James C. Emery, and
Carolyn P. Landis, eds.
This report derives from a 3-day workshop held in 1978 on the applica-
tion of financial planning .models in colleges and universities. It documents
the approaches to and experience of a select set of colleges and universities
involved in the continuing development of computerized planning modelS',
and represents the best state-of-the-art compendium available in 1979 (see.
10:3.0/81 for later models). For an evaluative description of the develop-
ment of computer-based planning models, see 10:1.0/81.

10:3.0/77
The. 'State Planning System Documents, Roger Bassett, Ellen
Cherin, Mark Chisholm, and Vaughn Huckfeldt,. I,808 pp. (NatiOnal
Center for Higher Education Management Systems, Boulder, Cob. ).
The State Planning System Documents are a series of 12 volumes
designed to introduce, describe, and comprehensively document the State
Planning System (SPS). They also serve as excellent general references for
those interested in using models in planning, even if they elect not to use the
State Planning System. This entry standSalOne becauSe all relevant workS of
significance are discussed and referenced. The volumes are a cohesive,
related set of documents designed to provide the reader with increasing
leVels of detail. The numbering sequence suggests a reading order probably
intended by the authors. The executive-level planner seeking an overview is
advised first to read Technical Report 89. Each of the volumes is separately
annotated below.
Modeling and SPS, Technical Report 89, is designed for the executive-
level planner. The first sectionkof this volume discusses the contributions
mathematical modeling can make to planning; reviews major national ef-
333

367
 10 MANAGEMENT-QUANTITATIVE APPROACHES

forts to apply modeling to postsecondary education planning; provides

criteria for selecting a model; and discusses major criticisms of modeling
and directions for further development. The second section reviews the
efforts of eight states in the use of models and provides a list of 17 criteria
intended to guide model users in planning and evaluating agency modeling
efforts. The third Section, describes the State Planning System as a modeling
tool. While not explicitly stated, theauthors have attempted to respond to the
criticisms of modeling described in the first section. The SPS offers to the
planner, with a modicum of analytical and computer staff- support, a,
complete system for designing a model to Address a particular problem or set
of problems and for operating ti home-built model using the SPS software.
Implicit in this system is the notion that models must be pattemed.to respond
to specific decision problems.
Introduction to SPS, Technical Report 86,, acquaints, the user with: the
purpose of the SPS, the typical internal calculations in an SPS design, the
report preparation capabilities of the SPS, and the NCI-ENS implementa-
tion policy for the SPS.
SPS General Training Manual, Technical Report 87, contains copies
of the visual-aid displays used in workshops and general training seminars
on the SPS:
. SPS In-State Training Manual; Technical Repoit 88, contains copies of
the visual-aid displays used in the training workshops conducted duriftt
implementation of the SPS. .

Theoretical Concepts Used in SPS ; Technical Report 90, discusses the

mathematical theory related to the optimization capabilities of the SPS.
SPS Case StUdies, Technical Report 91, describes the SPS implementa-
tion experiences of several states, This includes documentation of specific
design relationships within the SPS that deal, with specific kick issues or
questions.- The discussion includes procedures --for developing a design,.
information on coding a design for entry into the SPS, and examples of
various designs.
SPS Data ProCedures, Technical report 93, specifies procedures for
locating and preparing data forinput to the SPS, discusses the t,ise.of the SPS
__as a statistical tool for estimating.parameter values as inputs to the SPS, and
notes certain nationaldata sources useful to SPS users.
SPS Software Iflistallation Guide, Technical Report 94, contains the
technical information necessary for the installation and checkout if the SPS
on a new computer system. This includes information on the Conversion that
maybe necessary in adapting the programs, copies of the test djcks and the .

expected output, aind a discussion of the software procedwes necessary to

run the SPSprogram.
SPS Software Documentation, Technical Report 95, contains the pro-
gramming conventions, flowcharts, lists of variables. v;:d computer pro-
. gram listings for the SPS.;

334
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 ANALYSIS 1083.0
. D

SPS Operation Guide, Technical Report 96, discusses the general;

operating instructions for the SPS with an existing set of files, and the
procedures for creating new data, design, and control files for use with a new
design. ,
SPS Summary Operating Instructions, Technical Report 97, contains
information about operating the SPS on a specific computer system for a
specific state.

'q

335
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 11

Philosophy of Higher Education

Kenneth D. Benne
assisted by Victor Kestenbaum

No circle can be drawn around the aspects of practice in policy

that belong primarily or exclusively within the domain of philosophic
studies, of higher education. Empirical studies, in contrast, can be
demarcated one from another by the particular aspect of practice or
policy that they describe and conceptualize, whether that aspect be
governance, curriculum design, institutional management, faculty
rights and responsibilities, or some other. Apy and all of these aspects
of college and university4 life and experience, alid other features as
well, also can be studied phil; sophically.
The distinction between philosophical studies and empirical
studies lies in the kinds Of question put to the subject matter under
study and in 'the ways in which these questions are studied. For
example, criticisms of the purposes served by institutions of higher
education and credal statement3 of the purposes of a given institution
are common throughout the literature of higher education. But such
criticisms and statements seldom qualify as instances of philoso-
phizing. All institutions engage in more or less thOughtftil choices
among alternative plans and courses of action. But actual choices may
involve little or no analysis or criticism of the concepts eemployed, the
method' s'pf reasoning and justification utilized, or the decision criteria
applied. It is to the analysis and criticism of concepts, reasonings,
justifications, and criteria that the philosopher addresses his or her
intellectual efforts. .
Qf course, philosophizing is by no means the exclusive preroga-
tive of professional .philosophers. Some of the most significant
contributions' to philosophy in the history of Western civilization,
j37

370
11 PHILOSOPHY OF HIGHER EDUCATION

including the philosophy of education, have come from amateurs.

One need only recall that Socrates was a stone-cutter, Marcus
Aurelius a Roman emperor, Spinoza a lens grinder, Comenius a
Moravian bishop, and Rousseau an eighteenth century hippie to lend
credibility to this observation. This is one reason why publications by
nuthors who are not professional philosophers of education are
included in this bibliography.
There are other reasons for this decision. One .of these stems
from the condition under which the professionalization of educational
philosophy has taken place in America. The professional preparation
of philosophers of education has, for the most part, been sponsored by
schools of education that are engaged in training teachers and
administrators for work in elementary and secondary schools. And the
principal place of the philosopher's employment after graduation has
been schools of education with a similar mission. As a result, their
acquaintance and concern with education has tended to focus on
programs, policies, and institutions of precollegiate schooling. The
normative issues surrounding the practice of higher education have
received little direct attention from most professional philosophers of.
education.
This observation is not intended to imply that many studies in
educational philosophy by professional philosophers of: education
have no important bearing on the issues of higher education. F`or some
educational issues are common to all levels of education, eleMentary
through graduate schools. Nor is it meant to imply that philosophic
treatment of normative issues specific to higher education has been
completely neglected either by professional or amateur philosophers
of education.'Such literature is often prepared for a general rather than
a professional audience. It offers deeply felt and thoughtfully argued
treatments of issues confronting higher education. This bibliography
does not omit technical treatments of issues in the philosophy of
higher education where these are available. But it also includes
broadly public discussions of issues of higher education where these
are philosophic in temper; Such public statements often project
policies and programs that present significant alternatives to currently
institutionalized programs..and policies. To qualify as philosophic,
recommendations of futuristic alternatives must be bolstered by
responsible criticien oe?cisting institutions of education nnd sup-
ported as desirable by reasoned arguments. Such work adds specula-
tive methods of philosophizing to the critical and analytical methods
already emphasized.
338
 PH ILOSOF OF HIGHER EDUCATION 11

As noted before, philosophizing about higher education is not

limited to any special aspect of educational practice or policy. The
aspects dealt with in recent literature have been determined by the
interests of those philosophizing and by their sense of what issues and
concepts are currently most in need.of philosophic questioning and
clarification. Bibliographic entries have beer classified under six
categories.
Current Status of Professional Philosophy of Education in
America. Although much of the literature of professional philosophy
of education in America focuses on issues and concepts important in
contemporary schooling in general, rather than in higher education
per se, many of the issues dealt with are pertinent to problems
confronted at college and university levels. Thus, this bibliography
includes several comprehensive surveys of current professional
philosophizing about education.
Alms and Purposes of Higher Education. American higher
education today is experiencing some confusion and conflict con-
cerning its priorities. Philosophic treatments of the aims, purposes,
and functions of higher education have attempted to clarify some of
the roots Of this confusion. With the acceleration of specialization and
vocationalization in universities, both in their research and instruc-
tional programs, and the accompanying pressures toward specializa-
tion, and vocationalization in undergraduate:education; the fate a 'id
future of liberal and general education is in doubt. This subsection
includes philosophic 'treatments of the prospects for general and
liberal education. -

Organization and Governance of Higher Education. In

recent years, colleges and universities have begun to borrow adminis-
trative forms and practices from industry and business for managing
their institutional affairs. The resu!ti:;6 management changes have
sometimes clashed with the traditional ideal of the university as a
community or guild of scholars. The borrowings have not been based
on a theory of educational systems as distinctive in their mode of
organization and operation. A few treatments of the organiiation of
educational systems and their control are philosophic in character and
quality.
Questions about changing patterns of university governance
have inevitably raised related questions about academic freedom for
factilty members and its attendant responsibilities. A few philosophic
treatments are available. Finally, student protests in the 1960's raised
fresh. questions about the rights of students in college and university
339
3 7.
11 PHILOSOPHY OF HIGHER EDUCATION

life and governance. Philosophic analysts have both discounted and

justified student rights.
Educational Policy. One contemporary development within
professional philosophy of education has linked philosophic and
policy studies of education. Questions about public and social
morality and ethics have emerged from this linkage and have received
some philosophic scrutiny.
Experiential Learning. A prominent slogan in student protests
against colleges and universities in the 1960's was a demand for
greater "relevance" in education. One result of this demand has been
an increase in the amount of "experiencebased learning" in
processes of college instruction. The polar terms to "experiential
learn. in popular discussions are usually. "didactic instni&ion"
and "classroom learning." Emphasis on "experiential learning" has
come also from bider students who seek advanced standing m
.

collegiate programs on the basis of knowledge and skills achieved

through experience outside the regimen of classroom instruction.
Some recent 'studies have explored the epistemological basis of
"experiential learning" in relation to that of "classroom learning."
Lifelong Learning and Continuing Education. Responsibility
for the education of persons beyond the age of late adolescence was
first assumed by American colleges and universities, within the land-
grant tradition through their agricultural extension --services.
Gradually, the content of extension offerings spread from knoWledge
of agriculture and hothe economics to include nearly all fields of
know led(7,:-..., and general extension services have become part of the
program of most colleges and universities, not just the land-grant
institutions.
Further, changes in technology have compelled refresher train-
ing for persoi, s active in many professions. Colleges and universities
have- assumed responsibility, along with other agencies, for the
refresher, training and reeducation of adults in various professional
fields. And they have responded, though with less alacrity, to
,demands by adults for reeducation in civic and personal orientation as
well. An unfamiliaf.Population of students, often part-time, and the
multiplication of off-campus programs have rai ;ed fresh issues with
respect to policy and program that require philosophical clarification,

340
 CURRENT STATUS OF PROFESSIONAL 11 f 1.0
PHILOSOPHY OF EDUCATION IN AMERICA

TOPIC ORGANIZATION
'11: Philosophy
.1.0 Current Status of Professional Philosophy of Education in
America
2.0 Aims and Purposes of Higher Education
2.1 The University and the College
2.2 Prospects for Liberal and General Education
3.0 Organization and Governance of Higher Education
3.1 The Educational System and Its Control
3.2 Academic Freedom: the Rights of Teachers and
Students
4.0 Educational Policy
5.0 Experiential Learning
6.0 Lifelong Learning and Continuing Education,

1.0 CURRENT STATUS OF PROFESSIONAL

PHILOSOPHY OF EDUCATION IN AMERICA

11:1,0/81
Philosophy and Education, Eightieth. Yearbook of the National ..

Society for the Study of Education, Jonas' Soltis, ed. 305 pp,
distributed-by the University ofChicago Press, Chicago).-
Like other yearbooks of the N.S.S E. this volume is designed to
-provide educators with a synoptic view of the current state of scholarship-and-
research in one_or.another specialized field of educational studies, in this
case, philosophizing about education. The latest previous N.S.S.E. year-
book devoted to educational philosophy was published in 1955.
The emphases and preoccupations of philosophers of education in 1981
have changed markedly from those in 1955. Harry Broudy seeks to account
for these changes by tracing the development of philosophy of educatiOn as a
field of graduate study during the intervening quarter of a century.
Prominent in his account is the accelerated professionalization of
philosophical studies in education. For the first time in the history of
education, most persons now professing the philosophy of education . in
American colleges and universities, have been educated in 'specialized
doctoral programs in universities. A considerable part of the studies required
in such programs has been in one or another specialty within departrfients of
academic. philosophy, though the programs ordinarily are administered by
univery Iv schools or colleges of education.
Given .this, it is not surprising that 7 of the 10 chapters in the yearbook.
are based on subareas ofstudy within academic philosophyepistemology,
341

34
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11 PHILOSOPHY OF HIGHER FDI !CATION

aesthetics, logic, ethics, social and political philosophy, philosophy of

science, and Metaphysics The author ooc.ich chapter was asked to begin the
discussion by thinking of an educationally important problem, issue, or
phenomenon that could be illuininated by and located in.his.or her chosen
subarea of philosophy. Fitch author was asked also to engage the readers in-a
process of phi losophiCal thinking. Thus, thk' ot the hook is not to present
a compendious review of the literature of a subarea of academic philosophy
or of related literature in he philosophy of education, but rather to
demonstrate that and how philosophy can he used to clarify cognate issues in
the policy and practice of education.
In his treatment of episteniolOgy, Jonas Soltis identifies var)ous forms
of knowing. These stem, at least in part, from the fact that each different
kind of human experience .requiee' different ways of justifying relevant
knowledge claims. Awareness by teachers of the distinctive epistemological
bases of the-subject Matter they' leach-Siiiitild enable them to help studentS
acquire appropriate discipline in processing knowledge claims arising from
various subject Matters. e'
IA her treatment of aesthetics, Maxine Greene, seeks to give educational
meaning to "aesthetic literacy." She rejects views of experience in the arts
as inherently ornamental; therapeutic, or peripheral, and argues that the
aesthetic domain is pervasive throughout life and education.
Robert Ennis explicates a conception of rational thinking and argues for
its incorporation into the goals of education and into various areas of
educational practice. His view of rational thinking goes well beyond formal
logic and includes also creative, valuational, and attitudinal elements re-
quire by rational thinkers in action-,
Clive Heck argues that the study of ethics is an essential element in
sound -ialues- education. He criticizes tour recent approaches to values
educatiqW lot their partiality, finding _his ore_inclusive.`rellective.'ap-.
proach tb be more appropriate rot education in a plUralistic society like 'our
own.
Kenneth Strike draws on the resources of social and political
philosophy as well as on legal and social science literature, in kirmulating a
.consistent moral theory that he sees as useful in guiding educational.pol icy-
making with respect to educational desegregation. D. C. Phillips draws on
the resources of-philosophy of science in demonstrating a way of assessing
educational research that purports to he scientific. And James McClellan'
argues that any defensible theory olhunian values must be grounded in a
comprehensive theory of the world and of man as a part of that workf., He
argues further for "materialism" as the most plausible world view. His
traterialistie first philosophy.' leads, he believes, towind a revolutionary
political conunitment in life and education.
The two suhstant ivt-chapters of the yearbook not grounded ill' a sbarea
of academic philosophy draw directly .on the accumulng literature of
 CURRENT STAT( IS OF PROFESSIONAL 11:10:1
PI LOSOPI1Y OF EDUCATION IN AMERICA
philosophy of education; The first, by-Jane Martin, takes curriculum theory
as its philosophical context and focuses on the persistent Western idea of
liberal education. She criticizes the view of liberal education as Mental
development through the achievement adisciplined knowledge as exem-
plifying the "epistemological fallacy," i.e., arguing from the nature of
knowledge to what ought to be learned. She argues that choosing curricular
content and objectives requires value judgments about educational purposes
and that these',- in turn,. are related to a moral, social, and political order
believed to h desirable. The other chapter, by Donna. H. Kerr, treats the
problem of judging the quality of teaching.-:Aceording to Kerr, such judg-
ments need to be based orra general theory of teaching, seen as a theory of
practice, Using "action language, she seeks. to -specify:and clarify the,
components of an adequate t heory 'of teaching.

11:1.0/79
"Philosophy of Education- Since Mid-Century," Jonas Soltis,
guest ed. Teachers College Record, Vol. 81, No. 2, pp. 127-248.
In this issue of the Teacher's College Record, six profeSsional
philosophers of education provide, a nontechnical account of some of the
main currents in philosophic studies of education. during the past quarter
century. The -account is tied loosely, to the Eightieth Yearbook of the
National Society for the Study of Education (11: I .0/81).
An article by Harry Broudy, "Philosophy of Education Between Year-
books,'' closely follows his account in-the yearbook of directions Own by
philosophy-of education- in recent years.: And the article by longs Soltis,
"Philosophy of Education for liclucators: The Eightieth N.S.S.E. Year-
book-,',' provides a -synopsis of the essays-published. in that volume: The
other. four articles represent a.differenr.slice through, recent philosophizing
about education from the cross-section provided by the yearbook. Each of
the authors offers An account and a justification of a distinctively different
approach to educational philiisophizing.
Richard Pratte deals with analytic philosophy, which in America has
been.. stmagly influenee(.I by recent .devehipments, in philosophy and the
philosophy of edUcation in England. Its exponents eschew philosophic
speculation and, in Pratte'~ words, renounce au affinity to affairs of the heart
and to interpretation of thv world as w(.; know it. The chosen, limited task of
.philosophizing, in this view, is to work within the limits of reason and to
focus eflOrt on the structure and precision of language meanings.
Philosophers do not inquire into 'issuesrather, they attempt thrOugh
analysis of language and concepts to Sharpen the tools of inquiry. Pratte
illustrates the work of analytic philosophy by providing a skeletal analysis of
three educationally relevant concepts ..... conditions of knowledge. teaching.
and education. He notes several-other concepts that have been analyzed and
presumably clarified by analytic philosophers, including needs. adjustment.

34.3

376
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11 PHILOSOPHY OF HIGHER EDUCATION.

indoctrination, and judgment.

Donald Vandenberg deals with ''Existential and Phenomenological
Influences in Educational Philosophy." If the homeland of analytic
philosophy is England, the homeland of phenomenology and existentialism
is Continental Europe. Vandenberg recognizes that he is dealing with a
hybrid in philosophy: phenomenology remains in the domain of knowledge;
existential phenomenology uses the methods of phenomenology to in-
vestigate the conditions of human existence, including the affective and
volitional domainS of experience as well as the cognitive. Vandenberg's
well-documented article traces the increased scope and depth of existential
and phenomendogical studies of education in America since World War II
and offers a polemic against the detractors of these studies:
In the period between World Wars I and I1, the preeminent secular
philosopher Of education in America was John Dewey. Since World War H,
analytic philosophy and existential phenomenology have crowded DeWey
and his followers from the center stage. Joe Burnett, in his essay, "What-
ever Happened to John Dewey'?," seeks both to account for the reduction of
Dewey's influence and to argue for the continuing fruitfulness of his
philosophic orientation in educational st ;dies. Burnett, writes with the
conviction "that mosocrspectives on the role of John Dow!), in American
education are very partial and/or very distorted.'.' One source of distortion,
Burnett finds, is a widespread and uncritical identification of Dewey' with
the progressive movement. in education. Burnett identities two inconsistent
strands in progressive critiques of and attempts to refo 'traditional educa-
tion-. One strand is based on a pragmatic and eAperiMent 1 theory -of knoW--
ledge that is consonant with Dewey's thought. The oth r, non-Deweyan
strand, which-Burnett calls romantic naturalism, is ground d in a view Of the
goodness _of_ human nature, advanced by_ Rousseau -and Pc talozzi.- -Burnett
confiites the view of Dewey as the uncritical glorifier of he political and
economic institutions of our industrial society with tren hant quotations
from Dewey. Finally, Burnett argues that Dewey's philosophizing about
aesthetics and religion, whichwas developed late in his career, has not been
adequately integrated into Deweyan educational philosophy,
Thomas Green builds his essay, "Philosophy and Policy Studies;
Personal Reflections" around an "overarching point""If philosophers
of education become heavily engaged in the practical, muddy, and indeci-
sive tasks of making public policy,,,they are likely to learn a great deal that
is philosophically useful." Green builds his case on his own personal
6xperierwes,:in a project of planning and developing a new school district
coextensive with the zoned boundaries of a ',New Town Development."
Perhaps his principal learning was that the study of public policy is the study
of public virtue and ,its spread both in the community and in its leaders. The
formation and spread of public virtue present important prOblems for the
philosopher of education.

344
 CURRENT STATUS OF PROFESSIONAL 1.111.0
PHILOSOPHY OF EDUCATION IN AMERICA

11:1.0/77
On the Philosophy of Higher Education, John S. Bmbacher, 143
*p. (Jossey-Bass, San Francisco).
This volume is the only recent work by a professional philosopher of
education that deals with a wide spectrum of issues of concern piimarily to
4
. students and practitioneri pAigher education in America.
The work is organized around eight questions that underlie policy
controversies in current discussions and debates about higher education. (1)
How is the claim by institutions of higher learning, particularly universities,
to primary responsibility for the advancement and propagation of sophisti-
Cated knowledge legitimiZed? (2) Should the university, as a "community of
scholars," be autonomous in decisions about teaching and research? (3)
Should the facilities of institutions of higher education enjoy academic
freedom? (4) Among prospective clients, who are competent to learn and to
extend a curriculum of sophisticated knowledge'?.(5) With vocational and
professional programs of instruction entrenched in most universities, what is
the place of liberal or general education in the curriculum of higher educa-
tion? (6) What is The best pedagogy for teaching and learning sophisticated
knowledge? (7) What ethical obligations are entailed by a learning well I

above the level of ordinary education? (8) Is there a useful sense in which the
pursuit of the higher learning has religious connotations?
The author's aim is not to settle or answer the eight questions, but rather
to clarify and illuminate the values at stake in their solution. His method is to
identify the major viewpoints currently ,taken .with respect to each question
under consideration and the arguments advanced by proponents of various
viewpoints. He analyzes and criticizes the arguments, both in terms of their
assumptions and of their consequences, if taken as a basis for policy and
practice.

11:1.0/73
Educational Reconstruction: Promise and Challenge, Nobtio
Shimahara, ed., 433 pp. (Charles E. Merrill Publishing Co.,
Columbus, Ohio).
This book consists of 19 essays written by 20 authors. Though the
authors differ in the academic disciplines they profess and in the philo-
sophies of life they espouse, they are united by'two assumptions. The first
assumption is that we are living in a culture in crisis"cultural universals"
are eroded or nonexistent, and "cultural alternatives" are multiplying more
rapidly than viable "cultural universals" are being constructed or recon-
structed. The second assumption is that educational programs must, in a
time of crisis, renounce their traditional role of cultural transmission and
become agents of personal and cultural transformation and renewal. These
assumptions undergird the educational philosophy labeled "reconstruc-
345
3 78
 11 PHILOSOPHY OF HIGHER EDUCATION
fq 0

lionise. It is often associated with Theodore Brameld, one of its best known
advocates, though it includes many of the more politically and educationally
radical proponents of John Dewey's philosophy. Its approach to the study of
educational issues is multidisciplinary, drawing resources from the various
social sciences and humanities.
The editor divides the essays into three sections. In the first of these,
"Promise: A Theoretical Framework for Cultural and Personal Renewal,"
Theodore Brameld argues for a prophetic perspective toward educational
issues in which the search is for magnetic, compelling educational goals that
are global in scope. Processes of personal and cultural renewal are discussed
from five disciplinary perspectivesanthropological, by Robert Nash;
psychological, by Robert Jay Lifton; political, by Thomas Hunt; historical,
by W. Warren Wagar; and philosophical; by Howard Ozmon.

The second section, "Challenge: Practical Approaches," includes

seven essays. Michael Apple presents a discussion of curriculum design
consistent with the goals of personal and cultural renewal. Kenneth Carlson
treats instruction in social studit, an instrument of cultural transforma-
tion. Morse Peckham argues for educational experiences in the arts as a way
of cultivating radiCal sensitivity in students. Maxine. Greene sees the active
involvement of students and teachers in planning, directing, and conducting
learning projects as a required radical way of teaching and learning. Elise
Boulding describes several extant types of futuristic studies and argues for
the superiority of the transcendent or eschatological type, associated with
Fred Polak, and for intentional learning Communities as a mediiiM to help
persons image a desirable future for mankind. Morris Mitchell and Bart
Sobel argue that bureaucratic organizatiOn is inimical to reconstructiotiist
education and image an alternative form for a futuristic education. Robert
. Arlett argues for humanistic uses of technology.
The third section, which includes five essay, is titled "Promise and
Challenge As Synthesis: Toward a Radical Pattern of Educational Direction,
Authority ,Relationships, and Ethics." WiRiam Boyer outlines and argues
for reconstructive planning as opposed to .planning for uncriticized expan-
sion and growth. Myles Horton argues for participative decisionmaking
processes that become an important medium of humanistic education, and
Lionel Etscovitz analyzes the nature of educational processes that support
persons in developing personally congenial and socially relevant commit-
ments. Authority relationships in education have usual:y been conservative
in effect and oriented to the transmission of traditional culture. Paul
Nash envisions radical changes in authority relationships in education to
bring them into support of reconstructionist goals. The concluding essay, by
Kenneth D. Benne, is entitled "Toward a Morality of Hope for the Future."
Im his essay, Benne identifies the basic assumptions of American culture
that now accentuate cultural crisis and lead contemporary men and women to

346
 'AIMS AND PURPOSES OF HIGHER EDUCATION-
THE UNIVERSITY AND THE COLLEGE

immobilizing despair or to desperate actions. He "argues for alternative

assumptions that will engender and justify hope for a viable human future.

2.0 AIMS AND PURPOSES OF HIGHER EDUCATION

2.1 The University and tip College

11:2/78
The Perpetual Dream: Reform and Experiment in the American
College, Gerald Grant and David Riesman, 474 pp. (University of
Chicago Press, Chicago).
Grant and Riesman did not write their book with the intention of settling
questions concerning the philosophical meaning of educational reforM and
innovation in -American higher education;' particularly those-questions
connected with the reappraisal of the undergraduate curriculum. Instead, the
authors sought to clarify the kinds of choices that are possible, and, in fact,
have been made in certain institutions. Their work is intended to "create a
sober sense of the realities and dilemmas of reform." Not surprisingly, the
realities and dilemmas, as well as the general and specific issues associated
With reform, merge into philosophical questions, making this work a valu-
able casebook for the study of current philosophies of higher education.
Virtually the entire book is composed of ethnographies of six institu-
tions representing what the authors call "telic reforms,"- (i.e., involving
fundamental redefinition of the goals of college education) and "popular
reforms" (i.e., instated-as a response to specific social and political de-
velopments), For models of telic reforms, the authors chose St. John's
College (Maryland) as an example of the "neoclassical revival ", Kresge
College (Santa Cruz) as an example of the "communal-expressives", and
The College for Human Services (New York City) as an example of the
"activist-radical impulse." As models of popular reform, Grant and
Riesman selected New College (Florida), the Cluster Colleges at Santa
Cruz, and two experimental colleges in New Jersey=--Ramapo College and
Stockton State College. Although they do not provide an explicit structure
for the book, the following categories of analysis can be seen in the authors'
examination of telic reforms, and, though more implicit, can be discerned in
their treatment of popular reforms as well: students' primary motivations,
institutionally valued ends, model for the institution, norms or core values,
style of education, historical roots, and ground of authority.
Grant and Riesman conclude their study with a "modest proposal" for
a more "coherent pluralism" to be achieved through experimentation with
core programs. Coming as it does at the conclusion of their exhaustive study
of the "realities and dilemmas" of six innovative institutions, the authors'
discussion of this conceptthis very old, and some might say tired, con-
ceptgives new meaning to the ideal of an "intellectual community."

347
 11 PHILOSOPHY OF HIGHER EDUCATION

11:2.1/73-1
"The Very Ideal of a University," Harold Alderman, Dewey and
His Influence: Essays in Honor of George Barton, Robert C.
VVhittemOre, ed., pp. 1-13. (Martinus Nijhoff, The Hague).
Harold Alderman begins by contrasting the title and purpose of his
paper with those of John Henry Cardinal Newman in The Idea ofa Univer-
sity. Whereas Newman's work was an argument for a university to .be
founded (the University of Dublin as a Catholic university), Alderman's
concern is' with. the defense of an established institution against various
ideological attacks. For Newman, the idea of a university was questioned;
for Alderman, the very idea of a university is questioned by those claiming
to know what it is and what its promises and failures are.
Set in this contemporary context, Alderman's thesis is that "...the
unique -role of the university is to enact a care for human temporality." His
thesis is grounded in Martin Heidegger's phenomenological description of
temporality, In Heidegger's view, the human being as temporal may be
owned (eigentlich) or disowned (uneigentlich). In the former, one appropri-
ates time as a project; being temporal is to order one's experience. Human
timekeeping is the ordering of experience in terms of our care for past,
present, and future. Disowned time objectifies time as a container wherein
past and future are not enacted but merely set along side each other as before
and after.
Alderman assesses various conceptions of the university according to
the adequacy of their concern with human temporality. Thus, the medieval
university's concern with tradition (past), with-the interpretation, applica-
tion, and expansion of tradition (present), and with the theoretical elabora-
tion of new ideas (future)'-provides for Alderman a paradigm-of what the
university ought to be. Measured against this standard, the author finds
Newman's conception of the university to be flawed, as are those modern
conceptions of the university that find their guiding principles in either the
past (classical), the present (technological-engineering), or the future
(theoretical). One example of temporal blindness is evidenced by the
demand that the university be relevant, i.e., helpful .in:forming the present
into a ,perfected future. In this view; the student is only a project, only a
future, thereby falsifying the in,lgral unity of past, present, and future.
Alderman recommends that the university be viewed as an institution that
cares for all three moments of time in their inherent interrelations. The
distance from this ideal measures the degree of fragmentation of aims and
results characteristic of any, university.

11:2.0//73-2
',The Concept of a University, Kenneth R. Minogue, 231 pp.
(UniverSity of California Press, Berkeley and Los Angeles).
Kenneth Minogue is concerned with clarifying the defining concept-
348
 AIMS A JD PURPOSES OF HIGHER EDUCATION 1112.1
THE UNIVERSITY AND THE COLLEGE

the essenceof the university. In his search; he focuses on the university as

a premier social invention of medieval Europe. The university was a place,
set apart from the practical affairs of men and women, in which scholars
might pursue a distinctive way of life centered in unimpeded and open-ended
inquiry toward rational understanding of man and his universe. The form of
social organization. was a community. In that community, the individual
scholar was free to choose the focus for, his distinctive qUestings for truth.
Academic freedom was necessary condition of unfettered. inquiry, an
immunity from ordinary law, both secular and ecclesiastical, not a grant of
privilege,or right from church or state.
While memberi of the university set themselves in opposition to inter-
ference by church (as well as state) in pursuing their way of life, Minogue
finds a religious, though nonsectarian, passion in the university's devotion to
an unending pursuit of academic inquiry. As a "perennialist'' it; philosophy,
he claims that the essential concept of a contemporary university is identical.
to that of medieval times, whatever accidental changes may haw; occurred in
the intervening centuries.
.Minogue sees contemporary universities to be in a state of siege by their
surrounding .societies. The siege is made plausible by a widespread confu-
sion between journalism and ideology on the one hand, and genuine scholar-
ship on the other. But the chief thrust comes from a doitrine of social
adaptation in which society is assumed to be a coherent whole. Universities
are seen as a contributory part of this whole, both in their research and
instructional activities.
Like Cardinal Newman 'In'the nineteenth century, Minogue recognizes
the societal need for instructional programs in the service of practical,
vocational, and civic ends. But such instniction, which the author does not
regard as inferior but as distinctively different, cannot be a part of a univer-
sity without compromising its essential character.

1 1 :2.1 /69
The Ideal of the University, Robert Paul Wolff, 161 pp. (Beacon
PresS, Boston).
This searching yet sprightly critique of university education as it has
developed in America in the 20th century grew out of the challenges oldie,
1968 student uprising at Columbia University, where the author was
professor of philosophy: While Wolff's frequent references to widespread
student commitment to radical social and educational changes may today
seem dated, his criticism of university policy and practice and his well-
articulated vision of an ideal university are by no means out of date and are
well worth consideration, at the present time The author describes himself as
a "self-confessed radical" in po'itical orientation.
Wolff projects four models of the university as ideal types. These are
not descriptions of any existing universities, but alternative sets of ideals that

349

382
 11 PHILOSOPHY OF HIGHER EDUCATION
°

find partial exemplification in all or most contemporary institutions of higher

education?
The first model envisions the university as "a sanctuary of scholar-
ship,' The social organization of such a place is a self-governing community
of scholars, joined by apprentice scholars whose studies are, guided by the
senior professors with whom they work, Wolff has a strong identification
with this model, as his own vision of an ideal university makes clear.
The second model envisions the university "as a trainng camp for the
professions." Wolff recognizes thathe education of professionals has been
a function of Western universities since their emergence in medieval times.
He has grave misgivings about the' downward pressures of accelerating
professionalization of the university on undergraduate and even secondary
education and its tendency to fragment the common loyalties of faculty
members -and students to the university. The social organization that fits this
'model of higher education is an `aristocracy of professional competence.:'
The third model views' the university as "a social service station." He
sees the embodiment of this ideal in Clark Kerr's "multiversity." The
fnultivettity becomes increasingly. the servant of those who can pay for its
servicesgovernments and corporations particularlyand becomes an
aggregate of diverse and conflicting schools, departments, centers, and
programs, The social organization consistent with this model is "deniocratic
pluralism," in which the integrity of the udiVersity tends to be lost.
The fourth 'model of the university Wolff views as an "anti - model" that
describes student activists' version of the university as it now operates. He
,terms -this model an assembly line for producing establishment men and
women, AS student activists saw it, the university shapes its human products
to become docile maintainers of established society and to fill its-manpower
requirements uncritically. Wolff finds some merit in this critique_ of con-
temporary higher education, but finds in it also some dangerous over-
simplifications.
Wolff sketches his own ideal university as a community of learning in
Q
which faculty members and students commit themselves ". . . to pursue the
common goals of truth, -rational discourse and the preservation and trans-
mission of learning." They require no external governance and regulate
themselves. The author believes that his ideal cannot be' fully realized
without the radical reorganization of society. He offers proposals for
!practical .utopian reforms in line with his ideal that extend to the grading
system, admission requirements, university governance by faculty members
end 'students, and the separation of professional training and credentialing
from the university.

350
e)
1)
 AIMS AND PURPOSES OF 111OHF.11EOLICATION-- 112.1
THF LINIVF.RSITY ANDII C011.FGF,

11 :2.1 /66
The University in the National Future, Thomas B. Stroup, ed.. I II
pp. ( Unii/ersity of Kentucky Press, Lexington),
This hook comprises four papers. pr;:scrited at - the University of
Kentucky during its centennial year 1196!0, three of them as part of a
futuristic symposium on the university in 2000 A.D. Only the essay by
Kenneth D. Benne was written by a professional philosopher of education.
Of the other authors, Sir Charles Morris is a political theorist and university
administrator in England, Henry Steele Conitnager is an American
historian, and Gunnar Myrdal is a Swedish economist. ln*all four essays, the
variously envisioned futures for universities are bolstered by refined
arguments and criticism of current trends. This qualifies all as instances of
.,pubitcphilOsop_hizing..
Benne's treatment of 'Hie Idea of a University in 1965" accepts the
accuracy of Clark Ken's description of the multiversitya congeries Of
diverse, noncommunicating, tuid.often competing schools, departments,
and This diversity Benne attributes in 'pat to the Coetence in
contemporary universities of three unsynthesized and conflicting historical
ideas of an institution of higher learning -- the community of scholars,
young and old; a place tn rigorous specialized research. after the scientific.
model, land for training competent research specialists; and the land-grant
college, an assemblage of intellectual ,resources,- practically orired, and
dedicated to the service of all prokssions and of learning by all men and
women, whatever their age and social status. Benne argues that internal
community and A sense of joippurpose need to be restored to The mUltiL
versify throtigh sustaieedand continuing communication and deliberation
by faculty members and students acroSs specialist lines, aiming toward a
dialectical synthesisof-research, teaching,and service, functions. He argues
that the present organization ofc, the university militates against such a quest
for internal community. He proposes a matrix organization for university
fife and work in which various groups of faculty and students work
simultaneously in vipers for cross-disciplinary studies, oriented tO a
contemporary-human-problem of their choice, and in continuing conferonces
focused on the advancement of a specialist discipline or profession, The
university would become a federation of semiautonomous learning coin-
munitie!..
Sir Charles Morris, in his discussion of "The university and the
Modern Age," envisions the university as a clearinghouse of ideas and as a
training center for knowledge-based professions. He believes that the trend
toward specialized piofessional training, which has led to the decline if
general education. 'Will be reversed as the demand i'or meaningful and
socially oriented soceialliation Ms:teasingly requires crossing the arbitrary
lines of academic and prolcyiniuil disciplin6, both in research and teach-
',
ing.

384
 11 PHILOSOPHY OF HIGHER EDUCATION
o

Henry Steele Commoger, in his discussion of "The University add the

Community. of Learning,'' argues, us Morris does, for the university as a
clearinghouse:producer, and disseminator of knowledge of all sorts.. The 7
%.
university will find community in its dedication to social improvement.
Gunnar Myrdal, sees the .expansion of professional, practical, and
research training in,"The Future University, He warns that the social and
moral iMplicahons of advancing knowledge should RN be ignored. He
,trgues that universities initchnologically developed countries must assume
responsibility for helping universities in Underdeveloped countries to narrow
theigap betweeb tpe duality of life in underdeveloped and in developed
nations.
I

The Uses of the Urfiversity,Clark Kerr,' 140 pp. (Harvard University

Press, Cambridge, Mass.). .

The inclusion of this book in a bibliography of current works. on the

philosophy, of higher education might be questioned on two grounds. First,
its' author is not a pliilosqpher, In the foreword he identities, his` academic
discipline as economics. At the time of the book's publication, he was
administrative head of the California State University system. And his ,
expressed intention was to describe, not to criticize or evaluate, the current
state and purposes of the American university. Second, the lxxik was first
published in 1963. In a period of rapid sodal and educational change,.a work
published.17 years ago could hardly be described as current..
An answer to thsfirst- objection is that Kerr does more than describe the
state and purposes of the American "multiversity".tlis own verbal
coinage. He justifies and celebrates it. And within the limits of his prevailing
optimism about'ihe essential health and future of the multiversity-, he
criticises it. His. philosophic world view i..that of a historical, perhaps an
economic, determinist. On this view, philosophical speculations are futile
and bacloward-loking. He mites that Newman's anti Flexner's philosophies
orhi'kther education44ad been disproved by the movement of history even at
the time or theirpublication, Por a historicakle (Amunist, especially for one
v.(hopel: in inevit4,ble progress as Kerr seems to do, well- conceptual-
ized and accurate description provides an adequate "philos'ophy." .
An answer to the second objection is that Kerr's description of the
multiversity, developed add influenced through governmental, corpor4te,
and foundation grants and, tioverned internally by mediation and mutual
accomothition or competing andtcopflicting acadpiiv interests, is still ,

Adequate today. No other general description published since equals it in

penetration, frankness, or eloquence.
Kerr argues that the contemporary American university has become an
instrument of national purpos articularly 'in three areas of publi: concern
military defense, ..scientill and technological progess, and health. The

352
 0.

AIMS AND PURPOSES pF HIGHER EDUCATION 11:2.2'

PROSPECTS FOR LIBERAL AND GENERAL EDUCATION.

acquiescence by- universities in' beco.rujpg instruments of sometimes

inconsistent and conflicting national purposes has been effected by a system
of outside grants. mainly for researchers regarded by donors as of strategV.:
importance, but also for the training of specialized personnel to meet ,stratc-
.
gic manpower requirements df government and industry. Since the grants
have favored scientific and technological development, the. social sciences
and humanities have been relatively neglected. Tbe resu*ng internal irn-
balance has led to-a- fragmentation of.contlicting aeadernic interests4hence
the "multiversity.' It his also seduced the autonomy of the university;
outside granting agencies have become, for many persons in the multi-
ersity, the effective alma water, in Keff'S 'phrase. It has also led-to-a marked
neglect of undergraduate education. ,
the yearnings of some faculty members and-students for con. nullity.
and collegiality Kerr regards as are remnant of- an outmoded "guild
mentality.,,," The multiversities have become and will continue to function as
_indispensable producers in the still-developing ','knowledge

PrOspects for Liberal and General Education

11:2/79 ,z 4

interdisciplinarity and Higher Educatton,Joseph J. Kockelmans,

ed., 372 pp.--(Pennsylvania State University, University Park).
.
Despite. the amount of talk about and-interest in the interdisciplinary, it
is somewhat surprising that there are relatively few studies of the phiiosoptii-
t
callioundations of interdisciplinariltady, particularly its epistemological
foundations: -This -volume is iniportant -in that regard, for it contains 'some-
very helpful- and -important philosophical analyses df =the_ concept. and. _

practice -of the interdisciplinary. The book gains additional' significance

because its essays help to illuminate not only the philosophical meanings of
interdisciplinarity, but als.o its impact on university teaching and research
and on the very future of the university.
The scope of the- book is. broad, with chapterslreating historical issues
.

(Kockelmans, Wolf:am W. Swoboda,11ans Flemer), philoSophical issues

(Kockelmans, Vincent C. Kavaloski), and educational issuts,(Kavalbski).
as well as particular questions associated with -science (Rust= Roy), the
social sciences (Muzafer Sherit), and personal and institutional -problems
connected wjth the interdisciplinary (Robert L. Scott).
The relevance of the articles' to current discussions concerning the
aims of higher education, the role of the disciplines, specialism and general
education, and the uses of knowledge -make clear the piofound connection
between interdisciplinarity and higher education. Of special importance is
the connection between the outlook 'for Liberal or hunianktic edication and
the possibilities of the interdisciplinary. Thus, the questions "why the
353

4
36
 11 PHILOSOPHY OF HIGHER EDUCATION

interdisciplinary'?" and "wiry liberal education'?" seem to have closely

related, though petaps not identical, answers ones that appear capable of
deepening the meaning of what it is to be a well-educated person.
Not all the essays are unqualified endorsements of interdisciplinary study.
KIrvalmici argues that interdisciplihari study rests on an "objectivist
epistemology."1.'e, the. view that knowjedge is an objectiVe bode of
information, methods, and 'Concepts. The pedagogy that results from this
epistemology is also objectivist: knowledge .is an. object or 'objects.
(interrelated in interdisciplinary study) to be assimtlated'by the student, who
es also is an object, i.e., a receptacle for knowledge.' Kavalbiki que)tions
whether interdisciplinary study can be the basis of fundamental educitional
reform since it playis primary importance,on the content of educationthe
knowledgeinsffd of on the processthe knowing.-`He cohblUdes that
,though interdisciplinary education seeks to go 'beyond disciplinary duca-
,
tion, it 'is still partly in thrall to it:"

' 11:2.2/78 1) .

Liberal Education and the Modern University, Charles 'Wegener,

163 pp. (University of Chicago Press, Chicago). ./ . .

One of the central questions posed by Wegner'ok is how the

intellectual 'world talces 'shape to become part of an individual mind and
"racier. This question is located in the broader context of such issues as:
the place of intellectual activity among human goods; the combination of
research and democracy '(service) 'in forming the meJem university!s
"functional architecture of the intellectbalworle; and the meaning and
substanCe of the' "intellectual world." Met addressing _these' issues,
Wegener responds to his initial question, and this response is, in cffect, 'a
phi loSophy of higher education thafconsiders such issues as the proper aims,
Methods, and content of university instruction.
Wegner emphasizes the importance of individual habits of mind among -
institutional habits. He wishes to rethink the institutionalization of knowinfrii
particularly its consequences for the organization of indA'idual per-'
sonalities; the activities defined by iRe, institutional. structunng of know-
ledge, and the personal goods andevils promoted through this structuring.
Wegener's concludes that the organization of our intFllectual institutions
may not be well adapted to tie development Of what he believesiS 'the
distinguishing feature of the intellectual process of the liberal,;art.s--en:'
couragement and prizing of a . . habit of reflection as an integral part of

the lice of the mind." Not subject matter and itS departmental reitiptons,
hot techniques and methods or their research .reifications,- but rather, the
"disciplined habits of thoughtful functioning" constitute the liberal arts as
well as the intellectual, world. Such reflection is oCcasioeed by many
contexts and many purposes. However, the central value of a liberal educa-
tion is not simply i>ts provision of occasions for such reflection, but rather its
*
354

e*
 AIMS AND PURPOSES OF HIGHER EDUCATION- 1 1;2.2
OSPECTS FOR LIBERAL AND GENERAL EDUCATION

. dedication, to the task of stabilizing the attitude or habit of:reflection. It is in

and through these habits of disciplined thinking that the intellectual world
takes shape in the individual mind, klot merely as a cognitive acquisition but
as the culture of the mind, its ethos.

11:2.2/74
General Education: The Search for a Rationale, Harry. Broudy,
50 pp. (Phi Delta Kappa Educational FoUnd4tion, Bloomington,
Ind.)
Harry Broudy notes thi,cultural pluralism and stress on the develop-
. ment of technical and professional competence in our achievement-ofiented
and technologically developed society halei destroyed the traditional
rationale for general-studies in -secondary -and collegiate =education. 3)16
rationale rested on social class assumptions. Since general education was
valued positively in the education of childreri of the elite, it was valued aIso
by others who sought advancement in social status for their children.
4 With the dissolution of this extria-educational justification for general
education, a rationale based o4 the life-uses ofschooling is required. Broudy
posits that the search for life-uses of schooling must extend to vocation,
citizenship, and the individual pursuit of happiness. He pre;ents a four-fold
typology of the uses of schooling. The first use is replicative.:This consists
in subsequent recall of school !earnings much as they were first learned. The
second use is associative. In this use, astore of images and ideas from the
-subconscious cellars -of memory are evoked by a situation to enrich our
experience of it. The third use proudy terrnsvPlicative. This requires the
use of .previous !earnings-in making decisions about practical problOms. The
fourth use is interpretive. This in volvesthe use of previous learning better
to understand life situations aughey are confronted.
Broudy argues that it is in the associative And interpretive uses of
schooling that the justification of general education-L:in the sciences, the
humanities, and the artslies. Broudy's rations:, for general education
extends to associative and inteipretive uses of schooling in vocational life.
the life of citizenship, and in persOnal self-cultivation. But it is in the service
of personal: self-cultivation that general educattn becomeS an important
moral enterprise. "It may well be Mat in the tightly organized, technologi-
cally interdependent web we live in this (general education) may be the last
avenue of escape into individuality and freedom."

1,1/2.2/73
Content and Context: Essays on College Education, Carl Keysen,
ed. , 565 pp. (McGraw-Hill Book Co., New York).
Of the Many collections of essays about college euucation publishedinp,4
the sixties and seventies, this volume stands out as one of the best. The editor

355

38'8.
 .
.
11 PHILOSOPHY OF HIGI IER EDUCATION
o . .

states in The introduction that the work was originally conceived as an

nomination of what a college student does and should rearn in the name of a
liberal education. This'conceptkn was later expanded to include not only the
content of a liberal education but its context as well, i.e., the institutioilal,-
#1,

X social, and intellectual forces affecting and shaping the undergraduate

curriculum. As is ,the case with many other "publications that are not
specifically br narrowly philosphical th intention and ircution, the essays
in'this volume raise questions that often merge intopliilosophical inquiries
about the aims, methods, and content of liberal cdixat ion,
The volume includes essays that treat the history of ,the American
undergraduate curriculum. (Lausence Veysey), the humanities (Roger
Shattuck), thaTocial sciences (Neil J. Smelser), science (Paul Doty and
Dorothy Zinberg), and the arts in higher:education (James S. Ackerman).
Others-are concefne with the-professions (Everett Hughes); information
technologies (Anth6ny G, Oettinger and Nikki Zap61), and society's'..
dejnands on the university (James.S. Coleman).
The essays by,Noonan Birnbaum and 'David Hawkins are.conCerried.:
with certain philosophical issues associated with the u,ni'versity.'In 0.Stu-1
dents, Professors and Philosopher Kings," Birnbaum considers the. social .1
uses and abuses, of university-generated knowledge and ides. Although his
chapter is a"not a treatise on the thebry of knowledge," it.does Consider
cluestions that "cannot bk. left on philosophers itone''.(a useful reminder that
professionalphilosophers do not own philosophical. disCOurse). Following
his discussion of such topics as the partisanship of the university, the
differences between the liberal and the technocratic university, and the idea
of an educated public, Birnbaum concludes that the 'university must raise
society's consciousness of itself_This shoUld be done Slot by abandoning its
tommitmentlo "high culture" in favor of a mass-culture, a popular culture,
or a counter- culture; but 'by benefiting from this culture's commitment to
'knowledge and a moral conception of its uses.
Inhis essaz, "Libeial Education: A Modest Polemic," David Hawkins
presents the thesis that the missing component in all AevelS of formal
education is an interrelating of practical work and academic study., Both
drawing ore and criticizing the philosophy of John=bewey, HaWtins argues
that only in the "working economy, of the lives of young people" can "the
content of an education come to a tin-manly ;igilificant fulfillment. This is
not a new idea. Hawkins draws out some of its underlying philosophical
presuppositions, most importantly, the relationship between knowledge and
adion. He proposes not. a "vocational educaticia," but rather a liberal
education more generally rooted in a "practical-perceptual matrix," one
capable of recognizing when it is and is not desirable to link the liberal and
the practical. Epistemologically, 'knowledge and practice '...annot be
fused into a seamless fabric," Nit, pedagogically, students must be en-
couraged to move back and forth between.the two realmS.'

.356

38
 AIMS AND PURPOSES 04 EDUCA;:16N-L 4 ."
..pKOSPECTS fOR LIBERAL. AND GENERALEDUCATIliN,

11:2:2/71. ~
,Predicament., o1 the Univeriity, Henry David Aiken, 404 HA
ndiana University PresS, r
David Aikiln's. work is one 'of the most .distinctive, important, and
radical philosophical discusstops of higliereclucation published in the
'seventies. .At least one reason ,for its distinctiveness-is its first section, 'On
Going,to.Brandeis." In -it,' Aikertaisks himself and the reader"... was there.
:any ,point in.my going to,.Brandeis?" The'answer is Pang of the book, and in
it 'We come to set "loiy,:...:rthp answer is nota purely' personal one.' Yet,
there is. much here that is personal--;his unhappiness with Harvard's failure
.
to extend general education into the graduate and proleisional schools; his
° -despair with Harvard's*" ptevailing.and spiritually desiccating rationalism";'
his delight .with,.the.eniptrAis on. the -"Creative arts'. at Brandeis; and his
01eaiti.'With..:thafiriStitution'S-libility to bring into meaningful relation a
/setnse of the past and,' an awareness Of ,contemwrary life. "Going to
BMW:leis'. is thus a metaphor for all of. higher educaticn, a metaphor of its
. search for amore generous'and liberating philosophical foundation. For this ,
s.7.4
reason, Aiken says he is still "going to Brandeis."
The.trOOk's importance derives from the superior quality of philoso-
thitking that ranges over issues and problems of higher education. In '
the second. part of.the book, "The University in Crilis: Some Commenter-
Aiken carefully examines the views of such people as Clark Kerr (The
Useli.;of the University): -James A. Perkins (The University in Transition),
JenCks. and ..Itiesman. (Thi. Academi Revolution), and Sideny Hook
Academie- Freedom and- Academic,-Anarchy).--Particularly penetrating- is
Aiken's analysis of Daniel Bells The Reforming of General Education: The
Columbia college Experience in its National Setting-(Nelk York: Columbia
UniverSity Press,- 1966). Aiken sharply criticizes Bar% emphasis oil what
. the latter calls' the "centrality of method," i.e., methods, of inquiry. In
Aiken's view, Bell's faiscinatioiwith methodologies 'prohibits him from
seeing the deeper meaning of integration or interdisciplinary study. The .'
value of Much study lies not in connections between the concepts and
methods of disciplines. but rather in the ' ...wisdom that mr/5, be in the study
or such connections." The student wants to know what such 'connections
"portend as forms of life."
The radical nature of the book derives from Aiken's insistent attack.on
hat he calls ,he "ideOlogy of rationalisni," the view that only those forms
of intelligence that culminate in-the achievements of the formal' and natural
sciences are true'exemplars of reason. Ttis ideology pervades and colors
many discussions of the purposes 'of higher education, Bell:szmphasis on
cenlexts of inquiry rather than experienced realms (*meaning and being is
an outstanding example. l'he 'ideology of rationalism, with its talk about
"strategies of inquiry" apd "methods of 'knowledge," contributes to what
Aiken calls the "religton of search" that pervades the university not only as
.3
357
4
30
 9

' OB.

.01) Hy Ot: RiGigER EinicATIoN

. ;

a practiee alAo as an attitude toward reason atd die Iite,ot' the mind.
Aiken.copNnds that the rationalism !if higher cdueati:n harrows the proper
range of knowledge and reason, blitaliq us to the possibility that there may
be more to the. of the mind than the idea of kndivledge atdeouaKly
compreivids," ,...

.
'1'

3.0 ORGANIZATION AND GOVERNANCE OF',

HIGHER Er/MATRA: . L. .
3.1 The Educational System and tts Cortrol -

11:3.1 /80
.

Predicting the Behavior of the Educational System, Thonias F.

Green,00_011. ,(Syracuse University Pow, _Syracuse, N.Y .

. Thistighly original work does not deal descriptively-With the titaties of

'legally or tratlitionally prescribed structures of educational organization.
Rather its analysis is dynamic, exp'ileating the implicit rules that govern the
behaVior of the educational system 'the. analysis seeks to provide a formal
basis for predicting the effejits of interventions into the system and, as such,
it is designed to inform and/guide processes of educational policymaking.
The author does not begin with a definition of 'the "educational
system." The definition is the outcome rather than tile beginning of
philolsophical researeb. He begins with the rertrents of the term in common
discourse: a sek of schools and colleges, rehired by a medium of exchange,
and arrangeti by somo'principles of sequence. .

His method of investigation is thwagfxractical rationality, in which the

'relation between the premises of a Kai lid argument-and the conclusion (an
action) that. follows_ from it is one, of -inference rattp..er than causality. He
-Makes-clear that his aim is- to develop -a-theory of the educational- syStem
tather than a theory of education, and he claips that' his treatment ifdeviiid
of educational or Social criticism of the existing educational system. .

The primary elements of the educational system have already been

noted. GreenWentifies 'the derivative properties of the system as size,
contror,-and. distribution: He- analyzes eight modes of expansion. (and
presumably of contraction) and discusses their interrelationships. He
identifies and asays four sets orintorests' that are related to control of.the
systemstate interest, parental- interests,,so cietal interests. and interests' (if -
incumbents 'in the system-i7and he discusses th. interrelationships between
educational goals and interests. An educational syynni is both distributive
and productive. It accompltshes a distribution of resources within the.
system, a distribution of noneducational benefits resulting from the system,
and some presumed, distribution, of educationally relevant attributes in the
i
population serve by the system.
Proceeding from his analysis( of primary efements and derivative
properties of the systein, Green moves to a treatment of hierarchical
. 358

9.1
 -ORGANIZATION AND GOVERNANCE OF HIGHER EDI 'CATION 1113.1
.
THE fil)1.1CA6)NAI. SYSTkM ArID ITS CONTROL
principles.as they operate within the system, to a formulation of systematic
rules of growth, to the dialectic between thetwo principles Of "Iva': and
"equal," and to arguments concerning public and private benefits frorn the
operation of educational sygfems..
IL is impossible to Suminari2.e briefly the rich, ingenious; and closely
teasoned arguments that each. 6f these extensions of the analysis of the
distinctive dynamics of the educlilipnal sltste.m incorp9rates: But-it is fair to
state :that this worts provides a previciftsly unavailable formal basis. for
. realistic tomfulationk of* polieio for the guidance and alteration of any
.

educationalisystem..

.
---.See:-26:4.-I in_Sharing Authoritylthectively Kenneth P..,Mortimer and_
T.R.;,McConnell.
Mortimer and McConnell recognize; dial events:during the 1970's.
precipitated a erisisf authority in institutions eft' higher education throUgh-
out the nation. The roots of this crisis were no doubt present in the 1960's
and earlier. Hu4 its depth was concealed by the prosperity that marked the
financing of higher educatiOn during the 14AO's and 1960's. Thi prosperity
was due to expanding enrollments and the relatively ready availability. of ;
funds through governmental and industrial grants, contracts, and subven-
tions..Mortiiner and McConnell's attempt to clarify the crisis is evident in
conflicting claims by various constituent populations (faculty, students,
. nonacadeiniC employees,: administrator;, and trUsfees) within the institution
for a different degtee of influence in decisionmaking than they now exercise.
.147.kternally. thecrisis manifests itself in ploreperemptory interventions by4_
'governments in university affairs, which reducethe policymaking autonomy
of the institution. ---- --- ; t-
The author.ss. akin to clarity authority relations centers on two main
a
'tholes. The first has tai do with appropriate distribution of authority and
involves. the analysis of such questions as: Now adequate are existing
conceptions nd practices Of shared authority for effective academic
governance. -How; reconcilable- -are the 'clams -of forin-bureaucratic _

authority , (authority of rules and positiiin), emphasried widely by

if
administrators and trustees, and lose
,.
of profession. fulictional authority
(authority of experlise), held wi elyt-tfaculty mein rs? What do altema- .

live deCisiorimaking structures, such as acuity senates and faeultyonions,

t
imply for sharing in academic governance'?
Thc:.'seond iiiiijor theine concerns fite- legitittacy of various rlalms fbr
sharing in institutionat governance. Which groups. and individuals Lye a
legitimate claim for, participation in acadeinic decisions? How far should':
.
academic governance rely on systems of executive discretion, and how far
4 On code fled, rules and procedures, for 194intaining legitimacy'? What degree
of openness IS desirable and necessary for legitimate decisionmaking
`
359
. .

39 2
f
 I PHILOSOPHY OF HIGHER ATION

reconcilable ernment interventions nu° institutional peration with a

. d&raj? -degree of institutional autonomy?
authors offer no general answers to the questions raise and analyzed,
though, they do offer some conditional recommendations. This lick of
general answers is based in prt on the authors' belief that effetitive solutions
should be !'situation specific." taking it<account the distinct ve,traditions,
mission, and contexts of partitular institutions.

11:3.1/70 °
i

"Authority in Educ ' Kenneth D. Benne, Hatird Educa-

tional Review, vol. 40, no. 3,-pp. 385-410. .
.
In: this article, Benne seeks to. clarify the meanini_o(authority in_
. .- , .
e4uCation and to recommended changes in educational authority itlation-
,

.......,- ships required by the contradictions between* the accelerating social .

interdependence and giowing fragmentation of conflicting group interests
that characterize contemporary society. He finds mistaken notions in much
commonsense thinking about authority-7-a confusion of authority with
power and a belief that authority is necessarily conservative rather than
"prrgres;ive" in its effects. Social and political sciences provide little or no
basis fob, correcting:mistaken popular beliefs. And moral philosophefs, in
their prevalent individualistic orientation, have tended to neglect authority;
opposing it both to' rationality and to freedom. .
Benne's own conception, of authority is that of a triadic nilationship
between subjects who cannot meet their needs without outside help, bearers
who claim the capacity to help subjects meet their needs and who receive
willing obedience from subjects iffetUm, and a field of conduct, delimited
by the intersection of subjects' needs-and bearers' compete ces, in which
any given authority operates. He identifies three types of au ority relation-
ships.--r-evert authority, the authority of rules, anvil .'nthropugogical
authority.' l3enne uses the term' "anthropogogicar rather than
-"pedagogical" to emphasize that, in our changing society, educatiotr and
reeducation are required by persons of all ages, not just by children:
The bearerktof anthropogogical authority is a community in which..
subjects are seeking to develop fuller, and mdre mature membership.
Teachers, counselors, and administrators'as proximate bearers .of educa-
tional autheiritt are vicars of this wider human community,
The decline of-tradition-directed community' both inside and outside
educational institutions signifies the 'eclipse of traditional: atithorities and
requires the deliberate building and rebuilding of learning communities as a
necessary condition both of authority .and of reeedcm in contemporary
educational relationships. The restoration of commwiity regales a' future
(instead of a past) orientation in education dec:monmaking and continuing
nzgotiation and renegotiation of mutually acceptable authority relations

360 '

1..
 4
oRGANIZATIOg AND GOVERNANCE OF HIGHER EDUCATION.
ACADEMIC FREEDOM: THE RIGHTS OF
TEACHERS AND STUDENTS

across various lines Of conflicting group interests, including the conflictiv

interests of younger and older persons.

3.2 Academic Freedom: The Rights of Teachers and Students

1 t:3.2770
AcadeMic Freedom and Academic Anarchy, Sidney Hook; 269
pp (Cowles Book Co., New York).
Sidney Hook was appalled by' the.threats of student, activists sin the
I 96p's to the maintenance, even the survival, of universities with a
commitment to academic freedom. His method and style are. polemical,
ecottnting the actions and refuting the arguments of student leaders like
:Om Hayden and Mark Rudd. His polemic extends to faculty members like
Herbert'Marcuse and Carl Schorske, who condoned the methods of student
activists, including their use of violence.. And he includes in his criticisms
what he regards as appeasement of protesting students by college and
university administrators like James 'Perkins and Harris Wofford.
These voices may be seen by many readers as superseded in the
subsidence of student activism in American. colleges and universities in the
!ILO's. But methods of confrontation and th4resentatiqn of "unnegotiable
demands" to institutions of higher education to adopt/politically partisan
commitments are not dead and may rise to a crescendo again, thoigh future
den ands may coTe from both politicreaciionaries and from radicals of the
left. So Hook's polemical analyses And critiques, although focused on a
historical case, are wortporidering today.
Hook begins his analysis of academic freedom with the Slogans with
.Which it was advanced and justified in Germany in the nineteenth century,
lehrfreiheit (freedom to teach) and lernfreiheit (freedom to learn). He notes-
thatireedom to teach made headway in American collegesalmd universities
through the late 19411 century and the first half of the 20th century. Freedom
to learn was not ta'cen seriously in American until the 1960's.
For Hook, freedom to teach is the freed6in of professionally qualified
persons to inquire, discover, publish, and instruct in *truth as they see it in
the field of their competence. It is subject to no control eat ept the control of
the rational methods by which truths are ought and established in their
disciplines. Hook makes clear that freedOnloo teach is not a human right,
possessed by all human persons, but in earned right. He also emphasizes
that academic freedom incligleSIthe right to heresy, as well as the right to
state and defend traditional views. 4 r
Freedom lo leArn,Hook does regard as a human rather thah an earned
right. In Universiticircles, Hook translates student rights into two classess
social and educational. Students should control their own social life through
their own organizations, though specific student actions in this area should
be subject to veto by the faculty, who are for him the guardians of the
361,

394
 1-1 PHILOSOPHY OITHIGHER.EWCATIQN

educational mission of the university. Students should posses the right to

dissent, though the permisSible limits of dissent should be defined by the
faculty. And although students should be consulted in educational matters,
their rights do not extend to decisions on major issues of educational policy
and practice.

11:3.2/69
`Dimensions of Academic Freedom, Walter Metzger, Sanford,
Kadish, Arthur be Bprdelben and Edward Bloustein,.121 pp. (Uni-
versity of Illinois Press, Urbana).
Walter etzger.. "Academic Freedom in Delocalized "Academic
.
..
Institutions," reaffirms the essential Nalueidf kadeinic freedom..to ,the 'a
= modern university ;et he is colicerned..with identifying changes, in, the
, forces and conditions that, place academic freedom in peril nowAS'against
the threats evident in 1915 when the classic "General Report on Academic
Freedom and Tenure" was formulated for the newly founded Amerian
As'sMatior. of University ProfessOrs. Changes in imperiling conditions and
Forces require changes in norms and strategies designed to offset the threats.
In the classic formulation, the threats were seen as coming from within
the "localized", universitydissident professors were the . lams, trustees
and administrators were the culprits, loss of employment was the wound.
While vigilance toward such threats is still needed, universities have now
been delocalized. The college or university has lost much. of its local
independence and become a public utility. Control of admissions, of student
disciplines, of, what is to be researched,'of what specialists are to be trained,
and, in some cases, of what is to be published and what kept secret has
passed outside the university and is now lodged in government. The
"delocalized" university needs strategic defenses against threats to its
academic integrity. Metzger offers no formula Tor protecting autonomy for
the unWersity, but he does recommend widely shared powerin the university
to strengthen internal defenses and universities, apandonmeht of political
'neutrality on- issues where institutional integrity is at stake.
Sanford Kadish considers The Strike and the Professoriat." He
argues that the professoriat has become a service profession and, on this
basis, the idea of a community of Plofessional scholars still has meaning. He
believes that tie important valuesire imperiled by the use of the econom-
ically motivated strike: the 'service ideal; the moral basis of professional
claims; the commitment to shared .and cooperative deeisiontnaking; the
commitment to reason; and the pursuit of distinetion.. Yet he recognizes
extreme cases in which a strikepythe professoriat is the lesser of two evils.
These cases include strikes motivated by economics and "academic
interest" and "politics."
Arthur De Bardeleben, in analyzing "The University's External Con-
stituency," argues that the principal external attacks on the freedom of
362

J9"
 EDUCATIONAL POLICY/ 11:4.0

professors to teach, research, and publish are made in)de namof economic
conformity, religious orthodky and convention morality. He discusses
,t../"bufwarks against such attacks and finds the pripeipal defense in unremitting
efforts by boards of trustees and faculties to(ducate the public concerning
the indispensable value of academic free4cfm.
Edward Bloustein, in "The New. tudent and His Role in American
Colleges," argues that a fundamental erosion of internal authority, of cot-
legeg and universities has been taking place over a considerable time. In the
classical American college, the student's relationship to the college was a
contractual one, the contract being, in legal terms, of a third-party
beneficiary sort. The collegestood in loco parentis to the student. Erosion of
this passive role for students has. been effected by the expansion and
transformation of the body of knowledge the university transmits, the
of is- called- upon to
peifortn, and the emergence ola new student. Bloustein argues that the,
fundamental issues at stake are who shall exercise 'ultimate control-over the,
academic' institution and whose goals and values the University and college
shall serge. Student's, he argues, must participate .responsibly in the 'settle-
ment of both sets of issues.

4,0 ,EDUCATIONAL POLICY

s
11:4.0/78
Ethics and Educational Policy, Kenneth A. Strike and Karan Egan,
eds. 225 -pp, (Routledge and Kegan Boston London, apci
Itenley).
-\This book consists Of 11 esSays that philosophically treat the conceptual
and normative aspects of topics related to educational policy. The essays are
grouped in five parts that indicate, in a general way, the areas of policy into
which the authors ventyre: ( I) liberality and the university: (2) students'
rights; (3) autonomy, freedom, and schooling;.(4) equality and pluralisrn;
and (5) technology and work. .

In the first part, k.s. Peters, in an essay. on "Ambiguities in Liberal

Education and the Probkm of Its Content,',' distinguishes three quite dif-
. ferent meanings to which the term "liberal education's itas been attached
knowledge for its own sake, general or rounded edUcation, and the education
of free men and womenand he-explores some of the ambiguities inherent
in each usage. Kenneth A. Strike, in his discussion of "Liberality,
Neutrality and the Modern University, focuses ,orrtlie possibility of ti

neutrality in university education. He finds _impartial neutrality possible to ,

'maintain in the univer'sity's researchand -teaching functions-but impo.lsible,
to maintain in its social service: functions. In an essay on "Student Academic
freedom and the Changing Student/University Relationships, Romulo F.
Magsirlo notes that the application of academic freedom to students is quite
363

39,6
 i "
PHILOSOPHY OF NIGHER EDUCATION

new to the American scene, and its meaning currently is far far from clear.
-,.
He distingUishes two baks for justifying students' rights '--1-one legal, an
extension of the citizen's rights of students to their lives in and around the
university, and the other educational, stemming from the learning mission of.'
the university as an educational institution. His own recommendation is
inconclusive but illuminating with respect to criteria to be applied in
defining academic freedom for students. ' .

In the, second pan, Francis Sckag, in discussing "From Childhood to

Adulthood: Assigning Rights and Responsibilities," relates the question of
students' rights to the concept of "personal maturity. He.proposes,creation
of a new legal status for young people between:minority and maturity.
It
Leonard Krime an, in discussing "Compulsory Education," criticizes
compulsory
____
edu tion as immoral. in. violating the rights_topersonhood DU_ __ ..

children and young people. He defends voluntary education as both morally

rig and piactically feasible.
In the third part, Brian Crittenden, in "Autonomy As an Aim of
Education," criticizes "individual autonomy," often regarded "11...as. a
fundamental value in educational theory'and practice," He discusses the
relationship between 'autonomy as frequently defined and an "anarchistic
epistemology," and finds it self-defeating as an aim of liberal education.
David Nyberg,. in "Ambiguity and Constraint in the 'Freedom of.Free
Schools,' exposes difficulties in the idea of "freedom" in failures to
Specify theconstrainisto which it is opposed. His concludes that "... there is
. no general issue of freedom but issues of particular freedoms."
lip the fourth part, Richaid Pratte, "Cultural Diversity and:Education,"
evaluates allegations, of the emergance of a "new ethnicity" in AmeriCa--
ariethnicitY that has been enlarged to include racial and sexual differences--
and he- evaluates its-meanings-for education policy: -Robert Ennis seeks-to
give clearer meaning to the concept of "Equality of Educational
Opportunity." .
,
.

And in the fifth part, Harry-Broti4, Jul discussing "Technology and

Educational Values," assays the possibilities of tic education in our
.technologically developed- society He finds such educatio 'ble if -the
value of self-cultivation is not lost among the blandishments of a techno
that builds rationality into a systemol mass production but does not require a
high order of rationality in the consumption of its fruits. Thonias Green, in
treating "Career Education and the Pathologies of Work," finds that the
movement of career education is a promising one, as long as important
distinctions between "work" and "labor" and between "job". and
"career' are understood, and respected, But he finds that redemption of the
life of work will require the restructuring of employing institutions, as well
as career education in schools and colleges. ,

364

39?
4
 ,EXPERIENTIAL LEARNING 11:5.0

5,0 EXPERIENTIAL LEARNING

11:5:0/60
"Reconstructive' Query: Dewey, Bucher and Merle,au-Ponty As
Guides to an Expistemology of Experiential Learning," Richard
Lee Hopkins. 271 pp. (Ed.D. dissertatiot1, BostoR University).
Rictard Hopkins, finds that,' although the "experiential .learning
move,nent" is accelerating in American higher education, it is 4nified
by any explicit theory of what is known throtigh expecience and' hoW the
knowing was attained bythe learners. Whatever unity the movement has
does not derive as much from a considered philosophy, of experiential
learning as from a political philosophy., 'that would widen access to the
extra-educational benefits of higher education and from a Set of adminis
trative practiees-for-credentializing nonacademic-Teaming for. acadeniic use:
The author's purpose is to develop such a philosophy and to note some of its
pedagogical implications. -

Hopkins draws heavily on the treatments of experience by Dewey,

Buehler, and Merleau-Ponty in de) eloping his own theory of how, learning
happens. His method of philosophical analysis is phenomenological. His
theory envisions a hypothetical "learner-in-the-world" who moves,
a cycle of "reconstructive query." The cycle has four stages: entry-and-
passage; development and ,ffiovelnent; evolution; and production. The
learner moves freely yet methodically, using experience as- a means of
cumulative access to further experience. The production stage includes the
expressive-communication-of products-of judgment and their articulation
with sedimented past experiences; Each closure is not an ending but the
opening of a new field along-the stream of experience. The ultimate goal of
experiential learning is to assist learners to learn the habit of learning
autonomoosly. The proximate goal is meaning, not fixed or predetermined
truth. Experiential learning, as Hopkins envisions it, is a way of life,
"audacious, socially marginal, risky ... but nonetheless available for those
who would live in responsible freedom." Mentors, teachers, or groups may
help learners to negotiate the stages of learning, supporting !Tiers in their
doubts, preventing premature closures, and sustaining them in the self-
understanding that is an important'product of experiential learning.

See: 34:5.0/76 Experiential Learning: Rationale, Characteristics, and

Assessment, Morris T. Keeton and Associates.
'this book is a "distillation" of papers commissidned by the Coopera-
tive Assessment of Experiential Learning (CAEL) Five of the 13 papers may
be seen as contributions to a philosophy bfeexperiential learning as part of
higher education. As Morris Keeton notes in his preface, "This book is a set
of independent' interpretations rather than a prescriptive credo. Each contri-
365--

398
 Pi.m.osoPHY oi: HRH tER Fota~AlloN

tutor has ,wriften in his or her. own style and in a fashion that seemed ,

appropriate tbAhe topic.' What unites the- five authors in their somewhat
diverse approacfies is a conviction that traditional modes of learning tend t
leave a wide' gap between what studdnts typically learn and the learnin Ye

required by society, Most of the authors also Itpld two other convictions: t at
"experiential learning," however defined, ca7rhelp to narrowihis trap. and
that students who come to college after a period of Work and civic experience
outside. kchool should beeeredited by Colleges for their nyseholastic
learict ngs.
Keeton, in his. "Credentials for a Learning Socie ," attempts a 411
futuristic,look at the kinds of "educational paSSprirtsndviduals will need
to facilitate access to freely chosen educational oppatinities, whatever their
--age-or social status. He,delipes. "experiential -learning" learning-,as -it
occurs' mWde classrooms. is convinced that classrooms cannot bear
the tiurden of providing all the experiences essential to almost efficient or
the highest quality education alone and, that present poliCies of educational
credsntialing trannot serve the whole range of needs essential. to our
=

interdependent and credentialing society.

Alan Gartner, "Credentialing the Disenfranchised," defends those
wt.i are promoting the expansion of experiential learning with the convic-
tion that it provides a mode of learning more amenable to therealitiesof the
dives of those who have been excluded froM tl traditional mode." He
argues-!' against assessment, procedures that. seek in experiential learning
functional -equivalents" --to-learning achieved by traditionalmodes of
instruction. This search Gartner says,- assumes that traditional modes of
learning are superior-to learning achieved through experience. He finds in
the:expansion and acceptant t of the legitimacy. of experiential tleariling an
antidote to the elitigmthat traditionally has characterized higher education.
Melvin Tutninin"Valid and Invalid Rationales;" accepts the infusion
---Orriiiire experiential learning into processes of edUcation as important for
improved education. His contrast between nonexperiential and experiential
learn ifigSls between more or less abstract, and more or less linguistic, sets of
symbols employed in teaching-leafing transactions: He -argues that: the
expectation that the use of more experiential learning will narrow the
opportunity gar between, advantaged and disadvantaged person' and groups
in our society' is a dubious one.
JameS Coleman. in Di fferenco Between Experiential and Classroom
Learning," distinguishes between "information assimilation" (the typical
classroom mode of instnmetion, which moves bon) generalizations com-
municated by a symbolic medium to application and, action) and
"experiential learning" (Which moves litni self-chosen actions through
reflection to 'generalization). He argues that each has its place in higher
education, and he aRempts anranalysis olthe strengths and weaknesses of
each.

366

.
39 3
1
 LIFELONG LEARNING AND CONTINUING EDUCATION 11.0.0

Arthur Chickering in."Developmental Change As a Major Outcome"

,builds.4 case for at) cxpansign of experiential learning in higher education'
using an analysis of current and recentresearch and theory concerning adult
development and cognitive s(yles of learning. In brief, he argues that
traditioniil.college instruction builds on and reenforces personal immaturity
and that experiential learning can be used to fosterffiaturity (in judgment and
feeling, as well a§, in cognit*), in the personal development ontudents.

6.0 LIFELONG LEARNING AND

CONTINUING EDUCATION

,11:6.0/80
Philosophical Foundations of Adult Education, John L. Elias and
Sharan Merriam, 212 pp. (Krieger Publishing Co., Huntington,
N.Y.).
'Elias and Merriam have written the first book-length account and
analysis of the wide range of rationales for.cOntinuing education Currently
advocated and exemplified in the United States. They classify ths work, of
those who have dealt "philosophically'. with continuing education in six
categories.
The first category is liberal adult education. It rests on rationalistic
assumptions and stresses the development of intellectual capacities and
owers.` Tficroots of this philosophy are in Plato, Aristotle, and the
medieval schooh4;,,contemporary exponents are Mortimer Adler,.Robert
Hu_ tchins_ , Jacques Maritain, and Mark VanDoren.
The second category is progressive adult education, which is com-
mitted to the development of social intelligence and the enhancement .of
intelligent human control over contemporary life conditions and events. The
progenitors of this position are identified as William James, John Dewey,
and William H. Kilpatrick Contemporary theorizings by Benne, Bergevin.
Blakely, and Lindeman are'placed in this categm
Behaviorist adult education stems from the thought of psychologists
who interpret learning as environmental conditioningE.L. Thorndike, J.
B. Watson, and B.F. Skinner, for example. 'Contemporary programs in
continuing education that employ behavior modification, management by
objectives, and programmed learning are classified as behavibrist.
The viewpoint that animates humanistic adult education draws on
existential philosophy. and humanistic psychok gy. Its emphasis is on
individual freedom and autonomy, and its favored method is self-directed
learning. Philosophical forebears of this viewpoint are Heidegger, Marcel,
and Buber, and its psychological assumptions originate in the work of
Maslow, May, Rogers, and Fromm. Knowles and Tough are classified as
humanistic adult educators.
367
 se

ii PHILOSOPHY OF HIGHER EDUCATION'

o

The authprs' fifth category is radical adult education, the world view of
which stems from left-wing Freudian thought and froM. the intellectual
-traditions of Marxism and anarchism. It emphasizes the development of.
political consciousness of contemporary culture to facilitate radical social
change. The authors include the work of George Counts, Theodore
lirameld, Jonathan Kozol, Paul
Paul Goodman, !van Mich, and Paolo Freire in
r Ass
this category.
The sixth, category is the analytic philosophy of adult education; Its
roots are in the post- Wittgenstein British philosophy of ordinary language
analysis, as well as in Scientific positivism. The authors identify Israel
Sheftier, Thomas Green, and, its. Peters as major exponents of analytiC
philosophy of educatiOn, and Lawson and Patterson as its major 41pm
porary advocates. The prAe intellectual virtue for analytic philosophers is
-conceptual clarity.,:
The classification system developed by Elias and Meifiam is open to
criticism. And probably some contempoiary thedrists of continuing educa-
- tion will object to the category to which they are assigned by the authorsvBut
there is value to bringing a generally clear account of various rationales
I
that now guide, programming and practice irr continuing educatio'n into the
scope of a single volume.
O

See: 34:1.0/73-2 Pattern.for Lifelong Learning,Avidore M. Heshurgh,

Paul A. Miller, and Clifton R. Wharton, Jr.
Although this book -shows the ptesidents of three universities as its
authorS, its content grew out of the deliberations of more than 50 educators,
students, and lay leaders from various public and private= institutions,
working on a Variety of committees and task forces. The book was prepared
on the assumption that the United States must become a learning society,
that lifelong learning must come to characterize the lives,of all.citizens of
tomorrow.. .

' = The book offers a critique of three attitudes toward 'education that are
deeply imbedded _in the thinking of:many,. educators and lay parsons:
"young people need format educatiOn whileadults do not"; "education is
the same as schooling"; and "the business Of educators is formal schooling
and they should not be concerned with education that goes on elsewhere."
The persistence of these attitudes has 'led to a hodgepodge `of continuing
education pro&rams under the sponsorship'of business, labor, churches, she
military, correspondence and proprietary:schools, and the 'mass media, not
to mention the miscellany of continuing education offerings in universities,
colleges,, community colleges, and public school systems. These efforts,
which are responses to inescapable and persistent needs in a changing.
socie , tend to remain outside the core of formal education in the academic
world. , <

368

1 401
 LIFELONG LEARNING AND CONTINUING EDUCATION 1 s0.0

This 'book recommends a conciliation and articulation 'between the

conventional core 'of academic education and-continuing educatiOn in its
various forms and guises. The authors recognize that continuing education
in a learning society will Continue under the aegis of various institutions and
agencies. They argue that institutions' of higher education will and should
have an important part io,play in efforts to make lifelong learning a reality for .

all citizens. 'they attempt to trace some of the iffectson the academic world
that will follow frorli its collaboration in a learning society, as such a society,
assumes a more planful shape. The effect' will be internalorr the content
and emphasis of the 'college curriculum, on the aims luid mediods of .
instruction, on the comparative distribution of experiential :learning and
didactic instruction, andon the organizationand management of institutions
of higher education: The effects will also be external - -joint educational
planning between colleges and universities and other institutions with
educational programs, the reduction of credentialism iii uniVersity 'and '
college programs; and the development of novel interuniversity, consortia of
'various sorts. The authors do not attempt to settlithese envisioned problems
but rather 0 raise them into consciousness and clgirify them for continuing' .
public - ,academic deliberation and planning.
,

1,
369
402
 A

Policy and Genet& Reference.

ent Halstead

° This chapter centers on. issues and policy matters in higher

education: This is a crowded field: education is so important to so
many people that nearly every educational endeavor is challenged by ,

multiple interests, Also, education is complex, involving a scope and

depth of activities and functions of exceptional dimensions.
Emanating from isspes and debate, eventually, is policy. Policy
describes the intent and selected course of action and guides day-tO-
day activities. Policy may constitute an operating principle: jtalways
ik
,must accurateand
indicates objectives. in higher educationi policy m
consistently reflect the intent of colleges and universals in fulfilling
their expressed responsibilities for public instruction, research, and
service.
To a large extent, issues and, policy are interwoven in all the
works cited in this bibliography. This general section focuses on the
broad aspeCti of issue study and policy development, citing inde-
pendent works that deal comprehensively with higher education issue
analysii and policy formulation. This section also includes futuristic
'studies and informative and statistical reference, works. All of the
materials are general workscomposite "volumes that deal with
'issues, policy, or referencp information.. More narrowly focused
works, concentrating study in a single policy area, are located under
their respective topics.
Issues and Policy Guidance. The . works in this section are
largely those of commissions and task forces established to identify.
and describe priority educational problems, discuss the issues and
371

403
 12 'POLICY AND GENERAL REFER!-CE A

alternatives, and make suggestiOns and recommendations. in a few

instances, conference proceedings and collected writings share this
global mission. In most general terms, the .continuing .problems in
higher education include the clarification'of 'purpose; preservation
and enhancement of quality .andodiversity, advancement of social
justice; enhanceinent of constructive' change, achievement of more
effective goyernance, and assurance of resources and their effective
use. The works Cited represent the.beit examples of issue and policy
studies among many. Volumes chosen often contain supporting data
and analyses; those rejected appear more editorial than scholarly in,
\approach.,
ComprehensiVe Handbooks. Handbooks, whether prepared by
. , single author or a number of contributors, are compact manuals of,
.
facts and instruction that serve as comprehensive references to be kept
. 'close"at hand for ready, consistent use. They .represent a. distillate of., ....'-----
the best in current practice and proven procedure. Their synthesis'andi
summary of massive amounts of information, save The reader mbc11
time. Unlike the science and engineertfiglilds, where handbOOks
abound, there are few handbooks in higher education; Those available ,

dealznostly with planning ,methodology .and. practice at the institu-

tional level and are included under. topic 31, Institutionai:Planning,,
Studies, and Analyses. For this chapter only a single:Nolume was
found to deal comprehensively with statewide' planning, and no.
comprehensive handboOk was identified for the Federal level.
Change?Trends, and Form*. Recognition of current trends
and perceptive insight into the future are necessary ingredients of
policy formulation and planning: Yet too often We are'guided by past
and immediate conditions and successes, giving inadequate recogni-
tion to the changes taking place and their likely consequences. The
few studies exploring the future of higher education (only five are
cited here) deal as much with recommendations and intentions as with
prophecy and projections. Much more work needs to be done on
extrapolating trends, anticipating change, and. speculating on new
force. The studies cited are limited in this regard, bordering more on
short-term anticipation than futuristic voyagering.
Reference. This subte includes general references of .uni-
versal. Value to the higheret, , n community. As reference works,
the entries arectriprefiensive In scope, condensed in treatment, and
arranged to facilitate. ready access r information. Included are
statistical compilations, projecti40046liographies, and director*.

172
 ISSUES AND POLICY GUIDANCf --GENERAL 1211.1

Agenci* and organizations that provide data and information

services also are listed within this sub-topic.
*
TOPIC ORGANIZATION
12: Policy and General Reference
1.0 ,,Issues\and Policy Guidance
1.I General
1.2 §tate Role
1.3 Federal Role
2.0 Comprehensive Handbooks
.
3.0 Change;"Oends; and Forecasts-
4.0 Reference \\
4.1 Statistickand Information
4.2 Bibliography
4.3 Directory
4.4 Dittiend Igformation Sources and Services .
4

1.0 ISSUES AND POLICY GUIDANCE

1I :General
.
.. .

Seeols9 topic 9: Institutionilsole and Mission and Topic 11: Philosophy

s",
foi011atedPOticy and issuelype studies.
1

12:1.1/814 ' .1
.
The Carnegie Coancil on Policy Studies iufligher Education: A
Summary of RePOrts and Reconsunendations;; Carnegie Council on
.

Policy Studies, 500 pp.,(Jossey4Wir, San Francisco).

The Carnkie Council hiS 'issued findings and recommendation on
every major issue facing college; today, including: the .future of higher
education; survhial without growth; costs and benefits of higher education;
effective management and leadership; improving the curriculum: preserving a
quality; affirmative action for women and minorities; financial aid; fair
pradtices; and student development and career options. The Council's work
constitutes the single most extensive and authoritative source of facts, data,
ideas, analyses., projections, proposals, and suggestions available today for
the iniprovement find well-being of higher edtication.
Most*legOchief executives, administrators, and faculty members are
generally familiarWith the Council's work and use its reports as reference in
resolving issues and deciding on courses of action. llowever the Council's
findingSand recommendations are.contained in over 50 separate publica-
IV

373
 12 POLICY AND GENERAL REFERENCE

t ions, and tew people have the time or resources to study more thana handful
of them. This book responds to that problem by providing a one-volume
summary of all the Council's publications, including the 16 major books
sponsored by the Council and the 28 special studies that Contain, valuable
facts and findings but have had only limited dissemination.
In this four-part book, each Carnegie Council publican(); is digested in
sufficient detail to al)ow readers to grasp the full scope of its contents, as
well as the specific findings and recommendations. In at dition, these digests .
provide: the main facts, data, projections, and other information repoked in
each, study. In Part One, Clark Kerr reeounts the concerns, goals, ap-
. -ProaChes, expectations, and results of the Carnegie studies. tie focuses.
especially on the trends and forces inigheredacation that the Council over-
and underestimated. Part One also provides a classification of the publica-
' 'tions according to major areas,of concernand offers excerpts from outsiders'-
:evaluations of their effectiveness and contributions. Parts Two and Three
contain digests of all Carnegie Council's publications. Part Four provides
supplementary information about the Carnegie members, staff, meetings,
.
and publications.
ee,
In an editorial for Change, George Bonham wrote that the Carnegie
publications "represent an accumulation of knowledge and projections
about the .American academy that can only betermad a national treasure.
Few other private efforts have applied such intelligence and social thought to
a single facet of American life." This volume of findings and recommenda-
tions does justice to this high praise by establishing a single summary of the
Council's work to serve both as a convenient refeience and a contemporary
iiverviemtand perspective on nearly all issues currently facing American
. colleges.'
_

12:1.1/81-2
On Higher Education, David Rierian, 421 pp. (Jossey-Bass; San
Francisco).
. , In On Higher Education, David Riesman, emeritus prolessorOf isocial
sciences at Harvard, examines the changes that have affected and afflicted
higher education since 1968, when he and Christoper Jencks published The
Academic Revolution.
. In the earlier book, the authors discussed how the values of research-
oriented faculty members, organized in academic departments, came to
dominate higher education and, in their view, distort the mission of many
undergriduate programs. They described the "professionalization of teach-
,
g" as the takeover of the universities by Ph.D.'s "whO, despite
conspicuous exceptions, mostly have quite similar ideas ... and now regard
themselves almost as independent profesSionals like doctors or lawyers,
responsible primarily to themselves and their colleagues rather than their
374

406
 ISSUES AND POLICY GUIDANCF: -- GENERAL 112s1.1

emplgyers, and committed to the advancement of knowledge rat er than of

any particular institution." .The authors believed that profes ors were
largely unconcerned with goals or ends except for the goal of finding. a job in
A'. some bureaucratic structure regardless of its ends. With an almPst total
concern with methods CM. 1, er than with meaning or values, these faCulty.
members increasingly solliht to spend their lives chatting with stude is who
elected their courses, simply because they were already interested in the
subject, without m h concern for its relevance to human life, them own
growth...and devel ent, or the social problems of the day.
In this n book Written more than a decade later, Reesman state that
the "'wad is revolution" has confined and an era of "stu ent .

hegemony" has set in. In Iris introduction, Riesman describes some of he

-- -possible results of the growth of student ;consumerism" and warns of so e
negative conseqUencesnot only for institutions, but also for students d .

faculty membersof an era in which "students turn from being suppliean s

for admission to courted customers." He foresees "the . likelihood,
institutions copete frantically wit each other for body counts, that facylt
members and administrators will hesitate to make demands on students in
the form of rigorous academic requirements for fear of losing-.... full-time-f
etiivalent students.:' He suggests that faculty ..motale will turn sharply ,
downward "when market forces dictate changes not only in whole curricula f. 1r

but also in'modes of instruction. " At best, he exmcts "hazards tolhe future .:

of scholarship as many of today'able students seek the apparent safety of

the professions'oflaw,_medicine, °management, rather than _the risks of a
chancy academic scarcer." At worst, heenvisages a "Hobbes' war,of all
against all, as faculty members compete to capture the student market on \
,1
,
which their own reputation or their department's opportunities depend." *ft '1

e
In the first three chaptersteltieiman puts today s educational trends and
cOnditiOns in context. As recently as the late 1960's, faculty were scarce and
to demand, students were grateful for admission, and faculty, thud could.. .

dictate the evence of a college education. Now, however, the situation il

reversed, with a sCardity of students and an 'oversupply of faculty.. Riesman
traces this transformation and shells new light on what has become a virtual
counterrevolution in academic lifewith students choosing among institu-
tions more freely than evei before and increasingly unwilling to subordinate
themselves to faculty and institutional demand.
In the next four chapters, Reesman analyzes' today's edricational
,

dilemmas in detail. He looks at the marketing techniques colleges are using

to attract, beth new and traditional students, at government regulations
seeking to ensure fair recruiting practices, ad at attacks on admissions
testing that could limit students' choice of college instead of protecting their II
rights. 'He singles out two distinctive types of institutionsexplicitly It

religious colleges and community collegesas examples of those most

likely to survive_ with their institutional goals intact.
37t,
 12 POLICY AND GENERAL REFERENCE .

In the final four chapters, 'Riesman tddressfs needed action. He

advocates major improvements in information lor studentsLgeneral
counseli gabout collegexhoice and programs, community college counsel-
ing abu t transfer opportunities, advice to undergraduates about academic
progran s and career possibilitiel, and the establishment of statewide or
'regional computerized edueational inform' ation systems. He shows how
,.
professors can help students become `self;starters" in learning by taking
initiative for their own education. He urges accreditiipagencius to head Off k
1p/eminent' controls by improving their staffs and visiting teams' and by
correcting their oversight of unethical institutional practices. And he
rectkimends expanded 'Federal and state eflons to improve counseling,.
advising, and accreditation, rather than direct regulation of college pro-
cedUres, tobalance the legitimate needs for consumerprotectionotstuden
v. ith the equally legitimate. needs for maintaining insiinilional autonomy.

vi0
12:1.1/81-3 -
ithe Modern .Ameilcan College, Arthur WI CIiickring and As -'
i
sociates, 800 pp. (Jossey-Bass, San Francisco). i ,
This handbook, .which redefines the overall purpose of American
higher education, has broad utility for institutional planners, curriculum-
specailists, pe,licy-makers, program evaluators, and others concerned about '
the mission of today's colleges . and universities. The book' central
Arguments are that human development can meet the need of the modern
American college for a unifying purpose, and that increased understanding ,
of adulVdevelopment and learning will lead to substantive improvements in.._
curriculums and educational practices. To-present his philosophy, Chicker-
..ing hiks-brought- together more than 50 authorities from various -disciplines to
summarize what is known about the nature alZpatterns of adult develop-
m'ent andto spell out the implications of this knowledge for curriculum,
teaching, student services, Adthinistration, and academic governance. -
The book is divided lino three; pans. Pan One provides a synthesis of
basic,- information Aboiit he development -and- learning- of -adultsboth
-
.

trailitional college 'students and thoscoVer 25 years of age. Fourteen chapters

present key concepts and information regarding the life cycle, including the
typical challenges and concerns of each life stage, the patterns of intellectual
. and ego developmentand.the learning problems that students of different
ages face. The 14 chapters are' Ned: "The Life Cycle," "Ego Develop-
mem," "Cognitive and Ethical Growth," "Intelligence," "Moral De-
velopment;" "Humanitarian concern;" "Interpersonal Competence,"
"Capacity for Intimacy," "Professional Preparation," "Learning Styles
4 and Disciplinary Differences," "Women's Educational Needs," "Special
Needs of Blacks and Oar Minorities," "Interests pf.Adult Learners," and
''opportunities for Adult Learners." I
376

408
VW
 f

ISSUES AND POLICY GUIDANCECENERAL 12;1.1.

Part Two details the curricular imPliodtions of the findings on today's

students and their needs, discussing a variety of academic disciplines and
professional programs. For each of 14. fields (English, 0 theater arts,
philosophy ,..history, ',economics, psychology, anthropology, biology for
nonmajors, interdisciplinary studies, business administration, engineering,
education, hunt service, and the helping, professions) two general ques-
tions are4ddressed: /low can the ideas, and inforapation from Part One
ftttther the objectives of this discipline or professional program? How can
discipline or program help students cope with the developmental cnd life-
.
'cycle challenges described in Part Onif
Part Three applies the wealth of ndw knowledge about adults aged 18 to
80 to the. many aspects occollege and university operations. This part
includes 14- chapters titlere:-."Acquisition of Purpose," '.`Instructional /
Methods," "Individualized Education," "Field Experience Education,"
"Mediated Insfruction," "Assessing and Credentialing Prior Experience;"
'Student-Faculty Relationships," "Out-of-Class Activities," "Residential
Learning," "Educational. Advising and Career Planning: A Life-Cycle
Perspective," "Governance," "Administrative Development," "Profes-
sional Development," and "Evaluating Adult Learning and .Program
Costs." Thesehapters demonstrate how specific functions car..be managed
. , to respond to a developmental needs and life-cycle concerns of students, fl
faculty, and staff alike. For example, chapters on institutional operations-
can be used.by administrators andfacutty leaders to ensure that institutional
_policies and practices are appropriate to the students being admitted. The
chapters on residential learning, educational advising, and career planning
are pertinent to the'diverse responsibilities of student affairs officers. And
those on administration, governance, professional development, and
evaluation wily be useful- to administrators in maintaining consistency
among institutional' goals, educatio' practices, and administrative
organization and development.
.

12:1.1/80 .

Three Thousand Futures: The Next Twenty Years for Higher

Education, Carnegie Council on Policy Studies in Higher Education,
439 pp. (Jossey-BasS, San Francisco).
This volume contains the 137-page final report of the CamegieCouncil
on I:Jolley Studies in Higher Education. plus 12 resource supplements on
higher education in the future. In viewing the future with a perception gained
from its more than five-year study of higher education, the Council
provides a view and recommendations that warrant the attention of every
institution concerned with effective survival.
The Council's report first takes a look backward, recalling "some
myths about the 1970's," and projects ''aie fears of some and the hopes of
,

377
409
 0

-12 POLICY AND GENERAL REFERENCE

others" with 1980 as abase point. Iri anticipating the next two dec;dei; the
report analyzes enrollments, identifies options, and proposes courses of
action. In the Council's view, "dtmographic depression" of the next two
decades will lead to declines in undergraduate enrolltnent of from 5'to 15
percent and bring fundaniental changes to many American colleges and
universities. Although the Council does not paint as gloomy a picture of that
depression as some other recent studies have done, it does say that the
problems will be serious enough to threaten the survivalpf some colleges
and the integrity of others: "A nevacademic revolution is upon us. In the
1960's, the revolution consisted of many institutions trying to become
research universities and mostly fulling. In the 1980's and 1990's, it will
take more and more the forme following the long-time example of the
cOmmunitya colleges ip adiutting to t.hz' market,_.and often succeeding_
.

Excellence was the theme. Now it is survival. Institutions were trading up;
now they are tradingdown."
By the yeai'2000, the Couneilsay;eolleges and universities* ill enroll
"more woolen- than men,. as many'people over 21 as 21 and under,, (and)*
nearly as many part-time as full-time attendees." A quarter of all students
will be members of minority groups!,
The enrollment declineihat the Council' t!,.ticipales aver the next 20
years will'affect different types of institutions and,different groups within
institutions in different ways. In addition, the impact will be felt more
strongly in some regions of the Country than in others. The Council suggests
that students will be the big winners and faculty members the big losers: 44
"4tilant'S will be recruited more actively, admitted more readily, retained
more assiduously,coOnseled more attentively, graded more considerately,
financed more adequately, taughimore conscientiously, placed in jobs more
Consistently. 'De curriculum will be more tailored to theit tastes:"
On the otheiliand, the Council says, all faculty members will face
losses in real income, and some will.lose their jobs: "In.2000,there will be'
far more faculty membeis 66 and over there arc faculty memBers 35 and ,..,
younger. An older faculty. is a higher-paid facultyadding to costs; less
resilient in adjusting to new fields thaeconie along; farther"reici4p4 from the
age of the students." 'Y

In general, the Council concludes, next 20 yigiii;w111: be fraught

with problems for higher education, of them aliegi*Visible: "A
downward drift in quality, balance, integ y, dynamism, diversity, private.
initiative, (and) research capability is not only possibleit is quite likely.
4 But it is not required by external events.irfs,E., matter of choice and not just
fate." To help administrators and, faculty leaders determine what must be
done now to ensure survival, the-Council outlines a series of actions'that
', should be undertaken to assess institutional prospects and prepare for the .
future.. The 12 resource supplementscomplete with 135 charts and sup-
porting data in tabular formpresent thefuldings on which the Council's

'378

4 io
 ISSUES AND POLICY GUIDANCECgIERAL 1211.1
s
conclusions and recomme 'octal infor;,--/
mation for Furth& analyses and projections. Both the and
data enable decisionmakers to compare conditions on their ;
with those of similar institutions nationwide, to understand and
major ongoing developments, and to _design individual ,survival strategies
grounded in the best information currently available:

12:1.1/79-I
American _filsber Education in Decline, Kenneth Ashworth,
105 pp. (Texas. A&M University Press, College Station).
Ashworth contends' that there is much thit needs to be put right in
higher education,and he intends that this book "stimulates the dialogue that..
will bring about a rethinking of some of the processes of higher learning."
Logan 'Wilson, in the foreword to the book, shares Ashworth's .view in
stating "that a good many educatorsneed have their complacency Xis;
turbed and that the public at large should be more cognizant of unmistakable
evidences of deterioration." Whether the conditions or trends observed are
as pervasive as suggested' it warrant such 'Warm is debatable. Yet `any
relaxation by colleges and universities of critical' self- appraisal could be
serioqs, and the role of AidtWorth and other observers in demanding
excellence-mist be applauded: .

Die litany of ills is better known than the curesrising egalitarianism

wet ti trend to collectivism resulting in the politicization of institutions and a,.
diminution'of their traditional autonomy; Federal largesse as an inducement
for-change; and institutional competition for students producing such out- .

comes cs relaxed entrance requirements, watered-down courses, and easier

grading tandards and graduation regulations Bureaucratic edicts and court
.

orders set, limits from the outside about who can be admitted, employed,
promoted, or terminated. According to Ashworth, the regional accrediting
.
associations have neglected' their monitoring functions to the point of
countenancing distortion in the institutional labeling of their wares and even
the awarding of diplorp to the unqualified. ,

Ashworth recommends that educitorsand Federal bureaucrats, in order -

to deal with increased federal intervention; become more familiar with their
respective sectors through rotating Assignments, thereby improving
"perspettive, perception, and empathy." He would have the Federaltlov-
emment establish or encourage programs to increase, students' freedom of
choice to attend private rather than public colleges and universities, despite
the higher costs to students. He Warns that even if the new Department of
Edqcation were not to become a full-blown ministry of education, "in time it
, would become well eupugh organized to bxert additional controls over all
higher education."
379

411
 12 POLICY AN; )ENERAL REFERENCE

Ashworth sees the nb-growth' period immediately ahead as an op-.

portunity for better quality control. In his last three chapters, he goes beyond
a diagnoSis of higher education's ills to highlight some prospects and
predictions. He makes suggestions for shaping a system better suited to the
needs of a postindustrial society in what will continue to be a highly
competitive world, and he expresses the hope that higher education will
exercise a role in elevating standards of human achievemept and worth.

12:1.1/79-2
Conflict, Retrenclunent, and Reappraisal: The Adnihdstration of
Higher Education, Clark Kerr, David Riesman, John Hogness, .

-- Harlan Cleveland, and Howard. R. Bowen,'166 pp: (University of

Illinois Press, Urbana- Champaign). .

This.volume presents the first five "David D. Henry Lectures" and

some of the discussion and response following them. The papers are
authored by individuals who are leaders in the practice and in thought about
theopractice of college and university administration.
Although 'administration is .the general subject, the topics presented
represent the separate interests of the lecturers. Clark Kerr speaks of change
and conflict, David R,iesman of quality and retrenchment, John Hogness of
reappraisal, Harlan Cleveland of the requirements of educational leadership,
and Howard Bowen of the new socially impOsed costs of higher education.
As stated by John Corbally in the introduction to this volume, each of the
Henry lectures "expresses a belief that administration and administrators
e can and must make a difference in educational institutions. These lectures
contain strong statementsthe statements of individuals who...find it-
necessary to identify problems and to attack those problems forthrightly and
openly. The statements are not those of individuals who are adrift or afraid."
No annotation can even partially reflect the depth and substance of
these Lectures. The quality can be judged from some favorite quotes. In
paying tribute to Dr. Henry in the first lecture, Clark Kerr recognizes an
ability that could be the essence of administrative leadership: "He has the art
of presenting the one most constructive suggestion at the carefully chosen
4 most appropriate moment, and of advancing it in a fashion that does not
challenge personal opposition." Again, Clark Kerr: 'The management of
conflict requires an anticipation of points of° conflict, the dispersal of
conflicts over time and place so that they do not inflame each other, the
development in advance of agreed upon rules of the game, the incorporation
of all important groups into the political process so that each may have a
stake in a peaceful solution, the creation of mediatory and adjudicative
agencies, and the finding of solutions that are constructive in thelong run."
David Riesman, on maintaining quality graduate education, states: "I
might add that because innovative teaching is so exhausting, state laws or
380
 ISSUES AND POLICY, GUIDANCEGENERAL i
.

g- u7gential regulations which require large rounts of it in terms of formal

contact hours are self-defeating for serious faculty members. Sucq regula-
tions will lead to routinized performance rather than a person giving his or
her arduous best to teaching."
.
Harlan Cleveland, speaking onlhe education of .administrateors fir
higher education, makes-this observation in promoting a global perspective:
"We all know that the only truly ihterdisciplinary instrument is not a
committeeof experts but the synoptic view from a single integrative mind
yet the academic reward systdm often promotes those who remain close to
their starting specialties'4'nd penalize's those who reach out'to find connec,7
tions with,the rest of reality."
In thelast paper, Howard 'Bowen discusses socially imposed costs of
higher education, estimatinC the cost relating to personal security, work .
standards, personal opportunity, participation, public information, and
environmental protection as to lOpercent of total- educational and general
expenditures. Even more important than these costs is his concerto` `that the
proliferation of socially imposed activities and governmentally mandated
programs,represents a threat to the kindof institutional autonomy whichis
the foundation of academic freedom."

12:1.1/79-3. -
Disorders in Higher EduCation, Clarence C. Walton and Frederick
deW. Bolman, eds., 212 - pp. (Prentice-Nall, Englewood Cliffs,
N.J.). 41' \ *t*
Thievolume contains a diverse set of nine papers that were provided as
background reading for the 66,panicipants in the.the American assembly on
"The Integrity of Higher Education: in April 1979. The Papers address the
principal disorders afflicting the moral and intellectual integrity* colleges
and universities. ,
Frederick Bolman discusses the failures of the modeaAmiversity,
viewing internal demoralization as the-chief enemy. He contends that higher
education needs renewed vision, about its function and form in and for
society. Richard E. Anderson state that economic analysis of our colleges
and universities is limited by our inability to assess their input realistically.
This leads to confused 'decisions abouLuse limted resources. &I Kasen
argues for a better bahuiced assessmept of government-university relations.
2 Lloyd H Elliott sees the influence of external groups on our
institutions
as endangering integrity, and he calls for a new dedication to the intellectual
core of higher. education. Richard M. Cyert argues that thecomplex nature
of institutional governance, makes it especially important,,that trustees,
administrators, and faculty understand the institution as a whole. Roy E.
Licklider calls for faculty to have greater responsibility for performance in
teaching and research, and for the institution as a whole.
381
413
t.
 12 POLICY AND GENERAL REFERENCE

" Willard'F. Enteman suggests that widely held stereotypes distort the
perception of students ,and their learning. As' individuals and groups they
have certain rights.and certain limitations too1ong neglectect4The explosion
. IWO/ledge threatens the college curriculum, according to Elizabeth T.
.Kerman, She suggests curriculum reforms based on broad principles, includ-
ing renewed attention to general education. Clarence C. Walton suggests
that universities and colleges have difficulties relating means and ends, and
believes principled reform is badly needed.
.4
12:i1 /79-4
Higher Education and Government, W. Todd Furniss and David P.
Gardner, eds., 14 pp. (American Couneil on Education, Washing-
v,
ton, D.C..)
One of the feW slini volumes 'to-appear these, dys, Higher Education
and Government crowds, the essays of 22 contributors than 150
pages. Their. task is to explore the extent to which the responsibilities of
higher education, and government are now at odds, which responsibilities
each properly cliiins, and how confliet,should be! managed. The' essays
reflect the preniise that, in order to do its jobi.,&college or university needs
the authority to deckle who shall teach, what shill be taught and how, who
will be admitted to and graduate from an- institution, what research will be
done, and how institutional resources will be apportioned.
The authors agree 'on. a number of points; for example, that higher
education, requires. autonomy in -making internal decisions, and that the
-government, representing .4timately the -will of .the people; is within its
rights in demanding accountability of all social institutions. The distinctions
to be. made between control and accountability are ,:of course; crucial; and
these draw the interest and comment of the authors.
The authors perceive some real and present danger in certain trends. In
the words of Robert Rosenzweig: "We are the victims of the least glamorous
and the most characteristic affliction' of modern social policythe unin--
tended consequence." Government's ntentionsto achieve a just and
economically sound society nice essentially those of higher education. 13Ut,
Rosenzweig maintains, the means by which the government pursues its goali
sometimes threaten the fiscal, and educational integrity of institutions of
higher education. "In a few instances when an outright attack on colleges
and universities promised to undermine a fundam erina academic-prerogative
such as the peer review system for decision making,. the threat has been
reasonably easy to turn away by a showing of the adierse implications
associated with such heavy-handed efforts. To mount a defense against
`unintended consequenceS,' however, is a far more difficult and elusive
task, particularly when the intention of the primary action is acceptable, as in
the case of attempts to eliminate discrimination in access to or employment
in,higher education."

4 1 ti
 ISSUES AND POLICY GUIDANCE-GENERAL 1211.1

The 22 essays are organized around interrogative themes such as "WhO

Shall Teach?," Who Decides What to Spend?," and *.*Who ehanipions the .

Institution?," suggesting in each instance both the topic and thecontroversy .

of responsibility' and Control. While many speeific stiggestions are offered
for reducing 'the threat to institutional authonorny, the editors suggest that
"perhaps a greater value for the reader (is) observing good minds avoiding
adversary rhetoric and coming to grips with the inevitable ambiguities that .
arise when our hunian institutions seek new and lofty goals."

See X2:2.0/77, Leadership for'Higher Education:-The Campus View,

Roger W. Heyns, ed.
This volume presents papers of campus leaders who share their prac-
tical experiences ,and- their reflections about the role oileadership. The
papers are short, about six pages ,each, and Organized under. 11 topics,
I
making it easy to select entries of special interest.
For reference use of this volume, the table of contents, exclusive of
authors, is as follows:,
1. On Becoming a Leader
The Presidency:.A Personalist Manifesto
,Cooperative Leadership, .,
The President's Role
2, Making the Most of Faculty Leadership
Faculty Go, mike
Developing Faculty Leadership _
Achieving Broad-Based Leadership
3. Designing New Personnel Policies -

Policies as Reflectors of Institutional Goals

New Policies for the Pin-Time Faculty r
New Policies for Changed Institiltions
4. Encouraging Voluntarj, Support
Encouraging Private Support
,The Future of. Voluntary Donations
The College Endowment Funding Plan
5. New Obligations to Students
Institutional Response to Students' Rights
A New Focus fir Administrators
6. Balancing Student Retention and Academic Stanclaids
Accommodating the Nontraditional Student
The Salisbury Experience ",

ca, 7. Planning New Departures in Curricula

Effective Education for the Unprepared
Outward Forms of Inward Values
Curricula to DevelopConscience and Consciousness
_ _383. .

415
12 POLICY AND GENERAL REFERENCE

8. Fitting Graduate Education to Society's Priorities

New Quality Ratings: A Force for Reform
Reassessing Graduate Education
.Graduate EduCation Ai Liberal Education . ,
9. Revising and Cutting Academic Pniyams.
Doing %IA and Less
Retrenchment The Case at CUNY
Managing Under Depressed Funding
10. Retrenchment: The,Casent CUNY
Managing Under Depresrcd Fundin#
Educational Leadership or inatitutionid
II . Influencing State Higher gducalion eolkies '
Making the Case for Higher tduchtion
How to Work with State Legislatures
The Higher Education Climate: Separating FactS:From
Myths

t.1/77-1
The Third Century: Thenty-Shr,Prondnent Americing Speculate/
on 'the Educational Future, Cullen Mvphy, 196 S. (Chime,
Magazine Press, New Rochelle; N. Y.).
Change magazine irked each of the leaders in higher education
identified in a 1974 poll to write ak essay on his or her view of. the
educational future, to ponder thedilenuntia 41d directions for higher educa-
tion in particular, and to develop projections and prescriptions at. least
through the turn of the century'. The authors are 'household" names in the
higher educatiOn'CoMmunity, .And while their crstal balls are no clearer
than those of others, their experience imdOtibtedly assists 'in clarifying
whatever blurred images ere visualized.
The moseprorninene future theme is summed up by the,term "lifelong
learning," which is seen as.providing one alternative to the prospect of
decl ine and possibly broadening enrollment and curriculums to include mote
adults, occupatiodal training, updating of professionals, and leisure pursuit
courses. ..
A second major theme is increasing egalitarianism, with expected
steady extension of higher edication to those formerly limited in their ability
to participate because of income, race, and ,ex. The authors offer warnings
regarding the balance between equality and quality., butdo not specify what
erosion in quality has taken place as a result bf expanding opportunities or
provide any proposals for stemming further erosion.
Governmental intervention in college and university affairs is the third
majoi theme,. raised with intensity by, among others; Frank'Newman. He
sees tge possibility that governmentally required bureaucratic limitation will
reduce higher education to the condition of timidity associated with
384

416
 ISSUES AND POLICY GUIDANCE-GENERAL 12:1.1

elementary and secondary education, which has longstrffered under many

layers Of governmentally imposed bureaucracy.
A fourth theme is sounded by about half a_ dozen contributors, but
mildly . This is the standby of the futurism of the past-ne-voechnology. . The
authors suggest that new technologies can help cut costs by replacing that
expensive form' of higher educationa professor instructing a handful of
studentswith more economical approaches..
Nathan Glazer, in his introduction to the volumsomasterfully sums up
these sherries, as well as others that played major Iles in projecting the
future of higher education 10 or 15 years p--education for "one world,'
the student role in governance, educatioit in foreign cultures, and student
unrest. He also "takes a larger view of the enterprite, a 'sociology of
projection,' akin to the sociology of knowledge, and to consider who *is
worried about or optimiitic about or even bothers to note what, and, as far as
et
one can judge, why?" Finally, he considers the purpose of such exercises
and analyzes the problem of projecting the future as against engaging in the
task directly.

12:1.1/77-2
Legacy or the Seventies, Lewis B. Mayhew, 366 pp, (Jossey-Bass,
e. San Francisco).
This volume provides an expert appraisal of the revplution in :higher
education, which the author 'sees beginning about 1968'when such changes
as nontraditional studY, new organization structures, and use of educational
technology were a4vanced and undertaken. Mayhew discusses the causes of
these changes and shows how and why, if . they are accepted into the
mainstream of higher education, they will drastically alter the meaning of
education and modify present concepts of academic rigor and excellence.
The evidence presented comes from the author's visits to many campuses,
reviews of several hundred institutional self-studies, the griming polemical
and research literature, and the various state and Federal Provisions for
higher education.
Mayhew begins with the themes thut have long characterized higher
education in the United States (egalitarianism, primacy of liberal arts, .

professionalization of faculty, Federal involvement in finance, etc.), then

examines six major areas for which significant change has either been urged
or attempted. Changes considered by Mayhew include the development of
supracampus public systems, which he believes has resulted in a diminution
of authority and prerogatives allowed to local campuses 'and transferred
those powers to more centralized state or Nprainstitutional agencies. He
fears that if institutions continue their quest for new markets; seeking new
clientele to .replace the expected sharp decline in enrollments of the tradi-
tional college-age group, "it could very well result in collegiate institutions

385

417
4
 12 POi.ICY ANDPENERAL REFER ENC.E

alniost becoming brokers of whatever kind of educationally related services 4.

for which there (is) a. market and demand."
Mayhew ideniifies three principal forms of curricular and instructional
' change in the. 1970's: "There is a considerable interest in nontraditional
learning . . . and a resurgence of the traditional, with major and cognate
fields, increasing in significance for student .programs; the restoration of
more rigorous and specified kinds of evaluation of student performance; and
a reconsideration of the values of graduation requirements, such as gent
education requiremeilts."- However, he claims that "nontraditional
'learning, in the sense of a full-blown movement, quite properly should come
to an early end." He argues that "the logicalextension of the nontraditional
movement in aggregate so expands the concept of education as to renderir.
-meaningless:"
While observing evidence that cost-benefit -effectiVenesi ofedueatiOnal-
technology is still confusing and inconclusive, Mayhew recognizes the.
"clear educational, potentiality of suCh things as the computer, video-tape
cassettes, and television" andurges contintied experimentation. He does not
anticipate immediate favorable economic consequences,but does state that
"by the twenty-first. ceritury existing OdUCatiOilal technology or less eXpen-
sive and more sophisticated vat-hints of it cc,oulci become as significant
eduCationallyris:was the printed worth"
Mayhew concludes by suggesting that within the U.S: higher education
system, there should be constant experimentation with methods of mimic-
lion, learning, and 'operation: "Most of these experiments should be ex-
pectedtaail or prove inconcluiive, for the pnictices and processes of higher
education change slowly. Out of the welter of experimentationiuid attempt-
ed innovation may come a synthesis of new developments that can change,
the face of higher eaucation."

.41 .

12:1.1/77-3 .

Managing Turbulence and Change, ,New Directions for Higher

Education:No. 19,_ John D. Millett, ed.', 100 pp. (Jossey-Bais, San.
Francisco).
A This collection of seven essays explores the demographic, economic,
and sooial changes taking place or likely to take place in the next few years
and their effect on academic planning. John D. Millen begins by examining
the relationships among management,-govemance, and leadership in light of
10 forecasted chapges: falling enrollment of traditional age groups;. stable
or declining demand for college graduatei; reduced income growth; decline
of the research university; greater integration of learning and work; in-
creased concern with instructional outcomes; increased attention to general
education; new emphasis on COntinuing pre:asional education; greater
attention to continuing general education; and pressuie on institutional
. 386.

418
 ISSUES AND /i0LICY GUIDANCE - GENERAL I 411.1

'Costs. The essays that follow provide management and planning guidance
.

responsive to the present and future envirOment.

Stephen Dresch sees signs of deterioration in the competence of both
students and faculty members, which he interprets as a threat to the effef-
tiVeness of higher education. Dresch explaiRs the effects of enrollment.
groWth and changing age patterns on the structure and organization of
colleges and universities. His observations regarding possible declining
levels of faculty quality are debatable.
Jack Freeman reviews current planning imperatives, trends, and prob.
lens, and suggests 12 principles to guide responsive planning. His first
principleeffective planning requires strong exicutive leadership and
commitment,is dominant, and if observed would likely assimilate others.
.Ronald Roskens and 'Herbert Garfinkel describe five trends that affect
planning in the metropolitan environment: urban blight/white flight,
subuAtan sprawl, "we want in," changed idea' of relevance, and the
postindustrial society. They then look at specific ways in which the uni,
versity should respond.
In his essay titled "The New Clothes Of Liberal Education," Robert
Sandin describes the poverty of general education in terms of a thinning and
flattening of the curriculum, failures to achieve a clmmon principle of
orgahizition that brings unity out of the parts of education, declining
enrollments, departmental rivalries, and failure to establish relevance of
general education for society. He advocated new models consistent with
traditional ideals yet suited to present realities.
Two snort essays conclude the volume. The first, by Shitman Jones,
discusses faculty involvement in College and university decislomnaking: the
second, by Millen, describessome altemativedmistions for higher education
in a.future environment.,

12:1.1/75-1 .
Formulating Policy in postsecondary Education: The Search for
Alternatives, John F. Hughes and Olive Mills, eds:, 338 pp.
(American Council on EduCation, Washington, D.C). °

The American Council on Education dedicated As 57th annual &eeting

'(1974) to "the search for alternatives.", The individual papers, perceptive
and insightful as they are, often fail to address the theme of "alternatives"
and remain isolated elements, even though their combined value is enhanced
by organization into 10 eopic areas.. More distinctive contributions by the
authors would have provided the comprehensive coverage and focus on
options sought. Despite these shortcomings, the'papers present much good
advice for immediate and long-range policy forthulation and decisionmak-
ing.
Strategies for improving higher education management deal with
administration of equal employment opportunity, laws, the implications of
_

387
, 419
 12 POLICY AND GENERAL REFERENCE

faculty unionism for institutional management, and the feet of the coin-.
monglaw on faculty-administration relations in circum'stances'of financial
, 1
exigency. Papers on creative management deal with the task of reconciling
contradictions, factoring the concept; and management as a political pro- '
cess. In planning for the steady state; commentary is made on the low-
growth, high- inflation situation, required management talents, and faculty
resource management.
Three topics addrets alternatives, for financing higher education. With
regard to policy, contributors discuss current issues in fundraising, the
db,
health and distress of institutional finances, and the detetiorating financial'
position of private institutions. They alsd study tuition in terms of the
° education market and the need. for a national cost adjustment factor for.
higher education. In examining student aid; one writer, concludes that the
central objective of providing balanced financial sustenance for needy
students is farfrom being achieved. Other contributors discuss the congres-
sional strategy with regard to Title IV Federal student assistance programs,
grants for students based do their own income, and differentiated aid
prograMs for today's "emancipated" students.
Also discussed are strategies for improving programs in higher educa-
litni. Major topics' are: nontraditional programs, statewide' planning,
credentialing of experience, and instructional delivery system. Finally, four
contributors speak of policy issues in educationpublic policy for a
pluralistic syslem of higher education, student assistance and civil rights (as
viewed by a Congressman), the search'Y alternatives, antt'the Adminislra-
tion's position. -
/
12:1.1/75-2
Sponsored Rege,rdi of the Cinitgie COminbeion Of Higher Edu-
cation, Carnegie Commission on Higher Education, 397 pp.
(McGraw -Hill Book Co.,ew York).
During its 6 yeah; of existence, the Carnegie Commission on Higher
Education made one of the MOSt cornpithensive studies of colleges and
universities ever attempted: To achieve appropriate coverage of the broad
subject areas under surveillance and provide the fact, gathering and policy-
orienrd data and'analysis necessary for its findings; tbe Commission en-I
couraged and sponsored a great amount of resell". Over 100 authorities
and experienced observers, were asked to bring their professional knowledge
and experience to bear on subjects selected large by the Commission.
. Theirefforts yielded not only an 8-foot shelf of writi s, but a valtikTeiet of
sponsored research reports. independent studies, and says..
The Commisshin identified a number of prioritie -as vital both to the
future of higher education and the purposes of our soc ty4, These priorities
- serve 4 the' major sectional headings in' this me, which contains
abi ts of the Commissi*s
. -
sponsored resear studies: "Looking at, the
-
4

388

4 2 O.
r
 ISSUES AND POLICY GUIDANCE-GENE '.AL 161.1

System," "Diversity and increasing Options," '''Preparing ford* Future,"

"Si ciaf:Justice," "Service to, Society," "Quality," and ?Strengthening
the Institutions. The abstracts are intentionally brief, three to four pages in
length-But this compilation will serve both those persons who wish to know
the central ideas and. analytical approaches of individual contributors and
. those whO wish to havetkroad overview oEthe Comnission'S research. It is
a logical companion, therefore, to A Digest of Reports of the Carnegie
Commission on'iligher Education, which wasvpublished early is 1974.
.

%The Carnegie Catarniadon. oa Higher Educatio14. A Critical

Analysis- of the Report; and Recotanieadadons, Lewis la.
ppi4iossey -Bass, San Francisco).
.

Sumniing up his feelings aftefreading and attemping to digest ill

printed studies, reports, and policy statements otthe Carnegie Commission*,
c Lewis Mayhew refers to. a 1971 IV conunereial of an uncomfortable man
whb, hitvitig complied an uncommonly large meal. sapf "I can't believe I
ate the whole thing! 'Mayhew had several reasons for his gigantic effect. He
designedeach of the chapters in the bocik " . . to epitomize one of the
publications of the Commission in sufficient detail that the substance can be
used safely by a reader who has never examined the originalleport, " N ,

addition' to this summary, of main points, Mayhew critiques the reports, .

trying to "gauge the real or potential impact of the work of the Commission-N-
on nature, .structure, functioning, and significance.of American higher
eduCation." More than SO documents, ranging in size frOm relatively few
?Ages to almost' 1,69 pages, are compressed in this single volume. .

The volume is organized into 10 chapters. The first and last, "Contejit
and Themes" and ."Significance and tAllpact, are editorialt. In the first
chapter, Mayhew reviews the history of national efforts to study 'highlr
° education, finding that the Carnegie Commission represents the. most
comprehensive organized attempt ever made to portray the condition of ."

Itigher education, to analyze its components, and to indicate probable and .

desirable directions for future development. More importantly, he identifies

.
the COmMission's centre) themes such as belief in the validity of traditional
values and techniques of education and a real but cautious egalitarianism that
justifies Federal involvement in higher education to ensure that minority and
disadvantaged groups are provided eqUal access. In the lakt -chapter,
Mayhew attempts to gauge the impact of the Carnegie Commission's work,
and specifically, various detailed poliCy recommendations. Although it is
too early to make definitiye statements as to the inipacithe full effort his had
on
on the course of higher education, Mayhew has interesting commentary,
the availability and use of the reports by faculty and key administrative
officers. 'While boards of trustees ". . . were interested in particular
recotrunendations they did not reveal deep awareness of the provisions of .
389
 12 scar AND GENERAL REFESENCE
. e
any of the reports." This lack of detailed knowledge is probably common-
.
place, and suggests the value of Mayhew's volume, as well as the three
summary volumes issued by the Cominission.
.
In. Chapter 2, "Policy Statements," 21 Commission reports are
clitically reviewed, beginning with a capsule summary of the major themes
and various policy postures.'The remaining chapters critically survey the
sponsored research of the Carnegie' Commission under the titles: "Types
and Examples of Institutions," "Organization and Governance," "Reflec-
tions on Higher Educadnn," "Education forjhe ProfessiOns,'"- "Financing
Higher Education," "General Reports," and "Future Trends." The digest,
of each study, comprising five to seven pages, presents main observations,
evaulates them in the light of generally available knowledge about higher
education, and suggests implications. Few surpass Mayhew's ability to
--glean-so much substance in such :a survey.

12:1.1/74-2
A Digest of Reports of the Carnegie Commission on Higher
Education, Carnegie. Commission on Higher Educt4on, 399 pp.
(McGraw-Hill Book Co., New York). .

This publication contains digests of the 2 l:reports issued by the

Carnegie Conunission on Higher EducatiOn from 1968. through 1973:
Typically, these reports presented information and analysis is some detail
and included specific, recommendations or objectives. The digests, each
about 10 pages, COIICCIIITIte on general trends and .conclusions, skipping the
supporting analysis and documentation that make the Commission studies so
rigorous and convincing. The summaries are excellent, however, and should
enCoursge consultation o, f the inn reports.
The Commission's recommendations are arranged in two ways. First,
the full wommendations are organized according to die persons, agencies,
and institutions most directly affected by them and most likely to be able to
implement them. The Commission cautions, however, that action on many
of the recommendations requires the concerted efforts of many different
_
',people. Second, the recommendations, in abbreviated form, are indexed by
. nearly 150 subject headings.

12:1:1/74-3
Higher Education and the Steady State, Larry le. Leslie and
Howard F. Miller, Jr., 58 pp. (American Associadon for Higher
Educition,Vashington, D.C.).
This paper (ERIC/Highei Education Research Report No. 4) discusses.,
the no-growth or steady state projected in the early. 1970's.and its implica-
tions for higher education. The overview quoted beloW describes the
contents succinctly:

390 9

4 2 49.
 4
ISSUES AND POLICY GUIDANCEOENERAle

Chapter 2 defines the steady slate, tells what is commonly

Meant by the phrase and demonstrates that it is already largelxa
`. reality. This chapter shows thatwhetherenrolhnenui or institu-
tional income is the criterion, no growth is . an apprOpriate
descriptor. Chapter 3 places the no-growth pheonomenon in its
broader perspective. provided here is a means. for viewing
present enrollment trends in an historical light. From thatvantage
point, it can be °buried readily that there have beengother such
tut in-lildreoducation enrollments, but that the general
parn reWthne has been one of constant growth. From this
historical view, the genesis of a theoretical concept emerges.
Further, clues for this concept arktaken from economic Waxy.
theoretical concept that emerges in 'Chapter 3 is labeled
sverse- progression: the concept that; overall, growth must .
Continue to occur in .essential social systems so long, as the
society itself continues to progress, as opposed to decay. At the
beginning of Chapter 4 there emotes from this concept a
framework for analyzing howan essential social system, such as
higher education, is able to right itself in a period of decline and
once .again.begin to show growth. This analytic framework is
the structure for examining whaewill occur in higher education
as enrollments decline, that is, as innovations are produced in
attempts to reverse the downward enrollinent trend. The five
categories of the framework, or kinds of innovations, derive
from Schumpeter's Thetiry of Economic Development. They are
( ) the introduction of new products, (2) the introduction of new
production methods, (3) the opening of new markets, (4) the , _

employment of new supplies of productive factors,- and (5) the

reorganization of the enterprise. Utilizing this framework,
Chapter 4 presents the heart of the paperthose facets of higher
education that are likely to be affected in the steady -state era,
and how. This chapter is sub-divided into sections correspond-
ping to the five elements of the framework, i.e., the five ways
institutions can and will respond to declining enrollments and
the five areas of activity and concern within higher education
during this period of readjustment. Chapter 5 concludes with a
brief summary, three caveats, and some forecasts as to how
higher educatiOn will fare in its attempts to maintain .a constant
growth, a `,`dynamic equilibrium." It is shown that institutions
will seek to grow in new as well as traditional ways and that
ultimately efforts will be aimed at qualitative as well as
quantitative growth.

-391-.
423
 12 POLICY AND GENERAL REFERENCE
a

12:1.1/73-1
Goals for Higher Education: Definitions and Directions, bavid A.
Trivett, 61 pp. (American Association for. Higher Education, Wash-
ington, D.C.).
In 1973, the National Commission on the Financing of Postsecondary
Education asked the Educational Resources Information Center (ERIC)
Clearinghouse on Higher Education for a summary of higher education
goals. Concluding that the concise statement sought4y the Commission did
not reside in any single report or survey, ERIC responded with this paper
(ERIC/Higher Education Research Report No. 6).
The report begins by defining goals: "Goals can be defined as desirable
conditions sought, expressed in broad, qualitative terms, representing
conditions that may be only partially attainable. They are distinguished from
objectives, which represent specific ends that may serve as measuring points
for progress toward goals." Next, several historical statements of goals are
presented, focusing especially on tlw Truman Commission's Higher Educa-
tion for American Democracy. Goal statements promulgated by several state
departments of higher education are given and compared, and task force
documents, such as the Newman report and Carnegie Commission studies,
are surveyed and appraised. The penultimate chapter examines three
international documents that set some unusually value-centered goals for
their respective countries. Finally, some speculative conclusions are offered
about current and future goals for higher education.
The most singularly:creative background established for developing
goals is that found in A Future of Choices by the Commission on Educational
Planning of the Alberta (Canada) Cabinet. Committee on Education. The
volume's Underlying, framework of abstractions represents the goals the
Commission pursues. The framework begins with four basic ideals that are
proposed to generate answers to questions such as "What is to be our vision
for education in Alberta?".: a future - perspective; life-long learning, faith in
participatory planning; and development of socially sensitive, autonomous
individuals and unequivocal support for their right to exist in an environment
that will enc e personal growth to the fullest extent of their capabilities.
The Co mission also reports .10 "Guiding Principles," which are the
characteristi of a desirable education system as they were articulated by
Albertans in *ngs and presentations to thetommission: The educational'
system should be adaptable. Educational experiences should be relevant to
both current realities and future probabilities: Various aspects of the educa-
tional enterprise should coordinate with each other and with other aspects of
society. DiVetsity in educational experiences and organization should be
' encouraged. The educational system should achieve maximum efficiency
with minimum effort and expense. Education should be available on a just
and fair basis with equality of output or similarity in achievement and effect.
All those affected should determine the policy for education. Educational
392

42
 ISSUES AND POLICY OUWANCEL-OLNERAL 1210

activities should be related to the needs, aspirations, -and rights of the

individual. The educational system should strive for excellence in every-
thing that is undertaken. Education should facilitate the hartancommunica-
tion and social integration necessary for collective actionito sustain personal
growth.

12:1.1/73-2-
Priorities. tbr Action: Final Report Of the Carnegie-tanunission
oh, Higher Education, Carnegie Coriunission of Higher Education,
243 pp. (McGraw-Hill'Ek'zic Co., _

Established' in 1967, the Carnegie Commission on Higher Education

issued 2 I special reports in its 5-year study of higher education. From the
hundreds of suggestions and recommendations 'madeiby the Commission,
this-final irpOrtselects a few key_prioritiesas a framework for its. summa-
tion. They are; clarification of purirses, preservation and enhancement of
quality and diversity, advancement of social justice, enhancejEnt of con -
structive change, achievement of social justice, eithancemenra construc-
tive change, achievement of more effective 'goVernance, and assurance of
resources and their more effective use. The priorities for action chosen by
the,Commission are those they believe to be orgreat importance for the
'foreseeable future and that writ their costs.
The Commission recognizes some unwise directions taken by colleges
and universities (eg., lowering teaching standards and processing many
graduates without regard to the needs of society) and urges the higher
education community to convene for a basic discussion of purposes. The
Commission's own suggestions for the purpose of higher education to
evaluate society for the benefit of its self- renewal appears to be a response
to this new direction:
The Commission sees the Steady state of enrollment asan opportunity
for emphasis on quality and makes recommendations in the areas of re-
search, teaChing,,curriculum reform campus environment, service, unique
institutions, effective size, and academic standards. Of most importance to
faculty and students is the Commission's recommeittlation that "there
should be equal reward for teaching as for research, except for research at the
highest levels of competence." The Commission provides statistics show-
ing underrepresentation of minorities at all levels of higher education, andt
recommends that educational Opportunity be extended by creating enough
open-access places, improving old and creating new alternative channels of
life and work, financing student costs, adjusting the postsecondary system to
accommodate stwients from a wider variety of backgrouiuis, and recruiting
into faculty and administrative positions more women and more members of
minority groups.
The Commission lists forces for and against change, recommends that
'higher education shotild take the initiative in determining its own future, and
393,
42
12 POLICY AND GENERAL REFERENCE

then lists various forms in which constructive change might take place in the
areas of student educational options, institutional diversity, and educational
enrichment. The Commission also advances a warning: "The most
important single issue about change is whether it will come primarily from.
internal leadership or whether it will he imposed more totally from external
sources." ti
The Commission believes that higher education is inherently difficult
to govern but that the present 'structures are adequate. Rather than any hasie,
reform, the Commission favors improvements in 13 areas. The recom-
mendations include encouraging the states to use broad instruments for
coordination, preserving strong and independent boards of trustees, dele-
gating basic influence over academic matters to faculties, and encouraging
great* student involvement..
The Commission advocates a two-pronged search for better use of
resources-and augmentation of resources,- Miijoeways to holdingdoWn Costa
are summarized and suggestions. listed on hoW to -increase income through
. Federal, state, tUition, and philanthropic sources.
The most difficult to follow of the Commission's precepts is that in
order to.obtain greaterpuhlic support, higher education must demonstrate to
the satisfaction of the public. that its purposes are essential (e'mphasis added):
"Not. only. has higher education lost a degree of public support in recent
years; but it is now in a intire competitive position vis-a-vis other national
.
priorities. " -
The ComMission concludes with specific recommendations for action
from the states, the Federal Government, colleges and universities, parents,
students, and employers-References-, technical notes, and-appendix iables
and charts occupy over half'the volume.

12:1.1/71
Report on Higher Education, Frank NeWrhan et al., 130 pp. (U.S.
Office of Education, Washington, D.C.).
4The descriptive and aolytical portions of this 1971 report are now well
known by observers of higher education. Much of the work done by the
Newman Task Force was subsequently studied in greater detail by the
Carnegie Commission. The Task Force's approach was unique in examining
the inadequacies of the higher education system in the light of the needs of
society and the diversity' of, students entering college. The Task Force's
recommendations on how the system can better match public interests
therefore remain significant,guides.
The Task Force was disturbed by trends toward uniformity in` higher
education institutions, gcowing bureaucracy, overemphasis on academic
credentials; isolation of &dents and faculty from the worldin general, a
growing rigidity and uniformity of structure that made higher education,
reflect less and less the interests of society. Their advice was to seek,
394

.426
 ISSUES AND POLICY GUIDANCEGENERAL 211.1
IMP

*rough an intensive national effort, new forms of learning 9d new

institutions=-intffect, alternative paths to an education.

12:1.1/70
Identity C in Higher Education,. Harold L. Hodgkinson and
Myron B. Bloy, Jr.. eds., 212 pp. (Jossey-Bass, San Fraticisco).
The authors of this. volume argue that colleges. and universities,. as a
result of challenges todieir.established values, no longer know who they are
Or hinY they piopeiiy fit into the Ipcial structure. This identity crisis; in,ihe
authors' view, is "the most pervasive aspect of the contemporary adacemic
scene."
In the first section of the book, three writers discuss the identity crisis
from the itaixInoint. of changes in the intellectual orientation of the uni-
versity. In "Facts, %Wes, and:Conuniunents," Daniel Callahan refutes the
fact -Value distitiCtionon which the illusion of -academic neutrality is based.
Ruel W. Tyson, Jr., in "Confusions in Culture,", points out that "we have
been this way before" and that campus disruptions may be a replay of the old
8var. between "the clerks and the men of feeling." Tysojt's analysis is
paitcularly perceptive in explaining that students seem hto enjoy violent
demonstrations not as rationality, not as politics, but as a kind of aesthetic
experience, In "University and Society: Issues in Public Morality," Edward
Joseph Shoben, Ir., finds the university a minor of the larger society and
proposes that, becayfe of this, it is vitally important that the university be
organized around its intellectual commitments to societythat is, around .

the rights of privacy, free inquiry, and so in. Shobeii points out that,
presently, there is an "operationi gap" -toetween the practices of-the uni-
versity and the moral values that stem from its intellectual commitments.
-The second section 'of the book deals with the process- of change.
Hodgkinson presents a Utopian example of a university organized according
to ShOben!s. achnoAition: it is based on its intellectual commitment, in this .
case taking free inquiry as its central organizing theme. In "Strategies for
Academic Reform," John David 'Maguire offers a recipe for change that
calls for new alliances among new constituencies, some of which, have not
worked before. Richard Werts presents a case study of curricular change at
the Massathusetts Institute of Technology. Edward Schwartz creates a
model for .a radical "commuhiversity" based on the "new vision" of the
young; itiftmction will be to change society. 7"
in the third'section, three writers robe/the "New Consciousness" as it
relates to higher education. Paul Spike suggests that youth's new con-
sciousness is primarily disillusionment with the dominating cultural style
and that the real generation gap is a deference in the perceptual patterns of
youth and adults. Myron Bloy maintains that the counterculture it consistent
with the best of Christian principle, full of 'integrity and spiritual
commitment. Lawrence C. Howard shows how the black consciousness
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 POLICY AND OENMAL REFERENCE

offers a life-supporting alternative to the antihuman technotronic perspective

of the dominating cultural style; because blacks are more distant, they can
see the `core" society more'realistically. .

Although many of the identity problems existing in the late 1906's are
not now in a crisis stage, the authors' observations of over a decade ago are
still relevant to many emerging roles colleges may choose in-die 1980's.

.;#

1.2 State Role

12:1.2/77
The Added Dimension: State and Land-Grant Universities
Ssrving State and Local Government, lOne Phillips, 96 pp.
.

(National Association of State Universities and Land-Grant Colleges

Washington,-D.C.).
Founded by public'initiative and with public funds, state-universities
and land-grant colleges have always had an educational mission broader
than that o other types 'of higher education institutions. Public service has
been and continues tb be the added dimension. Despite this inherent
responsibility and the growing needs among citizens and state governments
for public services of an educational nature, the leadership and liaison
required for effective interaclon has not been developed.
To understand better and encourage what universities are doing to assist
government, the National Association of State Universities and Land-Grant :
Colleges (NASULGC) conducted a survey of member Universities. This
-publication provides the results of the survey, as well as an overview of state
and land-grant university public service activities geared to giivernment
needs. It fedbres, in addition, a number of indepth descriptions of some of
'the more extensive programs underway across the country.
In looking at the problems in buijding communication channels
between governmeht officials and their public universities, the Association
identifies five major problems: (I) organizational difficulties in securing
scholars'. codperation; (2) incentives for faculty to participate; (3) under-
staffing of existing information-transferring organizations; (4) incon-
gruency between the crisis-oriented needs of legislators and the long-range
research of universities; and (5) unavailability of funding. Money problems,
as in most other instances, far outstripped any other factor as a primary
barrier, according to the survey participants. °
Based on survey results, news releases from universities, and personal
interviews, the types of services that universities seem to be providing most
effectively for government include: publication of special reports on topical
issues; sponsorship of seminars, workshops, and short courses for govern-
ment officiats;- development of evacuation tools for use by various units of
government in assessing their services; publication of business and
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 ISSUES AND POLICY GUIDANCE -STATE ROLE 12i1.2 a

economic reports dealing, with the effect of various factors on 'the state's
economy; and contract research on topics specified by governmental units.
A short chapter describes the size and scope of technical service units at
institutions responding to the NASULGC survey. Subjects covered include
the budget range of service units', staff size, types of services, the critical role
of contract research, state obligations, solving specific problems, seminars,
and training programs. These chaptets- study,in some, detail the successful
service operations of Tennessee's Institute of Service, the
Pennsylvania Technical Assistance Program of the Pennsylvania State Uni
Versity, and five universities that provide technical services throughischool
or college as an adjunct, to student education. The programs of these
institutions can serve as models for states that are looking for guidance in
developing effective government service programs.

12:1.2/76-1
Information and Analysis in the Context or Institutional-State
Relations: The Tie That Divides Us, William'Johnston, ed., 133 pp.
(National Center for Higher Education Management Systems,
Boulder, Colo.).
This volume contains the views of a diversified group of spokespersons
on the ilk and value of information and analysis in strengthening com-
munication between institutions of higher education and state governments.
Ten papers are presented-starting with the state's perspective as seen by
Richard Lamm_ , Governor of Colorado, and ending with Martin Kramer's
views on the role of the Federal Governmentthe third party to institu,
tional-state relationships.
Governor Lamm charges higher education with the task of providing
much of the creativity that this society will need to survive in the years
ahead. The people, he says, create "universities and colleges not primarily
for the purptise of taking action . . but for searching and promoting truth
through the fair cbmbat of ideas.' John Oswald, president of Pennsylvania
State University, continues this theme by, arguing that the state's first
responsibility to iristilutions of higher education is "to preserve, nurture,
and promote those human resources of intellect which Will benefit the human
condition, both of society Lind of the individual."
Harold Hodgkinson presents, some selected demographic trends vih
implications for higher education planning: the decline in the 18 to 24
year-old population after 1980; net deciine in family income among minority
groups in comparison with white income since 15'71; the increasingly early
sexual inaturity of females; and the decline in public confidence in American
institutions. He then looks at the issue of credentials, and observes that if
they coptinue to be based on grades and grades are not functionally relevant
to success in American life, planners have a very real problem.

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12 POLICY AND GENERAL REFERENCE

In discussing the mission, role, and scope of community and junicir

colleges, Edmund Gleazer talks enthusiastically about an expanding
interest inproyiding educational opportunities and services that willsequire
new desciptors, a new terminology, and an adaptive structure. He states that
the needs Of society for energy, transportation, lower crime rates, improved
health service, adequate food supply, clean air and water, etc. ;have educa-
tional components that, if properly addressed, canin time reduce the dollar
requirement,for the problem area.
Three members' of NCHEMS, John Chaney, Ben Lawrence, and
Melvin Orwig, begin a section on information and analyiis in the context of
institutional-state relationship. with a discussion of philosophical-jurisdic-
tional issues, operational issues, and technical issues. 'They believe that a
more definitive, causative relationship will develop between information
supplied and policy formulated and impleinated. In time, this will encour-
age greater cooperation between *state-level agencies and institutions in
shaping information needs.'
In discussing the quest for increased productivity, John Keller, brings
attention to an impOrtant volume, Measuring and increasing, Academic
Productivity. In describilig the difficulties involved in relating the value of
outputs to inputs, he uses, some analogies to everyday experience to assist
planners in developing the type of tholight processes required in analysing
alternative marginal expenditures so as to maximize cost-efftctiveness.,
'George Wenthersby discusses the potentials of analytical approaches to
educational planning and decisionmaking, saying that it is very difficult to
identif$t and document different decisions that have been made primarily on
the basis of analysis. Morgan Odell presents a seven point agenda with
regard to the kinds of information about independent colleges that the states
need to have, but he cautions that the independentsare already accountable
in many ways and should not be made to reveal certain types of institutional
information.
Two short papers conclude the volunie. The first,. by Donald McNeil,
discusses the function, responsibilities, and information requirements of
statewide agencies. The second, by Martin Kramer, focuses on the Federal
Government as the third party to institutional-state relatitinships.

12:1.2/76-2
The States and Higher Education: A Proud Past and a Vital
Future; and commentary Supplement, Carnegie Foundatiom for the
Advancement of Teaching,' 94 and 66 pp. ,,(Jotsey-Bass, San.
Francisco):
In examining the complex interrelations between the states and higher
education, this relatively Short commentary by the Carnegie Foundation will
challenge state officials to absorb and respond to the numerous and
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430
 ISSUES AND POLICY GUIDANCE-STATE ROLE 111111.2

comprehensive observations and recommendations Inside. The Supplement,

providing more descriptive detail, is slower paced, but both volumes still
require methodiCal reading and analysis for maximum value. State:ranking
measurements accompany most observations, which, for at least the lower
ranking states, establish threality of disparities and should prompt remedial
action.
After brief recognition that "higher education in the U,nited,
States . : . has been'. comparatively effective in both qualitative and
quantitative terms," the Carnegie Foundation quickly points out the major
problem areas. Despite the great expansion of the 1960's, some surplus
facilities in teacher training and Ph.D. output still remain relative to the
current level of effective demand. There is greater imbalance, however, in
the deficiencies in some states that 'have failed to provide a well-rounded
_system. These deficits are in open-ac,cesi spaces, state sct4arship programs._
area health education centers, and health science centers.
The Foundation doubts that some States' have both the capacity and the
desire to undertake improvements in higher education. A new index of state
fiscal capacity is presented thatcombines, on an equal weighting basis;the
influences ofer capita income, unemployment, and the degree to which tax,
1.

resources have already been utilized.

The Foundation 'sees five major problems that lie ahead foritates and
higher education: (1) maintaining dynamism without growth, (2) avoiding
parochialism as the individual states become a greater source of funds and
policy, (3) supporting the private sector while maintaining its independence,
(4) getting accountability in higher education without stifling it with detailed
regulations, and (5) balapcing the public interest against the need for
institutional autonomy in academic areas of decisioninaking. Recommenda-
tions are made in each of these areas, and later sections of the report provide
descriptions of current patterns and observations.
The Supplement contains atreat deal of useful descriptive information
abOut the states and higher education. Statistical information about support
of higher education is presented for all 50 'states. Proposals to define
institutional-state relationships and responsibilities are iturunarized, and
organiztion charts for 10 states and descriptions of the relation of 1202 State
Postkeondary Planning Commissions to other state boar& are presented.

12:1.2/75
Education and the State, John F. Hughes, ed.; 275 pp. (American
Council on Education, Washington, D.C.).
Under the rather loOse rubric of "Education and the State,". this
collection of II papers and associated commentaries it organized in terms of
four themes: education goals and their- financing; eqttalizing educational
justice; management and governance in higher education; and educational
reform and innovation. Many of the papers deal with the findings of the
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431
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12 POLICY AND GENERAL. REFERENCE

Carnegie Commission on Higher Education and were written by contributors

to the Commission's reports;
The less formal commentaries frequently appear more creative-than the
papers. For example; Lauri Bomholdt reminds us. that John RawlsNurd
Christoper Jencks would Challenge the starting point of two of the papers by
insisting that setting goals for higher education should not be attempted
without setting some intermeshing goals for changing society itself. Harold
Enarion takes exception. to the assertion of some authors that a continued
shift in the share of enrollment to the advantage of the public sector is
somehow bad. The response of most commentators, however, is Positive
and supplementary: Robert Hartmen, for example, recognizes the paper by
Allan Cartier and the longer Carnegie Commission report that it summarizes
as " . . . the most Itacid and comprehensive game plan for higher education
that we have," then offers "friendly criticism."
_

In other areas, Virginia Smith summarizes the problems of coordina-

tion among postsecondary institutions to meet the needs of metropolitan
constituencies, especially government units and,agencies, and offers sug-
gestions to help colleges define and achieve their urban mission. Earl Chen
gives, thorough and comprehensive treatment to the "system" approach to
the magagement of higher education,. withtan informative summary Of both
the intended and unintended consequences of management systems. James
Perkins persuasNely develops the thesis that it ,is difficult .to coordkate
decisions between the university and the gove nt because no effective
decitionmaking process exists within eith t Ernest Boyer responds that
Perkins' analysis also bespeaks lack of leadership as well as coordination,
and 'suggests that the central problem is not "How can we coordinate?" but
"Is anybody in charge?"
The -other papers on government strategies for educational refortii and
innovation, the faculty and the government, and legislative attitudes are also .-
excellent. One wishes only that the essence of each work could be abstracted
from the extended rhetoric (somehow believed .necessary for public
4' presentation) and made more widely pailable in condensed form.

12:1.2/71 Or t

The Capitol and the Campus: State Responsibility for Post-

secondary Education, Carnegie Commission on Higher .Education,
156 pp. (McGraw-Hill Book Co. , New York).
As with so many Carnegie report.s;"this onvon state responsibilities for
planning and providing higher educatiorl is packed with information. -The .

book deals mainly with the state's role i4roviding postsecondary education '
to its citizens. The chapters are short and tightly,written; summary listings
are used in some instances as an effective substitute for what would likely be
a longer naffative, text. The chapters deal with the following: the goal and the

400

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. '; !Ji..
 ISSUES AND POLICY OUIDANCE-STATE ROLE 1 221 .2

issues; nature of state respOnsibility; the governor-legislature and higher

education coordination and planning; comparison of state effort; the slate
and the nonresident student; the state and private institutions; public and
private tuition levels; public funds for private higher education; public
accountability and institutional independence; and conclusions. .Student
resident and migration data and, state financing' statistics appear in ap-
pendixes.
While it has been 10 years since the Commission's recommendations
were published, most are still relevant, and states should heed them,
particularly .those states that are singled Out as failing to meet minimum
standards. The Commission recommends that more states follow Wisconsin
and Florida in making Special grants to private institutions in support of
medical and other' professional schools. It proposes that 'approximately
one-third of the cost of educating a student at a state institution be awarded to
a student choosing to attend a privatecollege. The issue of accountability in
relation to both public and private institutions is also discussed, and the
report makes a case for institutional independence and autonomy and sug-
gests guidelines for achieving them.
Of particular importance is the Commission's concern with the grow-
ing dominance of governors over higher education in several states and the
development of heavy-handed regulatory councils. Also, states will want to
take a closer tool atitheir financial. support status as indelibly spelled out in
the Commission's rankings. For most states, the record shows little im-
provement.

12:1.2/70 4
State Officials and Higher Education; A Survey al the Opinions
r.

and Expectations of Policy Makers in Nine States, Heinz Euiau and

Harold Quinley, 209upp. (McGraw-Hill Book Co., New York).
This survey concerns the manner in which "legislators and certain state ,

executive officials perceived the Problems and issues of higher education,

their attitudes toward various aspects of higher education and their expecta-
tions of future development." The selected states include five w_ ith complex
. educational systemsCalifornia,. Texas, Illinois, New York, and
Pennsylvaniaand four with Jess complex systemsIowa, Kansas,
Kentucky, and Louisiana. Those interviewed were state executives, legis-
lators, and staff members moat ultimately connected with legislation or
appropriations for higher education.
The survey consists of the respondents' views, with the authors giving
only occasional appraisal and evaluation. The respondent;' opinions are
organized into nine topics: "Prospects and Problems," "Information Pies-
sures," "Ccintrol and Oversight in Higher Education," "Financing Higher
Education," "Legislators and Academicians;" "The Junior College
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433.
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12 POLICY AND GENERAL REFERENCE

Phenomenon," "Student Unresc.Cauies.arid Cures," ':The University and

Society," and Planning the Future."
Most official's, it appears, thought "things" 'had been going well. in
.their states, and each compared his or her state's educational System favor-
ably with those in other states. This is a natural and expected response from
leaders charged with responsibility for their state's educational progress; but
it is also .clear, from the range of achievements among states for a. variety of
_4101114 indicators, that too few rigorous comparisons were being made, A..
number of California respondents agreed that their state was losing ground to
New York. However, few states with less favorable environments Impressed
the kind of dissatisfaction that might be expected from a lower ranking
AYstatus. . ;

Often of key importance jn a state's success was the idiosyncratic

. influence of, personality. In a number of gates. an energetic and capable
governor wwas credited with -large -stale 'innovations &ttle),
imp vements in
higher education. In at least one other state, a goventor emerged who
was trying to reduce theuniversity's budget and influence.-
Positive appraisals typically were expressed in terms of increased
appropriations. However, real progress is not' well defined by, total dollar
. increases, and knowledgeable legislators might have been less enthusiastic
if aware of the eroding effects of inflation and enrollment on increasing
funding. This illustrates one pervasive dilemma mentioned by legislators-4a
lack of relevant information about. their -colleges and universities and, in
many cases, -incomplete- or -inaccurate information. Most respontnts
indicated, however, that the public did not much informatidli from
'them On higheiediciiiiiiiiiithilthe -subject ad low political salience.

See also: Topic 6, Governance and toordinati n.

1.3 Federal Role

12:1.3/80
A )1rogiratni for. Reneived Partnership: The Report of the Sloan
Commission on Government and Highpr Education, Sloan Com-
mission, 309 pp: (BallingerPublishing Co., Cambridge, Mass.).
The Sloan Commission spent more than 2 years studying the relation-
ship between government and higher education. Its recommendations, while
not altogether new and sometimes mechanical, are based on substantial
investigation -and warrant serious consideration.
The Commission .begins with a litany of the broad convictions that
shaped its recommendationsthe importance of preserving diversity,
progress toward equal opportunity tluOugh institutional initiaae and
responsibility, maintenance of quality in retrenchment,kFederal financial aid
, .
402

4 3:1
 .1SSUES AND POLICY GUIDANCE-FEDER:MAWS-, i
directed at the moss needy, and the like. Of the many recommendations, two
are deenied most importaqt:*(1) that a single agency be;created to enforce
equal opportunity laws and regulations in higher edutation; and (2) that the
Federal financial aid program be reformed to ensure that grants are reserved
for poor students and loins are ustod to widen choice of institutions by
students and families of all incomes:
The Conimission believes that the extension of educational oppOrtunity
has reached the point where a major overhaul is necessary if further progress,
is to be made. It points out'that the 17 Federal laws and exectinite,orders
relating to equal opportunity and the eight different agencies responsible fa..
enforcement establish a "diffusion of responsibility" that is a major source
of confusion. And it believes that this fragmented machinery can do little to
answer some of the different questions that remain. For example, what
constitutes discrimination? Who should decide when it exists? On the basis
Of what standards? What should be done if it does exist? Who should decide
that? The Commission also believes that a single enforcement agency "will
bring together sprawling and conflicting procedures so that higher education
and governnient can get along More amicably and more effectively.' The
Commission recognizes the judicial, rather than the administrative, mode
that now_ prevails for enforcing equal opportunity statutes, and it views
reliance on litigation as counterproductive since it .reinforces adversary
relations.. Its proposed "Council for Equal Opportunity in Higher Educa-
tion" would investigate all complaints end be responsibk for their Elution.
It would have the power to issue rules and regulations and provia policy
guidance on issues that bear on compliance probleins.
The Commission also deals with Federal iegulations concerning social -
security, worker's compensation, occupational health, arid the like, con-
cluding that these regulations are.here to-stay for all society, in substance if.
not in detail, and that "it is neither fair nor realistic for higher education to
expect special treatment." With regard to. Federal regulations involving
financial aCcountability, 'the Commission proposes modification of the
auditing process for research grants, which it believes has an adverse
substantive impact on scientists and scholars.
Although academic reaction to groeith in Federal regulation was the
immediate stimulus for the creation of the. Sloan Commission, its report
covers all the major Federal policies of importance, to higher education. In
addition to regulation, chapters are devoted to financial aid to students,
support for academic research, and medical education.

12:1.3/78-1
GOverrunent Regulation of Higher Education, Walter C. Notts,
ed., 128 pp. (Ballinger Publishing Co., Cambridge, mass).
This book examines, in a series of essays, the development of govern-
ment regulation of higher education from a number of perspectives. There
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12 POE1CY AND GENERAL REFERENCE 11\

are tv/o sides.to every question, and the essays respond with what is good and
what is poor in government regulation of acaderrf. The issues of interest are
framed by such questions as: "What are the regulatory agencies seeking to
accomplish? Is that legitimate? IS it wise? How are they going about their
tasks, i.e., what are their methods, and what is their competence? What.are
the prObable consequences to acadenie? and What is, what can be, and what
shOuld be higher education's response?"
In the irtrgductory chapter, Hobbs describes the long history of the
law's involvement in academic affairs and outlines the theory of the most
recent expression of legal intervention, the regulatory process. Robben W.
Fleming, a labor lawyer andpresidant of the University of Michigan, finds a
major tension in the inevitability of government regulation vis-a-vis the
diversity of U.S. higher education. However, he suggests reason for hope in
the poisibility of self-regulation systems in colleges and universities,
coupled with -incentives -to institutions to develop dispute resolution
procedures that diminish the need for government regulation.
Ernest Ge!lhorn and Barry B. Boyer, students of administrative law and ;
practicing academic administrators, provide a detailed review of the major
elements of the regulatory process as applied to academe. They believe that a
right spirit will find opportunity as well as threat in the regulatory process. In
the concluding essay, Stephen K. Bailey, .a political scientist with the
American Council on Education, agrees that a government must strike a
balance between constraints that would cripple higher education's critical
social function and a deference that would lead to unjustified license.
Estelle A. Fishbein and RObert L. Ketter clearly disagree. Fishbein,
general counsel to a major private university, believes that the disruptive
effect of government procedutal requirements are disturbing enough, but the
suppressive effect of government involvement on the exercise of intellectual
judgment has, in her view, _worked inordinate damage to the nation's
colleges and universities. Ketter, president of a major state university,
catalogs a lengthy sales of detriments that he suggests government regula-
tion brings to ,academe.
Alfred D. Sumbero watch-dog of government action on behalf of the
American Association of University Professors, returns the discussion to
more conciliatory tones, addressing the regulatory issue from the perspec-
tive of its implications for the academic. occupation. Sheila Tobias, how-
ever, based on her experience as affirmative action officer in a private
university, submits that government regulation ik heither necessary nor
sufficient to achieve the results that Sumberg endorses. But Donald H.
Wolletytlirector of a government agency that negotiates labor agreements
with anions of stee employees,. argues that the professoriate has a remark-
able capacity to. ithstand pressure, and he sees little reason to believe that
its experience with government regulations will yield contrary results.
Evidently, interpretation of the consequences of the interplay of gov-
404
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ISSUES AND POLICY GUIDANCE-FEDERAL ROLE 120.3

ernmetyegulation and higher education depends in large part on where the
observer is standing. As Patrick Moynihan observed: "The issues in this
book are undeniably litical, and they will not be so much resolved as
accommodated through iliac political process."
An. additional issue of ovcrnment involvement in higher education is
the cost to institutions of ad Mastering Federal programs. A study by Carol
Van Alstyne and Sharon Coldren, The Colts of Implementing Federally
Mandated Social Programs at Colleges and Universities (American Council
on Education, 1976), establishes costs related to employmentsuch as
social security taxes---,and compliance with equal employment opportunity
laws as contributing most to the burden. In 1974-75, the average costs to six
institutions surveyed of implementing Fede rograms were small (1 to 4
percent) relative to total institute rating budgets. However, these
costs increased rapidly as s were added over the 1965-75 lev,ef,
and they are expected to go higher.

12:1.3/78-2
Needed: A New Federal Policy. for Higher Education, Joseph
Froomkin, 82 pp. (Institute for Educational Leadership, The George
Washington University, Washington, D.C.). /
In talking about issues in higher education, Joseph Froomkin suggests
that, despite relatively constant concerns over ac0s, retention, diversity,
financing, accountability, etc1, over the past 1' years, current research
provides few answers. "No one has spelled out.the forces which will fashion
the college and university scene a decade from now, or the new policies
/
whichowill have to be introduced as a resul //of the anticipated changes."
Among his examples, Froomkin ints out that we lose track of the
social and economic origins of most delayed student entrants who liviaway
from home, thus underestimating byp to 20 percent the number of students
from poor families who participate/in higher education. He states thaPour
best estimates of the job of college graduates indicate that in 1985,
. one out of three workers who college graduatgs will probably fill a job
that was filled by a nongrad in 1970. Further, recent evidence indicates
that the rate of returnthe *time earnings of educated peopleis likely to
decline in the future, and some are concerned that Americans are becoming
overedUcated. Froomkin suggests That these and other conditions likely to
prevail in the *next JO years must be carefully, established and understood if
Federal policies that are realistic and responsive to actual needs are to
be formulated. . .
In Chapter II, Froomkin studies higher education in the mid-1970's
beginning with the observation that the cost of higher education is roughly
equal to the amount spent by Americans on the purchase and maintenance of
motor cars. He points out that the real rate of growth of college and
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 12 POLICY AND GENERAL REFERENCE

university resources declined from 11.4 percent a year during the 1960's to
3.8 pevent a year in the '1970's, and discusses the contributing factors of
over-expansion of institutional capacity, a slowdown in the rate of growth of
appropriations due to a lagging economy, depressed tuition levels caused by
high unemployment, and reduced endowment income. Faculty, of course,
were the big loser.,, with average compensation lagging behind the
Consumer Price Index by 2 percent a year. Froomkin sees little improvement
likely in the next decade, with a "crisis" of bold proportions looming if
present trends continue.
In Chapter III, Froomkin examines how institutions, faculties, and
students are likely to fare should_such conditions prevail. He visualizes
much belt-tightening among institutions, college graduates having
increasing difficulty in finding jobs 'that. utilize their training, and further
reduction in the number of faculty, with a lid kept on salaries.
In Chapter IV Froomkin presents three possible` approachekto student
financing: the laissez-faire economists' approach (in which each student
bears a majority of the cost of higher education through loan prograits); the
Swedish model (in which the total 'burden of financing. education is
shouldered by the state); and the eclectic model (which involves concurrent
work and study by students). In this last model, which Froomkin encour-
aes, students would carry two-thirds of a full-time school load and Work 25
to. 30\hzrs a week, graduating in 6 years rather than 4. Part-time students
would \reimbursed for their tuition and fees and would receive a small
stipend ($150 a month). The gross cost of this program could be as high as
$8.5 billion, titittf all the subsidies were taxable to recipients, it is likely that
a quarter of the ost, would be recaptured through income taxes. This
work-study plan is an innovative idea and is politically feasible as a pilot
project, as Mr., Froomkin, proposes. As suggested by Joseph 'N. Crowley,
.- "Whether or not Froomkin's ideas reach the point of implementation, they
will very likely help to force some hard thinking about how to cope with
current trends and how to prepare for a future that ought hot be left altogether
to take care of itself."
.
12:1.3/78-3 .

Scholars, Dollars, and Bureaucrats, Chester E. Finn, Jr., 238)sp.

(The Brookings Institution, Washington, D.C.).
In fiscal 1977, Federal expenditUres for higher education amounted to
nearly $14 billion. Yet the Federal Government does not havenor has it
;ever had--a comprehensive and unified policy toward higher education.
Instead, dozens of Federal agencies, each with its own policies and
missions, administer the hundreds of programs that affect 'colleges and
universities and the students who attend them.
In this book, the second in a Brookings series of studies in higher
education policy, Chester Finn examines the complex relation between the
ti

406

438
 ISSUES AND POLICY GUIDANCE- FEDERAL ROLE 2113
I

Federal" povernment and the nation's higher education system. After

surveying the history_and background of Federal involvement, he appraises
the present condition of pdstsecondary education with an eye to what the
goverment ^an and eanttot do to alleviate problems that lie ahead: He
scrutinizes Federal assistance programs and government regulation, makes,
suggestions for refortp, and analyzes several schemes for government
reorganization.
Finn cautions against an overhaul of Federal policy, programs, and
structure. He believes that too much prescription may be worse than too little
and that Washington's piecemeal approach to'higher education has worked
remarkably well--indeed, in his view, it has contributed much to the vitality
and diversity of American colleges and universities. Future Federal policy
should beslirected toward increasing that variety and toward making it
possible for students from every income level to attend the colleges of their
choice. ,

12:1.3/7
The Impact of Federal Policies on Higher-Educatioknstitutions,
Arthur T. Grant; ed., 66 pp. (Higher Education Program, College of
Education, University of Arizona, Tucson).
The Education Commission of the States and the College of Education
at the Urliversity of Arizona in 1976 cosponsored a,conference to examine
the imps 't of Federal policies on the operations of colleges and universities,
This hoc* contains ,the seven papers presented.. .

In the first essa: 'Ralph Huitt, executive' director of the National

Association of State Universities and Land-Grant Colleges, reminds
educators that to secure changes in Federal policy, they must work with
subcommittee's and with the most- important people, on them. Homer. _
Durham, former commissioner of higher education fot the State of Utah, is'
concerned that the expanding Federal-state "partnephip'Lin_higher educe --
tion will result in "more and more regulation to the end thakuniyersities and
colleges are now among the most highly regulated industries in our national
life." He advocates that state systems rally to serve essential institutional
autonomy and press, on behalf of all, to redress the recent tendencies of the
"Federal impact." Likewise, Allan Ostar, 'executive director, 'of the
American Association of State Colleges and Universities, believes that the
trendtoward external control must be reversed, and cites ways in which this
can be accomplished.
In the fourth essay, Louis Bender, professor of higher education at
Florida State University, gives a brief overview of theproblems of Federal
regulations, a chronology of the evolution of the Federal presence, and an
analysis of the impact of Federal regulations on contemporary colleges and
universities. He concludes with some excellent recommendationsa
Magna Carta for Higher Education, a more unified effort by the national

407
 12 POLICY AND GENERAL REFERENCE

associations, various. regulation reforms, development of_ an economic

impatt statement, establishment of an American Council on Education task
force to study the Federal organization appropriate for dealing with higher
education, and support for an Institute for the Preservation of Independence
. of Higher Education.
Warren Hill, executive director of the Education Commission of the
States, makes eight suggestions on how Federal policies can be used more
effectively. John Millett,-, eZeCtitive vice president of the Academy for
Educational Development, believes that institutional planning commissions
or teams on cad) college and university campus are the really vital policy-
makers .who. will determine the .fate of higher education in the ['loft few
decades. And Russell Thackrey provides insights into the governmental
process and a valuable history of the Miller Bill and other attempts at Federal
legislation.

12:1.3/76-1
Federalism at the Crfraroads: Improving Educational Policy-
making: Samuel Halperin and George R. Kaplan, \e44., 108 pp.
,.
(Institute for Educational. Leadership, George Washing.on Uni-
versity;:Washington, D.C.).
This volume is an anthology of 17 papers by a diverse 'group .of
policymakers and staffers from throughout the governmental system. Al-4
though there is much duplication, each author clearly makes distinctive
contributions Io the literature on Federil involvement in education.
Joseph M. Cronin of Illinois sees dangers-in increased Federal control
but questions whether state and local leaders have sufficient initiative to stop
_ the trend while graciously. accepting. Federal support. John C. Pittenger of
Pennsylvania is also disturbed by the developing imbalance in Federal-state
relations and suggests both positive and negative facets of an appropriate
level of Federal involvement that educators should seek. Perhaps more
important and fundainental is his admonition that states should take on the
responsibility for education to avoid the need for Federal intervention.
Coming from New Mexico (which ranks 49th in per capita income
among the states but dedicates 75 percent of its total general fund toward the
support of public education), Harry Wugalter argues that Congress tends to
forget diffilences among the states in.attempting to create a uniform legisla-
tion. He lists ways in which Federal involvement has caused concern, ways
whidstem, in part, from failure to observe the peculiarities of states and
Consult with state representatives.
Samuel Halperin describes Federal legislation as "increasingly
preemptive,Trescriptive and reitilatory," with the cumulative impact being
one of "over-regulation, underfunding and sluggish Federal implementa-
tion." He writes that Washington, D.C., is increasingly 'aware of the limits
408

410
 ISSUES AND POLICY GUIDANCEFEDERAL ROLE 12.1.3

of Federal intervention, et perceives state' authorities and educators as

defaulting on difficult pro lems so as to'require Federal incentives to "solve
the -problem."' He sugge s strong countervailing initiatives by state and
educational leadership, incjluding strengthening the Education Commission
of the States and requiri the statOto contribute much more than their
rrent 8 percent of the E S budget. Fred Q. Burke of New Jersey believes
that public education vis -a -vis Washington, D.C., will continue to be
reactive until a legitimate hnd powerful educational spokesperson can be
developed.
Other papers in the volume include Warren Hill's discussion on the role
of the state in education with some excellent observations on the lack of
coordinated state plan ng effort; Richard Dallas Smith's review of the
struggle between Con ss and the executive branch for policy control in
education; two entries y Robert C. Andringa that include a list of 11 factors
influedcing:Federal edecation -legislation; and-Thomas R. Wolanin's paper. ,
on congressional information and policymAking, subtitled "Don't Trouble
o.
Me With the Facts."-
Readers of this anthology will be interested in the Institute for Educe-
tional Leadership's Perspectives on Federal, Educational Policy: An
Informal Colloquium (1976). This discussion by five seasoned, bipartisan,
Washington-based congressional staffers and fotmerexecutive branch aides
complements and analyzes the main lines developed in Federalism at the
Crossroads. The freedom and spontaneity of the open discusslon encour-
ages forthright and creative contributions that are stimulating and realistic.
The participants were Robert Andringa, Chester E. Finn, Jr., Samuel
Halperin, Michael Timpane, and Thomas Wolanin.

12:1.3/76-
The Implications of Federal Education Policy, Clifton Conrad and
Joseph Cosand, 65 pp. (American Association for Higher Education,
Washington, D.C.)
This paper (ERIC/Higher Education Research Report No. 1) is de-
signed to stimulate thought and evalution of the directions of current Federal
policy in the support of high education. The authors begin by tracing the
role of the Federal Goverdient in American higher education chrono-
logically, illustrating major trends and identifying significant dates and
events. They give particular attention to the 1972 Education Amendments,
including the then newly-authorized student aid programs and 'the estab-
lishment of State Postsecondary Planning Commissions ( 1202).
The authors point out that current student aid funding levels are insuf-
ficient to bring access and reasonable choice to disadvantaged students.
They further argue that increasing costs and rigorous financial needs tests are
reducing the college attendance rates of middle-income students. The
409
 12 POLICY AND GENERAL REFERENCE

authors believe that equality of opportunity, defined both in terms of uni-

v.erSal access and greater,social equality, has not been adequately fostered
through current Federal student aid programs, which are aimed directly at
disadvantaged students. They also believe that Federal funding.of post-
secondary education through student aid has not necessarily served as an
effective means to prombte the financial well-being of colleges and uni7
versities. Private colleges, in particular, are, still hard-pressed to provide
additional financial aid to students not eligible for Federal or state programs
or Rot adequately 'covered by such programs to meet their real expenses.
Also hurting both public and private institutions has been the decline in
constant dollars of Federal research -grants and in the number Jf Federal'
predoctoral fellowships and traineeships. The Authors temper their criticism
by recognizing that the Federal Government provides only a fraction of the
revenue of postsecondary institutions and therefore should not necessarily
assume the major burden for maintainingiN vitality.
The authors offer three recoinmendations fOr the Federal role in higher
education: (.1) that Federal assistance to postsecondary education be in-
creased because institutions need help With their health and diversity prob-
lems and beCause the Federal tax structure is a, more equitable base of
funding state and local structures; (2) that institutional grants for instruc-
tional purposes serve as a second major vehicle of Federal support; and (3)
that direct institutional support be complemented by student aid programs for
disadvantaged students, especially the Basic -Educational Opportunity
Grant, State Student Incentive Grants, and College Work Study programs.

12:1.3/73
The Second Neiman Report: National, Policy and Higher Educa-
tion, Special Task Force to the Secretary of.Health Education, and
Welfare, 227 pp. (MIT Press, Cambridie, Mass).
This second r4ixirt-of a study group headed by Frank Newman deals
with the Feder41 role in pOitsecondary education.,Two themes dominate the'.
discussion: the necessity for the government to shift stress from growth to
effectiveness, and the need to develop a new concern for the form of public
support, the methods of decisionmaking, and the achievement of goals.
Overall, the-group conclUdes that the lime has come "to reexamine our
concepts of the structure and purpose of higher education so that ,we can
more realistically design Federal involvement."
The task force examines the Federal presence in higher educationfrom
a number of perspectives: its funding programs, its tendency toward the
regulation of the economics and administration of institutions, and its
indirect influence through areas outside education.-The Federal role is
defined as the source of support and regulation "deating conditions under
which the educational needs of American society are most likely to be-met."
Recommended Federal roles are guaranteeing openness r( d ,ompetition,

410

1
 COMPREHENSIVE HANDBOOKS 1212.0

providing funds to 'broaden the range of educational opportunities, and

helping to accomplish tasks too extensive to handle on any other level.
Recommendations are made on these riponsibilities, supported by charts
and tabular materials.
Among the issues raised are tae diSparity been public and private
enrollments, the inability of a tollege!degree to7arantee economic and
social mobility, the egalitarian concelit of education, the status of minori-
ties; and the creation of 'multi-cam us-system bureaucracies," Concern-
ing egalitarianism, the report states at, for the most part, access has been
achieved, but "realistic mass educ tional opportunities" have not. It also
observes that colleges are losing cif placement capabilities; "a college
education is now a necessary but no longer sufficient condition for social
mobility." Among the new requirements cited as necessary for edeetive
edlication are student motivation; a diversity of institutions appropriate to
diverse student interestsl'and more recurrent education opportunities:

2.0 COMPREHENSIVE HANDBOOKS

12:2.0/74
Statewide Planning in Higher Education, D. Kent Halstead, 812
pp. (U.S. Office of Education, Washington, D.C.).
.
In its secondprinfing, this extensive study of the theories, analyses, and
procedures involved in statewide planning remains the most comprehensive
.single "how-to." volume available Focusing on the "point of view" and
. "special problems" of state planninkofficers and technicianS, the book
identifies the major areas of concern of planners, their component parts; and
the factors that should be considered in planning. The author-has made a
serious effort to collect and summarize virtually all the important facts,
experience, and opinions on the subject. This information is distilled,
whereyei possible, into workable procedures for arriving at solutions. This..
concentration on technology and theory has reduced the obsolescence that
affects many issue-oriented volumes. .

The handbook is divided into 14 chapters that examine: design for

statewide planning; socioeconomic comparisons among states; extending
educational opportunity; financial aid to students; differential functions of
colleges and universities; the search for educational excellence; meeting
area educational program and capacity needs; measuring professional
manpower supply and dethand; college and university libraries; space man-
aggnient and projection; campus and building planning; financing higher
education; government support and institutional economies; and state bud-
geting for higher education. Each chapter has an annotated bibliography.
Four appendixes include the methodology for projecting large enroll-

411
443
 12 POLICY AND GENERAL REFERENCE

ments, higher education price indexes, college and university financial data,
and college and university student migration data.

3.0 CHANGE, TRENDS, AND FORECASTS

12:3.0/80
Academic Alapations: Higher Education Prepares. for the 1980a
and 1990s, Verne A. Stadtman, 2017 pp. (Jossey -Bass, San Francisco).
In this book, Verne Stadtman looks at hbw colleges and universities
adapted to changing conditions in the 1970's much. in the same manner' as
Harold Hodgkinson did for the previous decade (Institutions in'Transition,
12:3.0/71). Stadtman uses some of the same sourcekas Hodgkinson did to
obtain his data and also relies heavily onquestiounaires sent to presidents
and other officers on the nation's campuses. This_Volume is a companion to
the final report of the Carnegie Council on Policy Studiei in Higher Educa-
tion (Three Thousand Futures, 12:1. 1/80)'.:
In Chapter 1, Stadtman enumerates conditions that occurred or con-
tinued in the 1970's that altered the context in which colleges and universi-
ties operate, including shifts in power and authority, changed levels and
,sources of funding, reduced-enrollments, :efforts to reach. new clienteles,
pressures to expand career education.; shortages of jobs for new Ph.D.'s, the
continued growth of collective bargaining, and the increasing influence of
state and Federal governments. He looks at such external development as the
lowered voting age, Watergate, continuing inflation, and some decline in
Federal support for scientific research at universities..The remainder of the
book records how colleges and universities adapted to these events.
. ''Chapter. 2:deals with students: changes in ability, 'the trend toward
seriousness,:lifestyles,,decline of political activism, student participation in
ggvernanCe, and-student satisfaction. Stadtman concludes that most of this
information is of interest' in planning but helps little in understanding
educational quality and the effectiveness of instrtictional techniquesareas
of greater importance.
In Chapter 3, he discusses faculties from the standpoint of their growth,
participation of women and minorities, part-time status, age, quality,
representation in departments, academic personnel policies,' governance,
and collective bargaining. Stadtman sees as one of the consequences of the.
recent changes tensions between the adherents 'of traditional academic
devotion and loyalty to the instruction, and the "marketplace" orientation of
some colleges and universities. Specialiiedfaculties may be required in the
future, or, alternatively, professional academics may someday accept their
noncollegiate colleagues as peers. arm
Chapter 4 discusses presidents and trustees, with sections on length of
service, authority, and concerns in 1978. Chapter 5 looks at diversity in
412

4 4 ,1
 CHANGE, TRENDS AND FORECASTS 11 24A

American higher education. Stadtman .maintains that what diversity has

been -fost among institutions has been offset by the increasing diversity of
programs within institutions as thef become larger and more comprehen-
siv. He fears for the diversity represented by research universities*Ouse
research, their most distinctive activity, recently has been, endangered by
neglect and, perhaps, overdependence on asingle source of funding. He is
also concerned for small, experimenting, and developing institutions, with
financial difficulties, stemming from enrollments aless thaifi ;000 students
,..., .
(a "peril point"), that are struggling for survival.
Chapter 6 discuss s the reasons for decreasing enrollments, policies to
increase enrollments. an enrollment decline and the new "consumerism."

12:310/76
0' Presidents Confront. Reality: From Edifice Complex to Uni-
versity Without Walls, -LyMan-A.--clenny,-John-R.--Shea;=Janet-ii.-----
Ruyle, 'and Kathryn H. Freschi, 261.- pp. (Jossey-Bass,' San
. ..
Francisco). .
.
.

This book is based on ,a national survey of college and' university,

presidents intended to 'obtain their, drsthand impressions of the current
campus situation. The survey w as designed primarily to determine the types
of institutions and the manner in which they 'are being affected by stable or
declining enrollments and funding, and the action they are taking. Repre-
sentatives of 1,-227. institutions, enrolling approximately two-thirds of all
students in higher education, returned usable questionnaires.
Chapter 2 of. the book concentrates on how presidents anticipate and
perceive-changes in- student enrollments-,- plant and operating expenditures ,
per studestt, and deferral of physical plant maintenance. Chapter 3 examines
shifts taking place in undergraduate-enrollments-by-field of study (primarily -

gfowtb. of enrollments_ in. vocational areas" and efforts to eliminate (or

consolidate) courses and programs. tChapter. 4 studies of faculty.
composition (telyred versus nontenured), workload, staff development,
collective bargaining, and early- retirement against the backdrop of new
program priorities, level of efunding, and changing enrollment patterns.
__Chapter 5 examines new markets, new resources, and reorganization of the.
industry, in addition to new prthlucts and new methods, as higher educa-
tion's response to the slowing of enrollments and funding.
.. Chapter 6 considers various'planning and management techniques that
are being used to increase institutional responsiveness..and acquire heeded
resources. Chapter 7 examines the shifting locus of general decisionniaking
authority from the campus to higher levels and its consequences for fin. vial
support, flexibility in campus use of funds, curricula reform, and dc loy-
pent of faculty. The chapter also considers-administrators' percerions on
the helpfulness of various system and Atatewide master plans. Chapter 8
9
413

415
 P01,1Cy AND GENERAL REFERENCE

reports on the perceptions of instititional leaders, regarding The effects of the

new depression in higher education on quality of ;Students, programs, and
faculty. And Chapter 9 considers policy, dilemmas, opportunities, and
Constraints arising from currentand.projocted conditions.

12:3.0/75
Awe Theo Survival: Prospects for Higher Education in a Period
otillartninty, arnegie Foundation for the Advancement of Teach-
ing, 166 pp. (Jossey-Bass; San Francisco),
This first of a series of Commentaries by the Board of Trustees.of the ,
Carnegie Foundation for the Advancement of Teaching discusses the fading
of the old vision of higher education and the birth of a new vision to take its
place'. The problem for higher education, in the view of the Carnegie
Foundation, is the rapidity of the change frorn growth to steady state.and its
differential effects on faculty members (according-to their age) and on the
various types of institutions.
In exploring the future osurvival the study first looks at the current
scene and finds that most administrators .view the process, of adjuStment
without enthusiasm. Problems: being encountered include conversion of
facilities, rising tenure ratios and conflicts over tenure regulations,
intensified struggles for authority, difficulties in increasing the student-tO-
faculty ratio, and various impairments of quality The Foundation concludes
that the current period is different from the past in degree but not in kind and
that the preceding'"ups" and the current "downs'' amplified versions of
trends previously experienced by higher education in lesser degrees.
The Foundation also concludes, based-n preliminary enrollment
forecasts, thavalthough the university's share of students is likely to be
,reduced by external factors, the university has an above-averagedapecity to
makejndividual, selective adjustments and to withstand competition. Public
community colleges also appear to benefit from the external forces'and to
have the capacity to adjust to them. Ttie less highly selective liberal arts
colleges, the private 2-yepr colleges, and, to a lesser extent, the comprehen-
sive colleges are in the leait, favorable position. In terms of maintaining
one's share of total enrollment, it is better to attract all ages of.stodents,
provide for part7time attendruice, be less dependent on teacher education,
have public state Support, etc. The steps that institutions are taking to
determine their own fate include the exploration of "markets" students;
the establishment of flexibility; the development of a sense of mission, an
;identity, and a separate character; and the pursuit of greater productivity.
One overriding initiative is the use of more "administrative muscle" to shift
and better utilize resources. The Foundation suggests three major policies
that would make good use of the capacities Of higher education and aid the
Nation in achieving its goats: (I) financial provision .to allow universal
access to higher education, (2) steady support at adequate levels for research
414

446
 CHANGE, 'RENDS AND FORECASTS 1 *3A
and research training, and (3) support for the private sector as a good
investment in diversity 'atid in competition for the public sector.
The final section is a summary of the dangers and opportunities ahead,
the assets and liabilities facing higher education is the future, and what most
needs to be done.

12:3.0/73 , .°
The Future of Higher Education, Alexander Mood, 166 pp.
(McGraw-Hill book Co., 'New York).
This 'book is one result .of a study conducted by the Pitlic Policy
Research Organization of the University of California, Irvine, wffich sought
ways to improve the efficiency of higher education so that students' educa-
tion would not suffer appreciably When budgets were reduced. The final
report, titled More Scholars Per Dollar, generally argued that mauive
increases in the effectiveness of the higher education system could not be
achieved without massive rearrangements of the system self and of
society's utilization of the System. This present volume focuses on how the
system might look in the inture and what basic changes are possible.
'Mood and his associates begin by describing the context in which
higher education operates and the forces which shape it. Most conditions are
well knownthe abatement of injustices, the spread of information, decline
in the work week, growth of government, and expected advances in science
and technology. Yet Mood then makes the claim that young persons are
beginning to realize that human needsto be loved, healthy; highly re-
garded, gainfully employed etc. ,are little related to the traditional goal of
working ,single-mindedly up an organizational ladder. The implication is
that today's youth are likely to see formal highereducation as less relevant to
their needs than did their predecessors.
The current higher education system is described as one in which
service 'to theelite has been replaced byservice to the masses and in which
budgets have grown significantly. ,This growth has nurtured the develop-
ment of higher education bureaucracies, which are really not prepared to
deal withi universal access in' a meaningful way. Mood sees a glaring
inismatch between what today's students needbin terms of a comprehensive
relevant education and the collection of unrelated details learned in courses
refined according to the special interests of the instructor. In,Mciod's view,
one solution lies in improving educational technology by substituting
machines for teachers, Mood believes in the feasibility of a video university
that would operate entirely through the medium of 'video cassettes attached
to television, sets, thui dispensing entirely with the need for campus and
faculty. Mood also claims that our educational system does not prepare its
students for the world they must live in, and he predicts that this will change
when people are freed from the emphasis on credentials and begin pre-
sCribing their own education.
415

447
 I $

12 4 POLICY AND GENERAL REFERENCE

With these anticipated changes in mind, Mood hypothesizes an alterna-

tive system of .1igher education in which the vase majority Of students attend
college initially on a full-time basis for 'only I year and obtain further'
education as a part-time activity. This first year would be universalalmOst
everyone would attend, regardless of whether he or she had graduated from
high school. The 4 year of full-time attendance would be at a residential
college, and the part-time lifelong learning would be more in the domain of
the community college. \
TO advance this concept of future education, Mood sees the need for
several courses of action. The video university would be funded by the
Federal Goverriment. Sate support would be overhauled so that grants
would be given to both high school graduates and dropnutsto equalize their
capacity to purchase some form of advanced education. Academic changes
would incitide encouragement of more off-campus learning, elimination Of.
. _
entrance requirements, abandonment of the certification function,' and the
--abizilitiOn Of faculty tenure.
Forms of this educational approach already exist, but not to the degree
envisioned possible by Mood. While his expectations may appear somewhat
idealistic to some observers. all share his desire to see higher education get
out of the credential business and effectively concentrate on relevant learning.

12:3.0/7.1_
Institutions in Transition: A Profile of Change hi Higher Educa-
tion, Harold L. HOdgkinson, 295 pp. (McGraw-Hill Book Cob,, New
York).
This study for the Carnegie Commission on Higljer Education involved
an effort to identify and analyze change in higher education. B_astd on data
from the annual higher education directories and a questionnaire sent to .

some 1,200 institution presidents, the author tries to indicate the primary
changes occurring in the 1950's and 1960's. The study also includes five
case studies of particular institutions.
There were several major conclusions to the study as of 1970; all based
on statistical analysis. The students enrolled in colleges and universities had
=become more diverse in terms of social and economic background, and
student influence on governance issues had increased. At larger institutions,
faculty members taught fewer hours, were more interested in research than
in teaching, spoke out orf issues of national policy, and tended to be less
loyal to the institution. The huge increase in enrollmenis duriag,the 1960's
had been accommodated largely by the public, sector. The greatest increase
in institutions awarding the PltEr. degree occurred among public institu-
tions: Most higher education by 1970 had become coeducational. .
The author concludes that size was an important factor in describing
institutional characteristics, that regional considerations and governance
416

446
 REFERENCE -- STATISTICS AND INFORMATION 1214.1

arrangements seemed to make little difference in detenvining institutional

change, and that idstitutional." diversity was decreasing rather than
increasing. The higher education model was the prestigious Tesearch'uni
versity.
No doubt these findings as of 1970 had substantial validity. A similar
profile in1980.might indicate considerable discontinuity from the trends
observed from 1950 to 1970. See Academic Adaptations: Higher Education
Prepares for the 1980s and /990s, Verne A. Stadtman (12:3.0/80).

4.0 REFERENCE
4.1 Statistics and Information

12:4.1/A-1
The Condition of Education, Nancy B. Dearman and Valena White,
Plisko, eds., approx. 300 pp. (National Center for Education Statis-
tics, Washington, D.C.). 0
This annual report: statistically describes the condition of education in
the United States and reviews the activities of the National Center for
Education Statistics. What makes the volume particularly useful is the
abundance of carefully organized selected data and the graphical majerials,
which effectively convey essential phenomena and trends. Also, most of the
data are in ratios or index numbers that give meaning and relevance' to
usually sterile numbers.
The report is organized to reflect the Characteristics. of the education
system andlits relationship to the larger society. The first part describe
trends and development affecting education at all levels. Chapter I deals
with the societal context for describing the condition of education, Chapter 2
covers elementary-and secondary education, and Chapter 3 examines post-
secondary education, Interest in postsecondary education is described in
terms of plans of high school seniors, high school griduates not iii school but
interested in attending, and reasons cited by freshmen in deciding to go to
college. Enrollments are presented by sex, family income, and racial/ethnic
group. Institutions are described by student enrollment size and composition
of governing boards, Numerds outcomes of education are presented includ-
ing earned degrees, financial aid received, salaries of recent graduates, and
educational attainment level. A number of tables deal with adult and non-
collegiate postsecondary education.
In thejecondPart, srcial topics have been selected for closer analysis.
Chapter 4 looks at education personnel; Chapter 5 examines the financing of '
higher eduiation, and Chapter 6 compares education and labor force
participation patterns in the United States with those in other countries. The
second part also contains a deScription of the Center's activities for the
current fiscal year.
417
4.49
 12 POLICY AND GENERAL REFEF.ENCE

The informative statistics in this volume ,,;could at least provide plan-

ners with perspectiveif not sharpened insightsinto currert educational
practices.

12:4.1/A-2
Digest of Education Statistics, W. Vance Grant and C.. George"
Lind, approx. 2C0 pp. (National Center for Education Statistics,
Washington, D .0 . ).
This annual abstract of statistical information covers the broad field of
American education from prekindergarten through graduate school. Wsihg.
numerous sources, the Digest contains information on a variety of subjects
within the field of education statistics, including the number'of schools and
colleges, enrollments, teachers, graduates, educational attainment,
finances, Federal funds for education, libraries, international education, and
research and development,.
The volume is divided into six chapters: "All Levels of Education,"
"Elementary and Secondary Education," "College and University Educa-
tion," "Adult and Vocational Education," "Federal Programs for Educa-
tion and Related Activities," and "Special Studies and Statistics Related to
American Education." To. qualify for inclusion, material must be nation-
wide in scope and of current interest and value. Data extending as far back as
1870 have been employed in many instances in order to give some historical
perspective. The introduction supplements the tabular materials in Chapters'l
through VI- by providing L brief description of current trends in American
education.
Chapter II of the volume deals with college and univemitat education
and includes sections on enrollment, faculty and other professional staff,
institutions, degrees, income, student charges and financial aid, expendi-
tures, property, and land-grant institutions. Together, the tables in this
chapter comprise one of the most comprehensive-compilations of post- '
secondary education statistics published.

12:4.1/A-3
A Fact BOok on Higher Education, Charles Andersen, ed., approx.
200 pp. (American Council on Education, Washington, D.C.).
This handbook is published four times' a year in 'issues titled:
"De is and Economic Data;" "Enrollment Data;" "Institutions,
Facult and Staff, Students;" and "Earned Degrees." Data are drawn from
a vane of gdvernment and private sources and presented in convenient
charts and tables that summarize past developinents and projections. The
most important feature of the series is the -emphasis given to statistical
revelation and 'documentation of trends and relationships. In this regard, mot

418
 REFERENCE STATISTICS AND INgolitAATION 1P14.1
.

of the data the selected to provide meaningful indicators of the Phenomena....

being observed and are reported over in extended time period.
The first issue, which includes 8ver60 tables and'related charts, present
demogratbic and economic data on population, income, business activity,
labor force'aN employment, and higher education finances. The second
issue presents enroihnent trends by level of student, sex, control and type of
institution, region' \..nd state, and field of study. The faculty and staff
Statistics in the third issue include count by sex, control of institution,
position, full- and pair -time status, highest degree held, and other charac-
teristics. Faculty salaries are presented in a variety of classifications.
Student-related statistics in this issue deal with student tuition, characteristics
'of entering freshmen, residence and migration data; and foreign
students and study abroad! Earned degreei are presented in the fourth issue
by level of attainment, distribution by field, percent distribution by sex and
by control of institution, and otherCategories.

12:4.1 /A-4
Higher Education in the States, Education Commission of the
,Statei, approx. 30 pp., (ECS, Denver, Colo.).
Three times a year a pamphlet from this series is issued providing
annual information on state higher education activities, legislation, and
support of private institutions and students. One issue deal% with the states
individually, citing problems, activities, achievements, changes, and other
events of interest tci, the postsecondary eduCation community. Such, a
document is useful to planners wishing to keep abreas ent state events
in education.
A second issue is devoted exclusiitely to reporting new legislation in
higher education on # state-by-state basis. A third issue contains an annual
tabular survey of programs in operation or approved= for state support of
private higher education. Programs are briefly identified and funding levels,
stated for each' of six support areas: contracts, direct institutional aid,
disadvantaged/minorities, facilities assistance/authorities, medical/dental/
nursing, and student assistance. Other periodic issues contain special reports
such as a survey of the ,basic legal structures and responsibilities of state
coordinating or governing\agencies and other special topics.

12:4.1/A-5
Projections of Education Statistics, Martin M. Frankel and Forrest
W. Harrison, approx. 150 pp.. (National_ Center for Education
Statistics, Washington, D.C.),
This annual publication provides projections of enrollments,
graduates, faculty, expenditures, and student charges for instititions of
higher education. The projections assume, primarily; that the trends over the
419
451
 111 POLICY AND OENERAL REFERENCE

past II years in enrollment rates, retention rates, class sizes, and per-student
expenditures will continue through the next decade. The population 18 years
of age is used for projecting both high school graduates and first-time college
enrollment, Preferable, in this reviewer's opinion, would be' the more
.

laborious cohort-survival methodology whereby survival rates are projected

for successive annual groups of pupils, thus closely relating college enroll-
ments to a more refined known supporting population.
,,Projeetions are made, principall byibusing traight lines .fitted by the'
least squares technique to a ratio (a
for eriple, o enrollment to population)
as the dependent variable 'and time in years as independent variable. This
methodology is generally acceptable for determining a long-range trend in
data, is the intention 'of the authors. However, it also frequently results in a
degree of diadontinuity between last known observations and values for the
immediate following projected years. This occurs when the projected trend
line fails to coincide with the last knowiwbservation and the projection must
be "relocatd." Early projected values may tbus be subject to greater
deviatkin from the long-range trend than later values, and should be used
with this understanding in mind.
The National Center for'Education Statistics employs the Consumer
Price Index (CPI) to establish "constant-dollar" values. The CPI, designed
to price a market basket of goods and services purchased by general con-
sumers, his little relevance to The purchases of college and universities,
which are primarily faculty, nonprofessionals, and contracted services.
Consequently, the' alidity of projected dollar amounts so adjusted depends-
. on the degree to which the CPI happens to reflect inflation in the education
industry. Fortunately, recent trends in the CPI and the Higher Education
Price Index (designed specifically ;CO measure inflation in curent operations
of colleges and universities) have been similar, although individual yearly
values differ markedly.

12:4.1/A-6
Rankings of the States, Richard 3. Nuanes, approx.. 60 pp. (National
Education Association, Washington, D.C.).
This annual report provides 128 ranked lists of state data organized in
nine sectidns: population, enrollment and attendance, faculty, general
financial resources, governmental revenue, school revenue, governmet
expenditures and debt, school expenditures, and miscellaneous. Although
oriented 'toward elementary-secondary education, a substantial number of
measures deal directly with higher education. The general demographic and
economic data, particularly government finances, also are of value to
planners at the postsecondary level.

420
 REFERENCE',TA'TISTICS AND INFORMATION 1114.1

12:4.1/A-7
State Postsecondary Education Profiles Hanftook, Nancy M.
Beive, ed., approx 260 pp. (Education Commission of the States,
Denver, Colo.). .

This annual handbook present's information abOut postsecondary

education in the 50 states and the District of Columbia. information.about
each state is organized into four main pans as follows.
Part I includes a narrative description of the state-level coordinating or
gpveming agency, institutional governing boards, current mister plaiming
activities, the 1202 Commission, state student assistance agency or agencies,
the state board of vocational education, the state-level organization for
private collegestAnd the state licensure or approval agencies. Additionally,
three, descriptions are included for certain groups a,, .'they apply to some
states,volUntary or statutory committees for articulation between ekmen-
-tary-secondary and -pestsecondary education,. nongovernmental organiza-
nons whole membership includes both public and private instititions; and
statutory adviSory committees or task forces..
Part II includes descriptive statistics on state population and trends,
state and local financial base, state and local govermental spending, state
and f Al spec ding on higher education, student lernand for public higher
educaOn, institutional program mix, faculty support and load, diversity of
postsecondary funding sources, and student tuition and fees.
Part Ill includes a section listing the annual and biennial reports
published by state agencies available for distribution. Another section
contains recently published special reports and studies, along with the title,
publication date,, availability, the agency requesting and completing the
report, and major issues covered. .

Pan, IV lists special reports and studies currently underway or being

planned.

12:4,110
Standard. Education Almanac, B. Chandler, consulting ed.,
approx. 600 pp. (Marquis Who Who, Chicago).
-This. reference presets- a voila:lion. of. the latest . available reports, ,

charts, graphs, and articles from a varic& of sources on the social,

economic, and legislative trends affecting all levels i}f education in the
United States and Canada. It covers. enrollment trends, degrees awarded,
P

reventies,and expenditures, profiles of student and instructional/administra-

tive staffs, minority achievement, correlations bett.yeen 'employment and
educatio. attainment, and the like.
The higher education section numbers 125 pages and inOudes'enroll-
ment projections,. college admissions. enrollment of fOreign students,
Catholie higher education, college student profiles, insouctional staff,

421

4
11 POLICY AND GENERAL REFERENCE

faculty salaries, tenured faculty, 'salaries Of administrators, institutional

revenues and expenditures, college costs, student financial aid, Canadian
higher education, and othertdata of this type.
The other sections of the volumeelementary and secondary edu1a-
tion,.issues ih education, related statistics, and sources of additional infor-
mationcontain substantial'data and. information relevant to higher educa-
tion, including social indicators of equality. e!! t2re and validity,
clernographici of the 1980!s, educational expectations and college attrition,
bilingual vocational education, and the like.
fo

12:4.1/80
U.S. Higher Education: A Guide to Information Sources, Franklin
Parker. ed., 675 pp. (Gale Research Co. ,' Detroit).
This volume is an omnibus bibliography of over 3,000 entries devoted
to higher education in the United States:- Books and reports are.cited in
virtually all areas of higher education including history, philosophy,
administration, finance, governance, curriculum, student life, library and
audiovisual services, custodial concerns, women, minorities, students,
faculty; and the various components of Federal, state, and local relations.
The bibliography is comprehensive with respect to 20th century works and
includes a generous selection of the most important 19th century publica-
tions.
The large number of specific subjects and topics covered precludes an
organized subject arrangement. Rather, entries are listed in alphabetical
order by author. However, a detailed 75-page subject index is of consider-
able assistance in locating specific topics. An author index is also provided.
The annotations. while usually only one or two sentences in length, are
Carefully prepared and of substantial aid in conveying content.

4.2 Bibliography

12:4.2/S
Educational Resources Information Center
The Educational Resources Information Center (ERIC), sponsoresi by
the Natiohal Institute of Education, is a naticawide network of clearing-
houses and other contractors designed to develop a bibliographic data base
covering the English-language literature of education. The emphasis is on
the fugitive literature (technical reports, curriculum materials, project
descriptions, etc.) and on journal articles.
The 16 ERIC clearinghouses are each responsible for a specialized
segment of the entire field, e.g., Career Education, Higher Education,
Junior Colleges, Teacher Education, etc. Each clearinghouse collects
422

4
 REFERENCE-BIBLIOGRAPHY 1 AMA

documents and catalogs, indexes, and abstracts them for inclusion in the
machine-readable data base. The clearinghouses also produce syntheses of
the literature known as Information Analysit Prodlicott, and assist.users in
retrieving needed information from the data base.
The ERIC Processing and Rekrence Facility is responsible for editing
the work of the clearinghouses, constructing the machine-readable data base,
photocopying a monthly abstract journal, and providing the data base
on magnetic tape to interested users.
The ERIC Document Reproduction Service (EDRS, F.:0. Box 190,
Arlington, VA 22210) is responsible for preparing microfiche of all
documents in the system that are released by their authors for reproduction
(about 90 percent of the total). EDRS provides .a subscription StrViM for
ERIC microfiche, and processes on-demand Orders for microfiche and
paper copy.
The two. principal products of the ERIC system are abstract journals
(cited below): Resources in Education (RIE) and Current Index to Journals
in Education (CUE). Secondary products are the Thesaurus of ERIC
Descriptors (the indexing vocabulary), the micrifiche: collection, the
magnetic tapes, and various subsidiary publicationi such as the Title Index,
Contract Number Index, and Report Number Index.
The ERIC data base is retrievable. via three major 'on-line vendors:
Lockheed, SDC, and BRS. The ERIC microfiche collections exist at some
700 locations, both domestic and foreign, and computer searches of ERIC
are available at several hundred locations. The ERIC system is the pre-
eminent bibliographic data base in the field of education.

Resources in Edurilion (RIE), Educational Resources Information

Center, approx. 400 pp. (ERIC, Washington, D.C. ).
RIE is a monthly abstract journal announcing recently completed
research reports, descriptions of programs, and other documenti Of educa-
tional significance indexed by subject, author, and institutional source.
Abstracts are limited to 200 words.. Entries are made once and not repeated
in subsequent issues. Periodical literature is not included (see entry below).
Cumulative, semiannual indexes are available.

Current Index to Journals In Education (CUE), Educational Re-

sources Information Center, approx. 300 pp. ERIC, Washington,
D.C. ).
CUE is a monthly guide to the periodical literature, with coverage of
more than 700 major educational and education-related publications. It
includes a main entry section with annotations, and is indexed by subject,
author, and journal title. An annual cumulative index is available.,

423
 12 POLICY AND GENERAL REFERENCE

12:4.2/81=1
Higher Education: A Bibliographic Handbook, D. Kent Halstead,
ed., 1,400 pp. (National Institute of Education, Washington, D.C.).
Earlier works by Lewis Mayhew, Roger Kelsey, and others provided
yearly bibliographic coverage of higher education literature, but these have
been discontinued. This Iwo-volume handbook begins a series that is
intended to fill this void. The initial editions cover the 1970 decade, with
subsequent additions tentatively planned every 21/2 years.
The subject--higher educationis broadly defined to include the
i
activities of colt es and universities; the organization and programs of
institutions, to ether with the public and government roles; the resources
employed; and the corporate knowledge deVeloped through experience and
study of education by the different disciplines.
Entries have been carefully screened and are recommended by'expe.,s
for their substance 'and diltinctive contribution. The Axperts; serving as
associate editors in their field of specialization,. are well-known schOlars
and practitioners recognized for their competence. Also adding value to the
bibliography are the complete annotations, which assist the reader in
identifying content most likely to meet his or her specific needs.
The two yolumes cover 38 topic areas, with various subdivisions. The
first volume contains topics generally studied in an aggregate universe or
collective 'whole at the state or national levela macro approach. The
second volume includes topics typically studied in the context and from the
perspective of the individual institution or campusa micro approach.
The associate editors provide an introductory description of their
4
topics and an outline of subtopics. For both volumes, the number of "iub.
topics totals 243, providing a surprisingly high degree of classification
"detail.
\
The topics covered in Volume I are; compah\itive national systems;-
demography; economics; educational opportunity; finance; governance and
coordination; history; independent (private) higher education; institutional
role and mission; managementquantitative approaches; philosophy;
policy, planning, and general reference; productivity and cost-benefit
.

analysis; research and research administration; resource allocation and

budgeting; student characteristics and development; student financial
assistance; and work It lducatiop.
The topics coves, 1 Volume II are: adinission/aiticulation/retention;
business administrmion, 'campus and building planning; community col-
leges; computing services; curriculum; educational communication and
.

technology; faculty; health science education, institutional advancement

(public affairs); institutional financing and budgeting; institutional man-
agement; institutional planning, studies, and analyses; leadership and the
presidency; libraries; lifelong learning; private Career schools (proprietary

424

456
 REFERENCE-BIBLIOGRAPHY 1 044
education); space management and projection; student affairs; and teaching
and learning.
An author index and a title index are presented,

12:4.2/81-2
Higher Education Periodicals: A Directory, Thomas Dyer and
Margaret Davis, 148 pp. (Itistitute of Higher Education,. University
of Georgia, Athens).
. This volume is an annotated 'directory (bibliography) te, 269 peri-
odicals that regularly publish articles and other items of interest to higher
education administrators, professors, graduate students, and others inter-
ested in the scholarly or professional literature 'of the field. The "peri-
odicals" listed embrace a variety of publications, including Acholarly and
professional journals, newsletters of professional associatiorw 1.(agazines,
and other serials that focus on higher education topics.
Information about individual periodicals is arranged under seven
principal* headings: title, sponsoring agencies and publishers, editors and .

their addresses, brief description of journal's distinguishing charaCteristics,

subscription pricei and addresses, circulation, and policies with respect to
publication of manuscripts (indicating whether unsolicited manuscripts are
accepted, guidelines, concerning preferred style and manuscript length, and
the number of copies required).

12:4.2/80
Index to Anthologies on Postsecondary Education, 1960 -197$,
Richard Quay, 342 pp. (Greenwood Press, Westport, Conn.).
Quay has performed a valuable and unique bibliographic service in
preparing this index of. anthologies. It 'is valuable in that the individual
essays and articles have been freed from their respectiVe anthological
homes and are reorganized in a more functional manner and available for
individual scrutiny It is unique in that this approach is rarely encountered.
The 218 anthologies included cover the 1960-1978 period and col-
lectively contain over 3,600 articles and ,essays on a wide spectrum of
educational isues. The essays are arranged. under 31 uiiic headings,
ranging from "Adniissions, Access, and Accreditation" to the "Politics of
Postsecont...ary Education," The "Faculty" chapter, for example, lists 323
entries from 64 anthologies; The dipth and importance of the reorganiza-
tion function thus becomes. clear.
More than 80 percent of these articles were original c tributions to
the anthologies in which they appeared and thcrefo are not readily
identifiable through standard bibliographic sources. With few exceptions,
they can be independently identified only in this. Index. *In additionto the
main entries arranged topically, the Index lists each piece by author and
subject to assist in locating specific works.
425'

45'
12 POLICY AND GENERAL REFERENCE

12:4.2/79
A Guide to Referem.e Sources in Higher Education, Peter P.
Olevnik, 45 pp. (State University of Rew. York, Buffalo).
This volume is a comprehensive', annotated bibliography of 81
general and special reference sources related to the field of higher educa-
tion. Entries are arranged by source type: bibliographies of bibliography;
bibliographies (special); bibliographies (general); biographical diction-
aries; encyclopedias; guides and handbooks; indexes to periodical's; law;
microforms; state government publications; statistics; and U.S. Govern-
ment. publications. Among' the topics included in the category of bibli-
ographies (special) are: administration; affirmative action; comparative
higher education; finance; history; minorities; student activism; teaching;
and planning. An author index and a title index are included.
Bibliographic Guide to the Research Literature by Anne Hastings (ERIC
Clearinghouse on Educational- Management, University-of Oregon, 302
pp.), which was published subsequent to and is therefore not listed in the
1979 edition of the Guide. The more recent work covers books and
monographs published from 1960 through 1979. Entries are classified
according to subject matter into eight major sections and 47 subcategories,
An author index and a "subject index are provided. An appendix lists and .

describes the major indexing sources of public documents.

12:4.2/76
Research in Higher Education: A- Guide to Source* .Bibliog-
raphies, Richard H. Quay, 54 pp. (College Entrance Examination
Board, New York).
More than 500 references are contained in this three-part book. Part I
is an alphabetic listing of bibliographies, reviews of literature, and research
items in educational journals. Pan II provides subject access to the listings
through an inventory classification scheme. Part III is a topical index.
Although entries-cover the period from 1917 to 1975, over half the
citations were published in the 1970's. Annotations are not provided.
Bibliographic items availabl.; tem the Educational Resources. Information
Center (ERIC) have been identified by including the ERIC document
number..

12:4.2/73
The Small College: A Bibliographic Handbook, Thomas A.
Askew, 135 pp. (Council for the Advancement of Small Colleges,
Washington; D.C.).
This annotated bibliography contains selected research, available
from 1956 through 1971, specifically devoted to small colleges. Although
dated, the work is included here because of its specialized study of small
426
 REFERENCE-DIRECTORY 1214.3

colleges (defined as a college with fewer than 2,500 full-time students) and
because of,the general exiguous number'of bibliographies in higher educa-
tion diet warrant attention toward and promulgation of those few that do
exist. The Council for the Advancement of Sritall Colleges h_as,no current
plan, to update this bibliography..
For the benefit of the readers, separate author and subject indexes are
prOvided. The subject index contains key words that appear in the, annota-
tion and is followed by the appropriate bibliographic entry number. Each
annotation is two to three sentences. The bibliography is divided into 12
subject areas, as follows: 'general studies on thesmall college; curriculum
and philosophy of education; pedagogy, teaching, and learning; libraries
and learning!. resources; faculty; students; 'governance; administration;
finance, budgeting and development; long range planning; physical
'facilities; and interinstitutional cooperation and consortia.

4.3 Directory

12:4.3/A-1
Directory of Professional Personnel, Education Commission of the
States, approx. 90 pp. (ECS, Denver, Colo.).
This annual directory provides names, addresses, and phone numbers
of statewide agencies in each state, together with names and titles of
principal staff members. Also, included are: the Southern Regional Educa-
tion Board, the Nod England Board of Higher Education, and the Western
Interstate Commission for Higher Educationtogether with the National
Center for Higher Education Management Systems and planning agencies in
the Canadian provinces.

12:4.3/A-2
Education Directory: Colleges and Universities, Carolyn R. Smith
and Geneva C. Davis, approx..530 pp. (National Center for Education
QStatistics, Wa6hington., D.C.).
This book lists institutions in the United States and its outlying areas
that offer at least a 2-year prograni of college-level studies and, in most
instances, are .accredited by a nationally recognized accrediting agency or
approVed by a state department of education or state university. The
information presented for each institution includes its telephone number,
addreis, congressional district and county in which it is located, Federal
Interagency Committee on Education (FICE) identification cock, date eStab,
lished, fall enrollment, undergraduate tuition and fees, sex of student body,
calendar system, control or affiliation, highest level of offering, type of
program; accreditation, names and titles of princimal officers, and a coded
classification of principal officers by fUnctional area of responsibility.

427

459
12 POLICY AND GENERAL REFERENCE

4.4 Data and Information Sources and Services

12:4.4/S-1
EDSTAT II . .

EDSTAT II is a national on-line education data retrieval system

operated by the Division of Statistical Services, National Center for Educa-
tion Statistics. Users anywhere in the continental United States can query the
extensive data bank of education statistics through standard yboardtype
computer terminals, using the facilities of a national co ervial time-
sharing service sponsored- by the General Services Administration.
EDSTAT data tiles have been prepared for use with an information' man-
agement and retrieval software package, permitting many users to
simultaneously query the same data base. In addition, EDSTAT data files
are available in Fortran-compatible form to permit user to develop educa-
tional models and perform statistical analysis using existing software 'pack-
ages (e.g., 'SPSS, Statistical Package for the Social Sciences),
EDSTAT data are stored both on-line and on magnetic tape. Frequently
used data are immediately available to users. Other data require delays of a
few minutes to aew hours (depending upon the size of the data file) before
they can be interactively acquired by the. user. Costs of using EDSTAT vary
according to requirements and usage. The user bears all telephone and data
processing charges for his use. All EDSTAT data base preparation and
storage costs are incurred bg NCES.
The scope of EDSTAT data holdings is essentially limited to United
States Government statistics, priMarily those collected by NCES. TO date,
EDSTAT has placed emphasis On developing postsecondary-educationdata
resources (e.g., HEGIS) for public access, but there are increasing numbers
of requests f o r other ty s of education datavocational, elementary/
secondaryand EDSTAT is tctively seeking to address these data needs.

12:4.4/S-2
NiCHEMS Database Holding and Services
The National Center for Higher Education Management Systems
(NCHEMS) database holdings include data from such organizations as the
National Center for Education StatistiCs the Census Bureau, the National
Science Foundation, and the Center for Human Resources., Institutions and
states are predominant units of analysis in the databaie. The subject matter
includes enrollments, earned degrees' conferred, employees of higher educa-
tion, institutional characteristics, state-level finances, institutional finances,
and general population demographics and other statistics of individual
States. Several data files are compilations of data from, a large number of
sources. These data were created 'primarily for particular research and data
analysis projects, and represent a rich set of data that can be used by other
individuals for postsecondary education research and planning.
428

460
 REFERENCE-DATA AND I 24.4
INFORMATION SOURCES AND SERVICES

In addition to comprehensive database holdings, NCHEMS access to a

numba of dat management and analysis packages is provided. These,
include: MARK IV; the Bureau of Labor Statistics Table Producing
.Language (TPL),' Biomedical Computer Programs (BMCP), Statistical
Package for the Social,Sciences (SPAS); Statistical Analysis System (SAS),
MINI-TAB; and OSIRIA. These packages provide the capability for
reorganizing, combining, and reformatting data files, and the capability for,
extensive and sophisticated statistical analysis of the data.
An IBM 360/195 located at the United Airlines Computing Center
Denver is used. A remote job entry facility, located at NCHEMS in Boulder,
Colorado, is used \to communicate with the system at UAL. Nine-track, 1,1

800-bpi, 1600-bpi, 'and 6250-bpi tape drkves are available. This capability is
suppkniented by the acjitjc computing center at the University of
Colorado, Hardware facilitietAere include dual CDC 6400's and 7- and
9,track 800/1600,bpilape drives., . - _

'1 2:4'.4/3-3 . .

National Center for Education Statistics Catalogue of Publica-

tions, National Center for Education Statistics, approx. 15 pp.
(NCES, Washingtoh, D.C.). * *,,

This catalog list a variety of publications availabte from NCES, the

Department of Education agency that collects and disseminates statistics and
other data related to education in the United States: The Center publishes
"early releases" of relirninary and selected statistics, "bulletins" an-
nouncing limited dat of special importance, and general statistic studies,
most notably the gest of Education-Statistics,. Statistics of-Trends in
Education, and Condition of Education, annotated separately in this
section.
_In postsecpndary education, publications present statistics on a wide
range of topic4 such as earned degrees conferred, black institutions, tall
enrollment, in litutional finances, women in vocational education, migra-
tion, of studen s, inventory of physical facilities, library statistics, college
graduates, ad It- basic .and secondary programs, Federal policy dita needs,
and various national longitudinal studies. The Center also publishes "direc-
tories' of colleges and 'universities and of state education agency officials,

12:4.4/76. .

A Guide to Sources of Educational Information, Marda L.

Woodbury. 371 pp. (Information. Resources Press, Washington,
D.C.).
This reference is a guide to the following types of information sources:.
( I ) printed materials that consolidate, keep current, or lead to further sources
of information; (2) education libraries or information, centers; (3) organiza-
429

46t
 12 .POLICY AND GENERAL REFERENCE

tions and government agencies activ or knowledgeable in education-related

fields; and (4) special search or bibli c services.
Elementary and secondary education are more r gnprehensively covered
than postsecondary education. The descriptiO;... provide the user with a
clear means of tapping_the_potential source and 4 general description of the
type of information available.

12:4.4/75
a. Reference Guide to Postsecondary Education Data Sources,
Katherine A. Allman, 292 pp. (National Center fdr Higher Education
Management Systems, Boulder, Colo.);
This reference is the only guide directed exclusively to identifying data
sources useful to postsecondary education planning. It describes publica-
tions, articles and data bases related to most of the items of information
identified in the NCHEMS S t a t e w i d e Measures Inventory ( 10:2.1/75). For
the various references, information is provided on how the data are
organized, the kinds of information given, the level of aggregation, the years
for which data are available, and those measures in the Statewide Measures
Inventory that correspond to the data referenced.

12:4.4/74
Directory of Educational Statistics: A Guide to Sources, Malcolm
C. Hamilton, 71 pp. (Pierian Press, Ann Arbor, Mich.).
This directory guides readers to sources of educational statistics; both
current and historical, on a wide range of topics. The publication. history of
each series is described on a year-by-year basis. The descriptions for the
statistical entries are general and insufficient to-determine the data's com-
patibility with other elements. A helpful -improvement would be more
detailed description of the series to include format o_ f presentation, coding
employed, and levels of aggregation.

430
=

4 6 ()
 13

Productivity and
Cost-Benefit Analysis

Wayne R. Klirschling

The most common conceptual model of productivity is based on

the relationships between inputs (factors of production), processes'
(produCtion technologies), and outputs (products or goods and
services): A distinction is usually made between effectiveness and
effiCiency. Effectiveness involves producing the "right" outputs in
response to the demand for certain goods and services, the city:eta=
tions of financiers, and the goals and d objectives of -the producing unit.
Efficiency entails producing outputs using the least costly combina-
tion of inputs and processes.
41
The distinction is sometimes made between mechanical models
of productivity (e.g., the input-process-output model) and behavioral
models. The behavioral model coniiders such concepts as incentives
for and constraints on individual and collective behaviors, and the
correlation of interpersonal relationships (e.g., peer groups among
students, and the community of scholars among faculty). These two
types of models are not opposed; rather, they provide important,
complementary perspectives on higher education productivity. The
mechanical model provides important data on how inputs and pro-
cesses affect outputs, the kind of information often needed for state
and Federal planning. The behavioral. model helps explain why higher
431
463
13 PRODUCTIVITY AND COST-BENEFIT ANALYSIS

education cannot be considered in purely mechanical or "black

box" terms. UnlesS human behavibr is taken into account when
introducing operational changes, little real improvement is likely to
'be accomplished.
The entries in this topic are meant to increase awareness and
under;tanding of productivity and thus help planners Maintain and
improve higher education productivity in terms of reduced costs and
improved outcomes. The entries Within the following subtopics are
divided according to whether they.: ( 1 ) report empirical findings, (2)
.suggest means for improving productivity, or (3) describe and discuss
appropriate methodology.
Outcomes: Outcome considerations are part of the planning
process, for goals developed during planning can be viewed as
=intended outcomes, Because the goals of education are considered:
under several other topics (see Topic 9: Institutional Role and Mis-
sion; .and Topic 12: Policy, and General Reference), the primary, but
tot exclusive, emphasis here is on entries that concentrate either on
how gods can be translated into measurable 'outcomes, or on how
actual. outcomes compare with previously developed goals. Entries in
this subtopic consider such outcomes as student achievement, faculty
productivity , and degrees awarded. Other entries cover ways to assess
needs and build outcome considerations into higher education man-
agemsnt. An ett rt has been made to emphasize entries that reflect a
complehensive view of broad individual and social outcomes without
delving into specialized interest, groups.
Costs. If outcomes can be described as a pivotal factor in
planning, costs are an inevitable faCtors. Costs are studied primarily
from an institutional standpoint:ways to Aise resources more ef-
ficiently, ways to reduce expenditures, and ways tq'achieve low-ccist
instruction. This cost analysis involves all types of costs; total, fixed,
variable marginal, and average. (Student costs are covered in Topic
.17: Student Financial Assistance; the question of underwriting costs'
and how this can be accomplished is covered in Topic 5:' Finance.
Other theoretical and macroeconomic concerns of higher education
arc considered in Topic 3: Eco orniCs).
Cost/Outcome Relationahlps. In some wayS-the analyses of
costs and outcomes are bec mg specialized 'in higher education.
Outcomes are argely the c, ncem of academicians, faculty, and
department heads; costs, of accountant and financial mana3ers. Often
these two two interests come together only at the chief executive or
board of regent level. ThiS division is seemingly un-upportive of
432'

464
 OUTCOMES-EMPIRICALSTUDIES 1 3s 1.1

Productivity (at least in theory and probably in practice); yet it is only

when costs and outcomes are analyzed in combination that produc,r.
tivity. studies can realize .their full potential. In higher education,
planned outcomes need to be adequately. supported. Financing, in
turn, needs the direction provided by clear and agreed-upon goals and
objectives. This subtopic addresses the link between costs and out-
comes.
The cost of programs and their final impact are both required to
measure productivity. This dual measurement requirement should be
of major concern to planners, for inadequate productivity studies can
dainage the substance of higher education, just as .cbmpletestudies
can enhance it. The entries chosen here are in- tended to encourage
productivityinalyses that_are complete and beneficial.

TOPIC ORGANIZATION

13: Productivity and Cost-Benefit Analysis

1.0 Outcomes
1.1 Empirical Studies.,
1.2 Recommendations .

1.3 Methodology
2.0 Costs
2.1 Empirical 'Studies
12 Recommendations
2.3 Methodology ,
3.0 Cost/Outcome Relationships
3.1 Empirical Studies
3.2 Recommendations
_ 3.3. Methodology - _

1.0 OUTCOMES
1.1 Empirical Studies

13:1.1/77-1
"The Effects of Academic Departments on Student Learning,"
Rodney T. Hartnett and John A. Centra, The Journal of Higher
Education, September/October, pp. 491-507.
This study is a key addition to the Iiierature dealing with college effects

433.- _ _ = _

4 65
 13 PRODUCTIVITY AND COSTBENEFIT ANALYSIS

on student outcomes. Most Of the earlier research on college effects focused

on the impacts of different college environments; hence, the unit of analysis
in these studies was the institution. In this Study, the focus is on the "effects
of academic departments on student achievement as assessed by standard
measures of knowledge within selected subject areas." Departments from
four fields-4iology, business, mathematics and psychologyare studied.
The criteria are the average.scores of students from each department on the
adVanced tests of the Gradilate RecOrd Examinations (GRE) and on the field
tests of the Undeigraduate Program (UP) of the Educational Testing Service.
Information on departmental characteristics. was gathered by a survey of
departmental chairmen.
These specific questions are addressed. Are there substantial difference
between departments within an institution as regardi their effects on student
learning? Are there differences' in student learning effects among sub-
discipline specialties Within the same department? Are there departmenq
characteristics that correlate With the student learning effects of depad-
k
ments? The finds of the study with regard to each of these quZstions,
respectively, are that: ( I) "There does appear to be evidence of frequent
educational effect differences between departments within the same institu-
tion; (2) There was very little diversity. [in educational effects]. between
subfields with departments"; and (3) "Analysis of various characteristics of
departments failed to identify any features consistently associated with
indexes of effectiveness."
This, important study's major limitation, which it shires with many
other studies in this area, is that it looks at a single outcomein this case,
student achievement based on standard measures. The analytical method-
ology it employs (regression analysis)is suited to the study of a single
outcome but not of the multiple outcomes that characterize most academic
departments. This limitation. does not detract from the study's major
finding, that there arz important differences in student learning at the
departmental level.

13:1.1/77-2
",Productivity Ratings of Graduate Programs in Psychology
Based on Publicsijons in the Journals of the American Psyclio-
logical Association," W. Miles Cox and Viola Catt, American,
Psychologist, October, pp, 793-813.
This article provides objective indexes of quality for graduate programs
in psychology, with quality being measured by the quantity of publications ,
in '13 journals of the American PscholOgical Association. These journals
. were chosen for their selectivity (asevidenced by their rejection rates) and
their prestige among psychologists. The number of articles associated with
434

466
 t
OUTCOMES--EMPIRICAL STUDIES 130.1

each of the 76 most productive colleges and universities are reported for each
2-year period from 1970 through 1975. Separate tables for each of the 13
joumals,ate presented, as well as a table that ranks programs on their overall
productivity per faculty memtier.
The authors compare their methodology and results with those of a
1970 Roose and Andersen study, criticizing the Roose and Andersen study
and' its predecessor (Canter, 1966): ". they were based on no objective
indexes of quality but merely upon the 'reputation' of the raters . . . .

(furthermore' then ratings provide only a global view of faculties as a whole

(and] they obscure strengths and weaknesses of programs in particular areas
of psychology." The authors note considerable differences in results be
tween this study and the Roose and Andersen study, and they observe
po.c.;siblebiases in the Roose and Andersenstudyagainst- programs stressing=
applied psychology, against newer programs, and against smaller programs.
The study provides a number of interesting findings about journal
,publication productivity. For example, the productivity of the 76 most
productive programs rose only 1.0 percent during the 6-year period; few
programs were found to be equally productive in all areas& psychology; and
in an aggregate senSe, there were wide variations in productivity even
among the most productive programs.
While limited to,Psychology, 'this study is important because of' the .

comparisons it draws with the Roose and Andeisen study, which.applies to

graduate programs in all disciplines. Further, it provides a concrete example
of how journal publication -productivity- can be studied. It recognizes. a
number of limitations, including the need to accoe:it for the production of
books and the possibility that "the quality of instruction that a graduate
student receives is inversely related to the prolificacy of his or her pro-
fessors.," Its major weakness is that it attempts to use a measure of quantity
as a proxy for a measure of quality. ThiS equation is done to facilitate the
comparison with the Roose and Andersen quality rankings. The comparison
is misleading because. different attributes are being measured.

13:1.1/76
Studies of Productivity in Knowledge Production and Utilization
by Schools, Colleges, and Departments of Education, David
Clark and Egon G. Guba,60#.(1nAidna University, Bloomington).
This volume reports the findings of a study of knowledge production
and utilization (KPU) activities in 1,367 schools, colleges, and departments
of education (SCDE's). The study involved seven separate analyses that
examined: "(I) publications in educational journals, (2), documents stored
435
 13 PRODUCTIVITY AND COST-BENEFIT ANALYSIS

in the Resources in Education (RIE) file of Educational Resources Informa-

tion Center (ERIC), (3) published books in education, (4) presentations at
national conventions of educational associations, (5) KPU projects in educa-
tion funded by private foundations, (6) KPU projects in education funded by
other agencies, and (7) the institutional source of termiral degrees of faculty
of SCDE's."
The authors do not report reAlts for individual SCDE's, but suggest
that these data are available upon request. The 1,367 SCDE's studied are
broken down into 12 categories on the basis of three factors: degree level
offered in education (doctoral, master's, baccalaureate)., institutional
control (public private), and likely involvement in educational KM' more
likely, less likely).
The authors found that doctoral-granting universities, whether publicly- .

or privately controlled, rank highest in all areas studied in both total and per
faculty !nattier output. They also look at which types of SCDE's are high
producers and approximately 40 percent of the 153 doctoral ,institutions are
either middle, low, oennnproducers in this classification scheme. Finally,
they compare the educational output of SCDE's to the output of other college
and university agencies (e.g., departments of economics and business) rod
agencies outside colleges and universities (e.g state departments of educa-
tion, U.S. Government agencies) and report that SCDE's account for ap-
proximately 40 percent of ihetiutput in the various areas studied. This rangeS
from a. low of appibximately 6 percent of the ERIC citations It, over 55.
percent of the journal citations.
This study is important for two reasons. First, it utilizes a number of
varied measures of research and development output. Second, itdeals with
schools, colleges, and departments of education. Given the projectiOns of
'excess-teacher supply, support for-these SCDE's is and will continue to be
closely examined. The data assembled for this study and the resultant
findings provide valuable insights for these examinations.

13:1.1/70
-A Rating of Graduate Programs, Kehneth a Roose and Charles J.
Andersen, 115 pp. (American Council on Education, Washington,

This volume reports on the replication of an American Council on

Education study conducted in 1964 by Allan Cartter. Cartter's study
involved 4,000 faculty members at 106 institutions and looked at 30
disciplines. This .study involved 6,000 respondents at 130 institutions and
covered 36 disciplines.
Senior scholars, department chairmen, and junior scholars were asked
to provide peer ratings in three areas: the quality of the graduate faculty; the
effectiveness of the doctoral program; and recent change in the quality of
graduate education. Faculty rating were on a six- point scale ranging from
436

46
 OUTCOMESRECOMMENDATIONS 1 3:1 .2

"not sufficient. for doctoral training" to "distinguished." Programs were

rated on a four-point scale:from "not attractive'.' to "extremelY, attractive."
Change was rated on a four-point scale from "worse than S years ago" to
"better than 5 years ago."
. Results are provided by institution for each discipline. The leading
institutions are ranked; all other institutions are placed within appropriate
groups based on their scores,, but they are not ranked within that group. For
the leading institutions, comparisons are made wherever possible to the
1964 Canter rankings and to the rankings arising out ola similar 1957 study.
The authors point out several policy implications of their study. The
first cif these is that improvement in graduate education should 'not' be
stressed at the expense of improvements in undergraduate education.
Another recommendation revolves around "the apparent duplication of
prOg-tarn -resources, -particularly --by- the -public institutions within-a- state
The authors lee! that "`A hard look must be takeri at programs which fall
below desired standards, with uview toward either shaping up oreliminating
them:" Additionally, the authors feel that, "From the standpoint of national
policy, consideration must be giYen to the possibility that in the future a
more than sufficient supply of Ph.D.'s for most traditional uses can be
trained in the graduate programs of, say, 50 or so top-rated institutions."
This study is the latest reasonably. comprehensi-1 rating of graduate
programs. Although the results of this study are both controversial (mostly
because -they. are based solely on subjective opinions) and outdated, they
continue to be used as the best alternative in studies of graduate education.

See also: Topic 16: Student Characteristic and Development; Topic 14:
Research and Research Administration; and Topic 3: Economics, Subtopic,
4.0-_Econm:,s Impact of Higher Education on Students.

24:1.1/77-', Four Critical YearS: Effects of College on Beliefs, Attitudes,

and Knowledge, AlexanderW. Astin. .

24:1.1/77-2 Invconent in Learning: The Individual and Social Value of

American Higher Education, Howard R. Bowen.

1.2 Recommendations

13:1.2/79
Evaluating Educational Quality: A Conference Summary,
Alexander W. Astin, Howard R. BoWen, and Charles M. Chambers,
35 pp, (Council on Postsecondary Accreditation, Washington, D.C.)
This occasional paper, an outcome of a 1978 conference on accredita-
tion whose theme was "Evaluating Educational Quality," consists of three
conference products: A keynote address by Alexander AStill, a discussion
paper by Howard Bowen, and a conference synthesis by Charles Chambers.
437--

4 EI 9
 13 PRODUCTIVITY AND COST-BENEFIT ANALYSIS

'Astin's contribution, "Student-Oriented Management: A Proposal for

Change," calls for scrapping "research-oriented management systems"
and replacing them with "systems that are primarily student-oriented." He
points out that, "While college administrators typically have access to fiscal
ddta . . they lack regular .teedbaCk. on the educational. development and
progress odhheir students." To make it possible for administrators to choose
among alternative ways of affecting student outcomes, he proposes a theory
of student development that emphasizes student involvement. He then goes
on to review the various ways in which student involvement can be increased
to good effect on learning and development.
Astin goes beyond mere exhortation. He proposes specific steps and
provides reasoned advice an how to implement his recommendations.. For
example, lie counsels that survey results should be shared in a climate that
helps.-" academic departments and administrative service units (financial
aids, etc.) learn more about how they affect students," and that avoids their
use "as a basil' for rewarding good performance and punishing bad per-
formance. . . In another example, he illtistrates how student time
studies might be constructed and used.
Bowen's topic is 'Goals, Outcomes, and Academic Evaluation," and,
like Astir), he stresses the link between outcomes and management. Noting
the paucity of "systematic on-going efforts to assess outcomes, and cer-
tainly few cases where the study of outcomes has been linked to manage-,
ment," he questions whether the alternative bases for decisionmaking,_
tradition, expediency, fad, and intuitionare acceptable. As an aid to
incorporating outcomes into the management of colleges, he. suggests seven
basic principles and identities a series of practical issues in the assessment of
outcomes.
Chambers' conference synthesis focuses on how the accreditation
process be altered to encourage-institutions to practi- outcome-
oriented management. Specifically, he describes a strategy by which an
institution might be encouraged to use its accreditation self-study as a
foundation for future planning. This strategy produces what he terms a
"futuristic definition of accreditation": "An institution or program is ac-
' credited -it' it: -(I) can demonstrate that it can accurately assess its own
potential relative to the evaluative criteria of the accrediting agency; (2) that
it can use this information to design and implement a plan to achieve its
potential; and (3) that the accrediting agency can validate this plan Ind its
success through peer review."
'0
Collectively, these three articles present useful suggestions on how
1 college management might be reoriented to focus on outcomes, particularly
student-related outcomes. To this end, they suggest ways in which this
transforrr lion can be encouraged both by external groups, such as
accreditation teams, and by revisions, of management priorities, styles, and
procedures.

438.-
 OUTCOMESMETHODOLOGY . 13:1.3

13:1.2/76
Improving Education Outcome, New Directions for Higher Educa,
tion, No.' 16, Oscar T. Lenning,,ed., 105 pp. (Jossey-Bass, San
Francisco).
This sourcebook consists of five articles Leonard L. Baird writes of
"ways that educators can improve the campUs environment to prombte
student learning, with special attention on collecting the facts before trying
possible remedies." H.D. Schalock reviews evidence about the effee7
tiverieSs of old as well as hew approaches to instruction" and provides "a
preView of likely approaches in the future." William Moore, Jr., dncribes
"techniques for increasing the learning of poorly-prepared students, in-
cluding changes in administrative and faculty attitudes,". Ernest G. Palola
and Timothy Lehmann relate their experience with the Program Effective-
-ness and-Related Cost (PERC) system in- use -at Empire State College and
describe how it "is contributing to informed decision about educational.
outcomes." Finally, Lenning comments on. "the evidence regarding im-
proved learning and about the role of research and evaluation in Wrther
improvements."
Extensive references at the end of each chapter make this sourcebook
very useful. In addition, Lenning provides a guide to helpful literature in
four areas: attrition/retention; developmental outcomes; innovation/instruc-.
tion; and student characteristics. This sourcebook is the only major work on
improving higher education learning outcomes that covers a broad range of
approaches. Almost all the other literature' in this area either emphasizes
methochlogy, reports findings, or focuses on one particular improvement
strategy.
I

See also: Topi, 9, Ilstitutional Role and Mission.

1.3 Methodology.

13:1.3/80-1
" Appraising- Institutional _Performance,." Richard .1. Miller, pp.
406-431 in Improving Academic Management: A Handbook of Plan-
ning and Institutional Research, Paul Jedamus, Marvin W. Peterson,
and Associates. (Jossey-Bass,.San Francisco).
This review of the literature is directed towards answering the question,
"What aspects of the academic enterprise can provide a useful measure for
institutional quality?" Seven elements are identified as "often involved in
institutional evaluation, whether it beimpressionistic or systematic . !' These
sevm eleMents are: student outcomes; administrative leadership; constituent
perceptions; community impact; fiseal indicators;' state-level boards;
and Federal agencies. The author states that evidence collet' 4d from each of

.439 471
13 PRODUCTIVITY AND COST-BENEFIT ANALYSIS

these areas "should provide substantive impediments to those who want to

over-simplify the appraisal of institutional quality, using one or two
Clements.
For each of these seven elements, the author identifies extant method-
ologies .by which information on institutional performance (quality) might
be gathered. However, this identification. is uneven. For example, the
discussions of "student outcomes" and "community impact" provide
specific .references to useful methodologies, whereas the discussions of
"administra: ve leadership, "fiscal indicators," "state-level boards,"
and ." Federal agencies" provide t'ew such references. Another weakm!ss is
tha the author makes performance equivalent to quality.' Yet institutional
performance involves 'both quantity and quality Considerations: Some
methodologies for measuring institutional performance consider, quantity
and qUality- as separate factors; others consider them as inextricably
interwoven. But in each case, both elements of performance are recognized.
In-addition to.discussing each of the seven possible elements of institu-
tional performance, the author identifies and discusses quite thoroughly five
approaches to institutional evaluation: edticational 'auditing; external con
sultant studies: self-studieS for accreditation; self-studies for other purposes;
and state Federal reviews. Unfortunately, he does not compare and contrast
these approaches in 'terms of faCtors such as inherent biases, costs, and
benefits.,
In summary, 'this survey is recommend because of both its broad
coverage of various institutional performance methodologies and its cur-
rency: Moreover, it- provides a useful list of references to other pubreatiOns,
.including the author's own book, The Assessment of College Performance.

13:1.3/80-2 . _

A Question 'of ,Quality: The Higher Education Rating Game,

Judith K. Lawrence and Kern ieth C. Green, .68 pp.'(American As-
sociation for Highere Education, Washington', D.C.)
This research, report is the most extensive and usefully structured
review ,currently available -.of the literatUre.on -the measurement of higher
education quality. A bibliography of over 200 entries supports the review in
five areas: reputational studies of graduate education; assessments of pro-
fessional program quality; quantifiable indicators of quality; quality assess-
ment at the undergraduate level; aierother dimensions and concern' s in
quality assessinitht.
After providing a thorough review of graduate-level reputation studies,
beginning with the 1925 study. by Raymond Hughes, the authors note that
these studies have had unfortunate, though unintended, consequences:
namely that "research and scholarly productivity are emphasized to the
exclusion of teaching effectiveness; community service, and other possible
functions, undergraduate education is denigrated; and the vast number of

440

4' 4,9
 OUTCOMES-METHODOLOGY 1911.3

institutions lower down in the pyramid are treated as mediocrities, whatever

their actual strengths and weaknes'ses." The authors also state that as-
sessments of professional programs have been dominated by the "peer-
rating, reputational approach to quality" and that studies of professional
schools tend to identify the same institutions as being at the top.
The chapter,on quantifiable indicators addresses quantifiable indicators
found to be correlates of prestige, _scholarly productivity of faculty, and
other quantittiable factors such as faculty degrees and awards, student
quality, institutional resources; and client satisfaction. The authors found
that, "the list of quantifiable measures of human and material resources that
correlate with reputation prelaige is enormous," and because of this, any
further such correlation efforts "would be a wastOof time." Their examina-
r
tion of scholarly productivity efforts uncovered many complications, e.g.,
the -confusion of=- quantity- -with _quality,: and d existence of .important dif-
ferences among disciplines. Their review of quality assessment at the
undergraduate level led to several observations, including the t'acts that there
have been "relatively' few comparative assessments of undergraduate pro-
grams," and, "Unlike reputation rating studies in the graduate and pro-
fessional domains, ranking studies at the undergraduate level do not produce
identical lists." Finally, the chapter on other dimensions and concerns in
quality assessment focuses on accreditation and state program review
procedures: The authors point out that accreditation has two distinguishin-
characteristics: it focuses on an institution's capacity to achieVe its-own
goals and objectives, and it is noncompetitive in that institutions are neither
ranked nor. compared _one_.to.. another, State-level program revie , like
-

acetditation studies, are described as adding "public concerns" o. the

discussion of highereducation quality... . . .

The authors arrive at seven important conclusions: "Quality a. sess-

ments must be referenced to departniental or institutional -goals and, bjec,
tives . . . "; "The diversity of 'American higher education mu 't be
recognized and accepted rather than (as is too often the case) simply paid lip
service . . . "; "New criteria should be incorporated into assess-
: l'hents . , , (including) for example, student satisfaction with the educa-
tional experience; faculty satisfaction with the academic climate; employer
satisfaction with graduates . . . . "; "Quality assessments should give less
emphasis to simply labeling programs and, institutions . . . and more to
pointing the way to improvement. . . "; "Quality assessments should be
.

dynamic rather than static, taking into consideration not only where a
program or institution-is now but also where it has conic from andwhere it
has the potential tdgo in the-future . . "; "More attention should be paid
to the 'value-added' concept of higher education , : ... ": "Failure to
a dress the teaching/learning function represents the greatest weakness of
r/7---dj
quality assessments of American higher 'education."

441

473
r
 13 PRODUCTIVITY AND COST-BENEFIT ANALYSIS

13:1.3/78
.Measures of Institutional Goal Achievement, Leonard C. Romeny,
57 pp. (National Center for. Higher Education Management Systems,
Boulder, Colo.).
One of the missing links in higher educatiOn is that between institu-
tional statements of goals and specific measures of outcomes. It is important
in establishing this link that goals be translated into specific outcomes that
will indicate the extent to which institutional goals have or have not been
achieved. This study attempts this translation.
Some 1.,150 faculty, administrators, and trustees participated in this.
study. They were from 45 institutions representing six typei: public
doctorate-granting aniverSities, private doctorate-granting universities,
public comprehensive universities and colleges, private comprehensive
- universities-and colleges, liberal arts colleges,- and colleges.- They-
were asked about, their institutions' goals and how progress toward those
goals should be measures. .Three general findings emerged: ( I) goals and
ti
measures preference generally varied across institutional types, not among
trustees, .faeulty; and administrators; (2) traditional process .measureso
institutional performance, such as student-faculty ratios and expenditures
patterns, were rejected by 'almost all categories of respondents; and (3)
objective measures pertaining to such impacts of higher education as
satisfaction, growth, and value added were most preferred by the study
population.
Results of the study are reported by the types of institutions studied and
for the respondents'. judgments on the tappropriatepess of-20 different goal
areas for their type of institution. These sok areas conform to the
Institutional .Goal Inventory. developed by the Educational Testing- Service.
In addition, results on appropriate measures of progress are reported by goal
area and type of institution. Differences between faculty, administrators,
and trustees on appropriateness of goal areas and on preferred measures of
progress also are explored.
The study concludes by identifying 14 types of information that would
provide acceptable indications of progress for the seven goal areas rated as
most- important -for -each of type- of institutidn surveyed.' In addition, this
information generally would be acceptable to all three types of respondents.
The 14 types of information are: student ability to apply knowledge; con-
tinuing active intellectual involvement of former students in other than
formal, advanced study; courses offerings and institutional opportunities,
pertaining to the development of individual goals, values, and personal
growth:, students and/or former students ,expressing concern for human
welfare and well-being; employer satisfaction with former students' voca-
tional or' professional training; scholarly works .suitable for publication
produced by graduate 'students and/or former graduate students:. basic re-
search publications or other results of scholarly effort produced by students
442
 OUTCOMES-METHODOLOGY 13:1.3

or faculty members during the past year; evaluations and perceptions of

members of the community regarding the quality of institutional serif' .iies
available to them; existence of special courses and programs to .meet the
needs of particular groups of students; institutional policies and procedures
developed to protect the exercise of academic freedom by faculty and
students: attendance and participation by faculty in the faculty senate or
similar body: faculty and staff perceptions and evaluation of internal, morale;
student and/or faculty attendance at cultural activities sponsored by the
institution; impacts of modifications made in courses and programs.

13:1.3/77-1
Identifying and Assessing Needs in-postsecondary Education: A
Review and 'Synethesis of the Literature, Oscar 'T. Lenning,
Edward M. Cooper, and J. Robert.Passmore, 126 pp. (National
Center for,Higher Education Management Systems, Boulder, Colo..).
.In this volume, Lenning points out that: Most colleges have from their
founding 'endeavored to understand communities and students they
...
serve, and how to best meet their needs, but usually such assessment efforts
have been subjective, unsystematic, and ad hoc. During the 1970's, how-
ever, a significant body of knowledge has 'been building that can help
institutions to identify the needs of the constitutents they serve, and to
evaluate those needs in a much more eft t:ctive manner.
This document is intended to serve several audiences and purposes,
_including individuals at the state and Federal levels, by providing them with
an overall conceptual framework that could help guide their needs assess-
ment efforts. The document attempts 'to ,organize and summarize all
information that could be found about needs assessment and the state4if-the-
,
art as it applies to postsecondary education." '
While this is not "how-It-do-it" manual, it is an important back-
ground document for planners and others interested in the emerging topic of
needs assessment. A wide variety of approaches to .needs assessment are
included. These descriptions should help in making various individuals
aware ofalternative approaches to actual studies of-needs,

13;1.3/77-2
Increasing the Public Accountability of Higher Education, New
Directions for Institutional Research, 'No. 16, John K: Folger, ed.,
99.r. (Jossey-Bass, San Francisco).
This sourcebook teviews recent efforts by states, to. build outcome
considerations into their higher education practices. The emphasis. is on
describing and'analyzing actual experiences in specific states, rather than
on the development and discussion of theoretical possibilities.

443

4 75
13 PRODUCTIVITY AND COST-BENEFIT ANALYSIS 0

Three specific approaches to obtaining "more accountability and

more effective performance from public institutions" are examined:
performance budgeting (a budget "that bases at least some funding on the
outcomes or quality of the budgeted activity"); performance audit ("an
assessment of the effectiveness of an activity or organization in achieving
its goals and objectives"); and program reviews ("an assessment of the
need for and the effectiveness of a Proposed or existing program").
Collectively, these approaches involve a closely related set of concerns
about outcomes, quality, effectiveness, goals, objectives, and needs.
State-level perforinance budgeting is reported by Robert J. Barak,
Robert 0 Berdahl, Marvin W. Peterson, J. Michael Erwin, and Richard
Wilson, with recent developments in Hawaii and Washington cited as.
examples. "Legislative Program Evaluation" is reviewed by Berdahl,
with Wisconsin and Virginia serving-as Specific examples.-Barak addresses
the topic of Program Reviews by Statewide Higher Education Agen-
cies," with Florida and New York as illustrations.
John K. Folger,,, in his concluding article, provides the following
useful analysis'Of these approaches: First, the interest of public officials in
greater accountability of higher education, will probably increase. Second,
accountability based only on fiscal considerations is no longer sufficient;
instead, accountability for results and effective performanct,is now ex-
pected. Third, the application of pertbanance measures in higher education
creates special problems because of the historic autonomy of colleges and
universities regarding their academic programs and 'factions; yet if an
audit or review is performance based, it must deal with the evaluation di
academic programs. And fourth, so far there is little agreetnent about how
much of any assessment or review can be left to the institution and -how-
much should be undertaken by other state agencies.---and by which agen-
cies, at that. :
From this analysis it is clear that stateinstitution relationships are
entering a new phase in which productivity considerations will play an
increasingly impinant role. This sourcebook does an excellent job of
capturing the substance and tone of this phase in key states.

13:1.3/77-3
A Structure for the Outcomes of Postsecondary Education,
Oscar T. Lenning, Yong S. tee, Sidney S. Micek, and Allan L.
Service, 72 pp. (National Center for Higher 'Education Managment
Systems, Boulder, Colo.).
This document describes the development of a system designed to
effectively organize information about intended and/or actual post-
secondary education outcomes for purposes of classification, analysis, and
decisionmaking. The conceptual foundation ot' the structure characterizing
the attributes and other factors important to understanding educational
444

476.
 /
0

OUTCOMES- METHODOLOGY. 1 3i 1 .3 ,

outcomes isdescribed, a proposed structure is provided, and principles and

criteria for developing or evaluating any outcome structure are identified.
This work. is based on a-thorough review of previous attempts to structure
educational outcomes (see also 10:2.2/77-3) and on 6 years of research on
. outcomes by the National Center for Higher Educ-ation Management
'Systems,
The authors justify the need for a structure such as theirs by pointing
out that:
Having a wide 'variety of outcome inforniation without any
Structure is analogous to possessing a the cabinet in which the
contents are randomly arranged. Similarly, without agreement
on a common language and context for outcomes, it is difficult
for institutional officials to -communicate succinctly how their
institution and program differs from its couriterpartS.-Aneffee----
live outcome structure can be of assistance to postsecondary
education planners and managers for those purposes as well as
for identifying needs, developing goals, translating goals into
concrete objectives, setting priorities and plans, and evaluating
institutions and their programs.
From an analysis of six attributes or characteristics of an educational
outcome and other fai:tors, the authors evolve an outcomes structure that
has three dimensions:. audience (the persons, groups, ,or entities that
receive and/or affected by the particular outcome): type of outcome-
( whether or not. the outcome involves a change in status and the basic,
specific entity that. is maintained -or: changed):- and -time --(time 'frame in
which outcome occurs or is intended to occur).
Each of these dimensions is`dis'aggregated-. For example-, the audience.
dimension is disaggregated -into the following _categories:_ individual/group
clients, interest-bused communities, geographically based communities,
aggregates of people, and other audiences. Each of these categories is then
further disaggregated into sets of subcategories. The type-of,bufcome cate-
gory is broken down' into five major classifications: economic outcomes;
human characteristics outcomes; knowledge, technology and um form, out-
comes; resource and service provision outcomes; and other maintenance
and change outcomes. Each of these categories is then further disaggre-
gated into two additional levels of detail. An important feature of this
structure is that it suggests a specific numerical coding scheme that allows
a particular otifCtifTK to be classified with respect to the three dimensions.
This coding stAicturkicilitates comparisons across units and time.
A series of useful appendixes are included in the document. For
example, one appendix identities and categorizes over 80 previous at-
tempts to structure educational 'outcomes and outcome-related concepts.
Another suggests sonic specific outcome measures that could be -used tbr
each type of outcome included in the suggested structure.

445

477
13 PR4DUCTIVITY !ND COST-BENEFIT ANALYSIS

As outcome considerations begin,to be routinely built into planning

an other' higher education processes,' certain conventions should be
opted. This document represents one well-considered effort to provide
such a convention for higher education outcome's and thus offers a valuable
starting point for many institutions and agencies within higher education.

2.0 COSTS
2.1 Empirical Studies

.13:2.1/80
The Costs of Higher Education: How Much Do Colleges and
Universities Spend per Student and How Much Should They
=Spend?, HowArd W. Bowen, 287 pp,-(Jossey-Bass; San FrarkiscO).--
This study is a companion to Bowen's early analysis of tilt outcomes
of higher education, Investment in Learning (24:1. 1/77-2). And like the
earlier study, this thoughtful, quantitative analysis will likely 'stand for
many years as the single best treatment of its topic.
, The scope of this study is unprecedented among cost studies. In
vidual chapters examine: what determine the cost of higher tducatio
long-term trends; faculty and staff compensation; socially imposed costs
higher education; costs of asset maintenance and prices Of purchased g
and services; cost differences. among institutions; institutional ifflue ce
and patterns of resource allocation; effect of institutional affluence on
educational ,outcomes; economies and diseconomies of scale; implications
e study of national trends; and implications of the study of individual,
institutions.
Unfortunately, there are some notable omissions. For. example,
Bowen does not address "jointness" effects between the instructional and
research missions of some higher education institutions, notably major
research universities. Neither does he look at cost differences between
undergraduate, graduate, and professional education, or among various
program areas such as science, the arts, and the humanities. These omis-
sions are regrettable because Bowenis,analyses surely would, have been
enlightening and because some of these analyses'would have forced Bowen
to broaden some of his assumptions. For example, Bowen argues: "The
incentives inheFent in the goals of excellence, prestige, and influence are
not counteracted within the higher education systep by incentives leading'
to parsimony or efficiency. The question of . the minimal amount
needed to provide services of acceptable quality . . . does not enter the
process except as it is imposed from the outside." Howeyer, this argument
overlooks the need for institutions to allocate resources among various
programs, levels of instruction, ad missions (e.g., instruction, researcIL --
public service). Hence, internal pressures do exist to minimize thefinount

478
 COSTS - EMPIRICAL STUDIES 13:2.1 ,

spent in a given area so that pressing demands in other areas may be

addressed.
In addition to analyzing actual costs, Bowen also makes judgments as
to what higher education should cost. For example, he calculates that: "to
restore the higher educational system. in 1979-80 to the level of per-
formance it had attained in 1969-70 would (reqUire the addition of') $6 to
$7 billion (which) would increase the total cost of highereducation by
about 16 to 18 percent. To bring the whole system up to an acceptable level
of perfotiiiance would increase total cost by about 25 percent." In addi-
tion, he offers his personal observations on a variety of cost-related topics
including the following:
The dilemma of the rich institutions is'-that the relationship be-
tween resources and educational outcomes is at best uncertain.
.

No one can be sure that richer institutions are performing 'with

degree of excellence consistent with their resources.
The dilemma of many of the less affluent institutions is that they
cannot get additional resources because they cannot attract more
students. and they cannot compete for students because of in-
adequate resources.
The. nation is in great need of new financial policies directed
. Educational
towards the strengthening of institutions. . .

-
opportunity calls not only for access but also for institutions
.

that are worthy of access.

13:2.1 /78
"P.roductNix and Cost Disaggregation: A Reinterpretation of
the Economics of Higher Education," Estelle James, The Journal
.
of Human Resources,Spring-,- pp. 157 -186.
This article, makes several contributions to the literature on higher
education costs. First, it proposes a behavioral model Itheory) against
which actual cost data are applied. Most cost studies employ accounting
it specifi-
type models whiCh emphasize arithmetic relationships. Second,
cally addresses cost relationships -across -various-levelsof
undergraduate and graduateand across various mission areas e.g.,
instruction and research'. Most other studies aggregate the various levels
of
instruction and either. look exclusively at instruction or include research
considerations only in a secondary way,,Third, it challenges the results
of
June O'Neill's stialy on higher education productivity (5:6.0/71).
The author's theory of a multiproduct, nonprofit organization INPO),
expressed in mathematical tOrni, yields several empirical hypotheses,
including: .

The NPO will produce some highly preferred goods at aJinancial

loss. These goods represent a form of zonsutnption to the NPO.
447-

47
 13 PRODUCTIVITY AND COST-BENEFIT ANALYSIS

'The NPO,will produce other less preferred goods if they can be

prodUced at a profit. This profit will be used to subsidize the
production,,And consumption of other more highly preferred
goods.'
If the production and consumption of new more highly preferred
goods becomes an option, the production of less preferred goods
will be contracted or made less expensive so that the production
of the new gOods becomes possible.
These empirical hypcitheses Are applied to higher education as
follows:
If, now, we assume that research and gradUitte teaching are
viewed as 'preferred' activities by the faculty/managers of
institutions of higher learning, and an expensive small-class -
technplogy is either required or strongly preferred for advanced
instruction, one would expect (and the data . . confirm) that
*lb
subsidies will be higher for graduates than for undergraduates,.
will be greater for undergraduates at colleges than at universities,
and will be falling through time for university undergraduates as
research and graduate enrollments rise. That is, undergraduate
.education will increasingly tend to be viewed as profitable
'productionLactivity by universities; graduate education as loss7
'making 'consume on' activity -made financially feasible only
because of the subsidy ,from outside contributors or from other
user groups such as undergraduays; and community college
teaching will be more costly and bnvily subsidized than univer-
sity teaching of lower division students.
The author states that the faculties' allocation of time to graduate
'education and 'research. especially in universities, is increasing,',antithence
undergraduates' costs are rapidly declining. This leads the author to dis-
agree with June O'Neill's classic productivity study, which fotind no gains
in higher education productivity in the decade between the mid-I950's and
mid-I960's:. "O'Neill was reatlyl observing a change in product mix (more
expensive) and teaching-technology (less -expensiVe) -that just offset each
other in her aggregate data."
The author concludes by 'identifying and discussing the p blic policy
implicittions of this research.

See alsb: 5:6,O/A -.1 Higher Education Prices and Pri Indexes, D.
Kent Halstead.

448

4
 k

COSTS --;RECOMMENDATIONS 13/232 a

2.2 Recommendations
a

13:2.2/76
.3
Increasing .Pr' ductivityln the CoMmunity College, Bill J. Priest
and .John E.Tic'kelnian, 36 pp: (American ASsoCiatiOn ofCommiinity
and Junior Colleges, Washington ,"D.C. ).
This repo describes the pritediire used by the Daelas County Coin-
, munity College District (DtCCD) to increase productivity in the District's
- Tour colleges, Whilethis documeat describes the overall process used by the
District, most of gie ecamples come from Richland College, one of the
DCCCD campuse;. This college's dflorts to reduce the costs of its instruc-
tional and support services without producing a "qualitative sacrifice" were
guided by, an eight7phase, cycle consisting of: (I recognition/acceptanceof
need to increase produ.iv4, 2) mobilization; (3)-'exaMinatiOn-Of. Opera-
tions/work stations, (4) generation of recommendations to increase produc-
O
O

tivity. (5) evaluatiOn of productivity recommendations. (6) implementation/

rejection, (7) monitoring gains/losses, and (8) rewards.
This study bears alstrikingresemblanee to productivity'approaches that
are commonly used in industry but rarely higher education.. In fact,
business leaders were involved in designing the project. and such industrial
engineering techniques as productivity improvement technqiues such as
woyk measurement, time and motion studies, and proceSses flow charting
were used. Typical ofindustry studies of this genre, the -focus of this study
was on .micro- improvements. The authors note that, '.'There is not one
feature of the college, v'whetherli bethe method usedby-the groundsman-to
triru his plants or the way the instructor organiles the fifty-minute class
periods,:that cannot be improved:"
While all aspects of the instution were examined,_the non academic/
suppoyt functions "proved most conducive to resource
efficiency." This is
not surprising since the industrial engineering techniques employed were
developed to aid in productivity improvement in areas such as these.. rather
tharly less tangible areas such as executive management, and instruction.
DCCCI- id look at instruction and found, for example,_ that "the nianage-.
went of 1,, . wasjust as crucial to the performance
of an instructor as it
was to the office clerk:"
0

13:2.2/75 *
Institutional Etficienty in State Systems pf Public"Higher Educr
Fred F. Harclerond, 48 pp. (Anierican. AtisOciation of State
°CoVes and Universities, Washington, D.C.', 9
'This volume reports on the outcome of a study by the American
Association. of. State Callers and Unioersities (AASCU) to examine and
comment on the effects of st -level governing and coordinating' hoards on
 13 PRODUCTIVITY AND COST-BENEFIT ANALY4I6

public institutions: "In this study,. the investigator has made a beginning
attempt to determine whether state regulatory -type agencies kr .higher
education, either consolidated governing bOards or coordinating bards,
Have had measurable effects on institutional effectiveness and efficiency."
The major emphasis in this study was impacts on itistitutiongi ef-
ficiency: The report includes an "analysis of. claithed efficiencies and
possibly, unrecognized inefficiencies of statewit System operations
. .:" Analysis relied on three sources of informtion. Firs', opinions
were sought from institutional presidents. Second, "where possible, data
were scoured regarding actual costs, either savings or added costs which are
.the result of the institutions' membership in a coordinating or governip&
System." Finally, comparisons were made between systemS or
higher education and business organizations of multicompanies. and,
conglomerates. 0

-An extensive questionnaire was administeredin the 1974-75 academic ,

year to.the 317-member institutions of AASCU. One4iundgend eighty-
seven institutions provided timely, usable replies. The questionnaire coV-
.ertxi nine areas: "( I ) type and classification of the organizational pattern;
(2) relationships with executive offices; (3) long-range planning; (4) .aca-
Ciemic affairs; (5) budget development; (6) fiscal policies and implemen-
tation; (7)' personnel policies and their implementation; (8) capital ovtlay
and construction; and (9) setiction of administrative personnel." Opinions
as well as case examples were requested" The author notes that "the trend
of the case examples points toward increased costs and inefficiency in such
4
areas as,purchasing, personnel, and construction.
Harcleroad-offers six- recommendations dealing with:. the distribution
of authority between inAtitutions and external .agencies; the need for
decentralized- modes of operations; the need for state -agencieS' to stress
planning rather than operational functions; :making budget-allocations to
institutions on'a lump sum basis; keeping personnel decisions at the campus
- level; and expediting constructional capital equipment projects by involving
institutional representatives in all phases of these projects..

13:2.2/72
The More Effective Use of Resources: An Imperative.for,Higher
Education, Carnegie Commission on Higher education, 201 pp.
(McGraw-Hill Book Co., New York).
In the Commission's words; "The central thrust of this report is that
total institutional expenditures of higher education mist be, should be, and
can be reducaby nearly $10 billion per year (in 1970 dollars) by 1980 as
compared with the costs which would be incurred if the mild of the 1960s
were to be continued; that expenditures should be held, to a.19vel'of $41.5
billion as against $5 I billion per year . We seek to show 6oth why this

, 450

4 S4
a
 COSTS -- RECOMMENDA'T'IONS 13a2.2

reduction of 20 percent needs to take place and how it can be accomplished

without any general deterioration'in the quality of higher education."
The Commission suggests' that higher education accomplish this most
ambitious undertaking, by; (I) reducing the number of students; (2)) caking
more 'effective use of resources, and (3 )c taking advantage of "windfall"
opportunities. Thc number student4, is to be reduced. by "accelerating
number of reluctant detendets," Resource use is
Programs and reducing the number
to be improved by halting creation of new Ph. D programs arid:concentrating
Ph.D training and federally' supported research iii fewer institutions;
achieving minimum effective size. for campuses and departments; moving
towards year-round operation; cautiously`raising the student-fguliy ratio; s
reexamining the faculty teaching load; improving management; creating
more off - campus ahliMatives and establishing _consortia among, some
institutions'and merging -OtherS.- opportunities-forseen byeThe
Commission include: (I) a slowdoWn in faculty salary increases; (2) a shift
in ebrollments toward less expensive 2-year colleges; and (3) a 'shift in
research expenditure increases by the Federal Government.
The Cominission specifically thinks it unwise it attempt to improve
efficiency by avoiding or delaying necessary maintenance, cutting back on
library' expenditures, making student aid less available, or relying too much
on transient, low-paid assistant prdfessors. Moreover, tlivrCOmmission
speaks out against "state interference with internal budgeting details and
arrangements such as required teaching loadS."
Achieving effective use of resources while preserving the "spirit of the
academic enterprise," the Commission ponies out, is going to be a complex
matter. The Commission sees 'solutions in: ':(1) general Jests of perfor
reliance on
mances and general formulas for support by the states, (2) greater
. . , and (3) greater self7diseipline within
the academic enter-
the market
a greater sense 'of responsibility for 'the effective use of re-
sources. . .

Today, several years after this report was issued, none of its many
recommendations has been universally or even widely adopted. Yet each 4.."-
recommendation is still being discusieci and, in many cases, relevant
experimentation is going on. Despite the passage of time, the Commission's
recommendations retain relevance and their potential impact.,

See also: 30:3.0/71 Effeciency in Liberal Education, HoWadolli.

Bowen and Grodon K. Douglass.
)
This report, subtitled "A Study of Comparative Instructional Cogts for
Different Ways of Organizing Teaching- Learning in a Liberal, 4rts
College," "explores the possibility of improving educational.c(uality while
:-`ducing its costs." The costs of six different modes of institution are
canipared at a hypothetical liberal arts college of 1,200 students and 100
faculty.members.
451
 13 PRODUCTIVITY AND COST-BENEFIT AgALYSIS

The six specific modes of instruction compared are: a conventional

p/an,,,variationsofwhich are in use at most independent liberal arts colleges;
a modified version of the Ruml plan; featuring a'few large lecture courses;
and, independent study plan, putting major learning responsibilities upon
students; a tutorial plan designed by David Baken; a plan of individual
instruction linked to modern teaching-learning equipment', referred to in this
study as the kieffer.Plan; and the eclectic ,plan, a mode of instruction
designed by the authors themselves.
The eclectic plan while "an amalgam of.the other methods," is the
approach ultimately endorsed by the authors. Analyses of the other five
plans showed that the independent study approach had the best potential for
both lowering costs Ind raising instructional quidity as compared to the
conventional plan. The Ruml plan also spowed.promise in this respect.
In the author-'s words, if a- mode of-instruction -is to affect cost; it will
ordinarily do so ttuoligh one or more of the following ways: (1.) substituting
low-cost labor for high-cost labor; (2) increasing intensity of labor image; (3)
substituting student initiative for faculty supervision; (4) substituting capital
for labor; (5) intensifying utilization of capital;,(6) substituting low-cost
capital for higher-cost capital; (7) changing curricular mix; i(8) reducing
noninstructional services; and (9) spreadin,g overhead costs by increasing the
scale of operation.
While this study was done in the contect of a small, liberal arts college,
its methodology is clear enough to be adapted to other types of institutions.
This study suggests that there is-a good possibility that the conventional
approach to instruction can be improved with respects to cost and quality.
This important fincling,, backed up 'appropriate numerical results,
deserves widespread consideration,

2.3 Methodology

-13.2.3/80
"Cost Stadies in Higher Education," Stephen R. HanNple, The AIR
Professional File, No. 7, Fall, pp. 1-4.
This succinct article achievii its goal if serving as "a guide to institu-
.
tional researches as they work through the Cost study maze." Written for the
benefit of those who are faced with the necessitybecause of internal or
external mandatesof, doing a, cost study, this ariicle alerts readers to
potential problems and directs them to other publications for more complete
treatments of particular topics.
, The author discusses simply and programticallY, five areas of special
concern in doing a cost study: direct and indirect costs; breaking costs down
by field; relating costs per student credit hour to costs per student per quarter;
relating posts per student credit hour -to costs of degrees; and using, the
completed cost study. Of special benefit to the first-time assembler or 'user of
452
.
 COSTS - METHODOLOGY I 382.3

cost study information is the author's list of issues, or "synthesized

argu-ments,'..' that. could arise in almost every cost study. Included among
thts'e arguments are: (1) the cost-study measures "what is," "what should .11

Piave been;" (2), the cost studyshows our department to be a highzetpt area,
which I suppose is true, but it neglects the quality of our departmenti (3) I can
show yo(i' studies from other institutions that prove this field is always a
'high-cost area; (4) our departnient does not have graduate teaching as-
sistants, so naturally, lower division cost are less in other departments; (5)"
other depart nt stook more efficient than we do becauSe their are able to#
hide some of -ir costs; (6) the building in which are housed lads large,
modern lector rooms, virtually prohibiting us froreadopting a more cost-
effective forn ( of instruction; (7) ours is a special clientele and our program
__seeks to give them the).pecial attention; (8) enrollments are abnormally low. '
We realize that out costs are somewhat high, but we are cievelopinig.attrac-
tive new student options:that will returnuS to our normal cost level.
The author noterthatfach of theseargumerits,"hasinerit" and that "no
easy solution exists tsor any of them." He further points out that, "Many
problems requiring Individual judgment and adjustment Can make cost
.studies !Ong and tedious work. Eyen after these problems are remedied,
virtually all affected persons will be able tOofferphilosophical criticisms of
the procedures employed or the implications of. the results. Yet, the desire .
for cost information persists."

112:3/7'
Cost, InfOrmatian and Formula Funding: New Approaches,
Richard H. Allen andiames R: Topping, eds.,- 69 pp. (NatiOnal

i
-Center for FtigherEducationManagement Systerns,tioulder, Colo. ).
This report grew out 6f a 1979 conference that focused on the use of
. cost information in four' states: Florida, Indiana, Washington, and. Wis-
consin. The conference addressed the uses of-cost information in state-level
planning and budgeting, and ho-these uses might be altered by the widely
predicted-decline-in higher education enrollments, The four easetstudies in
this document draw on materials preSented at he conference and on -inter-
views held with "institutipnal staff,. postsecondary education agency staff,
executive budget staff, and legislative staff in each state."
The Florida case study'. revolves around the effortS of the staff Of the
Qivision of Community Colleges to develop a funding formula that
distinguishes between fixed, variable, andsemivariable costs. These efforts
led to a funding Ormolu that was "nofadopted by the legislature, primarily
because of the effects of the formula on colleges in the districts of several key
legislators, the complexity of the formula, disagreement aboutthe behavior
of semi-variable costs, and a debate about the appropriateness of the size
categories for colleges." The Indiana case study focuses on the marginal
*
453
 IV

PRODUCTIVITY AND COST-BENEFIT ANALYSIS'

. ,

costing procedure that .Indiana uses to fund enrollment changes at its six
public institutions.. The procedure consists of a table that relates "pekeritage
Change in enrollinenr to "marginal cost as percentage of historical average
instructional costs." The Washington cas study focuses on the Washington I
Unit Expenditures Study, an aCtivity-based costing system used bytwo state
postsecondary educali'on agencies, but not directly by the legislative and
executive branches. And thvWisconsiri study details a cost study that "well
. accepted at the, institutional, system, and state leVels' because of its "per-
. ceived accuracy in setting tuition and fee levels allocating .resources
among institutions and funkling the University of Wisconsin System. .10

IP. The case studies are preceededby.two papers. The first, by HarOld
Enarson; president of the State University, describes "The Uses and
Abuses_ of Cost Information; the second, authored by Frank-Pesci, a.Mary-
land State legislatory presents a legislator's view:
Enarson's paper is especially helpful, but the author's evident biases
J. toward instittitional management as opposed to state-level coordination
muss be kept in mind. Nothing that "Simple course - enrollment counts of our
customers'can no longer serve as the basis for calculating and deterinining
the dollar needs of institutions," Enarson lays out several key criterieforea
' I new approaCh, e.g., avoid line item restrictions and inCludt.: quality con-
.... siderations; do not use single measures,. such .as headcount students, but
instead use appropriate measures for different areas, such as square feet for
buildings and acres for land. The author's position on fixed and variable-
costing is especially knterestingi ''All costs are varable; they chaks as a _

function of one or more factors. The problem is to identify.those factors that .

should be substituted for, or combined with, the FT student unit." Finally,:
Enarson urges that; "administrators must shed t eir dependence on cost
history as the sole basis for predicting future fundiht needs: Becaltse of rapid
expansion,. and awesome series of future costs (not streamed of in historical
cost analyse's) has developed." He cites as examples of "future costs":
equipment replacement; building maintenance and repair; building rehabili-
tation land renovation; and meeting new program needs in the absence of
new money.
In a,concluding asseSirpent, the editors make several pertinent observa-
tions about the future prospects for cost studies: Changes iw current costing
procedures are more likely to take place in states that expct substantial
enrollment decline's that in dune that -do not; iportao trade-offs can be
made between accuracy and simplicity; and, the need to involve political and
educational parties in acooperative effort isirowing in importance..

454

48"t)
 r
I
COS'IS METHODOLO6Y 13124
t

Carl, R. Adams,
A Study of Cost Analysis in Higher Education,
Russell L. Hankins( Gordon W: Kingston, and G..Schroeder, 748
('America Cciuncil 6n education, Washington, D.C.).
This massive, wellIdocumented report is a current and authoritE:ive
description of how Fostingis being,used in institutions orhilber educatioh
and as Mich, is a majoy;contribution to the literature on higher education
costing. The report, which is based on a study financed by the Ford
Foundation, consists of four.vOluiiies: I The Literature f Cost Analysis in
Higher Education (Adanis, Hankins, Schroeder); II, e Production
Use of Cost Analysis in Institutions of Higher Educatio .(Adams, Nankin's,
. Kingston, Schroeder); Site, VisltDiscriptions of Costing Systems and Their
Use in- Higher Educiition (Schroeder, ed.); and Thea-Future- Use ofCost
Analysis in Higher Education (Adams, Kingston, Schroeder).
The first volume identifies and organizes the literature of cost and cost
analysis in higher editcation. The literature iS restricted to that designed."to'
supply institutional administrators with data Tor making informed rational
decisions. The authors develop useful methods for distinguishing among
various cost concepts and types et-cost analysis. The organize the discussion
of the literature into four major categories and .several subcategories; re-
source acquisition (estimation of current fund requirements, pricing, cost
recovery); resource alrocation (allocation to organizational unit, object
budgeting, cost-income budgeting, internal Or transfer. pricing, program-
matic allocation); resource management and control (duciary accounting,
cost accountingvariances, responsibility accounting); accountability.
Significantly, the review does not cover the areas of "macroeducational
planning and financing," opportunity costs, societal and individual "out-
of- pocky" costs, benefits of education, and cost-benefit analysis. The
emphasis is principally in the area of instructi811.
Volume II is the "keystone" monography. Its atm is to present and
analyze data collected frog administrators and information syitem
specialists in colleges and unii/ersities regarding the current use use-
important
fulness of cost information, ,The autheri report their 25 most important
findings in four major areas: data availitbility; production of cost informs.'
tion; institutional use of cost 'information; and overall observations and
recommendations.
. Volume HI describes the site visits made to 17 institutions in, four states
(Colorado; F rids, Michigan, and Ohio). .
. .
Volu 1is concered with the Nuke use of cost analysis in higher
education. Its draws upon the extant literature, the "experience-based"
judgments of the authors, and a Delphi study utiliiing a panel of 120
individuals. The results of this study,, covering a 20 -year time frame, are
presented for institution's, states, and the Federal Government.
- =

455

487
 1

13 PRODUCTIVITY AND COSTLBENEFIT ANALYSIS

An' interesting dichotomy 's observed from these studies. Universities

undertake detailed cost accounting to justify indirect colovrecovery on,
Federal grants and contracts, as negotiated rates depend on such justifica-.
'ions. The resulting revenue, subtracted from research funds awarded, is
important to university administrations as a bnigetary .component. For
academic management, however, these universities. are generally .chary of
producing and using detailed .costjiiures to assist aCadethic

. . The authors are not optimistic thatihlistitutions of higher education will

develop methods of coping with difficult cost-allocation pioblem's where
joint processes (as in graduate teaching closely associated research
teams of graduate' students and faculty) are
are the rule.

13.2.3/77 .

Cost Behavior Analysis for Planning. in Higher Education, DaDiel

D. Robinson ad Frederick .1. Turk, 101 pp. (National Association ot:
Colleges.ond University Busi/iess Ofticers,"Washington, D.C.)
This report was written in retionse to a ccincemiby the National
Association of College and; Business Officers that historical costs were
indiscriminately and often inappropriately being. used to project costs as part
of the planning process. This report is "devoted to describing the process of
analyzity behavior gicosts and revenues di, higher educatiOn."
_
The major points of this study are : ( I ) aI,temative courses of action
_

consist of ctianges. in (a) goals, specific objectives, programS. (b) policies,

aod (c) Organizational structure; (2) when, examininglhe economic con-.
sequences of 'many alternatives, administiators must consider effe/cts on
revenue as well as on cost;-(3) estimating future economic activity involves
determining the fixed and variable components of totalcosts for the alterna-
tives selected, as different levels fit; volume; (4) institutional decisions. as
well as environmental conditions /that are beyond the institution's control,
influence cost behavior; and (5) noneconomic information about programs,

/
studenti, faculty-, and other considerations should be e4mined when-mak-
ing-decisions about the future.
The Appendixes to the report provide numerical examples of various
aspects of prgiecting costs and revenues; one of the most useful appendixes
provide examples of decision factors that -`affect the costs for selected
..rganizational entities. Some Ilk institutional areas are cited, and within
th,Ose areas; the authors list, for example, 15 separate decision factors that
,would affect the projection of library costs and I I decision factors that
would affect the projection of financial yid administration costs.
This, report should.be'helpful to planners concerned with the adequacy
of their methods of projecting dOstr.- Although the report is not a procedures
manual for 'performing cost-behavior analysis, it does discuss in clear terms
c,. -

456
 to.
a

COST-OUTCOME RELATI PS-EMPIRICAL STUDIES

. 1-

. the concepts u 1St. ing such analysis and the application of these concepts
to insti s of higher education. ..

.----

3.0 COST /OUTCOME RELATIONSIAIPS

,
,

.. 3, I.. Empirical Studies r-' f.

,
,
. . i
, . I.,
13:3.1/77 -11 . I ,

Understanding Joint Production Process: *A Coivei thIll Ap-

proach, Robert G. Gray, .126 pp: ublished doctoral dissertatiin,
University of Colorado, B er).
The primary purpose of thig research was to develop a new ;way of
- identifyingihe most efficient producers,-in this case from amonuniversity
scjeneef departments--ifhere there are multiple inputs and outputs to 6e
,,,46nsidered. In a sample study, this new approach was applied to all the
Ph.D-granting departments of chemistry, in the United States. Some' 169 , .

departments out of a total of 183 provided data on: (1) number of faculty, (2)
the research and development budget, (3) the number of .undergraduate
degree's reported, (4) the number of graduate degrees awarded, and (5) the
. number of putilicationsroducatby faculty within the department. Separate
results are presented fiismall (less than 17), medium (between 17 and 26), ,
and large (over 26) departmental faculties.
. It is especially interesting that, on average, the most efficient depart-

ments produced more-of each of the outputs (undergraduate demes,

graduate degrees. publications) while using less of each pf the inputs
(faculty, research, and development) dollars) than *did the least efficient
departments. This pest* was true for blil medium and large departments. .
The only difference between the most efficient department and les4 efficient
departments was that" the less efficient departments, on average' had few
research and development dollars to work with. This is.a most alteed tounding
finding. While it is not conclusive because
be more, variables may to be
taken into account, it does demonstrate that there are enormousvariances in
the productivity of Ph . Diranting chemistry departments; This lirpited study
suggests. that a 'parallel series of °studies of other types of departments could,
produce findings that would have important implications for higher educa-
tion and related planning,
9
s
13:3.1/77:2
Procedures for Determining Historical Full Costs, National As-
sociation of College and University Business Officers ' and National
Center for Higher Education Management Systems, 207, pp.
NCHEMS, Bouldeit, Colo:). ,

This manual describes how to conduct a study of instructional and

institutional costs, as outlined by the Information Exchahge Procedures
1.1

457
4so
 13 PRODUCTIVITY AND COST-BENEFIT ANALYSIS
, -
.

(IEP) of the National. Cepter for Higher Education Management Systems,

(NCHEMS,.i. purpose of IEP is to-suggest a "set of standard definitions
and procedures for collecting information abdut.disciplinei and .itiident
degree programs, outcomes of instructional programs, and general institu-
tional characteristics." .This information is intended for in use internal
planning and manag6inent and for interinstitutional comparisons. The cost -
ing procedures and definitions recommended in the manual are described as
t. targets" that may be easier for some Institutions to realize than others.
.-' Three kinds of costing are discussed--.-.-full..variable, andstandaid. This
manual presems, procedures only for, full costing. These full-costing
procedures "calculate the average direct; indirect, and full cost (or instruc-
tional- drkiplines and student programs." A nine-step process for conduct-
-- = inwahistorical full-COst study-is-developed,anOescribed.-In
manual describes NCHEM. Costing and Data Management System:7
compute,' program designed to facilitate a full-cost study using
proceduresdescribed earlier in the manual. -
An appendix to this how-to manual Contains a reprint of the 1975.
NACUBO article on "Fundaltiental Considerations .lbr Determining Cost
Information in .Higher Education." This article covers a number of,
important topics, including: costing terminology, costing and financial
accounting, .cost determination methods and approaches, indirect cost
allocation, types of Cost analysis, costing issues; and costing standards.
This plickage of suggested procedures; supportingcomputer software(1
ands overview article .is valuable because it presents. in clear, concise- ,
language the because concepts, tools, and caveats necessary for someone
planning or considering a study of historical full. costs .on an institutional,
basis.

13:3.1/72
The Production and Cost Behavioreof Higher Education institu-
tions, '. Daryl E. Carlon, 181. pp. (University of California,
Berkeley).
This volume reports on 'a study to identify and analyze "frontier
institutions, ". i.e,, those that are prodaing inure outputs than,institetions
utilizing similar iimountSolinputs.t. r

This study, based on a. sample ot-673 4-yeais tnither education institu-

tions, used some 20 variables-- -eight inpat variable,: four enrollment
variables,,,andeight institutional Characteristic variables. Lnstitutions were
analyzed and are reported on according to seven categories: (I) public,
doctoral-grantflig institutions with emphasis on research; (3) public,
comprehensive scalleges that offer a liberal arts program as well as several
' other programs; (4).private, comprehensive colleges that offer a liberal arts
program as.._
well. as several other programs; (5) public, limited comprehen-
_

458.
..
490
It

COST-OUTCOME RELATIONSHIPSEMPIRICAL STUDIES 13:3.1

sive colleges, that offer a liberal arts program as .well as at least one
professional or occupatiom41 program., (6) private, highly selective, liberal
arts colleges: and (7) private, less selective, liberal arts colleges.
The results of,the study are most interesting. For example, on the input
side, the most efficient_ institutions use between 20 and 76 percent (depend-
ing on the type of institution) fewer senior faculty than the average institu-
.-Ption 'of the same classification. On the output side, the most efficient, as
compared with the average; have from 13 to 55 percent (depending of the
type o institution) more full-time undergraduates. Another finding of
considerable irriportanepis that "it is not valid to isolate one activity of the
instiVu. iiOntinelo analyze' the product lop. eost relationships associated
with that activityZAlit ion from all the other activities of the institittioh.:
This finding is,b an analysis of the marginal costs of undergraduate
students for institutions that have different levels and mixes of enrollment
and different research and public service involvements.
This study has many ramifications for planning. First, it raise the
question of whether planntng will be based on the standard of an average
institution or an efficient institution. Second, it raises the question of what
factors are associated with effiCient as compared to jur' average perfor-
mance. Third, it make the empirical point that various types of institutions,
whether they are efficient or not, have quite different methOds.of production
that must be taken into account in the planning process.

See also: 5:6.0/71 ResOurCe Use in Higher Education: Trends in

Output and inputs, 1930 to 1967, June O'Neill.

3:2.3/76-1 Education A; an Industry, Jo.s.eph N. Froomk ill,- Dein T.

7 Jamison, and Roy Radner, eds.-

3.2 Recommendations

13:3.2/81,
"Beyond-Productivity to Quality,"- Harold L. Hodgkinson forth
comini Current Issues in Higher Edtkation, 1981.
This brief paper, presented at the 1981 National Conference on Higher
EducatiOn, does an excellent job of critiquing the current bent in higher
education toward productivity approaches that emphasize numerically based
efficiency measurese.g., credit hours per faculty member, and research
articles per researcher..., By .reference to the evolution of productivity
conceptg. in American and Japanese industries, the author suggests that
higher education's approachqo productivity is copying outdated ideas from
industry. Hodgkinson, sees a need for higher education to think about
productivity and quality in tern4of the business we are in, not by aping the
usage of business thirty years ago."

459

t
O
 13 PRODUCTIVITY AND COST ANALYST

To aid in this thinking proceSs, leading,Zion are suggested in the

following four areas: productivity in bur national.systern tzt: higher educa-.
tion: prOductivity in our state pstems b,fdligher education; productivity in
institution of higher educatio t; and, yardsticks of quality and
;our
productivity_ the 'value-added' ap oaeh. Hodgkinson asks questions such
as the following: !'Realizing that only one in four adults being educated is in
a .college or university . have we been helpful to the other institutions
. that perform valuable human services in our society?" "Does the state
system of coordination work to encourage institutional differences 'ana
innovation?" "Is the staff differentiated by excellence on particular tasks?"
,Should students "bc.:, taught what they already know?
The challenges laid down by the author have. the potential to help
-invigorate both research and practice in the fieldol=higher educatiorvprodiic
tivity; they, reprosent a promising philosophical "turning point," and thus
merit careful consideration. : .
.,
.

113.2/77-1
"Direct and incentive Planning Within a University," Stephen A.
. Hoenack, Socio-Economic -Planning Science, Vol. 11, No. 4, pp.
I 9 I -204 .
, This article examines the proper mix of "direct" anti "incentive"
planning within* higher education. Direct planning is 4efined as-providing
university administrators or designated committees with the discretion of
allocate, funds to academic units. Incentive planning.Fesults-frorn-trying-the
'budgets of decentralized units to their performance in meeting the dematids
of their constituencies and from making the units responsible for differences
'-between their budgetsind theircosts. While the article tbcuses on the_blend
of direct and incentive planning within an institution, it has releVance for a
similar question at the state and Federal levels. the example used for
reporting empirical results is the University of Minnesota.
The author explores the concept of a -responsibility center Oudgeting
system (RBS) as_a device for implementing the concept of incentive plan.-.
ning" . The most important characteristic of a RBS is that colleges
.

[within an.instifutioril Would be permitted t4 retain excesses of income Over

costs (additional discretionary funds) and would be responsible for excesses
of costs over income." The author's analysis is that RBS would create
incentives to: (1) "increase enrollments,, especially in,programs-with -strong
demand and/or low cost "; (2) develop ."curricula for nontraditional educa-
tion Programs," especially for "faculty with-eoMparative advantages in
instruction:'; (3) reduce both direct and- support costs; (4) reduce the deCi-
sionmaking participation of "unaffected and uninform' ed parties. (5)
poSsibily increase discretionary funds by a "reduction in academic quality
fi" or 'a departurefroin the college's academic mission"; and (6) possibly avOid
"hrogramS with high costs relative to deinands.'1,The author p.pints out that

460

4 1

f.
 COSTS METHODOLOGY 13:2.3

these latter two incentives, in his opinion, are perverse as contrasted with the
other "beneficial- incentives.
The author concludes that a carefully chosen combination Of direct and
incentive planning can enable universitiqs to adapt advantageously to their
changing environments.

13:3.2/77-2 .
,

"The IncentiveStructure of a University, Richard M. Fenker,-

The Journal of likgherEclucatiofi, Vol. XLVIII, No. 4, July /August;
pp. 453-474.
Higher-- eduction Uptitutions characterized by considerable
are
autonomy and free0om of cherice on the part of both students and factilty.
Because of this,-'11teklaSsemblyline analogy -where 'inputs can-be- simply- and
reliably linked to outputs is not applicable. Rather, a series of more complex ,
phenomena heed to be understood, including the incentives and disincen-
tives that are created for individual behavior. These incentives and disincen-
ix
tives need lobe explicitly considered in the planning process.
This article focitseN, oh identifying. and imprOying the incentive r .

structure for faculty. Ttle author describes and incentive structure as:

An empirical framework for an organization Which characterizes

(pieferably in mathematical terms) the relationships between
specific behaviors of employeesand the probabilities of receiving
various incentives. The' term incentive is used very, broadly and
includes a wide variety of noneconomic 'rewards' commonly used
in academic settings as well as the more obvious raises or promo-
tions.
.*

The specific example used is that of a "private university concerned with

-improving the quality of its teachinC, however, the issues and tnetho-
dology. are relevant to both public and priViifeinstinitions.
The authors identities seven questions that need to s i swered visa-
vis an institution's incentive structure: What- behaviors are expe of
faculty? How does the importance of these behaviors vary across colleges,
departments, or other subgroups? What incentives are available and how
important or valuable are they to faculty? How does the importance of
incotives change as a function of the academic unit or demographic division
(e.g., rank, years, or experience) of faculty? What connections has the
administration established.hetween, incentives and specific behaviors? How
does the university's operational structure compare with the faculty's per-
ceived and ideal structures? What changes need to be made or can be made to
bring faculty expectations more into congruence with university objectives
vice versa?

4 93
 la& PRODUCTIVITY AND COST-BENEFIT ANALYSIS

13:3.2/71
Less Time, More Options, Carnegie Commission on Higher Educa-
.tion, 45 pp. (McGraw-lip BdokFo.., New York).
This report has nine major themes: (1) reduee the'length of time spent in
undergraduate college education by one-fourth; (2) give young people more
o.4
options in lieu of formal college, to defer college attendance, to get service
and work experience, and to alter directions while in college, '(3) make
opportunities for higher education available to persons throughout their
lifetime; (4) make greater use of the`master of philosophy and doctor of arts
degrees; (5) increase the number of accepted degree levels from two (B.A.
and Ph.D) to four (A.A., B.A.., M. Phil., and D.A., including the Ph.D.);
(6) reduce the emphasis on certitication,through formal higher education and
Reduce ,
the number of specialized degrees.; (7) reduce projected operating
expenditures from 10 to 15 percent a year through these reforms; (8) make
higher education more acces*le to women -Ind older students; and (9)
*mote the mixing of higher education Lind work experience throughOut a
lifetime. Some of these themes clearly anticipiitedand may have helped to
precipitate key issues that are currently being discusSed and researched
Such as lifetime education, adult learning, new education and work patterns,
and access for women.
The report suggest how to implement its "recommendations. One
chapter spells out how various groups can assist in making these develop-
ment possible: the Federal Government, state governments, foundations,
parents, students, professional associations, high schools, c011eges and
universities, the Council of Graduate Si:116°1s; accrediting agenCies, and
testing agencies. This chapter is interesting because it clearly demonstrates
how many groups have to coOperite if major-changes of.any-type are to be
Thade in the system of higher education. This discussion can serve as good-
prototype for systematic analyses that should be part of all major pro-
ductivity improvement proposals.

See also: Topic 25: Educational Communication and Technology; Topic 3:.
_Economics, Subavic 2.0:incentives and Faculty_and Institutions.

3.3 Methodology

13:3.3/77
A Review of Production Function Estimition for Higher Educe:
tion Institutions, Daryl E. Carlson, 1,22 pp, (Graduate Seebool of
Education, Harvard University, Cambridge, Mass.).
In the author's words, "the purpose of this paper is to review many of
the studies that have attempted to estimate varioifs dimensions of higher

462

49,1
 V

COST-OUTCOME RELATIONSHIPS--METHODOLOGY . 113.3

, education prbduction and cost behavior. This review *ill critically examine
the data methodology, and results of these studies."
The authorAivides production and cost studies into four. usefut-
categories: -descriptive studies, regression studies, frontier studies, and )
synthetic studies. Descriptive studies "describe different pioduction an
cost situations ... . no effort is made to statistically or computational
relate one variable to another." Regression. studies. "attempt to-statisti Ily
estimate tiehavioral relationships-between two or more of the variables."
Frontier studies' "generate information about efficient, and effe,gtive rela-
tionships as obtained from aggression. studies." Synthetic ,zeir "buildirig
block," studies "model a production process by.'clecOmposing it to .a very 0
basic level and then studying alternative ways of putting the pieces back
togeiher which will accomplish alternative mixes andlevels of outputs."
These four types cif studies represent-the-alternatives-available' to
planners anil others for studying the production processes of higher educa-
tion. Since these studies vary in character and in types of information they
produce, choice among the Methodologies should b made with full ap-
preciation for their strengths, weaknesses, and requirements (e.g., data,
"
computation aids).
ads). :,
:':"The author 'also identifies and discusses eight issues that must be
considered-, along .wiitt data and computation reijuirements, in making a
.`choice among the various production estimation techniques: Are industry
average or frontier estimates desired? Are explicit theasures of the degree of 6
efficiency needed'? Are jointness among inpUts and/or outputs a considera-
,,
ti0 on: Should qualitative as well-as quantitative-consideration-be taken .into_
account? Are output preferences to be studied? Are static or dynamic.
estimates to be made' ? -Is comparison or prediction intended? - ..._ .

The author appropriately points out that these technqiues differ not just
in their statistical and computational properties, but in their policy implica-
,

...tions,--The typtoNtUdy-undertaken will determine the kinds of infOrmation

that arcand are not available and, to a significant extent, the kind of issues
that are and are not raised. Hence, the planner or analyst needs to carefully
consider the policy environment in°choosing among types of studies and in
usng
i the tinal'results. . .

13:3.3/75'
Measuring and Increasing Academic Productivity, New Direc-
tions for Instititional Research, No. 8, Robeit A. Wallhaus, ed.,
1.3 pp. ) Jossey-Bass, San Francisco).
In his introductions, which provides an interesting perspetive on the
importance of productivity in higher education, the editor writes: ' ,

All policy questions and all planning and management decisions

in higher education are traceable to the underlying problem of
'T4+

463

495
 13 PRODUCTIVITY AND COST-BENEFIT ANALYSIS'

inwroving. the produCtivity of programs, institutions, and the

educaconal system. That is all decision and policies are ,

ultimarely based on the common objectives of expanding or '

enhancing the benefits of higher ;:ducaton for individuals. and'

society and at the same. time delivering these benefits' at the
lowest possible cost. ,

This sourcebook contains six articles. lea "The Maia Dimensions of .

Productivity,'" Wallhaitdiscusses thee' many definitions and perspectives

that relate to the 'notion of productivity in higher education." Rick
Hanushek, in "Learning by Observing the Performance of Schools,." writes
that "INs amazing how diseussions of productivity and efficiency in
postsecondary education remain to thoroughly uncluttered by facts." He
suggests how to best go .about the assembling the' necessary. "facts,"
Efficientloint-Production= Processes" -is-report on -Daryl--
Carlson's continuing efforts to develop and apply analytical tools that can
identify_ efficient institutions. Robert Staaf and Wayne Kirschling address
the topic" 'Efficiency and Produtivity: A Behavioral View." They argue that
student and family productivity must be considered as an interdependent
process. Furthermore, since students and faculty are-accorded considerable
fre'edin of choice, the. design of incentive systems beconies crucial.
"Productivity From an Interorkanizational Perspective," Written by
Richard K. Meisinger, Jr.. Ralph A. Purves, altd Frank A. Schinidtlein;
looks at state budgeting 'for higher educattion and "reveals some reasons for
the gap,between theoretical concepts of proddctivity improvement and state
and it stitutional practices." In .the concluding .article, '.'Opportunities for
ImpOng productivity," David R. -Winner examines a broad range of
possibilities, including: class size, ; instructional. techuiques,. student-
,

institution fit, yeararound operation, shifts to high-.Value programs, phasing

tint and closing down, time-shortened degrees, externalizing higher educa-
. tioh, consortia and external resources, faculty-initiated curricular reform,
faculty augmentation and transformation, and budget. reductions and shills.

13:3.3/72
Elements Related-to the Determination of Costs and Benefits of
Graduate Education, John H. Powell, Jr., anti Robert D. Lamson,
r
'.1() I pp. (Council of Graduate Schools in the United States, Washing-
ton, D.C.).
This document emanates from a resolution passed at the 1968 annual
meeting, of the Council of Graduate School,' (CGS) to "present in one
volume a report on the state of dev elopment in areas of cost and benefit
information." Hence, the documenttempts tO "identify the benefits of
graduate education and to anal of college and university costs: " The
T.' authors recognize that the taking "a step' towards standardizing cost
allocation procegl cost information."

496
 COST-OUTCOME RELATIONSHIPSMETHODOLOGY 13,3.3

The volumf contains eight chaptersqrhapter 1 deals with resource

allocation in graduate education; Chipter 2 is devoted to output;; Chapter 3
treats cost information; Chapter 4 addresses the topics of activity definitions,
measuring academic Inanpoweik use, and opportunity costs of capita) ser-
`vicer,,Chapter 5 looks at indirect cost allocations; Chapter 6 examines unit
4coits studies; Chapter 7 looks at four alternative ways of allocating research
'costs; and Chapter 8 looks at available information on the costs of graduate
information.. A very useful biblibgraphy with 350 entries is included at the
endpf the document.
This is a rare study of the costs and outcomes of graduate education. As
such. it is a valuable reference to planners and others who must deal With the
speeial consideration itliivolves,

t.

..

a.

4 97
"Or
 Research and
Reseaich Adminletration

Predeilok E. Balderston'.
assisted by Charlotte P. Alhadeff
A

Thexesearch process focuses on the discovery and exploration of

new concerns and findings that add tb knoi+ledge in science,, humane
letters, and the processions. The nation's research activities, of which
university research is a significant part, contribute in numerous ways
to the national welfare. Yet many aspects. of the role of research inf
,higher edUcation are matters of current controversy, and university
research and its managethent are becoming of ',ncreasing institutional
and public concern.
This chapter focuses on the organization of research activities;
the relation of reseafch to other educational functions in universities;
and the facilities, personnel, and administrative requirements for the
conduct of research. This emphasis is promoted by the number of
large-scale, client-sponsored programs of applied or clinical research
at universities that, while offering special opportunities, also creep
problems of staffing, budgeting, and control.
The chapter does not cover specific strategies for accomplishing
research or research methodologies; commercial research and service
'functions, though these occasionally may be conducted in univer-
sities; 'individual creative scholarship that is an incident of the
467

498
 14 RESEARCH AND RESEARCHADMINISTRATION
.
11 pro fessorial role; and the organization of research funding Ind the
formulation of priorities by .Federaf and state agencies.'
Research and research administration includes several sub-
topics. First, there are important problems of organization and
.

management of research at the institutional level. Second, at the 7 1"

national level. there are important questions regarding the fraction of;
the nation's resources that is spent on research and the portion of these
resources that is to be supplied, under varying .policy guiaelines, by
Federal agencies. Third, there ..'intricate relationships between
government, indvstry and, he unj ersities in research policy and in the
conduct of research.

TOPIC ORGANIZATION

14: Research and Research Administration

1.0 Institutional Management for Research
2.0 National Research Policy, Resources, and Data
3.0 University- Government- Industry Relationships in Research

1.0. INSTITUTIONAL: MANAGEMENT FOR RESEARCH

14:1.0/79-1
Scientific,Productivity.- The Effectiveness of Research Groups in
Six Countries, Frank M. 'Andrews, ed., 470 pp. (Cambridge Uni-
versity_Press, New York, and Unesco, Paris).-
This book reports the results of an international comparative study,
sponsored and coordinated by Unesco, of the effectiveness of scientific
research. Six European countries (Austria, Belgium, Finland, Hungary,
Poland, and Sweden) took. part, each establishing its own research team to
carry out the _study. In each country:a sample of research units being defined
as "a duster of scientists and teeinical support personnel working under
-single leadership, sometimes as a team, on a specific research or
experimental development project" covering the academic, private,
industrial, and public sectors, as well as a broad range, of natural and social
sciences. Questionnaires were then sent to all unit heads as well as to a
sample of staff scientists and technicians in each unit: over 11,000 indi-
viditals in some 1,222 research units.
The analysis of t1 is somewhat formidable collection of data is intended
to provide guidelines for better sciencepotivy and research management and
to advance methodology,in the study of reseacch effectiveness. To this end,
contributions to the book are organized not by country but by topic: chapters
on the effects of various organizational variables upon research performance
.
are followed by a series of chapters on methodological matters.
.

468

I99
 INST1TUTIONA4 1.'..,\NAGEMENT FOR RESEARCH % 14:1.0

14:1.0/79-2 i .

Management for Research lo '.U.S. 'Universities, Raymond J.

Woodrow, 111 pp. (National Assocaition of College and University.
41.
Business Office's, WashingtonD.0 .).
This concise and comprehensive voltime is based on the author's
.

long-time experience in research and research adniinistrapon at.Princeton

University. Woodrow puts forth insights and principles concerning all of the
Major topics of management for (not ';of," the author, argues) research..
Throughout, the subtleties of managing the framework in which creative
= Y °work is done ian academic institution are well-stated. 4,
The 10 chapters of the volume cover (1) 'the climate for research;12)
policies and.criteria; (3) developing and implementing sponsored research;
(4) interdisciplinary research; (5) professional personnetothetiahan faculty; -
0
-(6) patents and comights; (7) indirect costs; (8) administrative offices and-
supporting services; (9) organi'ztion; (10) a- preferred system of manage-
ment of research. Of paratular. note 'is 'Woodrow's discussion of the
conceptual:basis for indirect colts (in .c'haptet 7) which shows, how the
conventions of cost-pooling and allocation evolved. thapters 9 and 10
pro'S,idt very helpful guidance to the functions-arid organization of:research
..idministration in the indiXidual lP 'stout n.

14:1.0/78-1
Non-Tenure Track Science Personnel: Opportunities for Inde-
pendent Research, Irene L. Oomberg and Frank J. Atelsek, 17 pp.
(-American Counci Education:. Washington,D-.C.). ,

ti This report is based on a 1976-77 survey of over 240 institutions ihat

award the Ph:D- or the M.D. degree.-The authors calculate- that there ire
-approximately 5,300,full-tin efaculty-and staff members who ace docton-1-__
level nontenefOack: (science) personnel. This groCip, they conclude
constitutes a considerably underutilized resource in the nation's biomedical
research. As evidence,' they cite the significant number of persons in this
group 'who have not been engaged in research as principal investigator in
recent years.
.The survey data covers the fields, type of institutions, and sex
characteristics of nontrack-tensure personnel, and the differences (if any)
between those who are engaged in research as, principal investigators and
Mose who are not. This report provides considerable information abOtit a
group of university scientists about whom little is known,

469

50
 RESEARCH AND RESEARCH ADMINISTIATION

14:178-2 -
Tren \in the Organization of Academic Research: The Role of
ORU's \anti Full -Time Researchers, Albert H.. Teich, 90 pp,
(George W9hington.University,t Washington, D5.).
To maintain academic vitality in the face of austerity and a declining
annual number of faculty appointments and their research funders, universi;
ties can consider enlarging their research organization and their numbers of
nonfaculty research professionals. In the volume, Teich assesses two varia-
tions.of this strategy: the greater use of organized research units (ORU's)
that are integrated with academic activisies.within universities proper; and
the further devejopment of university- affiliated ;national laboratories,
organized to be distinct from the campus departments and colleges but
operated by a Univeisity or by a university consortium. Nonfaculty-research
professionals have had equivocal status relative to those holding regular
faculty apPointmerits,\ind Teich's study suggests prospects of increasing
tension if universities and their funding sources expand on-campus ORU's
and their research cadre4, Teich reccemends f011owup research on research'
career patterns and on the implications of Federal research funding policies.
The practiCes of tive universities' research organizations are. sum-
marized in appendixes.

14:1.0/77
The Management of Federal Research and Development, MITRE
Corporation, METREk Division, 134 pp. (MITRE Corporation,
McLean, Va.).
This monograph summarizes a survey, of -research- managers and a
followup conference s_ ponsored jointly by the National Institute of Mental
Health, the American University, and the METREK Divisionof the MITRE
Corporation. The, monograph includes three agenda-forming statements and
eight invited papers, each of them Impressively concise, on such topics as
"Determining Scientific Priorities," by J. Thomas Ratchford; "Improving
Policy-Making," by Laurence E. Lynn, Jr.; and "Conducting Useful.
Evaluations," by the late Marcia Guttentag. The book Concludes with nine
reports of conference workshops on research'management topics.
This volume hasnumerous uses for the'sophisticated reader. Candid
anecdotes and personal "war-stories" provide illustration of the many
problems that researchers; research managers, and policy-level adminis-
trators confront in Federal research establishments and federally-supported
applied research. Several invited papers contain valuable examples of how
Federal research priorities and policies are developed and of how research
managers cbrifront changing patterns of governmental organization.
Laurence Lynn, who has chaired a 3 -yeaj, National Academy of Sci-
ence review of social research, argues that more coherent and consistent
governmental polidymaking, not better research management as such, is the
470
 INSTITUTIONAL MANAGEMENT FOR RESEARCH 14 =1 .0

most important precondition for improved social research and development.

Howard Davis of the National Institute of Mental Health analyzes several
approaches to the design and conduct of research intended to produce useful
change. A.B. Linhares, of the U.S. Department of Transportation, analyzes
structural problems of technology transfer for Federal research and
development.
This motiorgriph provides a uniquely rich andetimely perspective on
Federal research and development policies and management. For university
policymakers and research professionals, it interprets in a fresh way the
environment of Federal involvement in research, espe applied re-
search; policy formulation, definition of objectives, resotet allocation,
research program management, evaluation, and use of results. There are
many useful hints for the practitioner interested in survival id a complex
world of organizational competition and politically defined accountability.

14:1.0/76
ORU's and POlitics: Or, When Is Organizational Murder
Justified? C. West Churchman, 15 pp. (Center. for Research in
-Management Science, University of California, Berkeley). .
This study (working paper in Management Science; CP-398) is one of
the products of the University of California, Berkeley, National Science
Foundation- sponsored Research Management Improvement project.. Writ-
ten in response to the Bolce paper (14:1.0/75-1) on organized research unit
review, the study offers an interesting addition to the literature on research,
reyiettby critically examining the moral politics that characterize such a
process. Like Bolce, Churchman addresses the situation on the Berkeley
campus of the University of California, He is concerned, however, with the
broad problem.of how people should justify iheAperpetuation or termination
of research organizations, and the author defines different "Weltanschau-
ungen" that set forth versions of how this ethical issue should be resolved.
These are the systemic approach (in which justification for a unit is based on
some notion of common good) and the political apprbacHin which Survival
is contingent upon political clout). The author argues that a third approach,
which considers the spirit of a research organization, also may be ap-
propriate for research evaluation.

14:1.0/75-1
The Review.Process for Berkeley Organized ResearCh Units, Jane
Wellman Bolce, 51 pp.. (Center for Research in Management Sci-
ence, University of California, Berkeley):
This (working papers in Management Science, CP-394) was sponsored
by a National Science 'Foundation grant on Research Management Im-
provement. Although Bolce's study was limited to the review process as it is
conducted at one university, this report provides an indepth description with
471

502
 .
.
1V
1
14 RESEARCH AND RESEARCH ADMINISTRATION

some analysis of the peer review process of organized rest:get (In that
ill
..
campUs.
To the extent that the author's findings qui be generalized 'to o Other
ti
institutions, this piece is of interest and use. It describes the policy of re' jell,
of organization 'research units and glyes a detailed historyof the aripliva on
of the policy to 10 differerft units. The effect of the reviews on the units k
then analyzed. The 'atitii(iFfifund that although the review policy could ie -
said to be effective that administrators tended more or less to follow it, the
. findin, (*review .cciAmittees often were ignored and recommendation
regarding .administrative, funding, and research changes often were no
impleinented.'Bolce.offers several suggestiOns fcr making reviews more
-
i
effective adminstrative deV ices. . \
. . ....

. v .. ,.,, ,
.
.

,
14:1.0/7,5-2 . , .
. ' .
.
.
..
The:Management of Research.in the (Jniyersity of California \
The Investigatoiss Perspective, :fumes W. McEvoy IL .61 pp. \
(Center for Reseatch in. Mitnagement Science, University. of
Califontia,erkeleyl .. . .

The late lames 'McEvoy undertook surveys of faculty investigators at 1.

the Berkeley and Davis campuses of the University of+California,kiiiing to

determine how the .research investigator functioned from day ,to 'day as.
administrator antl'pianager of a research effors Investigators were ques-,
honed about theli of satisfaCtion ordissatisfaction
dsatisfaction with the institur::
tional services. (accounting, -purchasing, etc.) .supporting their effortv.'41...
McEvoy. 4.,i. gattiered -iind interpreted valuable ev nee about. internal;
project management -methods -and -researcher & attijudes-towaFd.-their re-
search
search and Otheracademic roles. ..
. . .

.:' Where.
, possible, McEvoy used Verbatim the survey.quAlions earlier
deVeloped and'psed. in faculty surveys, tor the Carnegie .

.-1.
Higher-Edueitffiii: Iiu4, hjs data can be compared with national
national data o. n'
A
researcOtWestivators. This study,.C386,.7,? is par (if the center' s= ..

working papers in management science. .

.
...
.:.
14:1.0/72-1 . .

Beyond Acadethic Departments,Stanley lk.enben-y and Rqtee C.

Friedman, 144 pp. (Jossey -Bass, San Francisco). .

This boiik is a studyof research centersthose owanizations that grew

up in and around universities for the primary purpose of sponsoring re-.
search;. The authors present some historical inforniation to describe the
origins and growth of the various research centers, with a tentative typology
of different kinds. The focus of the study, however, is how research centers..
grew outside of the traditional academic structures .of. disciplirit-based-
-departments:
472

. t.
jr 0 I
 INSTITUTiONAL MANAGEMENT FOR RESEARCH 1411.0 .41
It

The authors poiit that the dominant`forrn of university disciplinary-

based research operates in a structure of organization, control, and reward
that is not compatible with interdisciplinary research. ReSearch centers,
thrletore, grew in order to accommodate new forms of risearch that required
different administrative apparatuses for their support: interdisciplinary,
zontract, and applied research. Tire authors present evidence that these
centers can suffer, within, acadenle because they threaten traditional
academic channels of control andjeward. They coplude with recomniendai
Lions to strengthen the role of research centers and Co minimize some of these
negative aspects.

e.- , ..
". .
14:1.0/72-21
, ..A
.... ,. .,

"Multi,and Interdisciphpary Research: .iiriiiileins Of Inithition,

6Ontrol, Integration and.Revara,".James W. McEvoy III, Policy .; .... '
r ._, .

Scieftresi.Vol. 3,. pp. 201%108.

,1 this article is about the- problernS'Ormanaging
problems a mufti- nor 'firer-
F . disciplinary team research project. 'The author. drawslon his experience -as i.
project director of a large interdisciplinaryproject concerned with human
effects on the Lake Tahoe region of California/Nevada. TheStudfincl ude a' ,
structural .analysis of the organiiation of universities and troW it inhibits
interdisciplinary research.. . . , .., .
The author concludes that the traditions`of singie-dikiPlinary, research
are . ineffective in._ providing management direction for ;i(iterdisc,iplinary
ressarch projects. He found that projects lacked sufficieheintegration her ...
c4s.e.-each inVestigatorpursued different research. questions apprOpriate tii-:.
individual discirdines. The differences 'in discipliritt-y:conyfntions for -1'.
evaluating research qualitS(Weie found to le a major for this disunity.
Specific suggestions for the copduct.and design of inttidiiiiplinary, projects,
including an an,alytis of national science policy, aresiVen. -.. .

1 ..
. , tt,
- . , . '..

, 14:1.0/73-3 .
-..,
The Non-Profit Institu4;NHarold Orlans, 244 pp. (MCGraw-Hill
.-?
4
Book Co., Ney York). . I

In this book, Harold Orlans distinguishes .the types of nonprofit re,

,
search institutes--the Fedesal research and development (R. &D).
center, the,
applied research. institute, the operating foundation, the endowed institute,
7:0.t
andloilie project institutearid analyzes such characteristic features of
.

inintufe organization. as' income tax status and charitable-organization

status, goverAance structures and personnel policies, and modes of con-
..
.
duct4research. .

Orlans points to special- virtues of the institute form as a way to ,

concentrate scientific attention on a given long-term, problem area or. on the

473 ' -'. . . .
 .0

14 RESEARCH AND RESEARCH ADMINISTRATION

research needs of a iniki6r supporting client. Institutes often compete with

universities (whiCh in many instances have given birth to them) and with
Iftilit-making corporation. Because instabilities of funds andtlient relations
afflict all but the few fully endowed institos", some have pursued aggres-
sive diversification strategies, for which graphic examples are discsussed.
Orlans argues that since excessive commitments to research by university
faCulty May hafebeVed to bring about the severe tensions in universities in ...7.
t4e Mud' 1960's independent institutes may by a better vehicle for con-
ducting highly systematic research.
This assessment of research inspates.illustrated by a wealth of case
studies, is rev,ealing and provocative in treating the major competitive
Alternatives to universities as centers of scientific'effort.

9:13/72 -2 Th'e He of Science: The Rok of the University, Dael

Wattle.
In this report, sponsored by the Carnegie Commission on Higher
Education, Dael Wolfle provides a lucid and well-documented history of MI .

Americal, research university. He shows how the major forces that shaped
this development led to ,the combination of serious policy problems that
presently plague the research community."..
The firstlidection
.. of the book outlines the 'development of profes-
sional ism in science. the-search aniong scientists for research sponsors, and
the 'beginnings of state and Federal interest fp science:The early alliances
between research, graduate instruction, and undergraduate education in the
major.universities are traced: This overview preSentS the seeds of problems:-
of the uneasy marritge between pure" and ,;'applied" research, between
liberal undergraduate 'education- and graduate education and research
specialization, and between academic freedom and accountability. -
Woltle argues that continued heavy Federal financing of university
research is necessary to protect quality olarship He concludes by of-
,
tering an agenda of significant policies that Search universities must effect
it' they are to maintain high quality'. ly their own 'goals to- avoid
manipulation by sponsors, become mor accguntable for quality of research
programs, and increase interinstitutional coordinationand sharing of high-
risk research. ,

..
14:1.0/67
"Universities and ,Disciplines," Alvin Weinberg, Reflections on
pig Science 167 pp. (MIT Press, Cambridge, Mass.).'
This essay. written by the director of the Oak Ridge Nitional
Laboratory,' is a 'chapter from his.* interesting book ,on the problems and .
prospects for ''big scence" research 'The author argues that the disciplinary
structure of university research makes univetsity research esoteric rather

474

5 Ob
 INSITIUTION AL MANAGEMENT FOR RESEARCH 1,0.0
than exoteric and threatens the' relations,between the university `ancloan
'increasingly mission-oriented society. The essay offers coherent definitions
of "pure" and "applied" research, with good examples of both kinds. The.
clarity of these definitionS alone qualifies this essay for inclusion`in a
research bibliography.
The point of the essay, howeiet, is not to enter a semantic debate.
Alvin Weinberg is concerned about the social impact of what he 'calls the
"narrow disc iplinarity" of the university. He, fears that the ecology of the
discipline-oriented university encourages excessive purism and specializa-,
tion in science. He maintains that this then leads to a proclivity among
scientists to substitute study for action. Weinberg feari that eagerness to
stimulate application can cause unive4y research to be managed as it is in
the mission-oriented latioratories,-sornerriing=that-be think's ultimately would
be damaging to free inquiry. He argues instead for a broadening of the
undergraduate curriculum, which he thinks is necessary to encourage sci-
entists to be synthesizers of knowledge rather,than esoteric scholars.

14:1.0/63
The Management of Scientific Talent, JcrJrne W.
,
Blood, ed., 240
pp. (American Management Associations,' New YOrk),.
This col lectionof articles on different aspects it research management
was commissioned by the American cfvlanagement Association in IN.
Articles fall into four major groups: objectives and planning, organization,
stafling'and compensation, and controlling research work.
The collection is somewhat unique within this bibliography because the
authors are managers of research and ddelbpment-in-American industry and
the articles concentrate on how to manage research- in the business environ-
ment. The authors tend to concentrate less on theoretical problems en-
countered in the management. of- research than on specitie pproaches to
problem-solving. Thus, inan article on recruitment of scientific personnel.
Arnold Deutsch pretsgrits the corporate managerWith a list of environmental
factors necessary to .create a satisfactory #f itnate,foi the _professional re-
searcher. The strength of his Collection is in its succinct approach to
research management problems. However, many of the specific techniques
cannot be translated to such problems in universities, largelybecause of the
"organized anarchy" of academe, Some of the recipes for successful
management presented in- this collection could, however, be enormously
, beneficial to the academic research administrator.

14:1.0/59
American Universities and-Federal Research, Charles R. Kidd,
272 pp. (Oxford. University Press, London).
This book is an early description and 'analysis of the impact of heavy
-Federal funding -of research:on -Americari- universities. Although it -:is
475

506
 14 RESEARCH AND RESEARCH ADMINISTRATION

somewhat dated, it remains_the-most-eegentLand-ineisiye nnalysiszot the

complex relationships surrounding Federal/university reseireh. Writ-ten
before the height of massive research fundingKidd's analysis is all the more
brilliant for its ominiscience in:Predicting areas of the major impact.
Kidd describes the impact, of Federal research on many university
elements :. internal governance,\ curriculum; Planning- graduate education,
funds management,' and individual faculty autonomy. He is particularly
.insightful in his description of thecomplex mechanisms that are used to form
research policy and the institutional arrangements ,by which university
objectives are ;reconciled with those of government; .

. The clentttl, thesis of the book is that large -scale Federal financing of
research has set in motion irreversible forceOffectingthe nature of universi-
ties: These include change in internal commitment to instruction,
de-emphasis of.the core undergraduate-liberal arts-curriculum,-changes in
financial relations and internal budget processes, changes in parts of the
FederaVadministrativp structure, new relations betweeh universities and the
Federal Government, and finally: change in the conduct of research. itself.
Kidd warns that, without careful attention within universities and the
Federal Government althe policy level, these forces could combine to
damage the quality of.universities and university research.

2.0 NATIONAL RESEARCH POLICY, RESOURCES,

AND DATA

14:2.0/A
Federal Support to Universities, Colleges and Selected Nonprofit
Inst;tutions, E'Y 19 , National. Science Foundation, approx. 166
pp. (14 SF.,, Washington; D.C.).
This annual report to the President and the Congress provides detailed
information abOut Federal .obligations to universities and college: for eight
types of activities, including research and development, fellowships,
traineeships and grants, and general support for science. The dollar amounts
of obligations are listed by type of activity for each individual institutuiOn
. receiving funds. HOwever, funding ii :not differentiated by the basic re-
searctdapptied research dichotomy,used in other NSF publications. Federal
obligations to the 100 universities and colleges receiving the largest amounts
are cross - classified by agency and by categories of activity.

14:2.0/S-1
Federal Funds for Research and Development, Nationid Science
Foundation, aPprpi.. 185 pp. (NSF, Washington,
. This multivolume series provides information on Federal obligations
476

45 0
 "

NATIONAL RESEARCH POLICY, RESOURCES , AND DATA 14:2.0

for basic researcA, applied research, and development by type of performer

for a base year (generally about 8 or 10. years past) and then more current
year's. Each volume covers three fiscal years, with data for the earliest of the
three years based on actual expenditures and the.latest year's figures based
information by
on budget estimates. Separate appendix tables give detailed
type ot'pertOrmer, by agency, and by field of science.
One of the 1980 volumes, volume 28, also shows the geographical
distribution of funds by type of performer for 1978 and ana zes trends in the
growth of various performers during the 1970-78 period, during which there
was a considerable shift in Federal research obligations to 6iniversities and
colleges relative to intrimural Federal laboratories,

-L_
14:2.0/S-2
Science Indicators, National Science Board, approx. 300 pp. (NSB,
National Sciehce Foundation, Washington, D.C. i.
The National Science Board Indicators studies, published every 2 years
I define indicators of the national and, international health of the U.S. science
establishment an provide quantitative evidence of composition, trends and
-problems.
The study shows the sources and distribution of research resources and
campares the research role of colleges and universities with othe types of
research-producing organizations. A Delphi experiment is reported, show-
ing experts' views of what areas of social importance should be addressed-
scientific research and what resources and developments Of scientific
capability are needed.
The 1974 study portrays in-expanded detail the-international position of
American science and technology, and reports updated information on
science funding, organization, and Personnel.. Trends in science and
engineering personnel, by disciplines and types of employMent,
analyzed in considerable detail, together with trends in the production L,
colleges and universities of newly trainedpersonnel.
The 1976 study showS the continuing slippage of Federal "research
support and if consequences. and, also carries on the "main categories of
indicator presefitation used in the two earlier studies. Outputs of industrial
research and development, including patented inventions and categorization
of major innovations, receives new expanded treatment.
:For 1978, the NSB set up an internal task force and used a number of
external reviewers to assess the 1976 Indicators and make suggestions for
improving the series. As a result, the 1978 report includes more interpreta-
tion and analysis of data. Primary policy questions are identified, and a
comprehensive index has been added. The 1978 voltime also shows an
increased emphasis on alternative interpretatiohs of the data and the limita-
477

50
 14 RESEARCH AND RESEARCH ADMINISTRATION

4 7 Lions of the data, as well as more reference to ther publications are also
included: f 4
The 1980 edition of Science Indicators will be published in the fall of
1981.
, These studies, with their analytical commentaries and wade-nhiging
data, provide indispensable background for the analyst of the research
.
organi2atiort', its efficiencies, and A impacts. .

41
14:2.0/81-1 . ,
Postdoctoral Appointments and DisappointMents; Report,of the
Committee on a SteLly of Postdoctorals in Science and Engl.. 4.
neering in the United States, Commission on Human Resources,
National Research Council, 412 pp. (National Academy' Press,
a
Washington, D.C.) .
This monograph follows up a well-known study of 'postdoctorals, The
Invisible University, which was issued more than a decade ago. Using new
survey data collected specifically for this evaluation and includid..in the
monograph, the Committee on Postdoctoral hag assessed the current status
of postdoctorals and arrived at several recomnitndations. for the i''ederaj
Government and the universities.
Early chapters in the report cover the historical background, the
changing employment patterns and career paths of young scientists, and the
use-of the postdoctoral path to careers in research in each Major science field.
Then, the issues are examined from the perspective' of the postdociorals'
contributions to research. ;Prime issues that,,the C.ommittee. uncovered
through the survey and other evidence were: ( I ) a lack of prestige and
research independence in the current day 'postdoctoral appointment; (-2) a
mismatch between the important role df the postdoctoral in actual research
performance and future, career opportunities in research*) a lack of
, recognized status of the postdoctoral in the academic
community; and (4) the
unclerutilization of women and minorities in postd(A. local research.
The Committee offers four recommendations for this period of signifi-
cant transition in postdoctoral education. First, the Federal Government
should establish 250' new', portables. 2-year postdoctoral fell ships per
year. Thest should have competitive salaries and be accompanied by some
funds for research expenses. Second, the Federal Government should estab-
lish 50 additional fellowships per year, like those described abOve, but
earmarked for minority ph.D.'s. Third, each university that has nonfaculty .
research personnel should establish a standing committee on postdoctorals
and other nonfaculty doctoral research staff. This committee should review
the situation of these researchers and recommend appropriate institutional
policies. Four4h, the National Science Foundation should expand its .

478

i 509
 NATIONAL RESEARCH POLICY, RESOURCES. ANDDATA 1 4i2.0
Fj
longitudinal data gathering to include specific survey on young scientists'
and engineers' career decisions,
- An appendix to the report includes 180:piges
otstatistictil tables,

14:2.0/81-2
"Science and Technology in the White House, 1977 to 1980,"
Parts I and 2, Frank Press, 'Science Vol. 21.1, January pp. 139-45
andpp. 249-256.
Frank Press served from 1977 to 1981 both as science adviser to the
President and as director of the Office of Science and Technology Policy
(OSTP).
In Part I of this article, fie'describes-the organization and functions of
OSTP during the Carter AdMinisrration. Press reports that to strengthen
U.S. 'science and technology, OSTP undertook tostimulate greater Federal
support for research and development, recogniiing the Government's
dominant responsibility for funding basic research and certain high-priority
areas of applied research' and providingadditional incentives .to private
industry for commercial applied research and,development. Basic research
support had declined in constant dollars from ihe late (960's to the mid-
1970's, but in the Ford and Carter AdminiStration, real-dollar increases were
achieved.
OSTP participated actively with the Office of anagement and Budget
and other Federal agencies in the budgetary eve tion of all programs and
:projects having a signiftpant scientific-or technological aspect, from
microelectronics and the space shuttle to the control of toxic "substances.
OSTP also advocated greater Federal involvement and planning in the:
_

provision of equipment, facilities, and manpower for the R&D process.,

Other major thrusts of OSTP included: (1) a systematic effort to push more
intensive industrial innovation as a means,of revitalizing.the U.S. economy;
(2) enhancing cooperation between-governmint, industry, and the universk-
' ties: and (3) reforming the regulatory process by improving analytical efforts
that serve asa _basis for regulation and by seeking better coordination among
Federal agencies.-
In Part 2, Press discussess several areas of more particularized activity
in which science and, techology have a role. He helped to arrange the
bilateral agreements with the Peoples' ITeOblieitChine for cooperation it!
science and technology, and' OSTP provided staff to formulate joliti R &D
efforts with Japan in large-scale energy research and other key areas. Press
also discusses OSTP's interagency efforts in connection with national policy
formation and program priority-setting for national security, space policy,
energy and the environment, health policy, and agricultural rsearch. Finally,
OSTP spearheaded the formation of advisory long-range and planning
mechanisms.
479

51.0
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 14 RESEARCH AND RESEARCH ADMINISTRATION

14:2.0/80-1
Academit.Science: 1972-1977, National Science Foundation, 67 pp.
(NSF, Washington, D.C.),
This publication is the first in a planned series of consolidated biennial.
analyses of academic R&D expenditures, theuhlization of scientists and
engineers, and the, characteristics of the graduate.science engineering stu-
dent poilation. The report is based on three NSF surveys and combines
material that, in prior years had been published separately. Some of the
financial data can be found in other NSF sources (see 14:2.0/5-0, but not all
of the expenditures data are readily available elsewhere:
The ohe- volume format makes for a very useful compendium of in-
formation about both dollars and people involved in academic R&D over the
6- year period.

14:2.0/8012
AMerica's TechnOltigical Slip, Simon Ram_o, 296 pp. (Wiley Inter.
science, New York.). .

in this volume, Simon Ramo, known for hiswide-ranging achievements

in applied science and industrial innovation, provides a thoughtful assess-.
ment the nation's "slippage" in science and technology. Early chapters
give some background reasons for.the i'lipilage that Ramo says has occurred.
He then devotes a chapter to each of a series of problem areas: nuclear
energy, synthetic fuels, c liservationoirban transportation, environmental
protection, and the many current 'and future applications of the computer.
Thee final section of the book covers international problems, technology
transfer, And the reds for deeper commitment to education. Ramo con-
cludes with a grim scenario of the deterioration both in the United States and
in its surrounding world that could occur, and also points out how this can be
averted.
The book rests on Rama's wide personal experience, judgment, and
observation rather than on the collectilm and systematic analysis of new,
detailed evidence about the problems of technology,. productivity lag, and
deadlocks in social policy.

14:2.0/80-3
The Demand for New Faculty in Science and Engineering,
Michael McPherson, ed. 243 pp. (National Academy of.ciences,
Washington, D.0 ). .

In 1979, the Committee on Continuity of the National Research

Council's Commission on Uhlman Resources convened a WdrkShop of
specialists in forecasting demands for, scientists and engineers. The Com-
m ittec' s objective was to assess the merits of these forecasts-and projection
so that it could have a reliable basis for its policy analysis and recommenda-
tions. ,

480

51
 NATIONAL POLICY, RESOURCES, AND DATA 1412.0

This volume includes technical papers presented at that Workshop or

stemming from it. These include: (I) a presentation of the methodology and
techniques for its projections, by the National Science Foundation's Davi=
sion of Science Resources Studies; (2) a comparison of several different
mOdelling approaches, by Charlotte Kuh and Roy Radner; (3) a comparison
of the Radher-Kuh and NSF iprojections, by Donald Hernandez; (4) an
estimate of the response-functions for the faculty job market using eco-
nometric technqiiies, by Richard Freeman; (5) a compilation of his work on
future dernand for physicists and other. scientists, by Lee Gibdzins; (6) a .
report on thebproblems of moving age-distribution over time in several broad
fields. by Charlotte Kfih; and (1) an assessment .of the relationship between
the calendar age and productivity of the scientist.
in a final paper, Frederick Balderston and Michael McPherson examine
the extent of uncertainty in these long-range projects and sec o assess their
value as a basis for manpowIr policy formulation.

14:2.0/80-4
Fiinding Mechanisms: Balancing Objectives and Resources in
Research, National Commission on Research, 41 pp.
(NCR Ann: Cornelius/J.-Pings, University of Sotithern California,
Los Angeles).
In thiS report, the National Commission on Research surveys the
current syStem of funding mechanisms for goverment-sponsored university
research, identifies. certain problems, and presents its conclusion and de-
tailed recommendatiOns for improvements in the System. The specific dif-
ficulties identified by the Comcnission include equipment inadequacy,
erosion of institutional tupport for .research in the humanities and social
;sciences, the lack of continuity and stability of funding, cost-sharing re-
quirements, and the administration bf indirect cost reimtuirsement. The
Commission Aso draws attention to the related issue of the evolving role of
university-based research centers and the relationship of these centers to the
university's structure.
The Commission's chief recommendations relate to adapting present
funding mechanisms and improving priority-setting strategies to solve the
problenof research equipment obsolescince, longer appropriation cycles
and more Continuity for agencies that stippprt basic research, and new
tlinding mechanisms to sustain the research capacity of universitiesi.e.,
general research capacity support equal to between 1 and .3 pkrcent of total
Federal research support. Experimentation with grants-in-aid managed at
the local level, decoupling of indirect and direciCost considerations, and
elimination of most cost-Oaring requirements are also included in the
Commission's recommendations.
481

512
14 RESEARCH AND RESEARCH ADMINISTRATION

14:24/80-5
National Patterns of Science- and Technology Resources, 1980,
National Science Foundation, 72 ppINSF,Washington,.
Was ingion, D.C.). .

This useful document brings together 50 pages-of statistical tables'on

national science and technology research resources governmental, uni-
versity, and private.for projects of science and engineering personnel;
The first portion of the report gives a narrative perspective and analysis
of the nation's research and development resouis, both fisCial and human.
Numerous worthwhile breakdowns are used: basic vs. applied research:
Federal vs. Industrial R&D; and R&I4 both by prbvider of funds and by type
of performers of the 'work. The second section of the narrative summarizes
the main features of the rote and impact of research and development in the
nationaleconomy .
14:2.0/80-6
Research Personnel: An Essay on Policy, National Commission on
Research, 26 pp. ,(NCR, Attn: Cornelius J. Pings, University of
Southern California, Los Angeles):
This report, 'which deals with the national need for an ample pool of
research scientists, is different from the other reports by the National
Commission on Research in its absence of specific recommendations to the
universities, the congress, and the Federal agencies. This report is more
tentative in tone, reaches few conclusions, and ends, with an agenda for
futumdiscussion 13 questions directed toward the government and the
universities on the theme of.ensuring sufficient quantity and quality of
research personnel for the nation's future security an'd
The Commission expresses particular concern about the unplanned
manner in which both universities and government research facilities are
changing, and urges the early Consideration of its agenda by the President,
the Congress, Federal agencies, universities, and industry.

14:2.0/80-7
"Science and Technology .Policy: Perspectives- for the 1980's,'.7
Herbert!. Fusfeld and Carmela S. Haldisch, eds.,.285 pp. (Annals of
the New York Academy of Science, 334, NeW York).
This volume is based on papers and discussions presented at a con-
ference in December 1979., The initial paper, "Overview of Science and
Technology Policy-1979," by Fusfeld, is a.very thoughtful and insightful
discussion of current policy concerns related to the mechanisms by which
science and. technology can contribute to solving particular probleins of
society and the economy. Fusfeld finds gelferal agreement that there will be
increasing actions by government to bring scierce and technology to bear on
problems in the civilian sectori.e., areas other than the military and space
programs. This implies a more active government role in civilian sector
. 482

513
 4'

NATIONAL RESEARCH POLICY, RESOURCES, AND DATA II 412.0

R&D and a new emphasis on defining the proper governmental tole for
supporting technical activities directed toward the civilian sector.
Fusfeld's essay sets the stage for the four sets of papers that follow: the
first deals with major areas of concern in science and technology policy; the
second focuses on that policy in selt:ded technical fields (food and nutrition,
materials, energy, etc.); the third deals with the interaction of science and
technology policy with areas of national concern: and the forth covers
recommended guidelines for science and. technology policy. A concludi concluding
paper, authored by William D. Carey, reviews the issues. and summarizes
the areas of conse?sus regarding a focused science and technology policy.

See: 12:1.3/80 A Program for Renewed Partnership: A report of the

Sloan Commission on Government and Higher Education, Sloan Com-
-
mission. ,

In chapter 6, "Fedtral Support for. Academic Research," of this

volume, the Sloan Commission finds evidence of four current trends that it
believes run counter to the beseinterests of both tht country and fundamental
research: (I) pressure to even out the distribution of research dollars: (2)..
tendencies to change the distribution of the dollars in the direction of More
applied research (directed toward specific social needs); (3) increasing
financial oversight; and 14) increasing congressional reluctance to hind
research at a suffiCient level to permit a modest real growth.
The Commission defends the peer review system and the present
distribution.of funds, and the appropriateness and desirability of ,F,ederal
support t'br basic research.-However, it is greatly concerned with the eftlet
on the research pi.icess of the sometimes excessive Federal financial over-
sight, and emphasizes the significance of a modest real growth in academic.-
research funds in order to ensure funding for new ideas.
The Conimission recommends that responsibility tik financial Over-
sight of all academic research grants be put in the hands of a newly created
Office of Inspector General, attached to the National Science Foundation
(NSF) but reporting directly to the National Science .Board. In addition, it
urges that the NSF and the National Institutes of.Health join in funding about.
1,000 portable postdoctoral 'fellowships and that other FedenVagencies.
create ,abolt 300 new National Research Fellows, each carrying support for
5 years of research. Finally, it recommends shifting someproject resources.
equal to about 7 percent of the direct costs of each research grant and
contract, to academic libraries and other general research suppgrt:

.,

-483

514
 14 RESEARCH AND RESEARCH ADMINISTRATION

14;2.0/78 ,
The State of Academic: Science: Volume 2-BaekgrOund Papers, .

Bruce L.R. Smith and Joseph J. Karlesky, 190 pp. (Change Magazine
Press, New Rochelle, N.Y.)
This volume on the state of academic science consists of five essays
commissioned to provide background for Smith and Karlesky's larger work
(14;2.0/77-2). These essays, together with an introductory chapter by the
editors, present an excellent profile of the major issues that presently.
confront American academic science. The depth to which the subject matter
is explored in each essay and the timeliness of the materials warrant their
indepth annotation in this bibliography.
In "Forces Affecting the Research Role of Universities," Dad Wolfle
_
presents- a-synopsis of the major forces affecting the research of
American universities. A review of data from the mid- 1960's to the present
shows signifiCant:changes in both the absolute level and the type of financial
support; as well as the. imposition of more external controls on the conduct of
research. From the mid-1970's, funds for research were found to have
declined 25 percent for each full-time-equivalent scientist and engineer
employed in universitieseven though the tiniversitylvrtion of the total
national research effort increased slightly. Wolfe Aso reports that faculty
members had to shift fields of research and find new areas of support.
Interest in applied and targeted research also increased considerably, while
external controls designed to increase public accountability were imposed
4 on all aspects of research. Wolfe-finishes by discussing the impact of the
funding Changes on the future quality and diversity of research. He con-
chides that universities that were not able to build quality research progriuns
during the sixties will likely never achieve high stature, although already
vigorous programs of demonstrably high quality are likely to maintain good
research prograrns.,
In "The Changing Relationships: Universities and other R&D Per-
formers," Walter S. Baer describes major trends in research funding over
the past 20 years, focusing on the changing role of university research. Baer
relies heavily ,on the National. Science Foundation's annual regorts and
srarizes data on overall support, support to various types of research and
d elopment agencies (universities, Federal in-house laboratories, federally
funded research and development center, industrial firms, and other),
sources of funds for research, and patterns of...support to basic and applied
research. He anal.yzes dianges over the period in the research' tole of the
different institutions and the types of research conducted in them. Baer
concludes that universities have strengthened their hold (vis-a-vis other
R&D performers) in the conduct of basic research, but that other agencies
have emerged as significant competitors for support of applied and policy
research. Baer has done a major service to the research planner in this paper
-1,

484 0
515'
 NATIONAL RESEARCH POLICY. RESOURCES, AND DATA 14.2.0
Ni
by highlighting gie major policy issues *through careful examination of
funding trend dafa.
1, In "Targeted Research: An American Tradition," Carl M.-York gives
- a. brim& historical overview of the organization and funding of American
research from the time of the American Philosophical Society of Benjamin
Franklin to the Present. York focuses especially on the changes-in Federal-
university relations during the past decade and offeri some evidence this
funding for targeted research (defined as "a direct attack on a clearly
specified problem") may. threaten the long-term quality of (wive re-
search. York sees the following as major threat. financial controls leading
to lack of discretionary funds, personnel. problems, and encroach
:Federal.regulations on internal university. policies.
In "Effects Of Recent Trends. in Graduate-Education 'on University.._
. Research Capability in Physics,I.Chemistry, and Mathematics,"_ David W.
Bceneman explores the thesis that downward trends in doctorate enrollment
and production' will have a negative effect on research capability and,
ultimately, on university quality.' Data showing enrollment trends iq the ,

fields of physics, chemistry, and,madiematics for thOse institutions that were

`rated in the 1970 Ameritan Coiiail on Education (ACE) study of graduate
education are' presented, Brenemanalio reports on a series of interviews that
. he conducted with university, faculty to gain 'insights into thellualitative
impact of these eneollment trends. He found that enrollment deeline tended
to be most severe at departments, that were rated lower in the ACE,studies.
The short-term impact on research capability caused by lack of ,graduate
research and leaching assistants differed by field because of different iradi-
tions.of graduate research and undergraduate teaching needs in these fields.
Fields that did not rely,on graduate research assistantship& to a substantial
'degree (such as matheinatics) were 40,iind to be better able to reduCe enroll-
ments thaOthose that did. All fields, however, tried to maintain levels of
enrollment sufficient to retain teaching assistants so that faculty research'
time would not be severely threatened.
Breneman concludes that current -research capability in physies,
chemistry,- and mathematics his not been seriously undermined at leading
institutions by the changes occurring in graduate education from 1 73..
'He furtIltr concludes that present doctorate production is "adequat to.
meet long-term research manpower needs. The serious proble he
discovered, however, is not caused by doctorate production but by the
prospective lack of tenured-position vacancies in nonexpandirig depart-
ments caused by the current.age distribution of university research faculty. ,

Lick, of opportunities for schOlarly appointments for young scholars poses a

critical threat to the long-term vitality of the research enterprise.
ti "Acountability and the Research Universities," Sanford A. Lakoff
°Ike air overview of the problem faced by research uniyersitiesthrough
1. 4
1..f:1, -*V

45
 14 RESEARCH AND RESEARCH ADMINISTR SION

increased pressure for accountability, as well as some constructive ways to

address the issue. First, Jakoff describes the symptoms of increased pres-
sure for accountability: increases of funds fordargeted research andecline
of general institutional grants; and threat to withdraw research funds for
failure to conform to admissions, employment, or other regulations. These
factori imply an ominous eOsiori qf academic fret:doffl as they move the
authorir for decisions outside of the academy. The problems of improving
academic accountability are especially difficult because of the unique
,problem in research caused Is), the lack of a predictable and identifiable
path of successful performance. Lakoff argues that, on the whole, stateand
'federal officials have been supporiln and'have takei; the need for different
standards of accountability for academic institutions into consideration. He
maintains that universities need to take positiveisteps to improve the means
()Managing resources, esepcially in accounting, inventory management,
and recording of indirect costs.

14:2.0/77-1
Research Universities and the National Interest: A Report from
Fifteen University Presidents, 140 pp. (FprdrFoundition, New
York).; 6
In this volume, 15 university presidents contend that central parts of the
tratural work of research universities are of critical importance to theqtality
of the security of American life and that there is no source of supplemental'
support at the required level outside of the Federal Government. Their needs
are considered under fOur headingS: basic scientific research, graduate
education, research libraries, andintemational studies. ,
in the section on basic Scientific research, the presidents argue for a
broader approach by the Federal devemment and offer several alternatives to
current funding mechanisms and practices. They also call for a significant
increase in individual grants to scientists at all levelsgraduate students,
junior faculty -members, and senior professors. However, they explicitly
reject the suggestion of some that limited number of institutions be
designated "national universities" and given direct institutional grants.
For an opposing point of view on institutional grants, see Genut Piel,
"Federal Science Policy and Support of Autonomous Universities: A
Modest Proposal," in William T. Golden, ed. Science Advice to thePresi-
dent,.Pergamon Press, New York, 1980.

14:2.0/77-2
The State of Academic Science: The Universities in the ation's
i Research Efforts, Volume I - Summary of Major Findings, Bruce
L. R. Smith and Joseph J.-Karlisky, 250 pp. (Change Iviagazine
Preis, New Rochelle, N.Y.).
. This book is the most complete recent treatment of the problerni and
prospects of university research. The review is based ona series of site visits

46
 NATIONAL RESEARCH POLICY, RESOURCES; AN6DATA 1440
,
and interviews at a group of major 'research universities, as well as. an
investigation of recent literature to determine the role of university research
in the nation's research effort and to diagnose the potential for the continued
health of university research.
The authors provide a concise Summary of current trends inthe support
and performance of academic research,:including funding trends and shifts
in support of research by field. The changing relationships between univer-
sities and other research and development performers and the implications of ..
these changes forfuture university research are discussed. The authors also
examine the current state of research (funding trendi, graduate enrollment,
and manpower trends) in the fieldsrif chemistry, physics, mathematics, life
sciences/ and engineering. Finally, the authors summarize the major plan-
ning, issues that jeopardize the health of university research: supporting
Jesoure_es, .manpower prOblems, indirect costs, and state/university Ma._
tions.
The study is limited to the extent that the authors have elected to focus
on sponsored 'research and have, not explicitly addressed the impact of
sponsored research on internal university governance. This is a minor
shortcoming, however, isithis Study is far and away the most comprehensive
treatment ofthis extremely broad and difficult area presently available.

14:2.0/76 .. ,

Science at.the Bicentennial: A Report from the Research Com-

munity, Natii?nal Science Board, 154.pp. (NSA, National Science
Foundation, Wilthington, D.C.). 11

The Ntrionaience Board undertook, for the Bicentennial, to as-.,

semble the exqert judgments of people in, four "sectors''universities,
industry, government laboratories, and independent research institutes
about the problenis of science in America. Following A . brief 'historical
introduction o,n theorganizat ion of American science,.the report defines and
interprets four themes: dependability of research funding, vitality of the
qesearch system, freedorrio in the research system, and (from a review of
previously conducted public opinion polls) public confidence in science and
technology and their Value to society.
The Board found that respondents in all four ,sectors of the science
establishment reported striking14similar concerns about the status of science
in American society, though the importance attached by the various sectors
differed. Increased continuity and stability of research funding were felt to
bestvitally necessary, and increased funds were *judged' to bb needed by
universities, gthenunent laboratories, and research institute spokesmen,
while indristrial research spokesmen pointed to the heed for generally greater
capital formation and for improved incentives, All of the respondents also
considered a lack of national research policy and priorities to be a serious
issue.

487.

51.8
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14 RESEARCH AND RESEARCH ADMINISTRATION

The reduced appeal of careers in science for the ablest talent and the lack
of career opportunities in basic science were important issues regarding the
vitality of the research system. Pressures toward applied research instead of
unfettered basic inquiry, as well as rapidly growing bureaucratic and
"accountability" controls, were reported by all four.sectors as threats'to
traditional research freedom. Specific negatiVe attitudes in the executive
branch. and .in congressional committees were regarded as a significant
immediate problem kw science.
The final section of the report contains a review of previously con-
illietedAlb*opinion polls on science that IS, of particular value to the
university research administrator. This review, which includes descriptions
of different major.siiiVeys on the subject, shows a clear general deterioration.
of public esteem for public institutions..Hdwever. the surveys-show a high
degfee Of public respect for scientists as experts;c6mbined with the "widely
held perception that scientists are "strange people." The review suggests
venal options available to university administrators to improve public%
colon of science.

14;2.0/74
"Science and Its Public: The Changing Relationship,3' Daedalus..
American Academy of Arts and Sciences, Vol. '103, No. 3, Summer,
224 pp.
Of a, number of interesting essays in this volume, those most pertinent
to higher education's concerns with research and its'organization are: Don
K. Price, "Money and Influence: The Links of Science to Public Policy":
David Z. Beckler, "The Precarious Life of Science in the White' House":
Emilio Q. Daddario, "Science Policy: Relationships Are the Key"; and
Amitai-Etzioni and Clyde' Nunn. "'The Public Appreciation of Science in
Contemporary America." 0-
These articles display and interpret important faceti of the public and
political Onvironment of the science establishment, including academie
science. Price discusses some of-the paradoxes of scientific freedom in
relation to the sources of funds and offers judicious suggestions for
preserving need autonomy in a troubled political environment. Beckler and
Daddario oiler detailed historical insights from their own Washington
experience concerning effective advocacy for the needi of science. Etzioni
and Nunn portray, from polls and. other evidence, importan( ambivalences
toward science, its methods, andits social impacts.

14;2.0/73 .
Science and the Evolution of Public Policy, James A. Shannon; ed. ,
280 pp. (Rdckefeller Universi Press, New York).
This collection of articles resulted from a lecture-seminar sets funded
at Rockefeller University through-the Commonwealth Fund and the National
488

53
 NATIONAL RESEARCH POLICY, RESOURCES, AND DATA ' 14101.0
,
Science Foundation. The e of the series was to bring together sci-
enlists and research administrators to give-theirperspectives on different -
aspects of Federal fundirig and research policy. The articles are.organized
into five sections: .The purpose and utility of science, development and
goals; the university; the Federal support, of science; and general support of
science. The materials on purpose and utility of science and problems of
developing goals and priorities are of especially high quality. The perspec-
tives offered concerning the health of research and the prescriptions given to
ensure its continued well-being are overwhelmingly those of the academic
scientist.
The books paysarticular attention to the problems encountered by the
lack of precise definition of most research policymaking terminology and
highlights the need to clarify these definitions before a sound research polidy
can be developed. This book useful, therefore, to those who want to become
quickly acquainted with the range of opinion and the scope of debate on
these philosophical and semantic matters.
at
See:9:3.0/69 The Invisible University: Postdoctoral Education in the
United States, National Research Council.
This volume' reports on the major studyin the still-expanding phase
of science budgets and graduate enrollmentsof postdoctoral education and
the role of the "postdoc" in research and teaching.
Starting with standard definitions, the study relied on questionnarie
surveys to obtain evidence from current postdocs about their backgrounds,
activities, and support. A separate survey covered those who could report on
the previous impact of their postdoctoral experience: Faculty, departmental,
and institutional questionnaires elicited information on the postdoC rule, the
importance of postdocs to faculty and departments, and problems of institu-
tional policy concerning postdoctoral education.
While a few outstanding young scientists had postdoctoral opportuni-
ties each year between the wars, steep acceleration of postdoctoral eduction
occurred in tandem- with the expansion of Federal funds for support of
research following World War ll. Postdoctoral education, like research
funding, proved to be highly concentrated in a subgroup of prominent
,universities and quite concentrated in the laboratory sciences, mathematics,
and medicine.
The study concluded that postdoctoral experience has become nearly
essential to establish readiness for good academic appointments and that
'postdoctorals have come to assume a crucial role in the conduct of academic
research in the sciences.

489
 14 RESEARCH AND RESEARCH ADMINISTRATION

14:2.0/68
Sciences Policy and the University, Harold Orlans ed., 344 pp. (The
Brookings Institution,,Washington, D.C.). t,

This '-lx,ok contains.: a series of papers resulting from a seminar

sponsored by the Brookings Institution on research and research policy. This
collection is unique in that it presents both the papers on different aspects of,
policy formation given to seminar participants and the editor's synopsis of
the disCussion that followed. These discussions (where a high degree of
candor seers to have prevailed- -and' where individual identities are
omitted) are among the most interesting of the literature on research and
research management! It is not possible to summarize them succinctly,
because the only fair generalization thal can be made about them is thafthere
is no uniformity of opinion on research Policy among the profession. The
topics touched upon in the seminars, howevit, give a rich menu of research
policy "prOblernedeMl. support for -funetions other-than research in
universities, how to support "big 3cierie;" and how to plan and budget for
J research in universities. Two distinctive, contribudens of the book are
- attempts by members of the seminar to offer criteria by which funds for
researchers can be "rationally" allocated and criteria by whiCh research
productivity can be evaltiated. t.
.

3.0 ,UNIVERSITY- GOVERNMENT - INDUSTRY

,RELATIONSHIPS IN RESEARCH..

14:3.0/81
"The Indirect Costs of Federally Supportediresearch," Kenneth
T. Brown, Science, Vol.-21-2, April 24, pp.-41I-418.
Drawing on,data about National Institutes of Health (NIH) funding of
university research and on his experience as n faculty research investigator
and NIH panelist, Kenneth Brown recommends that a uniform indire4 cost
rate be adopted for faculty/initiated research grants and applied to all
universities. He argues-that the uniform indireevost" rate would increase .

efficiency in research adiMniStration by eliminating the opportunity to

expand administrative 'costs and then negotiate a higher indirect cost rate;
that it would reduce antagonisms between university research lac' ult.y..who
want to minimize dollars "lost" to research through indirect cost charges,
and senior administrators;higher indyect cost rates; that it would simplify
relationships and reduce conflicts between research universities and Federal
funding agencies; and, most important, that it would increase the soundness
of funding review of research and (he hopes) reserve more of the total
funding for the actual conduct of research.
Brown begins by showing NIH's research funding history from 190 to
1979, with steady fall, in direct costs from 87.7 percent to 73.3 percent of
490 ,

nce?!
521
 U N IVERSITY-GOVERNMEiff-INDUSTRY 1483.0
RELATIONSHIPS IN RESEARCH

total funding. Total NIH funding for university research grew by a factor of 8
during this period. In constant 1966 cloilars however, direct casts for
research increased by only 35 percent, whereas indirect cost increased
during this 13 -year interval so that the 1979 figure was 350 percent of the
1966 base He also shows the widelyldiffering indirect cost rates of the 20
universities'receivingth,e largest amounts of NIH funding. .

Brown points out that in the NIH peer review process, both the scien- .

title merits of the proposal and the attendant budget are evaluated, andthat
budget cuts are often made by the review panels. University practices differ,
however, on what is considejed to be "direct costs,".and the peer reviewers
look only at these direct costs. Indirect cost sates are determined by a wholly
separate negotiating process. The effect of the indirect cost rates is to take a
large,portion of the total number of research dollars provided by the liked
line item allocated to each NIH program.

14:3.0/80-1
"Stengthening University-Industry 'Interactions," Walter S.
Baer, 34,pp. (Rand Corporation, Santa Monica,
In this informative acid thoughtful paper (opinion paper no. 120), the
author takes as his starting point that university-industry interactions are
only %he means for achieving certain end's. In this connectioh, he clarifies
possible objectives, discusses the current state of knowledge about the
policy issues involved, and presents various government policy options.
There are at least two recurring themes throughout the paper: first, jhe
need to take into accounuhe differing incentive structures of the two sectors;
and second, the need to design government policies that do not hinder the
free flow of information, ideas, and people betWeen the other two sectors. In
many cases, Baer suggests, the best government policy might be _"no
policy."
Baer emphasizes the importance of "defining the goal" in designing
sen*ble policies or programs in this area, presents a matrix of both primary
and secondary objectives Ntid various means of promoting interaction, and
briefly discusses three different types of arrangements for university-in-
dustry interactions. A final section of the paper outlines a number of policy
options (tax credits, generic technology centers, small business programs,
etc.), some of which exist as prototypes or have been instituted on a
small-scale basis, He concludes that a case can be made for modest addi-
' tional efforts by the Federal Government to encoucege university-industry
interaction, but that such interaction does not constitute an innovation
"breakthrough,,,"

491 522
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 14 RESEARCH. AND RF,SEARCH ADMINISTRA;110N

14:3.0/80-2
Industry and the eniversities: Developing Cooperative Research
Relationihips in the Natioitannterest, National Codunisgion om
Research, t0 pp. (NCR, Attn: Cornelius J: Pings, University of
Southern California, Los Angeles).
The themebf this report is that imprOved university-industry coopera-
tive research can produce Significant benefits.for the nationAhe substance
of the report is the actions that might be taken by the government, by
industry, and by the universities. to bring about this improvement. The O

Commission briefly outlines the benefits and hazards of cooperative re-

search relationships to universities, industry, and the public; sketches the
roles and responsibilities of each of the partners; and presents six alternative
approaches for, cooperative research relationships.
The Conimission- Mates several recommendations for actions to be
taken-by each -of the three parties concerned. For the-universities; it-
recommends an examination of their administrative structure and policies in
this area so that such arrangements facilitate cooperation while protecting
the - academic research environment.- The National eience Foundation's
Industrial-University Cooperativ; Research Project ogram is cited as a
relevant model of a direct university-industry cooperative research relation-
ship. The Commission also recommends that the Federal Government
.
permit universities to retain title to inventions developed under federally
supported reseppch.
-The conclusions and recommendations are often rather general in
nature and broad in scope. However, the report's subject and tone indicates
the growth in -the academic. Community of mope favorable attitudes- toward
and interest in establishing clop university-industry links.
_

14:3.0/80-3
Research Accountability: Restoring the Quality of the Partner-
ship, National Commission on Research, 33 pp. (NCR, Attn:
Cornelius J. Pings,-University of Souther California, Los Angeles).
The National Commission on Research is a private nonprofit organize-.
tion established to examine the relationships between government agencies
and universities involved in research. Therommissidh was founded in 1978
by the American Council on Educatioi, the American Council of Learned
Socieities, the Association of American Universities, and the National
Academy of Sciences, the National Association of State Universities and
Land-Grant Colleges, and the Sc'ial Science Research Council. The Com-
' mission has published four reports (14:2.0/80-4 and -6., and44:3.0/8072 and
-3)lhat examine the process by which the Federal Government supports
academic research. Three of four also propose changes in that process and

492

5 2:1
 UNIVERSITY-GOVERNMENT-INDUSTRY I4i3.0
RELATIONSHIPS IN RESEARCH

clarify the lines of ccange where there is substantial consensus in the

aciuktnic community and where there is dot.
In this report, the Commission recognizes the strain that accountability
places on the elationship between the government and universities in their
partnership for research. lt,pxamines the issues in dispute. that center on
accountability and the changes that could be made in the present account-
ability system make the relationship more harmonious.
The Commission's basic conclusion is that both the government and the
universities could do more to solve the accountability problem than they are
doing at presentthe universities by improving their self-regulation and the
government by cutting down on unnecessary regulation. However, the
Commission also recognizes that the management tools, now available for
these tasks are inadequate and that new approaches are needed. It makes five
retomrnendations for tailoring accountability requirements to the nature of
research activity, and five more for providing means for increased flexibility
and the maintenance of accountability. One of-its recommendations is the
construction of an option, analagous to the standard deduction in income tax
calculations, that would allow universities to charge activity that is treated as
indirect costs under sponsored agreements. Another recommendation
that the agencies delegate to the universities more authority to make bud:,
geting and management decisions under sponsored agreementsis the
subject of some recently deviSed National Science Foundation experiments.
In addition, the Commission suggests the creation Of a new, independent
forum to . . provide a ,nonadiersarial setting' for persons from the
public, Congress, the universities, and federal agencies to watch over the
government-university relationship and guide its evolution:

14:3.0/80-4'
"Research, Innovation, and University-Industry 'Linkaget,'
Denis J. Prager and Gilbert S. ()mem Science, Vol.. 207, January .

25, pp. 379-384..

The authors of this article, former officials of the Office of Science.and
Technology, -examine the, status of and potential for formal university-'
industry research -partnershipS. They discuss some of the incentives and
some of the harriers to the establishment of these relationships, give ex-
ampler of sUccessful consortia and partnerships, and analyze ways in which
the Federal Government might aid the growth cof cooperation. The options
they cite include-aids in improving communication between universities and
industry, direct Federal support of joint projects, and the creation of certain
tax incentives.
The authors conclude that "The time appears to be ripe for major
improvements in. university-ind,ustry relationships in science and
engineering, .. .and that the federal governMent can play a facilitating role -

493

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 14 RESEARCH AND RESEARCH ADMINISTRATION

in fostering this cooperation primarily by providing incentives and removing

'disincentives to such interaction." A great deal of information has been.
packed into this short article.

14:3.0/80-5
Review Processes: Assessing the Quality of Research Proposals,
National Commission On research, 22 pp. (NCR, Attn: Cornelius' J.-
Pings, University of Southern California, Los Angeles)...
This paper reports on a study. by the National Commission onResearch
of thereview process for distribution of,Federal research funds to university-.
employed scientists. The Commission concludes that while the peer system
ofreview is not immune to faults, the system has worked well and has been
of great importance in determining the success of science in the United
States.
However, the Commission recommenda. that the specific review
,e systems used by the different funding agencies be examined periodically to
ensure that they are working effectively and equitably. It further recom-
mends retrospective. Studies of the effectiveness ofppthcziew processes in
assessing the quality and impact of the research su ; experimentation
in which peer reviews would rate several aspects of proposals, is well as
provide overall ratings; and clarification by the funding agencies regardiqg
the underlying scientific and policy considaations'that govern their funding
decisions.

14:3.0/79-1
Research Excellence Through the Year 2000, Commission on
Human Resources, National Research Council, 241. pp. (National
Academy di Sciences, Washington, D.C.).
The National Research Council formed a Committee on Continuit' in
Academic Research Performance to recommend how to offset the antici-
pated decline in the number of new junior faculty appointments in university
science departments. This report of the Committee reviews the' projections
of new facuky hiring under the anticipated circumstances and assesses the
role of young_ facility, in the conduct of academic science. It also examines a
number of policy 'alternatives for making a better place for the young
scientific researcher, and it recommends a relatively modesj program for
Federal funding of multi-year research appointments as substitutes for the
regular faculty positions that cannot be expected to be available in the
1990's.

494
 UNIVERSITY-GOVERNMENT-INDUSTRY 1413.0
RELATIONSHIPS IN RESEARCH

14:3.0/79-2
"Federal Regulation and the Natural Sciences," Robert L.
Sproul(,, pp. 7.1-94, in Paul Seabury, ed. Bureaucrats and Brain-
power: Government Regulation of Universities. (Institute for
Contemporary Studies, San. Francisco, Calif). .

The authOr has had many years of experience both s scientist and
administrator; and he brings that experience to bear on his analysis of the
change from, the early poitwar, cooperative era of government-university
partnership' to the present va of uneasy and inefficient relOons. In addition,
he analyzes the effects of various types of goVernment rtlations, (e.g.,
fiscal,' safety-related, patent related). lie is particularly rried about the
potentially damaging effects of the 1978 Ethics in Government Act, on
recruitment of scientists into the governmerit, and . . . wonders why the
-U.S. is-willing-to permit clumsy regUlatiOn to threaten-its precious advantage
di world leadership in natural science.

14:3.0/79-3
Regulation of Scientific inquiry, Keith M. Wulff, ed., 222 pages
(Westview Press, Boulder, Colo.).
This wide-ranging and useful volume presents the papers given it a
symposium sponsored by the American Association for the Advancement of
SciehCe concerning regulation of scientific research: It also includes a few
additional papers to widen the volume's coverage of relevant topics.
Part 1 defines the domain of regulation of scientific research in papers
by Andre Hellegers (on ethical dilemmas in medical research) and Barry
Casper (on value conflicts in restricting scientific inquiry), in a summary of a
lively panel discussion, and in additional papers by Hans Jonas, Robert
Sinsheimer, and Kurt Bach: Part II, on recombinant DNA research, includes
papers. bf U.S. Senator AcUai Stevenson and Harold Green and Philip
Handler's statement on this subject to a U.S. Senate committee. Part III
addresses First Amendment rights, in papers by Thomas Emerson, Harold
Green, and David, Newburger. Part IV deals with regulations relating to
human subjects in papers by -Albert Reiss (On probleths of consent), Lee-
Robins (on privacy and longitudinal studies), Eliot Freidson (on con-
fidentiality), and Han Maiiksch (on regulation of research as factors of
accountability).
A concluding section provides Dael Wolfle's conmientspn the problem
area and Wulfrs assessment of the potty issues of regulation of research.

495
 14. RESEARCH ANb RESEARCH ADMINISTRATION.

14:3.0/78
State Policy Research at the University of Illinois, Samuel K..-Gove
and Richard A. ZbIlinger, ed., 129 pp. (University: of Illinois,
Urbana)..
This volume presents the background papers, speeches, and final report.
of the University of Illinois Presklent's Assembly, whose purpose was to
explore the interaction between universities and the agencies that create
public policy. In the first paper, Marilyn Flynn and James Stukeldiscuks the
relationships between the university and state-sponsored research from the
faculty perspective. They explain the rationale for.the collaboration, the _

Characteristic outcomes of state-sponsored research, problems associated

with administration and indirect overhead charges, and some current issues'
(i.e., Should university researchers be allowed to publish their results .

. without review by state.sponsoring personnel?). NoefEbratiim comments on

how the research needs of theexeeutive branch of state government can be
met by state universities, saying: "The academic community's traditional
tendency to eschew politics and state government is the primary obstacle
impelling the academic's accessibility to the political arena."
John W. Ahlen discusses existing and potential linkages between
universities and state government from the perspective of the legislative
science staff. He cites a number of existing and potential relationships to
improve interaction. 'A paper by Michael Belletire continues this theme.
"Lessons FroM a Bureaucrat: Or, If You Want .To Help Me, Mind My
Mandate," is Alexander Schmidt's topic, and he explains how a bureaucrat
in the health field thinks and what he wants when he turns to a university.
Roy Wehrle presents an interesting history of the Illinois Institute for Social
Policy and why it fai4d. As some of the causes he cites the facts that the
prime functions of the Inititute were never clarified or limited; that expecte-
tions for policy results were excessive, and that Views held by the governor's
staff as to what would improve welfare were simplistic and incorrect..
The "Illinois: Today and Tomorrow" project to provide state leaders
with a.picture of major state problems as identified by residents is discussed
by Rabel Burdge and Ruth Kelly. They believe their findings are having an
important impact on public policy; however, they caution that widespread
ad4ption by the state government of university input' will require many
altruistic faculty members providing quality reseiact on a continuingtasis

14:3.0/77,1
The Ethics of Teaching and Scientific Res' earch, Sidney 'Hook,
Paul Kurtz, and Miro Todorov , eds., 212 pp. (Prometheus Books,
N. Y . )
This volume represents an attempt to clarify the issues involved in some
recent controversies about the legitimacy of the chosen research area and the

496
 UNIVERSITY-GOVERNMENT-INDUSTRY . 1 483.0
- RELATIONSHIPS IN RESEARCH

chosen methods of research; The papers included are based on the pro-
ceedings of a conference of University Centers for Rational Alternatives and
,clo not constitute a really coherent approach to the subject of science and
ethical research: However,' the personal account of a scientist whose re-
search proposal was rejected on ethical grounds,is thought-provoking (as
well as a little frightening), apd a Hibbs-Hook debate highlights the gulf in
. viewpaints on the ethics of research that offen exists between the engineer
and the philosopher: In the final paper in the volumei Paul Kurtz emphasizes
the need for greater public enlightenment about the benefits to society of
freedom 'in scientific inquiry 'and research. He suggests .that, in our
contemporary society, limits to that fteedOrn are more likely to arise' from
ethical concerns than from religious or political causes.

14:3.0/77-2
"Peer Review and the port. of Science," Stephen Cole,
Leonard Rubin, and Jonathan12, Cole, Scientific American, Vol:; 237,
No. 4; October, pp. 34-41.
This article . on the peer review system used to evaluate research
propoSalssgives a good picture of both the organization Of that prOcess.and ,

the ways in which research proposals are jUdged. The authors conducted a
year -long study of different aspects of the peer review system at the National
Science Foundation, including indepth interviews with 70 people involved_
in.all stages. of the 'system. In.addition, they read a group of proposals and
independently assessed their merits, the compared_ their assessments with
the assessments reachedp.through the peer review process.. Finally, they
conducted a statistical analysis of different characteristics of 1,200 ap-
plicants for basis NSF research grants.
The authors tested .two hypotheses in their study: the 'old- boy
hypothesis that proposals from a network of researchers are given
preference, and. the. "rich get richer" hypothesis that funds are given to
people who have received researctr awards before. Their anaylses suggest
that the peer review system is, in. general, an equitable,,arrangement that
distributes limited funds for basic research primarily (Nit not exclutively) on
the basis of perceived quality. In particular, they did not find that the
National Science Foundation's peer review system for basic science
discriminated against noneminent scientists. They concluded that the
scientific enterprise is an equitable although highly stratified social institu-
tion, where the individuals whose work is most favorably evaluated by their
colleagues tend to receive the majority of research funding.

497
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 14 RESEARCH AND RESEARCH ADMINISTRATION

14 :3.0/76 -1
.
The Impact of Federal Regulations on Research Management in
Colleges and Universities: Overview and Simunaries, John A.
Perkins, Herman 0. Jogitson; and Robert E Kerley, 59 pp.. (Uni-
versity of California, Berkeley).
This volume is the final report.of a research project sponsored by the
National Science Foundation's Research Management Improvement Pro-
gram. In it= the authors provide summary descriptions Of a series of "impact
reports" that were prepared as pact of the project. The impact areas are:
procurement requirements; financial management-budgeting and reporting
under Federal contracts and kynts; indiiect and direct 'costs recovery under
Federal contracts and grants property management; proposal preparation,
negotiation, and award; protection of huntan subjects; and time and effort
reporting.
These reports are primarily detailed descriptions of the &Inv that
Federal research management procedures have had on the University of
California.' The careful attention they give to outlining the identifiable
effects of contract and grant management make them useful to the university
adMinistrator and policymaker.

WV
Q

14:3.0/76-21
Protecting Human Subjects in Social and Behavioral Research:
'Ethica, Law, and the New. DHEW Rules: A Critique, Thomas
Killin Daiglish,, 590 pp. (Center.for Research in Management. Sci-
ence, University of California, Berkeley).
Protecting the rights and welfare of human subjects used in research has
become a major public policy Issue. This study(Working Paper in, Manage-
ment Science, CP-385) trace4the development of legal controls on uni-
versity research involving human subjects and draws upon the experience of
the University of California, Berkeley with the rules protecting human
subjects promulgated by the U.S. Departmeh:: of Health, Education, and
Welfare (CHEW).
Part I describes the problems of research using human subjects and
portrays DHEW rules as part of a trend toward formal and legal prescriptions
on conduct. Part III reviews the ethical and legal framework for the DHEW
rules and analyzes ethical codei of the major professional, social, and'
behavioral science associations for their (limited) potential in protecting
human subjects. Part III analyses the DHEW rules and their implementation
at. Berkeley,.
including the way human subjects respond to such concepts as
"benefit," "social risks," and "informed consent." 4
Iri Part IV, the author evaluates the impact of the DHEW rules, judging
it to be less adverse to the conduct of research than many researchers have
-.498

52J
 tiNrVERSITY-GOVERNMPNr-INDUSTRY,, 144.0
RELATIONSHIPS IN RESEARCH

claimed and to have long-range implications for the goVernance of uni-

versity reseatch. The rights and welfare' of human subjects wipe more
completely protected, the author argues, only when present ruffs are sup-
pkinented by a restructur?ng of such gOvemance. Part IV closes with
recommendations for national policy and suggestions for future research.

14:3.0/75
"The Controversy Over Peer Review," Thane Gustafson, Science,.
Vol'. 190, No. 421.9, 12 December, pp. 1060-1066.-
This article provides a brief description of the process of peer review as
it operates in establishing priorities and making funding decisions in Federal
agencies. The author first provides a brief overview of how the peer review
process operates in two different agencies (the National e FoUndation
and the National Institute of Health) and notes that there can considerable
variation among programs in the relative weight given r reviews or to
agency staff and pttgram officers. He then describes the ways in which the
peer review systetn has been attacked: ( I ) charges of favoritism or cronyism
among the reviewers, (2)'complaints of excessive or improper, importance
given to 'the role of agency staffs; and (3) unhappiness because the
decentralized process is not a iable way to coordinate Federal 'research
funding with political goals.
The author tries to assess whether se charges are accurate, and, if so,
how scientific goals may have been affected. He concludes that, for the most
part, theipeer review system continues to f nctiot in an equitable manner.
He suggests, however, that it may not be ccomPlishing its objectives In
spite of this strength. He agues that the peer re iew system relies heavily on a
market- mechanism that assures a reasons y accurate sampling of the
uniVetse 'of relparch opportunities in the ip I process. He says that
recent -development in the support of "acade is science (concentration of
research funds in a few agents and growth.4 "latieted" research) have
created new channels of communication and rewards that parallel the.pecr
review process. Although he concedes that there are defects in the peer
rewiew process, he argues that the new- channels of review and reward
developing 4fith the changed funding patterns are ultimately' iVre hazardou#
than peer review to the continued vitality of science. He sioncludel with
some positive suggestions about improving the peer review system to ensure
its viability in the present environment.

14:3.0/68
The Closed Corporation: American Universities in Crisis, James
Ridgeway, 273 pp. (Random House, New York).
This book (subtitled "How America's Great Universities Are Con-
trolled by Big Business and the Department of Defense") is essentially an.

499
r
53()
 14 RESEARCH AND RESEARCH ADMINISTRATION

update of other,critiCal literature that has appeared periodically about the

relationships between university administration and corporate management
and between university, government; and industrial research. The book
suffers from a lack of systematic and carefully documented study 'to support
the author's biases abOut the relIttion of the ivory tower to industrial rel.
search.
In spite Of these shortcOmings, the book provides one of the few
attempts to .docUment the nature, of the collegild relations between re;
searchers and university Oolicyrnakers, industry, and theFederaFGovgrn-
ment. It also describes the dynaniies of the policymaking process and .the
impact of this process on universities and the nation's research effort. The
book raises a number of disturbing questionliebout the interaction between
academic 'research and other research and about the moral (and Itga!)
obligations universities have in shaping the research environment. Although
these jouestions are much discussed generally in the acadimic community,
the community has not given them the systematic study they deserve.

Nwe

.500

531
4
 Filiiource Allocation
and Budgeting
11.

14

Richard Jr MisIngrg Jr.

The iteratUre on resource allocation and,budgeting addresses the.

question on how to distribute wane resa,rces among Certain desirable
activities, The budget is the means by which these decisions are made
explict and is, in Aaron Wildaysky'S words, "concerned with the.
translation of financiatrekources into human purposcs.''''' The bud-
getary process involves the .interaction of institutions and state
agencies, beginning with the deVelopme of, budget submission
guidelines and.budget preparations and min on to the writing of
appropriation bills and final approval by th executive branch and the
legislature.
A number of dimensions are central to the resource allocation.
process; ( I ) the manner in which budget submiSsion guidelines are
developed; (2) the way in which such guidelines are used In
formulating budget requests; (3) the revenue situation (see Topic. 5,
Finance),and the extent of the demands made by.competingagencies
for scare resources; (4) the power structureof agencies involved in the
competition (i.e, strong or weak governor, state statutory,responsi-

*Aaron Wildaysky, The Politics of the Budgetary Process, 3rd edition (Little. Brown and
Company, Boston), 1979, p.1.

501

,_5 3
 a

15 RESOURCE ALLOCATION AND B UDGETING

bi Nies of higher education coordinating agency); (5) the timing of the

budgetary cycle (i.e., annual or biennial); (6) the amount of time
institution's and agencies are allowed for budget preparation and for
budget review andanalysis; (7) the number of agencies involved in the
process and their characteristics (i.e., staff size and experience,
applicability of civil service regulation; (8) the analytical techniques
and technologies employed by budget review agencies, including
management information systems , planning-programming:budgeting
--systems, and cost analyses; (9) the nature and extent of interagency
exchanges in the budgetary process (i.e., 'formal hearingsinformal
communications, analyses and data shari ); and (10) the relationship
between any statewide master or higher education and the
resource allocation process: .

The literature on resource allocation and- budgeting -tends to

address either the broad aspects of budgetary theory and practice .or
specific forms of budgeting. Three formsformula budgeting, plan:.
ning-programming-budgeting (PPM, and zero-base budgeting
(ZBB)are so frequently identified that they warrant separate
classification here. .

Budgetary Theory and Practice. Much ofthe literature on the

budgetary process focuses on the environment in which budgeting
takes place. The literature included in this section deals with agency
roles and characteristics and the 'interaction among organizations,
-rather than with specific .budget::plpcedures. This .subtopic also
addreSses the hiitorical development of budgeting, budgeting
4 reforms, staff coordination, individual state budgeting procedures,
and procedures for contending with cutbacks and revenue increases.
Entries are. further categorized in this subtopic according to whether
they address state or Federal budgeting.
Formula Budgeting. Formula budgeting is a resource alloca-
tio process that uses formally established gidelines or decision rules
as ids in generating and reviewing institutional or agency budget
reqUests. These guidelines frequently employing formulas, are a
means of ensuring that resources are distributed" equitably among
competing organizations and of reducing the complexity of budget
review. Although all budget processes make use of decision rules, the
use of the formula approach generally applies to only those situations
in which guidelines can be and are explicit and formal.
Planning-Programming-Budgeting (PPB). PPB is a concep-
tual framework for budgeting that identifies program objectives and
systematically compares various methods of meeting those object-
502
_ .,

531
 RESOURCE ALLOCATION AND BUDGETING, 1$

ives. PPB uses two principal instruments: a program budget and

cost-benefit analysis. The pniAram budget is a format for organizing
information about the costs and benefits of output activities. host-
benefit analysis, which,entails a set of formal techniques, attempts to
compare the costs and benefits of competing programs within a
quantitative. fraMework. Considerable literature' has been written.
about this approach to budgeting, especially as used by the Federal
Government. Many PPB concepis have been incorporated into tradi-
tional budgetary systems in orde? to improve and add. flexibility to
these systems.
Zero-Base Budgeting (ZBB). ZBB is a microeconon* ap-
proach to budgeting involving.th development of decision packaAes
that identify discrete activities and functions and the ranking of these
packages. The ranking process has a mechaitical aspect and a policy
framework aspect. In ZBB, the total budget is separated jnto a large
number of discrete budgetary increments, each represented by a
decision package that maybe regarded as self-contained budget
request.. Theoretically, the application of 7E43 requires the construe-
\tion of the budget from the ground up each budget cycle. However,
titi principle frequently is modified so that decision packages are
developed for only a portion of the total budget. ZZB was first
-practiCe4 in industry. It was adopted for the first time in the public
sector on \a large-scale basis by the State of Georgia in the early
1970's. A number of ZBB concepts have been incorporated into
traditional budgetary systems, primarily to improve the quality and
increase the quantity of information to budget officials.
. Resource allocation- and planning are clearly related activities,
for the budget is a means by which plans are translated into action.
The 'subject merits close attention by planners, for one of the most
sighificant policy problems facing higher education has been that of
coordinating longer range planning with shorter range bu4eting.
TOPIC ORGANIZATION
15: Resource Allocation and Budgeting
1.0, Budgetary Theory and Practice
1.1 General _
1.2 State Budgetary Process
1.3 . Federal Budgetary Process
2.0 Formula Budgeting 41.

3.0 Planning-Programming-Budgeting
4.0 Zero-Base Budgeting
503
534
 15 RESOURCE ALLOCATION AND BUDGETING

1.0 BUDGETARY THEORY AND PRACTICE

1.1 General -

ft

15 1 . 1 /81 -1
"Public Budgeting Amidst Uncertainty and Instability," Naomi
Caiden, Public BUdgeting & Finance, Vol. I , No. I, Spring, pp.
6-19:
This article presents a generalist's view of the changing nature of public
budgeting in an unstable environment. It is recommended for those who
want too Understand the broad-brush context of public sector budgeting in the
1980's. Although higher education is not specifically referenced, the issues..
raised are directly applicable to that part of the public sector. .-
Calden describes the changing environment of budgeting, focusing on
the problem of apparently insatiable demands for public goods and services
in a situation of fewer real resources, She mentions the impressive array of
budget reforms that have resulted recently from the considerable interest in
budget practices, but observes that too much - attention ttas been focused on
PPB and ZBB::-She also concludes that most budget reform is misconceived,
that many reformers subordinate substance to process, and that reformers do
not understand that reforms are not universally applicable...
Caiden concludes her essay with a list of six sources of uncertainty in
budgetipg and suggests ways for administrators'to deal with them. The
uncertainties mentioned are those arising from: ( I ) novelty, () an anpual
perspective, (3) prol-Aems in forecasting, (4) centralization and bureaucratic
controls, (5) size ant; complexity, and (6) erosion of accountability:
r --

151:1/81-2
Control an%ontrols: A Reexamination of Control Patterns in
Budget Execution
on," Fred Thompson and William Zumea,-Policy
Sciences, Vol., 13, pp. 25-50. ,

Fred ThOmpson and William Zumeta argue that students of the bud-
getary process give insufficient attention to the execution phase of budgeting
and that this inattention seriously. undervalues the significance of the budget
Control function. The authors admit that budget officials frequently misuse
controls and note that, the some situations, expenditure controls are
reduhdant and dysfunctional.
The authors address three broad critic isms,of budget control. First, they
agree only in part that controls are executed at the expense of analysis;
controls are viewed as more valuable when analysis is directed at the
rigorous sm-ification of outputs or at establishing standard costs, Second,
the, authors examine the criticism that controls are unproductive in that too
much time and resources arc spent producing and processing too much
information. They observe that the ability of budget officials to collect and
t ,
504

5 3 to
 BUDGETARY THEORY' AND PRACTICEGENERAL 15,1.1

manipulate data often exceeds thee ability to use if fruitfully. To supportthis

'contention, they cite California's experience in budgeting for the University
of California during the 1960's and 1970's. However, they also note that
budget officials naturally will seek greater certainty. in their lives and one
way they can achieve this is through redundant and diverse information
sources. Finally, the authors agree with the criticism that traditional fiscal
.controls are capricious and applied inconsistently, but note that the applica-
tion of such controls forces the budget officials to weigh the benefits of the
expenditures.
The arguments in this paper are presented from an economist's perspec-
tive. The technical portions are easily approached if the reader has had some
training in economics, but can be followed by any patient reader. The
insights into budget execution control functions gained from the paper are
well worth the i.ffon required to push through some of the material.

15:1.1/80-1 .
Managing Fiscal Stress: The Crisis in the Public Sector, Charles
H. Levine, ed 344 pp. (Chatham House Publishers, Chatham,

This fine collection of 20 papers provides indepth analyses of the

causes and consequences of financial stress in the public sector, focusing on
the problems, constraints, alternatives, and choices that arise in the manage-
ment of organizational decline. The papers draw on examples from a number
_ of public sector organizations, including universities, and provide the reader
with,a broad range of experiences in cutback management.
The volume is divided into six sections. Section 1, "IntrOduction,"
and Section 2, "Causes of Fiscal Stress," discusS situational factors that
cause or contribute to fiscal stress. Charles H. Levine's essay, "Organiza-
tional Decline and Cutback Management," provides an overview of
issues and est*blishes a solid framework for the other papers.
The remaining sections suggest directions for administrative action.
Section 3, "Decision Making, " contains two particularly good papers: Paul(;
R: -Schulman's "Nonincremental Policy Making: Notes Toward- An
Alternative Paradigm," and Irene Rubin's "Universities in Stress: Decision
Mai;ing Under Conditions of Reduced Resources." Schulman's paper is an
analysis of decisionmaking in the National Aeronautics and Space
Administration over the 10-year period of its growth and decline. Rubin's
paper examines the decisionmaking strategies used by five state universities
experiencing financial stress.
The income side of public expenditure decisionmaking is discussed in
Section 4, "Resources." Decisionmakers usually direct their attention to
the revenue side of budgeting when fiscal stress first appears because an
505

536
15 RESOURCE ALLOCATION ANb BUDGETING

expanded resourceQbase will sometimes alleviate the pressures of increased

demands for public services. . . 1

Section 5, "ProOctivity," examines the prospects for increasing the

productivity of public services, one of the most frequently suggested means
for stretching limited resources. Productivity imprOyement proves to be an
elusive concept in pract ce, however.
SectiOn 6, "Cutba ks°," deals with the difficult decisions that must be
made when all other mans for reducing fiscal stress have been tried. This
section explains Wow de isionmakers decide which employees to terminate,
which ,programs and a ncies to scale back or disband, and which clients
will suffer from the reliiction or elimination of services. Robert D. Behn's
"How To -Terminate/a Public Policy: A Dozen Hints for the Would-Be
Terminator" is an xcellent, summary of practical techniques for the r
administrator faced ith the task of reducting or eliMinating some public
service. Irr particular, he outlines techniques thar might be used to-overcome
political resistence and bureaucratic inertia in the face of necessary
cutbacks. .

15:1.1/80 -2
Perspectives on Budgeting, 'Allen Schick, ed., 192 pp: (American
Society for Public Administration, Washington, D.C.).
This volume contain a number of papers on budgeting that have
appeared in Public Administration Review over the past three decades: Some
of the articles in the volume are dated and are useful primarily foe their
historical context. Others, however, are classics in the literature.
Allen Schick's introductory essay, "Budgeting As an Administrative
Process," provides a brief history of budgeting in this country, including the
numerous' attempts at budgetary reform. In his essay, Schick takes a joyous
swing at Aaron Wildaysky's view of incrementalism in budgetary theory.
The volume is divided into four parts. The fir% part, "Perspectives on
Budgeting," contain Schick's "The Road to PPB: The Stages of Budget
Reform," Verne B. Lewis' "Toward a Theory of Budgeting," and Naomi
Caiden's "Patterns of Budgeting." The first two articles are classics, and
Caiden's is an excellent comparative historical analysis. The second part,
"Reforming the Budget Process," contains Aaron Wildaysky's classic
`Political Implications of Budgetary Reform," Richard Rose's "Imple-
mentation and Evaporation: The Record of MBO," and Thomas P. LaUth's
"Zero-Base Budgeting in Georgia State Government: Myth and Reality,"
among others. The third part, on "The Central Budget Office," contains a
good case study of the politicization of the Office of Management and
Budget written by Larry Berman ("OMB and the Hazards of Presidential
Siaff Work"). The best article in "Budgeting in the Agencies," the fourth
part, is Lance T. LeLoup and William B. Moreland's "Agency Strategies
and Executive Review: The Hidden Politics of Budgeting."
, - 506

5 3'/
 BUDGETARY THEORY AND PRACTICE- GENERAL 1511.1

See: 29: 2.2/79 -1 Budgeting in Higher Education, J. Kent Caruthers and

Melvin Orwig, eds.
This monograph is probably the best overview of contemporary bud-
geting practices and issues in higher education. It is a summary document,
the product Of an extensive review of the literature, and necessarily
sacrifices analytical depth for breath of coverage. Accordingly, it should
provide new source material for even the most experienced budget experts.
A noteworthy feature of the literature review is that itextends beyond the
familiar literature' of higher education to include writings on budgeting that
have evolved from other disciplines. The report is balanced in its considera-
tion of budgeting at the institutional and state levels.
The report's six chapter headings organize the material systematically:
"Budgeting Perspectives," "Major Issues in Postsecondary Education
Budgeting," "Evolution of Modern Budgeting," "Analysis of Current
Budgeting Approaches in Postsecondary Eeueation," 'Budgetary Respon--
sibilities at Differing Organizational Levels," and "The Years Ahead." In
addition, the authors have included a'very complete bibliography of source
material. ,

The chapter on budgeting perspectives addresses several underlying

concerns of the budgetary proess, including the role of technical inalysii,
the importance of the interaction of people and budgeting, the demands for
political rationality, and theinteraction of analysis and decisionmaking. The
major issues in postsecondary education budgeting considered by the
authors are participation, centralization of authority, equity, information
burdens, and the need for cost, outcomes, and performance. information.
The focus of the history of modern budgeting is on Tihe- higher education
environment, although broader governmental trends (i.e., the executive
budget movement, performance- budgeting., and. PPB systems) are briefly
presented.
The most extensive section of the report examines current, budgeting
aprQaches in higher education, including incrementalism, formula
budgeting, PPB, ZBB, and performance budgeting. This chapter is followed
by a useful overview of the flow of budget documents and analysis and the
role of the various participants at the institutional and state levels.
The concluding chapter forecasts the impact of such factors, as en-
rollments, revenues, new student markets, and collective bargaining on
budget reforms that seek to accommodate the pressures for participation,
centralization, equity, and information needs.

507
 15 RESOURCE ALLOCATION AND BUDGETING

-', 15:1.1/78-1.
"Symposium on Organizational Decline and Cutback Manage.
ment," Public Adminisration Review, Vol. 38, No. 4, July/August,
pp. 315-357.
This collection of six articles is highlINarecommended' for those
,.
0? interested in resource allocation unc'ef conditions of organizational decline.
---"' The articles from thii symposium are all of exceptionally high quality..
Charles H. Levine presents/an excellent overview of the subject in
"Organizational Decline and tback. Management." He indicates that
most administrators have not e qnced organizational decline and there -
tore lack the necessary tools to, 'manage such a situation effectively. Levine
summarizes-the causes of public organization decline in a four-cell matrix
encompassing political vulnerability, problem depletion, organizational
.
atrophy; and environmental atrophy. He `Observes that organizations will
-respond to retrenchment With it mixture of strategies that are not necessarily
consistent. For his typology of organizational decline, Levine presents a liit
of management tactics used to resist decline and a parallel list of tactics used
to smooth decline. He also discusses the implications of five frequently
employed decision rules: seniority, hiring freezes, even-percentage cuts
across the board, productivity criteria, and zero-base budgeting.
Andrew Glassberg in "Organizational Responses to Municipal Budget
Decreases," compares the public and private sectors, noting that fisCal
constraints tend to drive the public sector toward greater similarity with the
private sector. He thaws on the New York City experience during the 1970's
to assess the relative impacts Of incremental and major budget cuts and the
role of leadership.
In "Closing a Goveinment Fac)lity," Robert D. Belfn examines the
politics of termination. He presents numerous examples Of pUblic policy
debates over closing and shows how, the government overcame survival
tactics employed by a' number of supporters of specific facilities. In
.,particular, Behn identifies ways to minimize the impact of closing facilities.
Garry D. Brewer, in "TerMination: Hard ChoicesHarder Ques-
tions," steps back to address some of the broader policy questions con-
cerning organizational cutbacks. Brewer raises a number of basic questions,'
including: How can a policy or program be rationally or humanely adjusted
or ended without its having had a thorough evaluation? Who will suffer from
the tertninationnnd in what ways? What provisions of redress, such as due
procesS, have to be considered? What might be learned in the termination .

process *that will inform new policies and programs in the same or related
fields? Brewer discusses aspeCts of the analytical, decision selection, execu-
tion; and evaluation phases of the termination process. He also discusses
briefly two recent termination proposals: ,zero-base budgets and "sunset"
laws.

508

539
 BUDGETARY THEORY AND PRACTICE GENERAL 1581.1

Richard M. Cyert addresses "The Management of Universitiei of

Constant or Decreasing Size." TwO difficulties encountered in such settings
are the inability to attract good managers and the impact of inflation. Cyert
suggeits that institutions of constant or decreasing size should develop new
strategic plans, but warns against too great an emphasis on survival. He
notes that in contracting organizations it is frequently difficult for members
to Maintaiwa desire to achieve excellerke. Also conflict resolutiob is more
difficult without slack resources. Cyert argues that the primary means for
resolving conflicts within contracting organizations is to find objective
criteria on which agreement among the opposing forces van be achieved.

15:1.t/78 -2
"A Budget for All Seasons? Why the Traditional Budget Lasts,"
Aaron Wildaysky, Public Administiation Review, Vol. 38, No 6,
November/December, pp. 501-509.
Wildaysky's article is a response 'to ,the considerable activity in recent
years "directed toward seeking.)nnovations in the budgetary process (e.g.,
program budgeting and zero-base budgeting). The author acknowledges that
traditional budgets, with their incremental line-item focushave numerous
faults. However, he contends that such.budgets, while not scaring brilliantly
on any particular,dimension, satisfy a. number of pefformance criteria,
whereas the innovations receive low scoreson one or more dimensions. For
this reason, traditional budgets have endured while a number of budget
innovations have fallen by the wayside.
W_ ildaysky examines the purposes a public sector budget is supposed to
serve: accountability, control, efficiency, effectiveness, economic man--
atement and planning, and political choice. He then analyzes budgets along
'several dimensions: unit of measurement (i.e., cash or volume); time span
(i.e., months, year, many yeari); form of calculation (i.e., incremental or
comprehensive); and the differences between appropriations and treasury
budgeting. Wildaysky also details the weaknesses of traditional budgeting.
But he concludes that it lasti becaur.e.it is simpler, easier, more controllable,
and more flexible than modern alternatives like planning.programming-
budgeting, zero-base budgeting, and indexed entitlements, and, important-
ly, is more adaptable. .

This article is an excellent siimmary.of the functions of the modern

public sector budget and provides considerable food for thought to policy-
makers struggling;to improve budgetary practices in their own settings.
.
1 t:1:1.1 /78-3
"Symposium on Budgeting in an Era of Resource Scarcity,"
Public Administration Review, Vol. 38, No. 6, November /Decem-
ber, pp.510-544.

5
540
15 RESOURCE ALLOCATION AND BUDGETING

7tis article contains seven papers tbat address the issue of budgeting
with scarce resources. While eash of the papers is generally interesting, the
focus of the group is not as tighras it might have been.
John L. Mikesell discusses "Government Decisions in Budgeting and
Taxing: The Economic, Logic." At a high level of generality, Mikesell
addresses control of the provision of goodS and services that the market
system cannot provide or would provide imperfectly, Itis economic ap-
proach to public action is one of identifying the values. of the services
provided and deternilnigg the appropriate distribution of relative revenue
burdens. Mikesell recommends against artificial 'linkage of the revenue and
budget systems.
Allen Schick's excellent paper, "Contemporary Problems in Financial
Control," is concerned with Federal expenditures beyond the reach of
internal controls (i.e., spending by parties' outside the control system. of
Federal-agencies).-Schick traces briefly the way in which financial control
has.been internalized by Federal agencies; he argues that the Federal Gov,
ernment is now experiencing a failure to internalize its fiscal norms, not .

because of a breakdown in internal controls but because these,controls do not

extend to the increasing number of external organizations with which' the
Government does business. Schick notes that the loss of control has
accompanied the significant rise in Federal assistance to state and local
governments. Also, control of intergoverfirnental monies is complicated by
the practice of multipocket budgeting. Finally, the spread of government by
contract has also undermined the force of internal control.
Larry Berman presents a brief case study history' of the Office of
Management and.Budget in "OMB and the Hazards of Presidential Staff
Work." Berman discusses the Nixon administration's use of 'OMB as a
politick' agent of ate.executive branch and the agency's concommitant loss
of policymaking legitimacy. He concludes that OMB must be politically
sensitive while maintaining an interest-free perspective on .executive branch
politics.
Mark J.4Wersel describes the implementation of ZBB in "Zero-Base
Budgeting: Setting Priorities Through the Ranking Process." The most
controversial aspect of ZBB has been the ranking proceswwhereby managers
array their priorities by selecting from decision packages assembled 'by
lower organization units. Versel explains how to implement a ranking
process, although his paper lacks sufficient examples to aid the reader in
applying these techniques.
Daniel M. Ogden, Jr., proposes an alternativ. to formal ZBB in
"Beyond Zero Based Budgeting." He suggests that the most practical,
budgeting system for managers is one that combines incremental' aqd zero-
based analysis.
Jerry McCaffery and John H. *Bowman discuss "Participatory
Democracy and Budgeting: The Effects q.f Proposition 13." Their
9

510

541
 .

BUDGETARY THEORY AID PRACTICEGENERAL 101.1

e

Summarizes the initial local response to the passage Of Proposition 13 in

California and describes how the 5tate lightened the impact of Proposition
, 13 by drawing on its huge revenue surgjus.
The authors also identify the
effects of Proposition 13.on state and local finance. They note that the large -
state surplus was essential to an orderly transition in the provision of public
goods and services.'
Naomi Caiden summarizes Arne' of her research on historical bud-
getitig in ';Patterns of Budgeting.' Caiden argues that most discussions of
public budgeting concentrate on a single pattern, ignoring other patterns of.
behavior. She ties together* concept of the political capacity of tax With
the allocation Of resources in developing a typology of patterns of bUdgeting.'
Three variables that underpin the typology are resource mobilization, ac-
countability, and administrative control. The reader is encouraged to draw
parallels between some of the historical ;budget patterns identified in the
typology and recent budgeiary/fiscaLexperiences.

15:1.1/77
Public Budgeting Syitems, lic;bert D.' Lee, Jr.; and Ronald W.
Johnson, 369.pp. (University Park PresS, Baltimoie, Md.).
This boois a very good primer on the budgetary process in the publie
sector:Although it does not address higher education specifically, most of
the discussion applies to it.
The book is an analysis of the procedures and methods historical,
current, and projectedused in the resource allocation process. The authors
describe the features of public budgeting that distinguish it from. private
forms of budgeting, 'explain_ what budgets and budgeting system's are, and
relate budgeting 'tO three theories of decisionmaking: pure rationality;
limited rationality; and incrementalign, or "muddling through. To prO-
wide the reader with some perspective, the magnitude of government and the
historical groWth of local, state, and Federal finances are considered.
p Several' chapters are *Voted to the historical development of bud-
geting. The authors examine the literature on proposals for and attempts at,
reform between 1900 and the early 1960's; drawing a careful distinction
between' budget' theory and prifelico: They pay. partiCular attention to the
deVelOphient of planning-programming-budgeting (PPB) systems in the
1960's, obsthing that PPB grew out of a number of concer is and techniques
developed largely independently of the budgeting .systet& operations re-
search, economic analysis, general systems theory, computers, and systems
analysis. The authors trace the difficulties involved in transferring PPB
systems developed in the'Defense Department to Federal civilian agencies,-
and note how attempts by state and local government to implement PPB
were also disappointhig.
The book identities the actors involved in budgetary decisionmaking
and discusses the four phases in the budget cycle: preparation and submis-

5i1

54
 15 RESOURCE ALLOCATION AND BUDGETING

sion, review and approval, execution, and audit. The executive and legisla-
tive roles in budgeting are treated separately, with attention given to the
procedures in requesting budgets, the types of information assembled, the
process of executive and legislative deeisionmaking, and the types of budget
documents and their formats. The techniques for conducting analyses and
the limitations of analysis within a political system *discussed separately .
The authors' address several aspects of the budgetary process that
usually reck.ive scant treatment, such as budget execution and governmental
accounting procedures. They also consider capital budgeting and debt man-
agement, with .an :explanation of the relationship betvan capital, and
operating budgets. Additionally, the authors examine personnel budgeting
; and note the impact of personnel decisions and expenditures on the budget.
Finally, they devote an interesting section ,to the economic and political
problems that stem from haying three major levels of government of dif-
fering_financial capabilities provicle various services. -This-discussion con-
siders the patterns of interaction among the three levels.

15:1.1/75
Budgeting: A Comparative Theory of Budgetary Processes,
Aaron Wildaysky, 432 pp. (Little, grown and Company, Boston);
This book is a compendium of much that is known about budgeting at
various levels of government-in various countries of the world. The purpose
of the book is comparative analysis, focusing on wealth and predictability as
the dominant variables influencing budgetary behavior.
The study examines four wealthy and stable American cities, poor and
unstable countries, American states that are combination's of the others, and
deviant- cases from a variety of American public organizations. In the
deviant cases, key roles (that of spending advocate, and treasury guardian)
are absent. The concept of role in Wildaysky's hands becomes a powerful
predictive variable in a great many 'cases. Overall, however, the technical
subtleties of budgeting are sacrificed in favor of a broad-brush treatment of
similarities and differences between budgeting systems.
The book contains some new work by Wildaysky on strategies and
calculations and on budgeting and conflici. A considerable portion of the
book is devoted to examining teformOn budgeting, moving from prograni
budgeting to zero-base budgeting to planning-programming-budgeting
systems. Wildaysky's analysis- of .PPOS is extremely critical but rather
accurate. The author is. one of the few observers to analyze the political
assumptions that lie beneath the supposedly neutral cloak of efficiency and
effectiveness. It is important to note that there are some aspects of PPBS,
such as policy analysis, that the author favors.
This book is fascinating reading, primarily because the comparative
analysis highlights aspects of Federal and state budgeting processes that
might otherwise have gong unnoticed. It is recommended reading becaute of
its penetrating yet lucid analysis of budgeting principles. '
512

4
 BUDGETARY TI ORY AND PRACTICE 1 id .2
STATE BUDGETARY PROCESS

1.2 'STAT BUDGETARY PROCESS

15:11/81..
State Fiscal Contraints in Higher Education, William Hyde, 19
pp. (Education Finance Center, Education Commission of the States,.
Denver, Colo. ).
This paper (Working Paper-No. 33) identifies the sources of most
institutions' current financial problems as: enrollment decline; enrollment
fluctuation, regardless of the nrollment trend; changes in the composition
of the student body; and budgetary reductions in state support. The author.
explains each problem and discusses what some states are doing to cork with,
the problems. Because of its brevity, the paper only highlights the issues
listed and provides capsule summaries of finance and budgeting strategies in
selected states.
. _6
In examining the effects of enrollment deeline, the author indicates that
strategies for determining the relationship between changes in costs and'
changes in enrollments include concepts such as fixed and variable costs and
decoupling. The author makes several worthwhile observations: 1) classi-
S
fication of costs as either fixed or variable involves making judgments about
the educational process of .an institution; (2) the size of an. institution or
function within an institution affects the smoothness with which changes can
occur: (3) any effort to categorize costs as fixed or.variable must considerihe
time frame of the expected change; and (4) many costs that are considered
fixed in the short run become variable with time. The -author supports his
summary with examples froth Ohio, Wisconsin, and New Jersey.
The author identifies three -funding mechanisms to accommodateat 0

rollment fluctuations: (1) the lagged base-year enrollment 10,0,02) an

averaged enrollment base, and (3) the enrollment corridor concept. He
warns against allocating too many resources to making more accurate
enrollment projections.
The author notes that the composition of the student bodies on
campuses has shifted away from the traditional full-time student toward
more part-time student enrollments. Thus, institutions in states using
-funding formulas that were first developed when most students attended on a
full-time basis are particularly disadvantaged by the shifts in enrollments. A
method for coping with these shifts is to establish separate cost categories for
various programs and separate ,cost categories by level.of instruction.
As resources become scarce, the' importance of strong program review
'procedures increases. The author summarizesThe experience of institutions
in Colorado in the face of a significant reduction in the level of State support
.
for higher educatik, .

513
4,
 .
15 RESOURCE ALLOCATICIN AND BUDGETING

15:1.2/80-1 ,
Financing and Budgeting Postsecondary Education in 19/0's,
Larry L. Leslie and Heather L. OttO, eds., 90 pp. (Cente for the
Study of Higher Education, University of Arizona, Tucson).
This volume is a collection of papers presented at the Unive ity of
Arizona tiigheK education finance conference irr 1979. Several were o al
addresses, which tend to have a broad focus. One of the papers is a sch I ly,
indepth examination of its subject..
' Robert. C. Andringa discusses "The Political-EconomicitOnte t for
Finaneing:Postsecondary Education in the 1980's" at the state and national
levels. He.4ifferS'.15 Stggestions for success in institutional relations with
state government,' most of which 'arcocommonsense observations. Kay S.
'Cornaby, a state legislator from Utah, reacts to Andringa's comments in
"The Political- Economic Context: A Reaction." She highlights the isola-
tion from. the real w_ orld'of education experienced by ligislators.when they
determine budgets for higher education. In terms of future alternatives in
Ili:lancing, she noteshat tuition and fees must be increased'significantly and
that institutions mtisracceleratetheir ftind-rasing efforts.
In "Financial Responses for the 1980'4"4Ielvin D. Orwig empha-
sizes the need for strategic planning in higher education. Strategieplanning,
he says, "involves establishing organizational purposes and objectives in
lig4101.,the external environment and then developing strategies for ay..
coinilishing them given organizational capabilities and resources." Orivig
-suggests the use of planning models,such as the TRADES model at Stanford
or the more generalized EDUCOM' rind NCHEMS SPS models to improve
an institution's analytical capability.
Richard Allen's "A Preliminary Report on the National Survey of State
Resource 'Allocation" is brief but stimulating. The author describes the
Methodology for his in-progiess descriptive study of state budgeting processes
for higher education and presents some preliminary conclusions about the
separation of powers, centralization, and the types of budgets used by states.
Larry L, Leslie and Paul, T. Brinkman provide a thorough analysis of
"Instructional Costs at Research Universities I." The authori present basic
o data for cost comparisons among the three Arizona universities; institution
_level cost comparisons among. the eight-Western Research Universities I,
and department-level cost comparisons for eight departments. or fields of
study within the eight Research Universities. They also provide a general
explanation for the variation in 'unit i tructional costs. This paper is
scholarly and well-rekarched.
volume concludek with three m general addresseS: Newton 0.
Cattell's "The Character of the University d the inertirifig Threat-of
at-of State
Governme ntrusion"; James Furman's ."The Integration of Fiscal and
Acade c Planning," emphasizing the prOblems. encountered 44,4he state
level; Richard Millard's "Quality Prornotion in the Steady State."
514

55
 BUDGETARY THEORY AND PRACTICE- I Sti .2
STATE BUDGETARY PROCESS

15:1.2/80-2
"Financing and Budgeting in Higher Education," pp. 67 -82 in
Challenge: Coordination and Governance in the '80s, Educat
Commission of the States (ECS, Denver, Colic:1.)i
This chapter summarizes the direction that statewide budgetin
practices take as postsecondary education moves into the 1980's. It is
necessarily brief, h,,t touches on the major developments and trends in
state-level resource allocation.
The chapter has seven sections. The "Introduction" outlines a
pessimistic scenario and an optimistic scenario for the economic foundation
of higher education in the 1980's. The second section, "Possibilities fiir
Either Pessimism or Optimism," projects the impacts of enro1lment shifts
by geo§raphical region.
"State Budgeting Trends and Issues!" discusses the introduction of new
budgetigystems to replace, incremental budgeting processes or formula
budgeting practices. Attention is focused on modifications to deal with
enrollment decline and procedures to-budget for qualitative improyement.
Examples are drawn from the Temiessee Performance Funding Project and
Florida's "programs of emphasis. , .

. The fourth and fifth sections, "State Agency. Role in the Budget'
Process" and "Current Budget Roles of State Agencies,' suggest future
relationships among state higher education agencies, executive budget
offices, and legislative fiscal staffs in terms of the budget review function.
These sections at.4 exar.,ine potential roks for state higher education
agencies as executi and legislative staffs take a more prominent part in the
budget process. Possibilities include the policy issue role, the program
evaluation role, and the budget advocate and fonnitla analysis role: The
future budget role of coordinating boards is seen to be one that is more
complementary to the legislative and executive budget staffs.
The sixth section, "Relationship of Budget and Finance to the Major
Issues of Postsecondary Education,!' raises the question of whether states'
will make funds directly available to students, rather than continuing the.
historic pattern of providing most of their support directly to institutions.
Also discussed is the fact that ao state has adopted a complete market model
for funding public institutions. This section also asks how effective program
and management accountability can be achieved without increased controls.
Finally, this section suggests how institutions will structure and justify their
budget requests when enrollTentsieyel off or decline...
The final section"Reccatiiiendations for Finance and Budget," lists
seven suggestions for modifying state budget practices to better cope with
the uncertainties of M1980's.

515
546,
9
, 1 II RESOURCE. ALLOCATION AND BUDGETING

15:1.2/80-3 as; as

"Information Systems for State-Level Decisions and the Budget:

or California Gets Its Just DSIRts," Frei! Thompson, pp. 155-193
in 'hytova,tions in Higher Education Management: Coping With the
80s, 'alas J. Collier, ed. (National Center for Higher Education
Manage nt Systems, Boulder, Ca:)..
This p describes how state-level fiscal authorities managed the
complex,'competitive higher education market in California during the late
1960's. and early 1970's, and advocates the use of a decentralized, market=
oriented funding plan to make theresoutte allocation process more efficient
and effective. The framework for the proposed plan is based on economic IP

theory. The author presents his assumptions clearly and convincingly.

However, implicit throughout the paper is the fact that the world of the
economist and that of the public policymaker are not always congruent.
Thompson proposes the decentralized funding mechanism based on his
frustrating experience with the University of California's Data System of
Instructional Resources (DSIR). DSIR was developed around 1970 in
response to state-,level demands for more information about institutional
costs, faculty workload, and space utilization. This information was
intended to be used by state-level officials to aid them in reviewing the
University's budget, and specifically, to relate systematically the provision
of services with the actual distribution of activities and costs within the
university. State-level officials believed that the University was sacrificing
undergraduate educatioh in favor of research and graduate education, and
opted for greater centralized direction and cont g DSIR.
Thompson's -discussion of the hi t DSIR- is particularly en-
lightening. He notes that the California Department of Finance favored the
introduction, of a unit-cost .funding mechanism for the University of
California system,' but backed oft quietly from this approach in favor of the
simple student-faculty ratios formerly used. The unit cost model was
proposed based on the assumption that students, through their program
preferences* determine resource rvuirements. Thompson points out the
error in this assumption; namely, dip the actual choices students make. are
determined by the services provided by,the institution, .a function of institu-
tional resources. Thus, there was no-recognition of the facts that student
demand varies from institution to institution and that it is appropriate to
operate institutions on different scales, with different program mixes and
different instructional methodologies. If the unit cost funding mechanism
were used, student behavior would have to be controlled to conform to the
estimates on which the funding was based. Accordingly, student preferences
would not determine resource requirements, but would be subordinated to
the budget formula. Because the results were not consistent with state
priorities, the unit cost mechanism was quietly dropped.

516
 BUDGETARY THEORY AND PRACTICE-
STATE BUDGETARY PROCESS
i .2
Thompson proposes a decentralized funding arrangement whereby the
state would provide a fixed per-unit subsidy for each additional student
enrolled beypnd some agreed-upod,base enrollment. When 'enrollments
decline; the .budget base would be reduced on the same basis. Thompson
also suggests that all institutions receive the same per-unit subsidy.'
Thompson's plan offers institutions an incentive to economize in the
operation of their instructional programs.
The paper includeS a technical-sppeax i hich the author explores
the relationship between jhe scale of institution operations (enrollment)
and cost.

"Performance Funding and Power Relations in Higher Educa-

tion,?! Richard G. Dumont, The Journal of Higher Education, Vol.
5 I , No. 4, july/August, pp. 400-423.
This article is a case study in performance funding based on the
execution and outcomes of the Tennessee Higher Education Commission
Performance Funding -Project at Tennessee Tech University during
academic years 1976-77 and 1977-78.
The primary objective of the statewide project, which involved 11
public institutions on a voluntary basis during the pilot study, was to
determine the feasibility ,of performance funding as a complement to
Tennessee's enrollment4lriven budget formula. The project was undertaken
with The understanding that the existing formula had limitations and that a
more appropriate response to the demandsoof accountability was desirable.
The major objectives of the ptiorprojects were to develop and identify
instructional goals and associated p$rforinance indicators, to collect data on
these indiCatois, and -tor develop ways in which performance might be
incorporated into the funding mechanism. The focus- was on institution-wide
instructional goals ,only.
The author observes that, in undertaking ',he project, members of the
Tennessee Tech University community, resisted the development of per-
formance criteria and expressed considerable concern regarding the
potential, for increased external control by the Tennesseee Higher Education
Commission and the institution's governing board. Administrators and
faculty were skeptical of increased accountability in the guise
performance funding. This resistance was a major factor in a significant shift
in basic policy assumptions held by the staff members of the Tennessee
Higher Education- Commission. The author notes that "what began as a
project'intended primarily to advance the interests of accountability through
evaluation and an associated coercive . . . mechanism involving .dif-
ferential distribution of funds . . . shifted to an emphasii mere congenial to
the values of academic freedom and autonomy, i.e., the encouragement

517
-548
 15 RESOURCE ALLOCATION AND BUDGETING

. , . of evaluation for improved instructional performance . . . through

the provision of Incentive' monies."
The authdr reviews the organizational theory literature briefly to set the
stage for a. final interpretation of the Performance Funding Project experi-
ence. His open systems model emphasizes the dialectical dynamics
involVing resources, powbr, and conflict. Most readers will find the descrip-
tion of the interorganizational relationship rather enlightening. However,
the development of a sociological theory to explain the interorganizational
dynamics of the Performance Funding Project tends to obfuscate the lessons
to beLlearned in this case study.

15:1.2/79
Program Flexibility and Budget Growth: The Case of the Cali-
fornia Community Colleges, Dan A. Cothran, 38 pp., (Faculty of
: Commerce and Business- -Administration,- University- -of British
Columbia, Vancouver):
This paper examines the reasons for the rapid and exceptional growth of
California state expenditures for community colleges between 1973, and
1975. The sources of thiS growth, which 'exceeded what would be predicted
bjt an incrementalist theory of budgeting, are .traced to program flexibility
and the funding incentive structure.
Cothran's analysis discusies the concept of automatic funding,
especially the technically uncontrollable expenditures "provided by statute
rather than by an explicit appropriation of the legislature. He notes that
statutory methods of fundingdend to be used for programs that have three
characterstics: (I) total program funding is clearly a function of the number
of chents; (2) the progam fills such basic soda) needs that it must have
priority in the budget process and "politics". must not be allowed to
interfere with its provision; and (3) the .program has several sources of
revenue. Policyrnakers find automatic funding-relatively easy to accept
because they can often 'predict the level of expenditures for a program with
some accuracy. Cothran also identifies four conditions in which rapid and
unintended growth may occur under automatic funding: k I) a program might
. be characterized by broad,oc locise definitions of eligibility; (2) an agency or
its clients may be dffered enhanced fiscal incentives for prograM grOwth; (3)
an agency or program may expand its clientele or functions; and (4) an
agency or program may actively market its serviqes.
Cothran shows that the California community college began operation
with a rather loose statutory definitiontif functions of eligibility. Also, the
community colleges experienced severe enrollment pressures for demo-
graphic reasons and because they broadened their mission to include adult
education. At tae same time, the state enacted a new financing law that
provided a great incentive for institutions to enroll full-time students if
possible. Accordingly, the community colleges altered their classifications

t- 518
0
 BUDGETARY THEORY AND PRACTICE- I &LI It
STATE BUDGETARY PROCESS

to shift as many students as possible to full-time status. Finally, to take; full

advantage of the new financing law and the demographic trends, die com-
munity colleges began engaging in aggressive marketing campaigns to
attract new students.
Cothran concludes that policymakers failed to understand how the
funding formula would interact with its environment. He .observes that the
choice of automatic funding or annual budget appi.viniaciull,-: will depend on
the value that is more important to the policymaker: controlling agency,
behavior or controlling agency expenditures.

15:1.2/78-1
"Allocation of State Funds on a Performance Criterion: Acting
on the Possible While Awaiting Perfection," E. Grady Bogue and
William E. Troutt, pp. 45-47 in Research and Planning for Higher
-Education: Proceedings of the l7th Annual Forum of the Association
for Institutional Research, Robert H. Fenske and Pauli. Staskey, eds.
(Association for Institutional Research, Tallahassee, Fla.).
This brief article describes the Perforniance Funding Project under-
taken by the Tennessee Higher Education Commission to imptove the
appropriations formula in Tennessee. The authors mention the major
criticisms of budget formulas and explain how performance funding is an
opportunity for the higher education community to demonstrate publicly the
effectiveness of instructional performance.
The Performance Funding Project is an exploration of the feasibility of
allocating some portion of state funds based on a performance criterion, as
compared to allocating resources -solely on- the basis of enrollments. An
underlying assumption of the project is that funding will continue to be based
primarily on enrollment, but that a complementary feature may be included
in the formula to reward institutional performance.
The authors discuss the assumptions upon which the project is based
and. describe the lessons learned from the first year of pilot project activity.
They also list several promising and encouraging findings from the initial
activity.

15:1.2/78-2
"Fiscal Strategies To Stimulate Instructional Innovation and
Change," Larry R. Jones, The Journal of Higher Education, Vol.
49, No. 6, November/December, pp:588-607.
In this article, the author attempts to answer the question: Can state
fiscal and budgetary strategies be employed successfully to create incentives
for instructional innovation in colleges and universities? He uses the Cali-
fornia higher education system as an example in discussing several alterna-
tive strategies. Implicit in the author's value system is that decentralization

519
11 . RESOURCE ALLOCATION AND BUDGETING

ordecisionmaking on resource allOcation to institutions is preferable to

direct control by the state.
Three possible strategies are discussed at some length. In the first, the
program change strategy, control language' in the state budget would require
that certain amounts of money be spent on innovative instructional pro-
grams. This strategy would require either increased state expenditures to
cover the required innovation or a reallocation of funds from existing
programs to the new ones. One state implementation strategy discussed is
the forced reduction of expenditures for research. The author also describes
the California Department of Finance's "negative program change
proposal" mechanism instituted in the early 1970's. This technique permits
the executive budget analysts to identify inefficiencies in institutional
operations and to deduct the costs of the inefficiencies from the.budget base.
The second strategy proposed is one of salary limitations. Ceilings
would be placed on institutional salary ranges, for example, in budgetary
control language.
These first two strategies are relative "strawmen" in that they involve
rather heavy-handed state-level intervention in institutional resource alloca-
tion decisionmaking. The third alternative, an enrollment market strategy, is
much preferred by the author. Increased innovation in instruction would be
provided on the basis of new student enrollments, whereby the maginal
enrollments would be funded at an equal rate for all public segments
operating in a state. This strategy assumes that creating greater incentives for
segments to compete for students will. yield a greater breadth. of court 4:
offerings at little or no reduction in instructional quality. The author suggests
that this equimarginal enrollment funding mechanism would increase.
institutional competition for students and hence' encourage in'tructional
innovation because institutions have operated generally as revenue
maximizers.

15:1.2/77
State Budgeting for Higher Education: The Political Economy of
the Process, Frank A. Schmidtlein and Lyman A. Glenny, 275 pp.'
(Center for Research and Development, in Higher Education, Uni-
versity of California_ Berkeley).
This monograph is one of a' series that summarizes the results of a
3-year, 50-state study of the processes state agencies use to formulate
college and university budgets. Seventeen of the 50 states were studied
intensively.
This study focuses on the process of state budgeting for higher educa-
tion rather than on its inputs aid outputs. It 'fives primary attention to a
number of dilemmas that beset the design and conduct of the budget
formulation process, identifying the tradeoffs involved in such processes

520

53 1
 BUDGETARY THEORY AND PRACTICE- 11111.2
STATE BUDGETARY PROCESS

under .five broad headings:.( I) consensus versus conflict, (2) efficiency

versus redundancy, (3) flexibility versus control, (4) stability versus change,
and (5) simplicity versus complexity.
The authors explore the organizational context of the budget process,
directing most attention toward the origin and number, growth, location,
staff organization, and responsibilities of the state-level budget agencies.
They assess state-level budget structures by examining the effect of structure
on decision-s, the hierarchical patterns into which the budget process is
organized, and the location of budgetary decisions: The theoretical Prob-,
lems in the design of state higher education budgets are also discussed in
terms of a checks-and-balances paradigm and a bureaucratic paradigm.
The concept of budget process effectiveness is discussed in terms of
technical efficiency, allocative efficiency, and' rationality: .The authors
study the relationship between state-level budget agency staff characteristics
and process effectiveness, and explore_ the context in Whichbudgets are
submitted and reviewed. In a useful.conelusion,.the authois, project future
trends in the design.of budget structures.
The bo4 presents a well-balanced Wend of theory and data from the 17
states investigated in detail. The transition between theory and practice is
remarkably smooth throughout the book. An extensive bibliography is
provided.

See: 13:1.3/77-2 "State-Level Performance Budgeting," Marvin W.

Peterson with J. Michael Erwin `and Richard Wilson, in Increasing'The
Public Accountability of Higher Education, John K. Folger, ed.
This excellent article is an indepth examination of two case studies
involving state-level efforts to introdUce performance budgeting techniques
for higher education. The complex problems of budgetary reform,,
especially those that arise from political and inter4nizational relation-
ships, are clearly presented. This article is recommerlded reading for all
interested in the difficulties of implementing resource allocation
mechanisms that arc based upon program quality or outcomes.
The authors distinguish between program budgeting and performance
budgeting, with the latter defined as a budgetary structure that focuses on
activities or functions wh produce results-and for which resources -are-
used. Thus, in perfomia. budgeting, resources (inputs) are related to
activities (structure) and , iilts (outcomes). The authors also detail the
components of performance budgeting.
The authors identify several issues that arise with the application bf
outcome-oriented performanceudgeting. First, because performance bud-
geting uses a program format and is often part of a :;tate PPB system, it may
be affected by negative reactions to the system. Second, the development of
performance measures has often flowed from the :;tale level down to the
institutional level. Third, outcome indicators are sometimes, viewed as
useless or controversial because they are linked with program budgets at
521

55 0
1$ .RESOURCE ALLOCATION AND BUDGETING

high levels of aggregation. Fourth, in states utilizing performance budgeting

techniques, quantitative measures are more widely used than qualitative
measures. Nib, performance measures at high levels of program aggrega-
tion are not easily linked with administrative responsibility centers.
The authors discuss the implementation of performance budgeting at
the state and institutional:levels in Hawaii and Washington. Although these
states have very different political and organizational structures, both
experienced considerable difficulty in ,introducirg the new budgeting
procedures. In both cases, there were controversies surrounding the choice
of program structures and budgetary formats. Also, in both states. the
executive branch took the lead in introducing performance budgeting, while
higher education institutions and agencies resisted mildly or reacted
neutrally. The authors observe that performance b (7eting lacks political
appeal, especially from the point of view of legislator.'
In looking ahead to attempts by other states to, implement neforrnance
budgeting, the authors note that conditions for implementation in Hawaii
and Washington probably are better than those' in most other states at this
time.

151:2/76-1
State Budgeting for Higher. Education: State Fiscal Stringency
and Public Higher Education, Frank M. Bowen and Lyman A.
Glenny, 268 pp. (Center for Research and Development in Higher
Education, University of CaliforAa, Berkeley).
This monograph summarizes the results of a study to examine how
public colleges and universities respond when states make substantial reduc-
tions in their appropriations. Data were collected from approximately 12
states, with detailed case studies prepared for,five states.
The book addresses, common strategies fOr dealing with fiscal
stringency, while noting that the response to fiscal stringency occurs over
time and in the context of highly diverse state governments and systems of
public higher education. The authors define retrenchment in two ways: ( I)
midyear or midbiennium cutbacks required when a State finds its revenues
insufficient to cover authorized budget levels; and (2) major reductions in
t'udget requests during the final stages pf budget developmenr., usually after
the Governor's budget has been submitted and during legisltive considera-
tion of requests.
The study seeks ans Ars to the following questions: (1) What are the
immediate responses to retrenchnient? How selective can they be? (2) Who
should participate in establishing procedures and selecting priorities and
criteria for retrenchment? (3) What are impediments to the flexibility re-
quired to respond to fiscal stringency?' How can these be overcome? (4)
What special academic and support programs. should receive particular
attention during retrenchment? (5) Wha: criteria and procedures should be

522

553
 BUDGETARY THEORY AND PRACTICE- 1 SO .2
STATE BUDGETARY PROCESS

used for layoff of personnel during retrenchment? (6) What are the possible
longer term implications of retrenchment?
The authors. explain the dangers oracross-the7board budget cuts,
noting that the needs and priorities of an educational institution are different
during retrenchment than during periods of growth. Retrenchment requires a
wider range of people than usually participate in academic programming and
budgeting. One significant problem identified is that higher education
institutions are apparently unable to face reality until after many options for
dealing with retrenchment have been closed off.
Bowen and Glenny discuss the emergence of a new style of leadership
to contend with the fiscal stringency of the 1970's and 1980's, when more
attention Will be directed to multiyear fiscal planning. Planning also will
examine possible fiscal stringency, and will be a much more adaptive
process. Plans will not longer be assumed valid for fixed 5- and 10- year
periods, but will require revision more on an'annual Or biennial basis.
The five case studies included jn the book cover Florida, Michigan,
New Jersey., New York, and Wisconsin. These studies generally examine
responses to fiscal stringency during the fiscal years 1974-75 and 1975-76,
and each study was updated by a consultant in that state as of late spring 1976:

15:12/76-2
State Budgeting for Higher Education: Data Digest, Lyman A.
Glenny, Frank M. Bowen, Richard J. Meisinger, Jr., Anthony W.
Morgan, Ralph A. Purves, and Frank-A. Schmidtlein, 376 pp.
(Center for Research and Development in Higher 4ducation, Uni-
versity- of-California, Berkeley)._
'The monograph is one, of a series that summarizes the results of a
3-year, 50-state study of the processes state agencies use to formulate the
budgets of colleges and universities. Seventeen of the 50 states were studied
intensively. This monograph is a descriptive data base, addressing various
budgetary processes in 17 states.
This study has three principal sections. Part I provides an overview of
the state higher education budget process, outlining in general terms the
organization, process, and procedures of the budget system. Budget terms
are defined, and the development of the taxonomy used for data comparison
is explained. Part II consists of tabular presentations that narrowly focus on
specific variables across the 17 states. A total of 84 data tables are presented
in this section. Part II includes indiyidual state descriptions and flow charts
of the budgetary processes. In notes to the data tables and in the individual
state descriptions in Part III, recent or proposed changes are described where
necessary to qualify the presentation.
The data presented in this study are organized into the following
categories: structural classification and staff organization of agency staffs,

523
554
 RESOURCE ALLOCATION AND BUDGETING

staff personnel matters, 'presubmission activity, organizational budget re-

quests, executive and state higher education agency hearings, Governor's
budget, legislative review and appropriation, community colleges, and
budget pmcess.time intervals. '

This study describes the state budgetary processes at the time of field
investigations conducted in 1974. In almost all instances, the development
of the annual budget for fiscal 1975 is .described; in a few cases the
description is based on the fiscal 1976 budget. Although some of the data are
clearly dated, the report is important for its compariion of the budget process
across states, which. highlights the complexity and diversity of budget,
systems.

15:1.2/76-3
State Budgeting for Higher Education: Interagency Conflict and
Consensus, Lyman A. -Glenny, 170 pp:-.(Center for Research-and
Development in Higher Education, University. of California
Berkeley).
This monograph is one of a series that summarizes the results of a
3-year, 50-State study of the processes used by state agencies to formulate
college and university budgets. Seventeen of the 50 states were studied
intensively.
. The study seeks to evaluate the progress that budget professionals are
making in their efforts to develop a more systematic approach to budgeting.
The author ailresses the interorganizational dynamics of the budgetary
process, concentrating on the structure, roles, and staff characteristics of the
state higher education agency, the executive budget office; and the legisla-
tive budget staffs. In particular, the author examines the competition and
cooperation that arise out of a common concern for budget review.
This study evaluates and compares organizational and budgetary theory
with state practices. It concludes that there is no single theory of deci-
sionmaking , budgeting, organization, or interorganizational relationships
that adequitely explains the state budget organization and process, but that
several theories contribute to a partial understanding of the process. The
author also notes that the roles of individual_ state budget review agencies
have become more and more 'confused as competition among them for
political attention and influence has increased. He concludes that most of the
17 states in the study have failed to achieve a significant degree of domain
consensus among the agencies that review operating budgets for higher
education. This lack of domain consensus is attributed to the lack of specific
operational goals for each agency and the newness of many agencies and
their staffs. In a conclusion, Glenny suggests differentiated functions for
each of the budget review agencies.
This study is packed with lucid observations about the interaction of the
state agencies involved in the budget process. Particularly valuable to the
524
 BUDGETARY THEORY AND PRACTICE 1 SI .2
STATE.BUDGETARY PROCESS

individual who has never worked at the state level, the book also provides
some much needed perspective for' present or past state-level officials.

15:1.2/76-4
I t
"The Lawmakers Budget for Higher Education:. The Case of
Illinois," James D. Nowlan, in State Politics and Higher Education
Leonard E. Goodall, ed. (LMG Associates, Deirborn, Mich.).
James D. Nowlan served as a member of the Illinois House of
Representatives from 1969 to 1972, and undertook this work as' a
participant7observer in the legislative process. This article focuses on
several cases of conflict and controversy in higher. .education that the
legislature handled between, 1969 and 1971. Those years were pivotal in the
balance of relationships between the Illinois Board of Higher. Educatioa, the
Governor's office, and the legislature.
The author examines the legislature's role in 'making decisions by
rasing the following questions: (1) What is the 'nature and quality of the
legislature's input? (2) What resources are drawn upon, and are, they
independent of other participants? (3) Are any normative values of the
legislatures and its legislators reflected in the policy decions made? and (4)
Is any change normal in the legislature's.traditionally passive role in policy -
making? !
The mode of presentation for the cases discussed is journalistic deScrip-
tion, and no attempt is made,to develop a theoretical or analytical framework
for the events decribed. Although the case studies are brief, they are lively
and serve to highlight the details that a legislator believes are important in
weighing a situation.
The author concludes that the legislature clearly has been subordinate
to the Governor in relation to higher education decisionmakina in Illinois,
but the legislature's involvement is increasing. By pointing-out the BOard of
Higher Education's powerful control of information, the author
demonstrates how state higher education agencies can wield considerable
influence in the budgetary process. The author also concludes that as
legislators are thrust more and more into budgetary conflict, they develop
analytical capabilitiesprimarily in the form of expert staffs--to! better
evaluate the complex issues.

15:1.2/76-5
State Budgeting for Higher Education: Information Systems and
Technical Analyses, Ralph A. Purves and Lyman A. Glenny, 231
pp. (Center for Research and Development in Higher Education,
University of California, Berkeley).
This monograph is one a series that summarizes the results of a 3-year,
50-state study of the processes used by state agencies to formulate college
and university budgets. Seventeen of the 50 states were studied intensively.

525
556
 (111 RESOURCE ALLOCATION AND BUDGETING

This study fOcuses primarily on the informational and analytical

aspectkpf budget requests to the.state and the technical procedures that state
budget agencies us to review these submissions. The authors give particular
attention to the application of methods used to rationalize the budget
process, such as program budget submissions, new information reporting
structures and systems, and various micro-economic analytical techniques
that have-been developed for budget preparation and review.
A major portion of the study is descriptive. The authors discuss the
taxonomies, uses, and systems of budgetary and financial information, and
they consider the kind of data institutions provide, the format or organizing
structure for collecting and displaying the uses of the data in the budget
process to satisfy various budgetary functions, and the development of
systematic procedures for gathering and reporting data. The authors
Compare the different, styles of higher education budget review by estab-
fishing typitlogies and examining in detail the.procedures of several states.
Review te4hniques are grouped as objects of. expenditure budgeting,
performance budgeting, formula 'budgeting,. programming-planning-
budgeting; 4nd tactical budget plannin& Considerable attention is given to
the formal bUdget documents that provide much of the information used for
the overall budget review. Requests for documents from institutions and
,statewide &Venting boards, the exchange of documents at the state level,
and the rela4nship of these documents t9,the original requests are examined
to show the documents as informatio sources and as review material. The
authors also discuss technical pro' ems with informatioeindanalytical
systems: no comparability (Arial , nonuse of data, unsophisticated costing
techniques, distorted incentiv through workload factors, adequacy of
output info atiOn, data qua y and credibility, and misuse of data.
The dy also evaluat s budgetary information and review systems in
terms o the implication and consequences of their use. The concluding
II
chapt is a particular! excellent blend of philosophical, theoretical; and
practi al consideratio s for the design of information and analysis systems.

15:1, 2/76-6
Bu geting for Higher.Educatiott and the Legislative Oversight
Process, 27 pp. (Southern Regional Education Board, Atlanta, Ga:
This publication presents five papers that discuss the higher eduCation
budgeting process from the perspectives of institutional, state higher educa-
tion .agencY, executive budget office, and legislative policymakers.
In "Budgeting: A University Perspective," Jack K. Williams dis--
cusses how an institutional budget is prepared and indicates what legislators
should know about budgets, plans for steady-state or dee! iting enrollments,
and budget formula's. Williams suggests that state governments must estab-
.. fish the guidelines for financial retrenchment, when -necessary, and allow

institutions to make recommendations and decisions on the locations of

526
 BUDGETARY THEORY AND PRACTICE-- .41 Si 1.2
STATE BUDGETARY PROCESS

budget reductions. Williams also notes a relationship usually overlooked: If

substantial savings are to be realized, they must be accomplished through
reductions of personnel or increases in workload.
James M.. Furman speaks to "Budgeting: 1. sews of a State Higher
Education: Director," and observes that the share of state, revenues ear-
marked for education is declining as enrollmentlrowth reaches its peak.
Furman believes that the executive and legislative branches view higher
education as the balancing mechanism for appropriations generally in as-
sembling the total budget. Furman also sees a decline in the use of budget
formulas in the future and a concomitant increasing tendency of executive
and legislative officials to view higher education's share of the budget as
what remains after all other fixed income and fixed expenditure items are
automatically funded. .

In "Budgeting: Perspectives From a State Executive. Agency," Wayne

F. McGown outlines a budget contract system that complements the zero-
base-bUdgeting -System beingg instituted in WiSCOnsin in the mid- 1970's. In
budget contracting, the legislature formally contracts with agencies for
every program segment in the budget. The contract documentation provides
specific evidence of the program performance expected and becomes the
basis for postatidits. McGown believes that budget formulas are useful for
the internal allocation 'of resources within a system, but that they are not
particularly useful in the state-level budget determination process.
Lyman A. Glenny discusses the relationships between "State Control
and Programs for Higher Education." He summarizes the environmental
context for budgeting in higher education and discusses findings from a
survey, of college and university presidents. In particular, he notes the
tendency of presidents to hold to the status quo. An important policy issue
raised by Glenny is that if adults are successfully recruited to make up for
enrollthent declines among the young in public institutions, the state must
decide who is to assume the cost.
Finally, Marshall S. Harris addresses "Legislative. Oversight: A
Former Legislator's View." He describeS a way for organizing a legislature
to conduct oversight studies and determine legislative policy. Harris'
principal criticism of legislative activity is that there is seldom a coherent
framework for policymaking. Interestingly, Harris also reports on higher
education policymaking from his role as a member of the Florida Boards of
Regents. This perspective is in many ways the opposite of the one he held in
his former legislative role.

15:1.2/75-1
The Political Pursestrings: The Role of the Legislature in they
Budgetary Process, Alan P. Balutis and Daron K. Butler, eds., pr
pp.,(Sage/Halstead Publishers; Beverly Hills, Calif.).
Legislative authority once ruled the budgetary process, but recently has

527
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. 15 RESOURCE ALLOCATION AID BUDGETING

been eclipsed by the executive/branch of government. Considerable

has been givento the reform of state legislatures; one such reform has been
increased professional staffing to assist legislators in gathering, processing,
-and-assessing infonnation.,The.essays in this volumeexamine the nature and
workings of these staff thrtiugha systematic comparison of their back-
grounds, norms, constraints, ;functions, and influences in various state
legislatures. The bpok is particularly useful because, as the introductory
review notes, most of the studies on legislative behavior to date have focused
on congressional rather than state legislative action.
The book is organized into two parts. The first is largely descriptive,
focusing on the origins and functions of legislative fiscal staffs in New
Mexico, Florida, Michigan, and Illinois. The authors of these chapters are
members of the fiscal staffs in their respective states. The Unifying theme is
that the role of .the legislative staff is not to make policy but to provide
legislators-- witV"the-basic information --to-hilp -them Mine- the policy-
environment. Also noted isthe increasingly important role these staffs play
in legislative oversight.
The second part of the book examines the legislative staffs in.,
f. Wisconsin, New York, and Texas from a somewhat broader perspective.
These chapters evaluate the implications of increases in the/size and number
of legislative staffs and assess the influence -of these staffs -in the legislative
process. Leif S; Hartmark's chapter on Wisconsin is &particularly fine blend
of description and analysis.
The editors note that "legislative staff influence-is the convergenoe.of
the intelligence, integrative, and innovative functions.!! Although legisla-
tive -fiscal staffs -playa- significant-role in developing a state's -budget,-the.
legislator is the chief policymaker and defines the staff roles that determine
the staff - legislator relationship.

15:1.2/75-2
"Flexibility for Whom: The Case of Forced Savings in Budgeting
for Higher Education," Anthony W. Morgan, Educational Record,
Vol. 56, No: 1, Winter, pp. 42-47.
. Forced suvings,,otherwise known as salarys.avings or turnover savings,
is one state-level government strategy for reducing higher education bud-
gets. Forced savings is'lisually treated as-a deficiency appropriation in the
budget: the institution is required to save and return this amount at the end of
the fiscal accounting period. Thus, it becomes a mechanism for resource
reallocation.
In this article, the author focuses on savings -strategies used in the
University of California. and California State University and Colleges
systems during the arty 1970's. Forced savings is used as a lens through
which the interorg ational relationships between the state, Multicampus
system, and camp s evels can be viewed. The .author concludes that. the
528
 .;0

BUDGETARY THEORY AND PRACTICE- 1 Ills

STATE BUDGETARY PROCESS

state,. ustem, and campus adniinistrators had similar reactions to forced

savings in tending to avoid uncertainty and preserve flexibility by taking
funds from another level of organization and to'use savings as a device for
influencing a subordinate level's allocation of.resources. By specifying a
forced level of savings, state-level administrators reduce their budget
fi. the minimum level of lapsed funds. This strategy of
uncertdihtp;by. fixing
uncertainty reduction is, in turn, repeated at the multicampus system and
campus levels.
A major policy issue is how savings targets should be assigned: The
author stiggesii three alternatives: (I) assign flat percentages to all
subordinate units regardless of the variability in savings potential; (2) assign
targets according to the ability to pay; (3) use differential savings targets to
redistribute available resources among subordinate units. Other key policy
questions. raised are how to'assess the effects of savings on the quality of
services provided and how much flexibility each unit should have.
The author also notes the lack of incentives to carry forward balances.
An Obvious incentive is to allow the system and campuses retain a portion
,
ot the resources saved. However, the state fears abuses of incentive systems.
The author notes the despite the pitfalls, incentive systems are instrumental
in promoting a healthy morale and a climate for change.
This article should be of particular interest to officials in educational
institutions and state governments who are concerned with the management
of budget reductions. The article gives considerable insight into state-
institutional relationships.

15:1.2/73-1
"Statewide Reallocation Through Program Priorities," Edward
H. Flentje and Steven B. Sample, Educational Record, Vol.'54, No.
3, Slimmer, pp. 175-184. Also "Conunenton 'Statewide Realloca-
don Through Program Priotities'," Lyle B. Lanier, Educational
Record, Vol. 54, No. 3, Summer, pp. 184-189:
These .papers examine the relationship between state agencies and
institutions- in a situation where: resources are suddenly scarcer than
anticipated. EdWard H. Flentje and Steven B. Sample provide a detailed
case history of the 1972-73 budget cycle in Illinois from the point of view of
the Illinois Board of Higher Education (IBHE). Lyle B. Lanier critiques the
interpretation from the perspectiie of the'University of...Illinois. The wealth %
of case material and the contrast in perspectives ;make these two papers
Jnvaluable to anyone interested in the institutional consequences 'of state-
level budget strategies.
Illinois higher education, approached the 1972 -73 budget cycle with
some, uncertainty in that the 1971.72 'budgets had been pared by the
Governor in June 1971 to a 16e1 comparable to the previous year. The IBHE

529

50
15 RESOURCE ALLOCATION AND BUDGETING

'adopted a process to establish high and low statewide priorities for higher
education in order to bridge the . gap between available resources and
perceived iiee-ds:---The:pi:ogram priori t ies :approac h to real location was an
alternative to across -the -board cuts, freezeS on various categories of
expenditures, and progriammatic moratoriums. In the process, the IBHE
reallocated $24 thillien from low to high priority programs. Flentje hnd
Sample answer three questions in the affirmative: Should reallocation take
place? Should it take place programmatically? .Should it take place on a
statewide basis?
Lanier is extremely critical of the IBHE approach to the 1972-73 cycle.
First, he argues that the statutory authority of the IBHE is limited to adyjsing
the appropriate board of control about existing programs and does not extend
to the elimination of programs. Lanier analYzes why the IBHE rejected
several alternative budget strategies, including the neethi budget and the
fixed:base approach. He concludes that the program priority technique was
not suitable and that the state's appropriation process Mack it impossible for
the IBHE to enforce its specific program reCommendationk Lanier also
points out the communications and timing difficulties that arose in
implementing the program priority technique.

I
15:1.2/73-2
Changing State Budgeting, S. Kenneth Howard,172 pp. (Council
of State GOvernments, Lexington, Ky.). .

This volume examines the emerging trends in state budgeting, with an

emphasis on the impact of planning - programming- budgeting as an
administrative process that is heavily influenced by political considerations.
Like most budgetary process studies, his book concentrates on the planning
and spending sides of budgeting, giving little attention to the revenue side.
The author provides A general description-of-the -skate administrator's
milieu and summarizes some characteristics of state budgeting: A
particularly useful section deals with the intergovernmental context of
budgeting, addressing the concepts of federalism, th : states' responsibi-
lities, and forms of sharing. There is'also a discussion f capital budgeting,
including the organizational arrangements used in sta e capital budgeting.
The major portion of the book 'is directed toward budget reform, with an
emphasis on PPBS as an approach to rational budgeting. The role of systems
analysis is discussed in relatitih to program analysis. The author concludes
that although the Federal model of PPBS is dead among state governments,
the ideas underlying PPBS (adoption of a longer range view, emphasis on
alternatives., evaluation of alternatives in terms of effectiveness, develop-
ment of a capacity for more thorough systematic analysis) are alive in many
states. The author also presents the political dimensions of the budgetary
procesS from the perspectives of the governor and the legislature.
A frustrating feature of this book is that its descriptions and analyses of

530

56j
 BUDGETARY THEORY AND PRACTICE- I oil .2
r STATE BUDGETARY PROCESS

the state budgetary process are t general. Although the author clearly has
had considerable contact with budgeters in many states, he has not woven
examples of state practices into the discussion. Unless the reader has had
prior experience with the budgetary process, particularly in several settings,
the concepts presented may appear too abstract to relate to actual practice.

15:1.2/72-1
IVIthtever Happened to State Budgeting?, S. Kenneth Howard and
Gloria A. Grizzle, eds., 51)3 ppi (Council of State Governments,
Lexington, Ky.).
This excellent volume is a collection of 51 articles, essays, and excerpts
from books concerning the theory and practice of budgeting. The contribu-
tions reprinted here are from a variety of sources, including professional
journals in public administration, political science; and planning, and
publications by the National Association of State Budget Officers and the
Council of State Governments. Accordingly, the contents of this colllction
range beyond the budget process.
The articks are loosely structured around five themes: (1) scope of state
budgeting; (2) .the budgeter: role and relationships with other participants;
(3) developing the basis for budget decisions; (4) techniques for the
budgeter; and (5) innovation and change. The quality of the articles ranges
widel;/, but the following "classic" articles or essays are included: "The
Lack of a Budgetary Theory," by V.O. Key, Jr.; "Toward a Theory of
Budgeting," by Verne B. Lewis; "The Road to PPB: The Stages of Budget
Reform," by Allen Schick; "Rolet and Symbols in the Determination of
State Expenditures," by Thomas J. Anton;, "The Systems Approach and
Public Policy," by E.S. Quade; "Systems Analysis and the Political Pro-
cess," by James R. Schlesinger; "Rescuing Policy Analysis from PPBS,"
by Aaron Wildaysky; "Planning andPredicting: Or What To Do When You
Don't Know the Names of the Variables," by Leonard J. Duhl; and "Social
Planning: The Search for Legitimacy," by Martin Rein. Having ready
access Ip these articles alone makes the. volume a welcome addition to the
bookshelf.

15:1.2/72-2
Dollars and Sense: Budgeting for Today's Campus, Gene A.
Budig, ed.," H4 pp. (College and University Business Press,
McGraw-Hill IJublications Co. , Chicago).
This book contains two essays that give the legislative and executive
perspectives on state budgeting for higher education: "The Governor's Role
in the Budget Process," by T.N. Hurd and Donald Axelrod, and "Legisla-
tive Expectations of the Budget,' by A. Alan Post.
The essay by Hurd and' Axelrod is an overview of policy issues

531
062
 15 RESOURCE ALLOCATION AND BUDGETING

considered by the executive budget staff, and is designed for the reader with
little previous exposure to executive policymaking in the budget process.
Included is a position description for the office of governor, with a dis-
cusssion of the executive power of appointment, the responsibility br
assuring accountability and productivity, and the executive role in interstate
relations. The authors stress the need for a planning process in higher
education and for the proper coordination of the programs of multiple
systems of higher education. They briefly examine the components of the
operating budget, summarizing the policy issues 'associated with the
technical aspects of the budget. There is a particularly good presentation.of
the policyquestions raised by the executive budget office concerning capital
budgets In conclusion, the authors consider how the executiye.budget office
staff assesses the administration's fundamental policy for higher education,
and elaborate on the executive concern fot financing and implementing the
budget.
Post observes that planning and budgeting are the two most important
legislative roles, with the budget being the principal planning document. In
examining the flow of the budgetary process as seen by the legislative and
legislative staffs, Post seeks answers to several questions: What planning
and budget materials does the legislature receive and what form do these
materials take? When does the legislature receive such materials, and in
relation to what legislative processes? Which' legislative organization re-
ceives the materials, to whom i& this group directly responsible, and.Ahat.
staff capacity does it have for analysis? What roles do the higher educiitiOn
agencies and the governor play in such review? To what extent is legislative
review integrated into the actual decisionmaking processes of the legislature
so the members will have access to the analysiS, along with suffiCient
- confidence in it to assure its effective use in makihg policy decisions? Post
notes that the relationship of the legislative staff to the partisan political
structure of the legislature has an important bearing on the staff role in the
budgetary process,His,piesentation is enriched with examples of the varia-
tions in thcbudgetary processes in different states. In summary, this essay is
an excellent introduction to the legislative side of budgeting.

15:1.2/71
C.

.:Budget Innovation in the States, Allen Schick, 223 pp. (The Broolc-
ings Institution, Washington, D.C.).
Schick's book is a study of the two then most recept attempts to
improve state budgeting: the introduction of performance budgeting in the
z 1950's, and the planning-programthi,ng-budgeting systems (KBS) move-
ment of the I 960's The analySis of die'historical development of these two
budget innovations is excellent. Interestingly, Schick 'notes that PPBS
advanced independently of public administration because of the infusion of
the economic planning ethic into budgeting. Thus, where previous attempts

532
 BUDGETARY THEN.: t AND PRACTICE 1 S :1.2
STATE BUDGETARY PROCESS

,at budget reform were concommitant with reorganization, PPBS had a new
Conceptual base dependent upon classic economics and planning notions of
rationality rather than on political-administrative theories.
Performance budgeting, with its emphasis on activity classifications,
performance, measurements, and performance reports, sought to regroup
expenditure accounts to conform more closely with organizational func-
tions. Schick notes that the changes introduced by budgeting did not meet
the potential. To highlight his observations, Schick provides three brief case
histories of the development of performance budgeting in Maryland, New
York, and Ohio.
Schick notes that, as of 1969, more than half of the states were either
implementing or Considering PPBS in some form. Significantly. in only one
or two states had PPB worked its way into the decisionmaking process of
- state -= government. Schick provides _extensive_case studies of'
California, New York, Wisconsin; Hawaii, Pennsylvania= -that were the
most advanced in implementing PPBS. In none of the five states was the
'implementation e clear-cut failure or success.
Schick observes that budget innovation will succeed only when the
state reexamines the way's in which it uses its budget process. One of the first
steps in budget reform is to reconstruct the budget control mechanisms so
that the needs for control can be met while the budget machinery is revamped
to include planning.

15:1.2/67
"Roles and..Symbols in the ...Determination of State Expendi-
tures," Thomas J. Anton, Midwest Journal of Political Science, Vol.
- 11, .No. February, pp.- 27 -43.
Thomas Anton has developed a relatively simple yet powerful model to
explain the manner in which state officials decide to spend publid funds. His
model uses the concept of the "role" to summarize the characteristic
behavior of a state-level participant in 01'; :Judget process. Once defined, the
symbolic significance of the roles is assessed in terms of the impact on the
budget process.
Within this model, state agency officials (such as institutional repro--
sentatives) are seen as expansive; in all likelihood, they will request more
money next year than is currently available to them. Budget review officals
see their role as watchdogs of the treasury or as budget cotters. These
officials generally expect state agency requests to be expansive. Anton
argues that the governors are "money providers" or "budget balancers,".
and only infrequently can be viewed as decisionmakers in the determination
of state expenditures. (This characterization of governors was perhaps more
accurate 10 years ago than today.) Finally, similar to governors, legislators
are seen to participate in the search for new revenue rather than in the
determination of state expenditures.
533

564
 15 RESOURCE ALLOCATION AND BUDGETING

Anton observes that the participants in the budget process use a set of
symbols to rationalize their role behavior. These rationalizations mask the
true meanings of action. Agency administrators justify budget expansion on
programmatic grounds or in the name of-service; fact, the administrators are
attempting to protect themselves against the consequences of a budget
reduction in a'no-increase budget that cannot withstand a cut. Budget review
officials and governors justify budget reductions in terms of economy and
efficiency; in effect, these officials are seen to be protecting a peculiar
status. Governors and legislatures use both programmatic and management
symbols in disguising action aimed at increasing revenues to balance bud-
gets that show little evidence of either new programs or efficiency. In
summary, the budget symbolizes responsibility; the cut, economy; and the
increase, sery ice.
_ .

Although the symbolic interpretation of political behaiiior has drawn

some criticism, the wealth of insight presented in this article makes it
"must" reading.

1.3 Federal Budgetary Process

15:1.3/80
Congress and Money: Budgeting, Spending and Taxing, Allen
Schick, 604 pp. (The Urban institute,Washington, D.C.).
This book analyzes in considerable detail the operation of the congres-
sional budget process between 1975 and 1979. The Congressional Budget
Act of 1974 altered budgetary roles and relationships in Congress and
created a Congressional Budget Office to provide information and analyses
to Cong, ess. The book compares the pre- Budget Act behavior of legislative
participants with current behavior and examines the patterns of cooperation
and conflict that have arisen during the first 5 years of the new process.
Schick's focus goes beyond budgeting to include the tax, appropriations,
and authorization work of Congress.
The core research question that Schick addresses is: What happens to a
budget process when it confronts Congress, and what happens to Congress
when it must attend to new budget functions? He also attempts to answer
three questions: Is the process working? Is the process working in terms of
the routines and requirements laid-down in the-Budget Act? Has the budget
process made a difference in terms of the levels ofrev( nue and expenditure?
The book is divided into three parts. Part One reviews the budgetary
conflicts that preceded the passage of the Congressional Budget Act of 1974
and describes the factors responsible for the new budgetary structure, This
section details the terms of the new act and analyzes the roles and charac-
teristics of the new committees and the Congressional Budget Office as

534
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 BUDGETARY THEORY AND PRACTICE= 151.3
FEDERAL BUDGETARY PROCESS

originally formulated and as they have evolved over a 5-year period. Part
Two deals with, the way in which congressional budget resolutions are
produced and reviews efforts to enforce budgetary discipline under the new
procedures of the act. This section also examines the role of authorizing
committees and the ways in which these committees interact with the budget
committees and become involved in the budget process. In Part Three,
Schick analyzes the relationships between the budget process and commit-
tees and the four preexisting, centers of budgetary powerthe House and
Senate Appropriations Committes, the House Ways and Means Committee,
and the Senate Finance Committee.
Schick ends the book.with an assessment of the new budget process. He
notes that most major congressional fights are over the margin of each
year's budget. The major portion of the budget is determined by legislative
-decisions- of prior years. Accordingly, -the budget -process controls -the
amount of fighting by limiting discussion to the large but relatively (to the
budget base) insignificant margin.
This book contains more descriptive detail than most readers will want.
However, Schick is one of the most Insightful, students of budgeting
practices, and his observations are worth the effort. Also, although this book
examines budgeting at the Federal.level, the dynamics of the new congres-
sidnal budget process may in fact anticipate future developments at.the state
level, especially in light of the trend toward larger legislative fiscal staffs.

15:1.3/79
The Politics of the Budgetary Process, Aaron Wildaysky, 311 pp.
(Little, Brown and Company, Boston).
This book was among the first to report on the budgetary process
broadly as a system of political interactions rather than as a set of technical
accounting procedures. It is required reading for anyone who wishes to
become familiar with the dynamics of the budgetary process. Although the
focus of the book is on budgeting at theFecieral level, the analysis developed
applies to the process at the state and local levels as well.
Wildaysky first defines the term "budget" as seen from a number. of
different orientations, and then showshow various participant.; examine the
political environment and make calculations that serve as the basis for
budgetary decisions. He stresses the incremental.nature of the budgetary
process and places the participants of the process within a system Of roles
and perspectives to explain budgetary behavior. Within this framework, he
examines the budget process through the strategies adopted by the partici-
pants, including strategies designed to capitalize on the fragmentation of
power in national politics.
Wildaysky examines briefly the history and politics of budget reform
and outlines how new procedures developed from traditional budgeting

535

566
15 RESOURCE ALLOCATION AND BUDGETING

procedures. One chapter is devoted to The concept and implementation of a

planning-programming-budgeting system (PPBS)..The strengths and weak-
nesses of PPB are discussed, and -the author explains'why, in his view, PPB
ultimately fails.' The author offers an appraisal of existing budgetary
practices and suggests major alternatives.. He further maintains that the
'present budgetary process, though imperfect, performs much better than
many observers have thought and has many features that are superior to the
proposed alternatives. In particular, Wildays&y argues that future reform
should concentrate on a more thoroughgoing incremental approach rather
than a more comprehensive one.
Wildaysky concludes this work with an essay on the changing role. of .

Congress,. particularly in relation to the decline of guardianship of the

Treasury Department. This trend is described in the context of trends in .

national budgeting the---Modern-democracies-.-- Drawing--Orythe--British

experience, the author discusses what reforms should and should not be
undertaken to strengthen the-role of-Congress in'the budgetary process.
An 'extremely useful appendix outlines the major steps in the Federal
budgetary process. .

15:1:3/78-1 .

"Agency Strategies and Executive Review: The Hidden %intim of

Budgeting," Lance T: LeLoup and William B. Moreland, Public
Adniiirstration Review, Vol. 38, May/JUne, pp. 232-239:
L .Loup and Moreland ob5erve that the incremental theory of budgeting
focuses on the stability of the budgetary process and, describes why change is
minimal. They contl.nd that in assuniing.that the entire budgetary process is
reasonably staple, nierenientalists-assume that the component stages of-the
-proCess are also table. The authors' present empirical evidence
demonstrate that there is indeed considerable variation in agency roles and
budgetary behavior.'
The authors .draw on data for Department of Agriculture agencies
between_ 19.446 and-197 IL to illustrate their theses that agency-strategies vary;
that there needs to be further differentiation of the role of "guardianship" to
understand the behavior of Federal departments and the Office of Manage-
ment-and Budget, and that roles and strategies have a differential' impact on
budgetary outcomes. Agency strategies are gauged in terms of agency
assertiveness, as manifested ,in annual budget requests, agency 'innova-
tilrness in the use of promotional devices and techniques, direct confronta-
tion with reviewing bodies, attempts to avoid direct control, and efforts to
increase discretion in the expenditure phase of budgeting. The authors
hypothesize that the more assertive...the agency, the lower the relative
proportion of requests approved but the greater the absolute budget growth.
The data support this hypothesis.
536

flJ '/
 BUDGETARY THEORY AND PRACTICE- 1 sri
FEDERAL BUDGETARY PROCESS

More interesting, however, is the role behavior observed in the bud-

getary process. The Office of Management and Budget appears to be more
mechanical and regular in its budget cuts than either the Department of
Agriculture or the Congress. The Department of Agriculture's role is to
"balance the extremes," increasing agency requests in the least assertive
category and reducing, the most assertive requests more severely than either
the Office of Management and Budget or the Congress. The authors also
note that very assertive agencies will sometimes violate the unity of the
executive be !get and take their cases before Congress, where they are often
successful Li increasing their budgets. The authors point out that some
agencies, are in a better position than others to be assertive. The more
aggressive agencies tend to have strongextemal support in the public, the
President, or the Congress.

15:1.3/78-2
"Discretion in National Budgeting: Controlling the Control!.
ablest" Lance T. LeLoup, Policy Analysis, Vol. 4, No 4, Fall, pp.
455-475.
This article examines notions of budget control at the Federal level,
although the issues discussed are relevant for other levels of the budgetary
process. Specifically, the article analyzes the concept of "controllability"
and attempts to identify the actual discretion available to decisionmakers in
annual budgeting.
LeLoup argues that the controllable/uncontrollable dicicntvy is not .a
useful one. It indicates how budget items may be changed but not which
items may -be- changed. A more fruitful approach, claims the author; ad-
o
dresses two questions: What are the parameters of annual budgeting and how
can they be determined? Within these boundaries, where does potential
discretion over expenditures ex, ;t?
In his analysis of budgeting behavior, the author observes that the
emphasis on budgeting as an annual phenomenon may mask the multiyear
nature of most stiending decisions. Thus, incremental models of budgeting
tend to minimize the fact that current decisions on revenue and spending
totals can limit the availability of future resources and hence constrain
subsequent allocations. Uncontrollable spending is examined in several
components: (1) fixed cost, (2) multiyear contracts and obligations, and (3)
entitlement programs and payments to states and individuals. LeLoup notes
that the identification of the location of controllable expenditures is in itself
insufficient to identify budgetary discretion. Political feasibility must also
be considered. The controllable portion of the budget represents set of
commitments to ongoing activities that are difficult for policymakers
ignore or alter significantly.

537:

568
 15 ,RI SOURCE ALLOCATION AND BUDGETING

Le.oup concludes that the Federal budget is locked in far more than the
usual estimate of "75 percent uncontrollable" indicates; he estimates that
between 90 and 95 percent of the budget is beyond control. through annual
manipulation. Also, at the Federal level, agency discretion in budget execu-
tion (i.e.,, throtigh carrying over balanceb, timing expenditures, and
obligating budget authority from prior years) represents an obstacle to
executive and legislativp control. The author believes that annual discretion
in the national budget is sufficient because most important decisions now
have a multiyear impact. A de facto multiyear budget process will probably
develop into an explicit multiyear budget process in the future. In the
short run, LeLoup, cortcludes, we should not expect or advocate major
reallocations.

15:1,3/68
.
The Politics and Economics of Public Spending, Charles L .

Schultze, 143 pp. (The Brookings Institution, Washington, D.C.).

.
This collectiOn of lectures is intended to demonstrate how systematic
analysis can coexist with the political process. The framework for Schultze's
analysis is.the Federal budget process of the mid 1960's, when the use of
plahning-programming-budgeting (PPB) spread from birthplace in the
.Department of Defense to theentirefederal Government. Schultze's bjec-
live was to examine how systematic analysis and long-range planning have
been applied to the Federal Government's civilian programs.
Schultze contrasts the "political" or negotiation mode if decision-
making, with is emphasis ,on incrementalist% with rational bu geting (in
the term of ,PPB),. with its emphasis on the examination of a wi t range of
alternative means toward some desired end, and he demonst tes how
analysis can be used to support the bargaining model of decisi making.
-Although the emphasis throughout the book is on systematic an lysis, the
k'iuthor demonstrates that he has an experienced sensitivity to th, political
environment. He firmly believes that the increasing complexity of social
programs demands more 'analytical conSiclertion in their design and man-
. agement. .
.

-Schultze's- arguments- -are -very- neatly presented. After -tracing --the

evolution of budget techniques, he compares rational decisionmaking (PPB)
with "muddling through," or incremental decisionmaking. The most
important contribution of the book is the discussion of the role of analysis in
political decisions and the future directions of analysis. By contrast, the
author clearly understands the obstacles to implementing the formal PPB
model in the Federal setting. Schultze coneludeS with some suggestionsior
political and administrative improvements in the decision processes. The
emphasis here is on the analytical design of incentive systems, a context in
which detailed decisions about programs can be made on a decentralized
basis.

538

569
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 FORMULA BUDGETING 151260

2.0 FORMULA BUDGETING

See: 3:2.3/79 Cost information and Formula Funding: New

Approaches, Richard H. Allen and James R. Topping, eds.
This monograph is largely the product of a conference concerned with
the impact of cost information on statewide budgeting and planning. Con-
ference participants recognized that with many state budgets determined in
some way by enrollment:driven budget formulas, it was necessary to
anticipate the budgetary impact of enrollment declines during the 1980's.
The monograph contains the text of addresses by two keynote speakers,
Ohio State University president Harold L. Enarson's "The Uses.an'd-Abuses
ofCost Information" and Maryland state legislator Frank B. Pesci's "An
Overview of the Issues in Statewide Planning and Appropriation Processes
and theRelationship of Cost Information to These Issues., From the Perspec-
tive of a State Legislator." It also contains case studies of formula- uSe.in
Florida, Indiana, Washington, and Wisconsin.
Enarson warns of the limitations of cost information and emphasizes
the need for poliCymak.ers to use means othetihan cost history alone to
predict future funding needs. He suggests a budget approach that considers
both fixed and variable costs. .Pesci provides a brief' overview of how
state-level agencies assemble the higher education budget, using the State of
Maryland for his example.
The best part of the monograph is`-the discussion of the four cases of
formula usage. The Florida case examines the community college sYstem-
cost study and the attempts to introduce a formula with fixed, variable, and
sentivariableCOSt components.- -Indiana's development and use of a base.
plus budget system with marginal- costing concepts is discussed in some
detail. The Washington case tells how the biennial-Washington. -Unit.
Expenditures Study, -an activity-based costing system, is used to guide
budgetary policy. Finally, the Wisconsin case explains how that state's cost
analysis is conducted and how the cost information is used in setting tuition
and fee levels, in alloCating financial resources among institutions in the
University of Wisconsin system, and in funding of the UWoystern. as.a
whole by the state. _

The case studies balance the historical:and political aspects of formula

development with discussions of the techtkical elements of the cost studies
and formulas. A number of policy issues are also presented. For example,
the problem of determining what portion of thedirect instructional budget
should be considered variable is,analyzed in the Indiana study; This case also
notes that historical costs change as the amount of available revenue
changes, and thus may not reflect normative costs. The cases also indicate
that a totally realistic portrayal of costs is extremely expensive to ac-
complish. may lead to a very complex -formula, and may threaten the.
understanding, and hence existence, of funding factors. Also, costs studies
539

5 "f0
 15 RESOURCE ALLOCATION AND BUDGETING

that reflect actual institutional cost behavior may encourage, state-level

officials to attempt to control the internal expenditures of institutions..
The auth?rs conclude that to develop new budgeting approaches, there
mushbe an iihpetus for change. Examples of pressures for change are a
sever*. decline in enrollments, a severe )loss of state revenues, and the
intelleOual,interest of professional staffs 4pd elected officials. The authors
highlight the tradeoff between formula accuracy and simplicity, and obserVe
that the desire to develop formulas that serve better during periods of
enrollment decline will probably lead to more complex formulas. Finally,
the authors believe that the fixed-and-variable cost approach as used in
Florida and Wisconsin probably is the most promising for a periOd of
enrollment decline.
This monograph is an excellent picture of the politics and technical
problems of formula budgeting.

15:2.0/78-1
A Review of Selected State Budget Formulas for the Support of
Postsecondary EducatIou21 Institutions, Cynthia A.-Linhart and
John L. Yeager, 114 pp. (Office ofyniversity Planning, University of
Pitetsburgh, Pittsburgh, Pa.).
In reexamining its Master Plan for Higher Education, the Common-
wealth of Pennsylvania reviewed alternative formula budgeting techniques
for possible adaptation in Pennsylvania. This 'report, which is the staff
summary of a task force review, is an excellent overview of formula
11
budgeting in this country. The major focus of the report is the technical
feutures of budget formulas, with some discussion of the processes as-
sociated with the development, implementation, and maintenance of budget
formulas.
Most of the report is devoted to summarizing the literature on the design
and structure of state budget formulas and reviewing budget formulas from
10 states: Alabama, Louisiana, Michigan, New Mexico, Ohid, Oklahoma,
-Tennessee, Texas, Virginia, and Washington. The budget formulas were
compared according to eight major categorieg of institutional activity, fol-
lowihg the framework established by the National Association of College
and University Business Officers for Educational and General Expenditures.
This comparison classified each formula according to three criteria: (1)
general approach ( i.e.. total entitlement or line item); (2) method of calcula-
tion (i.e., staffing standard, workload, or peccentage base); and (3) major
components (i.e., the specific variables addressed in the formula). An
appendix contains a written description and a mathematical representation of
each of the 10:state budget formulas,
The discussion of the development, implementation, and maintenance

540

57i
 FORMULA BUDGETING 0. 1 512.0

of budget formulas is brief and is largely a summary of the monograph by

Meisinger (15:2.0/76-1). The report provides recommendations for a Cow.-
monwealth of Pennsylvania budget formula, 'focusing. primarily on its
technical aspects. However, the recommendations du contain a considera-
tion of the process by which the formula might be implemented:

15:2:0/78-2
Formula Funding in the SREB States, David S. Spence, '23 pp.
(Southern Regional Education Board, Atlanta, Ga.).
Spence summarizes the formula funding practices in the 14 states
belonging to the Southern Regional Education Board and notes the changes
that have occurred in the formulas since the 1973-74 academic year. Data
from the 1977-78 academic year are compared to the 1973-74 formulas as
reported by Francis GroSs (see 15:2.0/73-2). The five basic functions
analyzed are:- instruction, academic support, general administration,
libraries, and plant operation and maintenance.
Spence indicates that 12 of the 14 states use some type of formula
funding system (the exceptions being North Carolina and West Virginia). In
comparing the more recent formulas with the earlier ones, he notes that, over
the 4-year period, the complex4 and comprehensiveness of the formulas
generally has increased.
In discussing his perceptions concerning the future directions for
formula funding, Spence assumes that states will continue to rely on budget
formulas as enrollments level and decline. This behavior is explained in part
by the anticipated increase in emphasis on accountability and cost-effec-
tiveness. Alsothe author observes that the increased interest in account-
ability is manifested in the transition from incremental budgeting to program
budgeting and zero -base budgeting at the state and Federal- levels. Spence
foresees that formulas will continue to become more complex to satisfy the
pressures for greater accountability.
Spence also argues that as institutions agressively seek their "fair
share" of the higher education budget in the face of declining resources for
higher edUcation, they will turn increasingly to budget formulas to justify
their claims. He believes that during relatively tight fiscal times, funding
will be based on a more rational knowledge of the cost and expenditure
patterns of higher education institutions. Finally, Spence notes that several
states are moving toward a system of marginal cost funding whereby
variable and fixed-cost bases are distinct, and he expects more institutions to
support, marginal cost funding as their enrollments begin to decline.
This is a very good summary and .comparative analysis of budget (
formulas used in the SREB states and is recommended for the reader who
needs to delve into some of the more technical aspect of the formulas.

541 572
18 RESOURCE ALLOCATION AND BUDGETING

15:2.0/76-1
State Budgeting for Higher 'Education: The Uses of Formulas,
Richard J. Meisinger, Jr., 266 pp. (Center for Research and De-
velopment.in Higher Education, University of California, Berkeley).
. This Monograph is one of a series that summarizes the results of a
3-year, 50-state study of the processes used by state agencies to formulate
the budgets of colleges and universities. This study provides comparative
analyses of the historical development and use of instructional budgetary
formulas in California, Illinois, and Texas. The comparative historical
analyses are used to develop a framework that explains the adoption and use
of budgetary formulas.
The central analytical and theoretical questions addressed by the study
are: (1) What strategies and counterstrategies are adopted by each organiza-
tion in -a- system of higher education that employs budgetary formulas (2)
What are the consequences of the organizational strategies and counter-
strategies for uncertainty reduction and the locus ofsbuclgetary control? (3)
What functions are performed and what dysfunctions result through the
application of budgetary formulas? The primary emphasis is on the inter-
organizational relationships between executive and legislative budget
agencies, higher education coordinating agencies, and institutions of higher
education. The work is an extension of Miller's 1964 pioneering study, State
Budgeting for Higher Education: TheUses of Formulas and Cost Analysis,
o

but focuses more on the political dynamics of formula use than on the
technical details of the formulas themselves.
The principal findings of the study indicate that the introduction of a
formula into a budgetary process requires sources of support for the formula
concept, an organizational frameviork for implementation, and a technical
base upon which to ground the formula. Changing a formula requires some
pressure for change (whether internal or external to the system of organiza-
tional participants), an organizational framework for adjustments, and
technical and data bases for the altered formula. Thy factors thht appear to
account for the dissolution of formulas are the condition of the state
economy, the degree to which the formula is manipulated by _the various
actors, and the inadequacies of interorganizational communications. The
study examines each of these factors in some detail.
The author concludes that all strategies employed by the state agencies,
coordinating agencies, and institutions to reduce uncertainty in organiza-
tional activities follow two model patterns: the shifting of uncertainty to
other levels, and the cumulation of excess resources in anticipation of future
contingencies. Furthermore, one level's strategies have parallel con-
sequences for other levels: the locus of budgetary control is shifted, and the
balance of slack resources at each level is upset.

542
57,3
 FORMULA BUDGETING 1 SILO

15:2.0/76-2
"Formula Budgeting: Requiem or Renaissance?" Charles E.
Moss and Gerald H. Gaither, The Journal of Higher Education, Vol.
47, No. 5, September/October, pp. 543-563.
This article is an excellent capsule summary of the formula budgeting
concept. The authors outline the basic classifications of budget accounts and
briefly discuss the historical events leading to formula development. They
define the term "budget formula" by drawing upon the earlier work of
James L. Miller, Jr. Current formulas are categorized according to the basic
computational method used: the rate-per-base factor unit, a percentage of
base factor, and a base-factor position ratio with salary rates.
The most important contribution of the article is the summary of the
advantages and disadvantages of formulas. Among the advantages,
formiilasTrovide an objective cost and productivity measure for comparison
between institutions, provide for a more equitable distribution of resources,
help to minimize interinstitutional and state-institution conflict, and ensure
that higher education gets its fair share of state resources. The diriadvantages
include the inadequacy of the linear approach to funding in'steady-state and
declining enrollment situations, the tact that formulas do not explicitly
address program quality, the leveling effect of formula-generated support,
and the failure of most formulas to recognize and fund nontraditional
learning or continuing education activities. The discussion of fordula
funding during enrollment downturns is particularly good.
The authors are optimistic that formulas will continue to be used to fund
higher education. Despite the disadvantages of formulas, no other method
currently meets as many of the needs of the budget process. However,
formulas will have to be adjusted to ensure that institutional support is Oot
seriously eroded when enrollments level or decline, and qualitative fa ors
, the
will have to be introduced, especially when enrollments decline. Final)
'authors note that current enrollment:driven formula's are not adeq to to
support outreach activities under conditions of stable and declining enroll-
ments.

.15:2.0/75
.Tonstrained Ratio Approach to Allocating Instructional Re-
Sciences,
sources," William B. Simpson, Socio-Economic Planning
Vol. 9, No. 6., pp. 285-292.
inherent
This article addresses the question of whether there is anything
would restrict faculty
in the way resources are allocated to an institution that
examines the efficiency
in developing new teaching methods. The author
all of which are
and innovation of four allocative approaches to budgeting,
formula procedures. He observes a tendency for inefficiencies to lead to
lead to lesser
additional budget support and for temporary accommodation to
support. Moreover, the author notes, "operational flexibility in the use of
543
574
O
 15 RESOURCE ALLOCATION AND BUDGETING
,
0
funs
t; s .. can at most assure the opportunity for innovation. Whether or not
.

ther is an incentive to innovate will depend in part upOn what, the effect is of
the innovation on the resources available in the subsequent years." The
fopus' of the analysis is the formula used by the instruction-oriented
"alifornia State University and Colleges system.
To improve the current budgeting procedures, the author proposes a
constrained ratio approach in order "to arrive at a level of instructional
faculty staffing for an institution for its continuing programs by an approach
which leaves the institution with the opportunity and incentive to exercise
C.
discretion as to the best operational use of the resources allocated to it, while
protecting the legitimate concern of the go'verning board . . . as to the
expenditure of resources." The proposed mathematical economic model for
generating the required number of faculty positions calls for a formula with
adjustable weights to be applied to projected enrollment at different lerrels of
instruction. Adjustments in the weights would be made by individual
academic departments to reflect the mix of instructional modes employed by .

the department. The author argues that the model encourages the effective
use of resources because it allows for greater awareness and consideration of
the costs of alternative instructional methodologies at the institutional level.
The mathematical model-ilearly explained, and the discussion points
to a number of important policy issues that Should be addressed when
developing any budget allocation procedure. -
0,,,...
15:2.0/73-1
"Formula Budgeting on. the Down-Side," W . K. Boutwell, pp.-
41 -50 in Strategies for Budgeting, New. Directions for Higher Educa-
tion No. 2 (JosseyBass, San Francisco).-
This brief article discusses the difficulties in' applying existing budget
formulas in times of leveling or declining r, nrollments. The author notes
three features of formulas that are harmful to institutions when enrollments
decline. First, most formulas are based on the average cost per student and
hence are linear in nature. The problem is that linear formulas do not
recognize the economies of scale principle (downward sloping average cost
curve). Second, most formulas have been adjusted downward because of the
economics of scale associated with large institutions. As fiscal demands
generated by increasing enrollments exceeded resources, formula ratios
Were increased to. reduce resource demands. Third, most formulas are basal,
on the number of students at different levels of instruction and ignore
differences among disciplines or programs. In particular, many formulas
ignore the number and variety of disciplines.
Also considered are management adjustments .that must occur' at the
institutional level along with budget reductions. The adjustments discussed
include personnel reductions, }hangs in policies governing tenure and
 FORMULA BUDGETING 1 8:2.0

promotion, and increased faculty development. The author concludes that

policies of
(as of 1973) the formulas, planning procedures, and management
most, institutions are still expansion-oriented. Regarding formulas, the
author does not propose solutions to the problems other than to indicate
factors to be considered in reworking existing formulas.

15:2.0/73-2
A Comparative Analyals of the Existing Budget Formulas Used
for Justifying Budget Requests or Allocating Funds for the
Operating Expenses of State-Supported Colleges and Universi-
ties, Francis M. Gross,. 1141)p., (Offic of Institutional research,
University of Tennessee, Knoxville).
This report. is an excellent summary of the technical aspects of budget
formulas in use during 1972-73 or 1973-74. The author surveyed all 50
states to assess the extent to which budget forrriulas were used and found that
25 states used formulas that confoimed to hi% definition. The followint
observations were also made; 21 states appliedfrormulas statewide; 23 states
practiced zero-base budgeting while 2 budgeted incrementally; and 21 states
used formulas to justify budget requests while 4 used them for allocating
appropriated funds among institutions. '-'

The author Provides a detailed comparative analysis of each formula

with respect to the following functional budget areas: instructional and'
departmental' research; organized activities related to instruction; libraries;
general administration and general expeue; organized research; extension
and'public service; and physical plant 4oration and maintenance. He alsO
recognizes the base (variable) and formula (fixed) factors used, the methods
,
of computation, and the extent of differentiation among academic areas,
levels of instruction, and institutions. He classifies formulas. according 'to
three basic computational methods: (1)0rate-per-base factor unit; (2) per-
centage base factor; and (3) base factor-position ratio with salary rates.
The author establishes a set of general standards of formula accept-
ability and seeks to evaluate dig various states iceordinglo them. This rating
of the
is not completely successful because there is an insufficient discussion
nontechnical dimensiOns (e.g., political or historical factors) that influence
formula development.
One particularly interesting observation is that 8 states used formulas.to
support'an "equalization policy" wherein all institutions were supported
from the same formula base, while 13 states followed a, fur.ding policy that
differentiated among institutions according to mission or location. The
author also draws an important conclusion in his study: no single formula or
combination of iirmulas could be designated as a national model because no
such device could reflect the diversity of institutional types and state systems
and
of higher education. Finally, the guidelines proposed for developing
545
576
 15 RESObite%ALLOCATION AND BUDGETING

applying budget tormulas,are essential reading-, for anyone involved in this

Q

activity. .

3.0 PLANNING-PROGRAMMINGBUNETING
See: :29:2.2/73-2 Program Budgeting: Universities, Ohio Board of
.
Regents. ,

This voluble 'is one of,a series, of Tamils designed to make higher
education admithstrators more aware of improved management techniques.
It contains general gukielines,' principles, and broad recommendatiOns far
good maragpment within universities and colleges, rather tha'n detailed and
specific procedures. The manual. should be'considered a Primer fsi those
with no previous experience with program budgets in the college or univer-
-sity-setting. .

The manual has two key sections and a set of technical appendixes. Th
first section examines the steps in developing a program budgeting system.\
The stages ate presented ;n cookbook fashion: idehtfy all ,seiurces of funds,
relate itfunds to expenditure accounts, develop clear-cut departmental
responsibility, translate program plans into depaitmental budgets, monitor
income and expenditures, and identify goals and Abjectives. This section
identifies a programstructure, disaisses the problems of identifying inputs
and outputs, emphasizes the importance of income projections, and
,

derhonstrates how tg translate progratti decisiOnslifito organizational bud-

gets. The program and costing structures discussed are based upon National ,ie!'
center for Highet Education Management Systems(NCHEMS) products._
The second major section outlines the implementation of a program
budget. The principles are presented in ertias intemal onsiderations,
external considerations, staff resources required for program budgeting, the
information data base and its maintenance,, and resource allocation
. analytical aids.
The technical appendixes include: the integration of a sample
7. budget with a program budget; the NCHEMS Program Classification Struc-
tore; a discussion of program measures; tife advantages and disadvantages of
various-1- ,iget 'preparation models (very useful); an example of -manage-
. inent b:, ,5ctives and evaluation; a sample !midget cycle and timetable;
sample program' budget data profile's; and a brief summary .of NCHEMS
products. The manual contains a'complete glossary of budget terms:

15:3.0/n-1 . .
4-
.PPBR:in Highet Education Planning and Management: Firom
PPBS to Policy Analysis, FredericlilE.Ilalderston 'And Geofge B.
Weathersby, '106 pp. (Ford Foundetion Program for Research in
University Administration, University of California, Berkoley).
This report di ''ases how the principles of planning-programming-

5467

57/
.
 r
t
PLANNINGPROGRAMMING-BUDGETING ,

.\ . .
budgeting systems (PPBS) tiave been adapted to the realm of higher educe; (

Lion. The-ieport has three pnliCiple sections. The first suminarizes the
principles of PPBS and traces the Federal and state experience with PPB in ts
the United States, including the role that the National Center for Higher
Education Mdnagement.Systeins (NCHEMS) 'has played in 'Introducing
feiitures of PPBS into ,higher education. Further, the authors-discuss the
applications. of PPBS to postsecondary education. 'Perhaps the most
significant observation Made.in this section is An the activity-oriented view
of programs ,and program elements (e.g.., department, sc.t.hool, or college
organizational units .defining program) rather than the objective-oriented
view (which focuses on output. me sures). has governed much of the sub-
sequentdevelopmtntof PPBS'in hi r education.
The second section, probbly"the n interesting, explores the.coh-
ce is Of PPB by examining "how irwtts -implemented- by-the -multieanipus
Un versity of Cillifornia.°By -1971, the use of PPBS by the State of California
to justify and negotiate thefallocation of resources, and by the Univeesity of
California for internal resourco4fidribution and prrtity allocation, had
.
diminishea'considerhbly. Other forms of analysis and decisionmaking dis-
Tplaced much of the PPB structure originally envisioned by participants in the
budget planning processes.
The third section 'asks how policy .analysis can be ,applied in the
academia setting, ilk analytical base for policy analysis is outlined, .in,
c ding information systems and analytical
models. To demonstrate hoW
.these tools are, employed, the authors prpsent
detailed ease study -of
ks:

year4ound-operations-at the Univeisity of California.--

from
In stimmary, the authors t)ncltide that the benefits to be gained
the
-the- forinnlisni -Of#,PPBSL may' not offset, the- costs of implementing.
ponderous. PPBS.. fnar:,inery,.. However, the use of analytical techniques
of considerable value to
aimed at specific policy'qu'estiOnsgan prove to be
higher education administrators.

I.
15:3.0/72-2:.,
Planning- Programming - Budgeting: A. Systems Approach to
1,

Managenient, Fremont . Lyden and Ernt,st G. Miller, eds. 423 pp.

(Markham Publishing Co.; Chicago). ,

,,,This book contains21 papers,iilof which arereprinted from other

sources. The papers are organized into eight sections: "Planning-Program-
.
ming-Budgefing%Systems (PPB) in Perspective," in which PPB is con-
.si'dered in ternis 'of its historical and institutional settings; "Budgeting and
the Political Process," which addresses how PPB relates to the political
process; "The Program Planning-Evaluation Base of PPB"; "Program
Design: Analytic TechniqueS;" which explains the rationale underlying
i
three of the major analytic techniques used in the PPB approach; "Relating
.

Goals to Systems," which examines the problem ofrosswalking informa-

547
es,

O
578
 15 RESOURCE ALt.00ATIDN AND BUDGETING

tit). n; "Implementing PPB," whiclidicusses the 'problems and experiences

involved; and "PP,B: -Critiques and 13rospects, ". which addresses
the
'pOtential of PPB rn the context of various schools of criticism.
C.
The introduction by the editors is particularly thoughtful.. They note
that the first. or blem facing an implementing organization is whether to
direct initial attention to developing a program structure or to focusing
'imalyr,ical Adis to be usedfor speci9c program issues. birectingattention to
skills developmenrwithout first developing a goals structure can be inef-
ficient. Ori the other hand, develiping a prtlgram structure is a diffieUltlask.-
The editors observe that one question facing developers of . program
structure. is: Should a program format be developed which wil replace
O ft.
existing budget formats? it is a question that must be answered 'arefully
because different -forrnats.yield different kinds of information, The editors
content offit .another problem Witlf-implementation 'relates to analytic
-e 'methods. The weight of systematically analyzed evidence is likely to draw
attention away .'from those- cohsitferadoni% which cannot Se' analyzed
rigorously.
Michael J. concluding paptiy,. "The Impact of Management
Science on POliticaf tecision Making," is 'an excellent surnmary of the
critiques of. PPB..' White also makes predictiondn, the future directions of
management science and operations research in civilian politics.
.
440.
(1
16:3.0/71 ,

'The Budget's New Clothes: A Critique of n,jng-Program-

--ming-Budgetingind.BenefitrCOSt AnalySii, Leonard Meewitz and
Stephen 11.Sosnick,r3.18.pp. (Markham Publishing Co., Chicago.).
This book, whiCh is one Of the most thorough critiques of tIPB avail-
able, -draws on -much of the extant PPB--titerature-:-The authors discuss-the -.-
five elements 'of PPE,: program acCtunting, multiyear costing, ,detailed
description of activities, zero-base budgeting,.and the quantitative ev2iluation
of alter6tives (or cost-benefit analysis). The discussion is framed by the
Bureau of the Budgelguidelines for PPB.
The authors devote a _late part of the book to an examination of
cost-benefit analysis. They-survey the methods that have been suggested for .11
calculating benefits of particular types of expenditures, including'among
others: navigation,.irrigation flood control, health, and iviademie and
vocational education, Two'case studies of large public inypsfment projects
are examined:iising'cost-benefit analysis: the U.S. Supersonic Transom,
and the California Water ,Plan, The authors are pessimistic about the use- ,
fulness of cost-benefit 'artalyis for projects of such )ize aixt'complexity.
Also, the criterion most often used in cost,benelit analysis gives exclusive
.attention to economic efficiency, but.it is diffiult to reach agreement on an .
alternative criterion.

. _548
 PLANNING- PROGRAMMING - BUDGETING :
1.5? t0
the grouping of
The authors, note some positive features,of.PPB: ( I)
organizations by function is one way w obtain output - oriented cost informa-
eases when
tion; (2) thZestirnation of future.ex'penditures is useful in Special
quantitatiVe evaluatiOn is reasonable
a multiyear commitment is made;'and
they also observe that
wheys it is necessary to prescreen policy alteinatives.
combine the best features of
preparing alternative ,budget requests. would
detailed description and zero:base budgeting..
is unwise to impose
The negatiVe conclusions reache4 are that it
for established pro-
program accounting, to project .futitre expenditures
budget requests without
grams, to prepare statements of purposes, to justify
perform, quantitative
Deference to previous appropriations levels, or to
accounting
analyses for all situations. The, authors argued that program.
reflects arbitrary cost,
generates information' of limited value because, it
'and- zero-base, budgetingareyiewed as
allocations: Both multiyear costing
approaches. Quantitative
costly, especially when compared with alternative
projects than in
analysis is .wen to be more effective in choosing afnong
deciding whetheriir not to undertake them
15:3.0/10-1 ,
Why Planning, Prograniming; Budgeti *Minis for Higher
loterstate Commission
Education? James Farmer, 24 pp: (Western
tor Fljgher EdUcation,. Boulder,. Colo. ).
kind' 61. resultsthat can 'be
This .brief volume is concerned With the
education. The conceptual dif-
expected from the use of PPBS in highei;
techniques--when outputs capnot
--ficulties Involved in applying the PPBS inputsare
'always be identified and are the 'product of different-joint
adds .strength to the
recognized. Knowing the limitations Of the system
-cif PPRS: to provide'ad-
author's several examples o the effeetive use's
resoilive_requiremintc
--ditional insjr,ht into program -changes by identifying
.
understanding of objectivei'and
and to develop prograM costs td imprbve
PPRS are fisted: through planning .
outputs. Three methods of implementing
"turn-key" changeover.
studies, evolutionary deVelopment,.and the

1 2.0/70-2
Publirfnstitu-
Planning, Programming, Budgeting for Ohio's
Millett, 216 pp: (Ohio Board
tions of Higher Education, lubo. , .
.

Regents, Columbus). .

factors or aspects of panning.-

In setting forth certain common
of higher educaticin,
prograniing-budgeting for Ohio's public institutions
of Regent's position is not to
the author emphasizes that the Ohio Board
organization, and output for any
II
prescribe estandard pattern of purpose,
only that patterns of purpose,
individtial institution. The Board urges
determined
organization, and output be consciously. ,. . and clearly. delineated ,
1 ,.. 1
A .
, by individual inktittations. wi
 15 RESOURCE ALLOCATION AND BUDGETING

The first chapters describe the general purposes of higher

education and
its inherent organization to utilize resources 4nd establish objectives.
Some
rather straightforward quarititative measures of the outputs of .a higher
education enterprise are described, together- v.fith.,associated-programming
procedures. For the purposesintended, the kg chapters on budgeting
-
inputs
for 'current Operations and the planning and programming of capital im-
provements are adequate. A Aore rigorous defense ,of suggested standards
would, hov:,ever, be welcome.

15P.0(69-1 -
1..411
Program Budgeting: Program Analysis and the Federal Budget,'
David Novick, ed: , 382 pp (Holt:Rinehart & Winston% New York).
This book is an integrated collection of essays by 1)
authors who
examine *the prin,:iples of program budgeting and its practical application.
The editor presents an introductory chapter .on the origin
and history of
program budgeting. The remainder of the book is organized into three parts.
Part I distusses the role of budgeting, within the larger scope of
govenimental decisionmaking. Previous efforts at budget reform are
detailed as background to a discUssion Of the conceptual
frameWork of
;program budgeting Particular attention is given to the use of cosi-benefit
analysis, the' most prominent analytical tool in the program budgeting
- arsenal.

Part II traces the development of program budgeting in thkDepartment

of Defense. The authors discuss a limited number of illustrativeexampks
of
how the concept can be adaptedrto other areas of the
Federal Government,
including space, transportation; natural reS'ources, education,
and health.
The emphasis in this section is on the contribution that,
program budgeting
makes in structuring the p;,obkm and in assembling and analyzing
statistical
slate.
Part lIl addresses- the implementation and operation of the program
budget. The focus is on potential problems and limitations
involved in the
implementation of progtam budgeting, and on wpys to overcome these
deficiepcies. The essays by Rol ad N. McKean and
Melvin Anshen
("Limitations, itisk&i and Problems") and Georg 4A. Steiner
("Problems
in Implementing Program .Budgeting ") are pant ularly insightful.
This
section conkides with a discussion-. of the implications of program budget
operations for the organizations and individuals whose works would be most
affected by its

15:3.0/69-2
"SymposiuM on PPBS Reexamined," Public
Administration Re-'
view, Vol. 29, No. 2, March/Xpril, pp. 111-202.
6

This symposium; composed of eight papers, i4 a follow-up to the

Public Administrative Review 1966 PPBS Symposium
(15:3.0/66): Allen
gi+'
550-
 Ate

PLANNING-PROGliAMINiNO-BUDGETING 1513.0

schick's paper, ''Systems 'Politics and Systems Budgeting," continues with

the basic message: incremental change through the interaction of partiian
interests. is inadequate for dealing with the complexity of pitbleMs in the
United States toriay..Schick.contends,that'arialysis must be applied to these
problems and that planning-programming-budgeting systems are bne way of
doing this. Bertram M. Gross, in ''The New Systems Budgiting,1? presents.
an overview of program budgeting, doting in'partidular that it must be
reshaped to fit differen'i conditions and environments and drat PPBS is an ti
analytical framework rather than-a technique. Yehezhel Dui comments
upon the "Si hick and Gross pliPerS, observing that PPBS Must be considered
within a brdad framework of efforts to improve ttie publiepolicyrnaking
'
system.
C.W, Churchman Schainblatt present a particularly insight-
ful paper on "PPB;,171div Can It Be Inriplemented?,"-in which the empirical
focus' is on state-level implementation. What makes the paper -very
.interesting is 'that Churchinan And Schainblatt show how an anplyst tries to
look at hifi organization and how this analyst interacts with the managers.
Aaron Wildaysky plays the, role of devil's advocats in, "Rescuing
Policy Analysis frail PPBS." This is another of Wildaysty.rs4papers that has
become.a classic, and it is recommended reading for all people interestrdin
budgeting. Wildaysky holds to his contention, made 3 years earlier, that
PPBS would run up against serious difficulties. He explains why the De-
,
partment of Defense was a bad model to use for the governmentwide
implementation Of PPBS. Wildaysky goes so far as to say. that no oneknows
how to do program, budgeting, and argues that the fixation of -PPBS on
program structure leads to an emphasis on data collection at the expense of
' Policy analysis.

15:3.0/66
"Planning-Programming-Budgeting f Symposium," Public
Administration Review, Vol. 26, No. 4, December, pp. 243-310.
This sympOsium contains six papers on various aspect of PPB: "The
Road hi PPB: The Stages of Budget Reform, by Allen Schick; "Toward
Federal Program Budgeting," by Verner Z. Hirsch; "The Planning ,Pro-.
graimming-Budgeting System: Rationale, Language, and 14,41144ation-
ships," by Samuel M. Greenhouse; "A Management Accounts Structure,"
by Francis E. McGihot ery;. "The Program Budget and the Interest
re Rate for
Pi.blic Inivstment," by Robert L. Banks and Arnold Kotz; and "The
Political Economy of Efficiency: Cost-Benefit Analysis, Systems Analysis,
and Program Budgeting," by Aaron Wildaysky. .

The papers'by Schick and Wildayskihave become classics and should

.be read by anyde interested in budgeting. Schick traces the evolutiOn of
budgetary reform in the United States through three distinct stages control
orientation, management orientation, and' the planning orientationand
551
Q
 15 -
RESOURCE ALLOCATION A ND RUDGIRING

, notes That with PPBS, the liudiet, orientation shifts from incremental to
; f comprehensive, 'the emphasis in budgeting shifts from justification 40
analysis, and the usual bottom -to -ton information band decisional flow' is
.

'reversed. a
Wildaysq is perhaps tine foremost &Ric, of PPM, and some ,of the
reasotts are established in his paper. %examines the underlying economic
. :apd pOliticakassymptions ofcost-bone t lhalysis; disaisses the limitations
of cop-i)enefit analysis, and argues thOt cost-benefit analysis has had mixed
results. Program blidgeting is.viewed as a :Form Of political systems analysis..
Consequeritlyj Wildaysify diScusses the underpinnings of systems analysis,' .
noting that a distinguishing feature. is that the objectiveiiere either not known
or art subject to change. Wildaysky concludes that even with a modest level .

- of cost-benefit analysis, it becomes difficult to maintain pure not ion's of

efffciency. Moreover, he believes that economic rationality CannOraisphite ..*
political rationality...

4.0 ZERO-BASE BUDGETING

15:4.0/78
"Zero-Base. Budgeting in Georgia State Government: Myth and,
Reality," Thomas P. Lauth, Public Administration ReviiwAol. 39,
No. 5, September/Octobe, fp. 420-430.
Recently, considerable attention. has been directed toward the use of
zero-base.bUdgetifig techniquiS in Georgia State Govemtnent. Georgia wa'
probably the first major public sector setting to introduce zero-base bud-
geting, and much has been made of its successful implementation. Thotnas
Lauth's article summarizes his intensive research into the implementation
process.
Lauth argues that zero-base buidgeting has been only marginally effec-
tive in Georgia and that the initial claims made on behalf of the technique
were exaggerated.'He notes that the actual use of zero-base budgeting was
substantially different than the Caricature presented' by Jimmy Carter as
Governor of Georgia and 'as presidential candidate. lit Georgia, zero -base
budgeting is a set of budget Reparation techniques designed to improve
managerial control over agency funding requestS. Budget requests for pro-
grams are formulated as decision packages, which are reviewed and ranked
in order 61 priority at each operating level within. an organization. It is
assumed that the ranking process *ill focus attention on-those packages at
the margbf.
Lauth collected his data largely through interviews. Most respondents
desCribed their approach tobudgeting as incremental, with little attentidn'
directed toward the budget base. Programs and agencies arc not ontrial for
their lives an nually.'Lauth identifies six political Contraints on the budgetary

552

5Q
 ZERO-BASE BUDOETING 1 15.14.0
r

process that promote incremental approaches to budgeting in Georgia: (1)

constitutional or statutory requirements; (23 public ettpectations that gov-
ornmental activities will be continued at close to existing levels; (3) demands r.

from interest groups concerned with the funding of new programs or the
protection oth existipg ones; (4) the differing roles of central budget office
personnel and agency budget officers; (5,Iegislative budget. practices and
procedures; and (6) the sequiienients Of intergovernmental grant -in -aid `,
programs.
Apparently zero-base budgeting has improved the quality and quantity
of information available to managers about. the agency operations, in par.
because it requires greater justification for funding requests than before.
Also, zero-base,budgerhg has spawned a greater interest in evaluation.
.

15:4.0/77. .

Compendium of Materials on Zero-Base 'ffudgeting in the States,

Sidwommittee an Intergovernmental Relations of the Committee on
.
Government Operatioith, United States Senate, 384 pp, (U.S. Gov-
' ernment Printing Office, Washington, D.0 .). .

The compendiUm containS,16 excerpts or entire papers and documents

dealing with the implementation of zero-base budgeting, primarily at the
state. level. The quality of theentries varies widely from thorough research
pieces to state -level instructions for preparing and 'subtnittinfbudget. re-
queStS. However, for the reader who is not yet disilluponed by the gap
between the budget process improvements promised by ZBB and the actual
results, this volume will provilea reasonably well-rounded education.
The volume includes Allen Schick and Robert Keith's,"Zero Base
'Budgeting in theltates," a summary of a national survbyof Znpractices
in state*government as 1976. The study is largely descriptive, presenting
summaries of the experiences of states and experiences and intentions of
non-ZBB budgeting states. Schick and Keith note that.ZBB, in practice., is
more a form of marginal analysis than a requirement that the budget be
assembled from the ground up each budget cyacl.,
° r article, "Zero,.
The compendium also includes the I970Peter A. Pyhr'
Base Budgeting," which stimulated Jimifiy. Carter to introduce 'ZBB
techniques into Georgia State Government. The paper is brief; but providei
a good sampling of Pyhrr's early ideas on the subject. Somethineof a'
ce,mterbalancing perspective appears in Aaron Wildaysky and Arthur
Hanimann's.Classic, "Comprehensive Versus Incremental Budgeting in the
Department "Agriculture." Although they analyze comprehensive bud:.
get i ng experience rather than one utilizing zero-base budgeting, Wildaysityl
and Hamman identify a number of weaknesses that are relevant to either
fl
situation.

-i-
553
584-
 11E.SOURC ATION AND BLID6:TINO

e 'volume contains ind4pth analysis of the implementation of ZBB in

----:three states. Excerpts from George Samuel inmier's "An Evaluation of
the Zero-Base Budgeting System intovetnn ental Institutions," indicate
that the intnxitiction.of ZBB improved the budg tprocds veryi Ude, if atall.
.Similarly, an excerpt from Roy Lee Hogan's 1 aster's thesis, "Zero-Base
Budgeting: A.Rational tic Attempt To Improve the Texas Budget System,'
.
notes that the Texas BB experience was not particularly successful,.
Michael J. Scheiring is somewhat less objective in discussing the New..
Jersey experience. "Zero-Based Budgetingin New Jersey," but points out a
number of shortcomings f-the system.

. ,

15:4.0/ 1 Vd.

7.erolllase Budgeting: A ti!

ating,Expeitses, Pete A. Pyhrr, 231 pp. (John Wiley & Sons,' ,i,
York). ..
This book is the Original "bible' for administra. tors interested in the
implementation of zero-baSe budgeting systems. For those policymakers
who still believe that ZBB can make pod on its, promise to revitalize more
'traditional budgeting processes, this book is required reading. However,
there is an expanding body of literature that identities the. serious obstacles
encountered by states, agencies, and organizations in. iipplementing zero=
base budgeting. . .
.

Py,hrr's book is organized into 10 chaptets.and 2 appendixes. Chapter

1, "The Zero-Base Budgeting Process," and Charter 2, "implementation
Problems and .Benefits of Zero-Base Budgeting." present an overview of the
.methodology. Chapter 3, Where ShoUld Decision. Packages Be De-
Ifivel oped." Chapter' oir "Format of Decision 'Packages." and.thapter 5.
"Procedures for an Effective Ranking- Proces," diseusS'the creation and
ranking of decision packages and the discrete activities and functions that are
the basic, building blocks for ZBB. Chapte 6. "The Dynamics of the
Process," describes how decision packages can be modified or deleted
without upsetting other packages.or rankings, how decision packages for
--new -activities or programS can be added, and how rankings can be altered to
reflect new priorities. Chapter 7, "Managing the Zero-Base' Budgeting
Process," discusses the integration of: ZBB into the broader adininistrative
activities of an organizatiok. ..
f, The similarities and -differences between zero-base budgeting and
pfannink-progriimming-budgeting are outlined in chapter 8, "Zero-Base
Budgeting and PPB." Pyhrr discusses the problems of implementing PPB
and argues that ZBB can be used to fill theeritiCal gaps and-reinforce PPB.
However, he does.n.ot identify the problems, that might be experienced when
implementing zero -base budgeting. Chapter-9, "Computer Applications,"
describes`how to Uge a computerto process a large-volume zerb-base budget,
.
.. _::, ,,

554
 ,3

ZERO -BASE BUDGETING 15t4.0

.

system. Finally, Chapter 10, "Zero-Base Budgetng, aild the Management

Process,'; provides an:overview of the impact of zero-base budgeting pp the
continuous effort to improve operations and profitability.
Pyhrr drawson examples from his experience at Texas InStruments 'and
from the experience of the Stated Georgia. These examples are helpful in
understanding some of the more technical aspects of the zero-base budgeting
process, but omit The broader political context within which the budget is
developed and implemented. This omission is significant, because it
indicates an insensitivity to the'teal constraint% that an administrator will
experiegce in attempting to implement zero-base budgetitig.

,3

555
58,0
t,

Student Characteristics
and Development

Alexander IN. Astin

*assisted by Patricia P. McNamara

At all levels of higher education, the decisions of Administrators

and -planners-regarding policies,- programs,-and practices affect
dents. Far too many educational decisions appear to be made without
reference to -their probable and of ten predictable effects on student
development.. The literature reviewed here consists of research and
'descriptive studies that have examined student change and develop-
mein during the undergraduate years. While some authors specifically
discuss the implications of Their findings for educational planning and
policy and present recommendations,, others do not Nonetheless, .

informed planners should -be familiar-with these studies- -and their

relevance to the planning function..
, Although the literature on the impact of college on students is
voluminous, much of the research is limited in scope and suffers from
-.methodological rnadequacies. To facilitate access by educational
planners and administrators to studies in this, topic area, develOp-
mental studies of general interest and relevance have' been selected
and important data,blises, analyses, and ttibulationg are presented.
References were,, selected for their focus on student . change and
development in college, particularly in the arieas of aspiration and
achievement. 4 -

557
587
1.1
 IS STUDENT CHARACTERISTICS AND VEI ARMEN"-

Dev,elopmental Studies. pit najor studies of student develop-

ment do not..follow apattern ttitit permits classification by such futon",
as outcome criteria, Stud ('characteristics, or types dlinstitutttins.
Many studies involve Tidtiple outcome vriteria (both cognitive and
affective), diverse st)...fient populations, and a variety of institutional
types. Major studies do: yob', however, in terms of-the investigalor's
orientation, toward the independent variables (college environmental
characteristics). For classification purposes, three Major categories
can be identified: ( I) multi-institutional studie' s theat examine the
impact on students of institutional characteristics, such as size and
control; (2) studies that focus on the impaiet of ifilividual ivitutions
(usually
. one or a limited number); and .(3) general developmental
, ._ _.__ _

studies that do not focus primarily on the comparative impact of

. institutions or institutional characteristics.
Descripttie Stiidies.,.luid Dais Sources. COmperidiunis of
normative data and analyses of descriptive student data are ns'efulin
defining *Student fharacteristles and in examining student change and
-development during college. The data sources section briefly de-
'scribes important data bases' that are available and can pikivide
information relevant to the topic area.
Other important liter ture related to this topic area can,be found
under Topic 4, Educational OpPoitunity; Topic 17, Student Financial
-Assistance; Topic 18, Work and Edueation; Topic.19-,
Articulation /Retention; Topic 22, Community Colleges: Topic, 24,
curriculum; Topic 34, Lifelong Learning; Topic 37,'Student Affatrs:
and Topic --38-,- Teaching and Learning

TOPIC.OK;AN IZMION
!,7

16 Student characteristics and Development

1.0.. Developmental Studies
1.1 Impact of InstitutionalCharacteristics
1.2 Impact.of individual Institutions
1.3 General Developmental Studies
2.0 Descriptive Studies
3.0 Data Sources

558

'I
 1,

DEVELOPMENTAL STUDIES-IMPACT I Gresi

OF INSTITUTIONAL CHARACTERISTICS

DEVELOPMENTAL STUDIES

1.1 Impact of Institutional Characteristics

16:1.1/81
Minorities in America; Higher Education, Alexander W. Astin
(Jersey ; Bass,. San Francisco).
This empirically based report assesses the progress that American
Indians, 'filacks, Chicanos, and Puerto Ricans hive made in higher educit-
tion over; the past .decade or so, "exarnittes their merit Status, identifies
remaining barriers to equitable representation. and suggests ways in which
these barriers -can be -dealt-with_ most effectively .LThrotigh _secondary
analysis of national data bases, the author provides a picture of the flow of
students through the educational system, of the points at which talent loss
occurs through student attrition, and of the distribution of students by major
field at various postsecondary levels. He also examines trends over time to
assess the extent anddirection of change in educational representation. The
hierarchical structure of the higher education SyStem and its implications for
minority studints' access to financial and educational resources are dis-
cussed, with particular attention given to the use of standardized tests for
screening and selection rather than as diagnostic instruments for assessing
student needs and measuring student development.
The report isbased on_analysis of IOngitudinal data, collected from over
10,6:10 individuals who entered college in fail 1971 and who were re-
surveyed in winter 1980; todetermine whit factors influenced their educa-
tional attainments. These analyses examined the influences of personal
characteristics, high school experiences,beliefs and attitudes, educational
and career goals, sources of and concern about college 'iinancing, and
college chdracteristics.
A historical overview,ik description of government policy and pro-
gram support for minority p 1p n_in higher education is followed by an
analysis of the impact of these efforts on miicority_eklucationaL representation
and achievement.

16:1.1/78-1
increasing Student Development Options in College, New Direc-
tions for Education and Work, No. 4, David E. Drew, ed., 106 pp.
(Jossey-BasS, San Francisco).
Articles in this volume examine the impacts of college on the develop-
ment of values, identity, and plans for work and family roles of young
adults. 'Three chapters focus specifically On the unique needs of women
'students and on the ways in which collt ge appears to affect their aspirations,

559
58 9 .
 16 r t DENT CHARACTERISTICS AND DEVELOPMENT

self-esteem, career plans, and occupational choices. Special attention is

given to the instiunipnal implications of these research findings, personal
ohservatIons, and -theoretical conceptualizations to enable educational
policymakerksto .use the idtormation and soggestion presented by theSe
scholars and researchers in reshaping the college experience to make it more
meaningful, humane, and cohstruetiv.e. Suggestions for further reading in
the area ofstudent development are presented. .

16:11/78-2
Tittetis of College Experience: An.Empirical Typologyif Stu- /
dents and College. linteractioy," Carol E. Christian, 131 pp. (Uri-.
published Ph. D.-dissertation.,=-U,niversity of California, Los-Angeles)r
This study investigated different patterns of college rtiperienee and the
educational outcomes associated with specific i!'t,eractions between student
types anti .heir college environments." The study was also intended to
develop an empirical typology of entering lkshmen that could be used to
study -college impact and to test the applicability of "reference croup"
theory to the undergraduate campus social environment. Thi typ i&gy of
freshmen, developed by analysis of 100 student' characteristic variables for
51,7(X). entering college freshmen, itljntified 12 freshmen "types".
l.ongitudigal collegeimpac analysis was conducted for five of these types:
business leader,skocialite, cholar, hedonist, and religious. Almost 5,((X)
--students for-hom-1.96 reshmen and- 1970 follow ufidata were available
could be categorized in at least one of-the five types.,Multistage stepwise
regression i-Aalysis was used to test the study's hypotheses. -0
The author obtalned'only partial suppOrt for her hypotheses:that: (4)
reference group impact would be increased for. students whey experienced
'success" as defiped by the reference group. After examining the negative
results, the author concluded that the student type measures 'are-appmpriate
and the theoretical constructions are valid;.the problem apparently resulted
from insufficiently specific and possiblY inappropriate reference group
measures. Both theory and student typotogy are seen as Useful toolsior those
Concerned with studying and maximizing college impact on students,

See :: .24:1.1 /77- 1..Four Critical Years: Effects of College on Beliefs,

Attitudes, and Knowledge, Alexander W. Asrin.
Thig analysis of the impact of college tin studentS is based on Tie first-10
yearsAl an ongoing national research project. LohgHtUdinal data from
200,0(X) students and 300 institutions,,rdpmeruing all types of colleges and
universities have been-weightedO approximate the results that would haye
been obtained if all first-tiine, full-time freshmdn entering the nation's
ihstitutions of higher education had Participated in the freshmen and follow-
up surveys. Multiple regression, Used. to examine the effects of the

566
51)0
 DEVELOPMENTAL STUDIES. IMPACT 16i1.1.
OF INSTITUTIONAL CHARACTERISTICS

,..cpllege enperience on more than 80 different outcome measures of attitudes,

Ir
values, aspiration1, behavior patterns, persistence, achievement, oompe-,
tericy, eitreer development, and satisfaction. The impact of ollege
chaiacteristics.g., size, control, selectivity) and collegiate experio ces oa
i
student outcome measures was assessed and, by comparing student in tering
of the degree and intensity of their expt sure to college, purely-m. turatiOnal
changes were fieparated from those changes attributable/to college
extperiences. . ,. . /
The sty's findings are specifically relatedlo curjtt trends,in higher
education, such as the expansion of the public *tor, the increoe in
institutional size, the proliferation of communityssifleges, open admissions,
thideemphasis on the residential eXperience,,and the decreasing number of
Z
single-sex institutions. 'This'analysis leads the author to suggest that many of
these recent changes are detrimental to student development. For example,
the data indicate that-commuter students who/live at are more likely to
drop out of college and to express less satisfaction with their undergraduate
experience than students who live on campus, that students who enroll at
. 2-year colleges' substantially reduce their'chances of earning a bacheluPs',.
-.degree, and that single-sex colleges appear to have uniformly positive
effects on their students. The author discusses the implications of these
findings for change in educational policy and practice ih the final chapter and
offers practical suggestions about how institutions can better serve theirs-
students; . . -t)

16:1-.4/75-1
The Power of Protest: A National Study of Student and Faculty
Disruptions with Implications for the Future, Alexander W. Astir),
Helen S. Astin, Alan E. Bayer, and Ann-. S.v-Bisconti. 208 pp.
. (fOssey-Bass, San Francisco).
This' book was written after the campus unrest of the late 1960's and
ver;early 1970's in ,the United States lad subsided, but it is based on
'empirical data collected as part of a comprehensive and controversial 3-year
study conducted in the midstopf the period of unrest': The authors are thus
able to relate their findings to present students and campus environments and
to consider implications for possible future unrest.. t,
The analysis. focuses on three issues: ( I ) the relationship between
campus unrest and subsequent changes in institutional policy and/or pro-
grams; (2) the characteristics of students, faculty, and institutions associated
with the occurrence of campus protest; and (3) the impact of protest on the
attitudes and behavior of both participating and no9pailkipating, students.
The primary research methods employed iti the, kt ',Were ,multivariate
analysis of longitudinal survey data and intensive case stu s of 22 institu-
tions; three case studiestare. presented in detail. The problems tudying a
volatile social phenomenon during its occdrencre also discussed.
.

561

59i
 le STU DENT' CHARACTERISTICS' AND DEVELOPMENT

0 ,,
,-The authors conclude. that campus .unrest is likely to persist. as a
syrrfOtom of ,a cumber of unresolved issues. The 'book seems most ap-

li
propriate for planners and policy makers who wish to ufiderstand the links
between past unrest and today's - opus, the ways in which- protest can
it .

retard or a'co9tuate. general colic i effects on student

.
behavior and at-
', titudes, and why an institution may be vulnerable to protest.and how it might
best respond. ,
, .
1.6:1.1./75-2 o

Education, Occupation, and Earnings: Achievement in the Early

Career, William H. Sewell and-Robert M. Hauser.:237 pp':.(Aca-
demic Press, NeviYork)..
This book attempts to chart the complex process by -which a-Young
-man's social origins influence hit capacities and, achievement in educa-
tional, occupational. and economi%spheres. Poicusing on earnings as the end
product of the achievement process,_ the authors seek to determine whether
and .how factors other than "perfornianee in an'occupational rule influence
earnings and help explain the wide variation in earnings among members of
Aparticulargroup.
Data. were collected throdgh survey questionnaires,frOm a large pro-
bability sampteof Wisconsin high school seniors in .1957 and from a random
subsample of this group in 1964. Social Security earnings information for
the period 1957.1967 were obtained for fnales{'and their parents. The analysis
'is- based -largely on--an achievement model that links socioeconomic- status
and academic ability with educational achievementS and occupational at-
-tainments by -means of social. psychological variables.
.The-authors examine a=numberofcritidil relationships:. the intluenceof
socioeconomic origins on achievement, the role: of social psychological
) factors mediating between: socioeconomic origins and achievement, the
effects of the type of college on 'occupation and earnings, -and the cir-
cumstances under which ability actually affects earnings. These analyses.
..._which explore the cause and tonsevencewfin highlightthe
- .

faciorial complexity of the achievement process..

Althougl} the study utilizes male subjects from a single state who were
0 high school seniors in 19541; the authors believe that the basic process -Of,
socioeconomic achievement. found for this sample probably can be
generalized to apply to the nation as a whole.

See: 24:3.2/7.4 Commuting Versus Resident Students, Arthur. W.

\Dickering. .. .
Interest in the impact of college on student learningand development,
, the problem of fuRding, construction: and maintaining college residences,
and the role of the residential experience led Arthur Chickering to examine
differences ,between commutintancLresident. students in entering, charac-.

562
 se

DEVELOPMENT STUDIESIMPACT 1611 .1

OP INSTITUTIONA CHARACTERISTICS

teristjcs, college experiences, and educat nal outcomes. The author pro-
videis a context for the research findings bj, a iscu 'ion of prior research and
of institutional responses to changes in society he student population.
Primary and econdiry analyses of national'data on entering freshmer! and I- /
"and 4-year followup, studies of this population collected by the American'
Councirtin Education constitute the book's research base. '
The author found th4t there are significant 'fits accnied by student;
who go away from borne to college and that ablean *fluent.students are
more likely td go itway to college than are less able and affluent students,
only widening the initial gap between the two groups, He concludes that the
concept of equal access to higher education needs to be expanded to include
.access to ressideritial facilities during undergraduate edcuatter
_ _The author identities-- three. majorgroups,olitew .studentst.those from
lower socioeconomic levels with poor academic records, students front the
inner city, and adults pursuing some kind of further edOation. The new
students are more likely to be commuters than residential students. The.
resident students tend to become more, fully. involved with the academic - 0

program and the as§alated intellectual. and social activities of an institu-

tional environment than do commuting; students, thereby developihg rela-
tionships that reinforce educational andtmotional growth.
the author relates his findings to basic educational and developmental .

priciples and makes mommendations designed to -strengthentheeducu, ,

tional experiences of all Students, but primarify commuters. These recom-
mendations relate a sound 'Match between the 'needs and
purposes of students, learning resources, and educational influences; better
information about higher education _systems and individual insjitutions;
more careful instructional planning related to the abilities and needs of
students; and a -wide range of available learning resources:- These- recom-,---
mendations do not require large capitaltxpenditures:and could be imple-
mented by existing institutions as well as by those developing new
approaches to higher education..
A

. 16;1.1/71 ;

Predicting Academic' Performance in College, Alexander W.

'Actin, 299 pp. (Free Press, New York).
This book approaches the subject of academic'achievement and attri-.
tion during the first ye' of ,college from it very practical perspective. It
examines how .a studer s acadetnic performanceln college and 'chanc-es of "k
dropping out can be predicted from his or her academic and personal
characteristics as a high school senior, and how characteristics of the college
itself affect the students' academic success and survival. A seriovf tables
-provide infoimation that would enabje a student to predict his or her
expected freshman grade point average, chances tin 100) of obtaining a "B"
_
561

93.
 ,
111 STUDENT CHARACTERISTICS AND DEVELOPMENT

or better average, and chanceS (in 100) of dropping out of school before the,.
second year of 'college at each of 2,300 different colleges.
Infokmation provided by students wha-cOmpleted survey question-
naires as freshmen in `1961; 1965, and 1966, and follow up obtained I year _.v.
later, proVided the bails for three major types of analyses: (I) prediction of
freshman' grade point average. and dropping out from various Student
characteristics; (2) the search for ''mqderator" variables to improve'predic-
tion within individual colleges; and (3)\ the de elopment ofseparate predic-
tion formulas for colleges at different levels f selectivity: Technical details
on the sample, analyses, and construction a &interpretation of the tables are
provided in appendixes.
\
The EducatiOnal and Vocational llevelopment of College Slui
I
dents, Alexander W. Astin and Robert J. Panos, 2.11 pp. (American
Council on Education, Washington, 'D.C.). ,

This volume reporton a study undertaken to assess the significance of

institutional diversity in the production of skilled labor' by comparing the
effects of different college environments on undergraduates' 'educational
aspirations and career.planS. More specifically, the study sought to identify
institutional characteristics and educational practices that affect .students' .

chances of completing college, attending graduate school, and pursuing a

,career in a particular field: .

A sample of 60,505 students attending a stratified national sadtple of

'246 4-year colleges and universities was selected for examination; ap,
._proximately 36,000 students responded to a folloWup survey. Student input
data (fall 1961 information from entering, freshmen), student output data
(summer 1965 followup data), and college etiVirorimental data were used to
assess environmental. effects on student development. f
The book presents normative descriptive date on the class of I 965;:an
analysis of the personal and environmental faCto that influence students',
persistence in college, undergradUate major field, educational achievement,
and 'educational aspirations and career choke during the undergraduate
years; and a summary of the findings by institutional type or environmental
characteristic.
The author reports that most undergeaduate§pere reasonably satisifie
with their colleges and that, 4 years after matriculation, nearly two-thirds of
the.class of 1965 had completed 4 years of college and about half had earned
bachelor's degrees. The best predictors of students' final cater choices
werethe choices they expressed as entering freshmen. A substantial portion
of the.observed differences among the 246 institptions, with respect to the
educational and vocational development of Weir students, could be at-
tributed to differences in the, students they enrolled. Interestinglyas stu-
dents progressed through the undergraduate years, their,fields, of study and

D 564
 1 I. 0

DEyELOPMENTAL StUDIA=-IMPACT 16i1.2

'OF INDIVIDUAL INSTITUTIONS

, career choices came, to conform more and more to the'dominant

,
or fluidal
$ choices ofeir college peers.-

16:1.1 /68 -
"Undergraduate Achieiement and' institutional 'Excellence';';
Alekander W. Astin, Science, Vol. 161, pr. 661-668. T
..

This article disdusges a styiy designed to test the effects of certain

traditional indexes of institutional excellenee on the cognitive development
of undergraduates:. Two hyptitheses were. tested. First, ,that ,the academic
excellenfe of the gndergraduate institutionas defined by the ability of the,
student body, the 'degree of academic competitiveness in the 'college
environment, and the: level ofthe..institntiOn's financial resourceshas a
pogitive- effect -on-the -undeigraduate -student's- intellectual achievement:,
,seCond. that the extent of the positivE-effectOn intellectual achievement is
)propirtiOnal to the student's academic ability. .
.

The research sample consisted of 669 students at 38 four-year colleges

for ,whom k dinal data Were,available. The study utilized"10: student
input nicasulT:s and 69 institutional environment measdres, including/8
measures of institutional quality; student scores on' the Graduate Record I4
Examination area tests in their senior year (1965), were the output measures.
Analysis. of-the data failed to confirm either hypothesis. Additional
analysis indicated that differences in student achievement during the senior
year were much more dependent on variations in student input and field of
study (major) -than on the characteristics of the undergruduate college at
tended. These.resUlts suggest that institutions seeking to enhance student
cognitive-developinent should focus _their efforts on the curriculum - rather.
than on upgrading such traditional indexes of institutional quality as the
number of books in the library or the proportion of faculty holding a Ph:D.
t.

1.2 Impact of Individual Institutions .

16:12/80.'1
"Measuring the Quality of Student Effort," C. Robert Pace,
Current Issue's in Higher Education: Vol. 2, pp. 10-16.
The principal assumption of this paper and of the research effort-it
describes is that whata student gets out of college'depends, at least to some
extent, on the time and effort he or she invests in the college experience. To
-40
test this assumption, a "CollogesStudent Experiences" questionnaire was
administered to a cross-section of 4,351 undergraduates at 13 institutions:
three research. universities, three campuses of the California State univer-
sities and colleges, two community colleges, and five liberal arts 'colleges.
The queStionnaire included a background information section, 14 quality-of-

565
Jot)t)
.
111. STUDENT CHARACTERISTICS AND DEVELOPMENT

effort scales, 12 scales related to the college environment and students'

relationships within that environment,, and an "estimate of gains" sectwn
thatsested students to gauge their progress in college in terms of Flat
statements of fairly typthal and hfiportant objebtives of a college education.
These 18 goal statements can be' classified into four major categories of
educational outcomes: academic and intellectual; general education; personal Ni
and interpersonal understanding; andounderstanding of science.
.The research findings indicate that quality of effort in academic and
intellectual experiences increases from the freshman to the kenior year and re
appears to be related to obtaining higher grades and to'spending more time
on academic work. Measuring quality of academic effort has diagnostic
value: students who spend more time at a low level of .quality make less
progress toward rellvant educational objectives than 4o students whospend .

less time at a higher quality of effort. Furthermore, quality-okffort scores

contribute substantially iodic prediction of educationakoutcomes. Quality of
student effort, a dimension ignored in past research, appears to be--1nost
influential 'single variabl4in accounting for students!. attainment. The author
concludes: "What counts most is not who-you are or where you are but what
you do. ' '
A

16:1.2/80-2
Men and Women Learning 'together: -A Study of College Stu-
dents in the Late 70's, Brown'University Project; ,295p:). (Brown
University, Providence, RA.).
This report= presents the findings of a study that began with a fous on
, the situation of women in coeducational institutions and evolved into on
effort' to understand possible differences in the college experiences of men
and women and their implications for providing educational opportunities
sensitive to the needs of all students:
Section 1 of the report includes five chapters on various;aspects'Of the
undergraduate experience, based on a cross-sectional study of over 3,000
undergraduates at six institutions: Barnard College, Brown 'University,
Dartmouth College, Princeton University, the State University of New York
at Stony Brook, and Wellesley College.' A randomly selected sample of the
1978-81 classes completed a 20-page questionnaire focusing on acadenlic
performance, student - faculty relations, values, attitudes, and 'social rela-
tions: career goals and pla , and demographic characteristics;

Section II presents tv. ,ialysesone of student characteristics and

one of alunini attitudes before and after the 1971 merger of the previously
single -sex. Brown University and. Pembroke College. A longitudinal profile
of men and women students examines trends in statistics on entering fresh-
men (SAT-scores, high school rank, number of applicants, and number of

566

59 4
 DEVELOPM ENJAL STUDIES-IMPACT 1 ail .2
of INDIVIDUAL INSTITUTIONS'

:accepted applicants who .matriculate) and trends among ermined students.

(persistence rates by field, career interests, extracurricular leadership, and
receipt of academic honors) from the early sixties to the mid-seventiesr; ,
s., Thikalumni groups, the'citasses of 1961, 1967, and 1974, were surveyed to
II. ascertainotheir views of their institutions anl of themselves currently and
during their college years.
Section Ill includes three papers presented at a project conference,
,-,Wonien/Men/College:. T,he Educational Implication of , Sex itolis in .1.

TransitiOn." Section IV, contains the final report of the Committee on the-
,
Status of _Women at BroWn. .

This. report is of particular relevance to. institutions interested in .

conducting,Similar studjes. It.detnonstrates how useful research resultscan

---be-produced by examining existing -data survey data- using-
. basic statistical techniques.

16:1.2/73
"Personality Development and the College experience; ". Arthur
W.Chickering. and John McCormick, Research in Higher Education,
Vol, I, pp, 43-70.
This article reports on a study to examine the personality development
of undergraduate students at 13 small colleges. Data were collected from
168 students in 'their freshman- and senior yeari, The primary_research
instrument was the Omnibus Personality Inventory (Or). Patterns of
change for the total population and for subgroUps of students were studied.
Despite major differences among institutions and students,,the direc-
lion of not change, as indicated by mean OPI score changes, was basically
the same in several diverse colleges. Senior scale scores indidated increases
in autonomy,' awareness, integration, aesthetic sensitivity, tolerance, and
liberalness in religious views, and less concern with material possessions.
However, students did not become more similar;1diversi(y increased for the
.
total group and, frequently, within each College;
Change patterns of subgroups of students enrolled at different colleges
with similar freshMan OPI scores also were examined. Different Patterns of
change were found that were sytematically related to such factors as college
climate, student characteristics, teaching practices and study activities, and
student-facultyrelaiiottihiPs.
On the basis4 these, results, .the authors conclude that institutional
differences do' ffiakiI a difference to student'development: differential change
occurs as a function of the fit between student and institution. A close "fit"
leads to consistent change among diverse colleges, while a "misfit" causes
changes to occur that are strongly associated with varied college charac:
teristics and educational practices.

567

597
4,
 16 STUDENT CHARACTERISTICS AND DEVELOPMENT

16:1.2/72
Students and Interaction and Change, Burton.R. Clark,
Paul Heist, T. R. McConnell, Martin A. Trow, and George..Yonge,
327 pp. (Center for Research and Devdoptnent in Higher Education,
University of California, Berkeley).
fi
This book reports the findings of an intensive longitudinal study of
differenti- al change in student charafAeristics at eight colleges. Conducted in
the I. 95(2's andearly 1960's, the study, was designed to answer a number
of estions: ( I ) Do students' personality characterigics: educational and
vocational value's and aspirations; and religioul, political and civic attitudes
change during college, and in what directions? (2) Do students in dissimilar
institutions show differeritiiil change in these characteristics? and (3) If these
_changes_ can, to- some _extent be. attributed to collegOntluence, -what-kinds
of effects occurred and in what ways might the.institution be exerting an
.effect on students? Student input characteristics and college environment
characteristics, were assessed and considered regard to the outcome
. measures. . . .
.

The authors find support for the three major forms of college impact
identified by Eeldman'and .Nevicomb (24:1t1/69-12): anchoring' (main-
tenanve of strengthening of initial attitudes); accentuationlan 'increase or
heightening of certain initial student 'characteristics); and 'eonvirsion
(transformation of a student's initial values, dispositions, and attitudes). The
' authors discuss the conditions that influence the type and extent of impact
,that aeollege or university has on its students. . ._

\f, See: 24:1.1/69.-1yducation and Identity, Arthur W. Chickering.

The fundamental assumption of this book is that "colleges and ur0-
-versitieS will edlicationally. effective only if they1t3ach students 'where
they live,' only if they.cooneersignitictantly with those concerns of central
importance to their students. A conceptual framewdrk, which was de-
signed to move research findings closer to apptiOtion 'anti action, was
(reveloped from earlier research and from data from the Project on Student
.Development;--a 5-year, study beiun -in 1965 That examined- institutional
`characteristics, student characteristics, attrition, and student development in
13 skill colleges.
Chkiiering de'scribes seven "vectors" of development: developing
competence. managing emotions. developing: autonomy, establishing
identity. freeing interpersonal relationships, clarifying .purposes. andde-
i veloping integrity. The author contends that colle.ges can accelerate or retard
individual development .along each phase and identifies six -majorenviron-
e mental influences on udent. development: (I) clarity of the institutions'
objectives and the int nal consistency between program and objectives; (.2)
institutional size: ) cutticulum, teaching, and evaluation; (4) residence
hull arrangements; (5) faculty and administration; and (6) friends, groups.
_ .

568 el

596 .

I'
 DEVELOPMENTAPSTUDIES:.-.G NERAL. .3
4
4
and student culture Hypotheses as to how Bach of the4 ntluences can affect
student deitlopment areposed and discussed... , .. ,
. The author belieVek.that,. by systematically modifying - environmental
, conditions,. institutions can enhance Student developinknt. Specific sug-
gestiOns for action.; which are based on existing knowle gel:should beof .
particular interest to educational planners and policymake
.
. . 1

See: 24:3.1142 No Time for Youth:. Growth and constraints in'

College Students, Joseph Katz andAssociates. \ .
This volume, which ii..based on intensive study Of Berkeley and
Stanford 1961 freshmen1/4bver a 4 -}tear period, focuses on the r le of coilegeS
in fiirthering indisiidual development. Data collected from sev ral fliosand
freshrrien and from over hallofjilese students, as seniors is sup Iemented by : _ .,..

case_ studies of a randomly selectedgro4 of 20to studentS interviewed at

least twice a year throughout the course of the study. Althou theAudy
examinet students at only two ifistitutions; the. authprs con% nd that it
1 %

focus's on what is universal in the tevelopment of coilege studen s.

The text has four major divisions. Pah ! describes how stude is change
duiing the college years. Part II identifies groups of students in to s of their I
attitudes toward the curriculum and examines the process of carve choice,
as well as the interaction between curriculum and career decisions.\ Pall 111
focuses on student life outside the classroom and studies spicific peNonality

%top student potential.. '

types and kinds of behavior. Part IV presents recommendations for\a new
type :or undergraduate education that the authorsbelieve Would better de-
I,

The authors. contend that all educational planning mu m start ,frcin a

recognition of stiff:lent diversity in ability, interests, .purp,oses,..learning
.

.
styles, backgrounds, and personalities. Recommehdatioris for 'changing the
structure, focus, and timing of education, the college environment \the .
composition and role of the faculty., and the role of the student iie ' II
intended to shift the primary focus of undergraduate education frOm tie 4.
-0 ,
4 '
course to the student.

1.3 General Developmental Studies

See: 12:1.1 /81-2 On Higher Educationi,DiVidOsmiiny.

David R iesman considers the,effeCIS df edu'6ii.on on and its benefits to
individuals and society from a perspective that is very different from ihtiSe of
other.authors whose work is cited here, He d&s.not seek to *document the
A
impact of college nor does he deny that the college 'experience greets
.individuals. But he asserts that the hopes and faith that have been placed on
thecapacity of education to produce changes in individuals and society have
6ften.exceeded the realization of these desires. Riesthan examines the causes

.569

4
59 9
 111 STUDENT CHARACTERISTICS AND DEVELOPMENT
.1;
ts

of this discrepancy with particular attention to the growth and 96Sequences

of student consumerism, in the hope that an improved understanding of the
situation will inform and guide rational response. Three major questions are
addressed: What is happening in higher education as students become
customers instead of Upplicants for' admission? What 'are the likely
consequences for teat': ng andieurning of the marketing of higher education
and of the feat of losing full-time enrollments by imposing rigorous aca-
=demic requirements'? How can or mitt negative trends tie counteracted and
educatiOn improved? . 141

The author draws on research and presents specific examples to dec-

.
nment and illustrate his'cliscussioii. Throughout the book, he gives attention
to "the deviant case" (kir example, the minority of community: college
.
students who, stimulated and encouraged by their experience, transfer and .
41
earn a bachelor's degree) to underscort the dangers of overgeneralization.
The transition from faculty to student hegemony is traced, its causes are
'discussed, andthe ctutent situation of institutions competing for students is
4. _described. One chapter foctises on the Protestant evangelical college*
Where students still subordinate themseive% to the authority of the institution'
and its factilty. In contrast, the following chapter explores student power in
commOity colleges, 'where minimal. student commitment'is required. The
implications of student consumerism for institutional diversity (a decline)
and factors that prevent students from making full use of their market power-
are discuSsed. ./ 4
The author offers a number of suggestions about, steps that could be
taken Co improve education: providing better information to guide
student choice, Ways of countering Audent passivity, ways in which ac-,
crediting agencies can play an important role in improving student informa- .
41

Owl and education, and ways in which govermmint can prOtect student
If
consumer's from educational fra' and deception w ithciiit deleterious reguli
tion of institutions. The distinction between student `:wants" and student
': needs" is underscored, as are the dangers tostUdents of viewing them-
selves as Missive consumers of tducation rather than as active producers of
'_their- education and'as resources for educating each otheinnd faculty,The
author contends t t students can do more to improve their education than
any amount of imposed clirriculum reform, and presents examplp to 11-
lustratepis position. .
.

16:1.3/79 \...,
.
Measuring Outcomes of College, C. Robert Pace, 188 pp. (JoSsey-
Bass, San Fran.eiseo). . . .
.. .

What do some 50 years or so of educational testing and surveys tell us

...
about `student achievement during college, about college graduates'
-,achievement after college, and about colleges and universities as organiza-
tions and environments? In this volume, C. Robert Pace reports that the
.- .4

570

600
0
.1,

DEVELOPMENTAL STUDIES --- GENERAL 18'1.3

primary descriptive evidence is 'strongand consistent: It shows that students'

change during the college years and that the status of college graduates,
differs from that of nongraduates in many resp.-.3s.. Pace summarizes the
results of irge-scale d surveys that document the beneficial effects of
and
college n. student knowledge and alumni job satisfaction, of civic and.
cultural invol4ement, and the belief of graduates that college contributed to
. theft breaath or-knowledge, interpersonal skills, values, and critical thinly.
T
ing.
Pace points out that our understandin4 of ;earning during me college
years can be strengthened by making better tile of ivailablespeasures of
college achievement anctfy expanding the rangeland variety of measures V

that we use to assess learning. Our understanding of the long-terni effects of

4111

college on alumni 4hievement could be improved by constryctin&aind I

utilizing standardized alumni questionnaires. He suggests that if,we are to
lean' more aboutp connections between institutional goals; charac-
teristics, environments, and putcomes, we will need to conduct large-scale
comparative studies that draw dpondata fmm a tangeof sources, includirig
outcome orachievement measures that match the;dirversittof institutional
purposes.

SS, 24:1,1/77-2 Imes tment in Learnitig: The Individual and Social

Value of Americiniligher Education, HoWarck R. Ito. %in.
The. author, an ectstoinist who specializes in t he !economics of higher
education, addresses the Cluestiim: Is American higher education worth what'
it costs? The primary objective of this volume is to identify and evalualedtbe
overaOutconies of higher ectucation, to determine within the limitations of ''`
existing data whether these outcomes .as a whole arp.Worth the cost, and to .:
point out the broad implications al:the ill-Wings for higher education policy.-
An extensive review ate literature led the author to develop a catalog
of widely accepted goals of hi her education. This catalog, which includes
both incii'vidual and societal ails, provides a taxonomy for studying the
outcomes of higher educati awing on existing reiearchtiteratine, the
author attempts, in-Part f the book, to determine- whether- and to what-
extent each goal i&'achieved. Part II examines the impatsof bigher educa-
tion cm its students as individitals.`E,vidence of growth and development
along 'each ot 23 dimensions, including cognitive, affective, and.practical
competencies, is considered, the impact of higher education on students
viewed as "whole persons" is explored, and the range of differences among
institutions in their impact on students :is, assessed.,,Part Ill examines the
direct and indirect effects of higher education-on society. .
Although the evidence is .scattered and not ialWays consistent, con -
sidered as a whole it strongly suggests that higher edueition has significant
positive effects' on both individuals and society. lit Part ,IV, the author
-concludes that the total returns' from -higher eductition in all its aspects.
571
G0
 16 STUDENTtRARACTERISTICS AND DEVELOPMENT

exceed the cost by several times. lie also offers suggestionsvoncerning the
future of American higher education.

16:1.3/74-1
Virieties of Accomplishment After College: Perspectives on the
Meaning of Academic Talent, Leo A. Munday and Jeanne C. Davis,
2I pp. (Research and Development Division, American College
_Testing Program, Iowa//City,
This ACT research report (No. 62) discusses a study focused on the
relationship of high school nonacademic accomplishments to comparable .,.

nonacademic adult accomplishments. Young adults who had completed the

Anierican College Testing Assessmer: in 1964-65 as high school seniors
and who had attended one ofthree selected.universities-were sent an alumni
survey 6 years later. The research questionnaires attained six eight-item
scales that corresponded to the areas,. of nonacademic .accomplistiment
tapped in the original assessment.'Thelcales reflected cultural r.nd citizen-
ship goals that a college presumably would espouse for its students. Just over
2,000 of the approximately 5,000 deliverable Tiestionnaires.were returned.
Response rates by institution were 19 perce,nt, percent, and 56 percent.
Responses were collated with'earlier ACT date on a student-by-student basis
and correlations between high school indexes of talent (test scores, grades,
and nonacademic accomplishmentsLand adult accomplishments were ob-
tained separately_ by -se"( institution, and graduate, status. The scales, al-
though unrelated to academic talent (including college grades), were related
to comparable high school` accomplishments. --
Despite its gun* size and resppnse rate limitations, the study, indik_
sates the pitfalls of placing, too much reliance on traditional indicators of
' academic' talent: The authors urge educators to coriceptuolize ability' and
talent more broadly the admissions gocess and to provide students with
opportunities to develop nonacademic talents during the college yea,rs.

16:1.3/74-2
The 'Many Faces of College Succiss and Their Nonintellective
Correlates: The Published Literature Through the Decade of the
Sixties, Oscar T. Lenning, Leo A. Munday, 0, Bernard Johnson,.
Allen R. Vkinder Well, and Eldon J. Brue, 552 Pp. (American Collcsc
Testing Program; Iowa City, la. ).
This volume. which deals with nonacademic criteria of.college sue.-
cess, and its companion volume 1.6;1.3/74-3), whiCh deals with academic
criteria of success, are..the products of a 5-year review of the published
literature on various kinds of college outcomes. The authorS classify studies
of nonacademic criteria of college success published through 1970. nto one
or more of 21 criterion areas,.which include: intellectual development:
572

6 0 ;2
 DEVELOPMENTAL STUDIES-GENERAL 100.3

personality developme_nUmLad: ment: motivational aspitationarde-

vetopment; -Social development: aesthetic -cu 4noral,
philosophical, .and.religious development; and other types of 'college 'suc-
cess. Publications assigned to more than one criterion are cited in each
category to which they are assigned..
An introduction M each criterion area -is followed by approximately 10
summaries of selected publications on research in that area:and a compre-
hensive list of references to additional relevant literature. Sfildies were
selectsed for annotation to point out noteworthy quality or interesting or
unique research approaches, techniques, 'and/or findings. No annotations
were included in the final chapter, which covers areas of college.success
where comparatively little resein0 was found: post.college success, the
development of student power, the development in students of basic aca-.
demiEskillS kicking upon C011ege-entry. and direct benefits to-society,

16:1.3/74-3
Nonintellective Correlates of Grades, Persistence, and Academic
Learning in College: Tke Published Literature Through the
Decade or the Sixties, Oscar T. terming, Leo A. Munday, 0.
Bernard Johnson, Allen R. Vander Well, and Eldon J. Brue, 272 pp.
,
( American College. testing-Program, Iowa City, Ia.). .

This mon9graph- is intended to provide the reader with a broad over-

view of the research that has investigated academia criteria of undergraduate
success and to stimulate thought about the _meaning and measurement of
academic -success-in -college: The intellective criteria of academic success
are .i.trades, -persistence, iand_atademic_ learning. The nonintellective cor.-
relat( or predictors of these oRcomes are classified into 17 categories:
persphlity and adjustment; stress and anxiety; motivation, aspirations, and
need for. achievement; attitudes, values, and needs; academic habits and
study methods:* interests; extracurricular activites; self-conc6pts; ratings of
others; interpersonal relations.; application blanks and biographical ques-
tionnaires; parental characteristics and family relations; socioeconomic
level; high school and geographical factors; college environmental factors;.
counseling and special programs: and and miscellaneous predictors:
The authors provide a brief introduction to each. category of predictOr
Variables, followed by approximately 10 annotations of relevant res,earch
studies and a comprehensive lists of references toadditional studies published
from 1963 to 1970: A research overview of the correlates of persistence,
grades..and academic learning, and a list'of literature reviews, include the
only -references to studies published prior to 1963. Annotations of II
"multifocus" studies (exploring variables from more than one of the cor-
relate-predictor categories) are presented in a separ .2 section of the report.

-573

603
 le , STUDET''' CHARACTERISTICS AND DVELOP-MENT

See: 24:1.1/69-2 The Impactof College on Students, Volume 1: An

Analysis of Four Decades of Research and Voluine H:'Summary Tables,
Kenneth A. Feldman and Theodore M. Newcomb. This two-volume
work is a landmark in the literature on college impact. The authors critically
reviewed almost 1,500 published and unpublished studies written between
the mid 1920's and the mid-1960's. Their search was guided by the ques-
tion: "Under what conditions have what kinds of Auden, changed in what
specific ways?". The empirical knowled0 and theoretical propositions
about the effects of college on students are \integrated. summarized,pre-
sented, and evaluated in the text (Volume I) and in capsule tabular sums'
maries of ;selected studies (Volume II).
On the basis of their review and analysis. the authors conclude: **There
are conditions under which colleges have had (and, we assume, will con-
tinue to have) impacts upon their students, and not least upon, students.'_
,
values. The evidence that supports this conclusion is organized and pre-
sented in ctapters that address key questiolls about the process of change
during the undergraduate years and the infiuences that affect the type and
extent of change. Methodological issues'and problems of concern to those,
designing and interpreting research studies dealing with this complex topic
are identified and discussed. Because data bearing on all 4 years of the
undergraduate experience are considered, the authors can assess the nature,
extent, and timing of college impact on students.

16:1.3/68
BeyondHigh.School, James W. Trent and Leland Medsker,_333,pp.
(Jossey-Bass, San Francisco).
This volume summarizes a study of 10,000 young. adults .in..16 Wm-
munities during the 4 years following their graduatiOn from high school in
1959; The Study- is especially significant because of the size of the sample,
the longitudinal design, and the comparisons drawn between college at-
teliders and nonattenders. Designed to. investigate the personal and voca-
tional development of high school graduates and to collect inforMation abv.
their patterns of college attendance and employment, the study examines i
impacts-of college:and employment on values and attitudes.;
The communities included in the study were roughly reptesentative of
the United States except for the Northeast (too many private institutions) and
'the southeast (racially typical). These areas were not included, accOrding
to the authors, because they would so affect research findings as to
distort the overall piture of the relationship betWeen the availability of the
various types of colleges and the rate of college attendance.**
.Beyond High School is a landmark in both retention and demographic
research. The social and psychological determinants of persistence and the
process of student growth and maturation, as well as demographic inform-
lion on admissions, transfer, and retention patterns, are examined. Although ,

574.

6 ()
 DESCRIPTIVE STUDIES 1 WA

the findingS suggest that college fosters.or at least faCilitates the growth of
autonomy and intellectual dispNition among attenders, the authors concede
that this growth may be the result of a predisposition to develop in this way ,
among those who choose to continue their education after high school. Nor
can the authors determine-the durability of changes brought about by higher
education. Nonetheless, liolicyrnakemand planners concerned with the full .
utilization of human taunt wi114 find that this book provides valuable
information about the factors that lead to educational attrition and the impact
of college on individual developnent.

2.0 DESCRIPTIVE STUDIES r-6

16:2.0/181
The Characteristics and Needs Of Adults.in Posbecondary &him
tion;Lewis C. Solmon end Joanne J. Go n, 135 pp. (Lexington
a
Books, Lexington, Mass.).
Despite increasing emphasis on-the marketing of higher educa:iOn and
on attracting new student populations, relatively little recent information is
available abet the growing numbers of adults pursuing a postsecondary
education. This book presents trend data covering. I 3,,yearssfor one adult
student populat hitt: first-year college studentg'over the age of 21.°A sample
the
-T. of 172,400-adult studnts was identified from among respondents to
Cooperative Institutional Research Program's animal national surveys of the,
entering freshman 'classes of to 1978. Although part-time adult,stu7
dents and thOse attending 2;year coilegainay be underrepresented in the
total sample, results reported separately by student status and institutjonal
type are considered to be representative of kith groups of adult students.,_
the authors assess-: similarities and differwes between adult ana
traditional -age college students by cpmparing the responses of adult fresh-
men with the national normative profile of their respective freshman.class.
This analysis examides demographic characteristics, college choice and the,
, factors influencing this deciSion, concern about and sources of financing a
college education:academic background and preparation for college-level
work, plans about living arrangements and Major field of study during
college, educational and career aspirations, and life - .goals. The authors
summarize major findings and discuss policy implicationi suggested by the
data analysis in the final chapter.-.
t

.575
 16 STUDENT ClIARACTERISTICSAND DEVELOPMENT
?t,
16:2.0/80
Effects of Postsecondary Experiences on Aspirations, Attitudes,
and 'Self:Conceptions, David E. Kanotispond Associates, 14I. pp,
(Rand Corporation, Santa Monica, Calif.).
This volume reports on a. study -to examine the effects of various
post-high school activities on short-range outcomes associated with the
, development of aspirations, attitudes,.. and self-concept. The analysis of
'changes over a 4-year period is based on data from the National Longitudinal
. Studyof the High School Class of 1972 ( I 6:3i0/S-6). Sample members were
classified into post-high school "tracks,. including' three educational
tracks, full- or. pait-time employment, military service, full-time home-
making; and unemployment, based on their status as of,October 1972-The
outcome variables on which changes. associated with choosing various
tracks were assessed' included: self-esteem; orientations toward work,
family,-.and comrhunity; sex-role attitudes; educational expectations; career
aspirations; satisfaction with career progress and loCus of control.
The authors find that, after controlling for initial differences in ability,
high school achieVement,'''and family ,background, the initial differences
tietween young people whii-choose various post-high school pursuits. are
generally much greater than the)elative changes associated wini choosing a
partictilar "track." They conclude that 'for the most part, divergence of
aspirations, attitudes, and self-concepts occurs-prior tohigh school gradua,
,tion and that different experiences-after. high school -do no have as much'
effect as do the factors that lead'graduates to elect to participate in various
experiences.. Exceptions arenoted and-an analysisof changesin thebUtcoine
measures over4ime is presented. ,

. 16:10/79
Education's Lasting Influence on Values, Herbert H. Hyman and
Charles R. Wright, 161 pp. (University of Chicago Press, Chicago).
A companion volume to The Enduring Effects of Education (16;2.01
75), this study examines the lasting effects of education on values. While
-1,_respondents to 38 national sample surveys conducted between -1949 and
1975 -comprised a sample pool of about 44,000 adults. These surveys
yielded 151 testsbf values, each involving dquestion that
in an actual situation. Survey respondents were categorized by edueatiOnal
level (elementary school, .higlisT:f. iobt,-or -college) and by life stage (ages
25-36, 37-48, 49-60, and 61-72). .

The authors examined the effects of education by comparing the valueS---

of resporidents.representing each educational level separately at each life
stage. For each age group (or life stage), the researchers examined a series of
cohorts whovere contrasted in the h orical circumstances of their school-
ing.but equated in age and in distance fro their education. The design of the
study controlled for possible effects of age andatace on values; sex was
:576
A 4

606
 DESCRIPTIVE STUDIES - 1114.0

controlled in all tests; and religion, ethnicity (U.S. versus foreign birth-
place), social-class origins, and residential origins (size of conimunity and
region of birth ).were controlle'd in all tests where die necessary information
was
The values considered in this secondary analysis included: civil liber-
ties for nonconformists; due process of the law; freedom from'Constraints of
14%y in personal and social relations; freedom of intimation; protection of
privacy:, equality of opportunity in social, political and economic spheres;
humane values; and Cultivation--of intellect, character, and,prosocial
havior. ,The values. profiles indicated that the threkeducational groups are
.different: the profile of values is most prevalent among college-attenders and
least represented among those who haye.not gone beyond elementary
school. Regardless of 'Which age cohort or generation was examined, the
most educated kept alinoit alltheit diStinCtIve and attractive values up to age
,
.

The authors conclude that education does Produce large and lasting
effects in the realm of values and is an important force in molding character.

16:2.0/78
Experiences of Recent High School.Graduates George J. Nolti
and A_ ssociates, 2I I pp. (Lexington Books, Lexington, Mass.). ,

This book presents in edited form the combined final reports to. the
National Center for Educaton Statistics of two complementary studies
examining the transition tnim hig 1i6school to work or to postsecondary
education. Both studies are based on data tolleCted for the National
Longitudinal Study (NL,S)'of the High School CiaSSof 4972 (16:3.0/1S-,6).
The research objectives were to develop an understanding of the transition
.from school to work and to delineate factors in the demand for postsecondary
education, Although the authors describe their work as basic research, their,
analyses were designed to address policy issues and to "provide an im-
proved understanding of many major questions . . . that are important to the
content of policy debates."
The first-three--sections of the book examine the characteristic_ s of
sample members choosing particular alternati;ms, factors influencing their
decisions, and differences in choices and behaviors associated with race/
ethnicity, socioeconomic status indicators, mgasures of ability, and other.
similar variables. The first section presents a general analysis of the post-
high school experiences of the senior class of 1972, examining the extent to
which these. graduates were able to realize their plans and expectations in the
years immediately after high school. The second section includes a labor
market analysis focused on labor market entry and success among those
members of the high school°class of 1972 who intended to seek employment
directly atter graduation. The third section presents a new econometric
model of student choice 'among postsecondary education alternatives and
577

607
 16 STUDENT CHARAtTERIST1CS AND DEVELOPMENT

uses this model to forecast the effects of several hypothetical education

policies on the postsecondary decisions of students in the NLS sample.
In a final section, the alithOl examine the effects of the Federal policy
of providing institutional aid to public schools, but not to private, vocational
schools. They test their hypothesis that a price4alue tradeoff can developin
a two-price market, such as vocational education, using a vocational educa-
tion choice model to examine the actual behavior of NLS sample members.
.
16:2.0/75 .
.,

The Enddring Effects of Education; Herbert it Hyman, Charles

R. Wriest, and John S. Reed, 313 pp. (University of Chicago Press,
Chicago). : ..
This volume repotts on a Study to examine the effeciSof varying
amounts of education on adults' knowledge and receptivityto,knowledge.
The responses of Jarge and representative samples of the adult noninstitu- °
jionalizedeopulation were studied through secondary analysis of some 250'
4.0Miscreteitems of infOrmation requested in 54 national surveys conducted
between 1949 and 197 IrSUrveys that clustered around four points in time
and four age groupiWere selected for_parninstion.. This research ,design
iii allowed the authors to examine the response patterns of four age cohorts:who
. reached a commonage at different historical times, to compare reqxmdents
with a give? level of education across four age groupsat the.same point in
time, and to track the same:birth cohort at different life stages. All nonwhite
respondents were excludedfrom the analyses. Separate analyses controlling
for respOndents' sex; religion, class origins, ethnicity, rural 'origins, And
current socioeconomic staters were conducted in 'order to determine the
----- influeriee of these'variables on the outcome measures.
Although the consistency and quality of items available for secondary
analysis pose limitatiOns, the creative 'approach to studying the long-range
Cognitive.Wits of education used in this study presents interesting pos-
sibilities for future research. On the basis of their. research findings, the ,

authors conclude that 'education produces large, pervasive, and enduring

effects ontnoWledge an receptivity to knowledge."

18:2..0/74-1
Five and Ten Years After College Entry, Elaine H. El-Khawas and .

Ann S. Bisconti, 156 pp. (American Council on Education, Wash- "

ington, D.C.).
report presents a detailed descriptive account of the status of two
cohorts 1961 and 1966 college freshmen, at the time of a IN I longitudinal
study. The major objective of the study was to examine the educational and
Career development of these two cohorts following the undergraduate years.
:Particular attention was given to the academic progress and financial

578

6S
 DESCRIPTIVE STUDIES 11142.0

arrangements of thOse respondents who enrolled in graduate or professional

educatiOn.
Subsamples of approximarely 40,000 from each of the two freshmen
cohorts were selected for follow up. Responses from about 25,000 Members ,
a
of each cohort were weighted to produCe tabulations that approximate
population distribution parameters. Frequency distributions., and cross-
tabulations by cohort, sex, race, bachelor's degree status (attained or not
attained), plans for advanced study (yes or.no), undergraduate and graduate
fields of study, and advanced degree status are presented in 155 tables.
The authors present an overview ofothe findings on current educational .

status, achievement, and phhs; patterns of activity overtime; current. em-

ployment and unemployment; and, for all respondents who went on to
'graduate or professional' school, 'advanced study progress, patterns, and
experiences, including financing sources and °attitudes regarding
indebtedness.
By expeining these descriptive data using the normative profiles:of the
respondents as college freshmen, it is possible to identify changes in student
attitudes, behaviors, and plans and to isolate some of the deterniinants of
such changes.

16:2.0/74 -2:
The Demise of Divinity A Comparative Profile of Eight Types of
Institutions, . Robert Pace, 131 pp. (MicGraw,Hill_Book Co.,.New
York).
pis report :examines some of the dimensions., of diversity that
characterize the systeni of higher education. The report is based on survey
questionnaire data collected in 1969'from alumni of I 950.and then currelit
college juniors at eight distinct types of institutions. The author explores
patterns of association between college experience, personal background,
type of institution attended, and various Student and alumni activities,
viewpoints, and cittaracteristics. He draWs comparisons between the.kinds of a.

college experiences and the benefits attributed to college by students and

alumni at different types of institutions. The features that distinguish each
. type of institution. for its 1950 alumni and its current students are discussed
and related to various Outcome measures. .

The findings. of ttis investigation lead its author to the following -

conclusion: N.
As higher education has developed in this country, particularly
over the last/0 years, the proportion of students wholiave a full
and rich Campus experieRie has gradually been reduced....The
consequence of this trend is that fewer students attain benefits
related to personal and,social deVelopment, to liberal interests
and attitudes, and to involvement in civic and cultural affairs.

11, 579 .
6,09-
 1S STUDENT CHARA IS1ICS AND DEVELOPMENT
.

16:2.0/73-1
The Graduates: A Re i rt on the Characteristics and Plans of
College Seniors, Leon L. Baird, Mary Jo Clark, and Rodney T.
Hartnett, 210 pp. ( cational Testing Service, Princeton; New
s

Jersey).
This report uses s to from a national.survey of collegt seniors con-
ducted in 1971 to stud the development of career choices.' Although the
major research focus was postgraduate tduCationargtlans, extensive
information and attitu inal data on students' backgrounds, self-concepts,
undergraduate experi nces, and career plans provides a comprehensive'
portrait of these senio
The sample of a roximatefy 21,000 students drawnfrom 94 four-year
colleges is, in the-au ors' estimation, reasonably representative ;of- seniors
who are oriented to riduate and professional education but perhaps some.
what less represen ive of.those not planning advanced education. For
much of the analysis, spondents were classified according totheir.plans for
the upcoming fall; w'Ork, Marriage, military service, or advanced study in
one of six broad
After reviewing the historiCal context in which these students grew up,
the authors describe lie seniors 'and examine their undergraduate experi-
. encei, particularly those likek to influence career choicei, their perCeptions
of careers and graduate and professional schools, their career decisions.
Individual chapters compare the plans of men and women respondents and
examine the responses- of some 1,000 black participants. .The last two:
chapters explore: (I) ihe correlates of grades, Graduate Record Examina-
tion, Law School AdMission Test, and Medical College,Admission Test
Science scores in an attempt to learn to what extent these measures relate to
students' social class, ethnicity, self-concepts, plans, and other
Characteristics; and () the correlates of carieTrachoice and offers of financial
aid. Although the authors had expected to find that the 1971 senior was a
new kind of student more idealistic and socially effective than his ocher
predeceilorsthe ,evidence suggests no such clear-cut pattern of dif-
ferences.

16:2.0/73-2
Fotir Years Afteti College Entry, Alan E: Bayer, Jeannie T. Royer,
and Richard M. !Webb, 45 pp. (American Co_upcil on Eclucatiop,
Washington, D.c.).
This report provides extensive descriptive data on how young adults
change after- enter1ng college, It is based on the. 1971 responses of indivi-
duals initially surveyed as 1967 freshmen. The 34,346 followup responses,
were adjusted usi ri a complex weighting procedure to represent the total

580

L'LO
 ,t

DESCRIPTIVE STUDIES 111.1.11 .

number of first-time, .full-time freshmen who entered highereducation in

.

1967.
The authors presentan overview of the findings on degree attainment,
.

educational plans and aspirations, educational. persistence, academic

achievement, educational financial support, field of study, life'bbjectivv,
and attitudes on spcial and campus issues. They include the 1971 survey
s .

responses in tabular form by sex (men, women, both sexes) and type of
institution in which the student originally enrolled (2-year, 4-year, uni-
versity, all' institutions combined). These data, used in conjunction with the
national normativb data based on the 1967 freshmen responses, provide
valuable insights into flow young adults change after entering college.

Education and Employment: The Early Careers of College

Graduates, Laure M. Sharp; 162 'pp. (Johns Hopkins Press,
Baltimore).
The experiences of an alumni cohort Miring the 5 years following their
1958 graduation provide the basil for this examination of the effects of
education on work roles. One of the first studieLto explore the linkages .

between education and work, it was designedito increase understanding of

the dynamics of career outcomes, patterns of study and employment,
, familial influence on study and job decisions, the mobility of young college
graduates, the impacts Of different types of institutions, comparative career
patierns of men and women, and the role of military service ikthe careers of
, college men: ".

Approximately- 41-,500.reCipients Of bachelor's, master's, and profes-.

responded to a
sional. ckgrees in _1958 fiom some 1,200 4-year institutions
1960 survey. A stratified subslunPle of these respondents OAS surveyed
again in 1963, and over 19,000 (83 percent) returned questionnaires. 'Thin
book summarizes the findings and interpretations derived from, these .
studies.
The authcir traces_ the early cfreers of the respondents by focusing on
how the undergraduate Majorinfluences the,transition to iaduitte study-and
employment, the role of military service in the careers of Young men, andthe
role:of the undergraduate institution vis-a-vis graduate study, occupational
outcomes, and marital status. Tablet in the text and appendixes present
frequency distributions and the, results of cross-tabulation analyses for, a
number of key variables; many of these findings are presented separately for
men and women.
, As a result of the women's movement and of changes in the lahor
market, the draft laws, and higher education inseneral, thienvirOnment in
which today's college graduates study and 'begin their careers is very
different from that of,the graduates of 1958. However, the methodology
used in this landmark study, is. applicable to more relevant samples.
581
t

,
61.1
 1111 STUDENT CHARACTERICS AND DEVELOPMENT
)

16:2.0/70-2
'I%
Recent Alumni 'anti Higher Education, Joe L. Spaethand Andrew
M.Greeley, 199 pp. (McGraw-Hill Book Co., New York). -
This report, commissioned by the Carnegie. Commission on Higher
Education, proVides insights into how well and how poorly colleges have
serv&I their alumni and how they may best serve them in the future. In 1968,
the views, attitudes, and experiences of 6,005' 1961 alir9ni who had re- a

turned four previous questionnaires were sought; 81 percent responded. The

general strategyof analysii used in the -study was to correlate indexes of
satisfaction with college with attributes of the. college (e.g., size, quality,
control, and type), experience's of the alumni (e.g., years in graduate school,
occupational choice, and present family income), and personal backgrounds
variablei. Path analysis was used to examine 'transition from high school
t o college and the role of higher education-in occupational attainment (but
for men only). 1. .

The study found that the strongest predictor of alisimni satisfaction

seems to be the college's perceived contribution to value formation. In the
final section, the authors consider the meaning and implications of this and
tither findings and discuss. what policies and attitudes might be appropriate
responses tp the data. They conclude that, if they were to make one
recommendation,' it would be that education concern itself not with changing
values but with the analysis alid development of values.

3.0 DATA-SOURCES
/ .16:3.0/A-1
The .American Freshman: National :.Norms for Fall 19,
Alexkmder W. Asti& Margo R: King% and Gerald T. Rithardson, 158
pp. (Graduate School of Education, University of California,. Los
Angeles)..
Annual normative' first -time full-time college freshmen have
been published since 1966 based on the Cooperative Institutional Resta/eh
Program's surveys of entering college students (see 16:3.0/S-.1). Data from
institutions that survey a representative sample of their freshman class are
weighted to represent all first-time full-time freshmen. The normativereport
for fall 1980 is based on the weighted responsesdf almost 200,000 students
entering 355 colleges and universities across the nation.
Questionpaire responses are presented in a series of tables that report
data as follOww, for alf freshmen by institutional type (2-year, '4-year,
university, predominantly black colleges) And control (public, private); for
students entering universities by sex, control, and selectivity (an estimate of
" the average academie ability of an institutions entering class); for 4-year

dik 582

a,

. 46
 DATA sly ,RCES 163.0
0

colleges by Control (publics, private-nonsectarian, Catgo lic, and other

sectarian) and selectivity; and for four geographical regions (East, Midwest,
South and West) for all student's andeby sex. Appendixes include a list of all
institutions that have participated in this ret,;earch effort and the years of their
participation, a copy of the questionnaire to which students responded, a
discussion of the precisionof the data, and a sample of the individual reports
received by participating institutions.
"These nonnative reports are I valuable reference source and research
tool. They can be used to answer'such questions as: What propcinion of all
college freshmen are age 23 or older? Does this differ by sex, type of
institution, or region of the co9ntry? Has this chahged overtime? Based on
trends over time, what projectioni can be made about the age distribution of
college fresbmen over the next several years? How do the national data or the
/data 'for similar institutions compare with information atiout.the
. . freshman
classt a particular institution?
.3

'16:3.0/A-2 .

. Summary Report 19110: Doctorate Recipients from United States

Universities, Peter D. SyVersen: 42 pp. (National Acidemy Press,
Washington, D.C. ).. .

Annual summaries of data collected from the Survey of Earned

Doctorates (see 16:3.0/S-2) have been published for the past44 years,
.$ beginning with academic year 1966.67. These reports protfirde
- -statistical profiles of doctorate recipients, and allow study of trends
over time among tlpis population. Selected variables are reported by
sex, racial/ethnic group, citizenship status (U.S: of nos-U.S.), Ad 4
field or subfield of studotEach report highlights some isitte(s) of
topical interest. For example, the 1979 report exashined trends in the
'postgraduate employment plans, by field, of Ph.D. and racial/ethnic
'groups and trends in the number of doctorate recipients planning
postdoctoral study in foreign countries The 1980 report focused on
non-U,S: citizen doctorate recipients; examining their nationalitiesi
fields of study, sources of support during graduate School, and post- l
doctoral employment, and suKly plahs. A copy of thrsurVey
ment is includedat the end of each report' ,

16:3.0/S-1,
Cooperative insfitudonal Research Prognun, Graduate School of
,Education', University of California, Los Angeles.
The Cooperative Institutional Research Program (CIRP), initiateci in 1

' 1966, Allects data nationally each fall on the charactgatics of students
entering college as first-time freshmen. These freshman survey data ase

4583

613
3
 16 STUDENT CHAiACTERISTICS AND DEVELOPMENT
. .
weighted to provide anorrgative picture of the college freshman population;
The principal purpose of CIRP is to determine the effects of college on
students. In addition to providing normative data on each entering
freihmen (see 16:3.0/A-1) that can be used to examine trencls over time, the
200 items of initial input data on individual students can be used for
longitudinal foliowup'research.
The survey instrument, the Studein Information Form (SIF), is de-
signed to elicit a wide range Of biographic and demographic data, as well as
data on audent's high school background and activities, career plans;
educational aspirations, .financial arrangements, and current attitudes. It
0 contains both-standard items that are administered annually and new items
that permit a more thorough coverage of student characteristics and reflect
the changing concerns of the datansers.
From 1966 to 1970, approximately_ 15 percent of thehigher education
institutions were selected by stratified sampling procedures and were invited
to participate. Since 1971, all institutions with an entering freshman class
that respond to the Higher Education General Information Survey (HEGIS)
have been invited to participate. In fall 1974 and 1975, samples of
proprietary institutions also took part in the survey.
Institutions participating in the CIRP receive individual reports on their
entering freshman class that can serve as a valuable resource.to institutional
planners and adMire,strators: These reports provide separate tabulations of
responses for men,, women, and alstudents, as well as tabulations by sex for
first-time full-time freshmen, transfer students, and' part-time students.
Institutions can request up to eight 'additional statistical descriptions of
-specified student subgroups: for example, students in different school's,
departments, or special programs.Colleges and universities interested in
conducting their own data analyses can purchase a computer tape record of
individual student responses for their institution.
Tapes of freshman data for all surveyi conducted since 1966 afe
available; each tape includes the individual responses of approximately
300,000 students. Longitudinal files are available foright different cohorts
of freshmen who were followed up from I to 10 years after entering college.
The longitudinal files range in size from about 5,000 to 56,000 cases.

16:3.0/S-2 .

Doctor& Records File, Commission'on Human Resources, Na-

tional Research Council, National Academy of Sciences, Washing-
ton, D.C. .
Virtually all iecipients of earned doctorates since 1920, except -for
persons holding professional (clinical) degrees such as M.D., D.V.M., and
are listed in the Doctorate Recordt Hie (DRF). Prior to 1958, indivi-
dual data' art ;scanty, covering only degrees held, .d*es awarded, and
granting institutions. Since 1958, the annual Survey of Ealned Doctorates in
584

fl 61.4
 DATA SOURCES 1 63.0

the United States has been used to collect data from all new doctoral
degree-holders. Individual 'records contain: ( t) sociodemographic
characteristics, including date and place of birth, sex, citizenship, race-
ethnicity (since 1973), parental education, marital status, and number of
dependents; (2) echicational information, including high school.and gradua-
tion date, colleges,attended and dates, fields of study and degrees, and
spurces - of financial support during graduate study; and (3) inforrnaiion
about postgraduate plans for employment and further education.
uoksummary reports of these data have been published :since 1967
'see re3.0/A-2). A series of seven reports based primarily on the DRF data
have been published by the National Academy of Sciances, most recently A
Century of Doctorates (1978). Subject to the limitations of the Privacy Act,
additional lists and tabulatidds., as well as computer tapes, can be purchased.

16:a.0/S-3.
High School and Beyond, National Center for Education Statistics,
U.S; Department of Education, Washington, D.C.
A recent addition to the National Center for Education Statistics'
(NCES) longitudinal studies program, High School and Beyond (HS1Itg)-it
designed to follow the progress of two nationally representative samples of
higr school students,during their transition to college, work, and family
formation. Base-year data were collected- in spring 1980 from over 30,000
sophomores and 28,000 seniors attending 1,015 public and private high
schools. Several student populations, including Hispanics and private
school students,- were oversampled to permit indepth studies. The student
questionnaire collected information on individual and family background,
high school experiences, and plans for the future; it also included measures
of self-esteem, locUs-of-cdntrol, values, and attitudes. One section of the
questionnaire that was designed for students who speak a second language
was completed by over 11,000 respondents, a large proportion of whom are
Hispanic.
Teachers at 415`public high"Schools completed a teacher comment form
that elicited their perceptions of the 36 sophomores and 36 seniors at their
schools who were included in the HS&B sample. A randomly selected
sample of the parents of about 3,500 sophomores and3,500 seniors were
surveyed in fall 1980, with particular attention to their plans for their child's
postsecondary education and the financing of further education. Addi-
tionally, institutional characteristics were collected from officials at 998 of,
the participating schools, These data include: school type, organization, and
enrollment size; faculty composition,, characteristics, and unionization;
instructional programs, course offerfigs, and specialized programs;
discipline problems; grading procedures; and funding sources and participa-
tion in Federal programs. Subsamples of both classes will be followed up at
2- to 3-year intervals; a sophomore class followup'is planned 'for spring
1982.
585
6.15
IS STUDENT CHARACTERISTICS AND DEVELOPMENT
o

HS&B student data files that include questionnaire responses and basic
cognitive test scores for all,students in the sample are available; each record
has 638 variables. A preliminary school data tape with questionnaire
responses from 988 high schools (237 variables per record) is also available.
Parent, second-language, and teacher data files will be available for public
use m fall 1981. After the first followup survey is completed, a student file
igcluding base-year and followup responses, parental responses, second-
language information, and school characteristics will be developed. HS&B
codebooks and users' manuhls inchide frequencies for all variables in each

16:3.0/S-4
Higher Education General-Information Survey, National' Cente°..
for Education Statistits, U.S. Department of Education, Washington,
D.C. . -

Each fall,jhe Higher Education General Information Survey (HEGIS)

collects ektensive data from all 2- and 4-year public and nonpublic inititu-%
tions of- higher education. Data on opening fall enrollments and earned
degrees conferred, collectedannually, are available on tape from fall 1969.
Since 1972, the 'sample universe has included all institutions and their
'branch campuses.
Opening fall enrollment data are Collected to provid*a national count of
the number of students in higher education, based on comprehensive cover-
age of institutions and categories of students. Full-time, part-time, and
full-time-equivalent enrollment data are available, broken down by sex, for
first-time,
, undergraduate, graduate, unclassified, and first`- professional-
degree students.
Data on earned degress conferred by higher education institutions are
available on first professional degrees in selected fields; bachelor's,
master's, and doctor's degrees conferred inkelected disciplines; and degrees
and awards based on less than 4 years of work beyond high school.
. These data are available in published tabulations and on tape.

16:3.0/S-5
Higher Education Researchinstitute Studies of the Impact of
Student Financial Aid Programs: Study A, (HERI, cos Angeles.).
These longitudinal data files, developed as part of a major national
study of the impact of financial aid programs on students' decisions to attend
college and their college choice, include longitudinal measures of student
and college characteristics at three points in time: the beginning of the I Rh
grade, midway through the 12th grade, and at college entry.
Four major sw veys.were used to obtain data on student characteristics:
the Preliminary Scholastic Aptitude Test (PSAT) administered in October

586

616
 DATA SOURCES

1973; the Scholastic Aptitude Test (SAT) and the American College Testing
Program (ACT) for fall-winter 1974-75; and the Cooperative Institutional
Research Program (CIRP) for fall 1975. In completing these surveys,
students could indicate up to 12 possible college choices: two in the 1 I th
grade ,,six in the 12th grade, and four as entering college freshmen. College
choices areach point in time were described by data derived primarily from
Higher Education General. Information Survey (HEGIS), which were
merged on each student's record. Measures of the local higher education
en vironnitnt (the type and number of cc'lleges located near the student's
home addresOwere also tieveloped from HEGIS data and merged on each
student' s'record, ancreach record also includes 20 measures of the financial
aid characteristics of each student's: home state.
Three longitudinal files are available: ( I) an I I th- 12th grade file that 0

,,, has an unweighted sample size of approximately 724,000; (2) a 12th grade-
.. entering freshman file with an unweighted sample size of about 175,000;
and (3) an I 1 th-grade-12th-gradt-entering-freshman file with an .un-
. weighted sample size of approximately 115,000. ,

d
16:3.0/S.6'
National Longitudinal Stu of the High School Class of 1972
Study .Reports Update: Review and Annotation, National Center
for Education Statistics, U.S. Department of Education, Washington,

The ongoing National Longitudinal,Study (NLS) focuses on the educa-

tional, vocational, and personal development of high school graduates and
the personal, familial, social, institutional, and cultural factors that con-
tribute directly or indirectly to that development; The general pureose of the
NL$ is to establish a factual basis for verifying and refining Federal policy
COncerned with maximizing individual access to educational and vocational
opportunity, improving tkgeneral educational system, and assisting young
people toassurne a productive and satisfying adult role in American society.
The project is also deiigned to extend scientific 'knowledge Of human
development during the. period of transition from high schodl to adult
careers.
Base-year data were collected in 1972 from a national probability
sample of approximately 18,00g high school seniors at over 1,000 public,
private, and church-affiliated high schools: Students in low-income or high
minority group population areas, however, were oversampled. The base-
year. data include information on students' personal/family background;
educatiOn and work experiences, postsecondary plans, aspiratiOns,, and
attitudes; test results of verbal and nonverbal ability; and items from the
students' high school records.

-587-

617
10 STUDENT CHARACTERISTICS PMENT
by

In followup surveys conducted in 73, 974, 1976, and 1979, the

sample was augmented by almost 5,000 additional qudents from sample
schools that were unable to participate in the base -year survey;-response
rates have been exceptionally high. The followup data include information
on respondents' currei* status;' education, work, and bareeplans; and
aspiration and attitudes. A fifth followup is scheduled for 1985..
Base-year and followup data have been merged and are available on
computer tapes. Published tabular summaries are also' available.: for the
individual surveys.

National Longitudinal Study of the High School Class of 1972,

Mary Ellen Taylor, Cecille E. Stafford, and Carol Place, 104 pp.
(Center for. Educational Research. and Evaluation, Research Triangle
Park, N.C.).
The Study Reports Update provides a concise introduction to the
National Longitudinal Study (NLS)-by ,establishintan inventory of studies
that have used the NLS data base and summarizing their major findings. The,
report includes an overview of the NLS projecSo description of the data
base, review'; and summaries of 309 study reports Na :of which are based,on
studies thakwere in progress is of early 1981), and publication references.

National Longitudinal 'Surveys of. Labor Market Experience,

Center for Human Resource Research, Worthington, Ohio.

National Longitudinal Surveys Handbook, 116 pp. (Center. .for

Human Resource Research, Worthington, Ohio).
These longitudinal surveil, supported by the U.S: Department of
Labor, provide extensive information on the educational, occupational, and
personal characteristics and development of three samples of young adults:
(I) 5,000 yo rig men from whom personal interview and telephone survey
data have bee collected annually or biannually since 1966; (2) 5,000 young
women whose lives have'been similarly tracked since 1968; and (3) about
127600 young men and women for whom baseline data were collected in
1979 and who were followed up in -1980 and 1981. The two samples from the
late 1960's were selected to be representative of the nation's noninsti-
tutionalized civilian population ages 14-24; blacks were oversampled, and
account for about 30 percent of each survey cohort. The 1979 sample was
selected to represent the nation's 14- to 2I-year-old population; blacks,
HiwanicS, and economically disadvantaged whites were oversampied. The
data base inkludes information on sample members' educational attainments
and vocational training, family structure and family life, work history and
plans, and health, financial, and marital status. -
C.

** 6.1
 DATA SOURCES 101360

Personal interviews were conducted in 1981 with tie all-male sample,

Marking the 15th year of this study. The women were interviewed by
telephone in .1980, and rese. arch plans call for.another tekpholie interview in
1982Nollowedt by a personal interviewin 1983. Current plans are to follow
the 1979 sample over a 5-year period. Public use data tiles for the two earlier
surveys include base-year and followup data.
Base-Year data_are.available 'on tape forte 19794unple; data from the
first followup. were available in early fall 1981; and data from the second
followtip should be available in summer 1982.

This Handbook, published in 1981, describes the history of the National.

Longitudinal Surv4s studies, the content of the surveys, and sampling and
eStiniatpg procedures. Data tape availability is explained, and a biblio-
,
graphy includes references to all National' Longitudinal Surveys-based re-
search conducted to date.

16:3.0/S-8
Project TALENT; American Institutes for Research, Palo Alto,
1 Calif. .
-.. Publications Based op Project TALENT.Data; An Annotated
Bibliography, Emily A; Campbell, 209 11p. (American Institutes ¶or
Research, Palo Alto, Calif.). .
In MO, Project TALENT surveyed 9th through 12th grade students at
a 5 percent stratified random sample of the nation's high schools. Base-yea
information was collected on students' abilities, socioeconomic status, high
school curriculum, and educational and occupational interests and expecta-.
tions:. Each of the four grade cohorts of students was followed up 1,.5, and I
years after high :school graduation. 'Followup ,survey questionnaire
responses, provide data on the educational, occupational;,. and personal
experiences of the sample members. To ensure the representativenesS of
followup respondents, a special sample of 10,000 students (2,500 per grade .

cohort) was selected for intensive followup effort; about an 80 percent

response rate was obtained for this sample. Based on the special subsample
'responses, weights were developed to make the followup data representative-
of the initial sample. Current research plans call for the collection of data
from targeted subsamples rather than further large-scale follewup efforts.
Published tabulations of thdata are available. Data on the 400;000
indivtiduals in the master file can be obtained by requesting: (1) a special
analysis that is conducted at the AMerican Institutes of Research (AIR) (the
ar
data user receives a computer printout of the analysis results); (2) work tapes
that are created at AIR to the data user's-sample and variable Specifications;
and (3) public use files that include complete 1960 and I I-year followup
data on a representative set of 1,000 cases from each grade cohort, and l-
and 5-year followup data, as available, for these respondents.
4

589
, 61
 11111 STUDENT CHARACTERISTICS AND DEVELOPMENT
.-

A
A Project TALENT Data Bank Handbook (MB;.1977) provides information
on the study, its design, sample, available variables, analysis considera-
tions, and access to the data.:
The Anniteted Bibliography provides a general introductiOn to Project
TALENT and describes the major publications that were available as of late
1978; Ali studies using the Project TALENT data bank, whether conducted.
by AIR staff or other researCheri, are desigibed. These study desriptions,
include information about the data used and 'the method(s)Af analysis, a
summary of the research findings, and references to publicationi based on
the study.
 Student Financial Assistance

Lawrence IL Oladleux*

Student aid takes the form of grants, loans, and work-study

opportunities to help defray the tuition and nontuition (living) costs 'if 4
students attending colleges and universities. Funds for such direct
support of students now total over $15' billion annually from all
sources, making student -assistance a -major faCtor in the overall
financing of higher education. Government is by far, the largest
sponsOr of aid to students: while privately financed scholarships have
existed .since the early history of American colleges, state and
especially Federal student aid programs have ballooned in the past 15
1--
years. . .

: Aid to students rather than to institutions- -.emerged as_ the

principal-instrument of Federal higher education policy in the early
1970's. The Pell Gram and other need-tested' prugranis are designed
to foster equal opportunity by removing financial barriers to and
broadening access and choice in higher education.-Eligibility for such

*Thechapter on Student financial assititance in Higher Ethwatim Planning: A !alio:rap,*

Handbook (1979) was edited by Lois D. Rice. The original entries have been updated and
augmented.

501

621
17 STUDENT FINANCIAL ASSISTANCE

support, most'of which is directed to undergraduates from low- and

mdderate-income backgrounds, depends op the financial circum-
stances of students and their famillek
In 1978, the Congress passed the Middle Income Student As-
sistance Act to channel more Federal aid to families higher on. the
income scale. The -most far-reaching change was to, remove any
income or need, test for the Guaranteed Student Loan Program
AGSLI3), under which loans made primarily by commercial banks are
insured against default 'and generously subsidized by the(Govem-
ment. The subsequent explosion of loan volume and the rise of market
interest rates combined to drive up Federal obligations for interest
subsidies and other costs of the program, making it a prime target for
-budgVt cutting by the Reagan Administration host of proposals
have been under consideration since 1981 for reining in Federal .

spending on loans, as well as for other Federal student aid programs.

In addition to general programs designed to help stUdents meet
college' costs, the Federal Government provides entitlements for
special categories of students;--mostkotably-veterfins (through'the GI
Bill). and dependents' (ages 18 to 21) of Social Security beneficiaries.
Federal assistance has also been available, at least until recently, for
students studying iri particular fields, such as the health professions.or
law, enforcement.
Though state goyernments ntinue to channel the b_ tilk of their
support for higher education into operating subsidies for public insti-
tutions, the statesialso have become increasinfly committed to student
aid. Nearly all states support need-based scholarships and operate
direct or insured student loan prognuns. A few sponsor work -study
plans. that supplement Federal, efforts in this aea. Althbugh there has
been a general lack of coordinatiOn between Federal and state student
aid policies, many states have adjusted the terms of, their grant
programs to recognize the Federal Pell Grant program 'as the founda-
tion of sttfdent aid.
Despite the preeminence of government in providing student
financial assistance, postsecondary institutions continue 'to. .play
critical role in the actual delivery of aid to students. Campus aid
administrators exercisesonsiderable discrefion in establishing student
expense budgets find '`packaging" aid, combining gl and self-help
loan and work) funds from a variety 'of sources to %et individual
needs.
 STUDENT FINANCIAL ASSISTANCE 17
Student financial, assistance is a relatively new field of..public
policy development and 'professional administration: Much of the
available literature consists of informally published studies, mono-
graphs, and journatentries. An extensive Guide to the Literature of
Student Financial Aid (17:5.0/78) by Jerry S, Davis and William D.
Van Dusen Covers a great deal of fugitive material. A continuing
source technical research and commentary is the Jottrnal of Student
Finaficia Aid (17:5.0/S), published 'by the National As'sociation of
(Student Financial Aid Administrators. Another source of studies and
published material will be the Nationtll Commission on Student
. Financial Assistance after it completes its work and reports to
Congress in.late 1983.
The bibliographic 'entries presented he represent major pub-
lished volumes, reports, and statistical refetehces of relevance to state
and national planning. The chapter is divided into six 'parts that cover
various aspects of student financial assistance, as discussed below.
. Governmental Policies. Most of the entries under this subtopic
focus primarily onfederalinvolvement in student financial aid. Few
works broadly address state student aid issues, although a number of
individual state studies anti available.
Student Loans. Borrowing for college looms so large as a factor
in current patterns of student support that it warrants especial focus.
Included 'here are significant w,piks devoted primarily to the complex
issues andIttechanisms of credit financing for students. Entries under
other.subtopias also touch on student loan questions. ,
Governance, Administration, and Delivery" of Student Aid.
Successful implementation of public policy objectives in student aid
depends on a delivery system that invblves the Federal Goyernment,
states, institutions, and private service agencies. Entries under*this
subtopic address issues of equity, control, and standards in the man-
agement of such a system.
,Special Types and Recipienta ("Aid. Included here are studies
of veterans' educational assistance and F> le;a1 Security student
benefits, along with works on minority students, independent stu7
dents, part-time students, adult students, and students from families
receiving public assistance.
Statistical Studies and References. This subtopic covers key
sources of statistical data about student aid and general bibliographic
and.other references.
(

593

623
 17 STUDENT FINANCIAL ASSISTANCE

Cross-National Comparisons. A final subtopic includes one

entrywhat appears to be the only systematic comparative study of
student support policies in various countries, covering the United
.States and nine' other members of the Organization for Economic
Cooperation and Development. .

O TOPIC ORGANIZATION
17: Student Financial. Assistance
1.0 Governmental,Policies
2.0 Student Loans
,
3.0 Governance, Administration, and pelivery of Student Aid
4.0 -Special Types and Recipients of Aid
5.0 Statistical Studies and References
6.0 Cross-National Comparisons

1.0 GOVERNMENTAL POLICIES

17:1.0/81
The Federal Government, the States, and Higher Education,
Lawrence E. Gladieux and Janet S. Hansen, with CharlesR. Byce, 21
pp. (College Entrance Examination Board, New York).
This paper was written as a primer for 'state legislators and others
Pa concerned with the prciblems of financing higher education itrthe 1980's.
The report traces di development of Federal support for students and
colleges, notes its fragmented character, and describes the patterns of
support likely to continue in the 1980's. It gives special attention to student
financial aid, the one area of support where state and Federal efforts overlap
to a significant degree. In particular, jt notes the strains that have developed
as' Federal aid has grown, describes the dilemmas that states face as. they
adjust to Federal expansion and the changes they have made in their own
programs, and looks at budgetary constraints and fiscal federalism in higher
education. ,
The paper is a clear and relatively brief overview for readers Unfamiliar
- with the kinds and amounts of Federal aid flowing to states and students.

17:1.0/80
Federal Student .Assistance: Issues and Options, Congressional
Budget Office, 73,pp. (U.S. Government Printing Office, Wash-
ington, '
The. Congressional Budget Office 4CB0) prepared thisssue paper for
fiscal year 1981.as Congress was about to reauthorize the Higher Education

62,1
 GOVERNMENTAL POLICIES 1711.0

Act. The authors noted that a crucial issue in reauthorization was whether to
maintain or alter the existing.focus of Federal student assistance programs
and, in particular, whether to reduce and retarget these programs. Though
the apparent outcome of reauthorization was aw expansion of Student aid
-----.=efigibifity-andiunding-tevets7-tfie-electiog-of Ronald Reagan only a minth
after the new legislation became law was the opening salvo in a budget 'War
that promises to undo much of what was enacted in 1980.'
This development makes CRIDIs issue paper all the more interesting,
since CBO explicitly recognized. (Much earlier, than did the
Congress) the underlying contradiction. between continually expanding stu-
dent aid and' mounting pressures:to reduce Federal spending. In particular.
CBO noted that under the existing mix of programs (which the Education
'Amendments of 1980 left essentially unchanged), any future funding
constraints.` `would have the perverse effect of reducing assistance for needy
students while allowing assistance to students and families with little or no
financial need to increase without check," This is precisely the conundrum
that Congress found itself facing in 1981 as it attempted to shrink the Federal
budget.
In its issue paper, CBO also noted'that the Congress in 1980 had the
option of maintaining existing programs, expanding and redesigning the
Federal rolein student assistance, or reducing this role. The report examines
a Variety of options for achieving these;goals and. describes the costs and
distributional effects of the Various choices. ,

17:.1.0/79 0.

Neit Steps for the 19.808 in Student Financial Aid:. A Fourth

Alternative, Carnegie .Council on Policy. StUdies in Higher Educa-
tion, 68 pp. (Carnegie Council, Berkeley, Calif.}
The Carnegie Council, successor to the Carnegie ,Commission on
Higher Oucation, prepared this study to coincide with the re-examination of
student aid that occurred as part of the process of reauthorizing the Higher
tEducation in 1980. The Council 'predicted that the reauthorization
'in
debate would focus on three' alternatives: a simple extension of existing
legislation, continued expansion of eligibilitylor Federal assistance up the
income scale, andtuition tax credits. It proposed instead a fourth alternative:
"a major overhaul of the existing package of programs to make them more
equitable in their impact and more sound in their administrationwithin the
confines of about the same cost to the Federal and State Governments
combined."
The Council believed /hat, overall, no new spending on student fin-
ancial aid was needed. Rathek, its mcitnbers favored redirecting Federal
funds to areas of greater need, improving coordination beteeen Federal and
state programs, and increasing the integrity, simplicity, and flexibility of the
aid system.
_595

625
 ti

STUDENT FINANCIAL ASSISTANCE

11

The Council offered a number of interrelated proposals to ac %mplish

.its goals. The major new idba was to make sell-help the basic building Klock
of student financial aid, with all lower-division students expected to provide
$600. all upper-division students $1,000 before becoming eligible for
Federal-grants. The Council believed that thts self-help requirement could
take the place of the, controversial "half-cost" liMitation in the Basic
Educational Opportunity Grants (BEOG'S) program, which it' viewed as
unfairly restricting, aid to low-income 'students in public institutions. The
Council proposed enlarging College Work -Study and vastly expanding
Federal matching" of state ,scholarships, while redirecting Supplemental
Grants, as part of a strategy of expanding the range of choice'for students. It
reiterated..the Commission's earlier support for a National Student Loan
hank and for focusing BEOG's on°,the subsistence costs' facing college
students.. with state grants directed to help pay tuition expenses.
This study is typical or Carnegie Council pittlatations in its lucid
summary of the accomplishnients and weaknesses of student aid programs,
in .its view of the., various programs as part of a comprehensive student aid
system and in itsrcarefully reasoned proposals (or change. Unfortunittely,
however, polkymakers are not inclined to make major alterations in
.

' existing programs or to connect general goals and specific programs together
as rationally and comprehensively as theCouncil hash. In addition, some of
the COuneil's recomNe41240s, such as that calling for a vast expansion in
state aid, simply flew in the face of political and fiscal reality.'The Council's
proposals, therefore, had little effect do the Education Amadments
1980
Jossey-Bass. Incl., in the s me year published a longer version of this
report under the same title, inclu ing extensive statistical tables.

17:1.0/78-1 ,
Federal Aid to Postsecondary Students: Tax Allowances and
Alternative Subsidies, CongressioUal Budget Office, 68 pp. (CBO,, IlY

Washingtorf,P.C.).
4 Reacting to concerns about a "middle-inco squeeze" in 'the ability
of families to pay for college, Congress in 1977 and d 1978 seriously con-
sidered tuition tax credits for postsecondary expenses. As the debate heated
up, Chairman W'illiamPord of the House Subcommittee on Po secondary
Education asked the Congressional Budget Office (CBO) to prepare this
background paper on tax allowances foredu,cation and alternativi,subsidies.
The.studeremains timely since the issue of tax allowances (tuition tax
credits in partictlar) remains unresolved. In this report, the CBO considers
five alternatives: tax credit or credit/deduction options, BEOG'sostudent
loans, loans to parents, and tax deferrals. It uses five-criteria in evaluating

596'.
.."
626
 e

'GOVERNMENTAL POLICIES 171.0

7
.
each alternative: cost and distributional efficiency in aiding middle-income
fairness and equity, maintaining institutional diversity, ease of
47
administration': and budget visibility and controllability.
The options evaluated by the CBO were specific to the debate under:
way in the 95th Congreu, but the analysis is useful background for, anyone
interested in 'probing the issue of postsecondary tuition tax credits. The
report also provides a useful sumniary.of data up to I 978bn enrollment rates
. by income; the distribution' of Student.. aid by the relationships*
between college. costs, family incoite, student aid,aid, ag the general price
level; and the costs and distributional effects of various ways of subsidizios
the costs of higher education for middle-income families.

, R

.17:1.0/78 -2 .
Torid Equal Access, Humphrey Doermann, 143 pp; JCollege . .

Entrance Examination Board, New York)'. .

This small volume makes a plea to policymakers' and educational
leaders-4i continue the national effort toward equal educational Opportunity., '.
. Written at a time when public and Congressional attention was riveted on the
"middle-income squeeze," the study forcefully focuses attention on the
continued plight of the children of the poor.
Doermann documents his arguments. with statistical analyses and"
estiffiates of the distributionlof high school graduatekby aptitude and family .
income from 19614 to 1984. Drawing on a survey of high school counseldrs,
Doermann finds that there are still nearly 200,000 qualified young people
who are not in postsecondary education .because they lack money. The AP
enrollment 'oK,these students, often unemployed or underemployed, would .
..
not only be good publiE policy in Ittoe rtnann's view; but also wiitild cushion
some sectors of higher education against projected enrollment decliries
.
during the next decade. .
,
*
17:1.0/77 ,
Postsecondary Education:. The Current Federal Role and Al-
ternative. Approaches, CongressipnarBudget Office, 59 pp. (U.S.
Government Printing Office, Washington, D.C.).
Budget issue papers such as this, prepared by the Congressional Budget
Office (CBO), typically describe options open to the Congress lig a
2 particular fiscal year, with the choice of subject matter and the range of
optioil described depending or= CBO's judgments ,about timeliness and
plausibility.. ThN budget issue paper, for example, is catst in terms of
possible student aid appropriation actions forthe Federal fiscal year that
began on October 1, 1977.
e!

597,
62'
4
 STUDENT FINANCIAL ASSISTANCE

But last year's CBO papers are not necessarily like last week's news-
papers, for in introducing perishable budget options, CBO often provides a
stage-setting discussion of continuing value for researchers. It is on that
basis that this paper is-of enduring interest.
The paper first establishes a conceptual framework for classifying
Federal higher education goals, them to be: (1)_providing_equal
educational opportunity, (2) easing tile financial burden of college -at-
tenciance;and (3) maintaining and improving education institutions. The
paper then examines. the current state of affairs and demonstrates that
oppOrtunity is not yet equal, suggests that netcollege charm faced bylaw-
' and moderate-income families havedeclined as a percent of family income .

in recent years and for middle-income families have been stable, and
,expresses courteous doubt that the financial plight of the higher education
enterprise is worsening.
befOfemoVihg to Adiacussion of fiscal 1978 options, the paper
touches .on the impact of Federal spending in achieving,., higher education.
goals. The paper describes patterns of Federal spending and of shifts-in
student enrollments among income classes anceinstitutions, but ultimately
states no conclusion as to whether any of .the perceived changes are at-
tributable to Federal financial intervention's.

) 17:1.0/76
Co ress and the Colleges: The National Politics of Higher Edu-
catio Lawrence E. Gladieux and Thomas 14. Wolanin, 273 pp.
Heath and Co., Lexington, Mass.).
This is one of the few systematic studies of the formulation of Federal
higher education policy, focusing off the devolopment, passage, and out-
comes of the Education Amendments of 1972. The authors, each active
participants in the debates, interviewed 65 individuals in the Congress and
the elecutive branch, on the campuses, and in the higher education asaocia
dons to-portray the issues and politics that led to the 1972 enactment. The
case study is placed in an historical context and in the context of other
domestic policy initiatives during the Nixon era. A major focus of the
legislative struggle was whether Federal higher education policy should give
greater emphasis to aid to students or to general aid to institutions. The
decision in favor of student support set the pattern for at least'a decade.

17:1.0/75
Federal Student Assistance: A Review of Title IV of the Higher
Education Act, Consortium on Financing Higher Education, 824pp.
(University Press of New England, Hanover, N.H.).
This is an extensive, carefully documented report of 23 leading private
institutionsmembers of the Consortium on Financing Higher Education

598
62
7
 GOVERN MENTAL POLICIES I 7'11 .0

(COFHE)that agreed upon and presented! to the Congress recommenda-

tions for change in the Federal student aid programs under Title IV of the
Higher Education Act.
The report had little impact on Congress. Most recommendations for
substantive change failed during the 1976 reauthorization of the Higher
gducation Act, when the Congress decided to continue testing the new
programs it had authorized in 1972. and .to make only minor changes in the
older ones. Nonetheless, the COFHE report stands as a thoughtful, reaioned
analysis and provocative set of recommendations' for bringing greater
coherence to Federal student aid policy.

1 7:1 .0/70
Aspirations, E nts, and Resources, Joseph Froomkin 151
pp..(1.1.S. Government Prindng-Office, Washington, D.C.).
While the author describes this publication as a monograph, it is
actually a lengthy study designed to project, for the 1970's, the level of
Federal expenditures °required to meet the aspirations of Americans for
higher education, to support the national goal of equal opportunity, and to
p
maintain the quality and viability of colleges and universities. It is required
reading for all students of higher educationnot merely thoie concerned
with student finance.
Joseph Frootnkin, an economist, is a solid and meticulous analyst.
Rereading this well-written and lucid study a decade after publication, one is
struck by the accuracy of his projections of today's demand for higher
education, enrollments, program costs, and manpower needs. Froomkin
foresaw a c_reeping "middle- income - squeeze" in meeting increasing col-
lege costs. He suggests alternative subsidy mechanisms that.in retrospect,
might well have tempered price increases and possibly the currint -" middle-
class revolt" as %I/ell.
Froomkin documents the changing character of the higher education
population --the rising aspirations of women, minorities, and the children of
the poor and blue-collar workers. He clearly defines equal opportunity as the
achievement of parity of low-income students with high-income students in
their rates and timing of enrollment in higher education and in their pattehis
of attendance. Like the early Carnejie reports and the Rivlin Report,
Froomkin concludes that expanded rederal student assistance is the most
promising device touvercome unequal opportunities.
0
The volume has four parts. Part I uses a demand model and an equality
model to project social demand for higher education. Part II describes the
diversity of the postsecondary system, its costs, subsidies to students,
curricular offerings, and admissions policies. Part III focuses on graduate
education and the pros and cons for general institutional aid. Part IV

599 62a
 17 STUDENT FINANCIAL ASSISTANCE

estimates .the financial 'needs of students and institutions and discusses

alternative levels of Rlderal support for higher education.

17:1.0/69
Toward a Lonz-Range Plan for Federal Fimincial Support for
Higher_Education,, s,_.pe pa rt men t of Health, Education, and
Welfare* 73 pp. (U.S. Government Printing Office, Washington,
D.C.).
Almost simultaneously with the release of the first Carnegie Com-
d mission report (see 17:1.0T,158). but quite independently, an in-house
'government task force was compelling work;on a report that advanced
basically the same priorities' and recommended many of- the same
mechanisms of Federal supp6rt as Carnegie. Alice Rivlin-. an'economist and
Assistant Secretary of Health, Education, and Welfare, directed,.the study..
which was issued just betbre the Johnson Admini,stration, left office in
January 1969. The Rivlin Report, as it came to be known; converged.with
the Carnegie CommiSSion on the central objective of equal educational
opportunity and the pursuit 'of this objective primarily through student aid.
calling for a program that would "dramatically and clearly indicate that. the
Federal 'Government has established a policy of removing ;financial barriers
to college attendance."
The' report is a lucid analysis and forecast of the Federal role in
\ sup.porting higher education. Irrespective of its recommendations, it is a'.
hkodel of what government reports ought to be: a summary that summarizes,
a fist of clearly stated policy objectives, a fact-filled .description of the
Current- ktate of the :-subject (in this instance, hiiher education in the late
1960's). a discussion of major issues and alternatives; a set of priorities and
reCoinniendations,- and 'a' conclusion that connects recommendations to
objectives and-states-their estimated costs-over time. .

Though by no means hive all its recommendations been adoptedfor

example, the proposals_ for more financial support of graduate educa-
tionthis report clearly, had, and' still has, a persuasive message for
policymakers. .

17:1.0/68
Quality and Equality; New Levels of Federal Responsibility for
Higher Education, "Carnegie Commission on Higher Education, 54
pp. (McGraw-Hill Hook Co., New York).
This report, the first of the Carnegie Commission, anno(inced a posi-
tion and set of policy directions from which the Commission and its suc-
cessor body, the Carnegie Council. never deviated. Each body emphasized
that the nation's first priority is to fulfill the promise of eq4ality of educa-
tional opportunity. As the tit the report implies, the Commission saw no

60()

6;30
 GOVERNMENTAL POLICIES 1711.0
I
tension between quality and equality. "Strong institutions,- it said, "could
act energetically and aggressively to open new channels to equality of
opportunity.
The Commission recognize d and sought to preserve the traditional
roles of states and the private sector in financing higher education. It sEa
limits, however, to these resources..Thus, in this and subsequent reports; the.
Commission advocated an expanded role for the Federal Government in
financing higher education. .

In considering an enlarged Federal role, the Commission discussed

roposals for tuition tax credits and dismissed them as regressive. It also
rejected'general support of institutions. Neither, in its view, would assure
expansion of programs and priorities of primary national concern. Instead,
the Commission proposed a student aid approach that combines basic
opportunity grants for low- and moderate-income students, supplementary
aid. to Match non-Federal student grants, work-study, loans, and special
graduate student assistance. To expand the range of institutional options for
needy students, the Commission urged creation.of a National Student Loan
Bank, or at least the establishment of-a secondary loan Market.
In 1970, the Commission issued a brief supplement to Quality and
Equality, elaborating on and giving new force to its earlier proposals.
Legislation enacted by 'the Congress 2 years later incorporated at least the
essence if not 'the precise details of several Carnegie recommendations,
4) including Basic Grants for needy studen6. This program was to become the
engine of Federal. student aid expansion during the 1970's. The 1972
legislation also authorized Federal incentives for the states to set up or
expand their own scholarship programs, and it created a secondary market
for loans by chartering the Studirit Loan Marketing Association (Sallie
Mae).

See also 5:1.0/73-1 Financing Postsecondary Education in the-United

States, National Commission on the Financing of Postsecondary Education.
5:1.0/73-2 Higher Education: Who Payi? Who Benefits? Who Should
Pay?, Carnegie Commission on Higher Educatioa.
5:2.0/71 Financing Higher Education: Alternatives -'for the Federal
Government, M.D. Orwig, ed.
5:4.3/78 Public Policy and Private Higher Education David W.
Breneman and Chester E. Finn, Jr., eds.
12:1.3/80 A Program for Renewed Partnership: The Report of the
Sloan Commission on Government and Higher Education, Sloan Com-.
mission.
12:1.3/78-3 Scholars, Dollars, and Bureaucrats, Chester E. Finn, Jr.

601

63i
 17 STUDENT FINANCIAL ASSISTANCE

2.0 STUDENT LOANS

17:2.0/81
The Guaranteed Student Loan Program: Options for Controlling
Federal Costs While Preserving Needed Credit for College,
Washington Office of the College Bgard,, 25 pp. (College Entrance
Examination Board, Washington,- D.C.).
This paper was prepared as background for those grappling with what
may be the central issue of Federal higher education policy in the early
1980's: how to control the escalating Federal expense of student loans
without denying educational access to genuinely needy individuals or
threatening the survival of many colleges. Although part of the analysis will
soon- be dated because of its focus on the early proposals of the Reagan
Administratior and alternatives being considered by the Congress in _the , _
=budget debates of 1981, the report is a useful primer and constitutes the only
substantial reference on student loan issues in the altered, political" and
policymaking context resulting' from the November 1980. elections. The
report includes the history of legislative changes and the causes of the recent,
explosive growth in GSLP, as well as an examinationof 1 )licy options in
terms of estimated Federal cost savings andpoiential effects on the supply of
and demand for student loans.,

17:2.0/77
-Student Loans: Problems and Policy Alternatives, Lois R.
ell., 169 pp. (College Entrance Examination Boatd, New Yprk).
This volume contains Mt contributions of 20 people in addition to the
editor: 7 essays by 9 authors, and commentaries on those essays by another
11. The participants vary widely' in their perspectives and proposals for
student loam programs, but they share the responsibility and the credit for
final product remarkable for its clarity, balance, thoroughness, and utility to
policymakers and those who seek to comprehend theforces besotting policy
makers.
The essays are, in order: a historical recounting of the beginnings of
Federal student loan programs; an overview of student loan issues and policy
alternatives; a discussion and a defense of the role of the states in such loans;
an examination of a national student loan bank approach; an explotation.of
ways to make existing student loan programs simpler, more cost-effective,
and raiional; an inquiry into the problems of measuring and stating student
loan defaults; and reflections on the special problems of griduate student
!oan financing.
What gives this volume a special flavor is the spice. added by the
commentators, who remind readers that the problems are more complex and
the solutions not so straightforward as the several authors would have them

602

6 t) 9
 .

v
STUDENT LOANS 17:2.0

believe. Rea accompanies the dream, as it were, instead of occupying list

usual place ind.
As one of the commentators, Chester Finn, puts it, this volume
"obliges us tO think on ;.t least three levels: social philosophy (who pays for
higher educatIon?), commie 'analysis (the cost-effectiveness of various
'3,4tornatives), and what I would call, lacking a more felicitous phrase,
political and administrative reality." It is the insistence on just such three-
level thinking that distinguishes this volume from most writings on student
loan program' and makes it among the most valuable works on the subjeck

17:2.0/72
New Putt ns fOr College Lending: Income.Contingent Loans, P.
BruCe Jo nstone, 209 pp: (Columbia University Press, N.Y.).
This olume reports on a study, funded by the Ford Foundation, that
.
was sparked by Yale's 197Vaunching of a lending program in which student
borrowers had an option of tying their annual repayment obligations to
income received over about 25 years. D. Bruce Johnstone, with assistance
from Stephen Dresch, devoted a year to analyzing the financial, administra-
tive, legal, and public policy issues arising out of theincome contingent loan
concept.
The author Makes the initial point that income contingent loan pro-
posals are caught in the familiar controversy between those who treat all
student loan programs as unsound public policy mid those who regard them
as acceptable, inevitable, and improvable devices for helping finance higher
education costs. Chapter 2 prqsents the arguments for and against income
contingent loans, in concept -rather-than in*practice, and suggests that the
opponents raise questions with more than doctrinaire implication* .

Chapter 3 lists and describes the variety of income - contingent- lending

plans extant in the .early 1970's (no important 'new variations have been
described since then). Chapter 4 discusys the policy alternatives, all subject
to the author's conviction that generalizations in this field are unwarranted:
conclusions will depend on particular contexts, on inadequate (because not
available) economic data, and on judgments in areas yielding no single right
answer. Johnstone does, however, assert that external subsidization of
Income:contingent student loans would "do considerably more good" than
other current and unspecified uses of public higher education funds; that
there should be no debt forgiveness except in serious haidShip instances,
defjned as annual payments exceeding 4 percent of income over 10 or 15
'years; and that repayment scheduleS should be long term: q-

Chapter 5 describes the financial implications of various combinations

of policy choices for income- contingent lending. The sixth and final chapter
contains Johnstone's view of the future role for such lending programs. He
argues persuasively that any such planindeed, any sizable student loan

603

633
 17 STUDENT FINANCIAL ASSISTANCE
a

program, income contingent or otherwiserequires the government to

either provide the funds or absorb the capital risk." Given that fundamental
point, he sees "income, contingency as an exciting and potentially valuable
type of loan contract."

17:2.0/71 .
Credit for College: Public Polk); for Student Loons, Robert W.
Hartman, 152 pp. (MCGraw;Hill Book Co., New York).
Tht Carnegie Commission on Higher Education; impressed in the late
1960's with the' growing importance and complexity of student loan ar-
rangements, commissioned a study from the BrOokings institution. This _
volume, which reports on that stuily, includes six chapters (95 pages) of ..
analytical materials by Robert W. Hartman, plus his summarrof a April
1,970 Brookings conference attended Sv 35 economists, bankers, educators,
and gov,ernment officials who discussed the problerns'of student loan pep-
grams and proposals for change.
Hartman first describei the philosophical baseS for analysis of student
loan, programs, from the 'one extreme holding that, higher education
primarily confers private benefits, to the other extreme emphasizing that its
benefits are primarily public. ,The advocates of the first position have no
problems with loans as such, though they are opposed to their public
subsidization. Proponents of the latter position regard loans as devices to
shift the costs 'of public benefits to private shoulders, and they therefore
*oppose efforts to make student loans easier to obtain.
The author suggests in Chapter I that the debate would be more useful if
it were_ not over whether there should be subsidies for studentsmanifestly
,there arebut rather how great the subsidies should be, what form they
should take,, and who should benefit. from them. He proceed with his
analysis by devotins- three chapter to descriptions of the workings and effects
of existing loan programs. Chapter 5 gives Hartman's 'conclusions about two
questions: Who gets the benefit of present loan programs? WhOishould get
them?
Hartman's chief contribution is in Chapter 5, where he distinguishes
between governmental intervention that actually makes student borrowing
possible and governmental subsidies in the form of zero or low-interest
rates. He sees the former as appropriate, irrespective of the income class of
the borrower, and the latter as inappropriate, as a capriCiously distributed
transfer payment from taxpayers to borrowers (always excepting loan pick
grams highly targeted on low-income students). He also points out that
easing repayment provisions, thereby prolonging interest subsidies, is to ask
society to pay for greater consumption by young college graduates, and he
questions this on equity grounds.

604

4
 dOVERNANCE, ADMINISTRATION, AND 1 713.0
DELIVERY OF STUDENT AID

Chapter 6 is devoted mainly to'a discussion of a national student loan

bank, and suggests that such a bank is the superior alternative regardless of
one's views on why° shoUld be subsidized and .by how much. Hartman
concludes the chapter with four pages on the equity and efficiency of NDSL
teachej loan cancellations; he finds little of either in the, program.

See also: 5:4.3/74 Paying for College: Financing Education at Nine

Private Institutions, Sloagi Study Consortium.

3.0 . GOVERNANCE, ADMINISTRATION, AND

DELIVERY 0 StUDENT AID

17:3.0/81-1
Institutionally-Funded Student Financial Aid; Nathan Dickmeyer,
John Wessels, and Sharon'Coldren, eds., 120 pp. (American Council
on Education, Washington, D.C.).
While government programs' contribute by far the largest share of
studentfinancial aid, institutions themselves independently provide a good
deal of money to help students cover tuition, rooni, board, and other
.expenses of college attendance. This study describes the magnitude and
nature of student ;lid that colleges and universities award at their own
discretion.
Inaltutionally funded student aid, as defined for pUrposes of the study,
comes 'from three primary sources:' the instituion's own unrestricted
(general ) funds, endowment revenues restricted to student financial aid, and
privategifts designated:for student assistance.
The report disctisses such aid in the total context of student support
programs and in relation to tuition policies, the recruitment of students,
institutional vitality, and government policy' objectives-. Although most of
the data on which the study is based are several years old, the report fills a
significant gap in knowledge about patterns of student finance. Both gov-
ernment and institutional policymakers will rind it useful.

17:3.0/81-2
Renewing and Developing theyartnership: Federal/State/Campus
Cooperation in Student Financial Aid, Robert H. Fenske and
Patricia L. Clark, eds.; 74 pp. (American College Testing Program,
Iowa City, Ia. 1.
This papeCreports on a conference on4cCuTaent financial aid sponsored in
1980 by the Departinent of Higher and Adult Education at Arizona State
University. .The' conference brought together a small group of student aid .
leaders .from the .Federal and state governments, institutions, and asSocia.-
tions to discuss issues of governance and coordination.
605

635
 14

17 STUDENT FINANCIAL ASSISTANCE

The conference report provides a-useful overview of the development,

accmplishments, and problems of the Coalition for the Coordination of
Stile lent Financial Aid, the voluntary, group that grew out of the recom-
mendations of the Keppel Task Force (see, 17:3.0/75). The Coalition
represents the attempt of non-Federal constituencies to cope with the transfer
of major influence over-financial aid policies to -Washington that ac-
companied the enormous,, increase in Federal aid programs in the 1970's.
Discussior of the Coalition and its future illuminates the tensions in the
student aid "partnership" and the varying views of governance issues held
by different partners in the student assistance enterprise.
The conference report inclides two papers on the future of the financial
aid partnership, one urging a reinforced, voluntary coalition and the other
proposing alternative governance structures; including some that move
beyond the idea of voluntarism. For the moment, a revitalized coalition is
the mechanism chosen by the partners for addressing common interests.

17:3.0/81-3
Student Aid andthe.Urin Poor, Washington Office of the College
Board, 48 pp. (The Ford Foundation, New York).
Despite the billions of dollars spent on student aid programs for needy
individuals in the past decade, young people from low-income families
continue to enroll in higher-edUcation at a much lower rate than youngsters
from wealthier families. Macy of these low-income families are- cotE--
centrated in troubled inner cities, whose problems are increased by the
inability of any residents to break the chains'of poverty and poor educe-

This reix?rt Suggesti that part of the reason student -aid ptograins have
a not been more effective in promoting educational access and opportunity for.
law-income urban youth lies in the eomplekity of the lid system itself. The,
report shows that the system is complex,,conftising, and subject to frequent
changes. It may be especially intimidating to low-income families, who are
not accustomed to dealing with detailed financial records and forms that
seem to reflect middle-class norms and lifestyles. Good inforMation and
counselng are essentill but frequently unavailable.
A number of changes could be made in the student aid system to meet
the special needs of the urban poor. The report discusses ways of stream-
lining the process, improvintcommunications with students, personalizing
the system.through better one-to-one counseling, and changing existing law.

17:3.0/80
The Impact of Student Financial Aid on Institutions, Joe B.
Flenry, ed., 110 pp. (Jossey-Bass, San Francisco).
The 'growth and' complexity of student aid pose an array of
philoiophical and practical issues for college administrators. This loose

606
 , GOVERNANCE, ADMINISTRATION, AND 11 71,11.A/
4
DELIVERY OF 'STUDENT AID

collection of essays considers. student assistance from the vantage point of

the campus 'and in relation to many aspects of college management,fm-
ance. planning, marketing, enrollments, student counseling and information
services, and student development. .

The volume, devotes considerable attention to options, for simplifying

the mechanics by . which students apply for and receive benefitsthe
"delivery system" of student aid. A bewildering multiplicity of programs,
funding sources, application procedures,' deridllnes, rules, and eligibility
standards characterize the current system, While this volume is intended
primarily for institutional policymakers, the nagging problems of the
delivery system involve regulations and decisionsby government agencies.
Federal and state policymakers may thus also be interested in some of these
campus perspectives on the student aid process.

:17:3.0/79
The Coming Crisis in StUdentAid; Van Dusen, -34 pp.
(Aspen Institute for Humanistic Studies, New 'CF.
York). .

The title of this publication overstates the concerns Of a group of experts.

who gathered in Aspen in summer.of 1978 to examine the state of student
aid policy 'and 4iggest1sSties that needed to be addressed as Congress began
reviewing student aid legislation in 1979. While nOt actually predicting a
crisis, the participants did agree that the enormous growth of student aid
programs, without coordinated planning, or clear-cut goals, and the in-
creasing complexity of the system raise critical public policy issues that need
_

resolUtion.
This paper reviews the participant-identified issues under severalbroad
headings: the goals and commitments of-student aid, the funding of student
lok
aid, the operation of the student aid system, the governance of student aid,
and the rile of student 'aid in 'maintaining desired levels of participation in
postsecondary education.

17:3.0/77
Recommendations for Improved Management of Federal Stu-
dent Aid, Programs, Student Financial 4ssistance Study Group, 203
pp. (U.S; -Department of Health, Education -and Welfare, Wash--
ington, D.C.).
In October 1976, Secretary David Mathews appointed a I2-member
study group from outside the government to examine the management of
HEW student aid programs and to make recommendations for improvement,
The group submitted its final report to Secretary Joseph A. Califano in June
1977. While it might be supposed that the intervening change in Administra-
tions would have meant a perfunctory discharge of the study group's task, in
fact it produced a major contribution to the literature on student aid pro-
grams, .

607

6,3
ca

17 STUDENT FINANCIAL ASSISTANCE

After observing, that the Federal Government has no overall philosophy

of
of financial assistance to student*, with governing .legislation that is a
,

patchwork and an administering agency (HEW) that had given **little

'thought to good organizaticinal management of control,'' the study group.
'produces, explains, and justifies 14' recommendations for reform in the
"administration of student aid programs,
Sortie .of the recommendations are 'of limited interest because. they
involve correcting bureaucratic shortcomings that annoy and impede but in
,themselves present no policy issue of any consequence (such as the failure to
Prepare manuals and handbooks for most of the prograrn).,.However, most
of' the recommendations flow frOm informed!and thoughtful. judgments
about perceived flaWs in the equity-and efficiency of the programs, and so
have a claim to attention' from 'a wider audience than a handful of Federal
administrators. , ' j
The report is oganize& into three chapters. Chapter I deals with,'
-) eligibility and includes subchapters on institutions, students, and lenders.
Each subchapter begins with a section. on background and-issues and is ,

followed by. detailed recommendations, each ofwhich is.accompanied by a

statement of its ,rationale. 'The other chapters 'are similarly. constructed.
.Chapter II deals'with delivery systems, with subchapters on allocation of
fiinds for campus-based programs, the institutional funding process for
thoseprograMs, the student application and award process. information
e 'needs of parents and students, and payment processes...Chapter-ill is devoted
to program management and integrity. Subchapters here cover organization
.\ - and staffing, program management,' training, and program integrity.

17:3.0/75
_ National Task Force .on Student Aid Problems, Final Report,
92 pp. (Available from National Association, of Student 'Financial
Aid Administrators, Washington, D.C.).
This Mime is commonly called the Keppel Report after Francis
. .Keppel, former U.S. Commissioner of Eciaation and chairperson of fhe
National Task Force on Student Aid Problems. initiated -ny -the College
Board. and supported by .a group of fOundations, the Ta:.'c Force was a
voluntary association of representatives of government, higher education
associations, and institutions who sought to achieve one goal sim-
plification of the administration and operation of an increasingly complex
set of Federal, state, and institutional student aid programs.
The report is unique because it produced rapid, results. The Task Force
recommended, a common rata form for aid applicants, a. uniforni
methodology for determining financial need, andrevisions in the conflicting
schedules for aid applications and awards. For the most part, these recom-
608
 GOVERNANCE, ADMINISTRATION, AND 1713.0
DELIVERY OF STUDENT AID

mendations have been adopted in state, Federal, and institutional student aid
prograMs.
The Task Force would be the first to admit, however, that it fell short of
its stated goal. The aid process is still Complicated, COnfusing, and chaotic,
particularly for students and parents. There are now common data elements
but on several different forms, a unifrom methodology for the administration
of somebut not all student aid programs, and little early assurance for
students of t'l.e kinds and specific amount of aid they might receive.
ry

17:3.0/71"
New ApProacheti to Student Financial Air, Panel on'Student Fin-
ancial Need Analysis, 133 pp. (College Entrance Examination Board,
New York).
Since the founding of the College Scholarship Service (CSS) in 1954,
financial assistance has keen increasingly awarded to students on the basis of
demonstrated need. Now about 5,000 institutions, nearly two-thirds of the
states, and numerous private agencies use the CSS to compute "need,"
.meaning the difference between student and parental Silky to pay (a
Subjective deterMination) and cost of attendince (a comparatively objective
fact).
This report is the work of a blue ribbon panel chaired by the late Allan
M. Cartterand appointed by the College Board in 1969 "to review within
(the current frame of reference of parental responsibility the present CSS
system." The panel was clearly troubled by the limits of its charge because it
saw an emerging shift from parental to social responsibility for higher
educational costs, especially as_ more low- income students entered college.
The allocation of responsibility among the three groups that.payparents,
students, and societyis at the center of today's debate over the form and
direction of student finance.
Among its numerous reCommendations for the CSS; the panel urges
additional aid for low-income students through inclusion of a "negative
contribution" and a reduction in their expected contribution to educational
expenses from summer earnings. Following the panel's suggestions, the
CSS adopted the "negative contribution," but it has not been Widely used by
institutions or in public :programs designed to enhance educational op-
portunities for the neediest students. The panel also recommends the
, incorporation of estimates of future earnings and living
costs into needs
analysis. Such estimates, in the panel's view, are realistic and just, but have
never been attempted in practice.

The panel's most significant .contribution lies outside its review of

needs analysis. Using survey.data supplied by colleges,'the panel found that
need as the primary deterthinant of aid is a "hoped for" goal and not a
reality. Not only are sig ificarit resources allocated Without'regard to need or
609
639
 k!,:`
, .
0

17 STUDENT FINANCIAL ASSISTANCE

national nurpose, but also high need is a deterrent to admission for many
, low-incOme stuAents; when they*are admitted and given aid, it is morellikely
to be in the form of loans and work. The'panel concludes that receipt of
institutionally controlled or administered giant aid continues to be highly.
correlated .with student ability as measured by test scores and high school
grades; Institutions still administer large sums of public monies, and there
have been few, if any, recent studies that contradict the Canter Panel's
findings. ln fact, sojne recent studies demonstrate that with increaset1
Federal funds, institutions are increasingly using their own funds to award
aid
,
without reference to need.

4.0 SPECIAL TYPES AND RECIPIENTS OF AID

17:4.0/80
- ---

The Interaction of Public Assistance and Student Financial Aid,

Nancy R. Murdrick, 19 pp. (College. Entrance Examination Board,
New York). -
Low-income familieS may be eligible for financial help in the form of
both public assistance to meet everyday living expenses and student
financial aid to help pay college costs. Public assistance and student aid
programs, however, operate largely independently of one another, and
families receiving both kinds of help can suffer.unexpected and frequently
unintended consequences.
This preliminary study of a largely unexpbred!problem shows, using
case studies based on New York State laws and regulations i how families
receivin aid from one source sometjmes find their eligibility for aid from
the other source reduced, The actual effects the interaction of student aid
and public assistance .differ from state to tate' and Also from family to
faMily: One result is that low-income families'have almost no way of
knowing in advance what resources they will have for meeting college costs
and therefore may be discouraged from participating in post:secondary
education. The papenexplores these problems and suggests some possible
remedies.

17:4.0/78
Veterans' Educational Benefits: Issues Concerning the GI Bill, .

Congressional BUdget Office, 53 pp. (U.S. Government Printing

Office, Washington, D.C.):
This study ,is one of two (see also 17:4.0/73) done during the 1970's
that grew, out of congressional questions about the Vletnaqi era G1 bill, in
this case, about the adequacy of educational benefits in veterans' read-
justment to civilian life and the effects of these benefits on the educational

GC' f 610
 o .r

SPECIAL TYPES AND RECIPIENTS OF AID th4.O

community. This volume addresses these two concerns and evaluates pro-
posals to raisebenetits and extend the eligibility period.
The analysis will be useful to anyone interested in the baekground and
ithpact of educational assistance to veterans. Since this study was published,
however, concerns about the adequacy and eduCational effects of Vietnam-
era' veterans' benefits have been eclipsed by a more pressing concern: how
educational benefits Can or should affect military recruitment."The issues of
national defense and the effects of the All Volunteer Force have refocused
attention on the role of educational benefit programs in attracting volunteers
lathe military and keeping them in the service past their enlistment period,
questions that are not addressed in this report. .

17:4.0/77
Social Security Benefits for Students, Congressional Budget Of-
fice-,-25 pp.- (U.S. Government -PrintingOffice, Washington,D:C.).
This paper, requested by the Subcommittee on Postsecondary Educii-
t ion of the House of Representatives Committee on Education and Labor, is
an important part .of the .scarce literature ort a little-publicized $2 billkin
Federal student aid program: the continuation of Social Security dependents
benefits to ',18- to 21-year-olds. who would lose their' status as eligible
beneficiaries if they were not full-time students.
The paper begins with a description of the origin. of Social Security
student benefits in 1965 (when no Federal student grant programs existed).
and traces the growth of these benefits over the next decade, by which time
.they.included one- eighth of all futl-time enrolled 18- to 21-year-olds, The
authOt identifies'several policy issues that were either inherent in the pro-
gram when enacted or have risen by reason of subsequent Federal legislation
creating other delivery systems for student aid. The main issues identified
grew out of:11) the meth_ od of financing the Student benefits; (2) the absence
of...a rieittcis test (about one third of the beneficiaries come from families
aboye.**median income level); (3) the lack of cohererice. between Social
Security. student benefits and other. Fed6ral student aid. programs that were
enacted later; and (4) confusiotrover the nature of the program (i.e., is it aid
to to hOior is Wald to families ?).
The piper concludes with a discussion of the budget implications:and
,the arguments for and against various possible changes in the program,
;

ranging from a shift of its financing to general revenues to its complete

termination.

611 64i
 17 STUDENT FINANCIAL. ASSISTANCE

17:4.0174-1
Financing Part -time Students, Committee on the Financing of
Higher Education for Adult Students, Robert J. Pitchell, Chairman,
118 pp. (American Council on Education, Washington, D.C.).
ilt This volume contains the report of the American Council on Educa-
tion's Committee on the Financing of Higher Education for Adult. Student's.
The ComMittee 1, sports four principal findings. First, a ma_jOrity of all
postsecondary students attend school on a part4ime basis, and their propor-
tion of the whole is increasing. Second, part-time students are essentially
different from full-time students: they are mostly employed, they are'older,
and they are more concerned with occupational needs. Partitimephd full-
. time students are alike, however, in seriousness of purpose, in ability, and in
performance. Third, regardless of family income, part-time students on the
whole, when compared to full-time students, are massively discriminated
against iii financial terms. Fourth, Federal and state categorical problem-
solving programs (such as Cooperative agricultureextension, law enforce-
ment assistance, and drug abuse education) satisfy the educational needs of
special adult clientele groups in a Manner not possible. undet any other
organizatiOnal or financing scheme.
The Committee recommends a number of changes calculated to correct
the i mi i ation it perceives, including proportional eligibility for student
financi istance-as. a matter of right, and tax credits for individual
wage-earner educ nal expenditures, even if not directly related to
employment. Th ommittee believes that, by and large, professional and
occupational cont uing education should be financed from private sources.
The Committee also urges Federal general support- for strengthening institu-
tional delivery systems for part-time students3hose education'and training
would serve the public interest.

17:4,0/74-2
Who Pays? Who Benefits? College Scholarship Service, 102 pp.
(Cotiege Entrance Examination Board, New York).
Following the 1971 ratification of the 26th Amendmentwhich
lowered the voting age to I8the problems, real and fancied, attendant
upon the independent student grew rapidly, as did the numbers of such
students, causing much policy confusion amontinlaitutioits and financial
aid administrators. Given. this situation, 'the College Scholarship Service
convened a national invitational conference on the independent 'student in
the spring of 1974, at which the 140 participants explored such fisues as:
What is an independent student? What are the psychological and social
implications for students, and the economic and political implications for
everybody, growing out of the rising numbers ofyoung people claiming and
being granted status as independent adults?

612'
 SPECIAL TYPES AND RECIPIENTS OF AID 1714.0

The conference heard presentation's from experts- in popes, eco-

nomies, sociology, financial aid, and law. Those presentations, plusaPaper
delivered by -a spokesperson for the Natidhal Student Lobby, make up the
'-,body of this volume. While to some extent the conferees were concerned wide'
ninfinancial issues (mainly involving the vanishing role of institutions as
regulators of student behavior), they were overwhelmingly interested in
discuss' mopey, who should get it, and on the basis of what standards.
The conference concluded without formally adopting any policy posi-
tions or recommendations. But there evidently was general agreement on the
following propositions: (1)-, financial information from all parents of,
dependent aid applicants should be expected. , and parental ability (not
willingness),to pay should enter into award decisions: and (2) in deciding
who is independent, and therefore for whom parental financial information
'would be irrelevant, the test used should be that the student is not currently
claimed as a dependent for Federal income-tax purposes by anyone other
than a spouse, and that the student certifies that no support will be received
from parents during the year for which aid is requested.

17:4.0/73 .

Educational Assistance to Veterans: A Comparative: Study of

Three GI Bills, James L. Buckman, 443 pp. (Educational Testing
Service, Princeton, N.J.).
In the spring of 1973, the Congress directed-theVeterans AdMinistra-
tion to-obtain "an independent sttatb0Smparing the adequacy and ef=
fectiveness of educational assistance programs for Vietnam era veterans
with those that followed World War H and the Korean War. This report is the '
product of that study.
The title of the report suggests that the authors were examining
statutory provisions, whereas in fact they made an extended study of the
operations of the three GI Bill programs involved, to include comparisons of
participation rates, ,enefits, kinds of training obtained, extent of counseling
provided, fraud and abuse, impact on the disadvantaged, and the like.
The report is valuable chiefly as a historical and statistical chronicle.of
the peaks and valleys of changing social and political attitudes about educa-
tional,assistance for ex-servicemen. While, supegicially, the attitudes have
remained more or less constant, actual experiences have been far different.
World War II was a "popular" war in which most able-bodied young males
served, and they were returned to civilian life in huge numbers over a single
I 8-month period. Vietnam was an unpopular war in which most able-bodied
males did not serve, and those who came back to civilian life did so in
monthly driblets over an 8-year period. It has taken a continuous act of will

613

63
 -7-
11 STUDENt FINANCIAL. ASSISTANCE

to avoid blaming Vietnam-era veterans for their own plight. Unlike their
fathers; they got no parades. And the Bowman report suggests, though it
falls short of demonstrating conclusively, that they got less educational'
assistance as well, however measured.

5.0 STATISTICAL STUDIES AND REFERENCES

41.

17:5.0/A-1
National' Association of State. Scholarship and Grant Programs,
Annual SurveY; Pennsylvania Higher Education Assistance Agency
(PHEAA, Harrisburg, Pa.).
This annual survey of state need-based scholarship and grant programs
was first conducted in 1969-70. The survey is primarily descriptive, pro-
viding basic infonnatiofron each state 'program such as funding level and
number of awards, eligibility, need analysis methods, and packaging
philosophy.

17:5.0/A-2
The College Cost Book, 19-- (College Entrance Examination Board,
New York).
For the past 10 years, the College Board has annually published-the
budgets that institutions use and submit to the College Scholarship Service
(CSS) to determine the financial need of aid- applicants. At first, this
publication (formerly titled student Expenses at Postsecondary Institutions)
was simply a COMprtidium of student budgets.with some brief introductory
comments. It thetefoire had little use outside the CSS membership. Now it is
a "best seller''antong school counselors and parents, who use the bildget in
conjunction with another College Board publication, Meeting College
Costs, to derive preliminary estimates of student financial need at any one of
abotit 2,700 postsecondary institutions.
Researchers, planners, and members of the press'also use this publica-
tion to track year-to-year changes in college costs. Unlike the cost data
published by, the National Center- for Education Statistics based on its Higher
Education General Information Survey (HEGIS), the CSS data are
reports of average costs of reporting institutions rather than weighted
average costs of all institutions. For some researchers, this is one of the few
shortcomings of this useful publication.

614
 _ STATISTICAL STUDIES AND REFERENCES I 7111.0

17:54/A-3
CSS Need Analysis: Theory and Computes ion Procedures for the
19-- FAF, College Scholarship Service, approx. 140 pp. (College
Entrance Examination Board, New York>. .

This book, issued annually, describes the theory and rationale for the
College Scholarship Service's (CSS's) system for determining the financial
need of aid applicants. It contains a number of sample cases and tables from
which one can easily infer the "expected contributions" id' educational
expenses from families and students with differing economic circumstances.
The.book also prescribes methOds for treatIni families with unusual cir7
cUmstaneese.g., divorced, separated;'businesspersoniand farmers.
In addition to these technical sections, the, book contains a brief history
of the College Scholarship Service,..and a discussion of the'Principles and
Practices' of Student financial °Aid Administration, which have been
endorsedby-the nearly 2,000 institutional members of the CSS Assembly.
The book stresses that individual financial aid administrator's must use
thehr.own judgment in deterrnining,student need. The CSS system, however
rational and sophisticated, cannot substitute for the experience of aid
rninistrators who must deal with individual families and individual
roblerns.

17:5.0/A-4
Fiscal Operations Report/Application for Campus-Based Aid
(FISAP), U.S. Department of Education, computer tape, (U.S.
Department of Education, Washington, D.C.).
Each year over 3;000 postsecondary "institutions complete a form
required for institutional participation iwthe three so-called campus-based
Federal student aid programs: College Work Study, National Direct Student
Loans, and Suppleinental, Eduealional Opportunity Grants. The_ -Fiscal
OperatiOns"section of the form requestk. data on the recipients of campus-
based funds in the previous year by income, and information regarding the
disbursement and management of program funds. The "Application" sec-
tion asks for information on cu{ ent year enrolldent, the-ThresurAvOtion
of the:previpus yar's finariciallth applicants, and the amount of Pell Grants
and Slate need-based grant funds the inFtitution received.
The universal nature of the FISAP allows analysis of theprogrameas
they operate at a single institution, as well as in the aggregate on:state,
regional, and national levels. In 1978, the Application was consolidated
with the Fiscal Operations reptirt, thus providing in one source extensive
inf rmation on aid recipients and institutional efforein student aid. The
annual FISAP data, on computer tape, may be obtainedon request from the
U.S, Department of Education, Washington, D.C.

615

11

64_4
17 STUDENT FINANCIAL ASSISTANCE
it

See: 16:3.0/A-1 The American Freshman: National,Norms [Or`Fall

19--, Alexander W. AstinNargo R. King, and Gerald T. Richardson
This annual survey (commonly khOwn as the CIRPc survey) of first-
time, full-time freshmen enrolled al institutions of higher education was
begun in 4966. Sample sizes differ from year to year, but the survey
generally includes between 150,000 and 250,000 students at over 300
nationally representative institutions. Students are asked to provide informa-
tion on their demographic and economic background, sources of financial et
aid, educational experience; educational and career,aspirations, and at-k'
titudes to rious,aspects of society and the student's role within it.
. T CIRP su has significant limitations. It does not cover part-time
or olde searchers consider the financial aid informa-
tion un able cause it is st ent reported. However, the survey provides
the only available means for xamining changes in the profiles, attitudes,
and financing patterns of i oming freshmen over along period of time. The N._
survey has been especially useful in revealing, changes the means by
which students finance college during a period that saw tremendous growth
and change in government programs.
Information abbut the surveys can be obtained from the Laboratory for
Research on Higher Education, Graduate School of Education, University
of California, Los Angeles.

17:5.0/S
The Journal of Student Financial Aid, National Association of
Student Financial Aid Administrators (Washington, D.C.).
Thisjournal, published several times a year, is the official publication of
the National Association of Student Financial Aid Administrators. It is a
continuing source of technical researcltand commentary on student financial _

aid, with an emphasis on Policy and managerial problems at the campus

level. A recent feature of the Journal is regular listings of relevant disserta-
"<).

tions in progress or completed.

17:5.0/81-1 F

State Need-Based College Scholarship and Grant Programs: A

Study of Their Development, 1969-1980, Robert Fenske and joseph.
D. Boyd, 51 pp. (College Entrance Examination 'Board, New York).
For H years, as director of the Illinois State Scholarship Commission,
Joseph Boyd conducted the annual survey (see 17:5.0/A-1) of state
scholarship and grant survey on behalf of the Nitional Associatibn of State
Scholarship and Grant Programs (NASSGP). In this paper (Report No.
81-7), he and Robert Fenske, summarize the data collected over those years
and describe the origins' of state programs, iheir relationships to other
sources of student assistance, differences among states, and the outlook for
state aid in the 1980's. The annual NASSGP survey is the best source of data

616

66
O

0 STATISTICAL STUDIES AND REFERENCES 170.0

on state studthtt aid programs, and this paper is especially valuable because
most of the individual annual reports from previous years are no longer
available.

17:5.0/81-2
The Initial Impact of the Middle Income Student Assistance Act
Upoiri Undergraduate Student Aid Recipients at Independent
Colleges and Universities, Virgi a Ann Hodgkinson, 136 pp.
(Natiolal Institute of Independe olleges and Universities, Wash- ,
D.C.).,, -dr
rr
The National Institute of Independent' Colleges and Universities
( NIICU) is _assembling a valuable new data base on aid to students at
independent collegetancituniversities. Unlikemost student aid information,
which is based on program statistics and reveals little about the impact of aid
polities-On individual students, the NIICU data are based-on surveys-of
stedent aid records for a sample of students at selected private 2-year and
4-year colleges. NEICU is collecting demographic data, information on costs
of attendance, and detailed descriptions of financial aid by source for each
student in the sample.
This monographis one ofdthe first in a series of periodic report be
ppblished on student aid id the independent sector. It draws on results of the
1978-79 and 1979-80 NIICU surveys of undergraduate student aid records,
comparing the characteristics of recipients and of student aid packages
before and after passage of° the. Middle Income Student Assistance Act
(MEW). The report furnishes a wealth of data about how parents and
'students financea private college elation and how various forms of aid are _

distributed on the campuses.

'As a spin-off of the_NIICU'data collection effort, th.ce other associa=
tionsthe National Msociation of State Universities and Land-Grant Col-
leges, the American Association of State Collegescand Universities, and the
American Association of Comrhunity and Junior Collegeshave begun to
compile a similar data bass on student aid in public institutions of higher
education. The first survey covering the public sector is being conducted in
the academic year 19,81-82, and published reports comparable to NIICU's
will followt
,
17:5.0/80.1
Community Colleges. and Their Share of Student Financial As-
sistance, Susan C. Nelson, 61 pp. (College Entrance Examination
Hoard, New York).
This paper addresses two frequent concerns about community college
participation in student aid programs: whether mica colleges are under-
utilizing these provrams, and whether community college students benefit

617

1.1 64
 STUDENT FINANCIAL ASSISTANCE
17
from ''overawarding" because of the relatively low costs of their education.
While the study is interesting for its answers to these questions, it is included
here more because of the light it sheds on the conceptual and data problems
inherent in this type of analysis.
The author provides an indepth discussion of methodological ap-
proaches and difficulties in evaluating student aid- programs. Common.
definitions of need and consensus on such issues as the costs of education to
be considered, the role of'.parents and students in meeting college costs, and
the appropriate balance between grant and "self-help" assistance are all
lacking. The author shows how the limitations of available data restrict the
analyst's ability to answer important questions about the effects of aid policy
on various types of students and institutions.

17:5:0180-2
Study of Program Management Protedures in the 'Campus-
Based and Bask Grant Programs, Applied Management Sciences:
approx. 300 pp. (U.S. Department If Education, Washington, D.C. ).
This study, published in several parts, presents the results of three
surveys carried out by Applied Management Sciences under contract to the__
former U.S. Office of Education. The first survey, conducted in 1978-79,
includes information on 12,000 undergraduate financial aid recipients in a
stratified' sample of 175 institutions. Data on the demographic, economic,''
and educational baCkgrounds of each student and information fronilhe
student's financial aid file are included. Some of the information 'was
provided by the student and -some-by the financial aid office. A second,
similar survey, conduCted in 1979-80, sampled another 12,000 aid
recipients at the same-175 institutions. Thus,-two comparable yearsOf data
-are available. \.
\
The third survey contains information on the management of the
campus financial aid office. Questions regarding the office staff, record-
keeping procedures, and packaging were asked of financial aid officers, and
the survey reports responses from 764 institutions.
The two student surveys constitute the only recent nationally repre-
sentative sample of une-rgraduate aid recipients. Moreover, they provide a
glimpse of the impact .the Middle Income Student Assistance Act by
surveying students befc. md after, the passage of the Act. The institutional
survey reveals much about the administrative patterns and relativecapacity
of institutions for managing financial aid.

618
64d
 CROSS-NATIONAL COMPARISONS 71460

17:5.0/79
Patte.rns of Funding, Net Price and Financial Need for Post-
secondary Eduestion Students: Differences Among States, Insti- '
tutional rs and Income Groups, John Augenblick and William
Hyde, 66 p: (Education CoMmission of the States,. Denver, Colo.).
Augenblick and Hyde use data from the 1979 Cooperative Institutional
Research Program. (CIRP) survey of first-time; full-time' freshmen to
evaluate the impact of financial aid on students in differenl states, institu-
tional sectors, and income groups. Their report is one of the first attempts to
assess the effects of aid programs on individual students.
In this case, data limitations force them to focus on an artificial
"average' student, a problem that they readily acknowledge. They provide
a useful discussion of the limitations of CIRP data in panic, ^r, and note that
information on individual students from the files of instituti:.cA financial aid
officers would be 'better. Such information is now becoming 'available (see .
17:5.0/80 -2).

17:5.0/78
Guide to the Literature of Student Financial Aid, Jerry SrlYivis
and William D. Van Dusen, 166 pp. (College Entrance Examination
Board, New York).
This publication is intended as a sourcebook for anyone conducting
research or wanting to learn more about student financial aid. It contains
over 800 bibliographic entries, each brie.), annotated and organized under
the following chapter headings: "Sources of Program Information";
"History, Philosophy; and Purpose of Aid"; "Financial Aid Administra-
non, Management, and .Problems"; "Financial Aid Administration as a
Profession"; "Federal and State Issues, and Problems in Student Aid";
"Financial Aid and Financing Postsecondary Education"; "kesearch on
Financial Aid." Each chapter begins with an overview and orientation,
followed by the annotations. The authors have attempted to be inclusive,
covering as much fugitive literature as possible by culling a variety of
bibliographic references, catalogs, and standard information services.

6.0 CROSS- NATIONAL COMPARISONS

17:6:0/78
Review of Student. Support SChemes in Selected OECD Coun-
tries, Maureen Woodhall,. 131 pp. (Organization for Economic/
Cooperation and Development, Paris).
Thispaper reviews student support programs in 1° countries: Australia.
Canada, France, Germany, Japan, the Netherlands. Norway, Sweden, the
019

649
17 STUDENT FINANCIAL ASSISTANCE
ftk

United Kingdom, and the United Stites. It demonstrates the parallel shifts
in almost all of ther:: countries to need-based aid and to support for an
ever-growing proportion 'of students. It also itklicates the similarity of
concerns in different countries: whether to help students through grants or
loans or through indirect subsidies such as tax allowances, how to identify
andlifeat independent students, hoW to coordinate' various kinds of aid to
students, and how to decrease the burden of indebtedness on graduates.
Further, these. cross-national comparisons highlight the difficulties of
identifying the effects of student aid: not only do programs change in nature
and purpose over tithe, countries with different financial aid schemes in
some cases show simil nrollment changes.
The most usefu d largest) part of the study, is a detailed country-by-
country description of programs as they existed in the mid-1970's. hiforma-
tion is given on: type, and purpose of aid, proportion of students receiving
aid, administration of aid, level of aid. eligibility_ of. students for_ financial
assistance, tuition fees, conditions of student aid, financial aid for secondary
_school pupils, other forms of financial assistance and sources of income for
students or their families, and evaluation of student aid programs and
proposals for change.
American readers will appreciate the author's observation that "of all
the countries included in this study, the United States has the most
bewildering array of student aid programs"! The author of this paper. is:-
currently working on a comparative study of student loan policies in the
United States and the United Kingdom.

620
 18

Work and Education

Lewis C. Salmon
assisted by Joanne J. Gordon

The topic Work and Education covers a variety of issues regard-

ing the role of higher education in preparing people to meet the
nation's demand for trained manpower. These issues involve/ among
A other things, the marketability of traditional liberal arts and yocatnal
preparation, the job market for those with advanced degrees, and the 4.
accuracy of models in forecasting students' selection of and success in
'certain fields. Underlying each issue are the implications of the
relationship between education and work .for planning and policy-
ing at the Federal and state levels.
. Much recent public policy has dealt with the financing of higher
education institutions. To the extent that funding is in part justified by
the fact thiit colleges and universities produce graduates to meet state
and national labor requirements, the ability Of gradUates to ,secure
productive jobs commensurate ith their level of training is also of
vital concern. Institutions mu convince state and Federal policy-
makers that their graduates are satisfying important labor needs and
that education provides certain personal and social benefits to society.
This places greater emphasis on consumerism and accountability in
higher education, with decisions to expand or contract certain pro-
grams depending, in part, on projections of labor requirements.

621

651
1$ WORK AND EDUCATION-
.6. .

This section emphasizes. Inerauffe dealing wit the relationship

of 'work to higher education. The role of the noncollegiate sector of
postsecondary education in'prOviding certain occupational skills is
covered under Topic 35, Private Career Schools.. Voluettes included
in this chapter have been chosen for their usefulness in acquainting
readers with, current work and education issues, for their impact on
educational policy, and 'for their comprehensiveness .in presentin4
critical analyses and persuasive position statements.,
Materials dealing with credentialing, br the view of schooling as
a societal screening and sorting device; are integral to a thorough
treatment of the work andeducation topic, and so have been included.
However, a possible subtopichuman capital. education as an in-
vestment .in peopleis 'excluded because it deals more' specifically
with-education than-with work. Similarly, asubtopic dealing with the
quality of working life is not included for it is only indirectly con-
cerned with education. Finally, mattrials covering lifelong learning
are excluded because such education is viewed as a continuous
enrichinent process not limited solely to occupational training or
retraining. (For a discussion of lifelong learning, see Topics 34 and
4.)
The annotations in this section fall under seven subtopics.
Career Development. This subtopic focuses on the nexus
between a student's education. and work. Issue include vocational
development and occupational choice, career cpunseling, and pro-
viding job market information to students.
_ Career Education. Citations listed here proVide an overview of
the effectiveness of career information as it reaches students and
affedts their career choices. Entries involve "eventual versus
intended" careers, job expectations versus= the actual situation, and
making institutions more responsive to students' ioccuPationalineedS.
Job-Related Outcomes. Although there are many benefits from
attaining .a college education, the citations here are restricted to the
job-related outcomes of higher education, such as job satisfaction, job
challenge, and income. Much of the literature in this area surrounds
the controversial, issues of "overeducated" or "underemployed"
college graduates.
The Credentialing View. Most of the references iii this chapter
assume, either explicitly or implicitly, that a postsecondary education
does or should facilitate career development beeause of the additional
skills and competencies it provides. The citations in this subtopic give
an alternative interpretation of the role of education in career
622

'
 CAREER DEVELOPMENT lad.°
development. Although the views expressed, are contrary to the
interpretations of many traditional economists, they warrant con-
'sideration by those interested in the relationships between work, and
education.
The Job Market for Ph.D.'s. In the past few years, the job
market for Ph. D, holders has changed radically. As new openings in
academe become scarce, humanists and 'scientists will have to begin
to look 'more to nonacademic, or in some cases, nontraditional,
employment opportunities.
Forecasthig. As hazardous' as it is to forecast the needfor human
resources, it:is essential to project and plan for the supply and demand
of future workers. General theoretical approaches and specific fore-
casts are considered here, among them the effects of labor projections
-on society, 'educational institutions, and studentS themselvei: Al--
though much of the work on forecasting has focused on Ph.D.'s,
projections' f labor supply and demand for those with bachelor's and
masters degrees are also included.
BasicData.Sources. This, subtopic briefly lists the most useful
sources\ of data regarding college- educated-workers. Most entries are
revised \ or updated periodically and provide useful references for
analyzing various aspects of the work and education topic.

TOPIC ORGANIZATION
18: ork and Education .

.0. Career Development

1.0 Career Education
3.0 Job-RelatedOutcomes of Higher Education
4.0 The Credentialing View
5.0 The Job Market for Ph.D. 's
6.0 Forecasting
7.0 Basic Data Sources

1.0 CAREER DEVELOPMENT

18:1.0/79
Enhancing Women's Career Development, New Directions for
Education, Work, and Careers, Barbara A. Gutek, ed., 107 pp.
(Jossey-Bass, San Francisco).
This volume in the "New Directions" 'series is a sourcebook on the
career development of women - -a 4opic that has recently come to the
623

653
18 WOK AND EDUCATION

attention of counselors, researchers, news media, and women interested in

'changing or starting careers. Because the topic "career development"
covers choice of occupation, broad sOcializar ,a factors that limit or
facilitate career choice, career planning, and lae interdependence between
home and work, career development in this monograph is broadly defined as,
progression from one goal to another, regardless of whether the goals are
work or life related.
The .pine chapters in this book draw on research from several ,disci-
plines, including measurement and testing, social psychology,. oiganiza-
tional psychology, and education: Chapter One deals with selection of an
occupation. One of the results of the changing concept of sex roles has been a
shift by female college freshmen- from education programsa traditionally
female ieldto business programsa field traditionally" dominated by
men.
=Chapter Two reviews liteiature-on thedeterminantsof women's-career
choices, focusing especially on traditional versus nontraditional-careers.
Chapter Three discusses various psychological factors that are relevant fo
the career development of women. The author presents results of research on
how to help women develop and realize.career goals. For instance, research
shOws that educational institutions want to promote goal setting, they must
have a background of female achievement, live role models, and a diversity
of choices. Goal setting is also the topic in Chapter FOur. Barriersond ways
to overcome them in goal setting for women are 'discussed; but with
emphasis on the roles played by individuals and work organizations rather
than by educational institutions. Both Chapters Three and Four assume that
goaseni.ng is necessary to career development._ .

Chapters Five and Six deal with tests that have been used extensively in
the past to help women determine initial.. career choices and the. bias6
inherent in such tests. The next two chapters cover women on the job:
Chapter- Seven deals with women as bUsiness owners and their 'specific
needs, and Chapter Eight deals with what women want fro'm their jobs
versus what they actually get, The final chapter deals with career
competence and how this relatesto the overall well-being of women. As is
true of men, women who have .benefitted from successful career planning
and development are more satisfied than women w:io have not.
Evident -throughout these chapters is the sign ificance of the role played
by higher education in facilitating women's career development. Also
evident is the interest in women's career potential and development not yhly
by colleges and universities, but by women themselves and the or)(min-
tions in which they work.

624
 CAREER DEVELOPMENT

18:1.0/76
Occupational Information: WhereTo Get It and How To Use It in
Career Education Career- Counseling, and Career Develop-
ment, Robert HopOock, 383 pp. (McGraw-Hill boOk Co.,. New
York).*
In this, book, Robert Hoppock, professor emeritus of counselor educa-
tion at New York University, draws upon his considerable experience to
educate professionals involved in occupational counseling or the distribu-
tion of occupational information. Parts of the book will be of interest to
educators, economists, and sociologists who are concerned with the
problems of occupational chOice, distribution, mobility, and adjustment.
Several chapters are particularly noteworthy. For instance, Chapter 4,
"Sources of Occupational Information," lists resoIrces and gives sug-
gestions to counselors for appraising the accuracy' of Ocenpationaldita.
Chapter 20, "Computers and Other MethOds Of Getting and Using Occupa-
tional Information," discusses the use of view decks, job banks, and other
computer systems in storing and retrieving occupational information.
Chapter 23, "Suggestions for School and College Administrators," dis-
cusses components of a minimum program of occupational information
services for an accredited school or college. Chapter 25, "Evaluation,"
summarizes the results of research designed to deterMine the iMpact of
occupational information on subsequent occupational adjustment. The book
contains a comprehensive bibliography.

18:1 .0/751
College Graduates and Their EmployersA National Study of
Career Plans and Their Outcomes, Ann Stouffer Bisconti, 35 pp.
(College Placement Council, Bethlehem, Pa.).
Career development can be viewed as a two-stage process involving
planning/preparation and work experience. This' study, based on a
nationally representative sample of 1961 college freshmen, is concerned
with the career development of college freshmen during the second stage,
the .early years of employment..lt is a followup of an earlier study (Career
Plans' of College Graduates of 1965 and 1970, Helen S..Astin and Ann S.
Bisconti, 28 pp., College Placement Council Foundation, 1973) that
examined the same cohort during the first (preparation) stage, from fresh-
man year (1961) to graduation (1965).
Occupations reported by these men and women in 197Q are compared
with the plans they expressed in 1965. Also examined are the relationships
between current occupation and undergraduate major. The report discusses

625
6 5 6.
 4
S WORK AND EDUCATION

the relative importance ofsprofessors, instructors, and faculty advisors in

influencing students'-career choices, as well as the role of college placement
officers and other persons or agencies in helping graduates. find'work in
various occupations.

18:1.0/75-2
Labor Market Information for Youths, Seymour L. Wolfbein, 262,
pp. (Temple Universitj, School of Business Administration, Phila-
delpha, Pa.).
This book is an assessment of the role of labor market information in
helping young people in what Seymour Woltbein, dean of Temple's School
o $, .Business Administration, calls "the school-work connection." The
author represents both the school and the work sides of this connection.
The book includes discusSions of the social policy issues involved in
improving the connection and implications for new institutional formats.
Kinds of labor market information, methods of making it available, and the
potential for improvement are presented. The final chapters of the book give
specific program descriptions, review the newer objectives in obtaining and
disseminating information, and discuss organizational implications. Practi-
tioners will find case histories that not only describe new programs but that
also evaluatound recommend courses of action.

18:1.0/73-1
Study Report: Youth and the Meaning of Work, David Gottlieb,
Virginia H. Sibbison, Anne L. Heinsohn, and Martin Ford, 317 pp.
(College of Human Developnient, Pennsylvania St* ;University,
University Park). .

This book examines the attitudes and expectations of men and women
who are in 'the process of making a postcollege transition. The book reports
the findings of a survey in which the respondents were 1972 graduating
college seniors' from four different types of institutions in. Pennsylvania.
The authors draw comparisons between thi4 sampip and the National
Opinion Research Center study of American college seniors who were
graduated in 19,61. / . ,
,
Two chapters ate: of particular interest, Chapter 5, "The World of
Work and Careers, identifies the variables that appear to Influence .

feelings about work, job expectations, and career preferences. Data

provide the reader,4., ith an idea of the students' concerns about their post-
college futures. Chapter 6, "The Educational Experjence," presents a
survey in which students compare their expedationS and the realities of the
college experience. An annotated bibliography of 59 ste;es that focus on
youth attitudes and the meaning of work is included in an appendix.

626
656
 CAREER EDUCATION

j 18:1.0/73-2 -

Theories of Career Development, Samuel H. Osipow, 328 pp.

(Appleton-Century-Crofts, New York).
This'book is written for the practitioner conderned with the theoretical
and practical aspects of career development. The author discusses theories
with 'respect to their potential utility for career counseling, synaiesizes the
most useful constructs of the various -theoretical positions, and identifies_
elements common to most of the theories.
The following theories are discussed in detail: the developmental
approach models of Ginzberg and Super; the personality models of Holland
and Roe; psychoanalytic and sociological theories; and the trait/factor ap-
proach to career choice. In addition,_ research-directed at identifying per-
sonality traits of pedple in specific occupations, is treated at length. In the
final chapters-of the book; the-major theories are compared and issues in the
translation of theoryinto practice are presented with an eye to the "implica -
tions for career counseling and program develOpment.

2.0 CAREER EDUCATION

18:2.0/79-1
Education for Employment: Knowledge for Action, Task Force on
.
Education and Employment, National Academy of Education, 274
_

pp. (Acropolis Books, Washingtoh, D,C.).'

This book presents a review of the relationship between education and
employment undertaken by the Task Force on Education and Emplpyment.
In addition to.assessing the existing knowledge base in this area, the book
indicates areas in which further research and eitperimentation are needed.
Influencing the tone and substance of the book are the assumptions that
education is not restricted only to schools and Colleges and that employment
does not include only work for pay. The book s directed toward the various
sectors involved in the education-work relati nship----namely, employers,
union leaders, educators, students and parents,' other adults, government
policymakers, and the research community.

18:2.0/79-2
Preparing Liberal Arts Students for Careers, NeW Directions for
Education and Work, Ed Watkins, ed., 104 pp. (lossey-Bass, San
Francisco).
This volume examines how a liberal arts college might make its
graduates more valuable in a competitive marketplace. The book is directed
primarily toward the college placement officer, who is seen as the person
627
657
 18 WORK AND EDUCATION

0
accountable for matching the skills of the liberally educated with the needs
of the employers. Aspects of the career development process that are
, addressed include: the pie-enrollment phase, academic advising, ex-
periehtial learning and curriculum planning, the placement of liberal arts
graduates, and how a college can use employers in improving the student
product.
Generally, in order to improve the marketability of its graduates, the
, liberal arts college must incorporate the career development concept into its
prevailing college framework and then implement programs that relate to
this developmental objective.

18:2.0/78-1
Impiementing New Education-Work Policies, New Directions for
7.- -Education and Work, Paul E. Barton; ed., 108 pp-. (JOSSey-Bass ,-San
Francisco). r
Joint efforts in the implementation of edueittion-work Tolicy in-
creasingly seem to be taking place between employers, unions, government,
and voluntary service agencies through community education-work
councils. This monograph reports on the creation and development of one
such council (with the intention of guiding other communities wishing to
emulate this effort) describes the various relationships that exist between
educational and work ,institutions. These descriptions are drawn from a
series of miniconferences involving all sect9rs of the economy and educa-
tion.
Although the book deals Ilmost entirely with actual experience, iris not
intended to deter others from conceiving of new ways to achieve desired
objectives; The overriding thrust of the book is that, regardless of the
_specific issue of edtication-.work policy involved, implementation requires a
joint effort by all tw,gments of society.

18:2.0/78-2
Reassessing the Link Between Work and Education, New Direc-
tions for Education and -Work, -Lewis C. Solmon, ed.. 112; pp.
(Jossey-Bass, San Francisco).
This publication, drawing on the viewpoints of leading thinkers con-
cerned with the education-work relationship, examines the major social
changd affecting the link between education and work and discusses how
this link might be further developed and improved. Although.each article
addresses specific problems, the hook's overriding topic is the evaluation of
the total impact Of education. This sourcebook would be helpful' in
stimulating the thinking of educational planners and other concerned with
education and work,"*.since fundamental issues are addressed and specific
recommendations are made. 4

656
 11

t CAREER EDUCATION 8:2.0

18:2.0/77-1
Educating for Careers: Policy Issues ih a Time of Change,
Thomas F. Powers and John. R. Swinton, eds.,: 190,pp. (The
Pennsylvania State'Univeryity Press, University Park).
This volume discusses the relationship between education and wort:7
especially the issue of educational preparation fon work-744)m a 'rxiiiey.
perspective. The discussion revolves around one basic issue: ho' to protect
o.0
the liberal arts and general education from the encroachment of purely
vocational interests'while improving the practicality of education by making
it more realistic, current, and work related. .

The book presents three distinct perspectives. Part I, "Education and

Work: Agencies and Their Responsibilities' provides a historical. and
_philosophickperspective of education andwork and highlights the roles
played by school and indusley in educating for' careers. Part II, "The,
Relationship of Education to Employment and Work," provides asocial
perspective useful for viewing the economic utility of educating for careers
and the effect of social stratification on escalating educationatcredentialism..
Part III, "Education for Work: Certification' and the American 'CifStructure,"

provides'a ertknulum design perspective that explores how the

fullest and best education for both work and non work roles can be delivered
in traditional and nontraditional ways. This book takes on apolicy View in
the hope of providing a basis for both reflection and action by practitioners
and administrators concerned with occupational' education.

18:2.0/77-2 7
_. .7 Help Wanted: Articulating Occupation q Education at the post-,
secondary Level, David S. Bushnell, ed.,149 pp. (Center for Voca-
tional Education, Ohio State University, Columbus).
This publicatiorf is concerned with the future planning of education kind
work, focusing particularly on making institutions more sensitive to the
needs of students at the various stages of living, working, and learning.
Strategies arc presented for instituting effective relationships between
educational institutions and commercial organizations and for disseminating.
career information. Also included are examples of successful joint veptures
he.tween academic and occupational-educational programs at the state and
,local levels.' Emphasis. is On the efficient use of community resources.

18:2.0/77-3
Toward a Federal Policy on Education and Work,,Barry E. Stern,
, 146 pp. (U.S: (R)vernment Printing Office, Washington, D.C.).
This monograph degcribes current issues in the area of education and
tvork, and examines whether and to what extent current Federal, state, and
local programs are addressing these issues..
629

653
18 WORK AND EDUCATION

After presenting a brief introduction to the subject matter, the book

concentrates on the two broad areas of youth and adults. Part I identifies the
problems young people face in making a successful transition from school to
work and attempts to assess the effectiveness of current programs, especially
Federal programs, in addressing these problems. Program options are set
forth, and general considerations for implement4tion are stated. Part II
focuses on the problems adults face in making desired changes in their
careers .or life directions, and' particularly the job shortage problem. and its
relationship to educational and leisure opportunities. The author suggests a
more balanced distribution of work, leisure, and education throughout the
various stages of one's life. Policy recommendations are made to this end,
providing information needed for further progress.
Although the book is directed primarily to Federal concerns, it isalso
useful to policymakers at the State and local levels who must deal with the
same kinds of issues. It can also be of use to researchers since, throughout, it
gives broad hints about new kinds of data and analyses needed for more
refined policy formulation.

18:2.0/76
Education.and Work: Report of a Seminar, Patricia Smith, 47 pp.
(American Council on Education, Washington, D.C.). -4.,
This book reports on a 1976 seminar'on education and work sponsored
by the Policy Analysis Service of the American Council on Education. The
seminar provided a setting where members orthepostsecondary education
community could meet to develop a plan of action for improving relations
between education and workespecially for young people. Its intent was to
stimulate responses from academic institutions, government agencies, and
the general public to problems faced by young people making the transition
from school to work:
The seminar focused on a book by WqIard Wirtz and the National
Manpower Institute. The Boundless Resource: A Prospectus for an Educa-
tion /Work Policy (see 18:2.0/75-3). The book states that there is a
"dysfunction" between schoo11 and jobs in American -.society, with
symptoms ranging from high youth unemployment to the preparation of
young people for jobs that do not exist. Wirtz felt at that time that programs
designed to alleviate these problems were not successful and that the
"dysfunction" was happening on a much larger scale, as evidenced by
national unemployment among adults and young people, and by the deple-
tion of natural resources. According to Wirtz, the only feasible solution to
the problem "is to rebuild our ideas and plans around the fuller develop-
ment of those other resources which are called 'human' and which are in
limitless supply." The book analyzes youth and career years and concludes
with specific recommendations for change.
630
660
t
/NM
 CAREER EDUCATION 1812.0

Issues discussed at the seminar in relation to the book include: how to

introduce yOung people to adult opportunities and responsibilities; whether
the community-based education-work councils advocated in Wirtz's book
would have the necessary authority and funding to function effectively; and
who would lead in finding democratic and socially acceptable ways to
redistribute income more equitably, as endorsed in the book.
There was general agreement that some social restructuring is neces-
sary: the community needs to be involved, and all levels of schooling have
definite responsibilities for altering society's view of education and work.
Disagreement centered on Federal and state roles and the type and level of
programs to be administered: The crux of the seminar was that collaborative
processes should be developed to bring education and work closer together.

18:2.0/75-1
Bridging the Gap: A Selection of Education -to -Work Linkages,
Richard, I. Ferrin and Solomon Arbeiter, 68 pp. (College :Entrance
Examination Board, New York).
This report focuses Of) the transition betwuA:n education and work,
barriers encountered in making this transition, and how to smooth the
transition. The authors maintain that education and work are and should be
distinct anted that any linkages developed to bringing the two areas into
alignment should not sacrifice the essential functions of either. This study
has benefitted from the involvement of practitioners in the areas of educa-
tion, industry, and labor. It concludes with recommendations for further
research and development, particularly by the. National Institute of Education.

18:2.0/75-2
"Rally 'Round the Work-place: -Continuities-and Fallacies in
Career Education," W, Norton Grubb and Marvin Lazerson,
Harvard Educational Reviilv, Vol. 45, No. 4, pp. 451 -474.
This artic`9,. is a critique of the role of the career education movement in
preparing students for entry-level jobs. The authors contend that career
education is the same- as vocational -education and thus -likely to be as
ineffective as vocational education. Further, they question the assumption
made by career educators concerning the relationship of education, work,
and the labor market. This article has led to widespread public scrutiny of
vocational /career education and has served as an impetus for reassessing the
link between work and education.

631
 I
le . WORK AND EDUCATION

18:2.0/75-3
The Boundless Resource: A Prospectus for an Edutation/Work
Po !icy, Willard Wirtz,- and the National Manpower Institute-, 205 pp.
(New Republic Books Co., Washington; D,C.).
' The central claim of this book,. as stated in the preface, is "...that the
'key to hi inging education and work closer together is not so much in any
particular programs as in developing truly collaborative processesilnong
those in charge of these functions including the. ipublic.'" The difficulty in
bridging the gap between school and work is due, in large part, to the
depletion of natural resources on whi,:h a great part of the economy has been
based. The alternative proposed is "...to rebuild our ideas and plans around
the fuller development of those other resources which are called 'human'.
and which are in limitless supply." Parts I and II coveentrate on an analySis
. .
of. youth and career years and specific strategies for change.
Willard Wirtz' recommendations are expanded on, in Education and
Work: Report of a Seminar (see 18:2070).

18:2,0/74
Career Education, Vocational Educatiop and Occupational
Education:. An Approach to Defining Difference, Kenneth H4t,
14 pp.,(Cepter for Vocational and Technical Education, Ohio State
University, Columbus).
The author, former Commissioner of Career. Education with the U.S.
Edueation, stags that the difference_ between career education,_
vocational education, and occupational education has long been ignored or,
when recognized, not defined. In this monograph, the author defines these
terms and their roles in education. He also discusses the implications for
changes in VocatiOnal education policy -and praCtice in academic .,;ttitigs and
the types of Federal. state. and community support systems needed for
effective career education programs. The publication ends with a question
and answer section. "

3.0 JOB-RELATED OUTCOMES OF HIGHER EDUCATION

18:3.0/82
"New Findings on the Links Between College Education and
Work," Lewis C. Solmon;Higher Education, November 1981 (pp.
615-648).
During the 1970's, the usefulness of postsecondary education to work
was questioned by students. faculty. and -educational policymakers. The
debate Centered around concerns that postsecondary education had become
commonplace: manpower shortages were evident in certain occupations

632
 JOB-RELATED OUTCOMES OF HIGHER EDUCATION '4 03.0

while sUrplusSes appeared in others, and some claimed that higher education
no longer ensured a good job or any job at all. The resultinisituation was
one, they felt, of underemployment and overeducation. Solmon's paper
addresses these concerns to determine if ;anything can or should be done'
about the situation.

18:3.0180-1
Building Career: The Effect of Initial Job Experiences. and
Related Work Attitudes on Latter Eiployment, Joseph A. Raelin,
178 ro. (The W.E; Upjohn Institute 1'9r' Employment Research,
Kalamazoo, Mich.
Joseph Raelin examines the long-term employability problems of
outh, focusing especially on the impact of early job experiences and
attitudes_on theiriater_career development. He takes an interdisciplinary
approach and uses data from the youth cohorts of the National Longitudinal
.
Surveys.
Raelin's findings demonstrate that initial work experiences could be
critical in shaping future work attitudes and practices, but that these
experiences, which are largely determined by background factoi-s,'can be
overcome to some extent. The book concludes with policy recommenda-
tions for improving youth employment opportunities and ensuring that early
career opportunities are experienced to theilltiltesi. These recommenda-,
tions inelude: providing young people with the best poSsible jobs at entry:
encouraging them to finish school; requiring work experiegce in addition to
_ formal schooling for job entry and evelopment; discussing young people's
expealtions openly; developiq their career aspirations and sustaining them
through. ut their early Careers; pursuing and enforcing equal employment
guicielfn s and opportunities to assist the young members of subgroups that
face ine uities in -the lalYkr market; furnishing young people with the
mobility skills necessary to make successful career transitisins; ,devoting
considerable practical attention to aspirations; and definitely controlling for
sexbrace, and education in youth employment research.

1E4.0/80,2
College and Other Stepping Stones: A Study of Learning.
Experiences That Contribute to Effective Perfoilmance in Early
and Long4Cun Jobs, Ann Stotiffer Bisconti, 92. pp. (The CPC
Foundation: Bethlehem, Pa.).
This book, a study of productive college' graduates, dais with, the
Lontributions of college educ'ation to jot(performance, the effect of time on
joUs and careeedevelopment, the roots of effective job ticrformance, con-
siderations in hiring, and considerations in preparing for work. The final
chapter looks at college education in perspective and offers suggestions fOr
improving education and work -based learning.

633
663
 g WORK AND EDUCATION

18:3.0/794
College Education and Employment The Recent Graduates,
. . .
Nancy L. Ochsner and Lewis C..- Solmon, 1.18 pp. (The CPC Foun-.
dation, Bethlehem, Pa). .

This monograph is the culmination of 5 years of study on the use of

college training in careers and the significance of an educationally related
job to overall job satisfaction.. Data were collected on two groups totaling
16,000 college graduates:, a sample of 1961 freshmen who responded to
surveys 1 1961, 197.1, and 1974, and a sample of 1970 freshmen who
respond( d to surveys in 19.70 and 1977. Thisreport is on the second group of
respondents--the 1977 follow-up of the 1970 cohort: (Findings from the
first group of studentsthe 1,974 Follow -up of the 1961 freshmenwere
published earlier.) The studies were esigned to parallel each other, and
similar criteria were used in sele g. the_samples. _However_there.-were.
several notable differences in th uations of the 1974 -1961 and 1977-1970
eohoorts: for instance, the .°coaomy was much 'stronger in 1974 than in 1977,
and the 1974 followup obtained information on those who had been in the
labor force for a much longer period than those in the 1977 followup. These
differences could affect the comparisons. The majortopics covered in this
monograph are the occupational choices of college students, their reasons
for attending college, their objectives, the usefulness.of a college education
and its relatedness to work, job satisfaction, and the issue of underemploy-
ment versus overeducat ion . The book concludes on a positive note.: a college
education is valuable in terms of Obtaining a satisfying job and in 'ems of the
nonmonetary isturns, which the authors consider exceed t',, monetary.,
returns. This monograph is useful to students, faculty, placement officers,
and educational policymakers who question the value of postsecondary_
--education in work.

18:3fb/79-2
Education & Work: A Symposium, Daniel Heyduk, ed., 83 pp.
(Institute of International Education, New York).
This monograph reports on the 1978 symposium on "Education and
Work" sponsored- by the Council on -Higher Education in the American
Republics. The purpose of the symposium was to provide for an exchange
between Latin American and North American educators on pertinent issues
in higher education.
Some of the topics examined at this nieeting included: differences
between the U.S. and. Latin Ameritan approaCheS to education and work,
eduCation and work links in the United States in a time of crisis and change,
manpower ylanning,.'international. aspects of cooperative education, and
corporate perspectives on the education and work issue. The book represents
a diversity of perspectives on the education and work issue from the presi-
dents, rector, educators, and specialists who attended the meeting and
634

664
 JOB-RELATED OUTCOMES OF NIGHER EDUCATION i 813.0

contribuvd their thoughts and ideas. As such, it offers both a better under-
standing of the .educition and work issue and a foundation of insights on this
topic for future planning.

18:3.0/79-3
Good Jobs, Bad Jobs, No Jobs, Eli Ginzberg, 219' pp. (Harvard
'University Press, Cambridge, Mass.).
In this volume, Eli Ginzberg, director of the Conservation of Human
Resources Program at Columbia University and chairperson of the National
Commission for Employment Policy, addresses the complexities of the
employment problem (having more job seekers than there are jobs) and
national efforts to deal with this problem. The author provides background
information, about changes in the:number-and types of jobs available in. the
United States and parallel changes in the characteristics of job seekers. Part I
c
outlines a framework within which the job problem should be considered
and solved; Part Ilsoncentrates on "trained Manpower"; Part III`presents
various dimensions of the manpower planning sand policy process; Ind Part
IV is directed at the role of politics in manpower economics, especially in
employment policy.

18:3.0/78
Local Labor Markets and Cyclic Components ,in Demand _for
College Trained Ms:mower, James P. Smith and-Finis Welch, 31
pp: (Rand Corporation,-Santa Monica, Calif.).
This paper tests the previously established convictio that earnings are
determined solely by skills against the authors' hypothesi that earnings are
also influenced by the prices the market attaches to skills. basis for the
pap(: is earnings data for artificial cohorts of white males rom the Current
Population Surveys for 1968 to, 1975, which provide nsights into the
fur,damental issues of earnings and determination of earnings. .
The authors provide summaries of the awe structure of the work force
and of the larger economic setting_and its klustrial Composition for the
period, along with a regression 'analysis of earnings of n w entrants. Al-
sults are tentative, tl* do suggest that e
though the results s are sensitive to
the business cycle. The authors attribute tl differenc between their find-
ings and those of earlier studies to differences in the definition of region; that
is, in earlier studies, region was broadly defined, whereas in this study the
data are finely broken down by area. The authors found also that earnings
differentials seem more sensitive to employment deviations and trends than
they had, expected initially. They conclude the paper with a discussion of the
ambiguities of their findings, thus emphasizing that they are preliminary.

635
665
 t
18 WORK AND EDUCATION

1,8:3.0777-1 I
Work, Learning, and the American Future, James O'Toole, 238
pp. (Jossey-Bass, San Francisco).
This volume is a critical appraisar of the recent and common belief that
work is demeaning an jearning is a routine experience tolerated only as a
means to a good job. 'Toole attacks conventional assumptions that under-.
lie work and learning an offers new perspectives on the improvement of
both the quality and tity of jobs. He presents alternatives to current
education and work licies that can be implemented within the existing
political and social structures. O'Toole's basis for long-range planning is
broad and future-oriented, but not impractical or Utopian.

18:3.0/77-2 ,
College Asa Training Ground for Jobs, Lewis C. Solmon, Ann S.
Bisconti, and Nancy L. Ochsner, 183 pp. (Praeger Publishers, New
York).
This book adds balance to the current debate on the value of a college
education. It is a longitudinal study of a representative group of college-
educated workers in a variety of occupations, the majorityXwhom are
satisfied with their jobs. The authors examine aspects of college that aid in
job performance, and they treat at length the relationship between job and
college major. Of particular interest is the examination of the use of major
field in a job and how this relates to job satisfaction and income. The final
chapter analyzes the components of a "good job" from the perspective of
the worker with a bachelor's degree.

18:3.0/77-3
Relating Work and Education, Dyckman W. Vermilye, 282 pp.
(Jossey-Bass, San Francisco).
This volume presents a series of discussions of the issues surrounding
the relationship between 'Work and education. Distinguished thinkers ap-
proach the topic from a variety of perspectiveS, ranging from the
philosophical to the historical to the pragmatic. Virtually all the articles
present implications for policy and practice.
Topics discussed include: the role of higher education in providing
work skills, labor market information, and job experience; the relatiqpship
between employers and educators; the relationship between education and
trade unions; the value of a liberal education in pople's careers; strategies
for imp,rovink the transition between education and work throughout the life
span; the role of work as a learning experience; the rale of leisure and
voluntary activities in career de velopment;,strategies for attaining successful
careers; the reform of higher education; and the redesign of jobs.

636

66
 JOB-RELATED OUTCOMES OF HIGHER rUCATION 1813.0

18:3.0/76
Schooling and Achievement in American Society, William H.
Sewell, Robert M. Hauser, and David L. Featherman, 535 pp.
(Academic Press, New York).
Thii book examines the complex effects of schooling on
socioeconomic achievement in American society. The chapters in Part 1,
"Achievement in the Life Cycle," discuss the influences of family back-
ground on educational and socioeconomic achievement, the interactive
psychological forces determining intellective performance and educational
achievement, the sociological basis of intelligence, and the characteristics of
work setting and job as determinants of earnings. Part 11, "Institutional
Effects," includes papers that assess the effects of the various features and
atmospheres of -educational institutions on Cognitive-and socioeconomic
achievement. Part 111, "Methodological Issues," contains two chapters that
deal with methodological problems.
Although the primary focus of the book is on substantive issues, almost
every chapter includes discussions vi 'ways to modify and extend existing.
statistical methods. The ,book contains many important findings on the #
effects of schooling on educational and ,sociOeconomic achievement in
American society and, as such, is valuable to sociologists, educators,
psychologists, and others concerned with schooling and achievement.

18:3.0/75-1
The Manpower Connection: Education and Work, Eli Ginzbetg,
258 pp. (Harvard University Press, Cambridge, Mass.).
In this book, Eli Ginzberg considers the human capital theory- on
education and work that demonstrates that education and training, when
considered as investments, can explain differences in earnings between
different groups in the labor market. Part I emphasizes the need for a more
appropriate Model for analyzing, resources than the present human capital
theory. Inadequacies of this model, such as the inconclusive evidence that
the rapid expansion of investments increases benefits to both the individual
and society, are pointed out. The author stresses the broad role of education
as an aid to students in acquiring basic skills in order to manage their lives
successfully. In Part 11, Ginzberg analyzes dissatisfactions with work,
including dissatiSfactions arising from the changing roles of women, the
position of the blue collar workers, and suggested labor reforms. Part III
focuses on public employment and policy. Ginzberg views, the present
system of developing human resources as a minor instrument in promoting
change in our society.

637
667
 IS WORK. AND EDUCATION

18:3.0/75-2
Education and Job Satisfaction: A Questionable Payoff, Robert P.
Quinn and Martha S. Baldi de Mandilovitch, 83 pp. (Survey Research
Center, University of Michigan, Ann Arbor). .,

This volume examines the relationship between education and job

satisfaction from .a social psychological perspective. The authors review
previously published studies and analyze nine national surveys of the
American work force. conducted between 1962 and 1973. They conclude
that while education is clearly a means of social advancement, the benefits in
terms of job satisfaction are dubious. Thus, they maintain that continued
acceptance of the unsubstantiated assumption that education guarantees
occupational payoffs will produce a disillusioned work force. Recom-
11 mendations for future research and policy changes for employers and
educators are discussed in the conclusion.

18:3.0/75-3
The Labor Market for College Graduates:' Report of a Seminar,
Engin I. Holmstrom, ed. , 20 pp. (American Council on. Education,
Washington, D.C.).
As a tesult of the tremendous growth in the number of college
graduates, the influx of new workers into the labor force has outpaced the
growth of new jobs. College graduates are confronted with underemploy-
ment, job dissatisfaction, and unemployment. This dismal prognosis led the
Policy_ Analysis Service of the American Council on Education to sponsor a
series of seminars to discuss the problems. This monograph is a compilation
of ideas from the last of those seminars, held in 1974, and deals with labor
market predictions and conditions facing college graduates.
The seminar was divided into four panels. The first panel questioned
the validity of employment projections, the second dealt with educational
program planning, the third with graduate programs and labor market needs,
and the fourth with the impact of affirmative action in a tight labor market.
Major questions resulting from the panel discussions concerned the use of
manpo*er projections and how these can be upgraded, how the dissemina-
tion of information concerning job opportunities can be improved to ensure
that students are aware of manpower needs and training opportunities, and
education for contingency and the value of a college degree. Participants
concluded that representatives from proprietary schools and industry should
combine their efforts in training students to have the skills and general
knowledge needed to adapt to the requirements of a vareity of job situatious.

638
to
 II I

JOB-RELATED OUTCOMES OF HIGHER EDUCATION

See: 24:1.1/72 Does College.Matter? Some Evidence on the Impacts of

Higher Education, Lewis C. Solmon and Paul J. Taubman, eds.
In this volume, distinguished economists, educators, sociologists, and
psychologists assess the effects of different types of higher education on
different kinds of individual; and on society.
Part I, "Review of the Literature," includes works on schooling and
subsequent success, social-psychiatric perspectives in higher education, and
monetary returns vs. socioeconomic status, mental ability, and school
quality. Part II, "Income-Related Effects on the Educated, " deali with all
aspects of economic returns on a college education. Part III, "Effects on the
Educated: Emerging Areas of Study," covers the, effects of college on
different groups in societywomen, blacks, and othet minorities. Part IV,
"Public Aspects of Higher Education," is of particular relevance to
government policymakers and others in policymaking positions.. Here,
arguments .for and against greater public subsidy of higher edtkation are
examined, social policy issues are discussed, and specific recommendations
are made. Part V. provides a useful overview of research findings on the
effects of higher education and sets foith prerequisites for future research on
this topic.

18:3.0/72
Socioeconomic Background and Achievement, Otis Dudley
Dudcan, David L. Featherman, and Beverly DunCan, 2,84 pp.
*Seminar Press, .Ney/ York).
This monograph examines the social stratification process in the United
States by extending the analysis and providing elaborations of the mq,els of
intergenerationestatus transmission presented in The American erccupa-
donut Structure by Duncan and Blau. The authors focus on the three major
point out
sources of status in America (education, occupation, and income),
imperfections in the correlations betweenthese status dimensions in the first
half of the 20th century, and analyze. various phenomena that may account
for these discrepancies. This book is interest to students of social
stratification, to social scientists, and to
all Concerned with equal
opportunity in American society. a

18:3.0/71.
Education and Jobs: The Great Training Robbery, Ivar Berg, 200
pp. ( Beacon Press, Boston).
This volume is a response to those who view increased.education as a
means of solving the nation's problem§. Ivar' Berg examines the relationship
haween education and employment using data on workers' characterilties
and employers' requirements collected from the armed forces and Fiederal
civil service and assembled by the U.S.- Department of Labor. He also
.

639,
663
 18 WORK AND 13 )UCATION

critically reviews work carried otQy the Conservation of Human Resources

Project at Columbia University and the Center for Urban Educatioh in New
York City. Berg points out the increasing tendency for workers to be in jobs
for which they are overqualified in terms of their level of eduCation. He
favors placing the overeducated in less crowded upper-level jobs and up-
grading those at 'the bottom into rpiddle-level positions. With this ac-
complished, the hard-to-employ. could fill the less demanding jobs. From
Berg's viewpoint, it is ess,:ntial for policymakers to focus on actions such as
the foregoing to increase the demand for labor.

See: 3:1.2/76 The Overeducated American, Richard B. Freeman.

In, Richard Freeman's view, "overeducation" denotes a society in 4
_which the- economic rewards of a college education-are markedly -lower than
historically has beenthe case. He analyzeS the lower economic return to a .

college education:in the .1970'S as compared with the ;950'11 and 1960's,"
when access to.a colleof.ducation was expanded drastically.
Freeman conteridethiietite economic devaluation of the college degree
is the result of a.eurrenrturplus of college graduates. He analyzes the
operation of the college ,job market, explains the reasons for its current
weakness, and preseritS forecast 'of future employment and income
prospects. He attempts tb determine whether the downturn is :a temporary or
long- term'chaitge He'also ideptifies. the college -level professiOns-that have
been the most and least affected by the.arket decline, and examines the
-effect of the falling market on blacks and.women.-
Chapter 8, "The Functioning of an Overeducated Society," sum-
marizes the findings of the book, discusses the potential societal implica-
tions of overeducation in the job market, and presents alternative strategies
for policymakers who must respond to. new market realities. Freeman
predicts that the market for college graduates will improve in the 1980's, but
he expects no improvement, for the graduates of the 1970's. Although
Freeman's analysis is ecorlomic,the material is presented in' a readable,
nontechnical manner.

4.0 THE CREDENTIALING VIEW

18:4.0/79-1
Education and Jobs: The Imbalancing of the Social Machinery,
Gregory D. Squires, 235 pp.. (Transaction Books, New Brunswick,
N.J.).
'Gregory Squire uses data from a variety of sources to show that
educational reform has not and will not have a significant impact on in-
equality in the United States. In making this claim, he compares the class
640
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THE NEDENTIALING VIEW 1014.0

interpretation Of education (that the function of education has been primarily

to stabilize and legitimize the existing class structure) with the more
conventional interpretation (that formal education has expanded in order to
provide workers with the increasing' level of skills required in a modem
industrialized society and to reduce economic inequality). The.major policy
implication of this volume is that attention, must be focused directly on
revising class structure biases that generate inequality rather than, on trying 9
to alter the behavior of individuals within classes.

18:4.0/79-2
The Credential Society: An Historical Sociology of Education and
Stratification, Randall Collins, 222 pp. (Academic Press, New
York).
This voluffie is a critique of the teChnocratic myth. Of Modem stratifica-
tion. Randall Collins presents a new, education-based theory of stratifica-
tion to explain the conditions responsible for producing our modem
economy. Data on schools, occupations, and careers are synthesized to
show how education operates to preserve group membership and how
occupations are monopolized by groups with different resources for cultural
solidarity. Collins explains how "an economy of occupational-sinecures and
a market for cultural credentials, link education to stratification," and he
applies his theory to conditions in the United States that have, accounted for,
the expansive, inflationary credential system and the unique features of its
occupational structure. In the final chapter, he outlines policy alternatives.
These policy implications, along with analyses throughout the book, make it-
useful reading material for sociologists, educators, and policymakers.

18:4.0/78
Credentlaling Educational Accomplishment, Jerry W. Miller and
Olive Mills, eds. , 225 pp. (American 'Council on Education, Wash-
ington, D.C.).
This book contains a number of analytical' papers dealing with the
educational and social uses of educational credentials and other uses they
could encompass. Specific areas covered include educational credentials as
indicators of relevant qualifications in the job market, as qualifications or
. prerequisites for license in an occupation or
profession, as recognition for
learning outside the traditional educational setting, as a means to pursue
advanced or different objectives, as a reward for educational and personal
development, as knowledge for the improvement of counseling, guidance,
and placement of students, and 'as measures in accountinig for faculty work
loads, the need for funds for institutional budgets, and innovative programs.
The central theme of the book is that the postsecondary educational
system should be modified to improye the quality of information conveyed
64 I

671
 118 WORK AND EDUCATION

by educational credits and credentials. The authors suggest that, in so doing,

lifelong learning should 'be encouraged,, all educational accomplishments
should be recognized, the process of awarding credentials should be better
explained so that credentials can be used more appropriately by all segments,
of society, the procedures for asses iing educational accomplishments
should be improved, unnecessary, barriers to mobility and access to educa-
tional programs should be reduced, and better understanding among post-
secondary institutions and programs of the nontraditional learning experi-
ences available in society should be promoted. The ideas and suggestions
offered in this book by various specialists in the field are useful to leaders of
postsecondary educational institutions, policymakers in educational !as-
sociations, the Government, foundations and other who influence poSt-
secondary education, and the users of educational credentials.

18 :4.0/76
The Diploma Disease: Education, Qualification, and Develop-
ment, Ronald bore, 214 pp. (University of California Press;
Berkeley).
r
Ronald oote starts from the premise that improvement in education is a
means to a better society and that there is much positive to be said for doing
the educating in schools and universities. A major tenet of this book is that
not all schooling is education., rather, it is qualification-earnjng, which is
anti-educational.
Dore examines the consequences of using schools as a means of
deciding who gets prize job and who does not and of allowing this sifting
function to dominateevdrobliteraterthe school's traditional function.of
providing education: Dore. offers modest suggestions about what might be
done 'about this:situation: The author is aware that his style is exaggerated,
but he believes it will serve to provoke further research and experimentation
to disprove his evidence ors better still from the ainhorl perspective, to
confirm the evidence presented.

5.0 THE JOB MARKET FOR PH.D.'S

18:5.0/81
Underemployed Ph.D.'s, Lewis C. Solmon, Lauka Kent, Nancy L.
Ochsner, and Margo-Lea HurWicz, 368 pp, (Lexington Books,
Lexington, Mass ). ,-
This book discusses the job market for doctorate !Icicle's in the humani- .

ties and in science and engineering. It was prompted by the late Allen M.
Canter's predictions that, for the remainder of this century, the acadcmic 1,

642

.6
 I 4'
THERM! MARKET MR PH.D.'S ips.o
need for, new junior4aeulty would fall far short of Ph.D'. output. If his
prediction is correct, higher education institutions will be able to absorb only
about one out of.five new doctorate holders during the.1980's.
Part.I of the book its concerned with the problethatic job'market for
doctorate holder,i' in the humanities, the sciences,ind engineering. Part II
..concentrates on jobs held by humanities Ph.D.'s in the public sectorand
,,discusses policy options to .assvage. the ,humanities Ph.D. oversupply.
problem'and alternatives tqwcaderhic jobs. Part ILL analyfes data on science
's wortingoutside academes, especially in nontraditional jobs. Part IV
discusses' how 'to deal with prospective shortages the science and
engineering labor Market resulting from the cyclical nature of thedemand-
supply interactions.
The authors mention several policy .dptions throughout the book that
are equally. applicIble-to- the -humanities and:the.. Sciences. However, the
main thrust of the bdok is that the nonacademic job market inust be expanded
to accommodate Ph.D. 's from the 'humanities, the sciences, and engi-
, neering, and that these doctorate holders must be.Willing to look at jobs
outside of academe as viable and equally satisfying alternatives.

18:5.0/80.
Employment offlumanities Phl.D.'S: A DepartUre,From Tradi-
tionariobs,Betty D. Maxfield and Susan M.-Henn, 74 pp. (National
`Academy of Sciences, Washington, D.C.).
Misreport presents an analysis of data concerning humanities Ph.D.'s
included in the National Research Council's (NRC) f977 SurVey of
Doctorate Recipients. The survey itself was designed to obtain current
infOrmation on the employment characteristics of- a stratified- sample of
scientists, engineers, and humanists who had earned Ph.D.'s within the
period January 1934 through June 1976 and who were residing in the United
Statesin February 1977.
. By ;examining demographic, salary, and employment characteristics,
this report provides a n)ore useful statistical.analysis of the 1977 humanities
Ph.D. s in the labor force than does the NCR report. However, the authors
also rec !end that followup studies be conducted to discern attitudes
about humanities Ph.b.'s work situations, and they raise a number of ,
questions to which further studies might be directed.

18;5.0179-1,
Alternative Careers for HuManities PhDs: perspectives of Stu-
- Alents and Graduates, Lewis C. Solmon, Nancy L. Ochsher, And
Margo-Lea Hurwicz, 243 pp. (Praeger Publishers,. New York).
This book .provides a & i.a -based perspective on the labor market for
Ph.D. 's in the humanities. T uthors suggest jobs that might be -satisfying

-- 643
673
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.

1$ WORK AND EDUCATION

. ,

for humanities Ph ,D. 's and,war, for graduate programs to prepare students
for these jobs, They also describe ttit characteristics of graduate students so
that undergraduate students contemplating advanced study in the human'ities ,tg
can compare their attitudes and competencies with those of their Predeces-
sors. Finally, the authors offer a perspective on the future' for huManities
students and an assessment of the role of graduate humanities faculties in the
education and placement processes, showing what it is and what it should
be.
0

18:5.0/79-2
9 Career Patterns of Doctoral Scientists and Engineers: 1973-177,
National Research' Council, 81 ep. (National Academy of Sciences,
`114
!Washington , `13 .C,). ,

This report, which is based on data from the National Research

Council's (NCR) 1973 and 1977 Surveys of DoCtorate Recipients and from'
the 'Doctorate Recoids File, examines employment charaett.pIstics of Ph.D.
scientists and engineers as they relate to type qemproyment, primly work
activity, and salary. .

The NCR reports the following: over half of the respondents were
employed in academe; there was considerable movepient into business and
industiy from academe betw'ten 1973 and 1977; teaching was,the primary
work activity of about hdf of those employed in academe, followed by
research' and administration; a substantial percentage of the academically
employed switched from one primary work activity to another; business and
Industry employed fewer women than did academe; Ph.D. plans give a
Itrong indication of the employment sector for 20years beyond graduation;
nd, median salaries for fully employed PhD. scientists and engineers
naeased 22.5 percent between 4973 and 1977 while the Consumer Price
dex increased 43.1 percent.
The information presented here is useful to universities and depart-
- ments providing doctoral degrees; to agencies concerned with human
. resources in science and engineering, and to the science and engineering
Ph.D.'s themselves; .

18:5.0/79-3
"PhDs in Nonacademic Careers: Are.TherFropod Jobs?", Lewis
C. Solmo,1)4p. 3-16 in Current Issues in Higher Education
e(American Association for Higher Education, Washington,'D.C.).
In this paper, Lewis Solmon examines, the changing character of the
academic wqrk force, looking particularly at the shortage of faculty jobs. He
deals specifically with Ph.D.'s employed outside academe: whether chal-
lenging and rewarding jobs in the private and government.sectors exist for
Ph.D.'s, and especially for huinanities and once 'such jobs are

644

R
 , . FORECASTING ISIS 0
. .
.

.... found', whether those employed are satisfied. The main thrust of the paper is
that `students must be mote openminded about carder options and more.
active in attaining skills while in school which will be transferrable outside
, . academe.
. ,

6.0 FORECASTING

18:6.0/A
Occupational Outlook for College Graduates, 1980-8I-Eilitlon,
Bureau of Labor Statistics, approx. 20Q.pp1 (U.S. 'Department of
Labor, WAhingtogillf.C.),_
This bOok is a guide to career opportunities in a wide range of,occupe.-
tions where a college degree is or is becoming arequirement for employ-
ment it includes a. brief summary of expected changes in economic condi-
tionS and an analysis of the overall supply and demandZor college graduates
il,.ough the 1980's. The following lnfonnatiOn is presented for each occupa-
, tion: the nature of the work, places of employment, education and training
required, the employment outlook, approximate earnings; and. working
conditions. This volume serves as an aid to career planning481 those who
attend or are expecting to attend college, as,well as to counselors, teachers,
and Parents'.

18:6.0/80
College Enrollment Trends: Testing the.Conventional Wisdom
'Against the Facts, Carol Francis, 72 pp. (American Council on
EducatiOn, Washington, D.C.).
This book, ack!eesses the economic, social, and political decisions
affecting enrollmentS and points out the pitfalls in planning the future aibund
inadequate enrollment projectioris. First, the author 4views scholarly and
popular reports on the outloOk for higher education,. comparing "conven-
tional wisdom" about past enrollment trends with the facts in order to show
chat planning may p.e, misguided if not based on factual information.
N.
Second, the author expands 'the analysis to assess the potentials for
offsetting projected enrollment declines. She reviews 12 potential stattegiss,
for sources of additional enrollment, ranging from increasing thy; hifh
school graduation rates, of students who would otherwise drop out, to
increasing the enrollment of foreign students. For each strategy, trends in the
number of people in the relevant group and their college-going ratei ke
examined and 'projections made. As in the first section., no particular enroll-
.
imnt projection is made or defended. . -
.;?

645

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WORK AND LIUCA,TION

18:6.0/79
Projections of Science and Engineering Doctorate Supply and
Utilizatimi, 1982-1987, National Science Foundation, 79*pp. (U.S.
Government Printing Office, Washington, D.C.).
This publication is the National Science Foundation's fourth projection
analysis of science and engineering doctorate supply and demand. The study
includes new data, new methodologies:new projections of related para-
meters, and overall projections extending to 1987. Due to the, lack of
knowledge about interpeld mobility; this analysis confinedio broad areas
of science and engineering rather than to individual fields. The projections
Pare based on numerical results obtained, from studies of human resource
development systems for science and engineering and were developed
through- two= alternate sets-of suppiy and utilization models: Sensitivity
analyses are. presented for the possibility 'of adjusting the numerical results,
and the most likely assumptions are assessed and then integrated, into a
probable model.

18:6.0/.77-1
Manpower 'Studies in , Postsecondary Education, Donald M,
Norris, William F. Lasher, and Floyd& Brandt, 5,3 pp. (American
AssoCiatibn for Higher Education, Washington, D:C.1. ,

This report reviews, analyzes, and organizes the contit versy surround-
ing projections and studies of human resource-development. There is a large
degree of interest and distrust concerning.these studies; opiniohs corne,both
from those who view the planning of hi4pan talent with apprehension and
fear the misuse of such data, and those who favor studies,ofhuMan resources
as the primary ,basis for II planning. The chapter entitled Improving the
Use of Manp9wer Studies" is especially important because it points out both
the major limitation's and appropriate uses of human resource planning in
higher education and gives suggestions for improvement.

18:6.0/77-2
Supply and Demand for Scientists and Engineers: A Review of
Selected Studies, Betty M. Vetter, 514 pp. (Scientific Manpower
Commission, Washington, D.C.).
This report examines past, present, and future imbalances in career
opportunities in science and engineering. The author'assesses the supply for . '
each field, considering the increasing participation of women, and compares
it with the demand for both new graduates and experienced scientist; and,
engineers. Although the author considers that future.employment opportuni-
ties for scientists and engineers are good in comparison to those in other
occupations, she does not anticipate fultemployment over the net deCaig.

646
1
 FORECASTING 184.0 .

"s The information presented in this report is useful to young people

planning for carvers as scientistsiand engineers, to those who employ them,
and to collegei,.universities, and other training institutions.
,
*11k6.0/76'
Ph.DA and the Academic Labor Market, Allan M. Cutter, 2604
pp: (McGraw-Hill Book Co., New York).
This book is.the late Allan M. Cartter's defilitive discussion of the
factors that need to be examined in order to predict future human resource
needs in higher education: In Cartter's view, the key elements in analyzing
the demand for college teacheri are knowledge of student-faculty ratios, of
the flow of personnel between academic and nonacademic employment, and
Of retirements. These ':components 'of academic -supply 'and, demand- are-
analyzed in aggregate terms. However, Camel- stresses,* necessity of
studying demand conditions in the various academic disciplines for a
'complete picture of academic employment trends:
Chapter 10, "An Overview of PrOjected .Academic Labor Market'
Conditions," gives specific recommendations for institutions engaged in
graduate education and for funding agencies (such as- state boards and
legislatures) to improve the forecasting process'and to deal with the policy
implications of Ph.D. oversupply. Here, Caiiter also defines the kind of
leadership that Federal agencies should take with respect to-retirement
policy, graduate fellowShips, and periodic data collection.
. '

18:6.0/75
Ph.D. Manpower: Employment Demand and Supply, Bureau of
Labor Statistics, 21 pp.- (U.S. Department of Labor, Washington,
D.C.). ,

This report provides basic human resource data for Ph.D.'s in an effort
to highlight the major factors that should be considered for policymaking
and vocational guidance. The data reflect trends among persons holding a
doctoral degree in avnumber of fields; but professional degrees such as M.D.
and D.D.S. are excluded. The requirements and supply pcojectrons in this
report are not forecasts of actual conditions to 1985, but serve to illustrate
what could be expected ifthe trends and patterns of the past decade continue.
The insight obtained from such an analysisCan be useful in planning careers
and educational programs and in identifying the adjustments necessary to
Cope effectively with supply-demand imbalances. .

647
 18 W9RK AND EDUCATION

18:6.0/74-1 ,
Forecasting the Ph.D. Labor Market: Pitfalls for Policy, Richard
B. Freeman*amil David W. Breneman, sp pp. (National Board on
,Gradupte Education, National Academy of Sciences, Washington,
D.C.). fl

In this publication, the authors crititally, analyze labor market fore-

casting techniques forydodtorates and stress the limitations of existing
tactics. They find current forecasting techniques insufficient because of the
omssion-of four essential ingredients: individual responses to.market condi-
tions, wage-price phenomena, consequences of major,policy variable, and
interrelations and feedback processes that goVern the market.
The authors'offer an attractive methodology that assures improved
O

information-for decisionmaking and-policymalcing purposes. This-Method

takes into account likely individual responses to market conditions, giving
particular emphasis to supply-side adjustments, and providing, a more
41
.complex antirealistic picture of labor market dynamics.
.
4
18:6.0/74-2
Higher Education and the Labor Market, Margaret S. Gordon,
ed., 630 pp. (McGraw-Hill Book Co., New York).
,This volume is a collection of broad-ranging essays by a number of
authors, nearly all of whom are economists. It explores relationships be-
tween higher education and the job market, concentrating on such issue's as
the effects of an unfavorable job market On.future college enrollment; the-
effect of the oversupply of college graduates on the job market, and the
possibility of 'planning-long-range programs for colleges and universities
that will serve both the individual students and their employers.
Specific topics examined include: employer preferences for degree
holders; the private and social economic benefits of education; and the
economic outlook for 'persons in special groups, such as 'Minorities, drop-
outs, and students who ptan to attend, professional school. This book eon-
("aides with policy implications for faculty unignism, student aid, and
enrollment distributions; with special regard for institutions of highereduca-
tion. This book can be useful to -both experts and laypersons as it provides
insight into the complex relationship between the production of a highly
educated work force and a job market that must adapt to it.
0
18:6.0/74-3
Scientific and Technical Manpower Projections: ,Reportof the Ad .

Hoc Committee on Manpower, National Science Foundation, 69,

pp. (U.S. Government Printing Office, Washington, D.C.).
This report presents the findings of an ad hoc subcommittee on human
resource devejopinent appointed by the National Science Board. The coin-
.
e3
648
C 7(
 01I

. ,! ..
f` I h

6
It FORECASTING 1 OIL
.
0
,
* ,
. - ,
mittee's jaii was to Carry out a critical comparative study of the present
analyses of human resource planning 'and the assumptions that underlie
them. A primaiytpncern was the development of projections of stiply.f.ind
dermarid that would play a major role in affecting policy decisions.
'While all scient;tic and technical levels are studied; the primary focus is
on the doctoral fle-vel. The report discusses various 'Arts of view on the
value of projectiong, and makes a variety' of recommendations for their
improvement. The major themes addressed are the accuracy of Pastlsrojec-
tions, methodologies,. assumptions and limitations of prOjections, and
recommendations for students interested in a Career in the sciences. io

18:6.0/73
College Graduates and Jobs: Adjusting to a New Labor Market
Situation, 'Carnegie Commission on Higher Education,- 242 pp.
(McGraw-Hill Book Co., New York).
This book discusses the relationship between higher education and a
new labor market-that does not absorb all college and university graduates.
The traditional approach to manpower planningthe preparation of stu-
dents by colleges and universities solely for the labor marketis rejected as
a relevant current model for higher education. There is evidence that the
field4,of study chosen by students are highly sensitive to changes in the job
market, and that these changing student chOices can be reliable factors in the
adjustment to occupational shifts. For _example, student choices can be
useful guides to colleges and universities for allocating resources among.
fields. _

The Commission recommends that high priq,rity be given to fulfilling

the aspirations Of young people for more instrumental roles in society and to.
the goal of conquering human, urban, and envirpnmental problems. It also
suggests that institutions of higher education place a greater emphasis on
vocational counseling to provide students with the best possible informa-
tion.

18:6.0/70 g

Human Resources and Higher EdUcation, John K. Folger, Helen

S. Astiti, and Alan E. Myer, 475 pp.. (Russell Sage Foundation, NO/
York). . ,

This book examines human resource issues, such as the scarcity of

certain professionals and unequal opportunities for competent young
people, and considers'. the implications for higher education. Section 1
focuses on projections.of the new supply, of college-educated people avail-
able to enter each occupation, estimates', future demand for the col- ,
lege-educated, and .analyzes pdssible career adjustments. Section 2 dis-
cusses factors that determine career choice and some major aids for the

649
6 79
,
 S.

18 WORK AND EDUCATION.

adjustment of these choice;. Section '3 disproves popular attitudes and

assumptions with respect .to special populations e.g., women,
immigrants, and those' t iom low socioeconomic groups. Section 4 assesses
the'validity of policies on human resource development.
The authors conclude that a fuller compre4ension of interrelated forces,
from manpower planning to the attainment of:national goals that determine
the education and utilization of human resources, must be deve:ope. d.

See: 3:1.1/75 Demand and Supply' in U.S. Higher Education, Roy

Radner and Leonard S. Miller.
One purpose of this volume is "to provide a set of related models that
can contribute to the debate on policy issues. :' The authors present quantita-
tive models of input-output relationships: fereCasts of academic demand for
new Ph.D.'s to show, the effects of alternative faculty' personnO9ficies;
estimates of human. and financial resource reqUiremedts of alternative lint.
versa' '2-year college programs; and estimates of the impact on higher
education of significant compensatory education prograrns in primary and
secimdary schools:
The authors review the research on the demand-of students for enroll-
ment in higher education and then set forth their findings. Areas investigated
.include the following: ( I) the impact of changes in college Cost on student
demand and how this is related to institutional selectivity, student ability,
and studelit family iiicome; (2) the way in-which faculty-studentratios vary
with-enrollment at both the graduate and undergraduate levels in institutions
of differing sizes and quality; and (3).estimates and projections of annual
changes in the number of educated persons by age, sex, field of training, and
degree held.
This book is readable and easy to understand, and major 'findings are
summarized in the introduction to each chapter. The economic model of
higher education used by the National commission on the Financing of
Postsecondary Education was based largely on this study. The study also has
implications for educational planning and policyrnal5ing with respect to
enrollinent projections, the faculty job market, access to higher education,
and other areas. .1)

.
See: 3:1.2M71 The Market for College-Trained Manpower: A Study in"
the Economics of Career Choice, Richard B. Freeman.
In tfiis volume, Richard Freeman applies basic economic analysis to the
labor market for 'Ph .D.'s and shows, how the allocation of this human
resource is explained by price or wage differentials. He examines the role Of
abilities, preferences, income incentives, and expectations with respect to
the marginal decision's on the supply side of the market. To complete the
econometric analysis of the Ph.D. job market,' three models' are employed:

650,
 A

BASIC DATA SOURCES 18:7.0

"it
the eobweb,241tistment model, which examines oscillatory be avior toward
andetraciuni of supply and demand; an incomplete adjust rit model in
p
-.equilibrium is approached but is not obtaineil; an a general
equilibrium, framework, which determines the .allocation an salaries of
workers.between the -academic and nonacademic sectors of the economy;
The first two models focus on the supply lagsinherent in markits in which
lune is required to train new specialists. I

The study. finds° that foregone income is an important -factor in the

'decision to pursue graduate education. Students' career choices are the result
of market incentives: Their e)cgerciaritin of higher income in the future leads
.them to forego income now. Finally, the university system is also found to
respond to market incentives by creating the necessary training progranis. .

7.0 BASIC DATA SOURCES

18:7.0/A-1
Employment and Training Report of the President, U.S. Depart
fiient of Labor. .404 pp. U.S. Department of Labor, Washington,

This annual publication reports on employment and training require--

ments, resources; and utilization. It included the former De. partment of
'Health, Education, and Welfare's report on facilities utilization and
employment, training -program coordination as required by the Amended
Comprehensive Einployment and Training Act (CETA) of 1973.
Tbpics covered in these volunas include employment and unemploy-
ment for the year in question, CETA's goals'and accomplishments, national
program developments, and the changing economic role of wo men.

18:7.0/A-2
Students Enrolled for Advanced Degress, Fall 49-7, National
Center for Education Statistics (LACES, Washington, DIC.).
This annual publication reports on a survey conducted by the National
Center for Education Statistics on students enrolled for advanced degrees' in
higher educatiotlinstitutions. This survefwa,y initiatetfin 1959 to predict the
future availabilrty of highly trained professionals for selected scientific
fields. Subsequently, the suiyey was expanded to include all discipline
specialties listed in the Higher Education General Information Survey
(1-1EGIS). ,

The publication provides essential summary data by :state, institutional

control and level; discipline division and specialty, attendance status, and
sex. These data are of use to researchers in predicting future availability of

651
# 63
 18 WORK AND EDUCATION.

specialistspin each field, in identifying changes in the interest of students, in

graduate programs, and in examining the changing status of women and
providing information relevant-to compliance with affirmatiVe action plans.

18:7,0/Ar3
Occupational Outlook Handbook, 1980-81 Edition, Bureau of
Labor Statistics, 484 pp.. (U.S. 'Department of Labor, Washington,
D.C.).
This handbook (BLS Bulletin 2075) is a majoi source of vocational
guidance information. It includes, for hundreds of occupations, job descrip-
tions, training and educational requirements, earnings, working conditions,
-and job prospects: The-publication is-valuable to anyone-seeking satisfying
and productive employment.,

See: 26:2.1/78-1 Earned Degrees Conferred, 19-- to 19!.-, Andrew J.

Pepin and Agnes Q. Wells.
This annual pu ication on earned degrees conferred by institutions of
-higher education is base a survey of degrees and other formal awards
conferred between July and June of a given year. The survey is part of the
annual Higher Education General Information Survey (HEG1S) conducted
by the National Center for Education Statistics.
This report provides institutional and summary data on baccalaureate
and higher degrees by level of degree, discipline, sex, state, and controland'
level of institution. The authors compare data for le year in question with
`data from earlier surveys.

See: 16:3.0/A-1 The American Freshman: Natiogal Norms for Fall

19--, Alexander W. Astin, Margo R. King, and Gerald T. Richardson.
This annual publication provides normative national data on the
characteristics of first-time, full-time freshmen students. The report was
*first issued in '1966as part of the.CoOpeiative Institutional ResearchProgram
CIRP), a longitudinal study of the higher education system in America.
ma data iq this report have been weighted to proVide a representative
picture of the college freshman .population. The survey iqstrument
used the Student Information Form (SIF)is revised eich year to reflect
'the current concerns of t1- academic community and °thin wtio will use the
resulting jnformation. The SIF elicits a wide range of biographic and .

demogtaphie data, plus data on students' high school backgrounds, career

plans, educational aspirations, financial arrangements, and' current at-
titudes. ' .

652
 BASIC DATA SOURCES 18,4.0

The report includes all institutions with entering freshman classes Sat
responded to the Higher Education General information Survey. The data
are reported separately for men and women and for 38 different groupings of
institutions. The data are further stratified by institutional race
(predominantly black versus predominantly white), type (2-year, 4-year);
control (public, private-nonsectarian), and selectivity of institution (an
estimate of the average academic ability ofthe entering class).

S.
See: 16:3.0/A-2 Summaiy Report, 19--, Doctorate Recipients from
United States Universities, National Research Council,
,This.argport presents brief summaries of data gathered frorwthe Survey
,

of Earned Doctorates during th.e previocrt acadomic year. The survey has
been 'conducted annually since 1967 by the National Research ouncirs
Commission on HiimanResources.
The data present statistical profiles of doctorate recipients (sex, racial/
ethnic group, etc.) based on responses to questionnaires distributed to
graduates as they completeiequirements for their doctoral degrees. The d'uta
e9ver researciranthippliedreSearch doctorates, with degrees such asTh. D.
and Ed.D., but exclude professional degrees such as M.D., D.D.S.., and
D. . D. ;, .

18:7-.0/S-1
Monthly Labor Review, Bureau of Labor StatisticOU.S Depart-
ment of Labor, WashingtOn, D.C.).
TheqWmithly Labor Review reports on various data series that are-relevant
to

CPC Salary Survey; A Study of the 19Beginning Offers. (Col-

lege Placement Council, Bethlehem, Pa. ).
This salary survey by the College Placement Couincil covers a
.

consistent population that includes 184 placement offices at 161 colleges

--ana universities-throughout the United States.- This-document reports .on
salary offers from employing organizations in business, industry, govern-
ment, and nonprofit and educational institutions. The baie starting salary
offers do not include fringt benefits and overtime, Also, only offers are
reported, not acceptances. Various positions, with the exception of teach-..
ing, are covered in this report.

ti
N.

7 -653'
 a
18 WORK AND EDUCATION.

18:7.0/S-3
Characteristics of Doctoral Scientistiand Engineers in the United
States, 19-- (National Science Fo.otidatitIrl7 Washington,, ,

This publication series prese data on the demographic and employ-.

ment c_haracteristies of the nati 's doctoral scientists and engineers. The
reports cover persons holding science and engineering doctorates and those
who received doctorates in nonscience and engineering ,fields but who are ,

employed in science and engineering positions.

Along with detailed statistics for the year in question-, the .reports
include data from some of the previous surveys. This inclu'sion allows
comparisons over time on the total population and tht total emploSfed.la
force, with selected employment data for doctoral scientists anti engiheersin
the major -employment -sectorseducation-,--business--and-industry;
government.-

18:?..o/s-4
The Endicott Report: Trends in the Employment of College and
University Graduates in Business and Industry, 19--, Frank S.
Endicott (Northwestern University, Evanston, Pl. ).
This volume reports on an annual survey of whey and practice in the
emplOymeat of college.and university gr'aduates in business and industry by
170 companies. The.companies responding to`the survey range from those
specializing in machinery and heavy equipment to those specializing, in
banking and investments. The data are organitedby college-level Ad major.
Also included are graduates' reasons for accepting or rejecting offers,
companies' reasons for not offering jobs, and turnover.

18:7.0/75-1
The Great American Degree Machine. AnEconomic Analysis of
the HuMin Resource Output of Higher Education, 1.hiuglas L.
Adkins, 663 pp. (Carnegie Foundation for the Advhcement of
teaching,. Berkeley; Calif.).
This technical report reviews a study of the total number of persons
holding bachelor's or more advanced degrees from 1930 to 1971. Along
with providing detailed annual data on de'gree holders in 44 Gelds, Adkins
examines four potential models that may explain both the steadylrowth in
the number of degrees awarded and the changes in'theil distribution by field
ihddegree level. These include thetechnogenicnnodel, which interprets
degree aspirations as respOnses to econoniic- growth and changing 'parker
pike demands, and the "sociogenic" model, which interprets the steady
increase in the demand-for higher education as a sign of the increasing desire
for upward social mobility. The second model also views the phenomemon
_of:','e.redentialisin" as partially due to the tenc1ency ofemployerstoupgrade_

6 54
.
 BASIC DATA SOURCES 1617.0

their educational requirements and to the rising degree aspirations of young

people.
. Adkins tentatively concludes that his data are more supportive of the
*sociogenic model than the technogenic model. However, the chairman of:
the Carnegie Commission iftedicted that some controversy may surround
this conclusion due to dramatic changes in market requirements for college
graduates and shifts in the field choices of students. And since at least 1975,
it is no longer clear that young people have steadily increased their degree
aspirations ndr is &certain that decreasing enrollments, which began around
1969, will continue Another controversial point may be Adkins'iconclusion
that in the last four 4ecades there has been little change in the represdnotion
of women among "ree holders.,,

-18:7.0/75-2
Characteristics Or the National Sample. of Scientists and
Engineers, :l974. Part 1: Demographic and Educational, 81 pp.
(National Science Foundation, Washington, D.C.).
This publication presents- the first of three reports by the National
Science Foundation on the 1974 National Surveyof -Scientists and
Engineers, the first in a series of surveys conducted biennially by'the Bureau
of the Census. It contains detailed information on the demographic, educa-
fional, and employment characteristics of 50,000 of the nation's scientists
andengineers identified in the 1970 population'census. The subsequent two
reports of this three-part series will focus on the employthent and geographic
charadteristics of the sample.
Findings from this and future:Surveys will interest'investigators ex-
amining changes in the characteristics of scientists and engineers over a
substantial period of time.

18:7.0/75-3
The 1972 Scientist and Engineer Population Redefined, Vol. 1,
Demographic, Educational, laid-Professional Characteristics,
National Science Foundation, 194 pp. (NSF, Washi ton, D.C.).
The 1972 Scientist and Engineer Population Redefined, V . abor
Force and Employment Characteristics, National Science Foundatio
135 pp. (NSF, Washington D.C.).
These two comprehensive volumes report the information Obtained in
the .1972 Professional; Technical, and Scientific Manpower Survey, 'alio
known as the 1972 Postcensal Survey. Volume 1 presents detailed statistics
on the demographic, eduqtional, and professional characteristics of 1.3
million scientists and engineers in the United States. The material was drawn
primarily from a national occupational sample of persons in the 1970 census.
Volume 2 concentrates on the I,Abor force and employment characteristics of
this same group.
655-

685
 In

as

Index of Ateihors

Abell, V.A., 36:1.3/65 Amano, Ikuo, 1:0/79-1

Abercrombie, Nicholas, 9:1.4/73-2 Anchors, Scott, 37:3.0/78
Abowd, John M., 3:2.1/77 4, Andersen, ARthur, 28:3.4/79
Abrams, Denny, 21:1.0/75-3 Andersen, Charles .1., 5:5.0/75,
Ackerman, Page, 33:2.0/80 12:4,1/A-3, 13:1.1/70
Adams, Carl R., 13:2.3/78, Anderson, C. Arnold, 9:1.4/72-2
31:3.0/77 Anderson, Richard E., 8:2.0/77-3
Adams, John F., 20:2.3/76 Andrews, Frank M. , 14:11)/79-1-
Adams, Johh H., 20:3.3/72 Angel, Shlomo, 21:1.0/75-3
Adams, Walter, 32:3.0/80-2 Angel, George W., 26:41-3/77-2
Adkins, DoUblas L., 18:7.075-1 Anthony, RobertN.o, 20:1.1/78-2,
Aiken, Henry David, 11:2.2/71 30:1.0/75-2
Aiken, Ray J., 20:2.3/76' Anton, Thomas J., 15:1.2/67 O.

Alberger, Patricia, 28:4.4/80 Appleton, James R., 37:1.0/78

Alderman, Donald L., 25:4.Q/78 Apps, Jerold W., 34:3.0/80-1
AlderMan, Harold, 11:2.1173-1 Arbeiter, Solomon, 18:2.0/75-1
Alexander, Christopher, 1:1.0/75-3 Arctic", Margaret S., 1:0/79-3
Alford, HarOld .1., 34:1.0/80-2 .
ARden, Kel'in, 28:6/78-2
-Alfred, ichard L., 29:2.3/78 Argyris, Chris, 30:3.0/74
. Allen, Richard H., 10:2.2/78, 32:1.0/80
10:2.2/80, 13:2.3/79 Armijo, Frank, 31:1.0/78-3
Allman, Katherine, 10:2.1/75, Armstrong, Ellen, 24:2.3/76- t
12:4.4/75 Arnold, Stephen M., 38:3.0/70
Allmendinger, Jr., David F., Aronofsky, Julius, 23:2.3/74
7:4.0/75 ,f- Ashby, Eric, 9:1:4/74
Altbach, Philip G., 6:1.0/81, Ashworth, Kenneth, 12:1.1/79-1
7:4.0/74;.1 Askew, ThoMas, A., 12:4,2/73
Altman, R?bert A., 9:1.3/70 Aslanian, Carol B., 4:2.0/80-1
657

686
 Astin, Alexander W., 4:1.0/78, Baumol, William J., 33:1.0/73-2
4:5.0/72, 4:5.0/73, 9:1.3/72-3, Bavry, James L, 38:1.0/75-1
9:4.0/80- 5,'13 :1.2 /79, Bayer, Alan E., 16:1.1/75-1,
16:1.1/68.,16:11/69, 16:1.1.71, 16:2.0/73-2, 18:6.0/70
16:1.1/75-1, Bayless, Paul C., 36:1.3/67 )
4, 16:3.0/1-1: 16:1.1/81, Beach, Mark, 7:1.0/75
19:2.0/75-1, 24:1.1/77-1, Beal, Philip, 19:2.0/80-2
32:2.0/80:2; ,Beals; Ernest, 19:1,0/74
37:3.0/75 Becher, Tony, 1;0/80-2, 1;0/77-1
Astin,fHelen S., 4:5.0/72, Beck, John, 27:3.0/
4:6.0/76, 16:1.1/75 -I, 18:6.0/70 Becker, Hard
ow S., :3.1/68;1
Atelsek, Frank J."4:3.0/78-2, Becker, William F.., Jr., 26:31/791
14:1.0/78-1, 26:2.1/76 Behlke, Jane H/35,:2.0/75
Augentilick, JOhn, 5:4.4/80, 5444/. Bell, Colin, 24:2.4/72
78, 17:5.0/79 . Belle, La%Grence'W., 38:1.0/78-4_
. -Axelrod; Joteph, .24:14::/79 Benacerraf, Paul, 29:2.3/72
Bender, Louis W., 6:4.0/75,
22:1.2/72, 28:2.3/77-2
Baer, Walters:IT:3.0/80A Benezet, Louis T., 8:1.0/76,
Bailey, Roberti 19:1.0/78-1 28:2.3/79-2 .

Baird, Leonard L.; 16:2.0/73-1, Benne, Keneth, 11:3.1/70

37:1.0/80-2 Bennett, Addison C., 27:4.0/78-1
Baird, Thomas B., 23:1.0/79 Bennis,; Warren, 32:1.0/76-2
Baker. W.O.,23:410/70-1 BenyefisteGuy, 1:0/70
Bald de Mandilovitch, Martha S., Berdahl, Robert 0., 1:0/59, 6:1.0/
18:3.0/75-2 81, 6:2'.0/71-1, 6:2.0/71-2, 0
Balderston, Frederick E., 6:2.0/75-1
15:3.0/72-1, 30:1.0/74-4- Berg; Barbro, 1:0/77-2
.4
Baldridge, J. Victor, 26:L4.0/77 Berg, Ivar, 18:3.0/71
26:4.3/75-3, 29:2.3/79-1, Berger, Joel 5., 28:2.3/78-2
Bergquist, William.H., 20- 2.2/78,
30:1.0/75-1, 32:2;0/78-3 24:2.3/77, 26:3.2/78, 34:2.0/86
Ball, Sarn,:9:4.0/81-1 Bernard, Dan, 23:2,2/77,
Bahitis, Alan P., 15:1.2/75-1 23:2.3/79
Banghart, frank; 21:1.0/73 Berve,Nancy M., 6:5.0/79,
Banks, Paul N.,'33:5.0/69 12:4.1/A-7
-Barak; Robert J.-, 9:4.0/77-1, Bess, James L, 26:3.2/80
9:4.0/77-2 Biehl, Richard G., 4:4.0/78
Barbee, David, 22:3.1/72 Bienayme, Alain, 1:0/78-3
Bareither, Harlan D., 36:1.3/69, Bienenstock,--Arthurr2:2.2/75
36:1.4/78-1, 36:2.4/77 Biggs, Donald A., 37:1.0/75
Barger, Ben, 37;3.0/73 Billington, Ray.Allen, 7:6.0/73
Barnett, Samuel, 8:2.0/80=1 Binder, Jeffrey, 38:3.0/70
Barton, Paul E., 18:2.0/78-1 Bisconti, Ann S., 4:5.0/72,
Bass, Ronald K., 38:4.0/78-1 16:1.1/75-1, 16:2.0/74 -1,
Bassett, Roger; 10;3.0/77; 18:1.0/75-1, 1 8:3.0/77 -2,,
10:2.2/79-2 18:3.0/80-2
'Battin, Patricia, 33:4.0/80 Bjork, Robert A., 38:2.0/79

687
 4

Blackburn Robert, 24 :2.3/76 -I Briggs, Leslie J., 25:3.0/74-1

Blakely, B.E..28:4.3/79 Brings, Felicia, 4:5,0/77-1
Blakesley, James F., 36:1.3/67, Broce, Thomlis E., 28:3.1/79-2
'36:1.3/65 Brodsky, Jean, 28:3.5/77
Blanshard, Frances, 7:6.0/70-1 Brong, Gerald R., 25:2.0/76
Blau, Peter, 26:3.2/73 Brooks, Glenn.E 31:390/66
Blaug, Mark, 3:4.0/76-1 , Broudy, Harry S., 11:2.2/74
Bligh, Donald, 38:1.0/75-2 Brown, David G., 32:2.0/79-2
Blocker, Clyde.E., 6:4.0/7 Bfown, Frank, 4:3.007.
22:1.2/72, 37:1.0/74 Brown, George H., 4:3.0/80-1
Blood, Jerome W. 14:1.0/63 Brown, J. Douglas, 9:1.3/69-3
Bloustein, Edward, 11:3.2/69 Brown, James W., 25:2.0/68,
Bloy, MyrOn B., Jr., 12:1.1/70 25:6.0/A, 28:6..4/77
Board, Lawrence, 29:2.4/72' Brown, Kenneth T., 14:3.0/81
Bogue, E. Grady, 15:1.2/78-1 Brown, Maryann Kevin,
Bolce, Jane Wellman, 14:1,0/75-1 10:2.2/77-2
Bolman, FredericledeW., Brown, Ralph S., Jr.,26:2.2/S-3
12:1.1/79-3 growl" Robert D., 37:1.0/72
Boozer, Howard R., 36:2.3/76 Brownlee, Helen, 29:2.4/72
Boss, Richard W., 33:1.0/79 Brubacher, John, 11:1.0/77
Bouchard, Ronald A., 20:2.2/80-2 Brue, Elden J., 16:1.3/74-2,
Boutwell, W.k., 15:2.0/73-1 ;16:1.3/74-3
Bowne, Frank.M., 6:1.0/75, lguckley, Neil S., 31:1.0/78-3
15:1.2/76-1, 15.1.2/76-2 Budig, Gene A., 15:1.2/72-2
Bowen, Howard RA, 1:0/7871, Bunting, Charles, 9:4.0/80-3
5:5.0/S-1, 5:5.0/S-2, 13:1.2/79, Burck, Charles G., 35:5.0/75
13:2,1/80, 24:1.1/77-2, 30:3.0/71, Burck, Harman D., 37:2,0/75-1
1;1
34:1.0/80-1 Burnett, Collins W., 9:L3/78 -2
Bowen William G. , 29:1.1/78 -I, Bum's, James MacGregor,
29:2.3/72 ti - 32:1.0/78-1
Bowles,' Frank, 9:1.3/71-1 Burris-Meyer, HarOld, 21:3.0/64
Boviman, James L., 17:4.0/73 Bushnell, David S., 18:2.0/77-2,
Bowman, Mary Jean, 9:1.4/72-2 22:1.1/72-4
Boyd, Joseph D., 17:5:0/80-1 Butler, Daron K.,15:1.2/75-1
Boyd, William M., 4:34/74 Buxton, Thomas H., 38:1.0/75-3
Boyer, Ernest L., 9:1.1/81 Byce, Charles R., 17:1.0/81
Bragdon, Henry Wilkinson,
7:6.0/67
Brandt, Floyd S., 18:6.0/77 -I
Brandt, Norman J., 5:6.0/A-2 Cage, Bob M., 22:1.3/74
Brawer, Florence B., 22:1.1/71, Caiden, Naomi, 15:1.1/81-1
22:2.1/77, 22:2.1/72-1 Caldwell, Jaime, 26:2.1/78-2
Breneman, David W., 5:4.3/78, Callender, John Hancock,
5:4.4/81, 18:6.0/74-1, 21:3.0/13
22:1.3/79-1 'Campbell, 1:0/78-4
Brewster, Sam F., 21:1.0/76-1 Campbell, Emil .,- 16:3.0/S08
Brickell, Henry M., 4:2.0/80 -I Carbone, Robert ., 5:3.0/74-1
Briggs, Channing M., 37:1.0/78 Carl, Linda, 28:4.4/78

659:

688
Carlson,' Caryl E., 13:3.1/72, Coggeshall, Lowell T., 27:1.0/65
13:3.3/77 Cohen; Arthur M., 9:2.0/75-1,
Carnes, Bruce M., 8:2.0/77 -2 22: 1.1./77, 22:1.1/71, 22:1.1/69,
Carpenter, Jot D., 21:2.0/76-3 22:2.1/77, 22:2.1/72-1,
Cart, Robert K., 26:4.3/73. 22:3.1/78 -,
Carter, E. Eugene, 29:1.1/80 Cohen, Michael D., 32:2.0/74-2
Carter, Virgini.aL., 28:6.2/78-1, Cohn, Elchanan, 3:4.0/79-2
28:21/79-2 Coldreni Sharon L., 173.0/S1-1,
Garner, Allan M.; 18:6.0/76 20:1/2/791
Caruthers, J: Kent, 29:2.2A79-1 ,
Cole, Edward C., 21:3.0/64
.Catt, Viola, 13:1.1/77-2 Cole, Hohathan R., 14:3.0/7772
Cazier, Stanford, 37:4073 , Cole, Stephen, 14:3.0/77-2
Center, Allen H. 28:2.1/78-1 Colley, L., 38:2.0/78
Centre, John A., 13:1.1/77-1, Collier, Douglas J., 10:1.041
26:3.2/76 . 10:2.2/77-5, 10:2.2/80
Chambers, Charles M., 13:1.2/79 Collins, Charles e., 22:3'.1/77
Chambers, M.M.,.26:4.2/73, Collins, Randall, 18:4.4/79-2 I
29:112/68 , Coll-Pardo, Isabel, 20:2.2/79-1
Chandler, B J., 12:4.1/A-8 Conant, James B., 32:3.0/70-2
Cheit, Earl F., 5:5.0773, 5:6.0/80, Cohlisk, John, 3:5.0/77
24:2.2/75 g Conrad, Clifton, 9:1.1/80-3,
Cherin, Ellen, 14=3.0/77 . 12:1:3/76 -2, 24:2.3/76-1
Chickering, Arthur W., Conway, Jill, 7:1.0/74-1
12:1.1/81-3, 16:1.2/73, Cook, John A., 38:4.0/78-1
24:4.1/69-1, 24:2.3/77, Cook,, Thomas J., 20:2.2/80-1"
'24:3.2/74, 37:3.0/71 Coombs, Robert H., 27:2.1/78
Chin, Robert, 26:3.1/76 Coons, Maggie, 36:2.2/78-1
Chisholm, Mark, 10:3.0/79 Cooper, Edward M., 13:1.3/77-1
Christian; Carol E., 16:1.1/78-2 Cope, Robert G., 19:2.0/75-2,
Christoffel, Pamela H., 9:1.4/75-3 31:1.0/78-1
Chronister, Jay, 8:1.0/74, 8:1.0/78 Corson, John J., 6:1.0/60,
Church, Rohert , 7:3.0/76, . 6:2.0/76-2
7:7.0/74-1 Cosand, Joseph, 12:1.3/76-2
Churchman, C. West, 14:1.0/76 Cothran, Dan A.; 15:1.2/79
Ciervo, Arthur V., 28:2.3/79-1, Cotler, Stephen R., 21:2.0/76-2
28:2:3/77-1 Cottingham, Haiold F., 3.7:2,15/
Clark, Burton P., 1:0/78-1, 75-1
1:0/78-2, 1:0/77-3, 7:2.0/70 -1, Cowley, W.H., 32:2.0/804,
16:1.2/72' Cox, W: Miles, 13:1.1/77-2
Clark, David L., 13:1.1/76 Cop*, John, 35:3.0/76
Clark, David W., 28:3.4/78 Craven, Eugene C., 9:4.0/8e1
Clark, Mary Jo, 16:2.0/73-1 Creedon, Carol, 19:2.0/78-1
Clark, Patriclu 17:3.0/81-2 Cremin, Lawrence A., 7:1.0/80;
Cleveland, Hglan, 12:1.1/79-2; - 7:1.0/70
32:1.0/72-1 Cronbach ; Lee J. , 9:4.0/80-7
Clotfel4er, Charles 'F., 3:3.1/76 Cronbrath, David, 21:2.0/78
Cloud, Sherrill, 4:1.0/80,
10:2.1/79, 10:2.2/79-2
:66 0

6
 II

Coss, K. Patricia', 4:2.0/81, Diner, Steven J., 7:7.0/80

. 4:5.0/71, 4:5.0/76, 34:3.0/74, Dober, Richard, 21:1.0/75-1, .
34:6.0/78 21:1.0/63 .

Crossland, Fred E., 4:3.0/71 Dodds, Harold W., 32:2.0/62

Cullen; Ian, 9:14/73'4-2 7 Doermann, Humphrey, 171.0/78-2
Cummings,. William K., 1:0/79= l' Doi, James I., 26:3.1/74
C'trle, Adam, 1:0/66 Dore, Ronald, 18:4.0/76
Curtis, David V., 32:10/78-3 Douglass, Gordon, K., 30:3.0/71
Cutlip,.Scott Mt, 28:11/78-1 Dozier, John, 31:1.0/80-1
Cyert, Richard M., 32:1.0/80 v.Dresch, Stephen P. 3:4.0/75-1'.
Cytrynbaum, Solomon, 38:3.0/70 Dressel, Paul ., 9:4.0/80-4,
29:2.3/76, 1:3.0/71 .
Drew, David ., 9.3.0/75,
Dahnke, Harold 036:1.4/71-1 16:1.1/78-
Dalglish, Thomas 1(i Ilin, 620/ Drews, Theodore H., 10:2.2/77-2
73-2, 14:3.0/76-2 Drob, Harold A., 25:5.0/77-3
Daniere, Andre, 3:2.3/64 Drucker, Pete F., 32:1.0/67
Davies, Bleddyn, 3:2.3/76-2 Duberman; Martin, 7:2.0/72
Davidson, E.E., 20:1.1/78-1 Dumont, Richard G., 15:1.2/80-4 ,
Davies, Ivor K., 18:4.0/78-1 Duncan, Beverly, '18:3.0/72
Davis, Geneva'C., 12:4.3/A-2 DUncan, Otis Dudley, 18:3.0/72
Davis, James R., 38:2.0/76. Dunharn,E. Alden, 9:1.3/69-1
Davis, Jeanne C. 16:1.3/7411 Duryea, E.D., 26:4.3/75-1
Davis, Jerry S., 17:5.0/78 Duxbury, David, 36:1.3/71
Davis, Margaret, 12:4.2/81-2 Dyer, Thomas, 12:4.2/81-2
Davis; Thomas A., 29:2.3/72
Deal; Terrence E, 30:1:0/75-1
Dearman', Nancy B., 12:4. I/A- I Easterlirt, Richard A., 2:1.1/80
DeBardeleben, Arthur, 11:3.2/69 Eble, Kenneth E., 30:1 .ty78,
DeChiara, Joseph, 21:7;.0/73 32.2.0/78- I , 38:1.0/80-3,
Decker, Ann Forger, 4:5.0/771 38:1.0/76 .

DeCoster, David A., 37'3.0/74 Ebrahim,'G.J. 38:1.0/75-2 .

DeCosta, Frank A., 9:1.3/71-1 Ecker, George; 32:2.0/78-2

DeGennara, Richard, 33:4.0/79 Edelstein, Steward L., 4:2.0/77-I
Degraff, Alfred, 21:2.0/76-2 Edmonds, Ronald R., 9:1.3/78-1
Delworth, Ursula, 37:10/80-1 Egan, Kuran, 11:4.0/78
Denker, Eleanor Rubin, 4:6.0/80 Elias, John L., 11:6.0/80
Dergis, William A., 36:2.3/81-1 Eliason, Carol, 22:2.2/77
Diamcid, Robert M., 25:3.0/7571 El-Khawas, Elaipe H., 16:2.0/74-I
DiBiase, Elaine R., 26:2.3/79 'Embling, Jack, r:0/77-1
Dibden, Arthur 1. 30:2.0/68 Emery, James C., 29:2.5/79-1
Dickmeyer, Nathan; 17:3.0/81-1 Endicott, Frank S., 1S:7.0/S-4.

Didham, James, 24:2.3/76-1 Entwistle, Noel, 38:2.0/75,

.Diehl, Carl,^7:7.0/78 38:2.0/78
Dienst, Evelyn R., 38:1..9/75.-1 Epstein, Terri, 4:1.0/81
Dietz, Albert G.H., 21:2.0/76-1 Ericksen, Stanford C1, 38:2.0/74,
Diggs, Richard N., 35:4.0/79-2 38:4.0/78-1
Dills, Charles R., 38:4.0/78-1 Etzioni, Amitar, 4:5.0/70
661

690
Eulau, Heinz, 12:1.2/70. Francis, Carol-, I
Evans, N. Dean, 22:1.2/73 20:1.2/79-1
.
d
Francis, J. Bruce, 28:2.1/79-1
drank, Robert H., 3:2.2/78
Frankel, Hyman 4:5.0/72
Fairbrook, Paul, 37:3.0/19-2 Fninkel, Martin M. , 12:4.1/A-5
Farber, Karen A., 20:2.2/79-2 'Frankena,. William K., 9:1.4/80-3
Fanner, James, 15:3.0/70-1 Fransson, A., 38:270/78
Farmer, Richard N., 30:1.0/74-3 Frederick Franz J., 25:4.0/80 '
Farnswoith, Dana L., 37:5.0/65 Freeman, Frances, 28:5.S/76
Fasana, Paul J., 33:7.0/79-2 Freeman, Richard B., 3:1.2/71, -
Featherman, David L., 18:3.0/72, 3:1.2/80, 111/76, 18:6.0/74-1
18:3.0/76 Freschi, Kathryn H., 12:3.0/76 ,1
Fein, Rashi, 5:4.2/71 Friednian, Renee C., 14:1.0/72-1
Feldman,Xenneth A., 24:1.1/69:2 Froovnkin, Joseph N., 3:2.3/76-1,
Feldman, Jerome A., 23:4.0/79 17:1.0/-70, 12:1..3/78-2
Feldstein, Martin, 3:3.2/75 Fuller, Bruce, 4:1.0/78
Fenker, Richard M., 13:3.2/77-2 Fulton, W.R., 25:5.0/79
Fenske, Robert H., 17:3.0/81-2, Furner, Mary 0., 7:7.0/75
17:5.0/80-1,26:2.01 Fbrniss, W. T,pdd, 4:6.0/77,
31:2.0/78 .12:1.1/79-4, 26:2.2/S- I ,
Fernandez, Luis, 2:2.1/80-1 26:2.2/S-2, 26:23/7 -2
Ferrari, Michael R., 32:2.0/70 Furth, Dorotea, 1:0/78-2 .

Ferrin, Richard I., 18:2.0/75-1 Fusfeld, Herbert I., 14:2.0/80-7

Fielden, J., 34:1.0/73-2 . Fussier, Herman H., 33:1.0/73-3,
Filley, Alan C d,. 30:3.0/69 33:5.0/61, 33:7.0/77
Finkin, Matthew W., 26:2.2/S-3
Finn, Chester E., Jr., S. 5:4.3/78,
12:13/78 -3 Gaff, Jerry G., 26:3.2/75,
Fisher, Charles F., 20:2.2/79-1 38:1.0/75-1
Fisher, James L., 28:1.2/80-2 Gaffney, Edward McGlynn, 8:2.0/
Fishman, Michael E. 37:5.0/73 78-2
Fisk, Robert S., 26:4.3/75-1 Gage, N.L., 38:4.0/78.-2
FlaCks, Richard, 24:1.W67. Gagne, Robert M., 25:3.0/74-1,
Flenije, Edward H. 15:1.2/73-1 . 38:2.0/77
Flint, Emily P., 28:6.2/79-2 Gaither, Gerald H., 15:2.0/76-2-
Fogarty, John E., 27:4.0/78-2 Galvin, Thomas J., 33:4.0/77
Folger, John K. 13:1.3/77 -2, Ganiso, Gary S., 10:2.2/76
18:6:0/70 Gappa, Judith M., 4:1.0/77,
Ford, Charles W,, 27:2.5/77 '4:6.0/79
Ford, Martin, 18:1.0/73-1 Garaner, Jeffrey, 30:3.0/74
Ford, Patrick J., 24:2.3/71 Garbarino, Joseph W., 26:4.3/75-2
Foresi, Joseph, Jr., 22:1.2/74 Gardner, David P., 12:1.1/79-4
Forman, Robert G., 28:4.2/79, Gardner, Jeffrey J., 333.0/75,
28:4.2/78 31:6.0/76
Fox, Karl A., 3:2.3/72 Gariiani, Catherine S., 28:2.1/79-2
Frame, J. Sutherland, 21:3.0/63-1 Garms, Walter I., 5:4.4/77
Framheim, Gerhild, 1:0/78-8 Garrison, Esther A., 27:2:3/3
662
a

691
 Garrison, William D., 29:1.3/78 Greenberger, Martin, 23:2.3/74
Gassman, Morton C., 21:3.0/66-2 Griffin, Clifford S., 7:2.0/74-2
Geer, Blanche, 24:3.1/68-1 Griffith, William J., 36:2.3/81-2
Genova, Withal% J., 26:3.1/76 Griliches, Zvi, 3:3.0/80,
Gilder, Jamison, 4:2.0/79 3:(0/77-1'
Ginzberg, Eli; 18:3.0/79-3, 4. Grizzle, Gloria A., 15:1.2/72-1
18:3.0/75-1 Gronau; Reiben; 3:2.2/81
Gladieux, Lawrence Er, 17:1.0/76, Gross, Edward, 30:1.0/74-1
17:1.0/81 - Gross, Francis M.,I5:2,0/73-2
Glasscote, Raymond M;, 37:5.0/73 Grubb, W. Norton, 18:2.0/75-2
Gleazer, Edmund J., Jr., 22:1.1/ Gruber, Carol S., 7:1.0/76-1
73 -2,22 :3.3/80. Guant, Roger N., 10:1.0/77-2
Glenny, Lyman A., 1:0/79-2; Guba, Egon G. 13:1.1/76
6:2.0/59-1, 6:2.0/71-2, Guralnick, Stanley M., 7:5.0/75 _

6:2.0/73-2, 12:3.0/76, Gustafson, Thane, 14:3.0/75

15:1.2/76-1, 15:1.2/76-2, Gutek; Barbara A., 18:1.0/79
.15:1.2/76-3, 15:1.2/76-5, Gwirm, Nancy E., 33:7:0.09-3
r5:1.2/77
. Goddard, Suiette, 10:2.1/73-1
Godson, Vida, 9:1.4/73-2 Haag, Leopard-H:; 20:3.1/77.
. Goldhaber, Gerald M., 28:2.2/78 , 1:0/77-4
Goldschmidt, Dietrich, 1:0/78-2 4 Haas, Raymond M., 31:1.0/76-3
GolPattscheck, James F., 22:3.3/76 Haas, Warren J., 33:3.0/80,
Gomberg, Irene L., 4:3.0/78-2, 33:7.0/79-3
14:1.0/78-1, 26:2.1/76 . Haklisch, Carmela S., 14:2.0/80-7
_- Goodwin, Gregory L., 22:1.1/73-3 Haldeman, William, 36:1.3/71
Gordon, Joanne J., 16:2.0/81 -Hall, John W., 20:2.3/76
Gordon, Margaret S. ,18:6.0/74-2 Hallibuiton, D., 24:2.3/77
tore, Daniel, 33:5.0/76 Halperin, Samuel, 12:1.3/16-1
Gottlieb, David, 18:1.0/73-1 `Halstead, D. Kent, 5:6.0/S,
Gove, Samuel K., 14:3.0/78 5:6.0/78, 5:6.0/A-4, 12:2.0/74,
Graham, Patricia' Albjerg, 4:6.0/77 12:4.2/81-1
Grambsch, Paul V., 30:1.0/74-1 Hamblen, John W., 23:1.0/79,
'iGrant, Arthur T., 12:1.3/77 23:1.0/80
Grant, Gerald, 11:2.1/78 Hamelman, Paul W., 29:2.2/72-1
Grant, W. Vance, 12:4.1/A-2 Hamilton, Malcolm C., 12:4.4/74
Gray, Robert G., 13:3.1/77-1 Hamlin, Arthur T, 7:1.0/81
Grede, John F., 37:2.0/77 Hample, Stephen R., 13:2.3/80
Greeley, Andrew M., 9:1.3/79-2, Hanfmann, Eugenia, 37:2.0/78-1
16:10/70-2 Hankins, Russell L., 13:2.3/78
Gr§en, Alan C., 21:3.0/66-2 Hannah, William, 19:2.0/75-2
&Ben, John L., Jr., 29:2.2/71, Hansen, Janet So, 17:1.0/81
29:2,5/79-4 Hansen, W. Lee, 3:5.0/69
Green, Kenneth C., 4:1.0/7. Hanson, Gary R., 37:1.0/80-1
9:4.0/81-2, 13:1.3/80-2 Harcleroad, Fred F., 6:2.0/75-2,
Green, Thomas F., 11:3.1/80 9:1.3/76, 9:4.0/80-2,
Greenberg, Alfred, 36:2.1/80-2 9:4.0/80-9, 13:2.2/75,
Greenberg, Elinor, 34:2.0/80 25 :5.0/64, 28:04/77

692
4. f

Harlac er, ErVin L, 22:3.3/76, Hesse, Robert R ., 28:4'13/67

22:3. /69 Heyduk, Daniel, 18:3.0/79-2
Harley, tunes; 38:4.0/78-1 Heyns, Roger W., 28:5.2/77,
Harper, Nancy, 28:4.4/76 t 32:2:0/77
HIet, William A., 28:2.1/77-2 Hickey, James K.. 28:3.5/79
Hamngton,fred H. 34:1.0/77 Hill, Susan T., 4:3.0/80 -I
Harris, Michael R., 7:6.0/70-2 Hines, Edward R., 6:4.0/80
Harris; Norm in C., 37:2.d/77 Hirst, Eric, 36:2.1/80-1
Haris,,SeymOut., 7:2.0/70- HisloO,Codman, 7:6.0/71
Harrison, Forrest W., 12:4.1/-5 Hitchcock, Arthur A., 35:5.0/80
Harrison, Roger, 38:3.0/72 'Hobbs, Walter C., 12:1.3/78-1
Harrison, Sheller A:, 25:5.0/75-2 Rodgkinsonas Harold L., 12:1.1/70,
Hartle, Terry W., 4:2.0/79 ' 12:3.0/71, 13:3.2/81
Hanman,Robert NV. 17:2.0/7,1 Hodgkinson, Virginia Ann, 17:5.0/
-Hartmark, Leif S., 6:4.0/80 81-2 .

Hartnett, Rodney T. ,\13:1:.1 /71-1, Rodgkinson, Virginia FOil, 8:2.0/

1'6:2 :0/73 - 1,37:1.6/80 -2. 7.7 -4
flarvey,, L.' James, 29:,2/72-2 Hoenaok, Stephen A., 13:3.2/71-1.
P Harway, Michele, 4:6.0/76. 1 Hogness,John It, 12:1.1/79-2
Haskell, Thomas L., 7:7.0/77 E.V., 6:5.0/60
'Hastings, Anne H., 6:5.0/80 Holloway, Charles M., 19:1.0/784
HOuf, Harold 11,21:3.0/66-2 'Holmes, Jeffrey, 1:0/78-4
Hauser, Robert M., 16:1.1/75-2, Holmstronf,-Ehgin 1., 18:3.0/75-3
18:3.0/76 Holtmin, A.G., 27:4.9/78-2
Haviland, Davis S., 21:3.0/66-2 Hook, Sidney, 11:3.2/70,
Hawkins, Hugh, 7:6.0/72-1 14:3:0/7 -I .;
Healy., Charles, 22;3.2/74 Hoover, Kenneth H., 38:1.0/80-1
Healy, Timothy, 4:5.0/73 Hopf, Peter S., 21:2.0/75
Heath, Douglas H., 24:1.2/68-2, Hopkins, Bruce R.,20:2.3/79
37:5.0/80 Hopkins; David S. P., 2:2.2/75,
Hebert, Tom, 35:'3.0/76 10:3.0/81, 29:2.5/74-1, .
Hechinger, Fred, 28:2.3/78-1 29:2.5/74-2, 29:2.5/77
Heemann, Warren, 28:3.1/79-1 Hopkins, Richard Lee, 11:5.0/80
Heerman,"Barty, 22:3.1/73 Hoppock, Robert, 18:1.0/76
Heffernan, James M., 34:6.0/76 o Hosmer, Larue Touer,.9:1 .1/79-1
Hetley, Beryl.F., 23:5.0/73-2 Fkntle, Cykil 0.,34:1.0/80 -3,
Heim, Peggy, 26:2.4/79 34:3.0/72
Heinich, Robert, 25:1.0/70 Hounsell, Dai, 38:2.0/75 a
Heinsohn, Anne L., 18;1.0/73-1 Houeittan, John P., 4:4.0/79 -I
Heist, Paul; 16:1.2/72 House, .Robert J., 30:3.0/69
Hcistand, Dale L., 27:3.0/76 -I Howard, A.E. Dick, 8:1.0/74,
Hemphill, John K., 32:2.0/67-1 8:1.0/77-1
Hendricks, Perry B., Jr., 20:1.4/72 Howard, S. Kenneth, 15:1.2/72-1 ,
Henn, Susan M., 18:5.0/80 15:1.2173-2
Henry, Joe B., 17:3.0/80 Hciward, Sherwin, 31:1.0/80 -I
Herzlinger, Regina, 30:1.0/75-2 Howe, Daniel Walker, 7:7.0/70.
Hesburgh, Theodore M., 34:1.0/ Hoqw,
73-2 Hoyt, Kenneth, 18:2.0/74 .

69:I
4,
 Huckfeldt, Vaughn, 10:3.0/77 A°1 ..Johnson, Rohald W., 15:1.1/77
Hughes, Everett C. ,,24:3.1/68-1 Johnson, Susan E., 35:5.0/74
Hughes, Geoffrey C., 26:2.4/79 Johnsonton, William, 12:1.2/76-1
Hughes, Johh F., 12:1.1/75-1, Johnstone; D. Bruce, 17:2.0/72
12:1.2/75 Jones, C. Lee, 33:7.0/79-3
Hughes, K. Scott, 20:1.1/80 , Jones, Dennis P., 40L2.2/77-2,
Humphrey, David C., 7:2.0/76 10:2.2/77-7, 10:2.2/77-3,
. Hunt, A.D., 27:2.1/79-2 36:1.4/71-1
Hunter, Beverly, 23:3.0/75-1 'Jones, Howard Mumford, 7:6.0179
Hunter, Russell, 22:2.2/79-2 Jones, Larry R., 15:1.2/78-2
Hurwicz, Margo-Lea, 18:5.0/81, Jones, Michael A., 36:2.2/78 -2
18:5.0/79-1 Jung, Steven M., 35:3.0/80
Hussain, Khateeb M., 23:5.0/73:1 Juster, F. Thomas3:4.0/75-2
_ _ Hyde, William; 5:4.4/80,
15:1/281, 17:5.0/79
Hyman, Herbert H., 16:2.0/75,
16:2.0/79 Kadish, Sanford, 1131/69
Kaiser, Harvey H., 21:1.0/80,
21:1.0/79 k
Ihlanfeldt, William, 19:1:0/80-1 Kaiser, Robert L., 38:3.4/78
Ikenberry, Stanley, 14:1.0/72-1 Kaludis, George, 29:2.2/73-1
Ingram, Richard T., 28:1.2/80-1 Kanouse, David E., 16:2.0/80
Innis, 'Mary Q., 27:2.3/70 Kaplan, George R.: 12:1.3/4/6-1
Ishikawa, Sara, 21:1.0/75-3 Kaplin, 20:2.3478
Karabel, leromet141:1/72-2
Ka_rlesky, Joseph 14:2.0/78,
Jackson, Smith, 37:3.0/78 14:2.0/77-2
,Jacotli, Frederic, 31:2.0/747-1 Kastner, Carol S., 23:3.0/75-.1
Jacobson, Harvey K., 28:1.1/78 Katchian, Anahid, 10:2.2/79-1
James,-Estelle,.13:2:1/78 Katz, Joseph, 24:3.1/68-2;.:
Jamison, Dean T., 3:2.3/76-1 37:3.p/73
Jaques, David, 38:1.0/75-2 'Kauffman, Joseph F., 2:2.6/80-1
JedaMus, Paul, 31:1.0/80-2 Keeton, Morris T., 9:1.3/71-3,
Jellema, William W., 29:1.1/73-1, 26:4.1/71, 34:5.0/76
29:2.4/71 Keller, Fred S., 25:3.0/74-2
Jencks, qvistopher, 7:1.0/68 Kelley; Brooks Mather, 7:2.0/74-1
Jenkins, Robin, 31:1.0/80-1 Kelley, Edward PI, Jr, 26:4.3/77-2
Jenny, Hans H.,5:5.0/76, Kells, H.R., 9:4.0/80-3
26:2.4/79 Kemerer, Frank R., 16:4.3/75 -3,
Jody, Ruth, 4:5.0/77-1 29:2.3/77
Johnson: B. Lamar, 22:3.1/69-2 Kemp, Jerrold E.; 25:3:0/77
Johnson, Bernard, 16:1.3/74-2, Kent, Allen, 33:4.0777 ,

16:1.3/74-3 Kent, Laura, 18:5.0/81

Johnson, Elizabeth H., 9:4.0/75-2 Kerley, Robert F:, 14i3.0/76-1
Johnson, George E., 3:2.2/74 Kerr, Clark, 1:0/78-1, 11:2.1/63;
Johnson, Herman D., 14:3.0/76-1 12:1.1/79-2, 32:1.0/
Johnson, Lynn d., 9:1.4/80-1 72-2
Johnson, Marvin D., 28:5.1/81 Keysen, Carl, 11:2.2/73
665
694
1
 Kidd, Charles R., 14:1.0/59 Lamson, Robert D., 13 \3.3/72
Kieft, Raymond N., 31:1.0/78-3 Lancaster, F.W., 33:6.007
King, Francis P., 20:2.2/80-1 Landaver, U.E., 20:2.2/79-2
King, George V., 28:3.4/80 Landis, Carolyn P., 23:1.\0/80,
-King, Kenneth L., 25:5.0/79 23:2.1/74, 23:2.1/75, \
King, Margo R., 16:3.07A-1 . 29:2.5/79-1
Kingston, Gordon W., 13:2.3/18 Langerman, Philip, 34:3.0)79-1
Kintzer, Frederick, 19:14:0/73-2 Lanier, Lyle, 5:5.0/75 \
kirk, R. Wade, 22:3.2/73 Lasher, William F. 18:6.0/ 7-1
KirscAling, Waynt R., 26:3.1/78 Laudicina, Robert, 37:4.0/7
Kitarhura, Kaiuyuki; 1:0/79-1 Lauth, Thomas P., 15:4.0/78
Klein', Susan, 4:6.0/81 Lawrence, G. Ben, 10:1.0/77
Kleindienst, Viola K,37:t.0/78-1 Lawrence, Judith K., 13:1.3/8-2
Klevins, Chester, 34:4;0/76 Lazerson, Marvin, 18:2.0/75-2;v_. _
'Klitgaard, Robert D., 2:2.2/79 Lee, Calvin B.T., 9:1.3/7.2-3
Knapper, Christopher K., 25:3.0/ Lee, Eugene, 6:1.0/75
80 Lee, Philip, 27:3.0/76-2,
Knoell, Dorothy, 22:2.2/76 LeeiRobert D., Jr., 15:1.1/77
Knowles, Asak , 30:1.0/70 ,Lee, Sul, 39:1.0/77 a
Knowles, Malcolm S., 34:4.0/70 Lee, Yong S., 10:2.2/75,
Knox, Alan B., 34:2.0/78, 34:3.0/ 13:1.3/77-3
79-2 Lehner, J. Christopher, 4:3.0/80-2 \
Knox, Warren Barr, 32:3.0/73 Leibert,dwin R., 28:2.3/74-1 .

Kobre, Sidney, 28:2.3/74-2 LeLoup, Lance T., 15:1.3/78- l ,

Kocher, Karl, 33:7.0/77 15:1.3/78-2
Kockelmans,, Joseph J, , 11:2.2/79 Lenning, Oscar T., 10:2.2/77-3,
Koenig, Kathryn E., 24:1.2/67 10:2.2/77-4, 13:1.2/76,
Kogan, Maurich, 1:0/80-2; 13 :1.3/77 -I, 13:1/3/77-3;
1:0/77-1 16:1.3/74-2, 16:1.3/74-3,
Komrners, Donald P. 8:2.0/78-3 19:2.0/80-1 '
Kootifs; Harold, 30:1.0/74-2 Leonard, Jerry H., 20:1.1/80
Koos, Leonard, 22:2.2/70-2 LeRoy, Lauren, 27:3.0/76-2
Koopes, Wayne F., 21:3.0/66-2 Lerup, Lars, 21:2.0/78
Kotler, Phillip, 28:1.1/75 Leslie, David W., 26:2.1/78-3
KozmaeRobert B. 38:1.0/78-4
Kramer; Martin, 5:5.0/80 -
Kuh, Charlotte V., 2:2.1/80-2,
' Leslie, John W., 28:1.1/71,
-28:1.1/69
Leslie, Larry L., 12:1.1/74 -3,
2:2.2/78 15:1.2/80-1
Kuhns, Eileen, 9:2.0/75-2 Lester, Richard A., 26:2.5/74-1
Kuklick, Bruce, 7:7.0/79-1 Levien, 23:1.0/72
Kurtz, Paul, 14:3.0/7-1 Levine, Arthur, 9:1.1/81,
Kymlicka, B.B., 1:0/78-4- 24:2.1/78;24:2.3/74
Levine, Charles H., 15:1.1/80 -I
Levy, Daniel C., 1:0/80-1
Ladd, Everett Carll, Jr., 26:1.0/ Lewis, Darrell R., 26:3:1/79
S-1, 26:1.0/76-2 Lewis, Harry F., 21:3.0/63-2
Lahti, RobertE., 22:1.2/79 Lewis, Lionel S., 26:3.1/75
LAM, William M:C., 21:2.0/76-1 Lewis, Richard B., 28:6.4/77
666

649
 Lewis, William W., 29:2.3(72 `McKenney, lames L., 23:2.3/74
Lind, C. George, 12:4. I/A-2 McKinney, T. Harry', 6:5.0/75
Lindenmann, Walter K., 28:2.1/ McLachlan, James, 7:1.0/78,
77-1 7:3.0/70, 7:4.0/74-2, 7:4.0/74-3
Lindquist, J., 24:2.3/77 McLaughlin, James, 10:2.1/75
Linhart, Cynthia.A., I5:2.0/78-I McKune, Thomas, 24:23/76-1
Upset, Seymour Martin, 7:2.0/7, McLean, Sandi, 32:2.0/74-1
26:1.0/S-1, 26:1.0/76-2 McLeod, John W., 21:3.W63:1
Liu, John K.C., 21:2.0/78 McNathara; Patricia, 4:6.0/76 k
3.
Lobnian, Theodore E., 5:6.0/80 McPherson, James M., 7:1.0/74-4 ,
Lockwood, Geoffrey, 19:2.5/72, McPherson, Michael, 14:2.0/80-3
31:1.0/73-2 Mable, Phyllis, 37:3.0/74. .
fombardi, John, 22:1.1/71, MacArthur, Brian; 1:0/78-1
22:1:3/73, 29:1.2/73_ MacDpnald, Mary, 36:1.3171
Lombtrdo, Michael M., 32:1.0/ MacFarline, William H., 8:1.0/74
78 -2' Mackenzie, Norman, 25:3.0/75-2
Lizidon;.Howard 8., 22:1.1478 Macy-, Francis U., 34:6.0/76
Lowi, Theodore J., 9:2.0/71 , Madoff, Marjorie K., 26:3.1/76
Lu.bans, John J. 33:6.0/78 Magnusson, Frances.W., 28:2.3/
Lucas, John A., 31:1..0/79 79.2 '
Luehrman, Arthur W., 23:2,:2/74 Major, Sandra, 9:1.4/73-2
Lumsden, D. Larry, 38:4.0/78-1 Makowski, David, 9:1.2/80 .

Lunt den, Keith G., 3:2.3/74. Malinconico,.S. Michael, 33:7.0/

Leney, Gerald H.,8:1.0/80-2 29-2 .*

Lyden, Fremont J., 15:3.0/72-2 :Malitz, Gerald; 10:2.2/81

Lynch, Ann Q., 37:3.0/73 Mann, Richard D., 38:3.0/70
Lysaught, Jerome P., 27:2.3/74 Mann, Richard L, 23:5'.0/75
March, !nines G., 1:0/76,
32:2.0/742 .

McCall, Moigan W., Jr., 32:1.0/ Marcus, Matityahu,.33:-1.0/73-2

78-2 vtarmion, Harry A., 37:6.0/79-I
McCarthy, Joseph L., 29:1.3/78 Martin, James S., 10:2..1/73-1 .

McCaughey, R6bert A., 7:6.0/74, Martin, Susan K., 33:4.0/78-1

. 7:7.0/74-2 .1, Marton, F., 38:R.0/78
McCloskey, Joseph, 29:2.4/72 Martorana, S.V., 6:4.0/75,
McConnell, T.R. , 16:1.2/72, 6:5.0/60, 9:2.0/75-2
26:4.1/78 4%* Mason, Mary Ellsworth, 33:1.0/80
McCormick, John, 16:1.2/73 Mason, Thomas R., 29:2.5/76, ,
McCoy, Marilyn; 5:6.0/S, 36:1.4/71-1
10:2.2/77-1, 10:2.2/W7-7 Massy, William F., 10:3.0/81,
.. McEvoy, James W., 111N4:1.0/ 23:2.3/74, 29:2.5/74-1,
72-2, 14;1.0/75-2 29:2.5/74-2
McGee, Reece, 26:2.1/71 .Matsler, Franklin G., 36:1.4/66
McGuiness, Aims C., Jr., 6:5.0/75 Matthews, Joseph R., 33:7.0/79-1
McHugh, Anita, 10:2.2/77-2 Max, David M, , 33:6.0/76
M'cKsachie W .1 , 38:1.0/80-2, Maxfield, Betty D., 18:5.0/80
38:1.0/78-2 1 Maxwell, Martha, 38:3.0/79

667

696
 Mayhew, Lewis B., 9:1.4/72-1, Milton, Ohmer, 24:2.3/78, 38:1.0/
11-1.1/74-1, 12:1.1/77:2, 78-5
24:2.2/74, 24:2.3/71, 29:2.4/80 Minogue, Kenneth R., 11:2.1/73-2
Mechling, Jay, 8:2.0/78-4 Minter; W. John, 5:5.0/S-1, 5:5.0/
Medsker, Leland L., 4:2.0/77-1, S-2
9:1.3/71-2, 16:1.3/68 Mix, Marjorie C., 26:2.3/78
Meeth, L. Richardl 29:2.4/74 Miyataki, Glenn K., 10:2.103-2,
Meierhenry, Wed Ey C., 25:3.0/79 31:1.0/76-1
Meisinger, Richard J., Jr., 15:1.2/ Molerf, Theodore, Jr., 9:1.3/76
76-2, 15:2.0/76-1 Motz, Kathligtn Redmond, 33:4.0/
Menges, Robert J., 38:4.0/79 a 76
MenSel, R. Frank, 20:2.2/79-2 v) Monroe, Chit ries R., 22:1.1172-3
Mere itz, Leonard, 15:3.0/71 Mood, 'Alexander, 12i3.0/73
Merrill, Irving R., 25:5.0/77-1 _Moore, William, Jr., 22:2.2/70- y
Merson, John C., 29:2.5/79-3 Moos, Malcolm, 6:2.0/59-2
Merriam, Sham, 11:6.0/80 ',Moos, Rudolf H., 37:3.0/79-1
4.
Mertins, Paul F., 5:6,0/A -2 Moots, Philip R., 8:2.0/78-2
Messick, Samuel, 38:3.0/76-2 Menu), Gerald P., 8:2.0/77-1
Metcalf, Keyes D.1 21;3.0/65 Moreland, William B., 15:1.3/78-1
Metzger,.Walter, 11:3.2/69 Morgan, Anthony W., 15:1.2/75-2,
Meyer, Peter, 34:5.0/75 15:1.2/76-2
Micek, Sidney S., 10:2.2/75, . Morgan, G.E., 36:1.3/65
13:1.3/71-O 29:2.2/80. Morgan, Margaret, 27:2.5/77
Michener, James A., 37:6.6/76 Morris, Lorenzo, 4:3.0/79
Milgram, Peter, 27:2.2/78 Morrison, Peter A., 2:1.1/76
Millard, Richard M., 6:2.0/76-1-,. Morse, Linda K., 29:2.3/72
6:2.0/80 - 2,6:5.0/75 - Mortimer, Kenneth P., 26:4.1/78,
Miller, Ernest 15:3.0/72-2 26:4.3/76, 29:2.3/79-2
Miller, Geoige E., 27:2.1/80 Morton, Michael S. Scott, 25:4.0/
Miller, Howard F., 7:1/0/76-2, 75
12:1.1/74-3 MOSFIliklin, Charles, 23:2.1/73,
Miller, Jerry W., 18:4.0/78 23:3.0/76-2
'Miller, Leonard S 3:1.1/75 s, Mules E., 15:2.0/76-2
Miller, Paul A., 34:1.0/73.-2 nday, Leo A., 16:1.3/74-1,
Miller; Richard 1., 13:1.3/80-1, 16:1.3/74-2, 16:1.3/74-3 -
31:2.0/79 . Muldrick, Nancy R., 17:4.0/80
Millet, Theodore K., 37:1.0/76 Murphy, Cullen, 12:1.1/77 -I
Milieu, John D., 1:604-1, Murray, H.T., Jr., 25:3.0/72
6:1,0/77, 9:1.1/80-4, Myers, Ed, 10:2.2/79-1
12:1.1/77-3, 15:3.0/70-2, Myers, John Holt, 28:3.4/78
29:1.1/78-2, 29:2.3/73, Myers, Robert H., Jr., 28:3.4/78
30:3.0/80-1, 31:1.0/77
Millis, John S., 27:2.4/77
Mills, Olive, 12:1.1/75-1, Naggar, Devendrea P., 29:2.5/79-41
18:4.0/78, 29:1.1/72 Narita, Katsuya, 1:0/78-7
Milner, Margaret, 4:4.0/77, Nason, John-W., 6:3.0/75;
36:2.2/78-1 32:2.0/80-3

691
 Neagley, Ross L., 22:1.2/73 O'Neil, Harold F., Jr. 25:1.0/79
Nelson, Lyle M., 28:5.1/72 O'Neill, Joseph P., 8:2.0/80 -I
Nelson, Susan C., 5 :4.4/81. O'Neill, June A., 5:6./73,
' 17:5.0/80-1, 22:1.3/79-1 5:6.0/71
Nesmith, James N., 29:2.3/75 Onuskin, VictOr G., 9:2. 1/75-3
Ness, Frederic W., 32:3.0/71 Orlans, Harold, 14:1.0/72,3,
Nevison, Jon M., 23:2.2/74, 'I4:2.0/6
23:3.0/76-1 Orlansky, Jesse, 25:4.0/79
Newcomb, Theodore M.,.24:1.1/ OrWig, Melvin D., 5:2.0/71,
69-2, 24:1.2/67, 24:3.2/61 , 29:2.2/79-1
Newman-, Barbara M., 38:3.0/70 Osburn, ChaOs., 33:5.0/79
Newman; Frank, 12:1.1/71 . .Osipow, Samuel H., 18:1.0/73-2
Newman, Oscar, 21:2.0/73 Ostergren, Benil, 1:0/77-2,
Nielsen, Norman R., 3:212/70,, '1:0/78-5
23:2.3/73 OStOW , Miriam, 27:30761
Noel, Lee, 19:2.0/78-2, 19:2.0/ O'Toole, James, lb:3.0/77-1
80-2 - Otto, Heathert:,15:1.2/80-1
Nolfi, George, 16:2.0/78, -

35:2.0/74-1 Pace, C. Robert, 9:1.3/72-1,

Nordby, Gordon L., 23:2.1/78 16:2.0/74-2, 16:1.2/80 -I,
Norris, Donald M., 18:6.0/77-1 16: 3/79-
Novak, J., 25:3.0/72 " PackWood,WilliamT., 37:1.0/77
Novak, Steven J., 7 :4.0/77 31:1.0/11
Novick, David; 15:3.0/69 -I ,Palinchak, Robert, 22:11/73-1
Nowlan, James D., 15:1.2/764 Palmer, R. Ronald. 21:3.0161
Nuanes, Richard J., 12:4. I/A-6 Palola, Ernest G., 6:2.0/71-2,
, . 31:1.0/71
O'Banion, Terry, 2241,1172-2, Paltridge, James, 6:10/71-2
41*
22:3.2/V-2, 37:10/71' Panos,.Robirt J., 16: r.1/69
Ochsng, Nancy L, 18:3.0/77-2, Padtages, Timothy, 19:2.0/78-1
.18:3.0/791t 18:5.0/81, Parden, Robert J., 29:2.2/70
18:5.0/79-1 , Parekh, Satish B., 31:1.0/75-2
Odegaard, Charles E., 27:2.1/77 Parker, Franklin, 12:4.1/80
Odell, Morgan, 8:4-,41/80-3 Parsonage, Robert Rue, 810/7871'
O'Dell, Stephen T., 37:5.0/79 Pailons, Kermit,' 7:2.0/68 A
O'Donnell, Cyril, 30:1.6/74-2 Pask, G. ,-38:2.0/7,8
O'Donnell, Kathleen M., 34:2.0/80 Passmore, J. Robert, 13:1.3/77-1
Oglesby, Carole A., 37:6.0/78-2 Patterson, Nell R., 36:2.1/80-2
O'Keefe, Michael, 4:2.0/77-2 Patton, Carl V., 26:2.4/78:2
Oleson, Alexandra, 7:7.0/79-2 Peisert, Hansgert, 1:0/78-8
Olevni14 PeterP., 12:4.2/79 Pellegrino, Edmund D:, 27:2:1/
° Olivas, Michael Al., 4:3.0/80-1, 79-1
22:2.2/79-1 Peltzman, Sam, 3:11/73
Olsen, E. Odgers, Jr., 27:4.0/78,2 Peng, Samuel S., 19:1.0/78-2
Olsen, Johan P., 1:0/76 Pepin, Andrew J., 26:2.1/78-3
Olson, Keith W., 7;1.0/74-2 Perkins, James A., 6:1.0/73 .
Omenn, Gilbert S., 14:3.0/80-4 Perkins, James R., 32:2.0/67 -I

669

698'
 Piirkins, John/A., 14:3.0/76-I Quinley, Harold, 12:1.2/70 .

POW, Evelyn, 9:4.O/808. -Qtlinit-Edward4;54)/73

Perini!, RoBert, 9..4.0/80-8 Quinn, Robert P., 18:3-.0/15-2
Perry, William G., Jr., 24:1-.2/68-1
Peterson, Gary, 25:5.0/75-1 Radner, Roy, 2:2.1/80-2, 2:2.2/78,
Peterson, Marvin W., 31:1.0/80-2 3:1.1/75,3:2.3/76-I
Peterson, Richard E., 31:2.0/77-2, Raelin4oseph A., 18:3.0/80-I
34:1.0/79 Rainsford, George N., 7:1.0/72
Peterson, Richard J., 36:1.5/74 Raley, Nancy, 28:2.1/78-2
Pfnister, Allan 0., 31:1.0/76-2 Ralston, Sandi, 32:2.0/78-2
Phillips, lone, 12:1.2/77 Ramo, Simon, 14:2.0/80-2
Phillips, Steven R., 26:3.2/78 Rausch, Erwin, 30:3.0/80-2
Pickelman, John E., 13:2:2/76 Reardon, Robert C., 37:2.0/75-1
Pierson, George W., 7:1:0/69 Redden Martha Ross, 4:4.0/79-2
Pintiell,Charles, 36:2.3/68 Reece,Villiam S., 3:3.2/79
Piper, David Warren, 38:1.0/75-2 Reed, John S., 16:2.0/75
Pitchell, Robert J., 17:4.0/74-1 Reeher, Kenneth R , 1,7:5.0/A-1
Pitman, John C., 223.2/72-1 Reinert, Paul C%, S.J., 8:2.0/72
Place, Carol, 16.3.0/S-6 Reinhardt, Uwe E., 27:3.0/75
Plisko, Valena White, 12:4.1/A-1 Reynords, James W., 22:3.1/69-I
Poage, James, 23:2.1/75 Rhatigan, James J..37:1.0/78 tj

Postgate, Richard, 25:3.0/75-2 Rice, Lois D.; 17:2.0/77

Postlethwait, S. N., 2J:3.0/72 Rice, William Maxwell, 21:3.0/61
Potter, George E., 22:1.2/77 Richards, John R., 36:1.3/64
Powell Arthur G., 7:2.0/80-1 ,Richardson, Gerald T., 16:3.0/A-1
Powell, John H., Jr.; 13:3.3/72 Richardson, Richard C Jr.,
Powell, Ray M., 29:2,2/79-2 . 22:1.2/72
Powell, Susan A., 4:2.0/79 Richman. Barry M., 30:1.0/74-3
Powers,,Thomas F., 18:2.0/77-1 Ridgeway, James, 14:3.0/68
Prager, Denis J. , 14:3.0/80-4 Rieman, David,.7:1.0/68,
Pray, Francis C., 28:3.1/81 7:2:0/75, 11:2.1/78,
PrenifIrs, Rune, 1:0/78-5, 1:0/80-3 12:1.1/81-2. 12:1.1/79-2
Press, I ank, 14:2.0/81-2 Riker, Harold C., 21:3.0/72,
Prichard, Keith W., 38:1.0/75-3 37:3.0/65
Priest, Bill J., 132.2/76 Riley, Gary L., 26:4.0/77,
Prince, Judith S., 37:1.0/76 32:2.0/78-3
Propst, Robert, 21:3.0/66-i Riley, John G., 34.0/7911
Psacharopoulos, George, :4.0/ Ringwald, Barbara, 38:3.0/70
77-2 Ringwald, John, 38:3.0/70
'Purves, Ralph A., 15:1.2/76-2, Ritchie, M.A.F., 32:3.0/70-I
15:1:2/76-5 Robbins, J. Nevin, 34:7.0/79
Pyhrr, Nter A., 15:4.0/73 Roberts, Donald F., 28:6.1/71
Roberts, Eleanor, 22:3.3/76
(balls, Robert L., 29:2.5/79-3 Robins, Gerald P., 29:2,1/73
Quann, C. James, 19:1.0/79-1 Robinson, Daniel D., 13:2.3/77
Quay, Richard H., 12:4.1/80, Rockart, John Fralick, 25:4.0/75
12:4.2./76 Rogers, David E., 27:5.0/78

-670

69;)
Rogers, M: E. , 6.:5.0/72 Schmidtlein, Frank A., 15:1.2/77,
Rogers, Rutherford D., 33:1.0/71 15:1.2/76-2
Romero, Martha, 4:2.0/82 . Schoenberg, B. Mark, 37:2.0/78-2.
Romney, Leonard C., 10:2'.I/73-1, Schon, Donald A., 30:3.0/74
10:2.2/74,13:1.3/78,16:1.2/74, Schram%Williur Lang, 28:6.1/71
36:1.41/71' -.1 Schrook0Charles C., 37:3.0/78
Roose, Kenneth D., 13-1.1/70 Schroeder, Roger G., 13:2.3/78,
Rosen, Nan L., 4:3.0/80-1 29:2.5/77
Rosenwein, Robert, 38:3.0/70 Schultz, Theodore W., 3:4.0/72
Ross, Dorothy, 7:6.0/72-2 Schultze, Charles L., 15:1.3/68
Rossman, Jack, 4:5.0/73 Scupham, J.', 25:3.0/75-2
Rouechd, John E., 4:5.0/7-2, Scurlock, Reaga, 20:1.4/75
22:3.2/73, 22:3.2/72-1 Seabury, Paul, 28:5.3/79
Rourke, Frances E., 6:2.0/59-2, Searight, Mary W., 27:2.3/76-2
31:3.0/66 Sedelow, Sally Yeates, 23:4.0/70-2
Rowell, Harry, 23:2.1/74 Sedlak, Michael W., 7:3.0/76
Rowland, A. Westley, 28:1.1/77 Seibert, Ivan N., 25:6.0/75
Royer, Jeannine T., 16:2.0/73-2 Seidel, Robert J., 23:3.0/75-1,
Rubin, Leonard, 14:3,0/77-2 25:4.0/77
Rubin, Martin L., 23:3.0/75-1, Seldin, Peter, 26:3.1/80
25:4.0/77 Sell, G. Roger, 10:2.1/78
Ruch, Richard S., 29:2,5/79-4 Sells, Lucy W., 26:2.5/74-2
te,

Rudolph, Frederick, 7:1.0/62, Service, Allan L., 10:1.0/77,

24:2.1/77 10:2.2//75, 10:2.2/76,
Runkel, Margaret, 38:3.0/72 13:1.3/77-3
Runkel, Philip, 38:3.0/72 Sewell, William H., 16:1.1/75-2
Rushy, Nicholas John, 25:4.0/79-1 18:3.0/76
Russell, James D., 25:3.0/74-3 Seymour, Harold J., 28:3.1/66
Ruyle, Janet H., 12:3.0/76 Shannon, James A., 14:2.0/73
Shark, Joan, 19:1.0/77-3
-Sale-, Kirkpatrick, 7:4.0/73 Sharp, Laure M., 16:2.0/70-1 ,
Saljo, R., 38:2.0/78 Shavlick, Donna, 4:6.0/78
Salmen, Stanley, 30.2.0/71 Shea, John R., .12:1.0/76
.Samp:.:, Steven B., i 5:1.2173-1 Sheffield, Edward, 1.0/78-4
Sandler, Bernice R., 4:6.0/S Sheldon, Bernice E., 28:2.3/74-1
SanfOrd, Npvitt, 24:1.1/79 Sheldoh, M. Stephen, 22:2.2/79-',./.
Sargent, Cy, 21:1.0/75-1 Sherman, Douglas R., 36:2.3/81'4
Satryb, Ronald P:, 29:2.3/77 - Sherman, J. Gilmour, 25:3.0/74-2
Saupe, Joe L., 31:3.0/81 Sherwood, W. Charles, 36:1.3/67,
Sayles, Leonard R., 30:2.0/72 36:1.3/65
Schafer, Carl W., 29:2.3/72 Shimahara, Nobuo, 11:1.0/73
Scheaffer, Donald E., 35:4.0/79-1 Shulman, earol F., ii:1.0/72-1,
Scheps, Clarence, 20:1.1/78-1 8:4.0/74-2
Scherri, Rita A., 32:2.0/80-2 Shulman, Carol H., 19:1.0/77-2,
Schick, Allen, 15:1.1/80-2, 29:1.2/71
15:1.2/71, 15:1.3/80 Sibbison, Virginia H., 18:1.0/73-1
Schillinger, Jerry L., 36:1.4/68-1 Siebert, Al, 38:3076,1

-671

700
 Sienkiew lel, Carol, 4:t .0/81 . Starnes, Paul M7, 5:4.4/76
Silverstein, Murray ,21: 1.0/75-3 Stauffer, Thomas M., 9:4.0/8113
Simpson, William B., 15:2.0/75 Stein, Richard G., 21:110./77-1
Simon, Herbert A., 32:1.0/76-1 Steinberg, Stephen, 7:1.0/74-3
Simon, Julifi, 33:5.0/61 .
Steitz, Edward S.", 37:6.0/71
- Simon, Lou Anna Kinsey, 29:2.3/ Stent, Madelon 1J., 4:3.W77
76 Stern, Barry E., 18`2.0/77-3
Sindlen, Allan, 19:1.0/79 -2 Stevens, Rosemary, 27:1.0/71
Skousen, K. Fred, 20:1.2/75 Stiles, Lindley J., 38:1.0/74
Sloan, Douglas, 7:5.0/80, Stolurow, Lawrence M., 25:5.0/
7:5.0/71-1, 7:570/71-2, 75-2
9:1.1/80-2 Stone, Bob, 28:6:3/72,
Smartt, Steven H., 9:1.3/81 :Stone, Elizabeth, 33:2.0/78
Smith, BruceL.R:, 14:2:0/78; Story, Ronald, 7 :2.0/80 -2-
14:2.0/77-2 - Strauss, George, 30:2.0/72*
Smith; Carolyn R., 12:4.3/A-2 Steeter, Donald N., 23:4.0/74
Smith, Douglas H., 34:3079-1 Strike, Kenneth A., 11:4.0/78
Smith, G. Kerry, 32:2.0/67-2 'String. Joseph, 2:4.0/79
Smith, James P., 18:3.0/78 Stroup, Thomas B.,, 11:2.1/66
Smith, Virginia B., 9:1.4/79 _Stuehler, George, Jr., 37:5.0/79
Snarey, John R., 4:1 .0/81..- Suleiman, Ezra N., 1:0/789
Snow ; Jerry J.; 4:5.0/77-2 'Sullivan, Daniel, 5:6.0/73,
Snyder, Benson R., 24:3.1/71 29:1.2/73-1 .
Sokatch, Seymour, 20:2.2/79-2 Sutherland, William R., 23:4.0/70
Solmon, Lewis C., 18;2.0/78-2, Swihart, Stanley J., 23:5.0/73-2
18:3.0/77 - 2,16:2.0/81, Swinton, John,'18:2.0/77-1
18:3.0/82,18:3.0/79-1, Sinnott, Varela Graham, 7:3:0/79
18:5.0/81, 18:5.0/79-1 \ Syverson', Petcr a., 16:3..0/A-2
18:5.0/79-3, 24:1.1/72
Soltisdonas, 11:1.0/81, 11:1.0/79 Tarule, Jill Mattuck, 4:2.0/80-2
Sommer, Robert; 21:2:0/69' Taubman, Paul J., ;3:4.0/74, 3:4.0/
Sosnick, Stephen H., 15:3.0771 76-2, 24:1.0/72
Spaeth, Joe L., 16:2.0/7012 , Taylor, ERTIly; 4:6.0/78
Spence, David, 15:2.0/78-2 Taylot, Mary EApn, 16:3.0/S-6
Spielvogel, L.G., 36:2.1/80-2 Teague, Fred A., 25:5.0/79
Spikes, W. Franklin, 9:1.3/80 Teich, Albert H., 14:1.0/78-2
Sproul!, Robert L., 14:10679-2 Terkel, 3tuds, 37:2.0/75-2
Sprunger, Benjamin E., 20:2.2/78 Thelin, John, 8:1.0/80-3
"Squires; Gregory D., 18:4.0/79-1 Thomas, Charles R., 23:5.0/75
Stadtman, Verne A. , 12:5.0/8Q Thornis,.George B:, 26:3.1/76
Stafford, Cecille E., 16:3.0/S-6 Thompson,Fred, 15:1.1/81-2,
Stalcup, Janice, 27:3.0/76-2 15:1.2/80-3
Staman, E. Michael, 31:3.0/79 Thompson, Glen R., 4:4.0/A
Stark, Joan S. 19:1.0/77-3, Thompson, Thomas, 4:3.0/78-1
37:4.0/76-3 Thornton, James W., Jr,, 22:111
Stafford, Frank, 3:2.2/74 72-1, 25:2.0768
Stampen, Jacob, 5:3:0/81 Thurston, Alice, 22:3.2/72-2

672
Tice, Terretfce N., 17:4.0/76-1 VOsey, Laurence R., 7:1.0/85,
Tickton, Sidney G., 25:2.0/70 7:5.0/73 .

Tierney, Michael L., 19:1.0/80-2, Vickers, Donn F34:6.0/76

29:2.3/79-1, 29:2.3/79-2 Vogles, William D., 26:2.1/78-2
Tillery, Dale, 9:1.3/71-2 Voss, John, 7:7.0/79-2
Timson, Kelsey, 9:1.4/73-2 Vroom, Victor H., 32:1.0/73
Tinto, Vincent, 9:1.4/72-2
Tip ling, Roger N., 25:5.0/79, Wacholder, Michael, 36:2.3/68
Tittle, Carol Kehr, 4:6.0/80 Wahoske, Michael J., 8:2.0/78-3
Todorovich, Miro, 14:3.0/77-1 "Walberg, Hubbard J., 32:2f0/67-1
Tolbert, E.L., 37:2.0/80 Wales, Terence, 3:4.0/74
Tobeyt, Jack F., 35:3.0/79-1 Walker,Donald E., 32:2.0/79-1
Tolinach, Judy, 21:3.0/72 Wallace, Walter L., 24:3,2/66
Topping, James R., 10:2.1/73-2, Wallhaus, Robert A., 13:3.3/75,
10:2.2/79-1, 10:2.2/77-1; -23:5.0/75, 31:3.0/741
13:2.3/79 Walsh, Patricia Ann, 37:1.0/79
Touchton, Judy, 4:6.0/78 Walter, Tim, 38:3.0/76-1
Tramutola, Joseph L., Jr., 37:4.0/ Walters, Eric D., 8:1.0/80-2
74 Walton, Clarence C., 12:1.1/79-3
Trent, James W., 16:1.3/68 Warch, Richard, 7:2.0/73
Trillin, Alice Stewart, 4:5.0/80 ath, Charles F., 37:2.0/71
Trivett, David A., 12:1.1/73-1 Warwick, Donald P., 24:1.2/67
Troutt, William E., 15:1.2/78-1 Washburn, Court, 36:1.3/71 .

Trow, Martin A.; 16:1.2/72, ' Watkins, Ed, 18:2:0/79-2--

26:1.0/75 Watt, Joan Lyn_ ott, 28:2.3/78:3
Trull, Albert, 21:,..0/73 Wattenberger, James L. , 5:4.4/76,
Tuckman, HowardP., 3:2.2/76, 6:5.0/70, 22:1.3/74
5:1.0/80, 26:2.1/78-2, Weathersby,"George B., 15:3.0/
Turk, Frederick J., 13:2.3/77 72 -1., 31:2.0/77-1, 31:3.0/75,
Tyack, David B., 7:3.0/74 31:3.0/70
Weathersby, Rita Preszler; 4:2.0/
' Uhl, Norman P., 31:2.0/77-2 80-2
.Updegrove, Daniel A., 10:1.0/81, Webb, Richard M. 16:2.0/73-2
29:2.5/79-2 %Veber, David C., 33:1.0/71 .

Weber, Gerald 1., 5:4.2/71

sianDe Graaff, John H., 1:0/78-2 Webster, Duane E. 30:3.0/75
Vander Well-, -Allen,R., 16;1.3/ Wechsler, Harold S., 7:3:0/77
74-2, 16:1.3/74-3 . Weeks, L.E., 27:2.1/79-2
Van Dusen, Wiliam D., 17:3.0/79, Wegener, Charles, 11:2.2/78
17:5.0/78 ----Weinberg, Alvin, 14:1.0/67
Van Eyck, Daniel K., 26:4.3/73 Weingart, Jauf;24:2
Van Ord, Suzanne, 9:1.3/76 Weingarten, Fred W., 23:2.3/13--
Vermilye, Dyckman W., 18:3.0/ Weinschrott, David J., 3:1.1/77
77-3, 9:4.0/75-2, 24:2.3/76-2, Weinstein, Milton C., 31:3.0/70
24:2.3/75 Weinstock, Ruth, 25:2.0/7,
Verry, Donald, 3:2.3/76-2 .
34:1.0/78
Vetter, Betty M., 18:6.0/77-2

673

742
 4

Weisbrod, Burton A., 3:5.0/69 Winkler, H. Donald, 28:5.2/78

Weiss, Yoram, 3:2.2/81 Wirtz Willard, 18:2.0/75-3
Welch, Finis, 18:3.0/78 Wolanin, Thomas R., 17:1.0/76
Welch, PatriceA., 28:3.2/80 . Wolf, Frederick.H., 36:1.3/67
Wells, Agnes Q., 26:2:1/78-1 Wolff, Paul, '11:2.1/69
Wells, Herman B. ;32:3.0/80-1 Wolfbein, Seymour L., 18:1.0/
Wessels, John, 17:3.0/81 -I 75-2
Westervelt, festher Manning, 4:6.0/ Wolfle, Dael, 9:1.3/ 72-2
75 WoodtAlexander, M., 29:2.4/72
Weston, Aithur,'37:6.0/78.!1 :.Wood; Lynn, 38:1.0/75-1
Whalen, Edward, 5:1.0/80 Woodbury,.Mariia L., 12:4.4/76
Whalen, WilliamJ., 28:61/78-2 Woodhall, Maureen, 17:6.0/78
Wharton, Cliftgl R., Jr., 34:1.0/ Woodrow, Raymond J., 14:1.0/
_73-2 79-2
Wheeler, Donald, 1:0/78-2 Woolf; James Re 36:1.4/71-2
Whitehead,'John S., 7:1.0/73 Wray,.Gerald P., 23:2.3/73
'Whitelaw, James H., 1:0/78-4 Wright, Charles R., 16:2.0/75,
Whiteley, James R. ;23:2.3/73 j6:2.0/79
Wildaysky, Aaron, 15:1.1/75, Wuest, Francis J9:4 .1/79-3
,15:1/3/79,15:1:1178-2 Wulff, Keith M., 14:3.0/79-3
Willey, Lawrence V., Jr., 23:3.0/ Wulfsberg, Rolf M., 9:1.2/80
75-2 Wyatt, Jot P., 291.5/79-1
Williams, Bruce, 1:0/78-6 Wyer, Jean C., 9:1.1/80-3
Williams, Donald T., Jr., 32;2.0/ WYgal Benjamin R., 22:3.3/76,
80-4 . 28:2.3/77-2
Williams, Dorothy, 28:( 2/79-1
Williams, George W., 38:1.0/78-4 Yeaker, John L., 15:2.0/78-1
, M.J. , Jr.,20:1.1/80,. Yetton,.Philip W., 32:1.0/73
31:1.0/80-1 Yonge, George, 16:1.2/72
Williams, M. Jane; 28:3.3/79 Young, D. Parker, 37:4;0/76-2
Williams, Richard C., 23:5.0/75 Youhg, Kenneth E., 5:3.0/74-2
Williams, Robert L., 6:5.0/71.
Williamson, E.G., 37:1.0/75 Zachar, Sy, 21:1.0/77-2
Williamson, J. Peter, 20:3.1/72 Zagaris, lvar, 22:1.1/72-4
Williamson, Janet A., 27:2.3/76-1 Zodhiates, Phillip, 4:1.0/81
Willie, Charles V., 9:1.3/78-1 .Zollinger, Richard,A., 14:3.0/78
Willingham, Warren W., 4:1.0/70, Zumeta, William, 15:1.1/81-2
4:1.0/73 Zwerling, L. Steven, 22:1,1/76
Willner, William, 20:2.4/72 Zwingle, J.L., 6:5.0/72
Wilms, Wellford W:, 35:1.0/i4 -I,
35:1.0/74-2 ,
Wilson, Charles H., Jr., 8;2.0/71
Wilson, John, 9:1.1/79-2
Wilson, Logan, 29:1.1/72
Wilson, Richard F.,_9:4.0/80-6
Wilson, Robert C., 38:1.0/75-1
Wing, Paul, 10:2.1/75, 10:2,2/74

674
1
703
 s,

.11

Index of Mogi
(Volumes I and H)

sk,

For publications cited in this bibliography that are available from EDRS, °Wahl number
and pages are identified in parentheses: Readers Who wish to order a publication should
write ERIC Document Reproduction Service, P.O. Boit 190, Arlington, Virginia 22210.
When ordering, please spec y the document number. Documents are available as noted in .4
microfiche IMF) and piper opy (PC). -

AAUP Policy Documents and Repoirts, AAUP, 26:4.3/77-1'

(ED 136646, 105 pp.)
AAUP Retrencludent.Policy, (19/6), W. Todd Furniss, 26:2.2/S-1
Academia Transidon: Mid-Career Change Or Early Retirement,
Carl V. Patton, 26:2.4/78-2 (ED 213281, 212 pp.) .

Academic Adaptations: Higher Education Pieparm ear the 19008 and

.1990x, Verne A. Stidtman, 12:3.0/80 . .

Academic Computers In Service, Charles Mosmann, 23:2.1/73

Academic Deanship in 'American Colleges and Universities, Arthur J.
,Dibden, 30:2.0/68 . ; .

Acsden4c Freedom and Tenure: The State..Universityof New York,

American As ation.of University. Professors, 26:2.2/77-2
Academic Janus: Private College and hs Faculty, Reece McGee,
26:2.1/71
Academic Melting Pot: and Jews in American Higher
EduCation, Stephen Steinbe , 7:1.0174.3
Academic Planning: Four dotal Case Studies, Raymond N.
Kieft,.31:1.0/78,3 (ED.154713,

675

704
 Academic Power in Italy: Bureaucracy and Oligarchy in a National
University System, Burton R. Clark, 1:0/77-3
Academic Power: Patterns of Authority in Seven National Systems of
Higher Education, John H. Van de Graalt.etal., 1:0/78-2
Academic PresidentEducator or Caretaker?, Harold W. Dodds,
32:2.0/62
Academic Program Evaluation, Eugene C. Craven, 9:4.0/80-1
Academic Research and Library ilesOurces: Changing Patterns in ,
America, Charles fit Osbum, 33:5.0/79
Academic Revolutions, Christopher Jencks andpavid Riesman, 7:1.0/68
Academic Rewards.in Higher Edmtion, Darrell R. Lewis and William .

E. Becker, Jr., 26:3.1/79

Academic Sdence: 1972-1977, National Science Foundation, 14:2.0/80-1
Acadendc Strategy: The Determination and Implementation of
Purpose at New Graduate Schools of Administration, Lame Touer
Hosmer, 9:1.1/79-1 .

Academic UnitPiallg and Management, Glenn K. Miyataki and

Maureen L. Dyeri, 31:1.0/76-1
Academic Work: Doing It Well/Doing It Better, James L. Bess, .

26:3.2/80 (ED !80289, 158 pp.)

Accent on Learning: Improving Instruction and Reshaping the A
Curriculum, K. Patricia Cross, 4:5.0/76. -
Accessibility Standanis Illustrated, Michael A. Jones, 36:2.2/78-2
Accounting for Colleges and Universities, Clarence gcheps and E. E.
Davidson; 20:1.1/78-1 I.

Accounting Recordiusping and Reporting by Colleges and

Unliersitint for Federally Funded Student Financlaf Aid Programs,
OE/DHEW, 20:1.4m (ED 187194, 81pp.)
Accreditation; History,. Process and Problems, Fred Harcleroad, 9:4.0/
80-2 (ED '198774, 60 pp.)
Achieving Optimal Enrollments and Tuition Revenues, William
Ifilandfeldt, 19:1.0/80-1
_Acquaintance Prices., Theodore M. Newcomb,24:3.2/61
Action in Nursing, Progress in Professional Purpose, Jerome P.
Lysaught et al., 27:2.3/74
Adapting Univenides to a Technological SOciety, Eric Ashby, 9:1.4/74
Added Dimension: State and Land-Grant Universities Serving State
and Local Government; lone Phillips, 12:1.2/77 (ED 136720, 175 pp.)
Administradon Of Athletics in Colleges and Universides, Edward S.
Steitz, 37:6.0/71 (ED 052675, 405 pp.)
Administration of Statewide Systems offrligher Educatkm, Fred .
Harcleroad, 6:2.0/75-2 (ED 123967, 53'pp.)
Administrative Behavior: A Study of Decisiomnaking Processes in
Administrative Organization, Herbert A. Simon, 32: N/76-1

. 676

706
t
 Administrative Leadership in the Community College, Joseph Foresi,
Jr., 22:1.2/74
Admissions, Academic Records, and Registrar Services, C. James
.Quann, 19:1.0/79-1
Admitting and Assisting Students After Bakke, Alexander W. Astin,
Bruce Fuller, and Kenneth C. Give:104:1.0/78
Adult/Continuing Educatlolt: A Handbook of Standard Tenninology
Describing the Learning Activities of Adults, G. Roger Sell,
10:2.1/78
Adult Develooment and Learning, Alan B. Knox, 34:2.0/78
Adult Development: mpUattions for Higher Education; Rita Preszler
Weathersby and Jill Mattuck Tarule, 4:2.0/802 (ED 191382, 67 pp.)
Adult Education and Public Policy, Michael O'Keefe, 4:2.0/77-2
(ED 145078; 70 pp.)
Adult Learning, Higher Education, and the Economics of Unused
Capacity; Howard R. Bowen, 34:1.0010-1 (ED 191407, 42 pp.)
Adults as Learners, K. Patricia Cross, 4:2:0/81
'Advanced Dental Education: Recommendations for the Eighties,
AADS, 27:2.2/80 (ED 200257, 69 pp.)
AdvacacY andrObjectivity: A Crisis In the Pneessionathation of
AmeriCan Social Science, 1865-1905, Mary 0. Punier, 7:7.0/75
Affirmation, Mi soon, Accountability, and Exchange, 9:1.1/80-1
Against the Odds: The High-Risk Student in the Community College,
William Moore, Jr., 22:2.2/70 -I
"Agencx Strategies and Executive Review: The Hidden Politics df.
Budgeting," Lance T. LeLoup and William B. Moreland, 15:1.3/78-1
AIAW Handbook 1978-79, AAHPER, 37:6.0/79-3 (ED 177136, 81 pp.).
Allocating Resources Among Departments, Paul Dressel an_d Lou Anna
Kinsey.Simon, 29:2:3/76
"Allocation of Computer RaourcesLIs Pricing the Answer?",
Norman R. Nielsen, 23:2.3/76. .

"Allocation of State Funds on a Performance Criterion: Acting on the

10;'.
"_ Possible While .Awaiting Perfection," E. Grady Bogue and William E.
TrOutt, 15:1.2/78-1 (ED 181787, 12 pp.)
Alternative Careers for Humanities: Perspectives of Students and
Graduates, Lewis C. Solmon, Nancy Ochsnet, and Margo-Lea
Hurwicz, 18:5.0/79-1
Alternative Conceptual Approiches: Information Exchange
Procedures for Major Research Universities, James R. Topping and
Ed Myers, 10:2.2/79-1'.
Alternative Tuition Systems, Robert F. Carbone, 5:3.0/74-1
Alternatives to the Traditional, Ohmer Milton, 24:2..3/78
Alumni AdministratiOn at State Colleges awl Universities, B. E.
Blakely, 28:4.3/79 (ED 175308, 38 pp.)

677
 Alunini College Movement, Linda Carl, 28:4.4778 (ED 162562, 7.1 pp.)
"A-L-U-M-N-I Doesn't Just Spell M-O-N-E-Y," Robert G. Forman,
28:4.2/78 .

"Alumni Dues and Don'ts," Nancy Harper, 28:4.4/76

"Alumni Relations: Moving into the Mabistregun," Robert G. V:orman,
28:4.2/79
Ambiguity and Choice in Organizations, James G. March and Johan P.
Olson, 1:0/76
America's Technological Slip,-Simon Ramo, 14:2.0/80-2
American Boarding Schools: A Historical Study, James.McLichlan,
7:3.0/70
American College and University: A History, Frederick Rudolph,
7:1.0/62
",-- "American College in the Nineteenth Century: Toward a Re-
appraisal," James McLachlah, 7:1.0/78
"American, olleges and the Transmission of Culture: The CaseOf the
Murumpsijames McLachlan, 7:4.0/74-2
American Education: The Colonial Experience, 1607.1783, Lawrence
A. Cremin, 7:4'.0/70
American Education: The National.Expatience, 1783-1876, Lawrence
A. Cremin,1:1:0/80 4,
`Atnerican Freshman: National Norms for Fall 19--, Alexander W.
Astin, Margo R. King, and Gerald T. Richardson,' 16:3.0/A-1
American Higher Education in Decline; Kenneth H. AshwOrth,
12:1.1/79-1
Anseritan Medicine and the Public Interest, Rosemary Stevens,
"27:1.0/71
American Medicine: Challenges for the 1980's; David E. Rogers,
27:5.0/78
American Universities and Federal Research, CharleS R. Kidd,
14:1.0/59 ,
Americans and German Scholarship, 1770-1870, Carl Diehl, 7:7.0/78
Americans in Transition, Carol B. Asianian and Henry M. Brickell,
4:2.0/80-1 (ED 195687, 173 pp.) .
Analyzing the Cost Effectiveness of Fund Raising, Warren Heeman,
28:3.1/79-1
Anothei Challenge: Age 70 Retirement in Higher Education, Hans H.
Jenny, Peggy Heinprid Geoffrey C. Hughes, 26:2.4/79 (ED 177940, -
86 pp.) .

Antiblas Regulations of Universities: Faculty Problems and Their

Solutions, Richard A. Lester, 26:2.5 /74-1
Applying Analytic Methods to Planning and Management, David S. P.
Hopkins and Roger G. Schroeder, 29:2.5/77'

7 0'/
 Appraising Information Needs of Decision Makets, Carl R. Adams,
31;3.0/77
"Appisising Institutional Performance," Richard I. Miller,
13:1.3/80-1
Approach to the Design of the Luminoui Eniironment, Albert G. H.
Dietz and William M. C. Lam, 21:2.0/76-1
Architectural Accessibility for the Disabled of College Camluses, -
Stephen R. Cotler and Alfred Degraff, 21:2.0/76-2 (ED 140438,
'222 pp.)
Architecture and Energy, Richard G. Stein, 21:1.0/77-1.
ARL Statistics, Association of Research Libraries, 33:1.0/S (ED 197749,
71 pp. )
Art of Administration: A Guide for Academic Administrators,
Kenneth Eble, 30:1.0/78
Aspiratfons, Enrollments, 'god Resources, Joseph Froomkin, t7:1.0/70
(ED 037183, 147 pp.)
'Assessing and Interpreting OutComes; Sam Ball, 9:4.0/81-1
Assessing Computer -Based Systems MOdels, Thomai R. Mason,
29:2.5/76
Faculty Erort, James!. Doi, 26:3.1/74 ,

!. Financial Health, Carol. Frances and Scharon L. COldien,

/79-1 ,
the Needs of Adult Learners:Methods and Models, Lynn G.
, 9:1.'4/80,1
of College. Performance, Richard I. Miller, S1:2.0/79
Assuring cress for the HandicaPped, Martha Ross Redden, 4:4.0/79-2
A_t the o_ f the Board: The Service of the College nd a_

University t, Joseph F. Kauffman, 32:2.0/8061

Attitude and!, Researclv.Wby You Need It/How To Do It,
Walter K. indenmann, 28:11/77-1 . .

Attrition an Retention: Evidence for Decisionmaking, Oscar Lenning,

11.
et al., 19:2.1 :1 1
,

A T Approach to Learning 'Orates Independent Study

' Integrated Experiences, S. N.. Postlethwait, J. Novak, and H. 1'.
Murray, Jr., 25:3.0/72
Audig? of Colleges and Universities, AICPA, 20:1.3/73
"Authority'in'Educadon," Kenneth D. Beane, 11:3.1/70
AOtonomy of Public Colleges, Lyman Gknny, 6:2.0/59-1
AV Instruction, Technology, Media, and Methods, James W. Brown,
' Richard B. Lewis, and,Fred Harcleroad, 28:6.4/77
Awarding College Creditor Non:College Learning, Peter Meyer,
34:5.0/75

679

708
 a.

Bakke Decision: Retrospect and Prospect, C 1.arles M. Holloway,

19:1.0/78-3 (ED 165515, 87 pp.)
Bakke, Defends, and Minority Admissions: ThiQuest for Equal
Opportunity, Allan Sindler, 19:1.0/79-2
Barriers to Woman's Partkipaikui In Postsecondary Education: A
Review °Monarch and Commentary as of 1973-74, Esther Manning
Westervelt, 4:6.0/75 (ED 111256, 76 pp.)
Being Lucky: Remhdscences or Reflections, Herrnin B. Wells,
32:3.0/80-1
Benefit Plans in Higher Education, Francis P. lag and Thomas1.
Cook, 20:2.2/80-1
Benefits, Costs, and Finance of Public Higher_ Education, W._Lee
Hansenond BurtonA. Weisbrod, 3:5.0/69
Between Harvard and America: The Educational Leadership of
Charles W. Eliot, Hugh Hawkins, 7:-6.0/12-1
Between Two Worlds, A Profile of Negro Higher Education, Frank
Bowles and Frank A. beCosta, 9:1.3/71-1 ,
Beyond Academli Departments, Stanley Ikenberry ind Renee C.
Fribdman, 14:1.0/72-1 (ED 196398, 157 pp.)
Beyond High Schcool, limes W: Trent and Leland Medsker, 16:1.3/68
'0`Beyond.ProductivitY to Quality," Harold L. Hodgkinson, 13:481
Beyond the Open Door: New Students toillgher Education, K. Patricie
erOss, 4:5.0/71
Beyond Tomorrow: Trends and.Prospects in Medical Science,
Rockefeller University, 27:2.1/76 I
Bibliographic Guide to American Colleges and Universities: From
Colonial Times to the Preset, Mark Beach, 7:4.0/75 .
Birth and Fortune: The Impact of Numbers on Personal Welfare,
Richard A. Easterling, 2:1.1/80
Black Colleges in America: Challenge, Development, Survival, Charles
vs.
V. Willie and Ronald R. Edmonds, 9:1.3/78-1 .
Black Mountain: An Exploration in Community, Marti'', DUberMan,-
.7:2.0/72
Boundless Resource: A Prospectus for an Educa,tion/Work Policy,
Willard Wirtz and.the National Manpower Institute, 18:10/75-3
Breaking the Access Barriers: A Profile of Two-Yea; Colleges, Leland
L. Medsker and Dale Tillery, 9:1.3/71-2
Bridging the Gap: A Selection pf Education-to-Work Linkages,
Richard I. Ferrin and Solomon Arbeiter, 18:2.0/75-1 (ED 114475,
76 pp.)
British Uolversities and the State, Robert O. Berdahl, 1:0/59

680

7o .
 "Budget for All SeasOnst Why the Traditional Budget Lasts," Aaron
Wildaysky, 15:1.1/78-2
Budget .Innovation in the States, Allen Schick, 15:1.2/71
Budgetary Control Procedures for Institutions, Ray M. Powell,
29:2.2/79-2
Budgeting: A Comparative Theory of Budgetary Processes, Aaron
Wildaysky, 15:1.1/75.
Budgeting and Resource Allocation at Princeton University, Paul
Benacerrafet al., 29:2.3/72 (ED18851(. 580 pp.)
Budgethig in Higher tducation, 1. Kent Caruthers and Melvin Orwig,
29:2.2/79-1 (ED 167047, 32 pp.) -
Budgeting in Higher Education, John L. Green,,Jr:, 29:2.2/71
Budgeting foi Higher Education and the Legislative Oversight
Piocess, 15:1.2/76-6 (ED )67047, 32 pp.)
Budget's New Clothes: A Critique at Planning-Programmint
Budgeting and Benefit Cost Analysis, Leonard Merewitz and Stephen
H. Sosnick, 15:3.0/71
. . Building a Career: The Effect of Initial Job Experiences and Related
Work Attitudes on Later Employment, Joseph A. Raelin, .18:3.0/80-1
1ED 195722, I86 pp.)
Building Bridges to the Public, Louis T. Benezet and Frances W.
Magnusgon, 28:2.3/79-2
"Buildhig Energy Perfnrniance CriteriaEnergy Performance
Dahl," L. G. Spielvogel, 36:2.1/80-2
Building Quality Evaluation Procedures Manual, Howard R. Boozer,
36:2.3/76 (ED128942, 26 pp.)
Building Voluntary Support for the Two-Year College, CASE,
22:1.3/79-2
Buildingi and Facilitiei for the Mathematical Sciences, J, Sutherland
Frame and John W. McLeod, 21:3.0/63-1
Bureaucracy and National Planning: A Sociological Case Study in
Melded, Guy Benveniste, 1:0/70 f
Bureaucrats and Brainpower: Government Regulation of Universities,
_ - Paul Seabury, 28:5.3/79 (ED.180272; 177 pp.)
But We Will Persist, AAUW, 26:2.5/78 (ED 179121, 93 pp.)

Campus and the State, Malcolm Moos and Frances Rourke, 6:2.0/59-2
Campus in Traisition, Richard Dober and Cy. Sargent; 21:1.0/75-1 ..
(ED 109974, 77 pp.)
Campus Planning,.Richvd P. Dober, 21:1.0/63
_ - 681

,;
7i0
Campus Planning and ConstructionPhysical Facilities for
Universities and Colleges, Sam F. Brewster, 21:1.0/76-1 (ED-143146,
395 pp.)
Capital Ideas, M. Jane Williams, 28:3.3/79 .

Capitol and the Campus: State Responsibility for Postsecondary

Education, Carnegie Commission on Higher Education, 12:1.2/71
Career Counseling in the Community College, Charles Healy",
22:1.2/74
Career Education in 'Colleges, Norman C. Harris and John F. Grede,
37a.0/7tat'
Carter Ed t
tinn, Vocational Education and Occtipationil Education:
An Approach to Defining Differences, Kenneth Hoyt, 18:2.0/74
(ED 099623, 20 pp.)
careerPatterns of Doctoral Scientist* and Engineeri: 1973-1977,
Natioual Research Council, 18:5.0/79-2 (ED 179401; 85 pp.)
Carnegie Commission National Surveys of Highir Education: Faculty,
CCPSHE, 26:1.0/S-2
Carnegie Commission onillieber Education: A Critical Analysis of the
Reports and Recommendations, Lewis B. Mayhew, 12:1.1/74-1
Carnegie Council on Policy Studies in'lligher Education: A Summary
of Reports and Recoinmendations, 12:1.1/81-1
"Case for General Education in Community Colleges," Arthur M.
Cohen, 22:3.1/78 (ED 154849, 43 pp.)
"Cate for Open Admissions," Timothy Healy, et al., 4:5.0/73
Cash Management and ShortTerm Investments for Colleges and
Universities, Leonard H. Haag, 20:3.1/77 (ED 185921, 167' pp,)
Catching Up: Remedial Education, John E. Roueche and R. Wade Kirk,
22:3.2/73
CFAE: The Casebook, Aid-To-Education Programs of Leading
Business Concerns,,CFAE, 283:5/78
Challenge: Coordination and Governance forhe 1980's, ECS,
6:2.0/80-1 (ED 194019, 102 pp.)
Changes in the Japanese Univenity:A Comparative Perspective,
,WilliatniC. Cumming, Ikuo Amano, and KazUyuki Kitamura, 1:0/79-1
Changes In University Organization, 1964-1971, Edward Gross and
Paul V. Grambsch, 30:1.0/74-1
Changing College Classroom, Philip Runkel, Roger Harrison, and
Margaret Runkel, 38:3.0/72
Changing Mapof Posisecondary Education, Aims C. McGuinness, Jr.,
T. Harry McKinney, and Richard Millard, 6:5.0/75 (ED 111238,
220 pp.)
Changing Patterns of Governance in Higher Education, John J.
Corson, #:2.0/76-2 (ED 131817, 72 pp.)

682
Changing Practices la Undergraduate Education, Robert Blackburn!
Ellen Armstrong, Clifton Conrad, James Didharit, and Thomas
Mc Kune, 24:2.3/76-1 (ED 130575, 62 pp.)
Changing Retirement Policies, AAHE, 26:2.4/78-1 (ED 193991, 31 pp.)
Changing Role of the College Presidency: Essays osi Governance,
Sandi McLean, 32:2.0/74:1 (ED 094616, 27 pp.)
Clanging State Budgeting, S. Kenneth Howard, 15:1.2/73-2
Changing the Curriculum, Lewis B. Mayhdw and Patrick J. Ford,
24:2.3/71
Characteristics and Needs of Adults in Postsecondary Education,
Lewis C. Solmon and Joanne J. Gordon, 16:2.0/81 (ED 198750,
. 271 pp.)

Characteristics of Doctoral Scientists and Enghwers in the United

States, 19--, 18:7.0/S-3 (ED 141181, 724 pp.)
Character ktics Of the National Sample of Scientists sad Engineers,
1974, 18:7.0/75-2
Charging-for Computer Services: Principles and Guidelines, Dan
Bernard, 23:2.2M ,

"Charitable Coistribsitions: New Evidence on Household ethavior,4'

William S. Reece, 3:3.2/79
"Choice of Hercules: Asnericai Student Societies in the Early 1S'th
Century," James McLachlan, 7:4.0/74-3
Church and College: A Vital Partner hip, 8:2.0/80-2 (ED 189989
ED I89992)(ED 189989, 160 pp.; ED 189990, 178 pp.; ED 189991,
171 pp.; ED 189992, 212 pp.)
ChtuvhRelsted Higher Education, Robert Rue Parsonage, 8:2.0/78-1
Church,Stilie; and Public Policy, Jay Mechling, 8:2.0/78-4
City and Its Universities :Public Policy in Chicago, 1892-1919, Steven
J. Diner, 7:7.0/80
City University of New Yorks' Maas Diminish' under Financial
Exigency, AAUP, 26:2.2/77-1
Classical Tenure and Contemporary Alternatives: Academe's
Principles and Court Decking, Elaine R. Di Bjase, 26:2.3/79
Classification ofInstitudoas of Higher Education, Carnegie Council on
Policy Studies iniligherFAucation, 9:1.2/76
Classification ot Instructional Programs, Gerald Malitz, 10:2.2/81
(ED 201293, 211 pp.)
Closed Corporation: American (Universities in Crisis, James Ridgeway,
14:3.0/68
Collection Analysis in Research Libraries: An Interim Report on a
Self-Study Proass,ARL, 33:5.0/78
Collective Birrsining Crimes to Campus, Robert K. Carr and Daniel K.
Van Eyck, 26:4.3/73

1,

683

712
Collective Bargaining, the State University and the State Government
in New York, E. b. Duryeikand Robert S. Fisk, 26:4.3/75-1
College and Character, Notitt Sanford and Joseph Axelrod, 24:1.1/79
College and Other Stepping Stones: A Study of Learning Experiences
That Contribute to thective Performance in Early and Long-Run
.13iscrire, 18:3,018CF-T(ED-193358, 101 pp.)
College and University Business Administration, NACUBO, 20:2.1/74
College and University Food Service Manual, Paul Fairbrook,
37:3.0/79-2.
College and VniversiWThiidents, Recommendations and Report of a
Survey, James R. Perkins, John E. Hemphill, and Hubbard J. Walberg,
32:3.0/67-1 (ED 01555278 pp.j
College as a Training Ground for Jobs, Lewis C. Solmon, Ann . S_

Bisconti, and Nancy.L. Ochsner,

College Classroom: Conflict, Change, and Leanting,-Richard-D.-Mann,
Stephen M. Arnold, Jeffrey Binder, et al., 38:3.0/70
College Cost Book, The Cpllege Boarckt7:5.0/A-2 (ED 191398, 251 pp.)
College Eiucation and Employment . . . The Recent Graduates,
Nancy L. Ochsner and Lewis C. Sohon, 18:3.0/79-1 (ED 178825,
124 pp.) .
College Enrollment Trends: Testing the Conventional Wisdom
Against the Facts, Carol Francis, 18:6.0/80
College Financial Management, E. Eugene Carter, 29:1.1/80
(HE 015096, 174 pp.)
CollegeGrilduates and Jobs: Adjusting to a New Labor Market
Situation, Carnegie Commission on HigherEducation,:18:6.0/73
(ED 088336, 23 pp.)
College Graduates and Their Employees-74 National Study of Career
Plans and Their Outcomes, AndStouffer Bisconti, 18:1.0/75-1
College Health Services in the United States, Dana L. Parniviorth,
37:5.0/65
College Hoising as Learning Centers, Flarold C. Riker, 37:3.0/65
College Leadership for Community ReneWal,,lames F. Gollattscheck
et al., 22:3.3/76 .

College Learning ResOurCes Programs,,Al'gcf,'15:50771

(ED 167159, 83 pp.)
College Presidency: Initiation Into the Order of the Turtle, M. A. F.
Ritchie, 32:3.0/70-1.
College Professors and Their Impact on Students, Robert C. Wilton,
et al., 38:1.0/75-1
College Responses to Community Demands; Arthur M. Cohen,
9:2.0/7571
College Student Personnel Services, William T. Packwood, 37:1.0/77
College Students Live Here, Harold C. Riker, 21:3:0/72

684
 College Teaching Today, Kenneth H. Hoover, 38:1.0/80-1 \

College Trariger Studentsin Massachusetts: AStudy of 20,000

transfer Applicants to48 Massachusetts Colleges and Universities
for Fall 1973, Ernest Beals, 19:2.0/74 (ED 096927, 110 pp.)
Colleges and Corporate Change: Merger, Bankruptcy, and Closure,
Joseph P. O'Neill and Samuel Barnett, 8:2.0/80-1
Colleges and Sponsorial Religious Bodies: A Study of Policy Influence
and Property Relationships, Philip R. Moots and Edward McGlynn
Gaffney, Jr., 8:2.0/78-2
Colleges and the Courts: Faculty and Staff Before the Bench, M. M.
Chambers, 26:4.2/73 (ED 074927, 16 pp.)
Colleges of the Forgotten Americans: A Profile of State Colleges and
Regional Universities, E. Alden Dunham, 9:1.3/69-1
Coming Crisis in Student Aid, William D. Van Dusen, 17:3.0/79
(ED 185880, 4! pp.)
Common Core of Data for Postsecondary Education, Marilyn McCoy,
10:2.2/77-1
CommunicZting with Alumni, Dorothy Williams, 28:6.2/79-1
Communications Technologies in Higher Educition: 22 Profiles, Ruth
Weinstock, 25:2.0/77 '
Community and Junior College, Collins W. Burnett, 9:1.3/78 -2
(ED 149815, 154 pp.)
Commrity and Junior College, James W. Thornton, Jr., 22:1.1/72-1
Community College Student, Leonard V. Koos, 22:2.2/70-2
Community College Students, Costs, and Finances: A Review of
Research Literature, William Hyde and John Augenblick, 5:4.4/80
(ED 192841, r21 pp.) -
Community College: Values, Vision, and Vitality, Edmund J. Gleazer,
Jr. 22:31.3/80 (ED 187364, 197pp.)
"Community Colleges and Social Stratification," Jerome Karabel,
22:1.1/72-2
Community Colleges and Their Share of Student Financial Assistance,
Sulir C. Nelson, 17:5.0/10-1 (ED 188718, 70 pp.)
Community Dimension of the Community College, Ervin L. Harlacher,
22:3.3769
"Community F4ucation, Social Equalization, and Other Whimseys,"
Arthur M. Cohen, 22:1.1/77 (ED 139479, 24p.)
Community, Junior, and Technical Colleges: A Public Relations
Sourcebook, William A. Harper, 28:2.1/77-2 (ED 208913, 210 pp.)
'Commuting Versus Resident Students, A. W. Chickening, 24:3.2/74
Comparative Analysis of the Existing Budget Formulas Used for
Justifying Budget Requests or Allocating Funds for the Operating
Expenses of State-Supported Colleges andpniversitks, Francis M.
Gross, 15:2.0/73-2

685

4 .
14
 Comparison of the Trimester.i d Four Quarter Calendars for; Year=
Round Operation of Public Higher Education, in California, John R.
Richards et al., 36 :13/64 (gD 0125817., 52 pp.) e

Compendium of Materials on Zero-Base Budgeting in the States,

_ 154.0/177-(ED-1-36412,392-pp.)
Comprehensive Junior College Currictilum, James W. Reynolds,
22:3.1/69-1 O.
Comprehensive Maintenance_ and Repair Program, 36.4/78
Comprehensive.University Scheduling System, V. A. Abell, James P.
Blakely, G. E. Morgan, and W. Charles Sherwood, 36:1.3/65
Computer and the Learning Sockty, 23:3.0/78 (ED 162643, 698 pp.)
"Computer in the Humanities and Fine Arts," Sally Yeates Sedelow,
23;4.0/70-2
Computer/Systems in the Library: A Handbook for Managers and
Deidgners, Stanley J. Swihart and Beryl F. Hefley, 23:5.0/73-2
"Computer Use Under A FreeAccess PolIcy," Arthur W. Luehrmamr
and John M.'Nevison, 23:2.2/74 , 4'

Computers and Communication: Implications for Education, Robert J.

Seidel and Martin Rubin, 25:4.0/7'7
Computers and Instructional Productivity: A Professional Report,
Lawrence V. Willey, Jr., 23:3.0/75-2
Computers and the Learning Process to Higher Education, John
Fralick Rockart and Michael S. Scott Morton, 25:4.0/75
"Computer= Information-Processing Machines in Modern
Science," W.O. Baker, 23:4.0/70-1
Computers in Higher Education, President's Science Advisory Board,
23:1:0/67 (ED 029518, 84 pp.)
Computers in the Teaching Process, Nicholas John Rusby, 25:4.0/79-1
Computers in Undergraduate Teaching: State of the Art Report in
Selected Disciplines, CONESUIT, 23:3.0/77
Computing ai aMatter of Course: The Instructional Use of
Computers at Dartmouth CoEcse, John Nevison, 23:3.0/76-1
(ED 160061 , 50 pp.)
Concept of a University, Kenneth 11: Minogue, 11;2.1/73-2
Condition of Education, Nancy B. Dearman and Valena White Plisk6,
NCES, .12:4.1/A-1 (ED 172446, 299 wi.)
Condition of-Education for Hispanic Americans, George H. Brown,
Nan L. Rosen, et al.,*3.0/80-1 (Vil 88853, 279 pp.)
Conditiofia of Learning, Ilobert M. Gagne, 38:2.0/77
Conflict and Continuity, John R. Snaky, Terri Epstein, et al., 4:1.0/81
Conflict, Retrenchment, and Reappraisal: The Administration of
Higher Education, Clark Kerr, David Riesman, et al. 12:1.1/79 -2
Conflicting Pressures in Postsecondary Education, Robert H. Penske.;
26:2.0/77

686
 Confronting Identity: The Conununity College Instructor; Arthur M.
,Collen and Florence B. Brawer, 22:2.1/72-1
Congress and the Colleges, Lawrence E. Gladieux and Thomas.R.
Wolinin, 17:1:0/76 ,
1

---Congressird-Higher-BdueStion-in4he-141notosath-Contury,Georg4i............._
Rainsford, 7:1:0/72
Congress and Money: Budgeting, Spending, and Tiudni, Allen Schick,:
15:1.3/80 ,

Conitant Variable, Arthur M. Cohen, Florence B. Brawer and John

Lombardi, 22:1.1/71
"Constrained Ratio Approach to Allocating Instructional
' William B: Simpson, 15:2.0/75
8
Contemporary College President: Pressures and Challenges, Sandi
Ralston, 32:2.0/78-1 (ED 154695, 61 pp.) ;
"Contemporary Issues -in Bibliographic Control," Herman H. Fuasler _
and.Karl Kocher, 33:7;0/77 . .

Contemporary. Role of Proprietary. Institisdons in Vocational

- Education in Massachusetts, George J. NolfI, 35:2.0/74-1
(ED 118735, 110 pp;)
Content and Context: Essays on College Edtication, CariKeysen,
11:2.2/73 .

"Continuing Education for'Llbrarians in the United States," ElizSbeth

Stone, 33:2.0/78
Continuing Learning in thaProfeosions, Cyril 0. Houle, 34:1.0 /80.3
Continuity and Discontinuity: Higher Education and the Schools, ".

Carnegie Commission on Higher Education, 19:1.0/73-1

Contracting for Computing, Volume I: A thedcliM Of Standard
Contractgenis and Clauses, Harry Rowell and Carolyn [Aria,
,

23:2.1/74
Contracting for Computing, Vaiume II: A asecklist of Terms and
Clauses for Use in Contracting with Vendors for Software Packages
and Custom Software, James Poage and Carolyn Landis, 23:2.1/75
(ED 104352, 265 pp.)
Contributions to an Educational Technology, Volume 2, James Harley
and Ivor K. Davies, 38:4.0/78-1
"Control and Controls: A Reexamination of Control Patterns In
Budget Execution," Fred Thompson and William Zumeta, 15:1.1/81-2
"Controversy Over Peer Review," Thane Gustafson,.14:3.0/75
Cooperative Education in Community Colleges, Barry Harman,
22:3.1/73 . . .

Cooperative Institutional Research Program, 16:3.0/S-1 (ED 200083,

21 pp.)
Coordinating Higher Education for the 1970's, Lyman Glenny et al.,
.6;2.0/71.2 (ED 05/752, 108 pp.)

687

716
"Coordinnthw Institutional Resources in State and Federal
Relations," Lyle M. Nelson; 28:5.1/72 ,

Coordinationof Higher Education: An Annotated Bibliography, James

Wattenbarger, 6:5.0/70 (ED 040684, 30 pp.)
Coordination or Chaos ?, Education Commission of the Statei,
6:2.0/73-3 (ED 093239, 42 pp.)
Coping with Reduced Resources, Richard L. Alfred, 29:2.3/78
(ED 154888,112 pp.)
Cornell Campus: A History of Its Planning and Develo meat, Kettnit
C. Parsons, 7:2.0/68
Cost Behavior Analysis for Planning in Higher Edication, Daniel D.
Robinson and Frederick .1. Turk, 13:2.3/77 (ED 143246, 63 pp.)
Cost-Effectiveness of Computer-Based Instruction in Military
Training, Jesse Orlansky and Joseph String, 25:4.0/79 (ED 195227,
215 Pp.)
Cost Information and Formula Funding: New Approaches, Richaid H.
Allen and James R. Topping, 13:2.3/79 (ED 183057,77 pp.)
"Cost Studies in Higher Education," Stephen R. Hample, 13:2.3/80
(ED 19.5199, 6 pp.)
Costing for Policy Analysis, 10:3.0/80 (ED 192660, 114 pp.)
Costs and Benefits of Graduate Education: Estimation Of Graduate
Degree Program Costs, Joseph L. McCarthy and William D. Gariion;
29:1..3/78 (ED ;56013, 329 pp.) ,

:Costs of Education in the Health Professions, National Academy of

Sciences, 27:1.0/74 (ED 104289 and ED 090893, 326 pp.)
Costs of Higher &location: How Much Do Colleges and Universities
Spend Per Student an_ d How Much Should They Spend?, Howard R.
Bowen, 13:2.-1/80
Counseling for Career Development, E. L. Tolbert, 37:2.0/U0
CPC Salary Survey: .A Study of the 19-- Beginning 'Offers, College
Placement Council, 18:7.0/S-2
Craft of Teaching, Kenneth E. Eble, 38:1,0/761(ED 025450, 209 pp.)
Creating an Accesdbk Campus, Maggie Cools and Margaret Milner,
36:2.2/78-1 (ED 175080, 151 pp.)
Creative Edithig and Writing Workbook, Emily P. Flint, 28:6.2/79-2
Credentiid Society:4m Historical Sociology of Educatioan and
StratifiCation, Randall Collins, 18:4.0/79-2
Credintialing Educational Accomplishment, Jerry W. Miller and Olive
Mills, 18:4.0/78
Credit for Colkge:,Pubik ?talky for Modell: Loans, Robert W.
Hartman, 17:2.0/71.
Criteria for Planning the University Learning Resources Center,
Irving R. Merrill and Harold A. Drob, 25:5.0/77-3

688

711
CSS Need Analysis: Theory and Computation Procedures for the 19
to 19 FAF, College Scholarship Service, 17:5.0/A-3 (ED 134054, 147
pp. and ED 172646, 133 pp.)
"Cultivate Your Backyard," H. Donald Winkler, 28:5.2/78
Culture of a Community College, Howard B. London, 22:1.1/78
CUPA 1978-79 Administrative Compensation Survey, Karen A.
Farber, U.E. Landauer, R. Frank Mensel, and Seymour Sokatch,
20:2.2/-79-2
Current Index to JOU:riots in Education (CUE), ERIC, 12:4.2/S
Current Perspectives in Nursing Education, Janet A. Williamson,
27:2.3/76-1
Current Population Reports,.U.S. Bureau of the Census, 2:1.2/A
Curriculum: A HINNY of the American Undergraduate Course of
Study Spice 1636, Frederick Rudolph, 24:2.1/77

Data Element Dictionary: Secoid Edition, Suzette Goddard, JaMes S.

Martin, and Leonard A. Romney, 10:2.1/73-1 (ED 089512, 13 pp.)..
Dateline '79: Heretical Concepts for the Community College, Arthur' .

M.00ohen, 22:1.1/69 .

Decision Making and AdMinistration in Higher &location, john D.

Millett, 29:1.1/68-2 =
Decision Paradigms and Models for Hiller Education, George B.
Weathersby, 31:31E5
Declined the Bat? An Arudydi of the Relationships Between
Declining Enrollments, Ph.D. Produidon and Research, Robert D.
.

Klitgaard, 2:2.2/79 (ED 183044, 99 pp:). ,

Defensible Space, Oscar NeWman, 21:2.0/73
Deferred Gifts: How to Get Them, George V. King, 28:3.4/80
Demand and Supply in U. S. Higher Education, Roy Radner and
Leonard S. Miller, 3:1.1/75
Demand for Highei Education in the United States: A Critical Reviet
of the Empirical Literature, David I. Weinschrott, 3:1.1/77'
(ED 149703, 96 pp.)
Demand for New Faculty in Science and Engineering, Michael
McPherson, 14:2.0/80-3,(ED 193067, 257 pp.) ,

Demise of Diversity: A Comparative grope of Eight Types of

Institutions, C. Robert Pace-, 16:2.0/74-2
Demographic Context of Educational Policy Planning, Peter A.
Morrison, 2:1.1/76 (ED 119379, 32 pp.)

718
"Demography, Technology, and Higher Education: Toward a Formal
Model of 'Educational Adaptation," Stephen P. Dresch, 3:4.0/75-1
Dental Education in the United States 1976, ADA and AADS, 27:2.2/77
Description of Postseaindary Education in a Planning and
Management Context, Robert. A. Wallhaus, 31:3.0/7411
Desegregating America's Colleges: A Nationwide Survey of Black
Students,'William'M. Boyd, 4:3.0/74
Design for Fund Raiiing, Harold J. Seymour, 28:3.1/66
Design of Education, Cyril 0. Houle, 34:3.0/72
Designer's Guideto OSHA, Peter S. Hopf; 21:2.0/75
Developing the College Curriculum: A Handbook for Faculty and
Administrators, A. W. Chickering, D. Halliburton, W. Bergquist, and
J: Lindquist, 24:2.3/77
Developing a Comprehensive PR Plan, Nancy RaleA, 28:2.1/78-2
Developing a Publications Policy, Virginia-L. Carter', 28:6.2/78-1
Developing a Total Marketing Plan, John A. LuCas, 1 : 1.0/79
Development of Information Systems for Education, Khaieeb M.
Aygtain, 2:5.0/73-1
Digest olEducation Statistics, W. Vance Grant and C. George Lind,
J:4.1 /A -2 (ED 202 085 269p.)
Di Od of Reports of the Carnegie Commission on Higher Educatidn,
Carnegie C.4.otrignission on Higher Education, 12:1.1/74-2
Dilemma of Access: Minoridet in Two Year Colleges, Michael A.
Olivas, 22:2.2/79-1
Dimensions of Academk Freedom, Walter Metzger, 11:3.2/69'
Diploma Disease: Educatkin, QuiWIcation, and Development, Ronald
Dore, 18:4.0/76
"Direct and.IncentivOlanning Within iUniversity," Stephen.A. 7,
Hoenack, 13:3.2/77-1
Directory of Educational Statistics: A Guide to Sources, Malcolm C.
Hamilton, 12:4.4/74
Directory of Professional Personnel, Education. Commission of the
States, 12:4.3/A-I
,Directory of Resources for the Education of Adults, J. Nevin Robbins,
34:7.0/79
Disability: Our Challenge, John P. Hourihan, 4:40/79-IIED 191226,
196 pp.
"Discretion. in National Budgeting: Controlling the Controllables,"
Lance T. LeLoup, 15:1.3/78-2
Disorders in Higher Education, Clarence C. Walton and Frederick DeW.
Bolman, 12:11/79-3
Distinctive College: Antioch, Reed, and Swarthmore, Burton P, Clark,
7:2.0/70-1 '
(
690
 fa.

fr
.....

Diversity by Design, Commission on Non-Traditional Study,

34:1.0/73-1 . ,
,,,
Divided Academy: Professors and Politics, Eyerett Carll Ladd, Jr., and
Seymour Martin Lipset, 26:1.0/76-2
Doctoral Preparation for Warms . . . WM Emphasis on the
Psycbhdric Field, Esther A. Garrison, 27:2,3/73
Doctorate Records File, National AC:ides:4f of Sciences,16:3.0/S-2,
Does College Matted Some Evidence on tik. impacts of. Higher
Education, Lewis C. Solmon and Paul J. Taubman, 24:1.1/72
Dollars and Sense: Budgeting for Today's Campus, Gene A. Budig,.
15:1.2/72-2 ' . .

'Duties ot Administraton in Higher Education, Stanley Salmen,

30:2.0/71 1

Earned Degrees Conferred, 19.: to 19, Andrew 1. Pepin and'APes Q.

Well, 26:2.1/78-1 (ED 160961, 122 pp.)
"Earninp and Promotion of Women Faculty," George E. Johnson and
Frank Stafford, 3:2.2/74
"Earnings, Education, Genetics and Environment," Paul Taubman,
3:4.0/76-2 -

Econometric Model of the U.S. Market for Higher Education, John M.

Abc;wd, 3:2.1M
Ecumenic Analysis for Educational Plowing, Karl A. Fox,.3:2.3/72
Economic, Social and Chlturil Impact of Independent Higher
Eduction on Mispouri, 8:1.0/80-1
Econoinics and Finsocing of Higher Education in the Uniterd States,
5:1.0/69 (ED 052764, 681 pp.)
Economics of AcedemieLibrarlea, William Baumol and Matityahu
Marcus, 33:1.0/73-2
.Econonlics of Education, Ekhanan Cohn, 14.0/79-2
"Economics of Education: An Assessment of Recent Methodological
dvanceripud Empirical Results," George Psacharopoulos,
4.0/77-2 4 -t
of Harvard, Seymour Harris, 7:2.0/70.2
Economics of New Educational Media: Present Status of Research and
Trends, Educational Methods and Techniques, UNESCO,
25:5.0/77-2 (ED 144222, 201 pp.)
Econoniks of the Major Private Universities, William G. Bowen,'
29:1.1/68-1 ,
Economics of the Pri*cite Demand for Outpatient Care, A. G.
Holtman, E. Odgers Olsen, Jr., and John E. Fogstty, 27:4.0/78.2
 Economists As Experts: The Rise of anAcadezidc Profession in
America .1870-1917, Robert L. Church, 7:7.0/74-1 .
Economy of Energy Conservation in Educational FiacWtks, EFL,
36:2.1/78 (ED 167392,498 pp.)
. EDSTAT II, National Centerifor Education Statistics, '12:4.4/S-1'
Educating for Careers: Policy ham In a Time of Change, Thomas F.
Powers and John R. Swinton, 18:2.0/77-1
Educating Learners of All Ages, Elinor Greenberg, Kathleen M.
O'Donnell, and VVilliam Bergquist, Eds., 34:2.0/80
Educating Medical Teachers, George E. Miller, 27:2.1/80
Education and Employment: The- Early Careers of ebllee Graduates,
Laure M. Sharp, 16:2.0/70-1
Education and Evangelism, A Profile of Protestant Colleges, C. Robert
Pace, 9: i.3/72-1
Education and Identity, A. W. Chickering, 24:1.1/691 (ED 048050,
25 pp.) ,

Education and Job Satisfaction:IA Questionable Payoff, Robert P.

Quinn and Martha S. Baldi de Mandilovitch, 18:3.0/75-2 (ED 129702,
92 pp.)
Education and Jobs: The Great Training Robbery, Ivar Berg, .
18:3.0/71
Educatipi and Jobs: The hnbalancing of the Social Machinery,
Gregory E. Squires, 18:4.0/79-1
Education and Politics at Harvard, Seymour Martin Lipseand David
Riesman, 7:2.0/75
Education and the State, John F. Hughes, 12:1.2/75
Education and Work: A Symposiem, Daniel Heyduk, 18:2.0/76
(ED 128599, 53 pp.)
Education and Values, Douglxs Sloan, 9:1.1/80-2
Education As 4n Inaustry, Joseph N. Froomkin, et al., 3:2:3/76-1
Education Directory: Colleges and Universities, Carolyn R. Smith and
Geneva C. Davis, 12:4.3/A-2
Education for Employment: 'Knowledge for Action, National Academy
of Education,-18:2.0/79-1 (ED 17'8778, 285 pp.)
-Education, Income and Hull= Behavior, F. Thomas Juster, 3:4.0/75-2
Education in the United States: An Interpretive History, Robert L.
Church and Michael W Sedlak, 7:3.0/76
Education, Occupation, and Earnings: Achievement In the Early
Career, William H. Sewell and Robert M. Hauser, 16:1.1/75-2
Education of American Leaders: C i the Contributions of U. S.
Colleges and Universities, George . Pieixon, 7:1.0/69
Educational and Vocational Deve i i t °Icon* Students,
Ale),(ander W. Astin and Robert J. Panos; 16:1.1/69'

692

7,
Educational Assistance to Veterans: A Comparative Study of Three
G.I. Bills, James L. Bowman, 17:4'.0/73 (ED 0861111, 484 pp.)
Educational Brokering: A New Service for Adult Learners, James M.
Heffernan, Francis U. Macy, and Donn F. Vickers, 34:6.0/76 (ED
136833, 93 pp.)
Educational Media Yearbook; James W. .Brown, 25:6.0/A
Educational Planning, Frank.Banghart and Albert Trull, 21:1.0/73
Educational Reconstruction: Promise and Challenge, Nobuo
Shimahara, 11:1..0/73
Educational Resources Infoimation Center (ERIC), National Institute
of Education, 2:4.2/S (ED 067520, 272 pp.) °

'Educational Technology: A Handbook of Standard Terminology and

A Guide for Recording and Reporting Information About ,
Educational TechnologytHandbook X, Ivan N. Seibert, 25:6.0/75
(ED 125066, 277 pp.)
Educational Technology: Definition and Glossary of Terms, Volume I,
AECT Task Forceon Definition and Terminology, 25:6.0/77
Education's fluting Influence on Values, Herbert H. Hyman and
Charles R. Wright, 16:2.0/79
"Effiict of Government Subsidies-in-Kind on Private Expenditures:
The Case of Higher Education," Sam Peltznian, 3:3.1/73
"Effects of Academic Departments on Student Learning," Rodney T.
Hartnett and John A. Centra, 13:1.1/77-1
_Effects of Postsecondary Experiences on Aspirations, Attitudes, and
Self' - Conceptions, David E. Kanouse,16:2.0/80
Effective Administrator, Donald E. Walker, 32:'2.0/79-1
Effective Executive, Peter F. Drucker, 32:1.0/67
Effectiye Public Relations, Scott M. Cutli and Allen H. Center,

andUniversities, KelvinrArden and

Effective Publications for Colleges and
William J. Whalen, 28:6.2/78-2 (ED 171184, 171 pp.)
Effective Therapy for College Students: Alternatives to Traditional
Counseling, Eugenia Hanfmann, 37:2.0/78-1
Efficiency, in Liberal Education; Howard R. Bowen and Gordon K.
Douglas, 30:3.0/71
EMciency in Universities: The La Paz Papers, Keith G. Lumsden,
3:2.3/74
EFPM: EDUCOM Financial Planning Model-User's Manual, Version
2.2, Daniel A. Updcgrove, 29:2.5/79-2
Elements Related to the Determination of Costs and Benefits of
Graduate Education, John H. Powell, Jr. and Robert D. Lamson,
13:3:3/72 (ED 069201, 295 pp.)
Eliphalet Nott, Codnian Hislop, 7:6,0/71

693

7 ;22
 Elites in.French Society: The Politics of Surviyal, EzraN. Suleiman,
1:0/78-93 .
Elusive Equality:1%e Status of Black Americans in Higher Education,
Loreto) Morris, 4:3.0/79
EMergence Offretessional.kcial Science: The Anierican SocW
Science Assodadon and the Nineteenth Century Crisis of i&zilsority,
Thomas L. Haskell, 7:7.0/77
Emergence of the American University, Laurence R. VeYsey, 7:1.0/65
Emerging Technology: Instiuctional Uses of the Computer in 114ber
ducation, R. E. Levien, 23:1.0/72
imployhi Part-time Faculty, David W. Leslie, 26:2.1/78-3
Employment and Training Report of tin President, US. Demirtment of
Labor, 18:7.0/A-1 (ED 138718, 392ipp.)
Emplopftent of Humanities Ph.D.'s: A Departure From Traditional
Jobs, Betty D. Mtutfield and &IMAM. Henn, 18:5.0/80 (ED 187289,
80 pp.)
Endangered Service: Independent Colleges, Public Policy and the
Fiat Amendment, Naiional Commission on UnitedMethodist Higher
- Education, B:2.0/76 (ED 136677, 140 pp.)

:Endicott Report: Trends in the Employment of College and University

Graduates In Badness and Industry, 19--, Frank S. Endicott,.
18:7.0/S4 (ED 187164, 14 pp.)
Enduring Effects of Education, Herbert H. Hyman, Charles R. Wright
and John S: Reed, 16:2.0/75
"Energy Accounting Systems," Alfred Greenberg, 36:2.1/80-2
Energy Alert 79-1: Energy Audit Problems, APPAUC, 36:2.1/79
Energy Cost and Consumption Audit Report, A1SPAUC, 36:2.1/82-3
(ED 188302;338 pp.)
Energy Management, Energy Task Force, 1VACUBO, 21:1.0/76-2.
, Energy Management for Colleges and Universities,44ACUBO,
36:2..1/77 (ED 161.406, 163 pp.)
"Energy Performance for New Buildings (BEPS), "Neil R. Patterion,
36:2.1/80-2
Engineering Audits. at 'State-Owned Buildings in Minnesota, Eric Hint,
36:2.1/80-1 . ,

Enhancing WoMen's Career Itvelopment, Barbara A. Gutek,,

18:1.0/79
Equal Educational Opportunity: The Status of Black Americans in
Higher Education, 1975.1977, (ESEP), 4:3.0/81 (ED 202932,
160 pp.) .

"Equity Perspective on Community College Finance," Susan C,t

Nelson and David W. Breneman', 22:1.3/79-1
Equity Self-Assessment in Postsecondary Education Institutions,
Sherrill Cloud, 4: i .0/80 (ED 192657, 137 pp.)

694

.4 I 72,3
4

Essen'tinix,oeManagetnenttrHarold Koontz and Cyril O'Donnell,

30...1.0/74-2
"Essendeb of Mission," John D. Millen, 9:1.1/80-4 ,
"Estimating the Returns to Schooling: Some Econometric Problems,"'
Zvi,thiliches, 3:4.0/77-1
"Ethical Standards," APGA, 37:2.0/61
Ethics and Edueadonal Policy, Kenneth A. Strike and Kuran,Egan,
11:4.0/78 3/4 , -

EthiCe of Teaching and Scientific Research, Sidney Hook, Paul Kurtz,

and Miro Todorovich, 14:3.0/77-1 (ED 134)83413 pp.)
Eialuating Advancement Programs, Harvey Kt Jacobien, 28:1.1/78
Evaluating gducadobal Einironmenb, Rudolf Moos, 37:3.0/79-1
Evaluating Educational Quality: A Conference Summary, Akiander
W. Astin, Howard R. Bowen, and glades M. Chambers, 13:1.2/79
(ED 165648, 36 pp.)
Evaluating Faculty Performance and Vitality, Waynilt. WIschling,
2C3.1/78
Evaluating Institutions for Accountability, howard R.. .'Bowen,
31:3.0/74.2
° Evaluating Instructional Computing: Measuring Needs and Resources
for Computing lo Higher Education, Charles MosMann, 23:3.0/76-2
Evaluating Instructional Technology, Christopher K. Knapper,
25:3.0/80
Evaluating Statewide Boards, Robert 0. Berdaht, 6:2.0/75=1
. (ED 114674, 152 pp.)
Evaluttlion Of the EP Coating Procedure: A Pilot Study by Six Major
Research Univenities, James R. Topping, 101.0/79
Evaluation of the TICCIT Computer,Assisted Instructional System in
the CommunitY.College, Donald L. Alderman, 25:4.0/78
Evaluative Checklist: An hatrument for SelfEvaluating an
Educational Media Program in Colleges and Universities, W. R.
Fulton, Kenneth L. King, et al., 25:5.0/79
Evolution of the Community College, Robert Palinchak, 22:1.1/73-1
EXamination of Possible Statewide Applications and Extensions of _
NCHEMS Program Clasidlcadon Structure, Paul Wing and Leonard
Romney, 10:2.2/74 (ED 098897, 73 pp.)
Examining New Trends in Adminlatiative Computing, E. Michael
Stamen, 31:3.0/79-2
Excellence in University Teaching, Thomas H. Buxton and Keith W.
Prichard, 38:1.0/75-3 V
Expected Interruptions in Labor Force Participation aid Sex Related
Differences in Earnings Growth, Yoram Weiss and Reuben Gronau,
3:2.2/81

7 24
 Experiences of Recent High School Graduates: The Transition to
Work or Postsecondary Education, George Nolfi, et al., 16:2.0/78
Experiential Learning: Rationale, Characteristics, and Assessment,
Monis-T. Keeton, 34:5.0/76
Exploring the Case for Low Tuition in Public Higher Education,
Kenneth E. Youn, 5:3.0/74-2 (ED 096929, 183 pp.)
Eye of the Hurricane: Observations on Creative Educational
Administration, Warren'Barr Knox, 32:3.0/73

Facilitating Career Development: Strategies,for Counselors, Robert C.

Reardon, Harman D. Burck, and Harold F. Cottingham, 37:2.0/75-1
Facilities Inventoriand Space Utilization ReportOhio Institutions
of Higher Education for Fall 1977, Ohio Board of Regents, 36:1.5/78
Facing Financial Exigency, Frank R. Kemerer and Ronald P. Satryb,
29:2.3/77
Fact Book on Higher Education, Charles Andersen, 12:4.1/A-3
(ED 165576, 132 pp.)
"Facts About the Declining Economik Value of-College," Richard B.
Freeman, 3:1.2/80
Faculty Bargaining: Change and Conflict, Joseph W. Barbarino,
26:4.3/75-24ED 074993, 73 pp. )
Faculty Bargaining in Public Higher Education: A Report and Two
Essays, CCPSHE, 26:4.3/77-3
Faculty Bargaining, State Government, and Campus Autonomy: The
Experience in Eight States, Kenneth P. Mortimer, 26:4.3/76
(ED 124224, 115 pp. Y.
Faculty Career Development, Current Issues in Higher Education,
AAHE, 26:3.2/79 (ED 193998, 44 pp.)
Faculty Development. Practices in U.S. Colleges and Universities, John
A. Centra, 26:12/76 (ED 141382, % pp.)
Faculty Study, (1972), ACE; 26:1,0/S-3
Faculty Tenure, CATHE, 26:2.3/73-1
Fair Practices in Higher Education: Rights and Responsibilities of
Students and Their Colleges in a Period of Intensified Competition
for Enrolhnenb, CCPSHE, 37:4.6/79 (ED 172595, 103 pp.)
Farewell to Alexandria: Solution to Space, Growth, and Performance
Problems of Libraries, Daniel Gore, 33:5.0/76
Federal Aid to Postsecondary Students: Tax Allowances and
Alternative Subsidies, 17:1.0/78-1
#.4 ,. 696
 e

Federal Funds for Research and Development, National Science

Foundation, 14:2.0/S-1 (ED 179420, 105 pp.; ED 161726; 182 pp.;
ED 184812, 175 pp.)
Federal Government, the States, and Higher Education, Lawrence E.
Gladieux, Janet S. Hansen, and Charles R. Byce, 17:1.0/81
(ED 202405, 27 pp.)
Federal Policy Alternatives Toward Graduate Education, National
Research Council, 5:4.1/74 (El) 089599, 137 pp.)
Federal Policy and Library Support; Kathleen` Redmond Molz,
33:4.0/76 _.

4Tederal Regulation and the Natuial Sciences," Robert L. Sproull,

14:3.0/79-2
Federal Role in Postsecondary Education: Unfinished Businese, 1975-
1980,.Carnegie Council on Policy Studies in. Higher Education, 5:10/75,
Federal Student Assistance: A Review offitie IV of the Higher
Educadon Act, 17:1.0/75 (ED 107179, 118 pp)
Federal Student Assistance: Issues and Options, Fiscal Year 1981,
Congressional Budget Office, 17:1.0/80 (ED 187272, 90 pp.)
Federal Support for Higher Motion Construction, Current
Programs and Future Needs, DHEW/OE, 36:1.5/69
Support to Universities, Colleges, and Selected Nonprofit
Fiscal Year 1976, National Science Foundation,
(ED 6708, 144 pp.)
Federalissit the Crowned.: Improving Educational Policymaking,
Samuel Halperin and George R. Kaplan, 12:1.3/76-1
Final Report andltecommeisdadons: Task Force on State Policy and
Independent Hier Education, Education Commission of the States,
8:1.0/77-2 (ED 144464, 69pp.)
Final Report of the COmmknion on the Higher Education of
Minorities, Alexander W. Asti., 16:1.1/81
Financial Accounting in Nonbusiness Organisations: An Eiploratory
Study of Conceptual Issues, Robert N. Anthony, 20:1.1/78-2
Financial Aid at Proprietary Schools: How linportant Is It?, Donald E.
Scheaffer, 35:4.0/79-1
Financial Planning Models: Concepts and Case Studies in Collates and
Universities, Joe P. Wyatt, James C. Emery, and Carolyn P. Landis,
29:2.5/79-1
Financial Responsibilides of Governing Boards of Colleges and
Universities, AGB and NACUBO, 20:1.2/79-2.
Financial Statistics of Institutions of Higher Education, Fiscal Veal'
19, State Data, Paul F. Mertins and Norman J. Brandt, 5:6.0/A-2
(ED 156066, 276 pp.) ,
Financial Support Patterns for Community Colleges, 1976, James L.
Wattenbarger and Paul M.-Stames,41:4.4/76 (ED 137994, 127 pp.)

697
26
 a

"Financing and Budgeting in Higher Education," ECS, 15:1.2/80-2

Financing and Budgeting Postsecondary Education in the 1980's,
Larry L. Leslirand Heather L. Otto, 15:1.2/80-1 (ED.197668, 95 pp.)
Finaficing Conunqnit, Colleges, 1976; Walter I. Gaims, 5:4.4/77
Financing Community Colleges: An Economic Perspective, David W. a

Breneman and Susan C. Nelson, 5:4.4/81

Financing Higher Cdueation, Carol H. Shulman, 29:1.2/71 (ED 048519,
25 pp.)
Financing Higher Education: Alternatives for the Federal
Government, M. D. Orwig, 5:2.0/71
Financing Higher EduCation in the Fifty States: Interstate
Comparisons for FY 1979, Marilyn McCoy and D. Kent Halstead,
5:6.0/S
Financing Mectical Educationn Analysis of Alternative Policies and ,
Mecluudsans, Rasbi Fein and Gerald Weber, 5:4.2/71
Financing of Public Higher Education: Low Tuition, Student Aid, and
the.Federal Government, Jacob Stampen, 5:3.0/81
Financing Part-Thne Students, Robert J. Pitchell,-17:4.0/74-1
Financing Postsecondary Education in the United States, National
Commission on the Financing of Postsecondary Education, 5:1.0/73-1
(ED 086042, 472 pp.)
Fiscal Operations Report /Application for Campus-Based AID
(FISAP), 17:5.0/A-4
"FiscalStrategies to Stimulate Instructional Innovation and Change,"
Larry R. Jones, 15:1.2/78-2 .
"Five and.Ten Years After College Entry," Elaine H. El-Khawas and
Anti S..Bisconti, 16:2.0/74 -I (ED 098847', 180 pp.) *.

Five.Counter-Revolutionists in Higher Education, Michael R. Harris,

7:6.0/70-2 .

,"Flexibility for Whom: The Case of Forced Savings in Budgeting for

Higher Education," Anthony. W. Morgan, Vol: 56, No.. L Winter,
15:1.2/75-2
Focus on Understanding and Support: A Study in College
Management, John W. Leslie, 28:1.1/69
Forecasting the Ph.D. Labor Market: Pitfalls for Policy, Richard B.
Freeman and David W. Breneman, 18:6.0/74 -1 (ED 089648, 56 PP.)
Forging of an Aristocracy: Harvard and the Boston Upper Class,
1800-1870, Ronald Story, 7:2.0/80-2
Forms of Intellectual and Ethical Devopment in the College Years,
William G. Perry, Jr., 24:1.2/68-1
"Formula Budgeting on the Down Side," W. K. Boutwell and George
Kaludis, 151.0/73-1
"Formula Budgeting: Requiem or Renaissance?," Charles E. Moss and
Gerald H. Gaither, 15:7,0/30-

698 ,
Formula Funding in the SREB States, David S. Spence, 15:2.0/78-2
(ED 167048, 25 pp.)
Formulating College and University Goals: A Guide for Using the IGI,
Richard E., Peterson and Norman P. Uhl, 31:2.0/77-2
'Formulating Policy, in Postsecondary Education: The Search for .

Alternatives, John F. Hughes and Olive Mills, 12:1.1/75-1

Foundations and Higher Education: Grant Making from Golden
Years through Steady State, Earl F. Cheit and Theodore E. Lobman,
5:6.0/80 (ED 187169, 150 pp.)
Four Critical Years, Alexander W. Astin, 24:1.1/77-1
"Four On-Line Bibliographic Utilities: A Comparison," Joseph R.
Matthew, 31:7.0/79-1
"Four Years After College Entry," Alan E. Bayer, Jeannie T. Royer
and Richard M. Webb, 16:2.0/73-2
Fourth Inventory of Computing in Higher_ Education:. An Interpretive
Report, John W. Hamblen and Carolyn P. Landis, 23:1.0/80
(ED 191664, 356 pp.)
Fourth Inventory of Computing in U.S. Higher Education 1976-77,
John W. Hamblen and Thomas B. Baird, 23:1.0/79
Fourth Revolution: Instructional Technology in Higher Flucation,
CCHE, 25:2.0/72 (ED 061994, 112 pp.)
Frank Aydelotte of Swarthmore, France's Blanshard, 7:6.0/70-1
Frederick Jackson Turner: Historian, Scholar, Teacher, Ray Allep
Billington, 7:6.0/ ;
Free-Access Higher Education, Warren W. Willingham, 4:1.0/70
(ED 044080, 250 pp.)
Freedom and Education: Pierce v. Society of Sisters Reconsidered,
Donald P. Kommers and Michael J. Wahctske, 8:2.0/78-3
From Backwater.to Mainstream, A Profile of Catholic Higher
Education, Andrew M. Greeley, 9:1.3/69-2
From King's College to Columbia, 1746-1800, David C. Humphrey,
7 :2.0/76
"From Monopoly to Competition: The Changing Library Network'
Scene," Richard DeGennam, 33:4.0/79
From Red to Black, William W. Jellema, 29:1.1/73-1
Functions of Institutional Research, Joe L. Saupe, 31:3.0/81
Fund Raising, The Guide to Raising Money from Private Sources,
Thomas E. Broce, 28:3.1/79-.2
Funding Higher Education: A Six-Nation Analysis, Lyman A. Glenny,
1:0/79-2
Funding Mechanisms: Balancing Objectives and Resources in
University Research, National Commission on Research,
14:2.0/80-4 (ED 187292, 52 pp.)

699
 Funding MOdel fbr wilding Renewal, Douglas R. Sherman and William
A. Dergis, 36:2.3/ 1-1 . 1

Funding Quality hn rovement: Lessons from the FIPSE Experience,'

Charles Bunting, 9: .0/80-3 (ED 194005, 38 pp.)
Funds for the Future TwentietkCentury Fund Tait Force, 20:3:1/75
"Further Lbok at t Hansen-We sbrod-Peclunan Debate," John-
Conlisk, 3:5.0/77 ( D 451487, 20 pp.)
Future Executive, H Jan Cleveland, 32:1.0/72-1
Future of Aduladuc tion: New Responsibilities of Colleges and
Universities, Fred F. 'Harrington, 34:1.0/77
FuturioeAllied Health Educatitin, National Commission on Allied
Health Education, A7:2.5/80
Future of Higher ucation, Alexander Mood, 12:3.0/73
Future of Student airs: A Guide to Student Development for
TOmorrow's
, H r gtiucation,Theodore K. Miller and Judith S.
Prince, 37:1.0/76 -p ..

Future of the Catalog: The Library's Choice, J. Michael Malinconico

and Pant J. Fasana, 33:7.0/79-2
Future of Trusteeship, the Role and Responsibilities of Colkge and
University Boards, John W. Nason, 6:3.0/75 (ED 105780, 52 pp.)
Futures Creating Paradigm: A Guide to Long-Range-Planning From
the Future for the Future, AASCU, 31:1.0/78-2

G. Stanley Hall: The Psychologist As Prophet, Dorothy Ross,

7:6.0/72-2
G.I. Bill, the Veterans, and the Colleges, Keith W. Olson, 7:1.0/74-2
General Education: The Search for a Rationale, Harry S. Broudy,
11:2.2/74
Getting Skilled: A Guide to Private Trade and Technical Schools, Tom
Hebert and John Coyne, 35:3.0/76
Giving-Youth a Better Chance: Options for Education, Work, and
Service, 9:2.0/79 (ED 184383; 353 pp.)
Glossary of Standard Terminology for Postsecondary Education,
Sherrill Cloud, 10:2.1/79 (ED 165666, 106 pp.)
Goals for Higher Education: Definitions and Directions, David A.
Triyett, 12:1.1/73-1 (ED 082698, 67 pp.)
Good Jobs, Bad Jobs, No Jobs, Eli Ginzberg, 18:3,0/79-3
"Governance and Academic Libraries," Page Ackerman, 33:2.0/80

700

2
Governance for the Two-Year College, Richard D. Richdrdson, Jr.,
Clyde E. Blocker, and Louis W. Bender, 22:1.2/72 (ED 646985,
252 pp.)
Governance of Collegetand Universities, John J. Corson, 6:1.0/60
Governance of Higher Education: Six Priority Problems, Carnegie
Commission on Higher Education, 6:2.0/73-1
Governing Academic Organizations: New Problems, New
Perspectives, Gary L. Riley and J. VictorBaldridge, 26:4.0/77
Government Contracts and Grants for Research: A Guide for Colleges
and Universities, Reagan. Scurlock, 20:1.4/75 (ED 118018, 374 pp.)
Government Regulation of Higher Education, Walter C. Hobbs,
12:1.3/78-1
G_ raduate Education: Parameters for
Public Policy, National Science
Foundation, 9:1.4/69-1 (ED 041560, 178 pp.)
Graduates: A Report on the Charaeteristics and Plans of College
Seniors, Leonard L. Baird;, Mary Jo Clark, and Rodney V .Hartnett,
16:2.0/73-1 (ED 093185, 220 pp..)
Grants Administration, William Willner and Perry B. Hendricks, Jr.,
20:1.4/72
Graying of the Campus, Ruth Weinstock, 34:1.0/78
Great American Degree Machine: An Economic Analysis of the
HuMan Resource Output of Higher Education; Douglas L. Adkins,
18:7.0/75-1
Growing Up in College, Douglas H. Heath, 24:1.2/68-2 (ED 029347,
342 pp.)
Guaranteed Student Loan Program: Options for Controlling Federal ,

Costs While Preserving Needed Credit forCollege, 17:2:0/81

(ED 202399, 30 pp.)
Guide to Effective Teaching, 38:-1 .0/78-1
Guide to Leadership Development Opportunities for College and
University Administrators, Charles F. Fisher and Isabel Coll-Pard9,
20:2.2/79-1
Guide to Reference Sources in Higher Education, Peter P. Olevnik,
12:4.2/79 (ED 180288, 45 pp.)
Guide to Sources of Educational Information, Marda L. Woodbury,
12:4.4/76
Guideto the Administration of Charitable Remainder Trusts, David
W. Clark, Robert L. Kaiser, John Holt Myers, and Robert H. Myers,
Jr., 28:3.4/78 (ED 159991, 321 pp.)
Guide to the Literature of Student Financial Aid, Jerry S. Davis and
William D. Van Dusen, 17:5.0/78 (ED 183061,._171 pp.)
Guide to the Section 504 Self-Evaluation for Colleges and Universities,
Richard G. Biehl, 4:4.0/78 (ED 152208,'132 pp.)

701

730
 Guidelines for Planning In College' and Universities, Volume 4,
Physical Plant Planning Facilities Studies, Charles Pinnell and
Michael Wacholder, 36:2.3/68 (ED 03712, 125 pp.)
Guidelines for Two-Year <oiler Leaning Resources Progradvi,
Association for EdUcational CoMmunications and TeChnology,
25:5.0/72

Half-Opened Door: Discrimination and Admissions at Harvard, Yale

and Princeton, 1900-1970, Marcia Graham Synnott,.7:3.0/79
Handbook and Guide for the College and University Counseling
Centet B. Mark Schoenberg, 37:2.0/78-2
Handbook for College Administration,13enjamin E. Sprunger and
.

William H. Bergquist, 20:2.2/78 (ED 163850,350 pp. )

Handbook for Emerging Alumni Programs, Robert R. Hesse, 28:4.3/67
Handbook for Faculty Development, Volumes I and II, William H.
Bergquist and Steven R. Phillips, 26:3.2/78 (ED.148204, 323 pp.,
Vol. II) .

Handbook for Institutional Academic and Program Planning: From

Idea to Impknkmtadon, Raymond N. Kieft, Frank Artnijo, and Neil
S. Buckley, 31:1.0/78-3 (ED 161 327 80p.)
Handbook of College and University Administration, Asa S. Knowles,
30:1.0/70
Handbook of College and University Trusteeship, Richard T. Ingram,
28:1.2/80-
Handbook of Faculty Bargaining, George W. Angell, Edward P. Kelley,
Jr., 26:4.3/77-2 .

Handbook of Institutional AdvanceMent, A. Westley Rowland,

28:1.1/77
Handbook of Landscape Architectural ConstruCtipn, lot D. Carpenter,
21:2.0/76-3
Handbook of Spicing Events for Nonprofit Organizations, Edwin R.
Leibert and Bernice E. Sheldon, .28:2.3/74 -1
Handbook of Trade and Technical Careers and Training, NATTS,
35:3.0/79-2
Handbook on Open Admissions: Success, (allure, Potential,,Ann
Folger Decker, et al., 4:5.0/77-
Handbook on Undergraduate Curriculum, Arthur Levine, 24:2.1/78
Harmony, Chaos, and Consensus: The American College Curriculum,
Douglas Sloan, 7:5.0/71-1

702

731.
 Health Manpower Information for Policy Guidance, Dale L..Heistand
and Kriain °stow; 27:3.0/76-1
Help Wantid: Articulating Otvupational Education at the Post-
'secondary Level, David S. Bushnell, 18:2.0/77-2 (ED 154158, 5Spp.)
.9 Hiddea Curriculum, BensOn IC Snyder, 24:3.I/71 (ED 080511, 12 pp)
High School and Beyond, NCES, 16:3.0/S-3 (ED 204637, 66 Pp.)
Higher Education: &Bibliographic Handbook, D. Kent Halstead,
'12:4.2/81-1 ,

Higher EducatiOn and Earnings,l'aul Taubman and Terence Wales,

43:4.0/74 o
Higher Education and Government, W. Todd Fumiss and David P.
Gard.ner,.12:1.1/79-4
Higher Education and the Disadvantaged Student, Helen S. Astin, et
al., 4:5.0/2 ."
Higher Education and the Economy, Hans H. Jenny, 5:5.0/76 (ED
124065, 64 pp.)'
'Higher Education and the Labor Market, Margaret S. Gordon,
' 18:6.0/74-2 .

Higher Education and the Nation's Health., CCHE, 27:1.0/70

Higher Education-and the Steady State, Larry L. Leslie and Howard F. ,

Miller, 12:1.1/74-3 (ED 091965, 65 pp,)

Higher Education Facilities Inventory and Classification Manual,
Leonard C. Romney, 36:1.2/74 (ED071642, 163 pp.).
Higher Education Facilities Planning and Management Manuals (7'
Volumes), Harold L. Dahnke, Dennis P. lone's, Thomas R. Mason, and
Leonard C. ROMney, 36:1.4/71-1 (ED 061621,.571 pp.)
Higher 'Education Finance Manual (IIEFM), Douglas Collier and
Richard H.. Allen, 10:2.2/80 (Vol. I: ED 1i42663, 142 pp.; Vol. II:
'
,

ED 192662; 101 pp..; Vol. III: ED 19265q, 36 pp.)

. 'Higher Education for Oecupitions,7 14Wit B. Ktyhew, 24:2.2/74
(ED 097557, 143 pp.)
Higher Education General Information SurVey (REGIS), National
Center for Education Statistics, 16:3.0/S-4
Higher Education in American Society, Fltilip G. Altbach and Robert 0.
Berdahl, 6:1.0/81, '

Higher Education in the American Economy, Andre Daniore, 3:2.3/64

Higher EduCation in the Statis, Education Commission of the States,
12:4,1/A-4 ,

Higher Education Periodicals: A Directory, Thomas Dyer and Margaret

Davis, 12:4.2/81-2
Higher Education Prices and Price Indexes, D. Kent Halstead,
5.6.0//c4 (ED 136668, 52 pp.; ED 145784, 56 pp.it ED 162596, 52 pp.)

703
 Higher Education Research Institute Studies of the Impact of
Student .

Financial Aid Pirograms Study A, Higher Education Research

Institute, Los Angeles, California, 16:3.0/S-5
-Higher Education: Who Pays? Who Benefits? Who Should Pay?,
Carnegie.Commitsion on Higher Education, 5:1.0/73-2
Higher Education: Who Pays? Who Gains? M. M. Chambers,
29:1.2/68
.Home of Science, The Role of the University, Dael*Oltle, 9:1.3/72-2
Howard Mumford Jones: An Autobiography, Howard Mumford Jones,
7:6.0/79
How. Students Learn, Noel Entwistle and Dai Hounsell, 38:2.0/75
"How-To" Book, Joan Lynott Watt, 28:2.3/78-3
How to Succeed As a New Teacher: A HandboOk for Teaceing
Asskitants, 381 .0/7813 ,

:7
"Human Capital Theory: A Slightly Jaundiced Survey," Mark Blaug,,..

Human Resource.; and Higher Education, John K. Folger; Helen S.

Astin, and Alan E. Bayer, 18:6,0/70
Humanism and the Physician, Edmund D. Pellegrino, 27:2.1/79-1
Humanizing Student Services, Clyde E. Blocker,,37:1.0/74

Ideal of the University, Robert Paul Wolff, 11:2.1/69

Identifying and Assessing Needs in Postkcondary Education: A
Review and Synthesis of the Literature, Oscar T. Lenning, Edward
M. Cooper, and J. Robert passmore, 13:1.3/77-1
Identity Crislain Higher Education, Harold L. Hodgkinson and Myron
,,B7Bloy, Jr:, 12:1.1/70
Impact of College on Students, Volumes I and IL Kennett'
A. Feldnian
and Theodore M. Newcomb, 24:1.1/69-2
Impact of Federal Policies on Higher. Education Institutions,
Arthur T..
Grant, 12: 1.3/77 (ED 149685, 75 pp.)
"Impact of Federal Regulations on Research Management in Colleges
and Universities; Overview and Summaries," John A. Perkins,
Herman D. Johnson, and Robert F. Kerley, 14:3:0/76-J (ED 14.4422,
59 PP!)
Impact of Student Financial Aid on Institutions, Joe B. Henry,
17:3.0/8Q
.
Impeifosonal Campus, Virginia B. Smith and,Alison R. Bernstein,
:1.4/79
Implementing New Education-Work Policies, Paul E. Barton,
18:2.0/78-:1

4704
Implications of.Federal Education Policy, Clifton Co iirad and Joseph
Cosand, 12:1.3/76-2 (ED 124066; 73 pp.)
Improved Taxonomy of Postsecondary'Institutions, David Makowski
and Rolf M: Wulfsberg, 9: 1 .2/W
Improving:Academic Management, Paul Jedamus and Marvin W.
Peterson, 31:1.0/80-2
Improving Degree Programs, Paul. L. Dressel, 9:4.0/80-4
improving Educational Outcomes, Oscar T. Lenning, 13:1.2/76
Improving Equity in PostsecondaryEducation: New Directions for .
1Leadenhip,Judith Capps, 4:1 0/77 (ED 154709, 57 pp.)
Improving Government Relations, Marvin D. Johnson..28:5. 1/81
Improving Institutional Conummicatione, Gerold Goldhaber,
28:2.2/78
Improving InstruCtional Productivity in Higher Education, Shelley. A.
Harrison and Lawrence M. Stolurow, 25:5.0/75-2 .

Improving Manipment Performance in Health Care Institutions: A

Total Systems Approach, Addison c: Bennett, 27:4.0/78-1
Improving Relations with the Public,louis W. Bender and Benjamin R.
Wygal, 28:2:3/77-2 (ED k4917, 1 1 1 pp.)
Improving Student Learning Skills, Martha Maxwell, 28:3.0/79
Improving Teaching and Institutional Quality, Alexander Astin et al.,
9:4.0/80 -5 (ED 194004, 63 pp.)
' Improving Teaching Styles, Kenneth E. Eble, 38:1.0/80-3
"Incentive Structure of a University," Richard M. Fenker, 13:3,2/77-2 .
"Income Tax and Charitable Contributions: Part IIThe Impact of
_Religious, Educational and Other Organizations," Martin Feldstein,
3:3.2/75
Increasing Alumni Giving, Patrice A. Welch, 28:3.2/80 .

Increasing Productivity in the Community College, Bill J. Priest and

John E. Pickelman, 13:2:2/76 (ED 125721, 40 pp.)
Increasing Student Development Options in College, DavidE. Drew,
16:1.1/78-1
Increasing the Public Accountability of Higher Education, John K.
Folger, 13:1.3/77-2
Independent College and University Participation IStati:wide
Planning for Postsecondary Education, Jay L. Chroniso r, 8:1.0/78
,(ED 165684, 69 pp.)
Independent Higher Education, Fourth Annual Report on the
Financial and Educational Trends in the Independent Sector of
American Higher Eduiation, W. John Minter and Howard R. Bowen,
5:5.0/S-2 (ED 08653, 207 pp.)

705
7.3.4
 Independent Sector and Statewide Planning for Higher Education:
, The Data Initiative, Suggestions for
Implementing the Data
Brokerage. Function in the State Association, Some Policy
Considerations for the1980's; Gerald H: Lunney and Eric D. Walters,
8:1.0/80-2 (ED 183082, 59 pp:)
Index to Anthologieson Postsecondary Education, 1960-1978, Richard
H. Quay, 114.2/80
Indiana Facilities Utilization Survey for Colleges and Universities,
Paul C. Bayless, W. Charles Sherwood, and Frederick H. Wolf,
36:1.3/67
"Indirect Costs of Federally Supported ResFarch," V
Kenneth T. Brown,
14 :3.0/81
Individuality in Learning, Samuel Messick, 38:3.0/76-2
Individualizing the System, D. W. Vermilye, 24:2.3/76-2
Industrialized Forum, University of Montreal, 36:2.4/75
Industry and the Universities:Developing Cooperative Research
Relationships in the National Interest, National Commission on
Research, 14:3.0/80-2 (ED 201217, 49 pp.)
"Influencing State Higher Education Policies," Roger W. Heyns,
28:5.2/77
Information and Analysis in the Context of Institutional-State
Relationships: The Tie That Divides Us, William Johnson,
12:1.2/76-1
"Information Processing Analysis of College Teaching," Robert A.
Bjork, 38:2;0/79
"Information Systems for State-Level Decisions and the Budget: or
California Gets Its Just DSIRts," Fred Thompson, 15:1.2/80-3
Initial Impact of the Middle Income Student Assistance Act Upon
Undergraduate Student Aid,Recipients at Independent Colleges and
Universities, Virginia Ann HcAgkinson, 17:5.0/81-2
Innovations and Innovation, Processes in Higher Education, Barbro
Barg and Bertil Osiergren, 1:0/77-2 (ED 149690, 154 pp.)
In Search of Leaders, G. Kerry Smith, 32 :2.&i67 -2 (ED 018217, 296 pp.i
Institutional Aid: Federal Support to Colleges and Universities,
Carnegie Commission on Higher Education, 8:2.0/72-2
Institutional Efficiency in State Systems of Public Higher Education,
Fred F. Harcleroad, 13:2.2/75 (ED 119567, 53 pp.)
Institutional Goals and Student Costs, George B. Weathersby and
Frederic Jacobs, 3.1:2.0/77-1 (ED .136706, 57 pp.) .

"Institutional Participation and Reciprodtyin State-Level Program

...Reviews," Richard F. Wilson, 9:4.0/80-6
Institutional Priorities and Management Objectives, William'W.
Jellema, 29:2.4/71

706
 ;

Institutional kesearch in the University: A Handbook, Paul L. Dressel:

31:3.0/71
Instructional Design: A. Plan for Unit and Course Development, Jerrold
-.E. Kemp, 25:3.0/77
Instructional Develepment for Individualized Learning in Higher
Education, Robert M. Diamond, 25:3.0/75-1
Institutionally-Funded Student Financial Aid, Nathan Dickmeyer, John
Wessels, and Sharon (oldren, 17:3.0/81-1
Insdtudons in Trinsiden: A Profile of Change in Higher Education,
Harold L. Hddgkinson, 12:3.0/71 .

Instructional Development: The State of the Art, Ronald K. Bass, D.

Barry Lumsden and Charles R. Dills, 38:4.0/78-1
Instructional Techniques in Higher Education, Robert B. Kozma,
.LaWrence W. Belle, and George W. Williams, 38:1.0/78-4
Integrating Academic, Fiscal, and Facilities Planning, Raymond M.
'Haas, 31:1.0/76-3
Integrating Academic Planning and Budgeting in a Rapidly Changing
Environment, Sidney S. Micek, 29:2.2/80 (ED 192665, 133 pp.)
Integrating Adult Development Theory with Higher Education
Practice, 9:1.4/63-2.(ED194008, 32 pp.)
Interaction of Public 'Assistance and Student Financial Aid, Nancy R.
Murdrick, 17:4.0/80 (ED 192690, 25 pp.)
Interdisciplinarity and Higher Education, Joseph J. Kockelmans,
11:2.2/79
Internal Comniunicationa, CASE, 28:2.2/77
International Jourial of Institutional Management in.Higher ..
Education, OECD/CERI, 30.0/78
Introduction to Information Exchange Procedures: A Guide fer the
Project Manager, Gary S. Gamso and Allan L. Service, 10:2.2/76
(ED 125446, 109 pp.) ;
Introduction to Program Planning, Budgeting and Evaluation for.,
Colleges and Universities, Robert J. Parden, 29:2.2/70 (ED 044780',
210pp.)
Inventory and Utilization Study for Public Higher Education, Fall,
1969, Court Washburn, David Duxbury; William Haldeman, and Mary
MacDonald, 26:1.3/71
Inventory of Physical Facilities in Institutions of Higher.Education,
Fall 1974, Richard J. Peterson, 36:1.5/74 (ED 180315,117 pp.)
Investment, in Education: The Equity-Efficiency Quandary, Theodore
W. Schultz, 3:4.0/72
Investment in Learning, Howard R. Bowen, 24:1.1/77-2
Invisible Colleges, 'A Prof& ef Small Private Collegeiwith Limited
Resources, Alexander W. Astir and Calvin B. T. Lee, 9:1.3/72-3

707

736
 Invisible University: Postdoctoral-Education in the
United States,
National AcadeIny of Sciences, 9:3.0/69 (ED
039825, 329 pp. )f,
Islands of Innovation Expanding: Changes in
the Community College,
B. Lamar Johnson, 22:3.1/69-2
Issues in Financing Community Colleges,
John Augenblick, 5:5.4/78
(ED164020, 70 pp.) ' .
Issues in Instructional Systems Development,
Harold F. O'Neill, Jr.,
25:1.0/79

"Joint Statement on Rights and Freedoms of

37:4.0/68
Students," AAUP et al.,
Josiah Quincy 1772-1864: The Last Federalist,
Robert A. McCaughey,
7:6.0/74
Journal of Student Financial Aid, 17:5.0/S

Keeping Pace: Trends in Federal and State Financial Aid for Students
in California's Independent Colleges and Universities, 1975-76 to
198041, Morgan Odell r id lohn Thelin, 8:1.0/80-3
Keeping Students from Dropping Out of Post-Secondary
Occupational
Education, Richard N. Diggs, 35:4.0/79-2
'Keller Plan Handbook: Essays on a Personalized System of
Instruction, Fred S. Keller and J. Gilmour Sherman, 25:3.0/74-2

Labor Market for College Graduates: Repoit of a Seminar, Engin I.

Holmstrom, 181.0/75-3 (ED 111317, 26 pp.)
Labor Market Information for Youths, Seymour L. Wolfbein,
18:1.0/75 -2 (ED 134708, 260 pp.
Laboratory Planning for Chemistry and Chemical Engineering, Harry
F. Lewis, 21:3.0/63-2
.Ladd- Lipset 1977 Survey of the American
'Professoriate, Everett Carll
Ladd, Jr: and Seymour Martin Lipset, 26:1.0/S-1
Law and the Student in Higher Education, D. Parker Young,
37:4.0/76-2
Law of Higher Education: Legal Implications of
Administrative
Decision Making, William A. Kaplan, 20:2.3/78
Law of Tax-Exempt Organizations, Bruce R.
Hopkins, 20:2.3/79
708!
737
"Lawmakers Budget for Higher Education: The Case of Illinois,"
James D. Nowlan and Leonard E. Goodall, 15:1.2/76-4
Leadership, James MacGregor Hums, 32:1.008-1
Leadership and Ambiguity, The American College President, Michael
D. Cohen and James G. March, 32:2,0/74-2
Leadership and Decision-Making, Victor H. Vroom and Philip W.
Yetton, 32:1.0/73
Leadership for Higher Education: The Campus View, Roger W.
Heyns, 32:2.0/77
Leadership Goals and Power in Higher Education, Barry M. Richman
annichard N. Farmer, 30:1.0/74:3
Leadership in the 80's, Chris Argyris and Richard M. Cyert, 32:1.0/80
(HE 014957)
1Leadeiship Vitality: A Workbook for Academic Administrator,
David G. B_rown, 32:2.0/79-2
Leadenhip: Where Else Can We Go?, Morgan W: McCall, Jr. and
Michael M. Lombardo, 32:1,0/78-2
Learner-Centered Reform, D. W:Vermilye, 24:2.3/75
Learning Alternatives in U.S. Education: Where Student and
Compeller Meet, Beverly Hunter, Carol S. Kastner, Martin C. Rubin,
Robert J. Seidel, 23:3.0/75-
Learning Center: A Sphere for Nontraditional Approaches to
Education, Gary Peterson, 25:5.0/75-1
Learning, Cordtion and College Teaching, W. J. McKeachie,
38:1.0/80-2
Learning From Fire: A Fire Protection Primer for Architects, Lars
Lerup, David Cronrath, and John K. C. Liu, 21:2.0/78
Learning Resources for Colleges and Universities, Fred F. Harcleroadf.
25:5.0/64 (ED 015647,1.74 pp.)
Legacy of the Seventies,ewis B. Mayhew, 12:1.1/77-2
Legal Bases of Boards of Higher Education in Fifty States, Robert L.
,
Williams, 6:5.0/71 (ED 057726, 197 pp.) .

Legal Liabilities in Higher Education: Their Scope and Management,

Ray .1. Aiken, John F. Adams, and John W.. Hall, 20:2.3/76
Legal Penpective for Student Personnel Admhastrstors, Robert
Laudicina and Joseph L. Tramultola, Jr., 37:4.0/74
Less Time, More Options, Carnegie Commission on Higher Educition,
.13:3.2/71
Liberal Education and the Modern University, Charles Wegener,
11:2.2/78
Liberal Education in Transitioi, Clifton F. Conrad and Jean C. Wyer,
9:1.1/80-3 (ED 188553, 73 pp'
Liberal University: An Institutional Analysis, J. Douglas Brown,
9:1.3/69-3
709

738
 Library Budgeting: Critical Chalknges for the Figure, Sul Lee, 40
33:1.0/77
"Library Consultants," Mary Ellsworth Masoti, 33:1.0/80
Lihrsury Information Handbook: A Handbook of Standard

L=
Tgy for Reporting and Recording Information About
i NCHEMS, 10:2.2/79-3 (ED 179217, 317 pp.)
Library Manor's Guide to Automation, Richard W. Boss, 33:1.0/79
Library Networks, Susan K, Martin, 33:4.0/78-1
Library Resource Sharing, AllenXent and Thomas J. Galvin, 33:4.0/77
Lifelong Learning and Public Policy, ,U.S. Department of Health,
Education, and Welfare, 4:2.0/78 (ED 160859, 81 pp.)
Lifelong Learning in /konerica: An Overview of Current Practices,
Available Resoutces.and Future prospects, RichardE. Peterson,
34:1.0/79
Lifelong Learning Through Teleconuilunications, Wesley-C.
Meierhenry, 5:3.0/79
Local Labor Markets and Cyclic Components in Demand tor College
Trained Manpower; James P.. Smith and Finis Welch, 18/3.0/78
(ED 162583, 40 pp.)
Lting Range Financial Equilibrium Calculations for Stinford's
Operating Budget, William F. Massy and David S., P. Hopkins,
29:2.5/74-I.
Long Range Planning Kit,Satish B. Parekh, 31:1.0/75-2
Losing Battle: The Decline in Black.iPartkipation in Guate and
Professional Education, J. Christopher Lehrkr...1<4:3.0/80-2
(ED 201257, 107 pp.)

7Y.
,
,'Major Researchlbraries: Strengthening a National Heritage,"
Ford Foundation, 33:4.0/78-2
Making Affirmadve Action Work, CCPSHE, 26:2.5/75
Making the Grade: The Academic Mess( Life, Howard S. Becker,
Blanche Geer, and Everett C. Hughes, 24:3 1/68-1
Making Your News Service-More-Effective, Joel-S.-
Berger,28:2.3/78-2
(ED 184496, 200 pp.)
Making Yourserat Home: A Practical Guide to Restructuring and
Personalizing Your Residence Hall,Envirotunent, Scott Ahchors,.
Charles C. Schroeder, and Smith Jackson, 37:3.0/78
"Manageable Approach to College Health Services Planning," George
Stuehler, Jr. and Stephen T. O'Dell, 37:5.0/79
Management and Financing of Colleges, Research and Policy
Committee of the Committee for Economic Development,
29:1.1/73-2 (ED 090829, 106 pp.)
710
Management Control in Nonprofit Organisations, Robert N. Anthony
and Regina Herzlinger,-30:-1.0/75-2
Management for Research in U.S. -Universities, Raymond J. Woodrow,
14;1.0/79-2 (ED 18592Q, 117 pp:)
Management, Governance and Leadership, John D. Millett,
30:3.0/80-1
Management in Institutions of Higher Learning, Erwin Rausch,
30:3.0/p-2 (ED 185920, 117 pp.)., 0.
"Management Issues in Glioperadve Computing," Dan Bernard,
23:2.3/79
ManagemOt of Federal Research and Development, MITRE
Corporatirm, 14:1.0/77 . ,
"Management of Research in the University of CaliforniaThe 9
Investigator's 1Perspective," James W. McEvoy III, 14:1.0/75-2 ,

Management of Scientific Talent, Jerome W. Blood, 14:1.0/63

Management of Student Aid, NACUBO, 20:1 (ED 175325,
281 pp.)
Management Reporting Manual for Colleges: A. System of Reporting -

and Accounting, K: ScotrHughes, Jerry H. Leonard, M. J. Williams,

Jr., 20:1.1/80 (ED 185926, 131 pp.)
Managerial Process and Organizational Behavior, Alan C. Filley and
Robert 1: House, 30:3.0/69
Managerial Revolution In Higher Education, Francis E. Rourke and
Glenn E. Brooks, 31:3.0/66
Maliaging Academic Change, S. y. Martorana and Eileen Kuhns,
9:2.0/75-2
Managing Adult and ContiniAng Education Program and Staff, Philip
Langermanand Douglas FE Smith, 34:3.0/79-1 (ED 181298, 374 pp.)
Managing Change in Educational Orpnizations, J. Victor Bakiridge
, and Terrence E. Deal, 30:1.0/75-.1 ,

Managing Facilities More Effectively, Harvey H. Kaiser, 21:1.0/80

Managing Finances in Community Colleges, John Lombardi, 22:1.3/73
Managing Fiscal Stress: The Crisis In the Public Sector, Charles H.
Levine, 15:1.1 /80-I .

Managing in a New Era.Robert E. Lahti, 22:1.2/79 (ED 178149,

113 pp.)
Managing Multicampus Systems, Eugene Lee and Frank M. Bowen,
6:1.0/75
"Managing the Information Revolution: CLR's Bibliographic Service
Development Program," Wirren J. Haas, Nancy E. Gwinn, and C.
LeJones, 337.0/79-3
Managing the University: A Systems Approach, PauLW. Hamelman,
29:2,2/72-1 .
Managing Today's Unaiversities,frederick Balderstbn, '30:1.0/74-4
711
 Managing Turbulence and Change, John D. Millen, 12:1.0/77-3
Manpower Connection: Education and Work, Eli Ginzberg,
18:3.0/75-1
Manpower Studies in Postsecondary Education, Donald M. Norris,
William F.,,Lasher, anti Floyd S. Brandt, 18:6.0/77-1 (ED 149661,
63 PP.)
Manual for Budgeting and Accounting for Manpower Resources in
Postsecondary Education, Dennis P. Jones and Theodore H. Drews,
.10:2.2/77-2 (ED 143272, 72 pp.)
Manual for Student Alumni Programs and Foundations, Patricia
Alberger, 28:4.4/80
Many. Faces of College Success and Their Nonintellective Correlates:
The PulgishetLiterature Through the Decadrof the Sixties, Oscar
T. Lenning et al., 16:1.3/74-2 (ED 112814, 554 pp.)
Many Faces of Educadonal Consumerism, Joan Stark, 19:1.0/77=3'
Market for College-Trained Manpowei: A Study in the Economics of
Career Choice, Richard B. Freeman, 3:1.2/71
Marketing Approach to Student Recruitment, Virginia L. Carter and
Catherine S. Garigan, 28:2.1/79-2
Marketing for Nonprofit Organizations, Phillip Kotler, 28:1.1/75
Mari and Minerva: World War I and the Uses of the Higher Learning
hr America, Carol S. Gruber, 7:1.0/76-1
Mastering Medicine, Professional Socialization in Medical School,
Robert H. Cootribs, 27:2.1/78
Materials and Methods in Continuing Education, Chester Klevins,
34:4.0/76
Mathematicians in Academia: 1975-2000, Charlotte V. Kuh and Roy
Ridner2:2.1/80-2
Maximizing Leadership Effectiveness: ImpaCt of Administrative Styk
on Faculty and Students, Alexander W. Astin and Rita A. Scherri,
32:2.0/80-2
Measurement and Evaluation or Library Services, F . W. Lancaster,
33 :6.0/77
Measures of Institutional Goal Achievement, Leonard C. Romney,
13:1.3/78,(ED 158656, 61 pp.)
Measuring and Increasing Academic Productivity, Robert A.
Wallhaus, 13:3.3/75
Measuring Outcomes of College, C. Robert Pace, 16:1.3/79
"Measuring the Quality of Student Effort," C. Robert Pace,
16:1.2/80-1
Media in Higher Education: The Critical IssuesIdeas, Analysis,
Confrontation, Gerald R. Brong, 25:2.0/76
Medical EduCation Since 1960Marching to a Different Drummer,
A. D. Hunt and L. E. Weeks: 27:2.1/79 -2

712
74 i
Meeting the Financial Crisis, John Lombardi, 29:1.2/73
Meeting the Nee& of Doctoral Education, State Education Department,
Albany, New York, 9:4.0/73 (ED 083897, 26 pp.)
Meeting the Needs of Doctoral Education in New York, 9:4.0/73
(ED 083936, 88 pp.)
Men and Women Learning Together: A Study of College Students in
the Late 70's, 16:1.2/80-2 (ED 196769, 338 pp.)
Mental Health on the Campus, Raymond M. Glasscote and Michael E.
Fishman, 37:5.0/73
Micro-Computers in Education: An Instructional Revolution, Franz J.
Frederick, 25:4.0/80
Middleman in Higher Education, Frederick Kintzer, 19:1.0/73-2
"Minicomputer Acquisition Policy: A Process aid a Conclusion,"
Gordon L Nordby, 23:2.1/78
Minorities in MedicineFrom Receptive Passivity to Positive Action
1966-77, Charles E. Odegaard, 27:2.1/77 (ED 151445, 172 pp.)
Minorities in Two-Year Colleges: A Report and Recommendations for
Change, Institute for the Study of Educational Policy, 4:3.0/80-3
(ED 194647, 70 pp.)
Minorities in U.S. Institutions of Higher Education, Frank Brown and
Madelon D. Stent, 4:3.0/77
Minority Access to College, Fred E. Crossland, 4:3.0/71
Minority Admissions, Robert Bailey, 19:1.0/78-1
Minority. Group Participation in Graduate Education, National Board
on Graduate Education, 4:3.0/76 (ED 125494, 281 pp.)
Missing Link: Connecting Adult Learners to Learning Resources, K.
Patricia Cross, 34:6.0/78 (ED 163177, 87 pp.)
Model for Planning the Transition to Equilibrium of a University
Budget, David S. P. Hopkins and William F. Massey, 29:2.5/74-2
Models and Mavericks, A Profile of Private Liberal Arts Colleges,
Morris T. Keeton, 9:1.3/71-3
Modern American College, Arthur W. Chickering, 12:1.1/81-3
Modern Physics Buildings, R. Ronald Palmer and William Maxwell
Rice, 21:3.0/61
Modern Practice of Adult Education: Andragogy Versus Pedagogy,
Malcolm S. Knowles, 34:4.0/70
Modest Proposal: Students Can Learn, John E. Roueche and John C.
Pitman, 2:3.2/72-1
Modular Instruction: A Guide to the Design, Selection, Utilization,
and Evaluation of Modular Materials, James D. Russell, 25:3.0/74-3
Montana Proprietary Schools, Montana Commission on Post-Secondary
Education, 35:2.0/74-2 (ED 095950, 96 pp.)
Monthly Labor Review, 18:7.0/S-1

713

742
 More Effective Use of Resources: An Imperative for Higher .
Edication, Carnegie Commission on Higher Education, 13:2.2/72
More for Less: Academic Planning with Faculty Without New Dollars,
James N. Nesmich, 29:2.3/75 (ED 105785, 81 pp.)
More Money for More Opportunity: Financial Support of Community
College Systems, James L. Wattenbarger and Bob M. Cage, 22:1.3/74
More Than Survival: Prospects for Higher Education in a Period of
Uncertainty, 12:3,0/75
Mortgaging theFuture: The Cost of Deferring Maintenance, Harvey
H. Kaiser, 21:1.0/79 (EL) 175096, 66 pp.)
Motivation for Learning, Stanford C. Ericksen, 38:2.0/74
"Multi and Interdisciplinary Research: Problems of Initittion,
Control, Integration and Reward," James W. McEvoy 111, 14:1.0/72
Mutual Benefit Evaluation of Faculty and Administrators in Higher
Education, William J. Genova, Marjorie K. Madoffltobert Chin, and
George B. Thomas, 26:3,1/76
My Several Lives, Memoirs of a Social Inventor, Janies B. Conant,
32:3.0/70-2

National Association of State Scholarship and Grant Program: 12th

Annual Survey, 19-- Academic Year, Kenneth R. Reeher, 17:5.0/A-1
National Center for Education Statistics Catalogue of Publications,
NCES, 12:4,4/S-3
National Longitudinal Study of the High School Claw; of 1972, National
Center for Education Statistics, 16:3.0/S-6 (ED 120251, 47 pp.)
National Longitudinal Study of the High School Clastof 1972 Study
Reports Update: Review and Annotation, Mary Ellen Taylor, Cecille
E. Stafford, and Carol Place, 16:3.0/S-6 (ED 151370, 86 pp.)
National Longitudinal Surveys Handbook, 16:3.0/S-7 (ED 177232,
113 pp.)
National Longitudinal Survey of Labor Market Experience, 16:3.0/S-7
National Patterns of Science and Technology Resources, 1980,
National Science Foundation, 14:2.0/80-5 (ED 190406, 80 pp.)
National Policy for Private Higher Education, Association of American
Colleges, 8:2.0/74-1 (ED 100247, 157 pp.)
National Task Force on Student Aid Problems, Final Report, National
Association of Student Financial Aid Administrators, 17:3.0/75
(ED 107199, 152 pp.)
NCAA Manual, NCAA, 37:6.0/79-2
714
NCHEM Database.Holdings and Seryices, Natal Center for Higher
Education Management Systems, 12:4.4/S-2
Needed: A New Federal Policy for Higher Education, Joseph Froomkin,
12:1.3/78-2 (ED 187153, 92 pp.)
Networks for Research and Education: Sharing Computer and
Information Resources Nationwide, Martin Greenberger, Julius
Aronofsky, James L. Mc Kenney,. and William F. Massy, 23:2.3/74
New Approaches to Management, J. Victor Baldridge, and Michael L.
Tierney, 29:2.3/79-1
New Approaches to Student Financial Aid, College Entrance
Examination Board, 17:3.0/71. (ED 052708, '142 pp.)
New Depression in Higher Education: A Study of Financial Conditions
at 41 Colleges and Universities, Earl, F. Cheit, 5:5.0/73
New Depression in Higher Education: Two Years Later, Carnegie
Foundation for the Advancement of Teaching, 5:5.0/73
New Directions for Continuing Education, Alan B. Knox, 34:3.0/79-2
New. Directions in Community College Student Personnel Programs,
Terry O'Banion, 37:1.0/71
"New Findings on the Links Between College Education and Work,"
Lewis C. Solmon, 18:3.0/82
New Media and College Teaching, James W. Brown and James W.
Thornton, Jr., 25:2.0/68 (ED 026863, 189 pp.)
New Myths and Old Realities, Charles F. Warnath, 37:2.0/71
New Patterns for College Lending: Income Contingent Loans, D.
Bruce Johnstone, 17:2.0/72
"New Puritanism: Values andGoals of Freedmen's Education in
America, James M. McPherson, 7:1.0/74-4
New Spaces for Learning: Designing College Facilities to Utilize
Instructional Aids and Media . . ., Harold D. Hauf, Wayne F:
Koppes, Alan C. Green, et al., 21:3.0/66-2
New Structures of Campus Power, John D. Millett, 6: l .0/77
New Students and New Places: Policies for the Future Growth and
Development of American Higher Education, Carnegie Commission
on Higher Education, 9:3.0/71
New York State and Private Higher Education: Report of the Select
Commission on the Fut-re of Private and Independent Higher
Education in the State New York, New York State Department of
Education, 8:1.0/68 (EL 3281, 145 pp.)
Next Steps for the 1980s in Student Financial Aid: A Fourth
Alternative, 17:1.0/79 (ED 172597, 7.7 pp.)
Nineteen Seventy-Two Scientist and Engineer Population Redefined,
Volume 1, Demographic, Educational; and Plofessional
Characteristics, 18:7.0/75-3

715

r44
Nineteen Seventy-Two Scientist and Engineer Population Redefined,
Volume 2, Labor Force and Employment Characteristics,
18:7.0/75-3
No Time for Youth, Joseph Katz, 24:3.1/68-2 (ED 026699, 165 pp.)
.1N on-intellective Correlates of Grades, Peraistence,,and Academic
Learning in College: The Published Literature Through the Decade
of the Sixties,.0scar T. Lnning, et al., 16:1.3/74-3
Non-Profit Research Institute, Harold Orlans, 14:1.0/72-3
"Non-Tenure Track Science Personnel: Opportunities for
Independent Research," Irene L. Gomberg and Frank, J. Atelsek,
14:1.0/78-1 (ED 158682, 62 pp.)
Not for Ourselves Only: A Case Book on Fund Raising for Education,
Francis C. Pray, 28:3.1/81
"NurAerical Models for Faculty Planning," David S. Hopkins and
ArthurBienenstock, 2:2.2/75
Nursing Education in a Changing Society, Mary Q. Innis, 27:2.3/70

Obsolescence Report, Home Economics Building, University of

Wisconsin, Madison, Wisconsin, 36:2.3/70
Occupational Information: Where to Get It and How to Use It in
Career Education, Career Counseling, and Career Development,
Robert Hoppock, 18:1.0/76
Occupational Outlook for College Graduates, 1980-81 Edition, U.S.
Department of Labor, Bureau of Labor Statistics, Bulletin 1878,
18:6.0/A (ED 135971, 271 pp.)
Occupational Outlook Handbook, 19--, U.S. Dept. of Labor Statistics,
18:7,0/A-3 (ED 044513, 845 pp.; ED 063469, 885 pp.; ED 092756,
838 pp.,; ED 126289, 793 pp.)
Office, Robert Propst, 21:3.0/66-1
On Athletics, Harry A. Marmion, 37:6.0/79-1
On College Teaching, Ohmer Milton, 38:1.0/78-5
On Higher Education, David Riesman, 12:1.1/81-2
On the Philosophy of Higher Education, John S. Brubacher, 11:1.0/77
One hest System: A History of American Urban Education, David B.
Tyack, 7:3,0/74
"Online Bibliographic Sery ices," Jeffrey J. Gardner and David M. Max,
33:6.0/76
Open-Door Colleges: Policies for Community Colleges, Carnegie
Commission on Higher Education, 9:1.4/70
Open Learning: Systems and Problems in Post-secondary Education,
Norman Mackenzie, Richard Postgate, and .1. Scupham, 25:3.0/75-2

716
 V

Opportunities for Women in Higher Education: Their Current

Participation, Prospects f3r the Future, and Recommendations for
Actions, Carnegie Commission on Higher EduCation, 4:6.0/73
Oregon Experiment, Christopher Alexander, Murray Silverstein, Shlomo
Angel, Sara Ishikawa, and Denny Abrams, 21:1.0/75-3
Organizational and Staffing of the Libraries of Columbia Univeriity:
A Case Study, BOoz, Allen and Hamilton, 33:2.0/73
Organization of Academic Work, Peter Blau, 26:3.2/73
Organization of Knowledge in Modern America, 1860-1920, Alexandra
Oleson and John Voss, 7:7.0/79-2
ORU's and Politics! Or, When Is Organizational Murder Justified?,
C. West Churchman, 14: I .0/76
Outcomes; Measures and Procedures Manual, Sidney S. Micek, Allan
L. Service, and Yong S. Lee, 10:2.2/75-2 (ED 115142, 314 pp.
_Outcome Structure: An Overview and Procedures for Applying It in
Postsecondary Education Institutions, Oscar T. Lenning, 10:2.2/77-3
(ED 157454, 84 pp.)
Outlook and Opportunities for Graduate Education, National Research
Council, 9:1.4/75-1 (ED 119568, 84 pp.)
Overcoming Learning Problems: A GUide to Developmental
Education in College, John E. Roueche and Jerry J. Snow, 4:5.0/77-2
Over-Educated American, Richard B. Freeman, 3:1.2/76
Overview of Two Recent Surveys of Administrative Computer
Operations in Higher Education, Richard L Mann *,Charles R.
Thomas, Richard C. Williams, and RoberfA. Wallhaus, 23:5.0/75
(ED 109953, 49 pp.)

Papers on EMciency in the Management of Higher Education,

Alexander M. Wood, Colin Bell, Lawrence Board, Helen Brownlee,
and Joseph McCloskey, 29:2.4/72
Part-Time Faculty Series, Howard P. Tuckman, William D. Vogles, and
Jaime Caldwell, 26:2.1/78-2
Patterns for Lifelong Learning, Theodore M. Hesburgh, Paul A. Miller,
Clifton R. Wharton, Jr., 34:1.0/73-2
Patterns in the Use of Books in Large Research Libraries, Herman
Fussier and Julian Simon, 33:5.0/61
"Patterns of College Experience: An Empirical Typology of Students
and College interaction," Carol E. Christian, 16:1.1/78-2

717

746
Patterns of Funding, Net Prise and Financial Need for Postsecondary
Education Students: Differences Among States, Institutional Sectors I
and Income Groups, John Augenblick and William Hyde, 17:5.0/79
(ED 167006, 104 pp.) . .

Paupers and Scholars: The Transformation of Student Life in

Nineteenth Century New England, David F. Allmendinger, Jr.,
7:4.0/75
Paying for College: Financing .Education at Nine Private Institutions,
Sloan Study Consortium; 5:41/74
"Peer Review and the Support Of Science," Stephen Cole, Leonard
Rubin, and Jonathan R. Cole, 14:3.0/77-2
Peopks'.Community College: "A Cluster Model," Charles C. Collins,
22:3.1/77 (ED 151051, 140 pp.)
Performance Criteria: Acoustics, Bolt, Baranek and Newman, Inc.,
21:2.0/79
"Performance Funding and Power Relations in Higher Education,"
Richard G.. Dumont, 15:1.2/80-4
Performance Measurement and Investment Objectives for
Educational Endowment Finds, J. Peter Williamson,20:3.1/72.
Perpetual Dream: Reform and Eiperiment in the American College,
Gerald Grant and David Riesman, 11:2.1/78 .

Persistence and Change: Bennington College and Its Students After .

Twenty-Five Years, Theodore M. Newcomb, Kathryn E. Doenig,

Richard Flacks, and DOnald P. WarWick, 24:1.2/67
Personal Space, Robert Sommer, 21:2.0/69
''Personality Development and the College Experience," Arthur W.
Chickering and John McCormick, 16:1.2/73 (ED 042402, 45 pp.)
Personnel Practices for Small Colleges, Ronald A. Bouchard,
20:2.2/80-2
Personnel: The Human Probkms of Management, George Strauss and
Leonard.R. Sayles, 30 :2.0/72
Perspectives on Budgeting, Allen Schick, 15:1.1/80:2
."Penkftives on the History of Women's Education in the United
States, Jill Conway, 7:1.0/74-1
Pharmacists for the Future, John S. Millis, 27:2:4/77
Ph.D. Manpower: Employment DeMand and Supply, U.S. Department.
of Labor, Bureau of Labor Statistics, Bulletin 1860, 18:6.0/75
(ED 143284, 26 pp.)
Ph.D.'s and the Academic Labor Market, Allan M. Cartter, 18:6.0/76
"Ph.D.'s in Nonacademic Careers: Are There Good Jobs?", Lewis C.
Solmon, 18:5.0/79-3
Philosophical Foundations of Adult Education, John L. Elias and
Sharan Merriam, 11:6.0/80 (ED 194003, 28 pp.)

318
74x_
Philosophy and Education, Eightieth Yearbook of the National Society
for the Study of Education, Jouas Soltis, 11:1.0/81
Philosophy and Future of Graduate Education; William K. Frankena,
9:1.4/80 -3 . .

Philosophy of Education Since Mid-Century, Jonas Soltis, 11:1.0/79

"Physician Productivity and the Demand for Health Manpower,"
Uwe E. Reinhardt, 27:3.0/75
Physicians and New Health Practitioners: Issues for the 1980's,
National Academy of Sciences, 27:3.0/79
Planning Academic and Research LibrarY Buildings, Keyes D.
Metcalf, 21:3.0/65
Planning and Developing. Innovative Community Colleges, N. Dean
Evans and Ross L.. Neagley, n:1.2/73
Planning and Management in Universities: A Study of British
Universities, J. Fielden and G. Lockwood, 31:1.0/73-2
Planning Building and Facilities for Higher Education, UNESCO,
21:1.0/75-2
Planning Facilities for Atheltics, Physical Education and Recreation,
The Athletic Institute, 21:2.0/74 (ED 110430, 208 pp.)
Planning for Accessibility: A Guide to Developing and Impkmenting
Campus. Transition Plans, Margaret Milner, 4:4.0/77 (ED 147981,
9 pp.)
Planning for Education in Pakistan: A Personal Case Study, Adam
Curie, 1:0/66
Planning for Higher Education: Background and Application, Allan
0. Pfinster, 31 :1.0/76 -2
Planning for Medical Progress Through Education, Lowell T.
Coggeshall, 27:1.0/65
Planning for Self-Renewal, Ernest G. Palola and William Padgett,
31:1.0/71 (ED 050704, 126 pp.) w-
PlannIng Guidelines for Construction of Facilities at the State-
Supported Colleges and Universities in Colorado, CCHE,
36:1.4/68-2 (ED 014869, 45 pp.)
Planning in Higher Education: A Manual for Colleges and
Universities, John D. Millett, 31:1.0/77
Planning Manual for Colleges, John Dozier, Sherwin Howard, Robin
Jenkins, and M. J. Williams, Jr., 31:1.0/80-1 (ED 185922, 123 pp.)
Planning Models for Colleges and Universities, David S. P. Hopkins
and William F. Massy, 10:3.0/81
Planning Non-Traditional Programs, K. Patricia Cross. John R. Valley,
et al., 34:3.0/74
Planning-Programming-Budgeting: A Systems Approach to
Management, Fremont J. Lyden and Ernest G. Miller, 15:3.0/72-2
(ED 058622 8 pp.)

719

74 8
 Planning, Programming, Budgeting for Ohio's Public Institutions of
Higher Education, John D. Mil lett, 15:3.0/70-2 (ED 043284, 21§ pp.)
"Planning-Programming-Budgeting Symposium," Public Administra-
tion Review, Vol. 26, No. 4, December, 15:3.0/66
Planning the Development of Universities, Victor G.. Onuskin, 31:1.0/
75 -I
PlanningUniversities; Ohio Board of Regents, 31 :1.0/73 -I
Policies for Lifelong Education, Jamison Gilder, 4:2.0/79 (ED 168668,
128 pp.)
Policy Making and Effective Leadership, T. Victor Baldridge, David V.
Curtis, George Ecker, and Gary.L. Riley, 32:2.0/78-3
Policymaking Guidelines for Extended Degree Programs: A Revision,
'Leland L. Medsker and Steward L. Edelstein, 4:2.0/77-1
Political Puriestrings: The Role of the Legislature in the Budgetary
Process, Alan P. BalutiS and Daron K. Butler, 15:1.2/75-1
Political Terrain of American Postsecojdary Education, Clyde E.
Blocker, Lciuis W. Bender, and S. V. Martorana, 6:4.0/75
Politics and E0nornics of Public Spending, Charles L. Schultze; 15:1.3/68
4a Polities of Disorder, Theodore J. Lowi, 9:2.0/71
Politics of Higher Education, Edward R. Hines and Leif Hartmark,
6:4.0/80 (ED 201263, 85 pp.)
Politics of Higher Education in Brazil, Jerry Haar, 1:0/77-4
Politics of Higler Education in a Comparative Perspective France,
Sweden, Un ted Kingdom, Rune Premfors, 1:0/80-3
Politics of the Budgetary Process, Aaron Wildaysky, 15:1.3/79
Postdoctoral ppointments and Disappointments: Report of the Com.'
mittee on Study of Postdoctorals in Science and Engineering in the.
United S tes, National-Research Council, 14:2.0/81-1
Postseco Education and the Disadvantaged: A Policy Study;
Amit Etzioni, 4:5.0/70
Pos ndary Education: The Current Federal Role and Alternative
.App ches, Congressional Budget Office, 17;1.0/77 (ED 134111, 76
PP.)
Power and Conflict in Continuing Education, Harold. J. Alford, 34:1.0/
80-2
Power of Protest: A National Study of Student and Faculty Disrup-
tions with Implications for the Future, Alexander W. Astin, et al.,
16:1.1/75-1
"Power of State Coordinating Agencies," Richard M. Millard, 6:2.0/
80-2
PPBS in Higher Education Planning and Management: From PPBS to
Policy Analysis, Frederick E. Balderston and George B. Weathersby,
15:3.0/72-1 (ED 081390, 113 pp.)
Predicament of the University, Henry David Aiken, 11:2.2/71

720
Predicting Academic Performance in College, Alexander W. Astin,
16:1.1/71
Predicting the Behavior of the Ethicational System Thomas F. Green,
11:3.1/80
Preface, to the Philosophy of Education, John Wilson, 9:1.1/79-2
Preliminary Survey of Postsecondary Education Programs in Alaska,
Jane H. Behlke, 35:2.0/75 (ED 114038, 74,pp.)
Preparing Liberal Arts Students for Careers, Ed Watkins, 18:2.0/79-2
"Preservation of Library Materials," Paul N. Banks, 33:5.0/69
Preserving a Lost Generation: Policies to Annire a Steady Flow of
Young Scholars Until the Year 2000, Roy Radner and Charlotte V.
Kuh; 2:2.2/78 (ED 165575, 63 pp.) ,
Preserving America's Invvdment ih Human Capital: A Stu4y of
Public Higher Education, 1980, W. John Minter and Howard R.
Bowen, 5:5.0/S-1 (ED 196363, 123 pp.)
Presidential Leadership in Advancement Activities,.Jmes L. Fisher,
28:1.2/80-2
Presidential Search: A Guide to the Process of Selecting and Ap-
pointing College and Universiy Presidents, John W. Nason, 32:2.0/
80-3
Presidents Confront Reality: From Edifice Complex to University
Without Walls, Lyman A. Glenny of al., 12:3.0/76
Presidents, Professors and Trustees, W. H. Cowley, Donald T.
Williams, Jr., 32:2.0/80-4
President's Role in Development, AAC, 28:1./75 (ED 115189, 64 pp.)
"Press Policy IS a Must," Arthur V. Ciervo, 28:2.3/77-1
Preventing Students from Dropping Out, Alexander Astin, 19:2.0/75-1
Previous Attempts to Structure Educational Outcomes and Outcome-
Related Concepts: A Compilation and Review of the Literature, Oscal
T. Lenning, 10:2.2/77-4
Primary Care in a Specialized World, Philip Lee, Lauren LeRoy, Janice
Stalcup, and John Beck, 27:3.0/76-2
Principles of Instructional.Design, Robert M. Gagne and Leslie J.
Briggs, 25:3.0/74-1
Priorities for Action: Final Report of the Carnegie Commission on
Higher Education, Carnegie Commission on Higher Education,
12:1.1/73-2
Private Colleges: Present Conditions and Future Prospects, Carol H.
Shulman, 8:2.0/74-2 (ED 098888, 62 pp.)
Private Colleges: The Federal Tax System and Its Impact, Gerald P.
Moran, 8:2.0/77-1 (ED 136682, 97 pp.)
Private Higher Education and Public Funding, Louis T. Benezet, 8 1.0/
..v
76 (ED 130552, 70 pp.) .

721

=750
Private Higher EduCation, (First, Second, Third, Fourth, and Fifth)
.Annual Report on the Financial and Educational Trends in the
Private Sector of American Higher Education, W. John Minter and
Howard R. Bowen, 5:5.0/S-2 (ED 127844, 12 pp.; ED 145793', 107
PP.):
Problems and Outlook of Small Private Liberal Arts Colleges, 8;2.0/
78-5 (ED 177984, 107 pp.)
Problems in Continuing Education, Jerold W. Apps, 34 :3.0/80
Problems in University Library Management, Booze, Allen and
Hamilton, Inc., 30:3.0/70 (ED 047719, 68.pp.)
Procedure and instructions for the Facilities Evaluation Study-1980,
Tennessee Higher Education Commission, 36:2.3/80
Procedures for Determining Historical Fun Costs, National Center for
Higher Education Management Systems. 13:3..1/77-2 (ED 145771, 256

Process and Effict of Masi Communication, Wilbur Lang Shranim and

Donald F. Roberts, 28:6.1/71
Prom's and SiructUre in Higher Education, Tony Becher andifturice
Kogan, 1:0/802
"Product Mix and Coat Disaggregation: A Reinterpretation of the
Economics of Higher:Education," Estelle James, 13:2.1/78
Production and Cost Behavior of Higher Education Institutions, Daryl
E. Carlson, 13:3:1/72 (ED 079225, 13 pp.)
"Productivity Ratings of Graduate Programs in Psychology Based on
Publications in the Journals of the American Psychological Associ-
ation, W. Miles Cox,and Viola-Catt, 13:1-.1/71-2
Professional Development and Educational Technology, AECF, A
25:1.0/80 (ED _192763, :158 pp.)
Profile of Private Liberal Arts Colleges, Bruce M. Carnes,.8:2.0/77 -2
.- (ED 157446, 78 pp.)
*Profile of the Community College, Charles R. Monroe, 22:1.1/72-3
Profiles of American College Presidents, Michael R. Ferrari, 32:2.0/70'
Program Budgeting: Program Analysis and the Federal Budget, David
Novick, 15:3.0/69-1
Program Budgeting: Universities, Ohio Board of Regents, 29:2.2/73-2
(ED 09688F; 94 pp.),
Program Clasaification Structure: Second Edition, Douglas J. Collier,
10:2.2/77-5
"Program Flexibility and Budget Growth: The Case of the California
Community Colleges," Dan A. Cothran, 15:1.2/79
Program for Renewed Partnership: The Report of the Sloan Com-
mission on Government and Higher Education, 12:1.3/80
Program Measures, James R. Topping and Glenn Miyataki,10:2. 1/73-2

722
75
11

Program Review and-the State Responsibility for Higher Education,

Kenneth C. Green, 9:4.0/81-2
"Program Review by Statewide Higher Education Agencies," Robert
J. Barak, 9:4.0/77-1 _

Progress and Problems in Medical Education, Federal Support Versus

Federal Control, CCHE, 27:1.0/76
Progress in Educating the Library User, John J. Lubans, 33:6.0/78
Project Focus: A Forecast Study of Community Colleges, Edmond J.
Gleazer, Jr., 22:1.1/73-2
Project on the Status and Education of Women, Bernice R. Sandler,
4:6.0/S
0

Project TALENT, American Institutes for Research, AIR, Palo Alto,

California, 16:3.0/S-8 (ED 175910, 37 pp.; ED 159201, 460 pp.; ED
205587, 53 pp.) N

Projections of Education Statistics, Martin M. Frankel and Forrest W.

Harrison, 12:4.1)A-5 (ED 145568, 174 pp.)
Projections of Science and Engineering Doctorate Supplr and JtilI-
zation, 1982-1987, National Science Foundation, 18:6.0/79 (ED
177064, 275 pp.) .

Proliferation and Agency Effectiveness in Accreditation: An Institu-

tional Bill of 'Rights, H. R. Kells, 9:4.0/80-3
Promoting Consumer Protection for Students, Joan S. Static, 37:4.0/76-3
Proprietary and Public Vocational Students, %Ilford W. Wilms,
35:1.0/74-1 (ED 089576, 4 pp.)
Proprietary Education: A Search of the Literature, Susan E. Johnson,
35:5.0/74 (ED 095387, 31 pp.)
Proprietary Voiational Education, Steven M. Jung, 35:3.0/80 (ED
186760, 49 pp.)
Protecting Human Subjects-in Social and Behavioral Research.: Ethics,
Law and the New DHEW Rules: A Critique; Thomas Kilin
14:3.0/76-2
PSE (Postsecondary Education) Information Planning at the State
Level, Roger Bassett, Sherrill Cloud, and Anahid Katchian, 10:2.2/79-2 ,
Public and Proprietary Vocational Trandng: A Study of Effectiveness, .

Wellford W. Wilms, 35:1.0/74-2 (tD 100459, 229 pp.)

"Public Budgeting Amidst Uncertainty and Instability, Naomi
Caiden, 15:1.1/81-1 -
1

Public Budgeting Systems, Robert D. Lee, Jr., and Ronald W. Jolison,

15:1.1 /77.
Public Policy and Private Higbir Education, David W:- eneman and
Chester E. Finn; Jr., 5:4.3/7 (ED 132961, 19 pp.)
"Public Spending for Higher Education: An Empiric* Test of Two
Hypotheses," Charles T. Clotfelder, 3:3.1/76

723_ ,

752
Public Universities, State Agencies and the Law: Constitutional
Autonomy in Decline, Lyman Glenny and Thomas Daglish, 6:2.0/73-2
(ED 084984, 194 pp.)
Publication, Teaching; and the Academic Reward Structure, Howard
P. Tuckman, 3:2.2/76
Publicatiobs Based on Project TALENT Data: An Annotated Bibli- '
ography, Emily k Campbell, 16:3.0/S -8 (ED 193239, 217 pp.)
Purchasing for Educational Institutions, NAEB, 20:3.2/61
Purposes and the Performance of Higher Education in the United
States, Approaching the Year 2000, Carnegie Commission on Higher
Education, 9:1.1/73
Putting Principle Into Practice: Guidelines for Administrators in
Implementing Title IX, Donna Shavlik, et al.-, 4:6.0/78

Qualified Student: A History of Selective College Admission in

America, Harold S. Wechsler 7:3.0/77
Quality and Equality: New Levels of Federal Responsibility for Higher
Education, Carnegie Commission on Higher Education,: 17:1.0/68
Quality Education for Less Money, L. Richard Meeth, 29:2.4/74
QualityHigher Education's Principal Challenge, ThoMas M.
Stauffer, 9:4.0/81-3
Quantitative Approaches to Higher.Education ManageMent: Poten-
tial,.Limits, and Challenge, G. Ben Lawrence and'Allan L. Service,
10:1.0/77 (ED,144439, 102 pp.)
Quest for Common Learning: The Aims orGeneral'Education, Ernest
L.Boyer and Arthur Levine, 9:1.1/81 (ED 200298, 77 pp.)
Question of Quality: The Higher Education Rating Game, Judith K.,
Lawrence and Kenneth C. Green, 13:1.3/80-2 (ED 192667, 57 pp.)

"Raliy 'Round the Work-place: Continuities and Fallacies in Career .

Education," W. Norton Grubb and Marvin Lazerson, 18:2.0/75-2

Rankings of the States, Richard J. Nuanes, 12:4.1/A-6 (ED 025045, 70 pp.)
Rating of Graduate Programs, Kenneth D. Roose and Charles J.
Andersen, 13:1.1/70
Reassessing the Link Between Work and Education, Lewis C. Solmon,
18:2.0/78-2
Recent Alumni and Higher Education, Joe L. Spaeth and Andrew M.
Greeley, 16:2.0/70-2
724
75
Recommendations for Improvel Management of Federal Student Aid
Programs, U.S. 'Department of Health, Educatiork, and Welfare,
17:3.0/77 (ED 143260, 294 pp.)
Recommendations for Improving Trustee Selection in Private Colleges
and Univeriiities, 6:3.0/80
Recommendations for Improving Trustee Selection in Public Colleges
- and Universities, 6:3.0/80 (ED 194028, 48 pp. )

onunended Standards and Practices kr a Health Program,"

AC A, 37:5.0/77
"R tractive Query: Dewey, Buckler, and Merleau-Ponty as
Gu es to an Epistemology of Experiential Learning," Richard Lee
Ho ins, 11:5.0/80 .

Rec tional Sports Program, Viola K. Kleindienst and Arthur Weston,

37:6.0/78-1.
Reducing the Dropout Rate, New Directions for Student Services, Lee
Noel, 19:2.0/78-2
Reference Guide to Postsecondary Education Data Sources, Katherine
A. Allman, 12:4.4/75 (ED 115175, 706 pp.)
Refinementsto COU Space Standards, Council of Ontario Universities,
36:1.4/78 (E1) 165621, 117 pp.)
Reform in GraduateEducation, Lewis B. Mayhew, 9:1.4/72 -I (ED
067014, I85.pp.)
Refoim of Undergraduate Education, Arthur Levine and John Weingart,
24:2.3/74
Regional State Colleges and Universities in the MidOk 1970's, Fred F.
Harcleroad, Theodore Molen, Jt4,, and Suzanne Van On, 9:1.3/76 (ED
132933, 105 pp.)
Regulation and the Quality of Dental Care, Peter Milgram, 27:2.2/78
Regulation of Scientific Inquiry, Keith M. Wulff, 14:3.0/79-3
"Rejuvenating Experimental Computer Science, A Report tathe
National Scierv.: roundatIon and Others," Jerome A. Feldman and
William R. Suherland, 23:4.0/79
Relatiug Work and Education, Dyckman W. Vermilye, 18:3.0/77-3
Renewing and Developing the Partnership: Federal/State/Campus .
Cooperation in Student Financial Aid, Robert H. Fenske and Patricia
L. Clark, 17:3.0/81-2 (ED 202432, 76 pp.)
Renewing Liberal Education: A Primer, Francis J. Wuest, 9:1.109-3
Report From Project Focus: Strategies for Change, David S. Bushnell
and Ivars Zagaris, 22;1.1/72-4 (ED 061929, 264 pp.)
Report of the Graduate Medical Education National Advisory Com-
mittee, DHHS, 27:3.0/80 (ED 203766, 362 pp.; ED 203767, 246 pp.;
ED 203768, 48 pp.; ED 203769; ED 203770, 73 pp.; ED 203771-, 75 pp.)

725'
=

754
Report of the System Advisory Planning Task Force: Reducing the.
Scope of the University of Wisconsin System, University of Wis-
consin, Madison, 9:4.0/75-1
Report of the Task ForceBuilding Costs, Task Force of the Council of
Ontario Universities, 36:2.4/72
Report on Higher Education, Frank Newman, et al., 12:1.1/71 (ED
049718, 136 pp.)
Report on the Economic Status of the Profession, 1977-1978, AAUP,
26:1.0/A
Report to the President from the Committee to Study Consolidation of
the Chicago Campuses, 9:3.0/81
Research Accountability: Restoring the Quality of the Partnership,
National Commission on Research, 14:3.0/80-3
Pesearch ExceUence Through the Year 2000, National Academy of
Sciences, 14:3.0/79-1 (ED 181832, 245 pii.)
Research in Higher Education: A Guide to Source Bibliographies,
Richard H. Quay, 12:4.2/76
"Research, Innovation, and University-Industry Linkages," Denis J.
Prager and Gilbert S. Omenn, 14:3.0/80-4
Research Libraries and Technology, Herman H. Fussier, 33:1.0/73-3
"Research Libraries and the Dynamics of Change," Warren J. Haas,
33:3.0/80 I

"Research Libraries in the Net4tork Environment: The Case for

Cooperation," Patricia Battin, 33:4.0/80
Research Personnel: An Essay on Policy, National Commissiorron
Research, 14:2.0/80-6 (ED 201216, 17 pp.)
..

Research Universities and the National Interest: A Report from

Fifteen Univeriity Presidents, 14:2.0/77-1
"Residence and Campus Environment," Alexander W. Astin, 37:3.0/75
"Residence Hall Arrangements," Arthur W. Chickering, 37:3.0/71
Resource Reallocation in Research Universities, John D. Millett,
29:2.3/73 (ED 081360.4'2 pp.)
Resource Use in Higher Education, June O'Neill, 5:6.0/71
Resources in Education (RIE), ERIC, 12:4.2/S
Results of the 1979 NACUBO Comparative Performance Study and
Inveshnent Questionnaire, NACUBO 20:3.,1/80 (ED 178002, 126 pp.)
Returning Women Students in IligherEducation: Defining Policy
Issues, Carol Kehr Tittle and Eleanor Rubin Denker, 4:6.0/80
Review of Production Fbnclion Estimation for Higher Education
Institutions; Daryl E. Carlson, 13:3.3/77
Review of Selected State Budget Formidas for the Support of Poe-
secondary Educational Institutions, Cynthia A. Linhart and John L.
Yeager, 15:2,0/78-1 (ED 154685, 121 pp.)

726
Review of Student Support Schemes in Selected OECD Countries,
Maureen Woodhall, 17:6.0/78 (ED 156039, 149 pp.)
"Review Process for Berkeley Organized Research Units," Jane
Wellman Bo lce, 14:1.0/75-1
Review Processes: Asseising the Quality of Research Proposals,
National Commission on Research, 14:3.0/80-5
Revolutionary College: American Presbyterian Higher Education,
1707.1837, Howard Miller, 7:1.0/76-2
Revolving College Doors: The Causes and Consequences of Dropping
Out, Stopping Out, and' Transferring, Robert Cope and William
Hannah, 19:2.0/75-2
Rights of Youth: American Colleges and Student Revolt, 1798-1815,
Steven J. Novak, 7:4.0/77
Rise ofAmerican Philosophy:Cambridge, Massachusetts 1860-1930,
Bruce Kuklick, 7:7.0/79-1
Risk Management and Insurance: Guidelines for Higher Education,
John H. Adams, 20:3.3/72 (ED 072747, 172 pp.)
Rites, Roles and Style:, of the Dean, James R. Appleton, Channing M.
Briggs, and James J. Rhatigan, 37:1.0/78
Role of Private Trade and Technical Schools in a Comprehensive
Human Development System: Implications for Research and
Development, Jack P. Tolbert, 35:3.0/79-1 (ED 186712, 19 pp.)
"Role of Statewide Boards in Program Review," Elizabeth H.
Johnson, 9:4.0r75-2
Roles and Symbols in the Determination of State E_ xpenditurrs,
Thomas ]. Anton, 15:1.2/67

Salaries and Tenure of Instructional Faculty in Institutions of Higher

Education 1974-75, NCES, 26:1.0/76-1 (ED 129186, 276 pp.)
Scaling the Ivory Tower: Merit and Its Limits in Academic Careers,
Lionel S. Lewis, 26:3.1/75
Scholarly Communication::The Report of the National Enquiry,
33:7.0/79-4
Scholars, Dollars and Bureaucrats, Chester E. Finn, Jr., 12:1.3/78-3
Scholarship for, Society, Educational Testing Service, 9:1.4/73-1 (ED
104178, 57 pp.)
School of the Prophets: Yale College, 1701-1740, Richard Warch, 7:2.0/73
Schooling and Achievement in American Society, William H. Sewell,
Robert M. Hauser; and David L. Featherman, 18:3.0/76
727

756
 Schooling of Native America, Thomas Thompson, 4:10/78-1 (ED
168751, 199pp.)
Schools That Do Not Seek Accreditation, Arthur A. Hitchcock, 35:5.0/80
Schools Where Students Pay to Learn Paying Jobs, Charles G. Burck,
35:5.0/75
"Science and Its Public: The Changing Relationship," American
Academy of Arts and Sciences, 14:2.0/74
"Science and Technology in the White House, 1977-1980," Frank
Press, 14:2.0/81-2
"Science and Technology Policy: Perspectives for the 1980's," Herbert
1. Fusfeld and Carmela S.' Haklisch, 14:2.0/80-7
Science and Technology: Promises and Dangers in the Eighties, 9:1.4/
80-4
Science and, the Ante-Bellum American. College, Stanley M. Guralnick,
7:5.0/75
Science and the Evolution of Public Policy, James A. Shannon, 14:2.0/73
Science at the Bicentennial: A Report from the Research Community,
National Science Board, 14:2.0/76 (ED 13561,, 154 pp.)
Science Development: An Evaluation Study, David E. Drew, 9:3.0/75
(ED 108967, 200 pp.)
Science Development, University Development, And the Feleral Gov-
ernment, National Research Council, 9:3.0/75 (ED 108968, 61 pp,)
Science Indicators, National Science Board, t4:2.0/S-2 (ED 084150,
146 pp.)
Science Policy and the Universityj Harold Orlans, 14:2.0/68
Scientific and Technical Manpower Projections: Report of the Ad Hoc
Committee on Manpower, National Science Foundation, 18:6.0/74 -3.
Scientific rasis of the Art of Teaching, N. L. Gage, 38:4.0/78-2
Scientiflo Process and the Computer, Donald N. Streeter, 23:4.0/74
Scientific Productivity: The Effectiveness of Research Groups in Six
Countries, Frank M. Andrews, 14:1.0/79-1
Scottish Enliglienment and the American College ideal, Douglas
Sloan, 7:5.0/71-2
SDS, Kirkpatrick Sale, 7:4.0/73
Second Best: The Crisis of the Community College, L. Steven
Zwerling, 22:1.1/76
Second Newman Report: National Policy and Higher Education,
Department of Health, Education, and Welfare, 12 1.3/73 (ED 090828,
251 pp.)
"Second Step," Mary W. Searight, 27:2.3/76-2
"Seeking FederalFunds," Frances Freeman, 28:5.3/76
"Seeking the Competitive Dollar: College Management in the
Seventies, John W. Leslie, 28:1.1/71
Selected Topics in Graduate Education, Martha Romero, 4:2.0/82

728
Selective Admissions in Higher Education, Carnegie Cotincil on Policy
Studies in Higher Education, 19:1.0/7/-1
Separation of College and State: Columbia, Dartmouth, Hariard, and
Yule, 1776-1876, John S. Whitehead, 7:1.0/73
Serving New Populations, Patricia Ann Walsh, 37:1.0/79 (ED 175520,
114 pp.)
Sex Discrimination in Education: ACcess to. Postsecondary Education,
Helen Astin, et al., 4:6.0/76
Sex Equity in Education: NIE Sponsored Projects and Publications,
Susan Klein, 4:6.0/81 (ED 190110, 209 pp.)
Shared Authority on Campus, MOIT.;.i Keeton, 26:4.1/71
Sharing Authority Effectively, Kenneth P. Mortimer and T. R.
McComiell, 26:4.1/78
'Sibling Models and Data in Economic,' Beginnings of a Survey,"' Zvi
Griliches, 3:4.0/80
Small College: A Bibliographic Handbook, Thomas A. Askew, 12:4.2/
73 (ED 082699, '136 pp.)
Social Origins of EducitiOnal Systems, Margaret S. Archer, 1:0/79-3
Social Panacea: A History of the Community-Junior College Ideology,
Gregory L, Goodwin, 22:1.1/73-3 (ED 093427, 316 pp.)
Social Security Benefits for Students, Congressioqal Budget Office,
17:4.0/77 (ED.144519; 34 pp.)
Socioeconomic Background and Achievement, Otis Dudley Duncan,
Beverly Duncan, and David L. Featherman, 18:3.0/72
Sourcebook for Higher Education, Warren W. Willingham, 4:1.0/73
Sources of Funds to Colleges and Universities, June A. O'Neill and
Daniel Sullivan, 5:6.0/73-
Space and Utilization Standards, California Public Higher Education,
Franklin G. Matsler, 36:1.4/66 (ED 013079, 80 pp.)
Space Costing: Who Should Pay for the Use of College Space?, Sy
Zachar, 21:1.0/77-2 (ED 144213, 49 pp.)
Space Factors and Space Utilization Values for Use in Meeting the
Facility Nerds of the Texas Colleges and Universities, James R.
Woolf, 36:1.4/71-2
Space Realignment, Renewal, and Replacement, Harlan D. Bareither,
36:2.4/77
SPEC Flyers and Kits, Association of Research Libraries, 33:1.0/73-1
Special Analyses, Budget of the United States Government, Fiscal
Year 19, Office of Management and Budget, 5:6.0/A-1
Special Events, CASE, 28:2.3/80
Special Programs for Female and Minority Graduate Students, Frank
J. Atelsek and Irene L. Gomberg, 4:3.0/78-2 (ED 163863, 54 pp.)
Sponsored Research of the Carnegie Commission on Higher Educa-
tion, Carnegie Commission on Higher Education, 12:1.1/75-2

729

758
 "Strategies for Improving the Performance of Academic Libraries,"
Duane E. Webster and Jeffrey Gardner, 30:3.0/75
"Strengthening University-Industry Interactions," Walter Baer,
14:3.0/80-1 (ED 190033, 34 pp.)
Structural Comparison of Analytical Models for University Planning,
George B. Weathersby and Milton C. WeirLtein, 31:3.0/70 (ED
1392, 52 pp.)
Structure for the Outco of !postsecondary Education, Oscar T.
Lenning, et al., 13:1.3/ 7-3 (ED 150904, 86 pp.)
Student Aid and the Urban Poor, 17:3.0/81-3
Student Culture, Walter L. Wallace, 24:12/66
Student Development and Education in College Residence Hulls, David
A. DeCoster and Phyllis Mable, 37:3.0/74
Student Development in ToMorrow's Higher EducationA Retafii to
the Academy, Robert D. Brown, 37:1.0b 2
Student Development PrograP9 in the Community Junior College,
Terry O'Banion and Alice Thurston, 22:3.2/72-2
Student Discipline Systems in Higher Education, Stanford Cazier,
37:4.0/73 (ED 083933, 53 pp:) ,

Student Housing, Judy Tolmach, 21:3.0/72 (ED 071555, 84 pp.)

Student Loans: Problems and Policy Alternatives, Lois D. Rice,
17:2.0/77 (ED 143244, 180 pp.)
Student Matriculation Decisions and Financial Aid, Michael L.
Tierney, 19:1.0/80-2
Student lersonnel Work: A Program of Developmental Relationships,
E. Williamson and Donald AA Biggs, 37:1.0/75
Student Politics in 1merica: A Historical Analysis, Philip G. Altbach,
7:4.0/74-1
Student Services: A Handbook for the Profession, Ursula Delworth,
Gary R. Hanson, 37:1.0/80-1
Student Rights, Decisionmaking, and the Law, Terrence N. Tice,
37:4.0/76-1
Student Success, Tim Waiter and Al Siebert, 38:3.0/76-1
Students and Colleges: Interaction and Change, Burton R. Clark, et al.,
1 6: 1.2/72 (ED 069255, 333 pp.)
Students Enrolled for Advanced Degrees, Fail 19, NCES, 18:7,0/A-2
"Studies of College Attrition: 1950-1975," Timothy Pantages and Carol
Creedon . 19:2.0/78-1
Studies of Productivity in Knowledge Production and Utilization by
Seools, Colleges, and Departments of Education, David L. Clark
and F.,,gon G. Guba, 13:1.1/76
Study of Cost Analysis in Higher Education, Volumes 1-4, Chi R.
Adams, et al., 13:2.3/78

730
Study of Politics and Education: A Bibliographic Guide to the Re-
search Literature, Anne H. Hastings; 6:5.0/80 (ED 193808, 302 pp.)
Study of Program Management Procedures in the Campus-Based and
Basic Grant Programs, 17:5.0/80-2 (ED 189984, 278 pp.)
Study of Regional Computer Networks, Fred W. Weingarten, Norma R.
Nielsen, James R. Whiteley and Gerald P. Wray, 23:2.3/73
Study of the Financial Condition of Colleges and Universities: 1972-
1975, Lyle H. Lanier and Charles J. Andersen, 5:5.0/75 (ED 121163,
110 pp.)
Study of the Learning Environment at Women's Colleges, Women'
College Coalition, 8:2.0/81
Study Report: Youth and the Meaning of Work, David Gottlieb, et al.,
18:1.0/73-1 _ _

Subsidies to Higher Education, Howard P. Tuckman and Edward

Whalen, 5:1.0/80
Successful Direct Marketing Methods, Bob Stone, 28:6.3/79
Successful Faculty Evaluation Programs: A Practical Guide to Im-
p: Faculty Performance and Promotion/Tenure Decisions, Peter
Seldin, 26:3.1/80
Successful PUblic Relations for Colleges and Universities, Sidney
Kobre, 28:2.3/74-2
Summary Report 1980: Doctorate Recipients from United States
Universities, Peter D. Syverson, 16:3.0/A-2
Supply and Demand for Scientists and Engineers: A Review of
Selected Studies, Betty M. Vetter, 18:6.0/77-2 (ED '144831, 61 pp.)
S_ upport for Teaching at Major Universities, Stanford C. Ericksen with
John A. Cook, 38:4.0/78-1 (ED 180312, 114 pp.)
Survey of Computer and Optical Scanning/Mark Reading Applica-
tions in the Admissions and Records Related Areas, AACRAO,
23:5.0/79
Survey of Public Policy Priorities at Independent Two-Year Colleges,
Peter Pelham and Virginia (Fadil) Hodgkinson, 8:2.0/77-4 (ED 145890,
85 pp.)
"Survey of the Structure of State Coordination or Governing
Boards," Nancy Berve, 6:5.0/79
Surveying Institutional Constituencies, J. Bruce Francis, 28:2.1/79 -I
Surviving the Eighties, Lewis B. Mayhew, 29:2.4/80
Symposium: Learning Processes and Strategies, N. W. Entwistle,
38:2.0/78
Symposium on Budgeting in an Era of Resource Scarcity, 15:1.1/78-3
"Symposium on Organizational Decline and Cutback Management,"
15:1.1/78-1
"Symposium on PPBS Reexamined," Public. Administration Review,
Voluthe 29, No. 2, March/April, 15:3.0/69-2
731

760
 Sports la America, James A. Michener, 37:6.0/76
Stability and Expiciment in the American Undergraduate Curricu-
lum, Laurence Veysey, 7:5.0/73
Standard Education Almanac, B. J. Chandler, 12:4. I/A-8
State Aid to Private Higher Education, A. E. Dick Howard, 8:1.0/77-1
State Aid to Private Higher Education, Carol Shulman, 8:1.0/72-1
State Boards of Higher Education, Richard Millard, 6:2.0/76-1 (ED
12919677p.)
State Boards Redponsible for Higher Education, S. V. Martorana and
E. V. Hollis, 6:5.0/60 (ED 045058, 16 pp.)
State Boards Responsibli for Higher Education, J. L. Zwingle and M.
E. Rogers, 6:5.0/72 (ED 070370, 200 pp.)
State Budgeting for Higher Education: Data Digest, Lyman A. Glenny,
et al., 15.:1.2/76-2 (ED 139303, 384p.)
State Budgeting for Higher Education: InforMation Systems and
Technical Analyses, Ralph A. Purves and Lyman A. Glenny, 15:1.2/
76-5 (ED 134114, 246 pp.)
State Budgeting for Higher Education: Interagency Conflict and
Consensus, Lyman A. Glenny, 15:1.2/76-3 (ED 132940, 186 pp.)
State Budgeting for Higher Education: State Fiscal Strinrency and
Public Higher Education, Frank M. Bowen and Lyman A. Glenny,
15:1.2/76-1 (ED 159978, 279 pp.)
State Budgeting for Higher Education: The Political Economy of the
Process, Frank A. Schmidtlein and Lyman A. Glenny, 15:1.2/77 -(ED
738171, 290 pp.)
Stale Budgeting for Higher Education: The Uses of Formulas, Richard
J. Meisinger, 15:2.0/76-1 (ED 132963, 283 pp.)
State Financial Measures Involving the Private Sector of Higher
Education, William H. MacFarlane, A. E. Dick Howard, and la
Chronister, 8:1.0/74 (ED 101605, 108 pp.)
Stat.4 Fiscal Constraints in Higher Education, William hyde, 15:1.2/
I (ED 198760, 22 pp.) .

State-Level Academic Program Reviews in Higher Education, Robert

.1. Barak and Robert O. Berdahl, 9:4.0/77-2 (ED 158638, 141 pp.)
State-Level Postsecondary Education Financial Report, Richard H.
Allen, 10:2.2/78
Statement on Health Rights and Responsibilities of Members of the
College and University Community, ACHA, 37:5.0/69
'State Need-Based College Scholarship and Gradt Programs: A Study'
of Their D elopment 1969-1980, Robert Fenske and Joseph D. Boyd,
a 17:5.0/80-1
State of Academic Science, Volume I: The Universities in the Nation's
Research Effort, Bruce L. R. Smith and Joseph J, 14irlesky, 14 :2.0/77-
2 (ED 152510, 258 pp.)

732
76
State of Academic Science: Volume 2Background Papers, Bruce L.
R. Smith and Joseph J. Karlesky, 14:2.0/78
State Officials and Higher Education: A Survey of the Opinions and
Expectations of Policy Makers in Nine States, Heinz Eulau and
Harold Quinley, 12:1.2/70
State Planning System Documents, Roger Bassett et al., 10:3.0/77
State Policy Research at the University of Illinois, Samuel K. Gove and
Richard A. Zollinger, 14:3.0/78
State Postsecondary Education Profiles Handbok, Nancy.M. Berve,
12:4.1/A-7
States and Graduate Education, Education Commission of the States,
12:1.4/75-2 (ED 101644, 37 pp.)
States and Higher Education: A Proud Past and a Vital Future, and
Commentary Supplement, Carnegie Foundation for the Advancement
of Teaching, 12:1.2/76-2 (ED 129129, 75 pp.)
States and Private Higher Education: Problems and Policies in a New
Era, Carnegie Council on Policy Studies in Higher Education, 5:4.3/77
Statewide Coordination of Higher Education, Robert O. Berdahl, 6:2.0/
71-1
Statewide Longitudinal Study: Report on Academic Year 19784979,
RusSell Hunter and M. Stephen Sheldon, 22:2.2/79-2 (ED.180530,
86 pp.)
Statewide Measures Inventory, PaufWing, James McLaughlin, and
Katherine Allman, 10:2.1/75 (ED 093254, 375 pp.)
Statewide Planning in Higher Education, D. Kent Hagtead, 12:2.0/74
(EDT/96914, 836 pp.)
"Statewide Reallocation Through Progrpm Priorities," Edward E.I.
Flentje and Steven B. Sample, 15:1.2/73-1
Statewide Space SurveyA Survey of the Amount and Utilization of
the Space Available for Higher Education in Illinois, Fall Term
1979, State Board of Higher Education, 26:1.5/80
Status of 'AAUP Policy', W. Todd Furniss, 26:2.2/S-2
Steady-State Staffing in Tenure-Granting Institutions, and Related
Papers, W. Todd Furniss, 26:2.3/73-2
Strategic Planning and Budgeting for Higher EduCation, John L.
Green, Jr., Devendra P. Naggar, and Richard S. Ruch, 29:2.5/79-4
Strategic Planning for Colleges and Universities, John C. Merson and
Robert L. Qualls, 29:2.5/79-3
Strategic Policy Changes at'Private Colleges, Richard E. Anderson;
8:2.0/77-3
Strategic Policy Planning: A Guide for College and University A-
dministrators, Robert G. Cope, 31:1.0/78-1
Strategies for Budgeting, George Kaludis, 29:2.2/73-1

733

762
 Systems Approach to Community College Education, David Barbee,
22:3.1/72
Systems of Higher Education: Australia, Bruce Williams, 1:0/78-6
Systems of Higher Education: Canada, Edward Sheffield, et al., 1:0/784
Systems of Higher Education: Federal Republic of Germany, Hansgert
Peisert and Gerhild Framheim, 1:0/78-8
Systems of Higher Education: France, Alain Bienayme, 1:0/78-3
Systems 'of Higher Education: Japan, Katsuya Narita, 1:0/78-7
Systems of Higher Education: Sweden, Rune Premfors and Berth!
Ostergren, 1:0/78-5
Systems of Higher Education: United Kingdom, Tony Becher, 1:0/77-1

Taft Corporate Foundation Dirt.....sey, Jean Brodsky, 28:3.5/77

Taft Trustees of Wealth: A Biographical Directory of Private
Foundation and Corporate. Foundation Officers, James K.
Hickey, 28:3.5/79
Tax Economics of Charitable Giving, Arthur Anderson, 28:3.4/79
Tax Wealth in Fifty States, D. Kent Halstead, 5:6.0/78
Teachers and Students: Aspects of American Higher Education,
Maitin'Trow, 26:1.0/5
Teachers for Tomorrow: Staff Development in the Godnunity-
Junior Colleges, Terry O'Hanioti, 22:2.1/72-2.
Teaching Basic Skills in College, Alice Steviart Trillin, 4:5.0/80
"Teaching in the Health Professions," Charles W. Ford and
Margaret Morgan, 27:2.5/77
Teaching-Learning Experiences for College Students and Other
Adults: A Selected Annotated Bibliography, Robert J. Menges,
38:4.0/79
Teaching of Ethics in the American Undergraduate Curriculum,
1876-1976, Douglas Sloan, 7:5.0/80
Teaching Strategies for the College Classroom, James R. Davis,
38:2.0/76
Teaching Students, Donald Bligh, G. J. Ebrahim; Dav;d Jaques,
David Warren Piper, 38:1.0/75-2
Teaching Tips: A Guidebook for the Beginning College Teacher,
Wilbert J. McKeachie, 38:1.0/78-2
Technology and the Management of Instruction, Robert Heinich,
25:1.0/70
Tenure and Termination in Financial Exigency: Report No. 3,
Marjorie C. Mix, 26:2.3/78 (ED 152222, 37 pp.)
734
7 63
Test, Walter Adams, 32:3.0/80-2
"Testing.the Education Screening Hypothesis," John G. Riley,
3:4.0/79-1
Theatres and Auditoriums, Harold Burris-Meyer and Edward C.
Cole, 21:3.0/64
Theoretical Maximum Scheduling and Utilisation of Ciamrooms, .

Harlan D. Bareither, 36:1.3/69

Theories for Teaching, Lindley J. Stiks, 38:1.0/74
Theories of Career Development, Samuel H. Osipow, 18:1.0/73-2
Theory in Practice: Increasing Professional Effectiveness, Chris
Argyris and Donald A. Schorr, 30:3.0/74
Third Century: Twenty-Six Prominent Americana Speculate on
the Educational Future, Cullen MOty, 12:1.1/77-1
Three "R's" of the Eighties: RWu, Reallocadon and Re-
trendunent, Kenneth P. Mortimer and Michael L. Tierney, 29:2.3/
79-2 (ED 172642, 93 pp.)
Three Thousand Futures: The Next Twenty Years for Higher
&location, 12:1.1/80 (ED 183076, 175 pp.)
Through the Open Door: A Study of Enrolknent and Perfornmece
in California's Community Colleges, Dorothy Knoell et al.,
22:2.2/76 (ED 119752, 82 pp.)
Tilton V. Richardson, The Search for Sectarianism in Education,
Charles H. Wilson, Jr., 8:2.0/71 (ED 055552, 59 pp.)
Time Saver Standards for Building Types, Joseph Demme and
John HancOck Callender, 21:3.0/73
To Improve 'Learning: An Evaluation of Instructional Technology,
Sidney G. Tickton, 25:2.0/70
"To Tell the Truth," Fred Hechinger, 28:2.3/78-1
To Turn the Tide, Paul C. Reinert, 8:2.0/72
Toward a Federal Policy on Education and Work, Barry E. Stern,
18:2.0/77-3 (El) 151579, 183 pp.)
Toward Affirmadve Action, Lucy W. Sells, 26:2.5/74-2
Toward a Long-Range Plan for Federal Flnandal Support for
Higher Education, U.S. Department of Health, Education, and
Welfare, 17:1.0/69 (ED 038102, 80 pp.)
Toward a National Program for Library and Information Services:
Goals for Action, NCLIS, 33:4.0/75 (ED 107312, 115 pp.)
Toward a Postsecondary Education Data Core, Marilyn McCoy, .

10:2.2/77-1
Toward a Public Policy for Graduate Education in the Sciences,
National Science Foundation, 9:1.4/69-2 (ED 032018, 77 pp.)
Toward Equal Access, Humphrey Doemunn, 17:1.0/78-2 (ED
159995, 153 pp.)

735

74
 Toward Faculty Renewal: Advances in Faculty, Instructional, and
Organizational Development, Jerry G. Gaff, 26:3.2/75
Toward Reform of Program Evaluation, Lee J. Cronbach et al.,
9:4.0/80-7 Traisfer Students in institutions of Higher Educa-
tion, Samuel S. Peng, 19:1.0/78-2 (ED 150927, 78 pp.)
"Transformation of American;Academic life: Harvard University
1821-1892," Robert A. McCaughey, 7:7.0/74-2
Trends in the Organization of Academic Research: The Role of
ORU's and Full -Time Researchers, Albert H. Teich, 14:1.0/78-2
Trusteeship: Handbook for Community College and Technical
lastitute Trustees, George E. Potter, 22:1.2/77 (ED 201368,
180 pp.)
Tuition, Carnegie Commission Staff, 29:1.2/74
Twelve Systems of Higher Education: Six Decisive Issues, Clark
Kerr, et al., 1:0/78-1
Two-Year College and Its Students: An Empirical Report, ACT,
22:2.2/69 (ED 035404, 152 pp.)
Two-Year College Instructor Today, Arthur M. Cohen and Florence
B. Braver, 22:2.1/77

Uncertain Glory, Frederic W. Ness, 32:3.0/71

Uncertain Profession: Harvard and the Search for Educational
Authority, Arthur G. Powell, 7:2.0/80-1
Unconscious Conspiracy: Why Leaders Can't Lead, Warren
Bennis, 32:1.0/76-2
Underemployed Ph.D.'s, Lewis C.'Sohnon, Laura Kent, Nancy L.
Ochsner, and Margo-Lea Hurwicz, 18:5.0/81
"Undergraduate Achievement and Institutional 'Excellence',"
Alexander W. Astin, Science, Vol. 161, 16:1.1/68
Understanding Joint Production Processes: A Convex Hull Ap-
proach, Robert G. Gray, 13:3.1/77-1,
Understanding the College Budget, Gerald P. Rrbins, 29:2.1/73
(ED 078732, 85 pp.)
Understanding Student and Faculty Life, Leonard L. Baird, Rodney
T. Hartnett et al., 37:1.0/80-2
Unions on Campus, Frank R. Kemerer and J. Victor Baldridge,
26:4.3/75 -3
U.nitarbus Conscience: Harvard Moral Philosophy, 1805-1861,
Daniel Walker Howe, 7:7.0/70
736
Universal Higher Education: Costs, Benefits, Options, Logan
Wilson and Olive Mills, 29:1.1/72
"Universities and Disciplines," Alvin Weinberg, 14:1.0/67
University Admissions: Dilemmas and Potential, Carol Shulinalf,
19:1.0/77-2 (ED 146826, 60 pp.)
University and Government in Mexico: Autonomy hi an Authori-
tarian System, Daniel C. Levy, 1:0/80-1
University and the Inner CU, W. Franklin Spikes, 9:1.3/80
University As an Organization, James A. Perkinif.,6:1'.0/73
University Costs and Outputs, Donald Verry and Bleddyn Davies,
3:2.3t76-2
"University Housing: A Healthy Learning Laboratory," Ben
Barger and Ann Q. Lunch, 37:3.0(73 .

University in in Urban Environment, Nicholas Abercrombie et al.,

9:1.4/73-2
University in the National Future, Thomas B. Stroup, 11:2.1/66
University Library Administrator, Rutherford D. Rodgers and David
C. Weber, 33:1.0/71
'Universky Library in the United States: Its Origins and Devel-
, opulent, Arthur T. Hamlin, 7:1.0/81
University of Kansas: A History, Clifford S. Griffin, 7:2.0/74-2
University Planning and Management Techniques, Geoffrey
Lockwood, 29:2.5/72
University Space Planning, Harlan D. Barcither and Jerry L.
Schillinger, 36:1.4/68-1 .

Upper Division College, Robert A. Altman, 9:1.3/70

Urban Universities in the Eighties: bans in Statewide Planning,
Steven H. Smartt, 9:1.3/81 (ED 262407, 72 pp.)
US. Faculty After the Boom: Demographic Projections to 2000,
Luis Fernandez, 2:2,1/80-1 (ED 165618, 192 pp.)
U.S. Higher Education: A Guide to Information Sources, Franklin
Parker, 12:4.1/80
Useful. Arts and the Liberal Tradition, Earl F. Cheit, 24:2.2/75
Usefulness of AAUP Policy Statements, Ralph S. Brown, Jr. and
Matthew W. Finkin, 26:2.2/S-3
User Needs: An Empirical Study of College and University'
Financial Reporting, K. Fred Amen, et al., 20:1.2/75
Uses of the University, Clark Kerr, 11:2.1/63 .

Uses of the University: With a. "Postscript 1972," Clark Kerr,

32:1.0/72-2
"Using Computer-bailed Planning Models," Daniel A. Updegrove,
10:1.0/81
Using Facility Audits for Deferred Maintenance, William J. Griffith,
36:2.3/81-2

737

766
 Using Goals in Research and Planning, Robert H. Fenske, 31:2.0/
78
Using the Mass Media, Arthur V. Ciervo. 28:2.3/79-1

Value of Uniform Financial Data for the 'Institution and the State:
A Case Study, Douglas J. Collier, 10:1.0/80 (ED 192666, 57 pp.)
Values, Ethics,-and Standards in Evaluation; Robert Perloff and
Evelyn Perloff, 9:4.0/80-8
"Varieties of Accomplishment After College: Perspectives on the
Meaning of Academic Talent," Leo A. Munday and Jeanne C.
Davis, 16:1.3/74-1 (ED 092000, 23 pp.)
Venture Capital of Higher Education, Martin Kramer, 5:5.0/80 (FD
189976, 94 pp.)
"Vert Ideal of a University," Harold Aldennan, 11:2.1/73-1
Veterans' Educational Benefits: Imes Concerning the G.L_Bill,
17:4.0/78 (ED 165616, 66 pp.)
Vocational Education: Alternatives for New Fe-derid Legislation,
Pamela H. Christoffel, 9:1.4/75-3 (ED 11731963, pp.)
Voluntary Organisations in America and the Devdopment of
Educational Accreditation,Tred Harcleroad, 9:4.0/80;9 (ED
1.94013,-33 pp.)
Voluntary Support of Education, 19, Council for Financial Aid to
Education, 5:6.0/A-3-(ED 140450, 132 pp.; ED 140451, 141 pp.)

w
"Wanted: A Comprehensive Model of Healthy Development,"
umglas H, Heath, 37:5.0/80 .

Happened to State Budgeting?, S. Kenneth Howard and

'a A. Grizzle, 15:1.2/72-1
StSt Works in Student Retention, Philip E. Beal and Lee Noel,
19:2.0/80-2 (ED 180348, 34 pp.)
Where Colleges Are and Who Attends, Effects of Accessibility on
College AttendanCe, C. Arnold Anderson, Mary Jean Bowman and
Vincent Tinto, 9:1.4/72-2 ,

Who Pays? Who Benefits?, College Scholarship Service, College

Entrance Examination Board, 17:4.0/742 (ED 096924, 109 pp.)
Why Planning, programming, Budget* Systems for Higher Ed-
ucation?, James Fanner, 15:3.0/70-1 (ED 063860, 28 pp.)
738
 tit

why Women Earn Lei: The Theory and Estimation of Differ-

higialOverqualifIcation, Robert H. Frank, 3:2.2/78
Women and SOW From Myth to Reality, Carole A. Oglesby,
37:6.0/78-2
Women in Academe: Steps to Greater Equality, Judith M. Gappa
and Barbara S. Uehling, 4:6.0/79 (ED 169873, 97 pp,)
Women in Community and Junior Colleges: Report of a Study on
Access to Occupational Eiducation, Carol Eliason, 22:2.2/77 (ED
148429, 69 pp.) -
Women in Higher Education, W...Todd Furniss and Patricia Albert
Graham, 4:6.0/77
Woodrow Wilson: The Academic YearstHenry Wilkinson Bragdon,
7:6.0/67
Work, Learning, and the American Future, James O'Toole, 18:3.0/
77-1
Working, Studs Terkel, 37:2.0/75-2

Yale, a History, Brooks Mather Kelley, 7.:2.0/74-1

Yearbook of Special Education, Glen R. Thompson, 4:4.0/A
Young Doctorate Faculty in Selected Science and Engineering
I
Departments, 1975 to 1980; Frank J. Atelsekatrid Irene C.
Gqinberg, 26:2.1/76 (ED 129136, 38 40)

Zero-Base Budgeting: A Practical Management Tool for Evalu-

ating Expenses; Peter A. Pyhrr, 154.0/73
Zero-Base Budgeting in College:5,mnd 'Universities, L. James
Harvey, 29:2.2/72-2
"Zero-Base Budgeting in Georgia State Government: Myth and
Reality," Thomas P. Lauth, 15:4.0/78(ED 164019, 58 pp.)

139
768
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