Social Inclusion Practices of Elite Universities in Australia and Malaysia: A Comparative Perspective A thesis submitted in fulfilment of the requirements for the degree of Doctor of Philosophy (Management) Rosmi Yuhasni Mohamed Yusuf M.A, University of Nottingham BBA (Hons), MARA University of Technology School of Management College of Business RMIT University July 2015 Declaration I certify that except where due acknowledgement has been made, the work is that of the author alone; the work has not been submitted previously, in whole or in part, to qualify for any other academic award; the content of the thesis is the result of work which has been carried out since the official commencement date of the approved research program; any editorial work, paid or unpaid, carried out by a third party is acknowledged; and, ethics procedures and guidelines have been followed. Rosmi Yuhasni Mohamed Yusuf 27 July, 2015 i ACKNOWLEDGEMENTS Alhamdulillah. All praises to the God, to whom I pray and seek guidance, for giving the strength and his blessing in completing this thesis. I wish to express my greatest gratitude to the following people who have inspired and supported my research journey.
My supervisors, Associate Professor Sharif As-Saber and Dr Warren Staples, gave continuous guidance, support and encouragement that were vital throughout this difficult but rewarding journey. The supervisory characteristics of Associate Professor Sharif were calm, cool, understanding and undoubtedly sharp, whilst Dr Warren were typically sceptical, meticulous, critical, tough, uncompromising at times and truthfully observant. Nevertheless their informative suggestions, moral support and constructive criticism on this thesis have trained me to be a better academic writer, more critical, yet realistic researcher. My main sponsors, the Ministry of Higher Education Malaysia and MARA University of Technology (UiTM), are thanked for providing me the opportunity to enhance my academic career.
I am indebted to officers working at the elite universities where crucial information and data were obtained. Also, a special thanks to the following academics for their guidance and valuable supports: Professor Michael Cuthill, Professor Morshidi Sirat, Professor Fauziah Hassan, Dr John Lenarcic, Dr Caroline Tan, Professor Adela McMurray, Dr Nattavud Pimpa, Dr Malcolm Macintosh, Professor Geoffrey Stokes, Rosdin and Dr Nthati Rametse. ii The staff in Business Research Office and the School of Management, RMIT University, in particular Miss Prue Lamont, Mrs Kalpana, Mrs Elizabeth Pufek and Mrs Dini Darma Putri for providing a conducive research environment and general support. I also thank Dr Jeffrey Keddie from Monash University for providing necessary support during the editing stages of this thesis.
I am indebted to the doctoral ‘comrades’ I met during my PhD journey, for their friendship and support, especially to my respected doctoral ‘brothers’ and ‘sisters’: Khalid Hossain, Ibrahim Al- Hawas, Imran, Masood, Fahreena, Huong Nguyen, Viet Tran, Siti Masliza, Ilya, Wan Norohaini, Matara, Wajeeha, Rabin, Kuzah, Ploy, Sarunyoo and Ahmad Fadhly. Also to my Australian mates: Jacob, Sam Perry, Hith and Shafizal for providing me with the entertainment needed when I was on occasional research break. Finally, I would like to acknowledge all participants in this research who were willing to spend their precious time and energy and to share their insightful thoughts and experience. iii DEDICATION This thesis is dedicated to my parents, siblings, fiancée and especially to my late father, Mohamed Yusuf Hassan (1934-2010), who he himself was a teacher by profession.
He inspired me to be an academic, raised me with good civic and cultural values and shared his life experience to face this challenging life. I pray to Allah for your blessing in the hereafter life. My heartfelt dedication and thanks to my beloved mother, Norsiah Hasan, for her unconditional love and sacrifice, especially at times when I was in difficulties. She will be ultimately proud of this milestone.
To my dearest siblings, Rosdi and Roswani. To my fiancée, Wan Nurfarahin, I hope that this thesis may inspire you to excel in your postgraduate journey. iv TABLE OF CONTENTS Statement of Authorship .iv Table of Contents .v List of Tables .xi List of Figures .xii List of Abbreviations .xiv List of Publications .xvii CHAPTER 1 INTRODUCTION 1 1.1 Background of the Research 1 1.2 Rationale for the Research 4 1.3 The Context of the Research 6 1.1 The Australian Context 8 1.2 The Malaysian Context 14 1.4 Defining Social Inclusion 19 1.5 Research Objectives and Questions 21 1.6 Approaches to the Inquiry 22 1.7 Thesis Structure 22 CHAPTER 2 SOCIAL INCLUSION IN HIGHER EDUCATION 24 2.1 Social Inclusion in Education 24 2.2 Key Elements of Social Inclusion 29 2.2 Access and Selection Activities 32 2.3 Participation and Completion Activities 36 2.3 Summary 39 v CHAPTER 3 THEORETICAL FOUNDATION AND THE CONCEPTUAL FRAMEWORK 40 3.1 The Higher Education Sector as an Open System 41 3.1 Organisational Adaptation in Higher Education 44 3.2 Strategic Neo Institutionalism-Oriented Theories 48 3.2 Strategic Responses to Institutional Processes 59 3.3 Development of the Conceptual Framework 64 3.1 Values and Belief Systems 64 3.2 Logic of a Government in Higher Education 66 3.3 Logic of the Market in Higher Education 77 3.1 Competition and Reputation 79 3.4 A Synthesis of the Literature 87 3.5 Conceptual Framework of the Research 88 3.6 Overview of the Theories Underpinning the Research 90 3.9 Criteria for Data Collection and Analysis 96 3.1 Extent of Strategic Adaptation 99 3.2 Key Elements of Social Inclusion Practices 100 3.10 Summary 101 CHAPTER 4 METHODOLOGY 103 4.1 Nature and Approach of the Research 104 4.1 Theoretical Research Paradigm 104 4.2 The Researcher of the Study 107 4.2 Methodology of the Research 108 4.2 Case Study Research Design 110 4.3 Theoretical Justification on the Selection of Cases 113 4.1 Elite Universities as a Sample Case 115 4.2 Triangulation: Government Officers 119 4.3 Triangulation: Academic Experts 120 4.1 In-Depth Face-to-Face Semi-Structured Interviews 121 4.2 In-Depth Telephone Semi-Structured Interviews 123 4.3 Critical and Reflective Process of Interviews 123 4.5 Design of the Interview Questions 125 4.6 Trustworthiness and Credibility of the Research 127 vi 4.2 Interview as a Method of Triangulation and Verification 128 4.3 The Elements of Transferability, Dependability and Conformability 128 4.9 Summary 132 CHAPTER 5 PRESENTATION OF DATA: CASE RESULTS AND ANALYSIS (AUSTRALIA) 133 5.1 Overview of Case A1 (Elite University Australia 1) 133 5.1 Demographic of Interviewees 135 5.2 The Effect of Government Policy Frameworks 136 5.5 Participation and Completion 142 5.2 Problems of Adaptation 144 5.3 Emerging Pattern of Adaptation 147 5.3 The Effect of Higher Education Market Features 150 5.1 Competition and Reputation 151 5.2 Problems of Adaptation 156 5.3 Emerging Pattern of Adaptation 157 5.4 Overview of Case A2 (Elite University Australia 2) 160 5.1 Demographic of Interviewees 162 5.5 The Effect of Government Policy Frameworks 163 5.5 Participation and Completion 172 5.2 Problems of Adaptation 175 5.3 Emerging Pattern of Adaptation 178 5.6 The Effect of Higher Education Market Features 180 5.1 Competition and Reputation 181 5.2 Problems of Adaptation 186 5.3 Emerging Pattern of Adaptation 187 5.7 Summary 189 vii CHAPTER 6 PRESENTATION OF DATA: CASE RESULTS AND ANALYSIS (MALAYSIA) 190 6.1 Overview of Case M1 (Elite University Malaysia 1) 190 6.1 Demographic of Interviewees 192 6.2 The Effect of Government Policy Frameworks 193 6.4 Participation and Completion 201 6.2 Problems of Adaptation 203 6.3 Emerging Pattern of Adaptation 205 6.3 The Effect of Higher Education Market Features 207 6.1 Competition and Reputation 208 6.2 Problems of Adaptation 215 6.3 Emerging Pattern of Adaptation 216 6.4 Overview of Case M2 (Elite University Malaysia 2) 218 6.1 Demographic of Interviewees 220 6.5 The Effect of Government Policy Frameworks 221 6.4 Participation and Completion 228 6.2 Problems of Adaptation 230 6.3 Emerging Pattern of Adaptation 232 6.6 The Effect of Higher Education Market Features 234 6.1 Competition and Reputation 234 6.2 Problems of Adaptation 239 6.3 Emerging Pattern of Adaptation 240 6.7 Summary 242 CHAPTER 7 CROSS-CASE ANALYSIS (AUSTRALIA AND MALAYSIA) 243 7.1 Cross-Case Analysis (Australia) 243 7.1 Adaptation to Government Policy Frameworks 244 7.1 Similarities Across Cases 244 7.2 Differences Across Cases 247 7.3 Evidence from Document Analysis 248 viii 7.2 Adaptation to Higher Education Market Features 251 7.1 Similarities Across Cases 252 7.2 Differences Across Cases 253 7.3 Evidence from Document Analysis 254 7.2 Cross-Case Analysis (Malaysia) 256 7.1 Adaptation to Government Policy Frameworks 256 7.1 Similarities Across Cases 259 7.2 Differences Across Cases 255 7.2 Adaptation to Higher Education Market Features 260 7.1 Similarities Across Cases 261 7.2 Differences Across Cases 263 7.3 Cross-Country Analysis (Australia and Malaysia) 265 7.1 Adaptation to Government Policy Frameworks 266 7.1 Similarities Across Countries 266 7.2 Differences Across Countries 267 7.2 Adaptation to Higher Education Market Features 270 7.1 Similarities Across Countries 271 7.2 Differences Across Countries 273 7.4 Major Findings from Cross-Country Analysis 273 7.5 Summary 275 CHAPTER 8 DISCUSSION OF FINDINGS 277 8.1 Analysis and Answer to Sub-Proposition P1.2 Analysis and Answer to Sub-Proposition P1.3 Analysis and Answer to Sub-Proposition P2.4 Analysis and Answer to Sub-Proposition P2.5 Analysis and Answer to General Proposition P1 294 8.6 Analysis and Answer to General Proposition P2 297 8.7 Answer to Global Proposition P 299 8.2 Conclusion 302 CHAPTER 9 CONCLUSION 304 9.1 Overview of the Thesis 304 9.2 Answers to the Research Questions 306 9.3 Core Findings of the Research 311 9.1 Social Inclusion Practices of the Australian Elite Universities 311 ix 9.2 Social Inclusion Practices of the Malaysian Elite Universities 313 9.4 Policy Implications and Recommendations 317 9.1 Adaptation Model for the Elite Universities 317 9.2 Benchmark for Social Inclusion 320 9.5 Key Contributions to the Literature 321 9.7 Directions for Future Research 325 9.8 Concluding Remarks 326 References 328 Appendices 373 Appendix A: Plain Language Statement for Face-to-Face Interview 373 Appendix B: Informed Consent Form 376 Appendix C: Ethics Approval from RMIT University 377 Appendix D: The Interview Guide 378 Appendix E: Sample of Interview Transcript and Coding (Malaysia) 380 Appendix F: Sample of Interview Transcript and Coding (Australia) 382 x LIST OF TABLES Table 1.1: Australian and Malaysian Tertiary Education Sector 7 Table 3.1: Links Between Theories and Adaptation Behaviour 92 Table 3.2: Matrix of Sub-Propositions and Verifiable Indicators (1) 95 Table 3.3: Matrix of Sub-Propositions and Verifiable Indicators (2) 95 Table 3.4: Extent of Strategic Adaptation 99 Table 3.5: Essential Components of Social Inclusion for Data Analysis 99 Table 4.1: Key Informants of the Research 121 Table 4.2: Research Questions and the Corresponding Themes 127 Table 5.1: Profiles of Interviewees for Case A1 135 Table 5.2: Profiles of other Interviewees for Case A1 135 Table 5.3: Impact of the Government Policy Frameworks on A1 Adaptation 147 Table 5.4: Impact of Higher Education Market Features on A1 Adaptation 157 Table 5.5: Profiles of Interviewees for Case A2 162 Table 5.6: Profiles of other Interviewees for Case A2 163 Table 5.7: Impact of the Government Policy Frameworks on A2 Adaptation 178 Table 5.8: Impact of Higher Education Market Features on A2 Adaptation 187 Table 6.1: Profiles of Interviewees for Case M1 192 Table 6.2: Profiles of other Interviewees for Case M1 192 Table 6.3: Impact of the Government Policy Frameworks on M1 Adaptation 205 Table 6.4: Impact of Higher Education Market Features on M1 Adaptation 216 Table 6.5: Profiles of Interviewees for Case M2 220 Table 6.6: Profiles of other Interviewees for Case M2 221 Table 6.7: Impact of the Government Policy Frameworks on M2 Adaptation 232 Table 6.8: Impact of Higher Education Market Features on M2 Adaptation 240 Table 7.1: Impact of the Government Policy Frameworks on A1 & A2 Adaptation 244 Table 7.2: Documentation of Social Inclusion Features 250 Table 7.3: Impact of Higher Education Market Features on A1 & A2 Adaptation 251 Table 7.4: Impact of the Government Policy Frameworks on M1 & M2 Adaptation 256 Table 7.5: Impact of Higher Education Market Features on M1 & M2 Adaptation 260 Table 7.6: Government Policy Frameworks and Cross-Countries Adaptation 266 Table 7.7: Higher Education Market Features and Cross-Countries Adaptation 270 Table 8.1: Summary of Findings Related to Research Propositions 302 Table 9.1: Proposed Ranking and Classification of Public Universities 320 xi LIST OF FIGURES Figure 1.