Systemic and Climate Diversity in Ontario’s University Sector

By

Pierre Gilles Piché

A thesis submitted in conformity with the requirements

for the degree of Doctor of Philosophy Department of Leadership, Higher and Adult Education

Ontario Institute for Studies in Education, University of Toronto

©Copyright by Pierre Gilles Piché (2014)

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Systemic and Climate Diversity in Ontario’s University Sector

Pierre Gilles Piché

Doctor of Philosophy

Department of Leadership, Higher and Adult Education

University of Toronto

2014

ABSTRACT

The extent and nature of institutional differentiation is a design choice among many

that must be considered by policymakers not only when developing a higher education

system but also when introducing policy changes to an existing system. Modifications to

the design of Ontario’s higher education system have been suggested over the years in an

effort to increase its quality (instruction and research) and accessibility in a cost effective

manner. The fiscal climate of restraint has recently intensified the debate for structural

changes through increased institutional differentiation in Ontario’s higher education system.

Institutional diversity was examined using a mixed research method in two phases.

This study first used hierarchical cluster analysis which suggested that there has been very

little change in diversity between 1994 and 2010 as universities were clustered in three

groups for both 1994 and 2010. However, by adapting Birnbaum’s (1983) diversity matrix

methodology to Ontario’s university sector, there appears to have been a decrease in

systemic diversity (differences in the type of institution and size of institution) and climate

diversity (differences in campus environment and culture) between 1994 and 2010 and a

projected further decrease to 2018.

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The second phase of this study used policy analysis and drew on mutually related

theoretical perspectives from organizational theory as its primary conceptual framework to

interpret and corroborate the decrease in diversity between 1994 and 2010. Interviews were

also conducted with university presidents to gain a greater understanding of the key factors

or barriers in Ontario’s reticence in proposing design changes in its higher education system.

Having been informed by the policy analysis, interviews and projections of the extent of

diversity to 2018, the study proposed a diversity policy for Ontario’s university sector.

Diversity can be increased in Ontario’s university sector by providing institutions

with competitive incremental funding allocations within each of three clusters that would

specifically address government diversity objectives through a revised strategic mandate

agreement process. Additional research funding should also be provided by the federal

government to a limited number of research-intensive universities to ensure that Canadian

institutions remain competitive on the world stage.

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DEDICATION To MICHAEL C. CROCK (1965-2012) - You shared so many of my successes my friend! You were always there for me.

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ACKNOWLEDGMENTS

I was motivated to embark on this doctoral journey after completing my final paper

for Professor Michael Skolnik’s Institutional Differentiation course. Professor Skolnik’s

kind words inspired me to use his class paper as the foundation for this project and marked

the beginning of my transformative journey.

I would first like to acknowledge and thank the members of my thesis committee:

my supervisor Professor Glen Jones, for his valuable guidance, direction and thoughtful

advice; Professor Michael Skolnik who provided thought-provoking suggestions that

contributed to the overall quality of this dissertation; and Dr. Stacey Young who challenged

me to think through the many policy issues. I would also like to thank Professor Fallis, who

kindly agreed to be my external reviewer, for all of his thoughtful comments.

I would also like to acknowledge my direct report, Ms. Sheila Brown, Chief

Financial Officer at the University of Toronto, for her many words of encouragement while

I was undertaking my Master’s and PhD studies, and for providing me with flexible work

arrangements that allowed me to immerse myself in this rewarding student experience.

I also owe a large debt of gratitude to my peers, Dr. Patricia Gaviria and Mr. Jack

Lee, for sharing their experiences and wisdom as they progressed through their own doctoral

journey. Thank you both for listening when I dominated many of our conversations.

My doctoral journey could not have been completed without the patience, support

and understanding of my partner Louis Giofcos, who always encourages me to follow my

passion for higher education administration and lifelong learning.

Finally, I would like to acknowledge the valuable contributions of the participants

who were interviewed for this study. I valued each and every one of your contributions and

insights into Ontario’s higher education landscape.

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TABLE OF CONTENTS ABSTRACT ............................................................................................................................ ii

DEDICATION....................................................................................................................... iv

ACKNOWLEDGMENTS ..................................................................................................... v

TABLE OF CONTENTS ..................................................................................................... vi

LIST OF TABLES ................................................................................................................ xi

LIST OF FIGURES ............................................................................................................xiii

LIST OF APPENDICES .................................................................................................... xiv

CHAPTER I: INTRODUCTION ......................................................................................... 1

Thesis outline ....................................................................................................................... 1

Overview of Ontario’s higher education sector ................................................................... 2

Policy debate about diversity in Ontario .............................................................................. 4

Report of the Committee on the Future Role of Universities in Ontario (Fisher Committee)........................................................................................................................ 5

Commission on the Future Development of the Universities of Ontario (Bovey Commission) ..................................................................................................................... 6

Ontario Council on University Affairs – Sustaining Quality in Changing Times, Funding Ontario Universities ........................................................................................... 8

Advisory Panel on Future Directions for Postsecondary Education ............................... 9

Post-secondary Education Choice and Excellence Act .................................................. 11

Ontario: A Leader in Learning ....................................................................................... 12

The Benefits of Greater Differentiation of Ontario’s University Sector ........................ 14

Commission on the Reform of Ontario’s Public Services (Drummond Report) ............. 18

University group and alliances....................................................................................... 21

Rationale for the study ....................................................................................................... 23

Research questions ............................................................................................................. 30

Limitations of the study...................................................................................................... 30

CHAPTER II: LITERATURE REVIEW ......................................................................... 31

Introduction ........................................................................................................................ 31

Diversity, diversification and differentiation defined ........................................................ 31

Neo-liberal political framework ......................................................................................... 34

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Policy instruments and design ............................................................................................ 37

Theoretical frames used to explain differentiation and diversity in higher education systems ............................................................................................................................... 38

Classification and typologies in higher education.............................................................. 45

Classification of higher education systems or sectors.................................................... 46

Classification of higher education institutions ............................................................... 47

Conclusion .......................................................................................................................... 53

CHAPTER III: RESEARCH METHODOLOGY ............................................................ 54

Introduction ........................................................................................................................ 54

Quantitative methodology .................................................................................................. 55

Defining the university sector in Ontario ........................................................................... 60

Operationalization of the variables – Systemic diversity ................................................... 64

Institutional size .............................................................................................................. 64

Classifying institutions by type ....................................................................................... 66

Operationalization of the variables – Climate diversity ..................................................... 69

Enrolment profile ............................................................................................................ 69

Undergraduate profile .................................................................................................... 71

Student-faculty contact ................................................................................................... 72

Qualitative methodology .................................................................................................... 73

Selection of participants ................................................................................................. 74

Data collection ............................................................................................................... 75

Limitations of qualitative methodology .......................................................................... 77

Conclusion .......................................................................................................................... 77

CHAPTER IV: QUANTITATIVE ANALYSIS ................................................................ 78

Introduction ........................................................................................................................ 78

Hierarchical cluster analysis............................................................................................... 78

Diversity matrix analysis .................................................................................................... 81

Distribution of institutions by variable ........................................................................... 83

Categorization of institutions into types ......................................................................... 88

Conclusion .......................................................................................................................... 93

CHAPTER V: FEDERAL POLICY ENVIRONMENT .................................................. 94

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Introduction ........................................................................................................................ 94

Ontario’s environmental conditions ................................................................................... 95

Federal government policies .............................................................................................. 97

National granting councils ............................................................................................. 98

Canada Research Chairs Program .............................................................................. 103

Canada Excellence Research Chairs Program ............................................................ 105

Knowledge Infrastructure Program ............................................................................. 107

Conclusion ........................................................................................................................ 109

CHAPTER VI: PROVINCIAL POLICY ENVIRONMENT ........................................ 110

Introduction ...................................................................................................................... 110

Provincial government policies ........................................................................................ 110

Basic operating formula grant ..................................................................................... 112

Tuition fees ................................................................................................................... 116

Capital funding ............................................................................................................. 119

Capital Renewal Program ............................................................................................ 122

Research infrastructure funding ................................................................................... 123

Endowment matching programs ................................................................................... 125

Graduate enrolment expansion .................................................................................... 128

Conclusion ........................................................................................................................ 140

CHAPTER VII - MOVING FORWARD: DIVERSITY AND THE STRATEGIC MANDATE AGREEMENTS ........................................................................................... 142

Introduction ...................................................................................................................... 142

Strategic Mandate Agreement process ............................................................................. 143

Strategic Mandate Agreements ..................................................................................... 145

Algoma University ........................................................................................................ 145

Brock University ........................................................................................................... 146

Carleton University ...................................................................................................... 146

University of Guelph ..................................................................................................... 147

Lakehead University ..................................................................................................... 147

Laurentian University ................................................................................................... 148

McMaster University .................................................................................................... 149

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Nipissing University ..................................................................................................... 149

OCAD University .......................................................................................................... 150

University of Ontario Institute of Technology .............................................................. 151

University of Ottawa ..................................................................................................... 151

Queen’s University ....................................................................................................... 152

Ryerson University ....................................................................................................... 152

University of Toronto.................................................................................................... 153

Trent University ............................................................................................................ 154

University of Waterloo.................................................................................................. 154

The University of Western Ontario ............................................................................... 155

Wilfrid Laurier University ............................................................................................ 155

University of Windsor ................................................................................................... 156

York University ............................................................................................................. 157

Categorization of institutions into types........................................................................... 160

Systemic diversity ............................................................................................................ 160

Climate diversity .............................................................................................................. 162

Conclusion ........................................................................................................................ 164

CHAPTER VIII – DIVERSITY – AVIEW FROM THE TOP ..................................... 165

Introduction ...................................................................................................................... 165

Diversity – A cherished value .......................................................................................... 165

Dimensions of diversity ................................................................................................... 167

Provincial government levers that promote diversity ...................................................... 168

Funding formula and tuition fees ................................................................................. 169

Strategic Mandate Agreements ..................................................................................... 172

Teaching-focused baccalaureate granting institutions ................................................ 173

Open University ............................................................................................................ 175

Private University ......................................................................................................... 175

Federal government levers that promote diversity ........................................................... 176

Conclusion ........................................................................................................................ 177

CHAPTER IX – CONCLUSIONS ................................................................................... 178

Introduction ...................................................................................................................... 178

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Methodology .................................................................................................................... 179

Historical and environmental context .............................................................................. 180

Change in systemic and climate diversity between 1994 and 2010 ................................. 181

Change in systemic and climate diversity between 2010 and 2018 ................................. 182

Factors promoting or hindering processes of diversification or differentiation ............... 183

Federal government ...................................................................................................... 183

Provincial government ................................................................................................. 184

Interviews...................................................................................................................... 185

Policy implications for Ontario’s university sector.......................................................... 185

Suggested Provincial policy to increase diversity ........................................................ 186

Suggested Federal policy to increase diversity ............................................................ 189

Limitations of the study.................................................................................................... 189

Future Research ................................................................................................................ 189

REFERENCES ................................................................................................................... 191

APPENDICES .................................................................................................................... 204

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LIST OF TABLES Table 1 – Universities by Region and Type............................................................................. 3 Table 2 – Full-time Equivalent (FTE) university enrolment in Ontario ................................ 27 Table 3 – Revenue Sources as a Percentage of Total Revenue ............................................. 28 Table 4 – Carnegie Foundation for Advancement of Teaching Basic Classification

Categories ............................................................................................................ 48 Table 5 – The European Classification of Higher Education Institutions ............................. 50 Table 6 – Institutions included in the 1994 and 2010 Ontario university sector ................... 61 Table 7 – Negative effects of institutional size ...................................................................... 65 Table 8 – Classification of Ontario Universities under the Adjusted Carnegie and Maclean’s

Classification Methodology ................................................................................. 67 Table 9 – Number of institutions by category - Adjusted Carnegie and Maclean’s

Classification Methodology ................................................................................. 68 Table 10 – Raw Score Descriptive Statistics ......................................................................... 79 Table 11 – Categorization by Size and Type ......................................................................... 82 Table 12 – Categorization by Enrolment Profiles and Student/Faculty Contact ................... 83 Table 13 – Ontario Institutions by Size ................................................................................. 84 Table 14 – Ontario Institutions by Type ................................................................................ 85 Table 15 – Ontario Institutions by Enrolment Profile ........................................................... 86 Table 16 – Ontario Institutions by Undergraduate Profile..................................................... 87 Table 17 – Ontario Institutions by Level of Student/Faculty Contact ................................... 88 Table 18 – Distribution of Institutional Types – Systemic Diversity .................................... 89 Table 19 – Comparison of Four Simple Diversity Indices – Systemic Diversity .................. 89 Table 20 – Distribution of Institutional Types – Climate Diversity ...................................... 91 Table 21 – Comparison of Four Simple Diversity Indices – Climate Diversity .................... 92 Table 22 – Summary of Federal Programs and Related Impact on Institutional

Diversification or Convergence ........................................................................... 98 Table 23 – Comparison of Funding Provided by National Granting Councils by Institution99 Table 24 – Comparison of Social Sciences and Humanities Research Council Funding by

Institution ........................................................................................................... 100 Table 25 – Comparison of Natural Science and Engineering Research Council Funding by

Institution ........................................................................................................... 101 Table 26 – Comparison of Medical Research Council (1994) and Canadian Institute for

Health Research (2010) Funding by Institution ................................................. 102 Table 27 – Comparison of Chairs Awarded by Institution .................................................. 104 Table 28 – Canada Excellence Research Chairs Awarded by Institution ............................ 106 Table 29 – Knowledge Infrastructure Program Contributions by Ontario University ........ 108 Table 30- Summary by Provincial Program and Related Impact on Institutional

Diversification or Convergence ......................................................................... 112 Table 31 – Other MTCU Grants as a Percentage of Basic Formula Grants ........................ 115 Table 32 – Tuition revenue by Institution............................................................................ 117 Table 33 – SuperBuild Program Allocations by Institution................................................. 121 Table 34 – Capital Renewal Allocation by Institution......................................................... 122

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Table 35 – Research Infrastructure Funding by Institution ................................................. 124 Table 36 – Annual Ontario Trust for Student Support Funding .......................................... 126 Table 37 – Ontario Trust for Student Support Funding by Institution ................................ 128 Table 38 – Annual Graduate Expansion Funding Provided to Ontario Institutions ............ 130 Table 39 – Graduate Enrolment as a Percentage of Total Enrolment by Institution ........... 135 Table 40 – Cumulative Change in Doctoral Students as a Percentage of Total Graduates

from 2004 ........................................................................................................... 137 Table 41 – Doctoral Students as a Percentage of Total Graduate Students by Institution .. 138 Table 42 – Master’s Students as a Percentage of Total Graduate Students by Institution .. 139 Table 43 – Changes in Categorization of Variables Derived from Proposed Institutional

Plans ................................................................................................................... 158 Table 44 – Categorization by Size and Type ....................................................................... 159 Table 45 – Categorization by Enrolment Profiles and Student/Faculty Contact ................. 160 Table 46 – Distribution of Institutional Types – Systemic Diversity .................................. 161 Table 47 – Comparison of Four Simple Diversity Indices – Systemic Diversity ................ 161 Table 48 – Distribution of Institutional Types – Climate Diversity .................................... 163 Table 49 – Comparison of Four Simple Diversity Indices – Climate Diversity .................. 163

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LIST OF FIGURES

Figure 1 – Dendogram of Ontario Universities ..................................................................... 80 Figure 2 – Dendogram of Ontario Universities ..................................................................... 81 Figure 3 - Cumulative Change (Less Than 2%) in Graduate Students as a Percentage of

Total Students - Fall Headcount from 2000-01 by Institution ........................... 133 Figure 4 - Cumulative Change (More Than 2%) in Graduate Students as a Percentage of

Total Students - Fall Headcount from 2000-01 by Institution ........................... 134

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LIST OF APPENDICES Appendix 1 – Enrolment and Faculty data - 1994 ............................................................... 204 Appendix 2 – Enrolment and Faculty data - 2010 ............................................................... 205 Appendix 3 – Undergraduate and Graduate Students - Fall Headcounts per Year ............. 206 Appendix 4 – Full-time and Part-time Graduate Students - Fall Headcounts per Year ...... 207 Appendix 5 – Graduate Students as a Percentage of Total Students per Year .................... 208 Appendix 6 – Full-time and Part-time Master’s Students – Fall Headcounts per Year ...... 209 Appendix 7 – Full-time and Part-time Doctoral Students – Fall Headcounts per Year ...... 210 Appendix 8 – Master’s Students as a Percentage of Total Graduates – Fall Headcounts ... 211 Appendix 9 – Doctoral Students as a Percentage of Total Graduates – Fall Headcounts ... 212

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CHAPTER I: INTRODUCTION

Modifications to the design (distribution by type of institution, location and

relationship amongst institutions) of Ontario’s higher education system have been

suggested over the years in an effort to increase its quality (instruction and research) and

accessibility in a cost effective manner. The fiscal climate of restraint has recently

intensified the debate for structural changes through increased institutional differentiation

in Ontario’s higher education system. The extent and nature of institutional

differentiation is a design choice among many that must be considered by policymakers

when developing a higher education system or when dealing with an increased number of

students and societal demands for undergraduate and graduate education. While the

worldwide process of institutional differentiation in higher education is not a new

phenomenon, it has received increased attention recently as governments seek to increase

access for a diverse student body.

Thesis outline

Institutional diversity was examined using a mixed research method in two

phases. This study first used quantitative research measures to determine the extent of

diversity in Ontario’s university sector in 1994 and 2010. More specifically, the study

determined the extent of systemic diversity (differences in the type of institution and size

of institution) and climate diversity (differences in campus environment and culture)

during 1994 and 2010 and forecasted the change in systemic and climate diversity from

2010 to 2018 by adapting Birnbaum’s (1983) methodology. The second phase of this

study used policy analysis and drew on mutually related theoretical perspectives from

organizational theory as its primary conceptual framework to assist in the interpretation

and corroboration of the change in diversity between 1994 and 2010. Interviews were

conducted with internal agents to gain a greater understanding of the key factors or

barriers in Ontario’s reticence in proposing design changes in its higher education

system. Having been informed by the policy analysis, interviews and the projection of

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the extent of systemic and climate diversity by 2018 using institutional strategic plans,

the study proposed a policy on institutional diversity for Ontario’s university sector.

Overview of Ontario’s higher education sector

Ontario’s public higher education system currently consists of 21 provincially

assisted universities and their affiliates, 24 publicly assisted Colleges of Applied Arts and

Technology, three agricultural colleges affiliated with a university, one applied health

science institute and one military college.

Ontario universities are autonomous not-for-profit corporations, each created by a

separate provincial act, which for the majority, provide them with the authority to grant

both undergraduate and graduate degrees. The province essentially has a monopoly on

degree granting by its ability to provide the right to publicly supported universities to

offer degrees through legislation. The market for degrees also includes a small number

of private colleges which rely on a combination of tuition fee income and private

donations and offer degrees with different titles than those offered by the publicly

assisted universities (Jones and Young, 2004). All universities except Algoma, the

newest university in Ontario, provide graduate programs. There are differences in

program mix offered by each university while their missions, as stated in their respective

acts, are very similar. Ontario universities operate, like those in many other countries,

within a neo-liberal political framework characterized by an increased focus on the

private benefits of higher education, the use of competition in funding allocation models

and increased accountability measures.

Colleges in Ontario are established under one act and focus mainly on vocational

education. In the year 2000, they were provided with the authority to offer applied

baccalaureate programs. “College degree granting represents 4% of college enrolment

(2011), and 2% of overall Ontario degree-level enrolment” (Hicks, Weingarten, Jonker &

Liu, 2013, p. 3). Colleges also engage in applied research in varying degrees. They also

seek to provide programs in response to their local communities. Starting in 2003, five

colleges have been further differentiated from the others by being assigned the status of

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Institute of Technology and Advanced Learning which allows them to offer up to 15% of

their programs in applied degrees as compared to 5% for those without this status.

Using the boundaries used for Ontario’s demographic forecasts, Fallis (2013)

observed that universities are geographically distributed across the province. The

distribution speaks to Ontario’s commitment to providing postsecondary education to

every qualified student wishing to attend without having to leave their respective region.

Table 1 replicates the geographical distribution of universities by region as used by Fallis

for institutions included in this study and adds their associated institutional type.

Students in every region essentially have access to all four types of institution save for

the Southwest region which lacks a Special Purpose institution and the Northern region

which lacks a Comprehensive institution and a Medical/Doctoral institution.

Table 1 – Universities by Region and Type 2012

Southwest Central Greater Toronto East Northern

Brock Western Windsor

Guelph Laurier McMaster Waterloo Redeemer

OCAD Ryerson Toronto UOIT York

Carleton Trent Ottawa Queen’s Dominican Royal Military

Algoma Lakehead Laurentian Nipissing

Comprehensive (1) Primarily UG (1) Medical/Doctoral (1)

Comprehensive (2) Primarily UG (1) Medical/Doctoral (1) Special Purpose (1)

Comprehensive (1) Primarily UG (2) Medical/Doctoral (1) Special Purpose (1)

Comprehensive (1) Primarily UG (1) Medical/Doctoral (2) Special Purpose (2)

Primarily UG (3) Special Purpose (1)

(The number of institutions by type is noted in brackets)

While other jurisdictions were undergoing structural changes, Ontario’s higher

education sector did not follow these same trends thereby having little impact on each

sector’s institutional differentiation. Jones (2004) noted that Canadian higher education,

supported by the 1960s structural changes which included the creation of the college

sector, had already moved from elite to mass higher education. While other higher

education system level reforms were guiding what should be accomplished, little

emphasis was being placed on system or sector planning in Ontario during this period.

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Jones also noted that the neo-liberal policy environment in Ontario’s higher education

system was not only a result of top-down government approach but was also supported

by many executive heads of universities.

Policy debate about diversity in Ontario

The following is an historical analysis of the findings and recommendations of a

number of Commissions and policy documents in an effort to summarize how the debate

about diversity in Ontario’s postsecondary sector has evolved from 1981 to present.

While the analysis starts in 1981 with the Report of the Committee on the Future Role of

Universities in Ontario as this report was the first to make the case for a more

differentiated university system, it should be acknowledged that the Commission to Study

the Development of Graduate Programmes in Ontario Universities, chaired by J.W.T.

Spinks, the then President of the University of Saskatchewan was tasked with examining

the sector's programmatic diversity as it related to "matters concerning the quality, need,

introduction and expansion of graduate education and research in Ontario" (Spinks

Commission, 1966, p. iii). The Commission recognized that there was a lack of central

planning in Ontario's university sector and recommended increased levels of co-operation

and coordination between universities in the development of graduate education and

research. It also recognized "that all provincial universities should move towards full

development of honours and master's programmes in the central disciplines (though not

necessarily in all of them!) and that doctoral programmes ought to be restricted (at any

one time) to a smaller list of institutions where adequate funds and facilities are

available" (Spinks Commission, 1966, p. 23) to ensure certain levels of excellence in a

cost effective manner. "Thus the ambitions and desires of a given institution must

sometimes be tempered by the overall requirements of society" (Spinks Commission,

1966, p. 25).

Diversity refers to the number of types of universities within Ontario’s university

sector derived from classifying universities according to one or more characteristics

and to the dispersion of universities across types at a point in time (as informed by

Huisman, 1998).

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Since 1981, the debate about diversity in Ontario has been mostly centered on

systemic diversity (differences in the type of institution and size of institution) and

programmatic diversity (differences in degree level, mission and program emphasis) in an

effort to increase the quality of instruction and research, and to increase access to

postsecondary education in a cost effective manner by further differentiating the system.

Policy recommendations have revolved mainly around the funding model and the

strategy of tying incremental funding to performance indicators, mostly made within a

context of respecting institutional autonomy, rejecting central planning functions while

increasing competition, cooperation and collaboration amongst postsecondary

institutions.

Report of the Committee on the Future Role of Universities in Ontario (Fisher Committee)

The Fisher Committee was established in November 1980 and was chaired by

H.K. Fisher. The Committee’s terms of reference were

to develop a public statement of objectives for Ontario universities in the 1980s expressed in operational terms; to relate the cost of meeting these objectives to funding levels; to consider modifications to the funding mechanisms that would provide appropriate processes to encourage voluntary institutional adjustments and inter-institutional co-operation to meet these objectives; to define more clearly the appropriate joint roles of the individual institutions, the Council of Ontario Universities, the Ontario Council on University Affairs, and the Government of Ontario; and to recommend such other policy changes as are judged likely to improve the ability of the Ontario universities to meet the agreed upon objectives (Fisher Committee, 1981, p. 3).

The report was issued in July 1981 during a climate of fiscal restraint, enrolment growth

and when calls were being made by universities for “an autonomous, adaptive,

decentralized university system…[with] some kind of system planning” (Fisher

Committee, 1981, p. 30). The Committee noted that while additional funding was

required for universities to meet their objectives to society, which included the

strengthening of its research capacity, it was “essential to have a clearly defined role for

each institution” (Fisher Committee, 1981, p. 42).

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The report highlighted a restructuring plan for universities should additional

funding not be made available that would have required direct government involvement.

The plans suggested that

Ontario would have one comprehensive university capable of offering a very broad range of high-quality programs at all degree levels. The province would have not more than four full-service universities offering a more restricted range of high-quality programs at all degree levels. Also, the province would have four or five special-purpose institutions, including some designated specifically to serve northern Ontario (Fisher Committee, 1981, p. 42).

This plan also suggested that some universities would have had to close while others

would have been restructured.

Commission on the Future Development of the Universities of Ontario (Bovey Commission)

The Commission on the Future Development of the Universities of Ontario was

established in January 1984 and chaired by Edmund C. Bovey two decades after the

university sector experienced its most significant growth spurt in enrolment and research

activities. The province was faced with a slowing economy that constrained its ability to

fund higher education. While universities were recognized as playing a vital role in an

increasingly knowledge-based economy and society, due to their role in developing

human capital through instruction, and at developing knowledge through research,

concerns were raised by stakeholders about the future quality of instruction and research

in an environment of fiscal constraint. There was an “urgency of reaching an

internationally competitive level of excellence in higher education and research” (Bovey

Commission, 1984, p. 5) in both basic and applied fields, as Ontario lagged behind other

Canadian jurisdictions, combined with increased adaptability to better respond to the

needs of a changing society. The objectives of excellence in teaching and research, and

adaptability therefore took precedence over further increasing enrolment in the sector

(Bovey Commission, 1984).

The Bovey Commission was charged to develop an operational plan that would

provide

7

for more clearly defined, different and distinctive roles for the universities of Ontario in order to maintain and enhance the quality of university education by ensuring the appropriate concentration of academic strengths…with a view to preserving and developing further a calibre of teaching and research of national and international excellence (Bovey Commission, 1984, p. 1).

It noted that universities were already considerably differentiated when it came to their

roles and how they discharged their missions. While all universities conducted research,

not all were “engaged heavily in those [research] activities where resource-intensiveness

is involved [but conducted] research relevant to their special interests or their regional or

metropolitan location” (p. 14). Increased differentiation was recommended “in terms of

institutional character, range and level of programs, and fields of specialization in

research would provide appropriate concentration of academic strengths and diversity of

choice for students” (Bovey Commission, 1984, pp. 13-14). While the Commission

recommended greater specialization by fields and by institutions and encouraged

institutions to find their respective niches, they insisted that all institutions provide

undergraduate programs in arts and science. The Bovey Commission rejected

the notion that universities should be formally designated by a central body as to their type, or placed in rigid categories. [A contradiction of its terms of reference] Emphasis should rather be placed upon a competitive system within which institutions are rewarded for the distinctive functions they perform and the quality of their activities and in addition are provided with the capacity to be flexible and innovative (Bovey Commission, 1984, p. 14).

The Bovey Commission (1984) suggested that greater differentiation could be

achieved by providing the required incentives and should not be achieved by a top-down

process but through a process that respects institutional autonomy. However, any process

should have “appropriate mechanisms for reconciling competing claims and aspirations

and for ensuring adequate responsiveness to provincial needs be built in both to funding

and to planning and coordinating arrangements for the system as a whole” (p. 15). It

therefore suggested increasing diversity by amending the funding formula to provide

greater financial flexibility for instruction and research. All institutions would be subject

to a funding corridor of ± 4% of base enrolment which would result in no change to an

institution’s government grant. This would allow institutions to decrease enrolment and

8

in turn, increase quality (decrease in student-faculty ratio) while freeing up resources for

research. Institutions with a three-year average of Tri-Council grants exceeding 10% of

total operating revenue would be subject to a funding corridor of ± 6% of base enrolment

while those institutions with a three-year average of Tri-Council grants exceeding 15% of

total operating revenue would be subject to a funding corridor of ± 8% of base enrolment.

This mechanism would allow institutions the freedom to reallocate resources in support

of their research and/or teaching functions (Bovey Commission, 1984).

The report was largely ignored as a new government was elected just after the

final report was released. A number of funding recommendations were implemented in

subsequent years (Task Force on Resource Allocation, 1995).

Ontario Council on University Affairs – Sustaining Quality in Changing Times, Funding Ontario Universities

In 1993, the Ontario Council on University Affairs, the university sector

intermediary body, was asked by the Minister of Education and Training to make

recommendation on improving the funding mechanism to better encourage universities

and colleges to cooperate in order to increase accessibility and when it comes to

universities, the Minister noted that:

…the depth and breadth of the Ontario university system has been recognized as one of the province’s great strengths. However, ways and means will have to be developed to ensure that scarce resources are utilized effectively; accordingly, incentives should be put in place to encourage program cooperation and restructuring. Greater differentiation and increased interdependence have the potential to increase both quality and accessibility to Ontario universities. (Letter from the Honourable Dave Cooke, Minister of Education and Training, to Professor Joy Cohnstaedt, Chair, Ontario Council on University Affairs, November 24, 1993, pp. 2-3 as quoted in Task Force on Resource Allocation, 1995, p. 73). The Ontario Council on University Affairs undertook a consultation process in

response to the Minister’s request and issued a Discussion Paper in August 1994 to

facilitate the process. There was a growing and perceived need to review the extent of

funding provided to public institutions as a result of a slowing economy, decreasing

9

provincial revenues and rising debt payments at the federal and provincial levels. Calls

were also made to increase quality, by decreasing student-faculty ratios, and to enhance

access to postsecondary education. The use of technology and more flexible scheduling

was also suggested as a means of increasing access and quality. Restructuring the system

to achieve these policy goals included rationalizing programs, reducing duplication and

“creating new free-standing institutions; new types of structures, such as open or distance

universities; and consortia of institutions which may better tailor teaching to non-

traditional students” (Ontario Council on University Affairs, 1994, p. 7).

The subsequent Discussion Paper…raised fundamental questions about the goals of Ontario universities and who should determine them, the relationship between the universities and government, [increased control over funding mechanisms would move from universities to government] and the balance of faculty effort between teaching and research,…[redistribution of resources from the research mission to accommodate more students] (Skolnik, 1995, p. 5).

The suggested system restructuring threatened “to upset the balance between academic

self-direction and government control which has existed in Ontario since the early 1960s

[as universities refused to be instruments of government policy] (Skolnik, 1995, p. 5).

By 1996, the Ontario Council on University Affairs was abolished by the

Conservative government.

Advisory Panel on Future Directions for Postsecondary Education

In July 1996, the Minister of Education and Training appointed a panel to advise

on the future directions of postsecondary education after universities absorbed significant

reductions in government grants partially offset by increased tuition revenue. The Panel

conducted wide consultations with the public and the postsecondary sector and presented

their report, entitled Excellence, Accessibility, Responsibility (1996) to the Minister in

December of that year. While its mandate focused on recommending appropriate cost

sharing arrangements between stakeholders and how to promote increased cooperation

between colleges and universities, the Panel was asked “to provide advice on what needs

to be done to meet the expected levels of demand for postsecondary education, both with

10

reference to existing public institutions and existing or proposed private institutions”

(Excellence, Accessibility, Responsibility, 1996, p. 1).

The Panel believed that Ontario’s postsecondary structure was sound and did not

require significant design changes. Its recommendations were focused on three themes,

as suggested in the report’s title, on excellence in teaching and research, and increased

accessibility for learners within a framework of shared responsibility. The Panel noted

that this can only be achieved if universities remain autonomous and operate in a less

regulated environment, with accountability through their governing boards, with the

following characteristics:

permit the emergence of differentiation in strengths among colleges and universities in order that the multiple purposes of the postsecondary education sector can best be attained...institutions concentrating on producing the highest quality in the particular functions in which they are specializing…performance should be assessed against standards for the full range of institutions, from research-intensive universities competing internationally to institutions focused on preparing students for vocations in local communities (Excellence, Accessibility, Responsibility, 1996, p. 3). The Panel noted that they valued quality above all other values. “The servant of

quality is specialization, requiring differentiation among our institutions” (Excellence,

Accessibility, Responsibility, 1996, p. 13). Differentiation should be achieved by

allowing postsecondary institutions the autonomy to experiment and determine how they

will use their resources and in what areas. Institutions should not be constrained by

legislation or by central planning mechanisms. However, there must “be a much stronger

willingness on the part of institutions, both across the binary divide, as well as outside the

postsecondary sector, to cooperate and collaborate, in joint planning, in credit transfers

and in creative partnerships” (Excellence, Accessibility, Responsibility, 1996, p. 13).

The Panel also determined that there was a limited role to be played in the

postsecondary education sector for privately funded universities. They recognized that

while the Degree Granting Act, 1983 provides that degree-granting institutions can only

be created by Provincial Legislature, government policy did not support the creation of

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privately-funded universities due in part to its desire to have an exclusively public

system. The Panel recommended

the extension of secular degree-granting powers to institutions currently offering non-secular or restricted degrees…[and] the establishment of privately financed, not-for-profit, university-level secular degree-granting institutions in Ontario could be approved in special cases where appropriate governance structures, high academic quality and financial viability can be assured, at standards that will not devalue the reputation of an Ontario degree (Excellence, Accessibility, Responsibility, 1996, p. 57).

The Panel rejected giving authority to grant degrees to for-profit universities.

Post-secondary Education Choice and Excellence Act

With the introduction of the Post-secondary Education Choice and Excellence

Act, 2000, (the Act), which replaced the Degree Granting Act, 1983, the Province of

Ontario attempted to diversify the production of baccalaureate degrees by allowing

institutions, including out-of-province institutions wishing to offer a program or part of a

program leading to a degree to obtain prior consent from the Minister. Prior to January 1,

2012, applications to offer degrees were referred to the Post-secondary Education Quality

Assessment Board (PEQAB) for an assessment and for a recommendation to the

Minister. Effective January 1, 2012, the Act was amended where applications for consent

can be referred to PEQAB or another accrediting or quality assurance body, or the

Minster can reject the application without referral. Consent, if granted, is provided for a

specified time period. The university sector in Ontario does not require consent from the

Minister to offer degrees as they derive this authority from their respective charter. Clark,

Moran, Skolnik and Trick (2009), observed that the Act is a barrier for market forces to

effectively meet the needs of consumers that are not being fully met by current

baccalaureate degree providers due to the stringent control over degree granting activity

in Ontario. Skolnik (2012) noted that the Act also limits Ontario’s colleges to offering

baccalaureate degree programs in applied fields of study. He argued that governments in

other jurisdictions encouraged colleges to award baccalaureate degrees because of the

belief that it provides programs more directly linked to current occupations, is a more

economical alternative to the traditional research-oriented universities, provides greater

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geographical accessibility and greater access to a different population (older, low income,

minority, new immigrant) served by traditional universities and provides clear pathways

for those who completed a diploma or an associate degree in a college program.

A review of completed applications since the year 2000 to present revealed that

few institutions outside of existing Ontario institutions seek to offer degrees in Ontario.

The notable exception would be Charles Sturt University, the first foreign university to

offer courses in education leading to a degree at its Burlington campus. It offers a

Bachelor of Primary Education Studies, a Bachelor of Early Childhood Studies and a

Master of International Education (School Leadership). Charles Sturt University was

denied consent to offer a Bachelor of Secondary Education Studies program. The

Minister noted in his letter dated June 7, 2010, that such a program would not be in the

best public interest after considering “the opportunities or lack of opportunities for

employment by teacher education program graduates…that existing teacher education

programs in Ontario, public and private, will provide sufficient supply of teacher

graduates to meet Ontario’s anticipated teacher demand” (Ministry of Training, Colleges

and Universities, 2010, p. 1).

Ontario: A Leader in Learning

In June 2004, the Ontario government, under the Liberal leadership of Premier

McGuinty, requested the Honorable Bob Rae, former NDP Premier of Ontario to

undertake a review of the public post-secondary education system and provide

recommendations on the funding and design of the system that could be incorporated in

the 2005 Provincial Budget. The review focused on how to increase access to

postsecondary education, improve quality and accountability, and consider the adequacy

of the system’s design and structure to meet future needs.

Rae’s report recommended significant increases in provincial funding, in an effort

to increase participation and to improve quality, but it also included a number of

endogenous reforms in support of the continued neo-liberalization of Ontario’s higher

education system. Some examples included recommending that post-secondary

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institutions focus on satisfying the need for human capital (a focus on the production of a

skilled workforce for the knowledge-based economy instead of calling for universal

learning), recognized the private benefits (as opposed to public benefits) of post-

secondary education and therefore recommended full tuition deregulation, suggested that

graduate expansion be achieved on a proposal (competitive) basis to address faculty

shortages and reduce productivity gaps and recommended the establishment of a council

to monitor and evaluate quality and greater system performance (Rae, 2005).

With respect to institutional differentiation, he encouraged the promotion of

differentiation “through the tuition framework, accountability arrangements and the

design of the province’s funding formula” (Rae, 2005, p. 41) in order to eliminate

unwarranted duplication. Rae (2005) rejected the need for central planning and instead

chose “to reconcile three objectives: institutional independence and diversity, the need for

greater co-ordination and clearer pathways for students, and accountability to the public”

(p. 13).

The report did not provide a clear definition of differentiation and therefore one

can only suspect that he speaks of increased systemic and/or programmatic diversity. He

did recognize that as institutions become more specialized, credit transfer arrangements

among institutions need to be enhanced to create effective pathways to attain a university

degree and therefore suggested more government involvement in this area. While the

report failed to note what type of structural reform would best serve Ontario, it was

enthusiastically received by Ontario university and college administrators and most media commentators. That it also gained the support, albeit mixed, of the major students groups and the Canadian Association of University Teachers attest to its success in identifying the main challenges, risks and opportunities faced by the post-secondary education system (Lowy, F. 2005, p. 23).

The Ontario Undergraduate Student Alliance supports affordable access to higher

education for all qualified students in an environment with stable and sufficient

government funding. While it supports a cost-sharing approach to funding universities, it

is not surprising that the Alliance is against Rae’s recommendation to fully deregulate

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tuition fees. The Alliance believes that tuition fees should be controlled by government

in order to ensure affordable access for all qualified students and ensures that students

don’t pay more than their counterparts in other provinces (Voakes and Chan, 2005).

The Ontario government has since essentially incorporated most of the

recommendations noted by Rae (2005) through its Reaching Higher Plan (save the tuition

deregulation) by completing its promised $6.2 billion cumulative investment in higher

education by 2009-10 as announced in its 2005 Budget. This budget announcement

directly linked this historic investment in higher education to the knowledge economy

discourse as the “government understands that, in today’s knowledge economy, education

is the prerequisite for prosperity. The brains and know-how of a skilled workforce are

the competitive edge of the 21st century” (Ontario Budget, 2005, p. 1).

The Benefits of Greater Differentiation of Ontario’s University Sector

The debate about diversity in Ontario’s university sector has recently intensified.

In 2009, the Higher Education Quality Council of Ontario (HEQCO) first commissioned

a study to identify if there were any gaps in Ontario’s higher education system followed

by issuing a report on the benefits of differentiation.

In their report to HEQCO, Jones and Skolnik (2009) called for increased access to

baccalaureate education in Ontario through increased institutional differentiation by

creating a new sector composed of undergraduate teaching-focused institutions that

would be differentiated from colleges and existing universities. They also suggested the

creation of an open university and how existing colleges can be repositioned to provide

additional baccalaureate programs. Clark, Moran, Skolnik and Trick (2009) noted that

Ontario’s current model of publicly supported research-focused universities providing

baccalaureate education is the most expensive model as compared to others and provides

insufficient number of institutional types for Ontario’s diversified student body.

Ontario universities do not support the development of universities whose mandates are solely to teach undergraduate students. The expansion and innovative application of knowledge through research is part of the core mandate of all universities, along with equipping students with the advanced skills and

15

capabilities that allow them to contribute to Ontario’s knowledge economy (Council of Ontario Universities, 2011a, p. 2).

In July 2010, the Ontario Deputy Minister of Training Colleges and Universities

requested HEQCO to explore the issue of “…whether a more strongly differentiated set

of universities would help improve the overall performance and sustainability of the

system, and help Ontario compete internationally [and]…how to operationalize a

differentiated policy, should government be interested in pursuing this as a strategic

objective” (Weingarten & Deller, 2010, p. 6).

The HEQCO report provided a roadmap for the provincial government to increase

diversity in Ontario’s postsecondary education system in a period where increased

enrolment (due to market demand for credentials) is threatening quality and government

resources are being constrained. It acknowledged that the current system is somewhat

differentiated due to its existing binary structure and detailed the benefits of a highly

differentiated system as one that provides

the following benefits: higher quality teaching and research programs; more student choice with easier inter-institution transfer and mobility; greater institutional accountability; a more globally competitive system; and a more financially sustainable system (Weingarten & Deller, 2010, p. 4).

Financial sustainability is achieved through cost reductions and cost mitigation strategies

due to the rationalization of programs. The university sector is also differentiated as a

result of offering a wide range of programs that serve a variety of communities combined

with its “history, geography, regional development, innovation and response to student

demand and the labour market [which has]…created an organic diversity in the Ontario

university system and a good base to build on for further differentiation” (Weingarten &

Deller, 2010, p. 9). Rationalizing some of these programs might result in students having

to travel farther in an effort to have access to desired programs. Additional funding

might have to be provided to students to ensure an equitable access to all programs.

According to Weingarten & Deller (2010), differentiation can be achieved if the

government acknowledges that teaching, research, and in some cases, community service

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is valued equally as institutions compete for outcome-dependent funding that is within

their stated mandates. Weingarten & Deller further suggest that a comprehensive

agreement between government and universities laying out each institution’s priorities,

goals and areas of future growth and development is the cornerstone of increased

differentiation. The notion of a comprehensive agreement as suggested by Weingarten &

Deller is well accepted by Ontario universities (Council of Ontario Universities, 2010).

However, COU opposes the categorization of institutions that would arbitrarily limit

institutional aspirations. “The approach to differentiation should enable innovation and

allow universities to develop in response to their students, communities and competitors

across the globe” (Council of Ontario Universities, 2011a, p. 3). Government will be

required “to realistically evaluate the elements of a mission proposed by universities and

inevitably it will be called upon to say no to some elements forwarded by some

institutions” (Weingarten & Deller, 2010, p. 14) and may want to seek third-party advice

from an expert panel or from HEQCO to assist them in making these difficult choices.

The Ontario Undergraduate Student Alliance “do not believe that government should

unilaterally determine the mandates of Ontario universities…[but] supports the use of

multi-year accountability agreements to naturally differentiate universities” (Ontario

Undergraduate Student Alliance, 2010, p. 1) and would like to have a voice in any future

negotiations of multi-year agreements.

Third-party advice is a good idea considering that government might not know

any better than the institutions themselves and have proven in the past to introduce

programs based on labour market demands. For example, the financial resources

provided to universities in the late 1990’s in an effort to increase the number of computer

science and technology students during the collapse of the dotcom bubble that left few

jobs for recent graduates, shows how well government can be engaged in system

planning. “This programme was conceived of by the private sector for the province, after

having failed to influence the federal government on immigration policy” (Jones &

Young, 2004, p. 199).

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Incremental funding, tied to desired outcomes (measured with performance

indicators), is recommended as the key lever to enable differentiation to occur as with

incentive funding, “universities will do what you [government] fund them to do. If you

don’t tell them what you want them to do, they do what they want” (Weingarten &

Deller, 2010, p. 19). The use of incremental funding tied to performance is a notion that

is well supported by students, especially when it comes to funding tied to student

outcomes (OUSA, 2010). Funding should also be made available through a proposal

process where institutions would “compete for funds that are consistent with their

mandate and multi-year agreement with government” (Weingarten & Deller, 2010, p.

20). Funding would also be allocated to those institutions that have already shown

excellence in achieving the desired goal and committed some of their own resources to

the project. Targets should also be set and must be met in order to retain the incremental

funding. Consideration was also given to reallocating some of the existing base operating

funding as a means of moving differentiation forward. Weingarten & Deller (2010)

rejected this option as “this maneuver would certainly elicit considerable protest from the

sector…in what is perceived to be an already underfunded system” (pp. 25-26).

It is unclear to what extent institutions will want to compete for such incremental

funding at the risk of losing future funding should the quantitative or qualitative metrics

not be achieved. Weingarten & Deller (2010) suggested that targeted funding pools may

be those “related to teaching quality, teaching innovations and the quality of the student

experience” (p. 24). This seems a bit inconsistent after determining that “a strict

‘teaching versus research’ dichotomy may not be a useful differentiator” (p. 21).

The Ontario Confederation of University Faculty Associations (2010) was quite

critical of this report. “If differentiation is pursued with the goal of creating the best

possible university system, then it will likely be driven by well-designed, beneficial

policies. If, however, differentiation is pursed as a means to deliver higher education on

the cheap, then it will be an unmitigated disaster” (p. 1). They note that HEQCO failed to

make the case as to why more differentiation is needed and suggested that HEQCO’s

approach will make universities servants to government as it failed to recognize

18

university autonomy and academic freedom as cherished Ontario university values. They

objected to universities competing for funding as this may lead to varying degrees of

quality within the system as “it seems wiser to ensure every institution is of comparable

quality to ensure every student can benefit from a quality education” (p. 2). Further, they

questioned HEQCO’s research approach as one that starts

with a conclusion – usually based around a political goal, like saving the government money – and then conducting research that tends to support that conclusion. HEQCO should be conducting research aimed at producing good policies that address real issues in the university sector, not aligning itself with fiscal restraint narratives emerging from the provincial government (Ontario Confederation of University Faculty Associations, 2010, p. 2). The Ontario Undergraduate Student Alliance viewed this report with cautious

optimism. Meagan Coker, OUSA President noted that “students are hopeful that the

process proposed by HEQCO will ensure a renewed emphasis on teaching and the

student experience at our universities, while increasing sustainability, accountability and

transparency” (Ontario Undergraduate Student Alliance, 2010, p. 1). The Alliance also

noted that the current emphasis on differentiating the system “should not disrupt current

progress toward fixing the broken credit transfer system” (Ontario Undergraduate Student

Alliance, 2010, p. 1).

Commission on the Reform of Ontario’s Public Services (Drummond Report)

In early 2012, as the Province was faced with the fiscal challenges of large

deficits and limited economic growth, Premier McGuinty and Minster of Finance Dwight

Duncan, asked Don Drummond, an economist, to chair the Commission on the Reform of

Ontario’s Public Services with a mandate to provide advice “on how to balance the

budget earlier than 2017–18…Once the budget is balanced, ensure a sustainable fiscal

environment…Ensure that the government is getting value for money in all its

activities…Do not recommend privatization of health care or education…Do not

recommend tax increases” (Drummond Report, 2012, p. 11). The recommendations

touched on all aspects of public services, such as health, elementary and secondary

education, social programs, employment and training services, and the postsecondary

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sector. The recommendations were focused on achieving increased productivity through

cost reduction initiatives.

The Drummond Report (2012) recognized that the postsecondary sector in

Ontario had just experienced a period of “rapid expansion, combined with the lowest

funding levels in Canada [which had]… undermined quality — more sessional

instructors, larger classes and less contact with professors” (p. 33) and was deemed

“unsustainable from both a financial and quality perspective” (p. 34) due to its anticipated

continued annual cost increases of up to 5%. Demand for postsecondary education was

expected to continue to rise in a period of constrained government funding. The

Commission called for greater efficiency in order for the sector to meet the Province’s

demands to “educate a rising share of the population; help equalize economic and social

outcomes across the population; provide an important component of lifelong learning; be

an engine of innovation; and deliver quality education in an efficient manner” (p. 240).

While the Commission made a total of 30 recommendations for the postsecondary

sector around a number of areas including student financial aid, tuition framework,

teaching and research funding structures, back-office functions, this study will focus on

its key recommendations with respect to increasing diversity. Differentiation was viewed

by the Commission as

a logical progression to improve quality and sustainability. Inherent in differentiation is the potential for reducing inefficiencies and realizing cost savings by minimizing further duplication of programs…[by implementing] multi-year mandate agreements with universities and colleges that provide more differentiation and minimize duplication…a rational and strategic division of roles between the college and university systems…[and by creating] a comprehensive, enforceable credit recognition system between and among universities and colleges” (Drummond Report, 2012, pp. 246-247).

The division of roles included limiting colleges from offering any additional degree

programs and the creation of standards of quality and attainment that would allow college

students who completed two years to enter university.

20

It is unfortunate that the Commission did not take into account that some

duplication in programs is necessary if one values accessibility to programs over a

geographically vast province. It also failed to acknowledge that universities have entered

into a multitude of bilateral and multi-lateral agreements to facilitate the transfer of

credits amongst institutions.

The Ontario Confederation of University Faculty Associations (2012) was critical

of the Commission’s extensive use of three sources (Academic Reform, HEQCO and

Ontario Undergraduate Student Alliance) and concluded that the data was “incomplete

and that the Commission failed to conduct the research necessary to make appropriate

and useful recommendations for Ontario’s higher education sector” (p. 2). With respect

to the recommendations to differentiate the postsecondary sector, the Confederation

observed that the failure of the Commission to define differentiation creates “an

ambiguity which undermines the usefulness of his recommendations” (Ontario

Confederation of University Faculty Associations, 2012, p. 6).

When it comes to the negotiation of multi-year mandate agreements and the

introduction of new programs, the Confederation “rejects in principle any attempts by the

Government of Ontario to interfere with academic planning and the operation of existing

programs. Our current institutional and program mix has evolved organically with the

needs of students and communities in mind” (Ontario Confederation of University

Faculty Associations, 2012, p. 6). Furthermore, when it comes to the responsibility to

negotiate any new mandate agreements, the Confederation is “concerned that a blue

ribbon panel would not have a significantly robust mandate to conduct such a

consultation. Similarly, HEQCO has an abysmal record of sector consultation, and

would be an inappropriate body for developing new mandate agreements” (Ontario

Confederation of University Faculty Associations, 2012, p. 6). The Confederation

supports limiting the degree-granting roles of colleges as the division of roles between

colleges and universities has been blurred as a result of “a combination of institutional

aspirations and political expediency” (Ontario Confederation of University Faculty

Associations, 2012, p. 6).

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While the Commission recognized that the sector already made use of system-

wide indicators, it recommended more extensive use of “performance measures in multi-

year accountability agreements with post-secondary institutions through the use of

teacher performance scores and student satisfaction ratings where the primary reasons for

dissatisfaction are adequately captured” (Drummond Report, 2012, p. 250) and increased

outcome measures tied to funding as part of the mandate agreements. The Ontario

Confederation of University Faculty Associations (2012) objected to funding tied to

quality performance indicators as “such a funding mechanism takes resources away from

institutions that need it most, and hurt students at institutions not seen to ‘measure up’ to

poorly designated proxy measurements of quality” (p. 8).

It is unclear at this time to what extent the Commission’s recommendations will

be accepted by government as the Commission was an initiative of Minister of Finance

Duncan who later resigned his seat in February, 2013 and was replaced by Minister

Charles Sousa.

University group and alliances

Over the years, some universities, either individually or in groups, have been

trying to differentiate themselves from others by adopting mandates or missions that

emphasize their research-intensiveness, size, student clientele and/or the extent of degrees

awarded. A number of national groups were created which include a number of Ontario

universities.

In 1991, a self-selected group of ten universities (G-10) representing Canada’s

largest research-intensive universities began to meet to exchange institutional data. The

group was later expanded in 2006 to thirteen (G-13) and again in 2011 by two more

(rebranded as U-15). They describe themselves

as Canada’s fifteen leading research universities…[they] undertake 80 percent of all competitive university research in Canada, rank among the world’s premier institutions, and represent a research enterprise valued at more than $5 billion

22

annually. Collectively…[they] produce more than 75 percent of all doctorates awarded in Canada (U- 15 Group of Canadian Research Universities, 2013).

The group’s main focus is on consultation and advocacy with the Federal government for

increased research funding and policy directions that are more favourable to the group as

a whole. Ontario universities in the U-15 include, McMaster University, Queen’s

University, University of Toronto, University of Waterloo, University of Western Ontario

and University of Ottawa. (U- 15 Group of Canadian Research Universities, 2013) It

recently appointed an Executive Director, Ms. Suzanne Corbeil in an effort “to add a

voice to the dialogue from a group that is focused on the particular issues, concerns and

opportunities [of] large research universities...in that way we are absolutely becoming a

more forceful and vocal group” (Berkowitz, 2012, p. 1).

In 2011, a new group called the Alliance of Canadian Comprehensive Research

Universities (ACCRU) was created to bring together research Vice-Presidents of small

research universities together to discuss issues, challenges and to share best practices as

opposed to taking on an advocacy role for the group. Ontario universities in ACCRU

include Brock University, Lakehead University, Nipissing University, Trent University,

University of Windsor and Wilfid Laurier University (Charbonneau, 2011).

In his address to the Empire Club of Canada, Professor David Naylor, President

of the University of Toronto, highlighted that increased resources should be strategically

allocated to a limited number of research-intensive universities so they can truly be able

to compete on the world stage. From an examination of various rankings of the U-15

using a number of league tables, he highlighted that “the data suggest that many of the

best research universities in this country are at serious risk of losing ground. And not

enough of them are figuring strongly on the world stage” (Naylor, 2013, p. 15).

Naylor (2013a) noted that in order to reverse this trend, a Canadian research

excellence fund should be created while eliminating the perverse nature of the Federal

Indirect Costs of Research Program funding mechanism which favors small institutions

by covering 80% of their institutional costs and disadvantages large institutions by

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covering only approximately 17%. The creation of an Advantage Canada Research

Excellence Fund, as coined by the U-15, that would grow to $400 million would be

allocated using “competitions adjudicated by peer-review committees at the federal

granting councils” (p. 12) and would be based on performance with “institution-specific

accountability…setting out key performance indicators that would help ensure a strategic

return on this new investment” (p. 14).

Rationale for the study

There currently exist few studies worldwide which consider the level of diversity

and differentiation in higher education systems (Birnbaum, 1983; Stanley & Reynolds,

1994; Huisman, 2000; Codling and Meek, 2006; Huisman and colleagues, 2007;

Morphew, 2009; Zha, 2009) and no studies have attempted to quantify the level of

systemic diversity (differences in the type of institution and size of institution) and

climate diversity (differences in social environment and culture) in Ontario’s university

sector.

This study will focus on institutional diversity and more specifically on systemic

diversity, because governments around the world are concerned about increasing or

maintaining diversity in their higher education systems as a means of increasing access or

to manage the increased demand for higher education. Systemic diversity is important as

it provides a variety of choices to diverse group of learners which can ensure a better

match of students’ needs to institutions. Students may seek the personal attention of a

small campus while others may seek more cosmopolitan campuses. It also ensures that

the purposes and functions of institutions are more efficiently discharged.

Systemic diversity refers to the number of types of universities within Ontario’s

university sector derived from classifying universities according to their institutional

type and size, and to the dispersion of universities across types at a point in time (as

informed by Huisman, 1998).

Climate diversity refers to the number of types of universities within Ontario’s

university sector derived from classifying universities according to their social

environment and culture, and the dispersion of universities across types at a point in

time (as informed by Huisman, 1998).

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This study will also focus on climate diversity, as there has been heightened

awareness recently on the part of Ontario universities regarding the importance of

increased student-faculty interactions to an outstanding student experience combined

with the Ontario government’s recent funding commitment and expanding graduate

enrolment in the province. Climate diversity is also important as it provides a variety of

environments that can better meet the needs of a diverse student body thereby increasing

student satisfaction and engagement. Student needs and abilities can also be met through

the characteristics of the other students attending the same institution, by the various

levels of interactions with faculty or by the research or educational focus of institutions.

Singh’s (2008) review of the literature identified various rationales used in

support of a diverse higher education system. These were essentially a mix of different

kinds of imperatives including democratizing, responsiveness and “economic

competitiveness goals relating to knowledge society, labour market and innovation needs,

and system/institutional requirements for efficiency and effectiveness” (p. 248). These

were grouped in two broad competing categories: public good/social justice concerns and

efficiency/effectiveness imperatives.

According to Singh’s (2008), a diverse system provides the following benefits

under the public good/social justice rationales: greater capacity to address the needs of a

diverse constituency with more demonstrable lines of accountability;

more effective way to address the multiple social purposes of higher education; widening of access to higher education for non-traditional students that better addresses their varied needs…fairer access through differential fee structures at different institutions…[and] better informed choices by prospective students [when institutions are clearly classified] (p. 248).

A diverse system provides the following benefits under the

efficiency/effectiveness rationales: purposes and functions of institutions are more

efficiently discharged; provides a framework that lessens mission drift and encourages

the achievement of quality outcomes; institutions might be more efficient at taking on

new tasks and responsibilities and can undertake more focused resource allocation and

25

monitoring; increased capacity to meet diverse qualifications required by a knowledge

economy; facilitates targeted and strategic approaches by national bodies, funders,

donors, and industry; and a higher quality and ability for some institutions to reach

international levels of excellence (Singh, 2008). Stadtman (1980) noted that diversity is

also “a precondition of college and university freedom and autonomy because the greater

the differences are among institutions, the more difficult it is for a central authority to

convert them into instruments of indoctrination rather than of education” (p. 99).

There are adverse consequences of a differentiated system. While a differentiated

system offers increased accessibility to some form of post-secondary education, not

everyone would have access to the same opportunities. Geographic accessibility could

eliminate the benefits of a diverse system when the distances between major urban

centers are large and the cost of transportation is high, thereby limiting the choice of

students to a few types of institutions (Jones, 1996). “The greater the diversity of the

system, the more difference it makes which institution an individual attends in regard to

the quality of the education received and future options for subsequent education and

employment” (Skolnik, 1986, p. 5). Specialized institutions would not have the breadth

of disciplines and activities found in a comprehensive university, thereby limiting the

range of potential interactions between different types of students and different types of

faculty (Skolnik, 1986).

From a class, race and gender perspective, a highly differentiated system can

perpetuate existing social inequalities in its hierarchy. Leathwood’s (2004) analysis of

six universities (three elite research institutions at the top of the hierarchy and three

newer universities with lower levels of funding and prestige at the bottom) focused on

class, race and gender issues in the United Kingdom’s highly differentiated higher

education sector. Elite institutions in the UK were the beneficiary of most research

funding, had more favorable staff/student ratios and scored higher in terms of teaching

assessment and were more likely to recruit students with high academic achievements.

Elite institutions were also over represented by privately educated, white, middle class

students while institutions at the bottom of the hierarchy were over represented by

26

working-class, minority ethnic students. Women were also over represented in the less

prestigious institutions. The benefit of the most prestigious institutions was accorded to

the middle-class who could afford to send their children to private schools as these

institutions recruited more than half of their students from these schools. Students from

working-class backgrounds were more likely to attend less prestigious institutions. The

increased stratification in the sector put more pressure on middle-class parents to choose

private schooling for their children in order to meet entry requirements in elite

institutions.

Students attending elite institutions were receiving a dramatically different quality

of education and student experience than those that attended less prestigious institutions

as the staff/student ratios and teaching assessment scores were significantly better at elite

institutions as compared to those at the less prestigious institutions. Leathwood therefore

called for a more socially just and equitable future for the higher education sector through

the creation of comprehensive universities “with a range of levels, types and modes of

higher education study…[and] re-distributive economic policies to reduce wider

inequalities would go a long way to [ensure a] more equitable provision both in schooling

and in higher education” (Leathwood, 2004, p. 45). While this recommendation may

produce a more equalitarian higher education system with less of a hierarchical structure,

it will lead to decreased levels of systemic diversity as more institutions will resemble

each other.

The province of Ontario has been selected because it currently lacks a policy on

institutional diversity, is the largest province in Canada with 38.7% of the population,

accounts for 38.9% of Canada’s full-time and part-time university students and 39.4% of

full-time and part-time college students (Statistics Canada, 2011). The current

environment of fiscal restraint (and calls for greater efficiency) due to the 2008 global

economic crisis restricts the province’s ability to increase funding to the university sector

in a period when public pressures to increase accessibility go unabated. The province

identified that enrolment growth is expected to decrease which in turn will reduce the

growth in operating grants and tuition revenues. Existing cost structures will therefore

27

need to be examined in light of the decrease in revenue growth in order to ensure a

sustainable system. Quality advances which have been made in the past ten years as a

result of the government’s significant investment in higher education should not be

allowed to be eroded (Ministry of Training, Colleges and Universities, 2013). The

province is moving to adopt a differentiation framework and therefore is in need of a

model to quantify the level of diversity that can form the basis for policy development to

move the sector forward in difficult economic times.

The period 1994 to 2010 was selected because during that period, the higher

education environment experienced a large number of changes including enrolment

growth. The year 1994 was selected as a starting point for this study as not only does it

provide a long enough period to allow the system to change, but it captures the end of the

NDP government policies for the sector prior to the election of a Conservative

government in June of 1995. The year 2010 was selected as it represents the end of the

Liberal government’s Reaching Higher Plan (even though they have remained in power

since 2003) and the latest year in which complete data are available.

Table 2 – Full-time Equivalent (FTE) university enrolment in Ontario

1994 and 2010

1994(*) 2010(**) % Change Graduate FTEs 24,695 51,041 106.7 Undergraduate FTEs 239,322 367,615 53.6 Total 264,017 418,656 58.6

* Table 6 – 1993-94 COFO-UO Financial Report of Ontario Universities ** Council of Ontario Universities application statistics

The significant enrolment growth in the university sector in Ontario during that

period stemmed mainly from increased demand for baccalaureate degrees by students and

prospective employers, and as a result of a number of government policies aimed to

increase access to baccalaureate studies by traditionally underrepresented groups, such as

low income, first-generation, and aboriginal students (Clark, Moran, Skolnik and Trick,

28

2009). Total enrolment was up by more than 58% from 1994 to 2010 and graduate

enrolment more than doubled during the same period.

Another significant change during 1994 to 2010 is the continual reliance on

increasingly more diversified revenue sources mainly fueled by government policies.

While expendable revenues available to Ontario universities increased from $4.18 billion

in 1994 to $11.45 billion in 2010, the revenue sources as a percentage of total revenue

highlights the shift away from the university sector’s dependence on government

operating grants to tuition fees. Grants from the Government of Canada for research and

infrastructure were 12.5% of revenues in 2010 as compared to only 8.3% in 1994.

Table 3 – Revenue Sources as a Percentage of Total Revenue 1994 and 2010

Notes:

1. Operating grants distributed according to the funding formula and non-formula grants. 2. Government of Canada grants mainly for research and infrastructure. 3. Ancillary fees and services such as parking, bookstore and food and beverage. 4. Room and board, service charges, health services, athletics, late registration and compulsory feed

excluding student council fees. 5. External borrowing, funding from municipalities and grants and contracts from foreign agencies.

Source: 1994 & 2010 COFO-UO Financial Report of Ontario Universities.

Similarly to Morphew (2009), who limited his study to degree granting

institutions, this study will focus on Ontario’s university sector instead of its entire higher

1994 2010 Change

MTCU Grants (1) 46.6% 30.3% -16.3% Tuition fees 15.7% 24.6% 8.8% Federal grants (2) 8.3% 12.5% 4.2% Sales and services (3) 7.1% 4.8% -2.3% Non-Government grants and contracts 5.8% 7.3% 1.5% Other student fees (4) 5.0% 5.7% 0.7% Other Ontario Agency grants 3.5% 4.6% 1.1% Investment income 3.2% 3.1% -0.1% Donations 2.7% 2.7% 0.0% Other sources of funding (5) 2.0% 4.3% 2.3%

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education system. The non-degree or college sector was excluded from this study for

three reasons. Firstly, a number of studies have already clearly laid out the differences

between the college and university sectors (Skolnik, 1986; Jones, 1996; Skolnik, 2005;

Jones, 2006), many of which assumed that there is little or not enough diversity in the

university sector.

Secondly, while there have been calls by policymakers for increased levels of

enrolment in baccalaureate and graduate degree programs (activities that are mainly

undertaken in universities and not colleges) in order to feed the knowledge economy to

remain globally competitive, universities in Ontario offer the great majority of

baccalaureate programs. Baccalaureate programs in colleges are limited to 5% of their

total activities except in the case of five colleges with an Institute of Technology and

Advanced Learning status which can undertake 15% of their activities in baccalaureate

programs. Baccalaureate programs in colleges are limited to applied fields of study.

Also, there have been calls by policymakers for increased levels of research. While

colleges conduct applied research and receive government grants and funding from

industry, these activities are only a small share of their overall activities as compared to

most universities where research is a significant part of their mission.

Thirdly, the increase in demand for baccalaureate education in Ontario is not

expected to decrease as Clark, Moran, Skolnik and Trick (2009) projected an increase in

university undergraduate enrolments to be between 60,000 and 100,000 from 2007 levels

assuming continued increase in participation rates and the province’s willingness to

accommodate the increase in demand. There also “appears to be a consensus among

educational leaders that Toronto universities may not be able to meet all the growing

needs of the region” (Jones and Skolnik, 2009, p. 2) during the coming decades.

Lastly, the university sector operates in an environment that is quite distinct from

the college or the non-degree sector. Demand for non-degree post-secondary education

can be satisfied by market forces as private schools and career colleges enter the market

to satisfy demand for non-degrees. When it comes to baccalaureate education, degree

30

granting regulations constrain market forces and make it more difficult for institutions

other than universities to grant degrees making the two environments quite distinct.

Research questions

The study addressed the following research questions:

a) Has there been a change in systemic and climate diversity between the year 1994 and 2010 in Ontario’s university sector?

b) Is systemic and climate diversity expected to change between the year 2010 and 2018 in Ontario’s university sector?

c) What factors promoted or hindered the process of diversification or differentiation in Ontario’s university sector between 1994 and 2010?

d) What sector-wide government policies and conditions are most likely to

promote systemic and climate diversity in Ontario’s university sector?

Limitations of the study This study examined systemic and climate diversity in Ontario’s university sector.

The research design selected for this study does not permit the extrapolation of the results

to other university sectors in Canada or elsewhere. The results cannot be extrapolated to

Ontario’s higher education system.

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CHAPTER II: LITERATURE REVIEW

Introduction

This chapter establishes the theoretical and contextual foundations upon which

this study is based. It first examined how key terms such as diversity, diversification,

differentiation, neo-liberalism, and policy instruments and design are defined and used in

the literature. Theoretical perspectives from organizational theory are also examined as

they formed the primary conceptual framework for the policy analysis phase of this

study. A review of a number of typologies and classifications for higher education

systems and institutions proposed by scholars and policymakers is examined as they

formed the basis for the classification of Ontario’s university sector in Chapter 3.

Diversity, diversification and differentiation defined

The terms diversity, diversification and differentiation are distinct concepts which

all broadly refers to the existence or emergence of differences. The various meanings in

the higher education literature will be explored to arrive at operational definitions used in

this study.

Stadtman (1980) defined diversity as “a condition of having differences, and in

higher education it characterizes any system in which individual institutions or groups of

institutions differ from one another in any way” (p. 97). Huisman (1998) derived the

concept of diversity from its biological and ecological origins, and diversity refers to the

measurement of characteristics of a community consisting of different species or refers to

the relative proportions of organisms across species. The level of diversity is determined

by examining not only the number of species in a community but also by examining the

evenness of the distribution of organisms across species. A species is a population of

organisms with the ability to interbreed freely and bring forth fertile offspring. Huisman

transferred these concepts to provide insights when addressing the level of diversity in

higher education systems where the system is the community, institutional types are the

species and higher education institutions are the organisms.

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The term diversity can be used when referring to the variety of types of entities (higher education institutions, study programs, disciplinary cultures) within a certain system (the higher education system, a sector of the system, a university) or to a combination of the variety of types and the dispersion of entities across the types (Huisman, 1998. p. 79).

The term diversity was used in this study, as informed by Huisman’s definition above,

when referring to the number of types of universities within Ontario’s university sector

derived from classifying institutions according to one or more characteristics and when

referring to the dispersion of universities across types at a point in time.

Stadtman (1980) and Birnbaum (1983) distinguished between internal and

external diversity. External diversity relates to differences between higher education

institutions whereas internal diversity relates to differences within institutions. Birnbaum

(1983) noted that as internal diversity increases, institutions become more alike, which

results in a decrease in external diversity.

Birnbaum (1983) identified seven forms of external diversity based on Stadtman’s

(1980) review of the literature: programmatic (differences in degree level, degree area,

mission, or program emphasis of institutions); procedural (differences in the ways in

which teaching, research or services are provided); systemic (differences in institutional

type, size and control within a post-secondary system); constituential (differences in

types of students served or faculty); reputational (differences based on prestige and

status); values and climate (differences in social environment and culture); and structural

(differences arising from legal or historical foundations or internal division of authority

among institutions).

Huisman’s (1998) review of the literature noted that studies of diversity in higher

education systems differed significantly in their conceptualization of the terms

differentiation and diversification. Diversification refers to a dynamic process in which

diversity increases either through the growth of the number of species or through a

change in the dispersion of organisms across species. The unit of research is the

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organisms in the community and the focus is on the organism and its relationship with the

environment. Differentiation is a development process, referring to the emergence of

several parts from a formerly integrated whole. These parts still need each other to be

meaningful. The unit of research is the integrated whole and the focus is on the

community as a whole and its relationship with the environment.

Translating the biological definitions of diversification and differentiation to

higher education, the term diversification (or heterogenization) and homogenization

“indicate processes in which diversity increases or decreases or in which entities in a

system become different or similar” (Huisman, 1998, p. 80). Differentiation can be used

in reference to “processes in which the number of entities of the subject surveyed

increases and for processes in which new entities emerge in the system surveyed”

(Huisman, 1998, p. 80). The addition of new entities includes entities which previously

did not exist in the system or to a new entity similar to others in the system.

Having located the concepts of diversity, diversification and differentiation in

biological and ecological theory, Huisman (1995) acknowledged that these concepts can’t

be completely transferred in the study of higher education systems. The term diversity in

biology for example, is reserved for communities of organisms that belong to different

species, while in higher education systems, the term can be applied to all classifiable

entities. Social systems, like higher education systems lack the interbreeding capabilities

of organisms making the concept of species not transferable to social systems.

Connected to this issue is that organisms cannot change their identities and therefore

change the species they belong to, whereas institutions can transform themselves into

something different. The concept of differentiation is also not easily transferable to

social events as new entities are added to a system and do not necessarily emerge from an

integrated whole but instead may be introduced from outside the system. The study of

processes which lead higher education institutions to be more or less similar seem

relevant for examination while in ecology, the extent of differences between species is

less relevant. Despite of the transferability issues noted, Huisman contends that the

distinction between the terms is tenable and worthwhile.

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Differentiation can occur horizontally when there is an increase in the types of

higher education providers (for-profit, philanthropic or religious groups) and usually

occurs as a result of increased demand for higher education (World Bank, 2000).

Horizontal differentiation also refers to a coordinated system where institutions offer a

variety of programs that are conceived as an alternative to programs offered by other

institutions with all programs valued equally (Clark, Moran, Skolnik and Trick, 2009).

Differentiation can occur vertically when there is a proliferation of institutional

types (university, college, polytechnics) and usually is driven by the demand for diverse

types of graduates due to more refined division of labor (World Bank, 2000). It refers to

a stratified hierarchical system where lower ranked institutions offer lower level courses

in the same fields as higher ranked institutions (Clark, Moran, Skolnik and Trick, 2009)

and can also refer to stratified higher education systems according to, for example,

research quality (number of publication or citations), educational quality (student rating

of instructor’s teaching quality) or academic reputation. Since 1990, increased vertical

diversity among institutions has been advocated in Europe as an option for entering the

global competition for “world-class” status (Teichler, 2008).

This study will draw from Huisman’s (1998) insights and will distinguish

between processes of diversification and differentiation in higher education systems. The

term diversification will be used in this study when referring to processes which increase

the number of types of universities or to processes which change the dispersion of

universities across types in Ontario’s university sector. The term differentiation will be

used in this study to refer to processes which increase the number of universities or

processes which create new universities in Ontario’s university sector.

Neo-liberal political framework

Ontario universities operate, like those in many other countries, within a neo-

liberal political framework. Neo-liberalism is an ideology which provides the required

structures for domestic and global economic relations. It shares the central

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presuppositions of classical economic liberalism: the self-interested individual; free

market economics; a commitment to laissez-faire and free trade, but instead has a positive

conception of the state. In neo-liberalism, the state creates the appropriate market

conditions, and laws (deregulation of the labour market, low tax regimes) to create the

ideal institutional setting for the market to flourish while creating enterprising and

competitive individuals (Olssen & Peters, 2005). State interventions may range “from

the encouragement of structural adjustment, social capital and good governance in

developing economies, to welfare safety nets, to investment in human capital, to

environmental protection, to corporate social responsibility, even to limited forms of

redistribution” (Gamble, 2006, p. 22). Neo-liberalism advocates increased competition to

increase quality; consumer-managerial accountability mechanisms based on market

processes and quantifiable output measures (performance indicators) (Olssen & Peters,

2005).

The neo-liberalization of higher education public policies have been derived from

the logic of the markets. These include the leveling of the playing field between private

and public institutions (deregulation of public sector and direct subsidies to users), the

creation of quasi-markets (by the adoption of the principles of competition in funding

allocation models), calls for greater accountability and amount of information available to

students for decision making, and the increase in user fees with a decrease in operating

support combined with increased funding allocated for student aid programs (Dill as cited

in Young, 2002). Neo-liberal policies stem from a desire for economic efficiency and

greater innovation and adaptation in the face of global competition in higher education.

It transforms higher education from a public service to a commodity (Dill, 2003).

The impact of neo-liberal policies results in the privatization of higher education

as public funding reductions imposed by the state are offloading the cost of public sector

services on individuals at market rates instead of having them provided by the state (Dill,

2003). The demand for higher education, driven by the need for human capital required

in a knowledge-based economy has opened the door for for-profit trading in higher

education which makes extensive use of a dispensable number of adjunct or part-time

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staff and few tenured faculty (Morey, 2004). Magnusson (2005) draws from Richard

Hatcher’s distinction between endogenous privatization (public sector delivery of

services is reformed to include market characteristics which mimic the private sector) and

exogenous privatization (public services are provided by the private sector) in her

examination of Ontario’s proposed higher education reform.

In higher education, marketisation seeks to make institutions more accountable to

their stakeholders, introduce greater system decentralization and increase competition for

public and private funds (Jones and Young, 2004).

Marketisation represents a neo-liberal, late 20th century compromise between privatization, the ‘autonomous’ university that is removed from social and economic forces, and blatant government control in the face of the backlash against state intrusion in western socioeconomic life. For their part, market mechanisms are viewed by government as a way of assisting them in allocating resources, where either government failure or market failure threaten either efficient allocation, or in the latter case, a resultant loss of state control over outcomes (Young, 2002. p. 81).

Drawing on Clark’s triangle of coordination as a concept that identified the forces

(market, academic control, and the role of the state) that shape education systems from

their combined influence, Young (2002) noted in her examination of seven major higher

education policy changes in Ontario from 1995 that state control over higher education

had been strengthened with the use of market mechanisms. The policy changes

incorporated the principles of competition with the encouragement of new, private

degree-granting institutions, partial deregulation to bring cost and price into greater

alignment, the creation of synergies between universities and the private sector, and

increased information dissemination requirements. The market-like policy instruments

were also layered on top of core operating support with a focus on the supply of research

(competition for capital infrastructure funding), student spaces (government funding

allocation mechanisms), and student financial assistance (donor matching programs)

(Jones and Young, 2004).

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Policy instruments and design

Policy instruments refers “to the technical means of achieving a goal, such as a

tax or a regulation [while policy design] is about choosing the most appropriate

instrument to deal with the policy problem as it is defined in order to achieve a given

policy goal” (Pal, 2006, p. 138). Efficiency and effectiveness are implied in these

definitions. The discussion of policy instruments was limited to those that will impact

institutional diversity in the university sector which include direct government action

through the utilization of their resources or regulation and their deliberate inaction.

Deliberate inaction by government as a policy instrument makes sense in

situations where a policy problem has been identified, but due to current resource

constraint or more pressing demands, funding is not available. Inaction from

governments is also available in situations where other forces, such as market

competition will resolve the problem over time. Policy intervention might not be

appropriate in situations where a precedent is set that would place unmanageable

demands on government (Pal, 2006).

Direct government action can achieve policy objectives through the utilization of

its own resources and organizational capacity or by entering into partnerships or contracts

with third parties. These instruments include the provision of grants or unconditional

transfers, contributions which are subject to performance conditions, the use of vouchers

and loans (Pal, 2006).

Regulation instruments are used by government to prohibit or promote selected

actions or behaviors in order to achieve policy objectives. These regulatory instruments

include legislation or statute and quasi-legislation (administrative authorities, policies and

guidelines issued by government) (Pal, 2006).

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Theoretical frames used to explain differentiation and diversity in higher education systems

There currently exists no prevailing sociological theory of diversity and no

unanimity as to the mechanisms that promote or hinder it. The studies of diversity in

higher education systems (Birnbaum, 1983; DiMaggio and Powell, 1983; Huisman, 1998;

Neave, 2000; van Vught, 2007) drew perspectives from organizational theory to

formulate competing theories leading to no common explanation for the increase or

decrease in institutional diversity.

Birnbaum’s (1983) empirically determined the change in institutional diversity in

American colleges and universities between 1960 and 1980 and used population ecology

theory, based on the Darwinian evolutionary point of view, as his primary conceptual

framework to explain the change in diversity. He concluded that while the American

higher education system was and continued to be extremely diverse, “during a period of

unprecedented growth in American higher education, the number of different institutional

types (141 types in 1960 and 138 types in 1980) has not increased” (p. 143). While

American colleges and universities were exposed to the same uniform environment of

competition for scarce research funding and increased federal and state regulations, they

used their additional resources to replicate existing types instead of creating new types of

institutions.

These findings can be explained by population ecologists like Hannan and

Freeman (1989), since population ecology theory focuses “on the sources of variability

and homogeneity of organizational forms…it pays considerable attention to population

dynamics, especially the processes of competition among diverse organizations for

limited resources such as membership, capital and legitimacy” (p. 13) which leads to

structural isomorphism. Said differently, organizations which operate in a competitive

environment for scarce resources will tend to converge over time as they must adapt to

their environment or they won’t survive.

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Birnbaum (1983) did question the validity of using the natural selection model

inherent in population ecology theory to explain changes in institutional populations.

Institutions that fall under the protection of government structures are somewhat

protected from the environment, thereby reducing selection pressures. Large institutions

are less likely to fail making the natural selection model more applicable to small

institutions. The differences between biological and social evolution (not guided by

genetic structures) make applying the natural selection model to organizations

problematic. Organizations are able to change form and structure and adapt to changes in

their environment while biological systems cannot.

Van Vught (2007) drew upon the population ecology, resource dependency and

institutional isomorphism perspectives from organizational theory to develop a

conceptual framework for explaining why diversity and differentiation take place in

higher education systems. His point of departure is from the open systems approach in

social sciences where higher education organizations operate in an environment with

social, political and economic conditions. From this approach, he draws his first

assumption that higher education organizations are free to receive inputs (e.g. students,

faculty, and finances) and deliver outputs (e.g. graduates and research results) for their

environment.

Van Vught (2007) drew two insights from the population ecology perspective.

The first is that the environment is the critical selector as it determines which

organizations succeed and which ones fail. The second is the idea that organizations

have the ability to acquire resources that are important to their success and survival.

When resources are scarce, only those organizations that are able to secure sufficient

permanent resources have better survival odds. Organizations must also face the process

of competition for scarce resources and therefore outperform their competition for

survival. From these insights, he derived the following two assumptions for his theory of

differentiation and diversity in higher education systems. “In order to survive, higher

education organizations need to secure a continuous and sufficient supply of resources

from their environments. When scarcity of resources exists, higher education

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organizations compete with each other to secure a continuous and sufficient supply of

resources” (van Vught, 1996, pp. 51-52).

The resource dependency perspective builds from population ecology where

organizations are dependent on their environment (unidirectional organizational

dependency) and stresses that organizations also have the ability to interact and affect

their environments. Van Vught (2007) therefore also assumed that “higher education

organizations both influence and are influenced by their environmental conditions” (p.

10) by drawing on this perspective, organizations are not only constrained by their

environment, but they can take actions to modify their environments for their survival.

Slaughter and Rhoades’s (2004) theory of academic capitalism, which explains how

universities and colleges are integrating and are being linked to the new economy,

challenges the conception of clear boundaries between the organization and its

environment inherent in resource dependency theory. They suggest that the boundaries

between markets, states, and higher education are blurred and are constantly being

negotiated.

In order to understand how organizations tend to act when faced with the threat of

scarce resources, van Vught (2007) turned his attention to the perspective of institutional

isomorphism. In order to survive, organizations must adapt to the existence of and

pressures by other organizations present in their environment. This perspective takes the

view that organizations will take into account the survival success of other organizations

in their environment leading organizations to similar behavior, thereby decreasing

systemic diversity. He drew from the work of DiMaggio and Powell (1983) that

identified three forms of institutional isomorphism: coercive isomorphism (pressures

from other controlling organizations on which the organization is dependent such as

government policies and laws), mimetic isomorphism (organizations imitating the

behavior of successful organizations as they suffer from academic drift, ambiguous goals

or uncertainty caused by poorly understood technologies) and normative isomorphism

(mimicking established professional norms).

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From the constraining processes noted above, van Vught (2007) formulated two

propositions that address the general relationships between both environmental

conditions and organizational behavior with (de)differentiation. The first proposition is

that “the larger the uniformity of environmental conditions of higher education

organizations, the lower the level of diversity of the higher education system” (p. 11).

This proposition is consistent with the notion that when organizations are faced with

competition for scarce resources (uniform environment), this leads them to adopt

successful processes, leading to institutional isomorphism. The second proposition

incorporated the propositions of mimetic and normative isomorphism with the notion that

organizations can choose their own behavior. “The larger the influence of academic

norms and values in a higher education organization, the lower the levels of diversity of

the higher education system” (p. 12). These propositions demonstrate that in order to

understand the process of differentiation, any study must examine both environmental

conditions and organizational characteristics.

Morphew (2009) made use of institutional theory, a competing theory with

population ecology, to conceptualize changes in institutional diversity, as universities

operate in normatively-defined environments “where success is more attributable to

perceptions of legitimacy than to the quality of an organization’s products” (p. 245). A

normatively-defined environment exists where there is a lack of objective goals,

technology is unclear and actors are highly professionalized. Organizations that operate

in this environment and desire success or legitimacy are susceptible to isomorphic forces

and thereby incorporate or copy the structures, processes and behaviors of the more

prestigious organization, leading to less institutional diversity.

Morphew (2009) examined the change in institutional diversity across the United

States between 1972 and 2002 by replicating Birnbaum’s (1983) methodology using size,

degree level, control and cost to categorize institutions across all 50 states. The period

under investigation was chosen because during this period, the higher education

environment became diversified. The diversified environment consisted of a significant

change in its student population (increase in the proportion of part-time, graduate and

42

minority students combined with the outnumbering of male students by female students),

stronger coordination and oversight from the state and a diversified set of resource

providers (public colleges and universities received less state and federal support which

was offset by an increase in private revenue sources) and the growth of the for-profit

college and university sector with its national institutions with multiple campuses. The

study revealed that “while institutional diversity did not increase during the period

between 1972 and 2002, the period witnessed the growth of a number of new institutional

types” (p. 253-254). The decrease in diversity was attributed to the greater clustering of

institutions within types. Population ecologists would have expected an increase in

diversity consistent with the diversity of opportunities found in the environment. The

study also found that in 2002,

new highly populated institutional types tended to be either large not-for-profits offering advanced degrees or smaller for profits offering two- or four-year degrees. Second, highly populated institutional types in 1972 that became less populated in 2002 were smaller not-for-profits offering two- and four-year degrees (p. 259).

Morphew relied on the work of Oliver (1991) who used institutional theory to understand

organizational change which produces new forms and behaviors. Oliver noted that

organizations in institutionalized environments (traditional faculty personnel and strong

academic cultures) will achieve a compromise with its internal stakeholders (in order to

retain support of key actors) to accommodate competing demands from their diverse

constituent groups for services while maintaining their institutional core. Public

universities with institutionalized elements had to find a compromise with its faculty

personnel in order to serve the new market (part-time students and the need for bachelor’s

degrees) which morphed into something else (master’s degrees offered in the evening)

thereby increasing the number of large not-for-profits offering advanced degrees. Oliver

also suggests that organizations which are highly institutionalized will likely require

more compromise or balance in response to environmental demands than those that are

less institutionalized. Organizations with fewer professionalized actors and a focus on a

single mission of profit which operate in a less institutionalized environment are free to

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act to serve the new market by offering two- or four-year degrees, hence the increase in

small for-profits offering two- or four-year degrees.

The policy and leadership lesson: while organizations may change, greater diversity is not a likely product in highly institutionalized environments because the notions of what is legitimate for these organizations still dominates. Leaders promoting greater differentiation at the system level or innovation at the institutional level must be aware of the incentive for homogenization on the part of college and university actors and create disincentives (or contrary incentives) to thwart these outcomes (Morphew, 2009, p. 263).

Codling and Meek (2006) developed twelve independent propositions on diversity

based mainly on their observations of Australia’s and New Zealand’s higher education

systems which supported the notion that a higher education system and the institutions

within it can only grow in a predictable direction with deliberate and coordinated actions.

The propositions are presented from a broad policy perspective and indicate how the

environment, policy intervention, funding initiatives, competition and cooperation, and

ranking impact institutional differentiation or convergence.

Similar to van Vught’s (2007) first proposition, Codling and Meek (2006)

suggested that “the greater the uniformity of the environmental conditions within a higher

education system, the lower the potential for systemic diversity [and conversely,] the

greater the variation in environments within a higher education system, the greater the

potential for systemic diversity” (p. 9). A homogeneous environment will promote

institutional convergence unless overt policies, like policies that restrict vocational or

academic drift in a binary system, are in place to prevent it. In Australia, over the past 15

years, traditional universities tended to become similar to the younger universities of

technology through the process of vocational drift by focusing more on applied and

commercially relevant research funded by industry, active partnerships with industry and

offering qualifications with vocational outcomes. The universities of technology on the

other hand were becoming similar to traditional universities through the process of

academic drift by appointing university trained and experienced staff, changing their

culture to be more academic in nature and broadening their research focus.

44

Institutional convergence will occur without strong government policies to sustain

the differences between institutions. From these observations, Codling and Meek (2006)

proposed that “in a higher education system existing in an essentially homogeneous

environment, the greater the formal policy intervention to promote diversity, the greater

the potential for systemic diversity. Binary systems promote diversity providing that

policy and regulation limit the natural tendencies for institutional convergence [while]

unitary systems do not in themselves promote diversity” (p. 12).

Government funding policy is a powerful tool that can be used by government to

maintain differences between institutions. A uniform funding regime that funds the same

outputs will result in institutions doing the same thing to maximize their revenues and

therefore will not encourage institutional diversity. Targeted funding for research or to

maintain certain quality standards may promote convergence as all institutions in the

system seek to steer their organizations towards meeting the specific performance

indicator in order to maximize revenues. From these observations, Codling and Meek

(2006) proposed that “the greater the financial incentives within a higher education

system that do not have explicit diversity objectives, the greater the potential for

institutional convergence [and conversely,] the greater the financial incentives within a

higher education system that do have explicit diversity objectives, the greater the

potential for systemic diversity” (p. 14).

Drawing from their Australian experiences and from deregulated higher education

systems in other parts of the world, Codling and Meek (2006) observed that a competitive

environment generally promotes convergent tendencies among institutions as institutions

are forced to copy one another to be successful. However, any discussion on the

relationship between competition and institutional diversity must also consider the

influence of economic conditions. In a competitive environment with high student

demand, institutions have sufficient resources to invest in mimetic behaviors, leading to

institutional convergence. Conversely, in a competitive environment with low student

demand and therefore limited resources, systemic diversity may increase. They reference

45

Geiger’s (1996) diversity study of United States higher education institutions which

examined the relationship between the flow of resources and systemic diversity. In

periods of rapid growth and high student demand, less prestigious institutions have the

resources and the opportunity to mimic the more successful institutions while the

converse is true in periods of low growth and student demand. From these observations,

Codling and Meek (2006) proposed that “during periods of high student demand and

resource flow in a deregulated competitive market, the potential for institutional

convergence increases [and conversely,] during periods of low student demand and

limited resources in a deregulated competitive market, the potential for systemic diversity

increases” (p.16). As a contrast to competition, Codling and Meek (2006) drew on

Canada’s experience and the work of Jones (1996) which suggested that when institutions

openly co-operate and share best practices, these isomorphic tendencies will promote

institutional convergence to arrive at the proposition that “the greater the co-operative

activity between institutions within a higher education system, the greater the potential

for institutional convergence” (p. 16).

Ranking of universities is an unavoidable phenomenon but there is no obvious

relationship between ranking and institutional diversity as countries like the United

States, Australia and New Zealand with different levels of diversity, continue to be

formally and informally ranked. There is however a tendency for those ranked at the

bottom to emulate those that are ranked higher by copying their successful activities.

From these observations, Codling and Meek (2006) proposed that “whether or not

institutional diversity occurs within a higher education system there will be a hierarchy of

institutions and institutional types based on longevity, wealth and prestige [and] where

institutional ranking is well established within a higher education system, there is a

greater potential for institutional convergence” (p. 18).

Classification and typologies in higher education The classification of higher education institutions is important as it provides

various stakeholders with the ability to investigate similarities and differences between

institutions. It contributes to the understanding of the various types of institutions within

46

a system by grouping together institutions with similar attributes. While classifications

represent a simplified reality, they increase transparency inherent in complex systems of

higher education (van Vught, 2009).

A typology differs from classifications. A typology is a conceptual classification

with its cells representing conceptual distinctions rather than empirical cases while a

classification orders empirical cases based on descriptions of their similarities and

differences (van Vught et al, 2010).

Classification of higher education systems or sectors

Scholars and policymakers have proposed a number of typologies and

classifications for higher education systems. Trow (1973) defined the development

phases of higher education systems as they expanded in size from elite (accommodates

15% of the population), to mass (accommodating up to 50% of the population) to

universal (more than 50% of the population), and these three terms have often been used

to classify the development of higher education systems. Clark (1978) suggested

categories that are useful in understanding the structures and evolution of academic

systems. Clark proposed a framework which can be used to examine differentiation of

higher education systems using two dimensions: horizontal and vertical. The

examination of differentiation within systems of higher education (between institutions)

can be done horizontally by grouping institutions by sectors (public vs. private,

universities vs. colleges vs. technological schools) or vertically by hierarchies based on

the level of educational tasks being performed by the organization (tripartite state system

in United States) or based on socially assigned prestige or status.

Tight (1988) examined the three English higher education sectors, universities,

polytechnics and colleges, using cluster analysis to arrive at a separate typology for each.

By combining the dataset of all three sectors, the study determined that the distinct

boundaries that historically divided the sectors are no longer clearly defined as some

institutions are close to the boundaries of other sectors. The study included nineteen

variables for universities and fifteen for the polytechnic and college sectors. Variables

47

were selected to reflect the varying character of institutions. They included student body

characteristics (student enrolment data) such as full and part-time graduate and

undergraduate enrolment counts, enrolment by discipline, and student-faculty ratios.

Income variables were also used (only in the university dataset) and included total

revenues and the percentage of total revenue from research grants.

Stanley and Reynolds (1994) used cluster analysis to group together similar

institutions within the unified national system of Australian universities using evaluative

ratings and performance indicators (two separate datasets) in an effort to determine if the

system fostered diversity or homogeneity. The study used thirteen evaluative ratings

obtained for each university from Australia’s Good Universities Guide and thirty-seven

performance indicators using data from the Department of Employment, Education and

Training. Performance indicators included academic staff data and ratios, minimum

entry grades by discipline, and funding and outcome variables. The funding and outcome

variables included for example, key revenue sources as a percentage of total revenue,

total research grants, degree completion and enrolment data. The study concluded that

the system maintained or increased its diversity after it was unified since clustering of

institutions did not occur.

Classification of higher education institutions

Clark (1978) also proposed a framework which can be used to examine

differentiation within higher education institutions. Institutions can be examined

horizontally by field of knowledge, or sections (faculty, school, institute or department)

and vertically by arranging units by tasks and activities (undergraduate, graduate and

professional education).

The Carnegie Classification of Institutions of Higher Education categorizes

American universities and colleges according to various criteria, including institutional

missions and functions. The classification framework was first published for use in 1973

and subsequently updated on numerous occasions with the most recent update in 2010.

The 2010 Classification update retained the six parallel all-inclusive classifications,

48

initially adopted in 2005: Basic Classification (the traditional Carnegie Classification

Framework), Undergraduate and Graduate Instructional Program classifications,

Enrollment Profile and Undergraduate Profile classifications, and Size & Setting

classification.

The Basic Classification categories are Associate Colleges, Doctorate-Granting

Universities, Master's Colleges and Universities, Baccalaureate Colleges, Special Focus

Institutions and Tribal Colleges. Sub-categories are also used to further differentiate

institutions for data analysis (Carnegie Foundation for Advancement of Teaching (2012).

Table 4 defines each category.

The European higher education classification system (U-Map) was developed

after extensive consultations with various stakeholders (higher education institutions,

student associations, employers, researchers and national and European policy making

bodies) in order “to better understand and use diversity as an important basis for the

further development of European higher education and research systems. In order to reap

the full benefits of increasing diversity, a tool is needed to describe this diversity” (van

Vught et al, 2010, p. 5).

Table 4 – Carnegie Foundation for Advancement of Teaching Basic Classification Categories

2012

Name Definition Associate's Colleges Includes institutions where all degrees are at the

associate's level, or where bachelor's degrees account for less than 10 percent of all undergraduate degrees. Excludes institutions eligible for classification as Tribal Colleges or Special Focus Institutions.

Doctorate-Granting Universities

Includes institutions that awarded at least 20 research doctoral degrees during the update year (excluding doctoral-level degrees that qualify recipients for entry into professional practice, such as the JD, MD, PharmD, DPT, etc.). Excludes Special Focus Institutions and Tribal Colleges.

49

Master's Colleges and Universities

Generally includes institutions that awarded at least 50 master's degrees and fewer than 20 doctoral degrees during the update year with occasional exceptions. Excludes Special Focus Institutions and Tribal Colleges.

Baccalaureate Colleges Includes mainly institutions where baccalaureate degrees

represent at least 10 percent of all undergraduate degrees and where fewer than 50 master's degrees or 20 doctoral degrees were awarded during the update year. Excludes Special Focus Institutions and Tribal Colleges.

Special Focus Institutions Institutions awarding baccalaureate or higher-level

degrees where a high concentration of degrees (above 75%) is in a single field or set of related fields. Excludes Tribal Colleges.

Tribal Colleges Colleges and universities that are members of the

American Indian Higher Education Consortium, as identified in IPEDS Institutional Characteristics

Derived directly from: Carnegie Foundation for Advancement of Teaching (2012)

The European classification of higher education institutions is non-hierarchical, is

based on a multi-actor and multidimensional perspective, is descriptive and not

prescriptive, and is based on reliable and verifiable data provided by each institution. It

allows stakeholders to decide for themselves which dimensions and indicators will be

used to classify and group institutions. Feasibility, validity, and legitimacy were the key

criteria used in the iterative process to select the dimensions and indicators. The

classification system has six dimensions: teaching and learning profile, student profile,

research involvement, regional engagement, involvement in knowledge exchange and

international orientation. (U-Map, 2012) Each dimension has a series of indicators which

are summarized in Table 5.

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Table 5 – The European Classification of Higher Education Institutions 2010

Dimension and Indicators Definition Teaching and learning profile Degree level focus Expenditure on teaching Orientation of degrees Range of subjects

Number of degrees awarded by level of degree (bachelor programs, undivided programs, master programs, short first cycle programs, Doctorate degrees, other third cycle level programs). Percentage of the institution’s total expenditure dedicated to the teaching activities. Proportion of graduates (all levels combined) in three types of programs: general formative programs, programs leading to licensed/regulated professions, and other career‐oriented. Number of subject areas (humanities and arts; engineering; personal services; natural sciences and mathematics; social sciences, business and law; education; agriculture; and health and social service) in which qualifications are awarded.

Student profile Distance learning students Mature students Part-time students Size of student body

Students enrolled in distance learning programs as a percentage of total enrolment. Students aged 30+ as a percentage of total enrolment Students enrolled in part‐time programs as a percentage of total enrolment. Total enrolment.

Research involvement Doctorate production Expenditure on research

The number of doctorate degrees awarded as a percentage of the number of academic staff. Expenditures on research as a percentage of total expenditure.

51

Peer reviewed academic publications Peer reviewed other research products Professional publications

Peer reviewed academic publications relative to the total number of academic staff. Number of research outputs other than peer reviewed publications and professional publications per academic staff. All publications published in journals/books/proceedings that are addressed to a professional audience and that can be traced bibliographically per academic staff.

Regional engagement First year bachelor students from the region Graduates working in the region Importance of local/regional income sources

Number of first year bachelor students from the region as a percentage of total number of first year bachelor students. Number of the graduates from two years ago who work in the region, as a percentage of the total number of graduates from two years ago. Income from regional and local sources as a percentage of total income.

Involvement in knowledge exchange Cultural activities Income from knowledge exchange activities Patent applications filed Start‐up firms

Exhibitions, Concerts and performances per 1000 FTE academic staff. Sum of income from licensing agreements, income from 'private' research contracts with business and public sector organisations, income from copy righted products and income from CPD activities as a percentage of total income. The number of patents per 1000 FTE academic staff. The average number of start‐up firms created over the last three years per 1000 FTE academic staff.

International orientation Foreign degree seeking students

Number of degree seeking students with a foreign diploma on entrance as a percentage of total enrolment in degree seeking programs.

52

Importance of international sources of income Incoming students in international exchange programs International academic staff Students sent out in international exchange programs

Income from international sources as a percentage of total income. Number of incoming students in international exchange programmes, as a percentage of total enrolment. Foreign academic staff members as a percentage of total number of academic staff. Number of students sent out in international exchange programs as a percentage of total enrolment.

Derived directly from: U-Map (2011)

While Canada does not have a formal classification system, Canadian universities

have been differentiated by type for many years by Maclean’s as it annually ranks

Canadian universities in its November issues. The current categorization by Maclean’s

(primarily undergraduate, comprehensive and medical/doctoral) is now generally

accepted by universities and the general public. Orton (2003), through his work at

Statistics Canada, also suggests the use of these institutional types and expanded these by

two others, First Nations and Métis and special purpose organizations. Orton (2003)

explains:

Primarily undergraduate institutions focus on first degrees, usually BA and BSc; they have relatively few graduate programs…Comprehensive institutions have a significant amount of research activity and a wide range of programs at the undergraduate and graduate levels, including professional degrees…Medical doctoral universities are those with a broad range of PhD programs and research, as well as medical schools…First Nations and Métis institution are either controlled by one or more of the First Nations or Métis groups, receive at least 25% of their funding from one of these groups or from funds that either the federal or a provincial government has set aside for First Nations and Métis programs, are located on a reserve, or whose mission or mandate is to serve First Nations and Métis peoples…Special purpose university and degree-granting institutions are those whose programs or mandate make clear that they deal with a specific field of study or are intended for a special clientele. These institutions typically award a majority of degrees in a single field… The following special purpose areas have been identified: agriculture, art, business, distance education, medical/health, music, religious and theological, technical, and other (Orton, 2003. p. 26-27).

53

Conclusion Ontario’s universities operate within a neo-liberal political framework where

market mechanisms have been used by government in the allocation of resources that

strengthened state control over higher education. These government funding policies,

combined with other factors such as economic conditions, levels of competition and

cooperation, type of external environmental (diversified or homogeneous) conditions, and

the degree to which an institution’s internal environment is normatively-defined, are all

factors that must be considered in the conceptualization of mechanisms that promote or

hinder institutional diversity in higher education systems. There exist no prevailing

sociological theories of diversity.

The change in institutional diversity can be empirically determined by first

classifying higher education institutions based on descriptions of their similarities and

differences. Over the years, scholars and policymakers have proposed a number of

typologies and classification systems for higher education institutions. The Carnegie

Classification of Institutions of Higher Education has categorized American universities

and colleges since 1973. A European higher education classification system was recently

developed as non-hierarchical and is based on multiple dimensions while Canadian

universities have been differentiated by type for many years by Maclean’s with its

primarily undergraduate, comprehensive and medical/doctoral classifications.

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CHAPTER III: RESEARCH METHODOLOGY

Introduction Diversity can be examined using various methodological approaches: critical

analysis, structured qualitative studies and quantitative studies. Qualitative studies are

holistic in nature, offer theoretical grounding but often do not identify which particular

aspects of diversity are being examined and lack empirical testing. While quantitative

studies are superior in this respect, they are reductionist in nature as diversity is often

reduced to a few measurable variables by its operationalization method. They also

seldom offer explanations for their findings (Skolnik, 1986).

In order to gain a better understanding of diversity in Ontario, this study will

exploit the benefits of both quantitative and qualitative studies through the use of a mixed

research method. Johnson, Onwuegbuzie and Turner (2007) argued that mixed methods

research is one of the major research paradigms in addition to quantitative and qualitative

research. A mixed research method “is the type of research in which a researcher or team

of researchers combines elements of qualitative and quantitative research approaches

(e.g., use of qualitative and quantitative viewpoints, data collection, analysis, inference

techniques) for the broad purposes of breadth and depth of understanding and

corroboration” (p.123). The use of multiple research methods for validation purposes

was first introduced in the social science methodological literature by Campbell and

Fiske (1959) with the concept of multiple operationalism which was later extended by

Webb, Campbell, Schwartz, and Sechrest (1966) who were credited with being the first to

use the term triangulation (the use of two or more measurement processes which are used

to confirm a proposition).

This study first used quantitative research measures to determine the extent of

diversity in the university sector in 1994 and 2010 and more specifically the extent of

systemic and climate diversity during 1994, 2010 and forecasted to 2018. The second

phase of this study used policy analysis and drew on mutually related theoretical

perspectives from organizational theory as its primary conceptual framework to assist in

55

the interpretation and corroboration of the change in diversity between 1994 and 2010.

Interviews were conducted with internal agents to gain a greater understanding of the key

factors or barriers which results in Ontario’s reticence in proposing design changes in its

higher education system. Having been informed by the policy analysis, interviews and

the projection of the extent of systemic and climate diversity by 2018 using institutional

strategic plans, the study proposed a policy on institutional diversity for Ontario’s

university sector.

Quantitative methodology

This study quantitatively measured and determined the extent of diversity in the

university sector in 1994 and 2010 using hierarchical cluster analysis. It also

quantitatively measured and determined the change from 1994 to 2010 in systemic

diversity (institutional size and type) and climate diversity (campus environment and

culture) by adapting Birnbaum’s (1983) diversity matrix methodology to categorize

institutions into institutional types and determined their concentration and dispersion by

type as a means of assessing diversity in the university sector in the province of Ontario.

Simpson’s λ was also used as another measure of systemic and climate diversity for 1994

and 2010.

This study first used hierarchical cluster analysis, a technique used “for portioning

objects into optimally homogenous groups on the basis of empirical measures of

similarity among those objects” (Johnson, 1967, p. 241) to group together universities

(unit of analysis) with similar characteristics (response variables). The practical result of

the analysis is a dendogram for both years that was compared to determine the change

and extent of diversity in the university sector for and between 1994 and 2010. This

study is less interested in the characteristics of each cluster, and as such, did not conduct

multivariate analysis on the clusters as groups.

The response variables used in the analysis for both years are those used to

operationalize systemic and climate diversity as these variables are commonly used to

differentiate institutions and reflect the varying character of institutions.

56

• Number of full-time faculty

• Full-time graduate enrolment

• Part-time graduate enrolment

• Full-time undergraduate enrolment

• Part-time undergraduate enrolment

Financial indicators that differentiate institutions by their main functions of education and

research were also used for 1994 and 2010 consistent with faculty data, enrolment data

and revenue sources used by Stanley and Reynolds (1994).

• Tuition fee revenue: tuition revenue is impacted by the institution’s tuition policy,

the number of students, student mix by program, level of study, and proportion of

international students served and therefore will differentiate institutions.

• Operating grants funding: operating grants revenues are impacted by the number

of students enrolled and the student mix of programs and therefore will

differentiate institutions.

• Non-credit operating funding: Since not all institutions offer the same extent and

type of non-credit courses, this variable will differentiate institutions.

• Sponsored research funding: Since institutions provide different levels of

sponsored research, this variable will differentiate institutions.

This study’s hierarchical cluster analysis used Ward’s method as its clustering

algorithm as suggested by Huisman (2000) and the (squared) Euclidean distance as its

distance index as recommended and favored by Huberty, Jordon and Brandt (2005).

Ward’s method uses an analysis of variance approach to evaluate the distances between

clusters and groups all cases into groups and proceeds until there is only one group. This

method is more suitable than the k-mean clustering algorithm for this study, as it made no

hypotheses concerning the number of clusters in 1994 and 2010. The subjectivity related

to the choice of Ward’s clustering algorithm over other algorithms is minimized since the

same method is used for both 1994 and 2010. The Euclidian distance in univariate

57

analysis is the arithmetic difference between two values. The squared Euclidian distance

was used in order to place progressively greater weight on variables that are further apart.

As recommended by Milligan and Cooper in Huberty, Jordon and Brandt (2005), since

there is no common metric to the measurement of all variables, each variable was

standardized using z scores prior to conducting the analysis using SPSS. It is

acknowledged that an approach which uses a selection of meaningful dimensions by

definition implies a loss of information.

The study more specifically assessed the change in systemic and climate diversity

by adapting Birnbaum’s (1983) methodology that categorizes institutions into

institutional types to Ontario’s university sector. Institutional types in this study were

determined using two variables for systemic diversity: Size (small, medium, large) and

Institutional Types (Primarily undergraduate, comprehensive, medical/doctoral, special

purpose), and the following three variables for climate diversity: Enrolment Profile (low

graduate, medium graduate, high graduate), Undergraduate Profile (low full-time,

medium full-time, high full-time) and Student-faculty Contact (high contact, medium

contact, low contact). The variables selected were limited to those that can be objectively

quantified and provided face validity as they were generally accepted as variables

reflecting differences among institutional forms and function in an Ontario context.

It should be noted that the method employed and variables selected in this study

differ from those used by Birnbaum (1983). First, Birnbaum used a matrix which yield a

total of 768 possible institutional types by categorizing each institution by control (four

values); size (three values); sex of students (two values); curriculum (four values);

highest degree level (four variables); and minority enrolment (two values). For the

purpose of this study, the variables were adapted to accommodate the number of

universities in Ontario with a focus on systemic and climate diversity. While

differentiating universities using the control variable may be a discriminating factor in the

United States, this is not the case in Ontario since most institutions (save for Dominican

University College and Redeemer University College) have the same form of control as

publicly funded universities. While there are a small number of private religious colleges

58

operating in Ontario as a niche-market, they receive little attention in public discussions

of higher education (Jones and Young, 2004). For these reasons, this study did not use

the control variable to assess systemic diversity. Future research in this area may have to

consider this variable if more private and other institutions are provided with the

authority to grant degrees under the various ministerial consents or if a study is concerned

about institutional diversity in relation to universities and colleges. The sex of student

variable is not relevant in Ontario since all universities are essentially coeducational

public institutions. The highest degree level offered is not a discriminating variable in

Ontario since only one small institution did not offer graduate degrees. Categorizing

institutions as minority institutions if more than 50% of its enrolment is non-white would

not have differentiated institutions in Ontario as the student population is extremely

ethnically diverse and institutions in Ontario do not define themselves as minority-

serving institutions.

The distribution by institutional types was completed by assigning each institution

to one cell of the diversity matrix using only the two variables to assess systemic

diversity and again, using only the three variables to assess climate diversity. The

possible number of institutional types to categorize each institution is determined to be

the product of the values of each variable. For systemic diversity, the possible number of

institutional types is 12 (3X4) and for climate diversity, the possible number of

institutional types is 27 (3X3X3). Each institution in the study was categorized using

each of the five variables and identified to belong to one and only one of the possible

institutional types. Therefore, institutions having the same identical values for all

variables are viewed as belonging to the same institutional type, or sharing the same cell

in the matrix. It should be noted that institutions belonging to the same institutional type

are not identical in all aspects but share characteristics of their basic form and structure

even though other elements may be different.

Quantitative measures of systemic and climate diversity were calculated using

four indices as suggested by Birnbaum (1983) for 1994, 2010 and 2018 to identify any

significant change between years.

59

• Index A. Diversity increases as institutions are spread over a larger number of

types. Index A is calculated by dividing the number of institutions in the province

by the number of types they represent. The higher the index, the less the diversity.

• Index B. Diversity increases as large-scale clustering within the most densely

populated cell of the diversity matrix decreases. Index B is calculated by dividing

the number of institutions in the most densely populated cell of the diversity

matrix by the total number of institutions in the province (and multiplied by 100

for ease of calculation). The higher the index, the less the diversity.

• Index C. Diversity increases as the concentration of institutions within types

decreases. Index C is calculated by taking the proportion of institutions in the

sample that are in the most highly populated 10 percent of the cells of the

diversity matrix and multiplied by 100 for ease of calculation. The higher the

index, the less the diversity.

• Index D. Diversity increases as the proportion of institutions in the sample that

belong to a cell in the matrix with no other institution increases. Index D is

calculated by dividing the number of institutional singlets by the total number of

institutions and multiplied by 100 for ease of calculation. The higher the index,

the more the diversity.

In ecology, the level of diversity is obtained from Simpson’s λ (∑pᵢ²) which

calculates “the probability that two institutions drawn at random from the population of

higher education belong to the same institutional type” (Huisman, Meek and Wood,

2007, p. 569) where pᵢ represents the proportional abundance of the ith institutional type.

It was used in this study as a measure of systemic and climate diversity for 1994, 2010

and 2018. This measure used the number of institutional types as determined by adopting

Birnbaum’s (1983) methodology to the Ontario university sector and the total number of

institutions. The closer the indicator is to zero, the higher the diversity and conversely,

the closer the indicator is to one, the lower the diversity.

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Defining the university sector in Ontario

The following method was used to determine which institutions were deemed to

be part of Ontario’s university sector. Prior to 1990, the only institutions that offered

secular degrees were universities. In this past two decades, many different types of

institutions in Ontario were given the authority to grant degrees in response to increased

demand for undergraduate degrees, blurring the historical binary structural distinction.

The increased demand was also handled by providing additional funds to existing

institutions to increase their capacity and by creating the University of Ontario Institute

of Technology (UOIT).

An institution was included in the definition of Ontario’s university sector if,

during the period 1994 to 2010, the institution either gained membership in the

Association of Universities and Colleges of Canada (AUCC) or gained membership (full

and associate) in the Council of Ontario Universities (COU) but excluded those

institutions that held affiliation or federation arrangements with a comprehensive

institution as these institutions formed an integral part of the comprehensive institution.

Marshall (2004) noted that AUCC membership is the de facto accreditation

process in Canada. In order to gain membership in AUCC, an institution must satisfy a

number of criteria to ensure that the institution operates like a university. Membership is

tightly controlled to ensure that the association can effectively lobby for like institutions.

AUCC members include institutions that have entered into affiliation or

federation arrangements with comprehensive institutions. Harris (1979) noted that most

of these independent theological institutions still possess the legal right to grant degrees

but hold this authority in abeyance under the terms of the arrangements entered into with

the comprehensive institutions (Harris, 1979, as quoted in Skolnik, 1986).

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Table 6 – Institutions included in the 1994 and 2010 Ontario university sector

Institution

Founding year*

Year joined

AUCC*(6)

COU member?

**

Included in 1994 dataset?

Included in 2010 dataset?

Algoma University (1) 1964 2007 YES NO YES Brock University 1964 1965 YES YES YES Carleton University 1942 1949 YES YES YES Dominican University College (2)

1900

1974

NO

YES

YES

University of Guelph 1964 1964 YES YES YES Lakehead University 1965 1965 YES YES YES Laurentian University 1960 1965 YES YES YES McMaster University 1887 1915 YES YES YES Nipissing University 1992 1994 YES YES YES OCAD University (3) 1876 2006 YES YES YES OISE (4) 1965 n/a YES YES NO University of Ontario Institute of Technology(5)

2002

2006

YES

NO

YES

University of Ottawa 1848 1965 YES YES YES Queen’s University 1841 1915 YES YES YES Redeemer University College

1982 1985 NO YES YES

Royal Military College of Canada

1876

1939

YES

YES

YES

Ryerson University 1948 1971 YES YES YES University of Toronto 1827 1915 YES YES YES Trent University 1963 1965 YES YES YES University of Waterloo 1957 1960 YES YES YES The University of Western Ontario

1878

1915

YES

YES

YES

Wilfrid Laurier University 1911 1961 YES YES YES University of Windsor 1857 1954 YES YES YES York University 1959 1964 YES YES YES *obtained from Association of Universities and Colleges of Canada ** includes member and associate members (1) Algoma University was an affiliate campus of Laurentian University in 1994 and

therefore was excluded from the 1994 dataset.

(2) Dominican University College receives operating support from the province of Ontario at 50% of the BIU attributed to other provincially assisted universities. In

62

April 2012, Dominican University College and Carleton University signed an affiliation agreement whereas non-ecclesiastical programs and academic degrees offered by Dominican University College will be part of Carleton University and subject to the approval of its senate.

(3) COU recently granted full membership to OCAD University “in view of the institution’s long-standing status as an associate member of COU and as a direct recipient of university operating grants from the province of Ontario, and in view of the June 7, 2010 amendments to its Act to add the word ‘university’ to its name, establish a Senate, and establish the position of Chancellor” (Council of Ontario Universities, 2011, p. 2) While OCAD University was not accepted in AUCC until 2006, it was an associate member of COU in 1994 and therefore was recognized as an integral part of the university sector in Ontario. For that reason, OCAD University was included in the 1994 and 2010 dataset.

(4) The Ontario Institute for Studies in Education (OISE) was established in 1965 by an

act of the Ontario legislature to conduct research and provide graduate level programs. While OISE was a separately incorporated legal entity in 1994 and operated as an autonomous institution receiving its funding directly from the province and it administered its own academic programs both financially and procedurally, it operated in affiliation with the University of Toronto and graduates received University of Toronto degrees. Since OISE was an associate member of COU in 1994 and was recognized as an integral part of the university sector in Ontario, it was included as a separate institution in the 1994 dataset. In July 1996, OISE was integrated with the University of Toronto’s faculty of education and ceased operation as a separate legal entity and therefore was excluded from the 2010 dataset as it was not a member of either COU or AUCC in 2010.

(5) UOIT was founded in 2002 and therefore was excluded from the 1994 dataset. (6) The following institutions were members of AUCC but were excluded from the study

for both 1994 and 2010 since they held affiliation or federation arrangements with another comprehensive institution included in the study:

University of Trinity College, Victoria University and University of St. Michael’s College held arrangements with the University of Toronto. St. Paul’s University held arrangements with the University of Ottawa. University of Sudbury held arrangements with Laurentian University. Brescia University College, Huron University College and King’s University College held arrangements with The University of Western Ontario. St. Jerome’s University held arrangements with the University of Waterloo.

While AUCC membership provides strong evidence that an institution can be

defined as a university, Council of Ontario Universities (COU) membership was also

considered as the study’s focus is Ontario institutions. COU’s mission is to “promote

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cooperation among provincially assisted universities of Ontario, and between them and

the Government of the Province, and, generally, to work for the improvement of higher

education for the people of Ontario” (Council of Ontario Universities, 2011, p. 1). COU

membership is granted to those institutions that receive annual operating funding directly

from the province, have the statutory authority to grant degrees and identify themselves

as universities.

Some characteristics that define a university for COU membership include having

a mission and academic goals that demonstrate a commitment to teaching, research and

service to the community, and must provide a breadth of undergraduate degrees in arts

and sciences and first professional degree programs. Previous to the adoption of these

criteria for membership in 2002, COU offered associate membership status to those

institutions that while they did not meet all of the criteria for full-membership, were

considered an integral part of the university sector in Ontario. The current constitution of

COU does not make any provision for future associate members save for the Royal

Military College of Canada and Ontario College of Art and Design (OCAD) which

retained its associate membership status when the new membership criteria were adopted

in 2002. Table 6 shows the institutions that were included in each year of the dataset.

The Northern Ontario School of Medicine (NOSM), which welcomed its first

students in the fall of 2005, is a stand-alone not-for-profit corporation with its own board

of directors and is a joint initiative of Lakehead University and Laurentian University.

While the senate of both universities is providing the academic authority to NOSM, it is

not a member of AUCC nor is it a member of COU and therefore was excluded from

both datasets.

The University of Guelph-Humber, which offers seven undergraduate programs

since 2002, is a partnership arrangement between the University of Guelph and the

Humber Institute of Technology and Advanced Learning. University of Guelph-Humber

is not a member of AUCC nor is it a member of COU and therefore was excluded from

both datasets.

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Operationalization of the variables – Systemic diversity

The classification of institutions by role and function facilitates the understanding

of differences that exist among institutions (Altbach, 2002). This study assessed systemic

diversity by classifying institutions by size and type which is common in studies of

diversity.

Institutional size

Institutional size is a variable that can be used to differentiate institutions. The

American literature “consistently supports the existence of strong relationships between

institutional size and other variables relating to activities, goals, campus climate and

student outcomes” (Birnbaum, 1983. p.88). This view is also shared by The Carnegie

Foundation for Advancement of Teaching (2010) which noted on their website that size

does matter: “It is related to institutional structure, complexity, culture, finances, and

other factors”.

Zezar’s (2006) review of the literature identified that size affects many

institutional processes including instructional delivery, student satisfaction, resource

management approaches, leadership practices, change, planning, presidential searches,

accreditation, approaches to institutional research among many others. Larger

institutions are more complex, more impersonal, and usually offer a passive learning

environment with more levels of administration as compared to smaller institutions.

When it comes to student engagement, she noted that Pascarella and Terenzini used

enrolment levels of 5,000 to define small-sized institutions and 10,000 or more as large-

sized institutions.

Huffman and Schneiderman (1997) examined the effects of institutional size on

the six-year institutional graduation rate for undergraduate students using 800 four-year

post-secondary institutions in the United States. The statistical analysis controlled for

student academic preparation, enrolment to dormitory capacity ratio, percentage of part-

time students, expenditure per student, and student-faculty ratio. Institutional size was

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determined to have a significant and negative influence on graduation rates. As

institutions grew in size, the percentage of students who complete a baccalaureate degree

in six-years decreased. Table 7 is a model derived from the statistical analysis. If

institutional size did not have an impact on graduation rates, the number of students who

fail to graduate per 10,000 would be equal for all enrolment levels. While this is not the

case, there appears to be a significant decline in graduation rates after the 10,000

enrolment level and less of an impact between the 5,000 and 10,000 levels. The study

also makes the point that when it comes to graduation rates, close to 1,000 more students

would graduate if three institutions with enrolment levels of 10,000 were used as opposed

to one institution of 30,000 students (3 x 148= 444 as compared to 3 x 476=1,428 for a

difference of 984).

Table 7 – Negative effects of institutional size 1997

Enrolment levels

Graduate rate

Number of Students who

Fail to Graduate per 10,000

1,000

46.9

--

5,000

46.3

66

10,000

45.4

148

20,000

43.8

312

30,000

42.2

476

40,000

40.5

640

50,000

38.9

804 Source: Huffman and Schneiderman (1997), p. 19.

Huisman and colleagues (2007) defined large institutions in their cross-national

and longitudinal empirical analysis as those with more than 10,000 students which is

consistent with the Carnegie Foundation for Advancement of Teaching (2010) which also

defines large four-year institutions as those with more than 10,000 students. Large

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institutions in a European context are defined as those institutions having 15,000 or more

students while small institutions are those with less than 5,000 students (U-Map, 2011).

This study accepted that students will probably have similar experiences in institutions

with more than 10,000 students and therefore categorized institutions as a) small if they

have less than 5,000 students, b) medium if they have between 5,000 to 10,000 students

and c) large if they have more than 10,000 students.

Classifying institutions by type

In order to determine how institutions are differentiated by type, the study first

turned to the Carnegie Foundation for Advancement of Teaching’s (2012) Basic

Classification for institutions and also examined how institutions are classified in a

Canadian context.

The Associate and Tribal College classification would not be useful to classify

institutions included in this study as no institution in Ontario would fall under this

category. The other categories proved useful. See Table 8 for results.

From a Canadian context, universities have been differentiated by type for many

years by Maclean’s, as it annually ranks Canadian universities in its November issues.

The current categorization by Maclean’s (primarily undergraduate, comprehensive and

medical/doctoral) is now generally accepted by universities and the general public. Orton

(2003) suggested using Maclean’s institutional types and expanded these by two others,

First Nations and Métis and special purpose organizations. Therefore, from a Canadian

context, the categorization by Maclean’s was used with the addition of Orton’s (2003)

two additional types which were grouped together under the type called Special Purpose

in an effort to minimize the number of values that could unduly inflate the number of

institutional types. Table 9 shows how institutions were categorized in 2010 under the

adjusted Carnegie classification system (without the Associate’s College and Tribal

Colleges categories) and the adjusted Maclean’s classification (with the addition of a

Special Purpose category).

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Table 8 – Classification of Ontario Universities under the Adjusted Carnegie and Maclean’s Classification Methodology

2010

Institution

Adjusted Carnegie Classification

Adjusted Maclean’s Classification

Algoma University (1) Special Focus Special Purpose Brock University Baccalaureate Primarily Undergraduate Carleton University Doctorate-Granting Comprehensive Dominican University College (2)

Special Focus

Special Purpose University of Guelph Doctorate-Granting Comprehensive Lakehead University Baccalaureate Primarily Undergraduate Laurentian University Baccalaureate Primarily Undergraduate McMaster University Doctorate-Granting Medical/Doctoral Nipissing University Baccalaureate Primarily Undergraduate OCAD University (3) Special Focus Special Purpose University of Ontario Institute of Technology (4)

Baccalaureate

Primarily Undergraduate

University of Ottawa Doctorate-Granting Medical/Doctoral Queen’s University Doctorate-Granting Medical/Doctoral Redeemer University College (5) Special Focus Special Purpose

Royal Military College of Canada (6)

Special Focus

Special Purpose

Ryerson University Baccalaureate Primarily Undergraduate University of Toronto Doctorate-Granting Medical/Doctoral Trent University Baccalaureate Primarily Undergraduate University of Waterloo Doctorate-Granting Comprehensive The University of Western Ontario

Doctorate-Granting

Medical/Doctoral

Wilfrid Laurier University Baccalaureate Primarily Undergraduate University of Windsor Baccalaureate Comprehensive York University Doctorate-Granting Comprehensive (1) While Algoma University is primarily an undergraduate institution which provides

programs in liberal arts and sciences and professional programs, it was classified as a special purpose institution as its Charter identifies it as having a special mission with a "focus on the needs of Northern Ontario" (Algoma University, 2010, p. 4) and to "cultivate cross-cultural learning between Aboriginal communities and other communities" (Algoma University, 2010, p. 4). Algoma University's objectives are to focus on Anishinaabe education and research as well as implementing academic

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offerings that ensures that it remains a distinctive university (Algoma University, 2010).

(2) Dominican University College was classified as a special purpose institution as it offers undergraduate and graduate programs in only two fields of study (philosophy and theology) while mainly serving Christian students. (www.collegedominicain.ca)

(3) OCAD University was classified as a special purpose institution as it offers undergraduate and graduate programs in only two fields of study (visual arts and design). (www.ocadu.ca)

(4) UOIT’s mission is to provide “programs that are innovative and responsive to the

individual needs of students and to the market-driven needs of employers” UOIT Act, (2002). This study classified UOIT as primarily undergraduate as it offers degrees in a number of fields, offers relatively few graduate programs and does not serve a specific clientele.

(5) Redeemer University College was classified as a special purpose institution as it offers undergraduate and graduate programs in only two fields of study (liberal arts and science) in a Christian context. (www.redeemer.ca)

(6) Royal Military College of Canada was classified as a special purpose institution as it offers undergraduate and graduate programs in only three fields of study (arts, science and engineering) to students interested in the pursuit of a career as an officer of the Canadian Forces. (www.rmc.ca)

Table 9 – Number of institutions by category - Adjusted Carnegie and Maclean’s Classification Methodology

2010

Methodology

Number of Institutions

Adjusted Carnegie Doctorate-Granting 9 Master's Universities 0 Baccalaureate 9 Special Focus 5 Adjusted Maclean’s Medical/Doctoral 5 Comprehensive 5 Primarily Undergraduate 8 Special Purpose 5

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The Adjusted Carnegie classification results in only 3 categories while the

Adjusted Maclean’s results in 4 categories which allows for increased differentiation by

type without unduly inflating the number of types. Both methodologies result in the same

number of institutions being classified as special purpose. Institutions in the Doctorate-

Granting category are essentially further differentiated in the Adjusted Maclean’s

methodology between the Medical/Doctoral and Comprehensive category. The

University of Windsor is the exception as it is classified as Baccalaureate in the Adjusted

Carnegie methodology since it offers less than 50 master’s programs and less than 20

doctoral programs while it would be considered as having a wide range of graduate

programs in a Canadian context by its inclusion in the Comprehensive category. The

study accepted the Adjusted Maclean’s methodology as it allows for increased

differentiation by type, it includes categories that are well understood and accepted by the

general public in Ontario and Canada, since Maclean’s has been using them for many

years, and differentiates those institutions that offer medical school programs.

Operationalization of the variables – Climate diversity

The variables used to assess climate diversity are enrolment profile,

undergraduate profile and student-faculty contact. The selection of values for each

variable permits for differentiation between institutions while allowing for similar

institutions to be clustered together.

Enrolment profile

This variable categorizes students according to the proportion of students enrolled

in undergraduate and graduate programs and provides insight into the mission and

climate of the institution. The Carnegie Foundation for Advancement of Teaching

(2012a) noted on their website that the mix of graduate and undergraduate students

“reflects important differences with respect to educational mission as well as institutional

climate and culture—differences that can have implications for infrastructure, services,

and resource allocation”. Leslie (1980) noted that Canadian universities were developed

with an emphasis on minimum standards of achievements and universal accessibility

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rather than by building a stratified university system. Universities, for the most part,

offer both undergraduate and graduate programs with no major centre for graduate

education. Graduate education provides an atmosphere of enquiry and discovery with

faculty having diverse intellectual interests, thereby benefiting both undergraduate and

graduate students. A fair proportion of total resources need to be allocated to support

graduate education. These would include financial resources for the library and

laboratories that would also benefit undergraduate students. However, faculty time

would have to be shared between graduate and undergraduate students. He also noted

that graduate students should make up at least 5% of the student base in order for the

institution to have some benefits from providing graduate education.

The Carnegie Foundation for Advancement of Teaching (2012a) classifies

institutions as exclusively undergraduate (two and four year institutions with no graduate

programs), combined undergraduate and graduate/professional, or exclusively

graduate/professional (no undergraduate programs). Institutions that provide both

undergraduate and graduate programs (which is the case in Ontario except for Algoma

University) are further differentiated by those with very high undergraduate (graduate

students account for less than 10% of FTE enrolment), high undergraduate (graduate

students account for between 10% and less than 25% of FTE enrolment), majority

undergraduate (graduate students account for between 25% and less than 50% of FTE

enrolment) and majority graduate/professional (graduate students account for at least

50% of FTE enrolment).

The European classification of higher education institutions chose not to use an

indicator of graduate intensity in their teaching and learning profile dimension to avoid

its hierarchical connotation. Instead, they chose to use the following degree attributions,

of which one or more may be attributed to a single institution: doctorate focus (more than

5% of all qualifications awarded are doctorate degrees), master focus (more than 25% of

all qualifications awarded are master’s degrees), bachelor focus (more than 40% of all

qualifications awarded are bachelor degrees), and sub-degree focus (more than 5% of all

qualifications awarded are sub-degree qualifications) (U-Map, 2011).

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From a Canadian and Ontario context, few institutions have more than 25% of

their student population as graduate students. This study accepted that students have a

different experience in institutions with graduate students making up less than 10% of

total enrolment and more than 20% of total enrolment. Institutions were therefore

categorized as a) low graduate, if they have less than 10% full-time graduate students as a

percentage of total full-time enrolment, b) medium graduate, if their graduate enrolment

is between 10% and 20% and c) high graduate, if their graduate enrolment is above 20%.

Undergraduate profile

This variable provides insight into the undergraduate climate and culture of the

institution by distinguishing between the undergraduate population that attend on a full-

time basis and those that attend on a part-time basis. The Carnegie Foundation for

Advancement of Teaching (2010a) noted on their website that

these differences have implications for the scheduling of classes, student services, extracurricular activities, time to degree, and other factors. Part-time students also tend to be older than full-time students, and older students bring more life experience and maturity into the classroom, often accompanied by a greater zeal for learning compared with those who have not spent any appreciable time away from formal education. Older students also face special challenges related to the competing obligation of school, work and family. The European classification of higher education institutions examines the part-

time nature of the student body as a whole in its student profile dimension and does not

differentiate between graduate and undergraduate students. Its part-time student indicator

examines the number of students enrolled in part-time programs as a percentage of total

enrolment and classifies institutions as either predominantly part-time (more than 20% of

total enrolment are part-time students), substantially part-time (between 10% and 20% of

total enrolment are part-time students), some part-time (between 5% and 10% of total

enrolment are part-time students) and none if less than 5% of students are enrolled in

part-time programs (U-Map, 2011). Since the vast majority of students in Ontario

universities are undergraduates, the study investigated the undergraduate climate and

culture by examining the number of part-time undergraduate students at each institutions.

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Institutions were therefore categorized using the same values used by the

Carnegie Foundation for Advancement of Teaching (2010a) for its examination of

undergraduate profile. An institution was categorized as a) low full-time, if full-time

undergraduate students as a percentage of total undergraduate enrolment is less than 60%,

b) medium full-time, if the percentage is between 60% and less than 80% and c) high

full-time, if the percentage is 80% or higher.

Student-faculty contact

This variable was used as there is a widely held belief in the literature that one of

the factors that lead to improved student engagement, satisfaction and learning is

increased student-faculty contact (e.g., Jacob, 1957; Wilson, Gaff, Dierst, Wood, and

Bavry, 1975; Pascarella and Terenzini, 1979; Astin, 1985, 1993; Lundberg and Schreiner,

2004). For the most part, the more contact between students and faculty both inside and

outside the classroom, the greater the student development and satisfaction (Astin, 1993).

Tinto (1987) noted that student-faculty involvement was the primary motivator for

students’ persistence in their education while Astin (1993) found that student-faculty

interactions were positively associated “with student grade-point average, degree

attainment, enrollment in graduate or professional school, every self-reported area of

intellectual and personal growth, satisfaction with quality of instruction, and likelihood of

choosing a career in college teaching” (pp. 383-384).

From an Ontario perspective, student-faculty interactions have also gained

increased prominence as The Honorable Bob Rae (2005) recommended an additional

$700 million be provided by 2007-08 for academic renewal in Ontario “towards teaching

excellence and educational innovation so that students have increased opportunities for

meaningful contact with faculty, and better facilities and equipment” (p. 53).

Universities in Ontario have also been asked to sign accountability agreements with the

Ministry of Training, Colleges and Universities that include specific student-faculty

targets to be achieved with the additional funding provided.

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McMurtry and McClelland (1997) reviewed the literature on student-faculty ratios

and student learning and identified several studies conducted at the elementary and

secondary school level in support of the notion that smaller class sizes have a positive

impact on achievement scores. “For every pupil by which class size is reduced below 20,

the class’s average achievement improves substantially more than for each pupil by

which class size is reduced between 30 and 20” (Glass, Cahen, Smith, & Filby, 1979 as

quoted in McMurtry & McClelland, 1997, p. 294). Kokkelenberg, Dillon, and Christy’s

(2008) study at a public university controlled for a number of variables such as student

ability, level of student, gender, minority status, academic department and others and

determined that the “average grade point declines as class size increases, precipitously up

to class size of twenty, and more gradually but monotonically through larger class sizes.

Using this study to base the parameters, institutions were categorized as a) high contact,

if the ratio of total enrolment to full-time faculty is below 20, b) medium contact, if the

ratio is 20 to 30 and c) low contact, if the ratio is above 30.

Qualitative methodology

The second phase of this study used policy analysis, broadly defined by Pal

(2006) “as the disciplined application of intellect to public problems” (p. 14) and his

expanded definition borrowed from Dunn (2004) as “a process of multidisciplinary

inquiry designed to create, critically assess, and communicate information that is useful

in understanding and improving policies” (Pal, 2006, p. 14). It considered the federal and

provincial policy environments with a focus on the financial component of these policies

which have the greatest impact on universities in Ontario. It drew on mutually related

theoretical perspectives from organizational theory: resource dependency and

institutional isomorphism as its primary conceptual framework in order to assist in the

interpretation and corroboration of the change in diversity during 1994 and 2010. This

study drew from this analytical and theoretical approach as its unit of observation is a set

of organizations.

Qualitative research interviews were used as a method of obtaining knowledge.

Semi-structured individual interviews were conducted with university presidents

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(Executive Heads) or their designate and the President of COU from March 1, 2013 to

May 31, 2013 to gain a greater understanding of the key factors or barriers responsible

for Ontario’s reticence in making design changes in its higher education system.

Participants were also asked to comment on suggestions made in the literature and in the

sector generally, that would increase diversity in Ontario’s university sector and to

suggest provincial and federal government levers that could effectively be used to

increase diversity.

Selection of participants

Nine university presidents or their designate and the President of COU were

interviewed. The selection ensured that participants represented a cross-section of

institutional types (3-comprehensive, 3-primarily undergraduate, 2-medical/doctoral and

1-special purpose) and sizes (6-large, 2-medium and 1-small) as determined by their 2010

categorization. The participants also covered Ontario’s geographic regions (3-GTA, 3-

Central, 1-East, 1-Southwest and 1-Northern) and represented over 40% of publicly

assisted universities. Permission was obtained in writing from each participant to

disclose their names as participants in this study. The participants were:

Dr. Patrick Deane President and Vice-Chancellor McMaster University Dr. Mike Degagné President and Vice-Chancellor Nipissing University Dr. Sara Diamond President and Vice-Chancellor OCAD University Dr. Sheldon Levy President and Vice-Chancellor Ryerson University Dr. Tim McTiernan President and Vice-Chancellor University of Ontario Institute of Technology

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Dr. Bruce Mitchell Associate Provost, Resources University of Waterloo Dr. Bonnie M. Patterson President and Chief Executive Officer Council of Ontario Universities Dr. Alastair Summerlee President and Vice-Chancellor University of Guelph Dr. Alan Wildeman President and Vice-Chancellor University of Windsor Dr. Daniel Woolf Principal and Vice-Chancellor Queen’s University

Data collection

All participants were provided with a three page summary of the research

methodology and the draft results of the quantitative analysis (Chapter III to VI) as well

as the list of discussion questions. They were also provided with a letter of consent

which was signed and returned to the researcher prior to starting the interview. All

interviews were conducted in person, were digitally recorded and were targeted to last no

more than one hour. All interviews were personally transcribed by the researcher within

approximately one week of the date of the interview and were provided to participants via

e-mail. This ensured that participants had the opportunity to review the transcript and

make additions, deletions or corrections as they saw fit and return the revised transcript to

the researcher within one month. Few participants made changes to the transcript. Notes

were also taken during interviews which proved to be useful in summarizing the main

points of discussion. The written text was analyzed through meaning condensation to

identify major themes.

The main discussion questions were as follows:

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• If the term institutional diversity refers to the number of institutional types in a

system or sector, or the even dispersion of institutions across types in a system or

sector, in your opinion, to what extent is institutional diversity currently a

cherished value in Ontario’s university sector? Why?

• Institutional diversity comes in different forms. Some forms include,

programmatic diversity (differences in degree level, degree area, mission, or

program emphasis of institutions); procedural diversity (differences in the ways in

which teaching, research or services are provided); systemic diversity (differences

in the type of institution and size of institution); constituential diversity

(differences in types of students served or faculty); reputational (differences based

on prestige and status); values and climate (differences in social environment and

culture). Which form or forms of diversity do you value most? Why?

• An examination of systemic and climate diversity between 1994 and 2010 found

that there was a decrease in the levels of diversity. How would you explain these

results? What factors, in your opinion, are contributing to this convergence?

• There have been a number of suggestions made on how institutional diversity can

be increased in Ontario’s university sector, including for example, the creation of

a teaching-oriented undergraduate focused sector, the creation of an open

university or through the use of Strategic Mandate Agreements. What issues or

concerns do you have with these approaches to increasing systemic diversity in

Ontario’s university sector? How would you suggest increasing diversity in the

sector?

• What provincial government policies or levers would be most helpful or most

likely to increase systemic diversity in Ontario’s university sector?

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• What federal government policies or levers would be most helpful or most likely

to increase systemic diversity in Ontario’s university sector?

• Is there anything else you would like to add on the topic of diversity from a sector

or institutional perspective?

Limitations of qualitative methodology

As previously stated, there are 21 provincially assisted universities in Ontario.

The study purposely selected participants that ensured representation from a cross-section

of institutional types and geographic regions and therefore cannot be generalized to

represent the views and opinions of all university Presidents in Ontario.

Conclusion This chapter described how the research design first addressed the quantification

of the extent of diversity in Ontario’s university sector between 1994 and 2010 (using

hierarchical cluster analysis) and more specifically, addressed the quantification of

systemic and climate diversity by adapting Birnbaum’s (1983) diversity matrix

methodology. It also described how the second phase of the research design used policy

analysis, organizational theory and interviews to assist in the interpretation and

corroboration of the change in diversity to arrive at a proposed policy for Ontario’s

university sector.

This study’s research methodology ensured that this dissertation contributed to the

scholarly literature on higher education in a number of ways. It first added to the

international scholarly discussions of using organizational theory as a conceptual

framework to better understand the change in diversity by bringing an Ontario

perspective in evaluating competing perspectives. This dissertation also provided a first

attempt at quantifying the level of diversity (including systemic and climate diversity) in

Ontario’s university sector.

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CHAPTER IV: QUANTITATIVE ANALYSIS

Introduction

This chapter quantitatively measured and determined the extent of diversity in the

university sector in 1994 and 2010 by first using hierarchical cluster analysis. It also

quantitatively measured and determined the change between 1994 and 2010 in systemic

diversity (institutional size and type) and climate diversity (campus environment and

culture) by adapting Birnbaum’s (1983) diversity matrix methodology to categorize

institutions into institutional types and determined their concentration and dispersion by

type as a means of assessing diversity in the university sector in the province of Ontario.

Simpson’s λ was also used as another measure of systemic and climate diversity for 1994

and 2010.

Hierarchical cluster analysis

Hierarchical cluster analysis empirically measures the similarity among variables

and groups similar cases together as homogeneous groups. Table 10 provides descriptive

statistics for all variables used in the hierarchical cluster analysis for 1994 and 2010

before being converted to standard scores. The standard deviation for almost all variables

exceeds the mean due to the high variability in the minimum and maximum values.

Figure 1 and Figure 2 shows the results of the 1994 and 2010 hierarchical cluster

analysis in the form of a dendogram after the raw score for each variable was

standardized and the cluster analysis conducted using SPSS. Universities were clustered

in three groups for both 1994 and 2010. All universities included in both 1994 and 2010

belonged to the same group in 2010 as they did in 1994. These two observations

obtained from an examination of the dendograms suggested that there has been very little

change in diversity between 1994 and 2010.

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Table 10 – Raw Score Descriptive Statistics 1994 and 2010

Standard

Variable Year Mean Deviation Minimum Maximum

Basic operating funding 1994 75,279 80,531 - 351,131 2010 104,571 104,718 - 451,312

Non-credit funding 1994 2,366 4,160 - 16,131 2010 7,883 12,205 - 41,500

Tuition fees 1994 31,965 30,194 131 126,039 2010 130,107 138,581 310 600,781

Sponsored research funding 1994 33,276 56,798 - 251,699 2010 114,574 200,995 9 878,725

Full-time undergraduates 1994 9,826 8,236 17 29,836 2010 15,857 14,072 36 56,531

Part-time undergarduates 1994 3,976 3,710 65 13,236 2010 3,263 3,689 31 16,956

Full-time graduates 1994 1,152 1,481 - 6,360 2010 2,232 2,938 - 13,195

Part-time graduates 1994 515 562 - 1,809 2010 526 596 - 2,165

Full-time Faculty 1994 614 605 9 2,568 2010 699 638 7 2,698

A closer examination of the second cluster grouping (Guelph, Queen’s, Carleton,

Waterloo, McMaster, Ottawa, Western, York and Ryerson) revealed that it took slightly

longer for Ryerson and York to join the second cluster in 2010 as compared to 1994

suggesting that they are slightly more diverse from the second cluster of institutions in

2010 as compared to 1994.

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Figure 1 – Dendogram of Ontario Universities 1994

The University of Toronto’s characteristics were so dissimilar from the other

institutions that it remained as a single member in a cluster for both 1994 and 2010. In

the 1994 dendogram, the University of Toronto was combined with all other institutions

in the last stage of the analysis. In the 2010 dendogram, the University of Toronto is first

combined with the second cluster grouping, and as a group, combined with the first

cluster grouping. This would suggest that the University of Toronto, while still a single

member in a cluster, is less different that other institutions in 2010 as compared to 1994

suggesting a decrease in diversity.

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Figure 2 – Dendogram of Ontario Universities 2010

The hierarchical cluster analysis suggested that there has been very little change

in diversity between 1994 and 2010 since universities in Ontario were clustered in three

groups for both 1994 and 2010 and remained in the same cluster grouping in 2010 as they

did in 1994.

Diversity matrix analysis

In order to quantitatively measure and determine the change from 1994 to 2010 in

systemic diversity (institutional size and type) and climate diversity (campus environment

and culture) by adapting Birnbaum’s (1983) diversity matrix methodology, institutions

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must first be categorized. Table 11 categorizes institutions by size and type for 1994 and

2010. Table 12 categorizes institutions by enrolment and undergraduate profile, and

student-faculty contact for 1994 and 2010. Enrolment and faculty data used to categorize

institutions for 1994 and 2010 can be found in Appendix 1 and 2 respectively.

Table 11 – Categorization by Size and Type 1994 and 2010

1994 2010 1994 2010

Algoma University S SPBrock University L L PU PUCarleton University L L C CDominican College of Philosophy and Theology S S SP SPUniversity of Guelph L L C CLakehead University M M PU PULaurentian University M M PU PUMcMaster University L L MD MDNippissing University S M PU PUOCAD University S S SP SPOntario Institute for Studies in Education S SPUOIT M PUUniversity of Ottawa L L MD MDQueen's University L L MD MDRedeemer University College S S SP SPRoyal Military College of Canada S S SP SPRyerson University L L PU PUUniversity of Toronto L L MD MDTrent University M M PU PUUniversity of Waterloo L L C CThe University of Western Ontario L L MD MDWilfrid Laurier University M L PU PUUniversity of Windsor L L C CYork University L L C C

Size: S=small, M=medium, L=largeType: PU=primarily undergraduate, C=comprehensive, MD=medical/doctoral, SP=special purpose

SIZE TYPE

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Table 12 – Categorization by Enrolment Profiles and Student/Faculty Contact 1994 and 2010

1994 2010 1994 2010 1994 2010

Algoma University L M LBrock University L L M H L LCarleton University M M M H L LDominican College of Philosophy and Theology H H L L H HUniversity of Guelph M L H H M LLakehead University L L M H L MLaurentian University L L M M M MMcMaster University M M M H H MNippissing University L L L M L LOCAD University L L L M L LOntario Institute for Studies in Education H L HUOIT L H LUniversity of Ottawa M M M H M LQueen's University M M M M M MRedeemer University College L L H H M MRoyal Military College of Canada H H H H H HRyerson University L L L L L LUniversity of Toronto M M M H M MTrent University L L M H M LUniversity of Waterloo L M M H M LThe University of Western Ontario M M M H H MWilfrid Laurier University L L M H M LUniversity of Windsor L M M H L LYork University L L M H L L

Enrolment profile: L= low graduate, M= medium graduate, H=high graduateUndergraduate profile: L=low full-time, M=medium full-time, H=high full-timeStudent/Faculty contact: L=low contact, M=medium contact, H=high contact

PROFILE PROFILEENROLMENT UNDERGRADUATE STUDENT/FACULTY

CONTACT

The results of the categorization were first summarized for each variable by year

in order to assess the reasonableness of the categorization and to gain a general

understanding of the changes which took place from 1994 to 2010 and its impact on

systemic and climate diversity.

Distribution of institutions by variable

Table 13 summarizes the distribution of institutions by size using total enrolment

levels. It shows that there has been very little change in the dispersion of institution by

size since 1994. Nipissing University is classified in 2010 as medium from small in 1994

as its enrolment levels exceeded 5,000 students in 2010. Wilfrid Laurier University is

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classified in 2010 as large from medium in 1994 as its enrolment levels exceeded 10,000

students in 2010. It appears that the 56% increase in enrolment which occurred after

1994 in Ontario’s university sector was mainly absorbed by institutions that were already

considered to be large institutions.

Table 13 – Ontario Institutions by Size 1994 and 2010

(n) %* (n) %*

Small 6 27 5 22

Medium 4 18 5 22

Large 12 55 13 57

Total 22 100 23 100* Percentage may not add due to rounding

1994 2010

Table 14 shows that there has also been very little change in the dispersion of

institutions by type between 1994 and 2010 as the only change occurred in the primarily

undergraduate classification due to the creation of UOIT in 2002. There is no change in

the special purpose category as the reduction of one institution (as a result of the merger

of OISE with the University of Toronto) was offset by the addition of another institution

(the dissolution of Algoma University College and re-establishment of the institution as

Algoma University in 2007).

After considering the distribution of institutions by category for each of the two

variables (size and type) used to assess systemic diversity, the analysis would suggest that

there has been very little change if any in systemic diversity from 1994 to 2010.

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Table 14 – Ontario Institutions by Type 1994 and 2010

(n) %* (n) %*

Primarily undergraduate 7 32 8 35

Comprehensive 5 23 5 22

Medical/doctoral 5 23 5 22

Special purpose 5 23 5 22

Total 22 100 23 100* Percentage may not add due to rounding

1994 2010

Table 15 shows the distribution of institutions by their enrolment profile. There

appears to be very little change in the dispersion of institutions from 1994 to 2010

suggesting no change in climate diversity. The University of Waterloo and the

University of Windsor increased their mix of graduate and undergraduate students as both

institutions moved up one level (from low to medium) while the University of Guelph

moved down one level (from medium to low). Algoma and UOIT were two additions to

the low category. The merger of OISE with the University of Toronto reduced the

number of institutions with high graduate profile.

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Table 15 – Ontario Institutions by Enrolment Profile

1994 and 2010

(n) %* (n) %*

Low graduate 12 55 13 57

Medium graduate 7 32 8 35

High graduate 3 14 2 9

Total 22 100 23 100* Percentage may not add due to rounding

1994 2010

Table 16 would suggest that there has been a significant change in the

undergraduate profile of institutions from 1994 to 2010 as a result of the growth in

undergraduate enrolment with a greater percentage of undergraduate students attending

institutions on a full-time basis. While the enrolment data collected is for the most part

consistent amongst institutions in-year, it cannot be used to make year-over-year

comparisons because institutions changed their definitions of ‘full-time’ student since

1994. For example, the University of Toronto considered a student to be ‘full-time’ if

she took 4 full courses (8 half courses) per year in most programs prior to 2003-04 but

thereafter considered 3 full courses (6 half courses) as being a ‘full-time’ workload which

inflates the number of full-time students offset by a reduction in the number of reported

part-time students in 2010 as compared to 1994, making the comparison based on

distribution between the two years less meaningful.

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Table 16 – Ontario Institutions by Undergraduate Profile

1994 and 2010

(n) %* (n) %*

Low full-time 5 23 2 9

Medium full-time 14 64 5 22

High full-time 3 14 16 70

Total 22 100 23 100* Percentage may not add due to rounding

1994 2010

Table 17 shows the distribution of institutions based on their level of

student/faculty contact. It appears that there has been a decrease in climate diversity

from 1994 to 2010 since the dispersion of institutions are concentrated mainly around the

low contact category in 2010 yet institutions are more evenly distributed by category in

1994. Wilfrid Laurier University, Trent University and the Universities of Guelph,

Waterloo and Ottawa all had a decrease from medium to low contact while McMaster

University and The University of Western Ontario had a decrease from high to medium

contact from 1994 to 2010. Only Lakehead University improved its level of contact

moving from low to medium. It appears that institutions handled the growth in enrolment

since 1994 with increased part-time faculty in 2010 relative to 1994, larger class sizes or

a combination of both.

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Table 17 – Ontario Institutions by Level of Student/Faculty Contact 1994 and 2010

(n) %* (n) %*

Low contact 8 36 14 61

Medium contact 9 41 7 30

High contact 5 23 2 9

Total 22 100 23 100* Percentage may not add due to rounding

1994 2010

After considering the distribution of institutions by category for each of the three

variables (enrolment profile, undergraduate profile and student-faculty contact) used to

assess climate diversity, the analysis would suggest that there has been a decrease in

climate diversity from 1994 to 2010. This conclusion was reached mainly from

examining the student-faculty variable as the enrolment profile showed little change

while the undergraduate profile provided no insight.

Categorization of institutions into types

Using the results of the categorization of institutions by variables, the study

adapted Birnbaum’s (1983) diversity matrix methodology to categorize institutions into

institutional types and determined their concentration and dispersion by type as a means

of assessing systemic and climate diversity in the university sector in the province of

Ontario for 1994 and 2010. Each institution is assigned to one cell of the diversity matrix

using only the two variables to assess systemic diversity (type and size) and again, using

only the three variables to assess climate diversity (enrolment profile, undergraduate

profile and student/faculty contact).

Table 18 shows the distribution of institutional types using the variables to assess

systemic diversity for 1994 and 2010. The number of types decreased from 6 in 1994 to

5 in 2010 with over 85% of institutions belonging to only 4 types for both years.

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Table 18 – Distribution of Institutional Types – Systemic Diversity 1994 and 2010

Number of Types

Number of Universities

Cumulative number of

types %

Cumulative number of institutions %

3 5 3 50 15 681 4 4 67 19 861 2 5 83 21 951 1 6 100 22 1006 6 100 22 100

Number of Types

Number of Universities

Cumulative number of

types %

Cumulative number of institutions %

4 5 4 80 20 871 3 5 100 23 1005 5 100 23 100

2010

1994

The results of calculating the simple indices are as follows:

Table 19 – Comparison of Four Simple Diversity Indices – Systemic Diversity 1994 and 2010

Change in

INDEX Diversity Calculation Index Calculation Index since 1994

A 22/6 3.7 23/5 4.6 DecreaseB 5/22 X 100 22.7 5/23 X 100 21.7 UnchangedC 3/22 X 100 13.6 2.5/23 X 100 10.9 IncreaseD 1/22 X 100 4.5 0/23 X 100 0 Decrease

1994 2010

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Index A indicates that there was more systemic diversity in 1994 with twenty-two

universities spread over 6 types compared to twenty-three universities spread over 5 types

in 2010. Index B, which measures the extent of large-scale clustering of universities by

institutional type, indicates that there was little change between both years as the largest

cluster remained constant with 5 institutions. Index C, which measures the extent to

which institutions are concentrated by type, indicates that 2010 had less concentration by

type and therefore more systemic diversity as compared to 1994. Index D, which

measures the extent to which institutions belong to only one institutional type, indicates

that 1994 had more systemic diversity since it had one unique institutional type as

compared to no unique institutional types in 2010. The categorization of institutions by

size and by type may vary the index values by year depending on how each variable is

defined. Since the categorization method is consistent for both 1994 and 2010, the yearly

index values are not as significant by themselves but are calculated purely to determine

the change over time. All differences are also being treated as equally important.

The level of systemic diversity can be further summarized numerically for 1994

and 2010 using Simpson’s λ. The larger the number of types of higher education

institutions and the more institutions are evenly distributed across a large number of

types, the more diverse the system. The closer the indicator is to zero, the higher the

diversity. In 1994, there were 22 institutions distributed across 6 types. Simpson’s λ is

consequently: (5/22)² + (5/22)² + (5/22)² + (4/22)² + (2/22)² + (1/22)² = 0.1983. In 2010,

there were 23 institutions distributed across 5 types. Simpson’s λ is consequently: (5/23)²

+ (5/23)² + (5/23)² + (5/23)² + (3/23)² = 0.2060. The categorization of institutions may

vary the calculation of Simpson’s λ by year but since the categorization is consistent for

both 1994 and 2010, the yearly values are not as significant by themselves but are

calculated purely to determine the change over time. Using the calculation of Simpson’s

λ there appears to be a decrease in systemic diversity between 1994 and 2010 since the

2010 value is higher than the 1994 value.

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Therefore, there appears to have been a decrease in systemic diversity from 1994

to 2010 with two of the four indices identifying a decrease, one identifying little change

and the other identifying an increase in diversity and Simpson’s λ indicating a decrease.

Table 20 – Distribution of Institutional Types – Climate Diversity 1994 and 2010

Number of Types

Number of Universities

Cumulative number of

types %

Cumulative number of institutions %

2 4 2 20 8 362 3 4 40 14 642 2 6 60 18 824 1 10 100 22 10010 10 100 22 100

Number of Types

Number of Universities

Cumulative number of

types %

Cumulative number of institutions %

1 6 1 10 6 261 4 2 20 10 432 3 4 40 16 701 2 5 50 18 785 1 10 100 23 10010 10 100 23 100

2010

1994

Table 20 shows the distribution of institutional types using the variables to assess

climate diversity for 1994 and 2010. The number of types remained unchanged at ten

between the two years with 4 unique institutional types in 1994 as compared to 5 in 2010

suggesting an increase in the level of climate diversity in the sector.

The results of calculating the simple indices are as follows:

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Table 21 – Comparison of Four Simple Diversity Indices – Climate Diversity 1994 and 2010

Change inINDEX Diversity

Calculation Index Calculation Index since 1994A 22/10 2.2 23/10 2.3 UnchangedB 4/22 X 100 18.2 6/23 X 100 26.1 DecreaseC 4/22 X 100 18.2 6/23 X 100 26.1 DecreaseD 4/22 X 100 18.2 5/23 X 100 21.7 Increase

1994 2010

Index A indicates that climate diversity essentially remained unchanged since

1994 with twenty-two universities spread over ten types as compared to twenty-three

universities spread over ten types in 2010. Index B which measures the extent of large-

scale clustering of universities by institutional type indicates that there was a decrease in

climate diversity as the largest cluster included 4 institutions as compared to 6 in 2010.

Index C, which measures the extent to which institutions are concentrated by type,

indicates that 1994 had less concentration by type and therefore more climate diversity as

compared to 2010. Index D, which measures the extent to which institutions belong to

only one institutional type, indicates that 1994 had less climate diversity since it had 4

unique institutional types as compared to 5 unique institutional types in 2010. The

categorization of institutions by enrolment profile, undergraduate profile and

student/faculty contact may vary the index values by year depending on how each

variable is defined. Since the categorization method is consistent for both 1994 and

2010, the yearly index values are not as significant by themselves but are calculated

purely to determine the change over time. All differences are also being treated as

equally important.

The level of climate diversity can be further summarized numerically for 1994

and 2010 using Simpson’s λ. In 1994, there were 22 institutions distributed across ten

types. Simpson’s λ is consequently: (4/22)² + (4/22)² + (3/22)² + (3/22)² + (2/22)² +

(2/22)² + (1/22)² + (1/22)² + (1/22)² + (1/22)² =0.1281. In 2010, there were 23

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institutions distributed across ten types. Simpson’s λ is consequently: (6/23)² + (4/23)² +

(3/23)² + (3/23)² + (2/23)² + (1/23)² + (1/23)² + (1/23)² + (1/23)² + (1/23)² = 0.1493. The

categorization of institutions may vary the calculation of Simpson’s λ by year but since

the categorization is consistent for both 1994 and 2010, the yearly values are not as

significant by themselves but are calculated purely to determine the change over time.

Using the calculation of Simpson’s λ there appears to be a decrease in climate diversity

between 1994 and 2010 since the 2010 value is higher than the 1994 value.

Therefore, there appears to have been a decrease in climate diversity from 1994 to

2010 with two of the four indices identifying a decrease, one identifying little change and

the other identifying an increase in diversity and Simpson’s λ indicating a decrease.

Conclusion

The hierarchical cluster analysis suggested that there has been very little change

in diversity between 1994 and 2010 since universities in Ontario were clustered in three

groups for both 1994 and 2010 and remained in the same cluster grouping in 2010 as they

did in 1994. However, by adapting Birnbaum’s (1983) diversity matrix methodology to

Ontario’s university sector, there appears to have been a decrease in systemic diversity

between 1994 and 2010 with two of the four indices identifying a decrease, one

identifying little change and the other identifying an increase in diversity and Simpson’s

λ indicating a decrease. There also appears to have been a decrease in climate diversity

between 1994 and 2010 with two of the four indices identifying a decrease, one

identifying little change and the other identifying an increase in diversity and Simpson’s

λ indicating a decrease. The following two chapters examined the federal and provincial

environment in an attempt to explain why systemic and climate diversity decreased in

2010 from 1994.

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CHAPTER V: FEDERAL POLICY ENVIRONMENT

Introduction

This chapter first examined the general environmental conditions affecting

Ontario universities and will concentrate on its policy environment in order to determine,

through policy analysis, how these policies impacted the level of diversity in the sector.

Institutions in Ontario are influenced by federal and provincial policies. The study

focused mainly on government policies as they undoubtedly have “a most critical

influence on systemic diversity. In national systems such as those of Australia, the

Netherlands, New Zealand, Sweden and the United Kingdom, convergent tendencies

predominate amongst higher education institutions because policy and regulation are not

strong enough to sustain differences between institutions” (Codling and Meek, 2006, p.

9). Furthermore, special attention was placed in this study on financial incentives since

“one of the most powerful forms of policy intervention that a government can use to

maintain differences between institutions is that of higher education funding policy”

(Codling and Meek, 2006, p. 12).

This chapter examined a number of key federal government funding programs

and their contribution to processes of institutional diversification or convergence which is

followed, in the next chapter, by an examination of key provincial programs. The

methodology used to determine if a policy contributes to processes of institutional

diversification or convergence is as follows. Wherever practical, this study first

examined the extent of the change in the dispersion of funding amongst institutions by

comparing the relative proportion of grants received in 1994 as compared to 2010. There

is a greater potential for systemic diversity when funding is concentrated in fewer

institutions. The funding concentration was further examined using the standard

deviation of the relative proportion of grants received in 1994 and 2010. An increase in

the distance from the mean from 1994 to 2010 signifies an increase in concentration of

funding, which suggests increased systemic diversity. The features of a policy were also

considered to determine if the policy provided diversity or convergence incentives for

institutions.

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The federal programs examined in this study include the provision of research

funding to universities through its national granting councils, Canada Research Chairs

Program, Canada Excellence Research Chairs Program and Knowledge Infrastructure

Program.

Ontario’s environmental conditions

Organizational theory provided a means of analyzing organizational behavior

from a marco perspective through the examination of the relationship between the

organization and its environment. Environmental conditions influence the development

of higher education systems. There are a number of external factors which influences the

university sector in Ontario that must be considered before examining the impact of

federal government policies.

Clark, Moran, Skolnik and Trick (2009) identified two major phenomena which

contributed to the shaping of Ontario’s environment: democratization and globalization.

Democratization in a higher education context is “the idea that all members of society

should have equal access, in a meaningful way, to the resources that society makes

available for post-secondary education and to the opportunities resulting from that

experience” (p. 18). Institutions are faced with increased public interest in how they are

meeting their objectives of increased access and student success resulting in calls for

greater accountability and transparency. Existing institutional norms and values,

especially around what constitutes quality scholarship are being challenged as a result of

greater diversity among staff’s gender, ethnicity and background.

Globalization is a multi-dimensional phenomenon with political, social and

cultural implications since the process of globalization is driven by market forces

(competition and the lure of profits) and technological revolution (transport and

communication). Globalization is “used in a positive sense to describe a process of

integration into the world economy. It is used in a normative sense to prescribe a

strategy of development based on a rapid integration with the world economy” (Nayyar,

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2008, p. 3). The main implications of globalization for higher education include

increased public awareness of the knowledge and skills produced by post-secondary

institutions and its contributions to economic growth, reliance on market and quasi-

market forces with greater competition for the provision of degrees, increased uncertainty

about the levels of funding available to institutions combined with increased demands for

efficiency and increased pressures for more collaboration with industry for greater

economic competitiveness and for academic institutions to adopt business processes for

greater efficiency (Clark, Moran, Skolnik and Trick, 2009).

From 1994 to 2010, there was a significant change in student population from

increased demand for undergraduate and graduate education. As noted in Chapter 1, total

student enrolment increased by 58.6% with graduate students making up a greater

proportion of total population. This period of high student demand for undergraduate and

graduate education also included a gradual increase (1994 – 56% to 2010 – 60%) in

female graduates as a percentage of total graduates (Statistics Canada). This period is

also characterized by an increase in financial resources combined with a more diversified

revenue stream even as the combination of government operating grants and tuition fees

accounted for almost the same proportion of total revenue by 2010. However, the

benefits of a diversified revenue stream are tempered by the fact that the provincial

government’s operating support funds students equally by program for all institutions and

tuition fees are mostly regulated creating a uniform funding regime.

Clark, Moran, Skolnik and Trick (2009), in their analysis of the forces which

shaped higher education in Ontario, highlighted the strong dominance of values and

norms in universities to include the notion of maximizing choices which forms the basis

for academic freedom of individuals and the autonomy of institutions. These freedoms in

higher education are also balanced with other ethical norms of quality and reputation.

“…the ethos of existing institutions may work so strongly against specialization that it

could be argued that little can be done to move any of them toward specialization”

(p.178), a clear indication that in their view, universities in Ontario operate in an

environment that has traditional faculty personnel with strong academic cultures.

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From 1994 to 2010, the development of Ontario Universities were influenced by a

lack of variation in a number of environmental factors including a uniform provincial

economy, uniform funding regimes and the strong dominance of values and norms

suggesting the promotion of similar responses from universities and in turn, promoting

homogeneity across the system.

Federal government policies

The role of the Federal government in higher education began in 1874 with the

creation of the Royal Military College in Ontario followed by the funding of applied

industrial research in 1916 and university tuition of World War II veterans. As higher

education came to be viewed as a public good in the 1950’s, access to higher education

needed to expand and the government began to provide operating funding to universities.

Later, operating funding was no longer provided directly to universities but through the

Established Programs Financing (in support of postsecondary education without any

spending restrictions), which also included the health care envelope; and in 1995, was

replaced with the Canada Health and Social Transfer, further expanding the funding

envelope with all social transfer programs (Jones, 2006).

Jones (2006) noted that certain federal programs reward existing research strength

in universities and reinforce differences between those institutions that are research-

intensive from those that are more teaching-intensive. As industrial research in Canada

lagged other OECD member countries, the federal government increased research

funding and created federal Centers of Excellence to link research with industry, and

provided massive research infrastructure funding linked to the private sector through the

Canada Foundation for Innovation. Funding was also provided to support the indirect

cost of research based on an institution’s success in obtaining university-based peer

reviewed research from the three federal granting councils.

The examination of federal research funding provided to Ontario universities is

important as it supports a key function and is a differentiating characteristic amongst

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institutions. However, Fallis (2013) noted that differentiating universities according to

their research-intensity is complicated and controversial as research results are

disseminated in a variety of ways and therefore are difficult to measure. While there is

no requirement for Ontario universities to report on their research (a gap in Ontario’s

accountability framework), proxies for research output like research grants received are

used to evaluate the extent of research by institution. This type of analysis excludes

research conducted by professors using the institution’s library system, computer or the

institution’s own funding.

Table 22 summarizes the federal program funding and their contributions to

processes of institutional diversification or convergence derived from this study’s

analysis, the details of which are examined below.

Table 22 – Summary of Federal Programs and Related Impact on Institutional Diversification or Convergence

Federal Program Promoted

National granting councils Diversification

Social Science and Humanities Research Council Diversification

Natural Science and Engineering Research Council Diversification

Canadian Institute for Health Research Diversification

Canada Research Chairs Diversification

Canada Excellence Research Chairs Undetermined

Knowledge Infrastructure Program Convergence

National granting councils

For many years, the federal government has been providing research funding to

universities through its three national granting councils (Social Sciences and Humanities

Research Council, Natural Science and Engineering Research Council and the Canadian

Institute for Health Research) based on a peer review competitive process. Table 23

shows the combination of all grants received by institution for all three granting councils.

Ontario universities received $254 million from all three national granting councils in

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1994 as compared to over $746 million in 2010. It is interesting to note that while

Ryerson University, Wilfrid Laurier University, Lakehead University and Brock

University each held less than 1% market share in 1994, they all made significant gains in

their research capacity by 2010. University of Guelph, University of Waterloo, Carleton

University, and the University of Windsor had a significant percentage drop in research

capacity in 2010 from 1994. The five medical/doctoral schools all improved their market

share (save for Queen’s University) and maintained their relative levels of research

funding by receiving 77% of the total in 2010 as compared to 71% in 1994.

Table 23 – Comparison of Funding Provided by National Granting Councils by Institution

1994 and 2010

1994 2010Percentage Percentage Percentage

1994* 2010** of Total of Total ChangeInstitution

Algoma University - 143 0.0 0.0 -Brock University 1,423 6,264 0.6 0.8 33.3Carleton University 11,513 23,769 4.5 3.2 -28.9University of Guelph 18,716 28,743 7.4 3.8 -48.6Lakehead University 1,031 4,426 0.4 0.6 50.0Laurentian University 1,403 3,920 0.6 0.5 -16.7McMaster University 29,189 88,815 11.5 11.9 3.5Nipissing University 16 455 0.0 0.1 -OCAD University - 102 0.0 0.0 -Ontario Institute for Studies in Education 1,018 - 0.4 - -UOIT - 2,909 0.0 0.4 -University of Ottawa 18,344 88,222 7.2 11.8 63.9Queen's University 25,815 62,190 10.2 8.3 -18.6Ryerson University 838 9,276 0.3 1.2 300.0University of Toronto 84,499 267,951 33.2 35.9 8.1Trent University 1,899 4,226 0.7 0.6 -14.3University of Waterloo 20,395 43,791 8.0 5.9 -26.3The University of Western Ontario 22,771 67,898 9.0 9.1 1.1Wilfrid Laurier University 895 5,022 0.4 0.7 75.0University of Windsor 4,678 9,694 1.8 1.3 -27.8York University 9,744 28,872 3.8 3.9 2.6 Total 254,187 746,688 100.0 100.0

* SSHRC, NSERC and Medical Research Council funding as reported in the 1993-4 COFO-UO Financial Report of Ontario Universities.**SSHRC, NSERC and CIHR funding as reported in the 2009-10 COFO-UO Financial Report of Ontario Universities.

(Thousands of dollars)

An examination of the standard deviation of the 1994 percentage of total (SD=

7.62) as compared to the 2010 percentage of total (SD= 8.07) determined that there has

100

been an increase in the distances from the mean and therefore suggests that research

activity is more concentrated in 2010 as compared to 1994 thereby increasing the

potential for institutional diversification.

Since the three granting councils each provide different levels of funding to the

university sector in Ontario, the analysis was extended by disaggregating the funding by

research council to examine if one or more research council contributed to the increase in

the concentration of research activity in 2010 as compared to 1994.

Table 24 – Comparison of Social Sciences and Humanities Research Council Funding by Institution

1994 and 2010

1994 2010Percentage Percentage Percentage

1994* 2010** of Total of Total ChangeInstitution

Algoma University - 119 0.0 0.1 -Brock University 200 3,219 0.9 3.2 255.6Carleton University 1,521 6,466 7.1 6.4 -9.9University of Guelph 732 1,772 3.4 1.8 -47.1Lakehead University 68 1,124 0.3 1.1 266.7Laurentian University 114 657 0.5 0.7 40.0McMaster University 1,626 6,290 7.6 6.2 -18.4Nipissing University - 178 0.0 0.2 -OCAD University - 102 0.0 0.1 -Ontario Institute for Studies in Education 906 - 4.2 0.0 -UOIT - 204 0.0 0.2 -University of Ottawa 3,034 13,000 14.1 12.9 -8.5Queen's University 1,688 8,233 7.8 8.2 5.1Ryerson University 97 2,448 0.5 2.4 380.0University of Toronto 5,025 25,682 23.4 25.5 9.0Trent University 483 987 2.2 1.0 -54.5University of Waterloo 1,161 3,335 5.4 3.3 -38.9The University of Western Ontario 1,632 8,948 7.6 8.9 17.1Wilfrid Laurier University 460 2,354 2.1 2.3 9.5University of Windsor 277 1,514 1.3 1.5 15.4York University 2,494 14,061 11.6 14.0 20.7 Total 21,518 100,693 100.0 100.0

* SSHRC funding as reported in the 1993-4 COFO-UO Financial Report of Ontario Universities.**SSHRC funding as reported in the 2009-10 COFO-UO Financial Report of Ontario Universities.

(Thousands of dollars)

Table 24 shows the Social Sciences and Humanities Research Council (SSHRC)

funding provided to Ontario universities increased from $21 million in 1994 to over $100

101

million in 2010. Significant gains in market share were made by Ryerson University,

Lakehead University, Brock University and Laurentian University as each held less than

1% market share in 1994 while Trent University, University of Guelph and University of

Waterloo lost significant market share in 2010 relative to their 1994 positions. Of the

2010 funding, 75.9% is concentrated in six universities, representing an increase from

71.6% in 1994. An examination of the standard deviation of the 1994 percentage of total

(SD= 5.86) as compared to the 2010 percentage of total (SD= 6.24) determined that there

has been an increase in the distances from the mean and therefore suggests that research

activity is more concentrated in 2010 as compared to 1994 increasing the potential for

institutional diversification.

Table 25 – Comparison of Natural Science and Engineering Research Council Funding by Institution

1994 and 2010

1994 2010Percentage Percentage Percentage

1994* 2010** of Total of Total ChangeInstitution

Algoma University - 24 0.0 0.0 -Brock University 1,223 2,528 0.8 0.8 0.0Carleton University 9,779 15,990 6.6 5.2 -21.2University of Guelph 16,572 22,822 11.2 7.5 -33.0Lakehead University 963 2,809 0.7 0.9 28.6Laurentian University 1,289 2,865 0.9 0.9 0.0McMaster University 14,949 27,048 10.1 8.8 -12.9Nipissing University 16 277 0.0 0.1 -OCAD University - - 0.0 0.0 -Ontario Institute for Studies in Education 112 - 0.1 - -UOIT - 2,604 0.0 0.9 -University of Ottawa 8,174 23,695 5.5 7.7 40.0Queen's University 17,538 37,345 11.9 12.2 2.5Ryerson University 658 5,692 0.4 1.9 375.0University of Toronto 33,488 77,430 22.8 25.4 11.4Trent University 1,363 3,153 0.9 1.0 11.1University of Waterloo 18,961 35,428 13.0 11.6 -10.8The University of Western Ontario 10,552 27,271 7.2 8.9 23.6Wilfrid Laurier University 435 2,447 0.3 0.8 166.7University of Windsor 4,401 7,662 3.0 2.5 -16.7York University 6,848 8,921 4.6 2.9 -37.0 Total 147,321 306,011 100.0 100.0

* NSERC funding as reported in the 1993-4 COFO-UO Financial Report of Ontario Universities.**NSERC funding as reported in the 2009-10 COFO-UO Financial Report of Ontario Universities.

(Thousands of dollars)

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Table 25 shows the Natural Science and Engineering Research Council (NSERC)

funding provided to Ontario universities increased from $147 million in 1994 to over

$306 million in 2010. Significant gains in market share were made by Ryerson

University, Wilfrid Laurier University, University of Ottawa and Lakehead University,

while York University, University of Guelph and Carleton University lost significant

market share in 2010 relative to their 1994 positions. Of the 2010 funding, 74.4% is

concentrated in six universities, representing a decrease from 76.2% in 1994. An

examination of the standard deviation of the 1994 percentage of total (SD= 6.03) as

compared to the 2010 percentage of total (SD= 6.13) determined that there has been a

small increase in the distances from the mean which suggests that research activity is

more concentrated in 2010 as compared to 1994 increasing the potential for institutional

diversification.

Table 26 – Comparison of Medical Research Council (1994) and Canadian Institute for Health Research (2010) Funding by Institution

1994 2010

Percentage Percentage Percentage1994* 2010** of Total of Total Change

Institution

Algoma University - - 0.0 0.0 -Brock University - 517 0.0 0.2 -Carleton University 213 1,313 0.2 0.4 100.0University of Guelph 1,412 4,149 1.7 1.2 -29.4Lakehead University - 493 0.0 0.1 -Laurentian University - 398 0.0 0.1 -McMaster University 12,614 55,477 14.8 16.3 10.1Nipissing University - - 0.0 0.0 -OCAD University - - 0.0 0.0 -Ontario Institute for Studies in Education - - 0.0 - -UOIT - 101 0.0 0.0 -University of Ottawa 7,136 51,527 8.4 15.2 81.0Queen's University 6,589 16,612 7.7 4.9 -36.4Ryerson University 83 1,136 0.1 0.3 200.0University of Toronto 45,986 164,839 53.8 48.5 -9.9Trent University 53 86 0.1 0.0 -100.0University of Waterloo 273 5,028 0.3 1.5 400.0The University of Western Ontario 10,587 31,679 12.4 9.3 -25.0Wilfrid Laurier University - 221 0.0 0.1 -University of Windsor - 518 0.0 0.2 -York University 402 5,890 0.5 1.7 240.0 Total 85,348 339,984 100.0 100.0

* Medical Research Council funding as reported in the 1993-4 COFO-UO Financial Report of Ontario Universities.**CIHR funding as reported in the 2009-10 COFO-UO Financial Report of Ontario Universities.

(Thousands of dollars)

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Table 26 shows the Medical Research Council and Canadian Institute for Health

Research (CIHR) funding provided to Ontario universities increased from $85 million in

1994 to over $339 million in 2010. While the University of Waterloo, Ryerson

University, York University, and Carleton University made significant market gains from

their 1994 position, the five medical/doctoral schools accounted for over 97% of the

funding in 1994 and over 94% of the funding in 2010 indicating that there has been only

modest change if any, in the extent of research activities conducted throughout

institutions as a result of MRC/CIHR funding. An examination of the standard deviation

of the 1994 percentage of total (SD= 12.30) as compared to the 2010 percentage of total

(SD= 11.10) determined that there has been a decrease in the distances from the mean,

but since the decrease in concentration of the five medical/doctoral universities is so

minor, it would suggest that CIHR continues to promote existing research strengths and

therefore processes of institutional diversification.

The disaggregation of funding by national research council showed that all three

councils continued to support existing research strengths and encouraged diversification

in the university sector in Ontario.

Canada Research Chairs Program

In 2000, the Federal government, in cooperation with higher education institutions

established the Canada Research Chairs Program (CRCP). It allocated $900 million to

create 2,000 university Chairs for Canadian and foreign academics in key academic

fields. The Chairs were allocated to higher education institutions between 2000-01 and

2004-05. The CRCP is as a key component of Canada’s strategy to become a world

leader in the knowledge-based economy and provides Canada with a competitive edge in

attracting, recruiting, and retaining academics who are world leaders in their respective

fields of expertise. The intent of the CRCP is to give seven-year renewable Tier 1 Chairs

(valued at $200,000 annually) to experienced researchers considered world leaders in

their fields and five-year Tier 2 Chairs (valued at $100,000 annually), renewed once, for

researchers with potential to lead in their fields. Institutions are required to ensure that

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Chairholders have protected research time. The 1,880 regular Chair allocations were

distributed by area of research as follows: 846 Chairs (45 per cent) NSERC, 658 Chairs

(35 per cent) CIHR, and 376 Chairs (20 per cent) SSHRC while also ensuring that every

university would receive at least one Chair irrespective of the level of research funding

received by the institution (Canada Research Chairs, 2012).

Table 27 – Comparison of Chairs Awarded by Institution 2005 and 2010

2005 2010

Percentage Percentage Percentage2005* 2010* of Total of Total Change

Institution

Algoma University - - 0.0 0.0 -Brock University 9 11 1.2 1.5 25.0Carleton University 26 24 3.5 3.2 -8.6University of Guelph 36 39 4.9 5.3 8.2Lakehead University 6 10 0.8 1.3 62.5Laurentian University 9 9 1.2 1.2 0.0McMaster University 69 69 9.3 9.3 0.0Nipissing University - 2 0.0 0.3 -OCAD University - - 0.0 0.0 -UOIT - 8 0.0 1.1 -University of Ottawa 63 73 8.5 9.8 15.3Queen's University 55 53 7.4 7.1 -4.1Royal Military College 4 5 0.6 0.7 16.7Ryerson University 8 11 1.1 1.5 36.4University of Toronto 267 238 36.2 32.1 -11.3Trent University 9 9 1.2 1.2 0.0University of Waterloo 53 61 7.2 8.2 13.9The University of Western Ontario 70 66 9.5 8.9 -6.3Wilfrid Laurier University 8 11 1.1 1.5 36.4University of Windsor 15 13 2.0 1.8 -10.0York University 32 30 4.3 4.0 -7.0 Total** 739 742 100.0 100.0

* Canada Research Chairs (2012)** Sum of Tier 1 and Tier 2 SSHRC, CIHR, NSERC, Special and Competition Chairs

(Number of Chairs)

Table 27 compares the allocation of Chairs by Ontario universities for 2005

(Chairs were allocated to institutions over a five year period from the date the program

was first introduced in 2000) and 2010. While the total number of Chairs awarded to

Ontario Universities remained relatively constant since 2005, Brock University,

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Lakehead University, Royal Military College, Ryerson University, Waterloo University,

Wilfrid Laurier University and University of Ottawa all had increases in the number of

Chairs awarded since 2005 while four of the five medical/doctoral schools had decreases

or remained stable. Of the 2010 Chairs allocation, 75.4% was concentrated in six

universities, representing a decrease from 78.1% in 2005. An examination of the

standard deviation of the 2005 percentage of total (SD= 7.85) as compared to the 2010

percentage of total (SD= 6.84) determined that there has been a decrease in the distances

from the mean. While all Chairs allocated by area of research had a decrease in the

distances from the mean and a decrease in concentration in 2010 from 2005, the most

significant decrease in the distances from the mean was attributed to the SSHRC Chairs

(SD= 7.17 in 2005 compared to SD= 5.38 in 2010). A decrease in standard deviation

suggests that research activity is less concentrated in 2010 as compared to 2005,

increasing the potential for institutional convergence.

It appears from this analysis that while 75% of the Chairs are concentrated in six

universities, there is a decrease in their concentration. However, the feature of not fully

allocating Chairs based of an institution’s ability to attract competitive funding from the

three national research council combined with a period of high resource flows may have

provided incentives to the less research-intensive institutions to mimic the more

successful research-intensive institutions. Since the funding is still highly concentrated in

six universities, CRCP continues to promote existing research strengths and therefore

processes of institutional diversification in Ontario’s university sector even though some

features of the program may provide some incentive for universities to be more research

intensive.

Canada Excellence Research Chairs Program

In 2008, the Federal government, in cooperation with higher education institutions

established the Canada Excellence Research Chairs (CERC) Program in support of

Canada’s position as a leader in research and innovation. World-renowned researchers

and their teams are awarded up to $10 million over seven years to establish ambitious

research programs at Canadian universities in areas that are consistent with the federal

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government’s science and technology agenda: environmental sciences and technologies;

natural resources and energy; health and related life sciences and technologies; and

information and communications technologies. The Chairs are awarded through a

competitive two stage process with universities first competing for an opportunity to

establish a Chair at their institution followed by a nomination of candidates from the

short-listed universities. The final selection is made by a selection board composed of

prominent Canadians and world-renowned experts. The first group of CERC was

announced in May 2010 and the second group was announced in June 2011. As the first

round of CERC awards nears completion, it is anticipated that another round of

competition will be launched (Canada Excellence Research Chairs, 2012).

Table 28 – Canada Excellence Research Chairs Awarded by Institution 2010-2011

Institution 2010-11*

McMaster University 1 University of Ottawa 1 University of Toronto 2 University of Waterloo 2 The University of Western Ontario 1 Total Chairs - Ontario 7

University of Alberta 4 Université Laval 2 Université de Sherbrooke 1 University of Saskatchewan 1 University of Manitoba 1 University of British Columbia 1 Dalhousie University 1 University of Prince Edward Island 1 Total Chairs 19

* Canada Excellence Research Chairs (2012)

Table 28 is a summary of Chairs awarded by institution. The seven Chairs

awarded to researchers at 5 of the twenty-three Ontario universities rewarded existing

research strength in Ontario’s university sector and reinforced differences between those

institutions that are research-intensive from those that are more teaching-intensive. Since

this program is relatively new, it is unclear from this limited analysis what impact this

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program will have on the eighteen institutions that did not receive CERC funding and its

related impact on the sector’s diversity.

Knowledge Infrastructure Program

In March 2009, as a result of the latest economic crisis, the Minister of Industry

launched the Knowledge Infrastructure Program (KIP), a $2 billion one-time-only

measure to support infrastructure enhancements at universities, colleges and other post-

secondary institutions across Canada. The program was part of the federal government’s

2009 Economic Plan to stimulate Canada’s economy in the short-term with new

infrastructure investment to improve Canada’s long-term competitiveness mainly in

science and technology. The call for project submissions was made on March 9 with a

submission deadline of March 30. Institutions submitted projects with a total value

which exceeded $5 billion. Projects were selected based on their ability to quickly and

effectively generate economic activity and support job creation. The university

component of the program gave preference to projects that improved the scale or quality

of research and development facilities at the institution. The college component

(includes colleges, publicly funded polytechnic schools and institutes of technology) was

in support of the delivery of advanced knowledge and skills training. The federal

program provided 50% of the eligible cost for selected projects with the remainder to be

funded by the province, the private sector or by the institutions themselves. The

government of Ontario was quick to provide close to $1 billion in support of this

initiative to universities and colleges. Projects that qualified for funding included

renovation of existing facilities and new construction or a combination of both. All

projects had to be completed by March 31, 2011. While most projects were completed

by that time, the government extended the deadline to October 31, 2011. Universities

were awarded 65% of the total federal funding available while the remaining 35% went

to colleges and Cegeps (Industry Canada, 2012).

Allocating KIP funding using a competitive process instead of basing the

allocation on an institution’s proportionate share of federal sponsored research funding

(since the intent was to improve the scale or quality of research and development

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facilities in universities) resulted in more research infrastructure funding being allocated

throughout the province (in support of job creation and economic activity) instead of

being concentrated on a few campuses. The University of Toronto and McMaster

University clearly did not receive their share of funding while Brock University, UOIT,

University of Windsor, and York University received a substantial increase as compared

to their proportionate share of federal sponsored research funding.

Table 29 – Knowledge Infrastructure Program Contributions by Ontario University

2009-2011

PercentagePercentage of Federal

Federal Provincial Other of Total Federal Research Contribution* Contribution* Contribution* Contribution Funding**

Institution

Algoma University 8,008 8,008 - 1.60 0.02Brock University 38,000 33,500 23,910 7.60 0.75Carleton University 26,250 26,250 3,200 5.25 3.32University of Guelph 16,818 16,818 - 3.36 4.89Lakehead University 13,000 - 37,000 2.60 0.85Laurentian University 5,153 5,000 10,100 1.03 0.60McMaster University 19,250 19,250 3,500 3.85 11.01Nipissing University - - - 0.00 0.11OCAD University - - - 0.00 0.01UOIT 36,704 102,704 29,670 7.34 0.44University of Ottawa 30,000 50,000 32,500 6.00 9.85Queen's University 28,818 28,818 19,210 5.76 7.93Ryerson University 16,450 16,450 - 3.29 1.26University of Toronto 75,500 75,500 9,000 15.09 35.87Trent University 10,800 20,200 10,400 2.16 0.71University of Waterloo 50,000 50,000 61,000 10.00 7.33The University of Western Ontario 25,000 25,000 - 5.00 8.94Wilfrid Laurier University 13,000 13,000 - 2.60 0.66University of Windsor 40,000 40,000 30,000 8.00 1.61York University 47,500 47,500 25,000 9.50 3.81 Total 500,251 577,998 294,490 100.0 100.0

* Industry Canada (2012)** 2009 Federal sponsored research funding reported in 2008-09 COFO-UO Financial Report of Ontario Universities

(Thousand of dollars)

This analysis suggests that KIP funding allocations did not reward existing

research strengths in universities thereby promoted institutional convergence by funding

research infrastructure across the province instead of localizing it in a few institutions. It

also supports van Vught’s (1996) and Codling and Meek’s (2006) proposition that when

institutions are required to compete for scarce research dollars (creating uniform

environmental conditions), institutions will engage in processes which increase

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institutional isomorphism in the sector. The full impact of the program on the sector’s

diversity may not be felt for many years as the less research-intensive institutions begin

to compete for a greater share of the national granting council funding having been

provided with increased research infrastructure.

Conclusion

The examination of the extent of the change in the dispersion of funding amongst

institutions between 1994 and 2010 showed that funding distributed on the basis of a peer

review competitive process was more concentrated in 2010 as compared to 1994 thereby

increasing the potential for institutional diversification. This increased potential may be

tempered by the fact that federal grants account for a significantly smaller share of total

revenues as compared to provincial grants and tuition revenue.

The success of research-intensive universities in obtaining federal research

funding lies in their ability to attract and retain world-class researchers by providing them

with top-notch research facilities and operating support for their research efforts. These

financial barriers restrict the less research-intensive universities to effectively compete

and obtain federal research funding.

However, the distribution of Knowledge Infrastructure Program funding across

universities in Ontario, to increase Canada’s competitiveness in science and technology

and regional economic activities, provided financial resources to the less research-

intensive institutions to increase their research capacity, thereby encouraging these

institutions to mimic the more successful research-intensive institutions. This funding

will place the less research-intensive universities in a better position to compete for

research funding (scarce resource) in the future, thereby increasing the potential for

institutional convergence.

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CHAPTER VI: PROVINCIAL POLICY ENVIRONMENT

Introduction

This chapter examined a number of key provincial funding and other policies

through policy analysis to assess their impact on institutional diversification or

convergence. Whenever practical, the extent of the change in the dispersion of funding

amongst institutions will be determined by comparing the relative proportion of grants

received in 1994 as compared to 2010. There is a greater potential for diversity when

funding is concentrated in fewer institutions. The funding concentration is further

examined using the standard deviation of the relative proportion of grants received in

1994 and 2010. An increase in the distance from the mean from 1994 to 2010 signifies

an increase in concentration of funding, which suggests increased diversity.

Funding programs examined in this study are as follows: basic operating formula

grants, tuition regulation, capital funding (SuberBuild, Capital Renewal Program,

research infrastructure, and capital graduate expansion), endowment matching, and

operating graduate expansion.

Provincial government policies

From 1994 to 2010, Ontario universities were operating in a period of high

resource flows from increased student demand and other funding which provided

additional resources to the primarily undergraduate institutions to add new graduate

programs and mimic the comprehensive and medical/doctoral institutions thereby

increasing the potential for institutional convergence.

The neo-liberalization of Ontario’s policy environment continued with the March

2010 announcement of a new five-year economic plan called Open Ontario. This plan’s

objective is to create “a climate where business can thrive, create jobs and build

innovative new products to sell to the world” (Open Ontario, 2010) with a promised

reduction in personnel and corporate taxes. The plan also called for the development of a

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new five-year post-secondary plan, raising Ontario's post-secondary attainment rate to 70

per cent, the creation of a new Ontario Online Institute, and to “open our colleges and

universities to the world…aggressively promote Ontario post-secondary institutions

abroad, and increase international enrolment by 50 per cent while maintaining spaces for

Ontario students” (Open Ontario, 2010) in an effort to create more jobs. These initiatives

were incorporated in the March 2010 Ontario budget combined with additional resources

to support the implementation of a credit transfer system (Ontario Budget, 2010).

The Open Ontario (2010) plan drew from the Science and Technology Strategy

(2007) by calling for Ontario to be more innovative in order to more effectively compete

globally. The role of higher education in these strategies is to be the wholesale producer

of skilled and creative workers in areas called for by the knowledge economy and to

ensure that the business environment makes “better use of the skills, talent, and

knowledge of our graduates” (Science and Technology Strategy, 2007, p. 10). Similar to

the innovation strategies which called for more private sector investment to turn

knowledge into commercial applications in order to increase productivity gains over

Canada’s trading partners.

Table 30 summarizes the provincial program funding and their contributions to

processes of institutional diversification or convergence derived from this study’s

analysis, the details of which will be examined below.

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Table 30- Summary by Provincial Program and Related Impact on Institutional Diversification or Convergence

Provincial Program Promoted

Basic operating formula grants Convergence

Differentiation grants Diversification

Tuition fee policy Convergence

SuperBuild Program Convergence

Capital Renewal Program Convergence

Research infrastructure funding Diversification

Ontario Student Opportunities Trust Fund Diversification

Ontario Trust for Student Support Convergence

Graduate enrolment expansion Convergence

Basic operating formula grant

Government operating funding for universities is essentially based on a funding

formula introduced in 1967. Funding is provided as a block grant in support of the

operating activities of the university and does not allow government to direct the extent to

which funds will be allocated between teaching, research, and other activities. This

funding mechanism is the main instrument used by government to carry out its policies of

accessibility, fiscal restraint, and allows for new government initiatives through the use of

special-purpose grants (Clark, Moran, Skolnik and Trick, 2009). The operating grant

covers the cost of instruction and research, academic support services, library, student

services, administrative services, plant maintenance and other operating expenses of the

university.

The funding formula is based on enrolments with adjustments for program mix

and provides an equal amount of revenue per student for each university for students in

the same programs. Eligible students are measured in full-time equivalents (FTEs) and

exclude international students. The core unit for calculating operating grants is the Basic

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Income Unit (BIU). Each BIU was worth $5,442 during 2010-11. Each student enrolled

at university attracts a certain number of BIUs depending upon the program in which he

or she is enrolled. For example, a full-time undergraduate Arts student attracts one BIU

(most undergraduates programs have weights of 1, 1.5 or 2), master’s programs have a

weight of 3 or 4 while a PhD student attracts 6 BIUs. In addition, a formula fee is

attached to each student and this amount is deducted from the BIU funding to arrive at

the actual provincial funding per student. The formula fee is based on a historically-

determined amount by program basis and is not related to the actual tuition fee paid by

the student (Ministry of Training, Colleges and Universities, 2009). The following is an

example of the funding received for an engineering student.

An engineering student attracts 2 BIUs (2 times $5,442) $10,884

Formula fee for engineering program ($2,591)

Funding provided by province $8,293

The total grant for the sector is determined each year through the provincial budget

process. This process does not necessarily take into account changes in inflation and

enrolment. Reductions in operating funding have occurred over the years, and more

recently in 1996-97 when the province reduced its deficit through reductions in

government spending and income taxes and instilled policies with underlying principles

of privatization in order to create efficiencies between the private sector and universities.

Government operating funding for universities was reduced by 15% while providing the

discretion to universities to increase undergraduate tuition fees.

The provincial government through the Ministry of Training, Colleges and

Universities provided over the years a number of special funding envelopes in support of

enrolment (undergraduate and graduate) growth. Once the level of growth has been

achieved, the funding envelopes are folded into the base operating grant thereby

maintaining the equal funding per weighted enrolment (Ministry of Training, Colleges

and Universities, 2009).

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The Ministry of Training, Colleges and Universities also makes available funding

in support of different missions and government priorities. Grants in support of different

missions include a) Northern Ontario Grants provided to northern institutions (Lakehead,

Laurentian, Algoma, Hearst and Nipissing) in support of the additional costs incurred due

to environmental factors, to maintain a minimum range of programs that would not be

feasible without this extra funding, and to support activities related to their northern

Ontario missions, b) Bilingualism Grants provided to institutions (Ottawa, Laurentian,

York, Hearst and Dominican) in order to offer a greater number of courses in French in

support of increasing access, recruitment and retention of French speaking students and

to provide a bicultural ambience to both English and French speaking students, c)

Differentiation Grants in support of institutions (Trent, Nipissing and OCAD)

maintaining a previously established differentiation role such as OCAD University’s role

of providing fine arts programs. Grants in support of government priorities include

funding which supports programs and services to Aboriginal students to students with

disabilities (Ministry of Training, Colleges and Universities, 2009).

Table 31 compares the extent to which special purpose grants were made

available to institutions in 1994 as compared to 2010 in relation to their basic formula

grants. The basic formula grant provided to institutions increased from over $1.58 billion

to over $2.3 billion mainly as a result of the significant increase in enrolment levels since

1994. Institutions received over $313 million in special purpose grants in 1994 as

compared to over $266 million in 2010, a drop of $47 million. The special purpose

grants provided to institutions did not keep pace with the growth in enrolment levels

since these grants as a percentage of the basic formula grants dropped from 19.8% to

11.6% in 2010. This would suggest that the government was less preoccupied in 2010 as

compared to 1994 with supporting the varied missions of institutions that would

contribute to a more diversified university sector. However, the government did provide

significant funding to Algoma University in support of Aboriginal education.

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Table 31 – Other MTCU Grants as a Percentage of Basic Formula Grants 1994 and 2010

(Grants are in thousands of dollars)

Other as a Other as aInstitution Basic Formula Other MTCU Percentage Basic Formula Other MTCU Percentage

Grant Grants of Basic Grants Grant Grants of Basic Grants

Algoma University 4,130 6,455 156.3Brock University 32,902 10,186 31.0 63,930 4,176 6.5Carleton University 75,762 20,334 26.8 125,907 5,706 4.5Dominican College 127 66 52.0 125 424 339.2University of Guelph 95,730 12,022 12.6 131,353 9,938 7.6Lakehead University 25,936 9,062 34.9 40,350 8,778 21.8Laurentian University 26,229 24,288 92.6 39,972 21,794 54.5McMaster University 103,553 16,988 16.4 128,353 15,886 12.4Nipissing University 5,730 3,348 58.4 18,831 4,070 21.6OCAD University 9,694 967 10.0 15,150 3,114 20.6Ontario Institute for Studies in Education 21,875 2,363 10.8UOIT 32,860 8,517 25.9University of Ottawa 118,143 45,546 38.6 173,021 48,626 28.1Queen's University 107,722 22,648 21.0 147,181 9,046 6.1Redeemer University College*** 0 0 0 0 Ryerson University 66,773 6,647 10.0 138,428 12,448 9.0University of Toronto 351,131 45,398 12.9 451,312 28,826 6.4Trent University 17,619 8,392 47.6 29,571 8,128 27.5University of Waterloo 117,523 13,868 11.8 162,728 4,217 2.6The University of Western Ontario 161,997 13,064 8.1 225,964 14,688 6.5Wilfrid Laurier University 32,292 6,394 19.8 65,047 987 1.5University of Windsor 64,824 6,726 10.4 88,883 9,029 10.2York University 145,317 45,249 31.1 217,469 41,741 19.2 Total 1,580,879 313,556 19.8 2,300,565 266,594 11.6

* Grants as reported in the 1993-4 COFO-UO Financial Report of Ontario Universities.**Grants as reported in the 2009-10 COFO-UO Financial Report of Ontario Universities.***Grants as reported in the 1993-4 and 2009-10 CAUBO Financial Information of Universities and Colleges

1994* 2010**

The basic operating formula grant and other grants provided to institutions on the

basis of enrolment levels create an egalitarian funding model as institutions are funded

equally (same BIU value for all institutions) not only for each student in the same

program, but also to conduct teaching and research functions irrespective of an

institution’s type or size. Very little funding was provided from 1994 to 2010 relative to

other funding that would help differentiate institutions. As noted by Codling and Meek

(2006), a lack of government funding with explicit diversity objectives will have a greater

potential for processes of institutional convergence.

This assessment of operating formula grants was confirmed by most participants

who were interviewed for this study as they were quick to identify the current drive

towards uniformity squarely on the back of the current funding model. When asked to

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explain why this study found that institutions were converging, a number of participants

believed that it was due to the sector’s operating funding formula that does not reward

program differentiation and does not provide institutions with inflationary increases

requiring institutions to “chase the hot money”. “There is the unchanging nature of the

BIU formula and the tendency in the province, particularly over the last decade, to direct

its resources towards the system’s enrolment growth. All these institutions with their

high rate of internal inflation chasing additional dollars through enrolment growth have

had the same effect everywhere.” The “focus on growth funding and an imperative to

grow…So if there is any culprit in the creation of comprehensive universities, the sense

that absolutely everyone needs to have STEM and professional degrees is the funding

formula and the tuition framework.” Others also noted that university aspirations played

a significant part. Aspirations to grow and move beyond being a small primarily

undergraduate university and embrace graduate programs by becoming more research-

intensive played a role in the current convergence of universities in Ontario. One

participant made reference to mimetic isomorphic forces as “anything that appears to add

real value and is successful will often be copied by others. So that is another factor that

reduces the potential for diversity because people will follow. There are those kinds of

forces that mean anything that is successful will be copied”.

Tuition fees

Tuition fees are another important source of revenue for universities as they

received over $670 million in 1994 as compared to over $2.8 billion in 2010, the increase

of which is due to enrolment growth combined with increases in tuition fee levels. Table

32 shows the importance of tuition fees to institutions has increased significantly since

revenue from tuition fees represented less than half of the basic formula grant in 1994 as

compared to 1.2 times the basic formula grant in 2010.

Undergraduate tuition fees have been regulated for some time in Ontario.

Undergraduate tuition fee were allowed to increase by 10% in 1994-95 and by another

10% in 1995-6. However, with reductions in operating funding in 1996-97, universities

were provided with the discretion to increase undergraduate tuition fees by 20% in 1996-

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97 and by another 10% each year up to 1999-2000. International student fees, some

professional and all graduate program fees were completely deregulated which allowed

institutions to determine the appropriate fee level, thereby further privatizing (less

government support) higher education and encouraged greater competition between

institutions for students which ensured that Ontario is in a better position to compete

internationally for students.

Table 32 – Tuition revenue by Institution 1994 and 2010

Institution 1994* 2010**

Algoma University 4,859Brock University 18,661 93,639Carleton University 44,097 141,535Dominican College 131 310University of Guelph 35,082 124,199Lakehead University 14,522 40,492Laurentian University 14,519 34,348McMaster University 34,808 157,841Nipissing University 3,944 25,257OCAD University 4,089 19,003Ontario Institute for Studies in Education 4,299 UOIT 34,128University of Ottawa 45,620 213,028Queen's University 40,260 177,979Redeemer University College*** 2,669 10,760Ryerson University 38,587 161,365University of Toronto 126,039 600,781Trent University 10,090 42,232University of Waterloo 47,738 209,429The University of Western Ontario 65,630 258,153Wilfrid Laurier University 15,251 87,542University of Windsor 30,909 96,660York University 74,321 328,825 Total 671,266 2,862,365

Tuition as a percentage ofBasic Formula Grants 42.5% 124.4%

* Tuition revenue as reported in the 1993-4 COFO-UO Financial Report of Ontario Universities.**Tuition revenue as reported in the 2009-10 COFO-UO Financial Report of Ontario Universities.***Tuition revenue as reported in the 1993-4 and 2009-10 CAUBO Financial Information of Universities and Colleges

(thousand of dollars)

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Partial deregulation of fees failed to lead to increased differentiation in the sector

as universities engaged in oligopolistic pricing and no university altered their operations

to offer education at a lower cost structure than its competitors. Some universities did

choose to differentiate themselves by offering ultra-high-cost programs in business and

law (Clark, Trick and Van Loon, 2011).

In an attempt to ensure access for low-income students, the Ontario government

mandated in 1996 that 10% of the increase in tuition fees be set aside for student financial

aid, and in the following year, increased this amount to 30% for all subsequent years.

Tuition fee increases during 2000-01 to 2004-5 for regulated programs were originally

limited to a maximum of 10% not compounded over the five years, but with the change

in government in 2003, tuition fees were frozen for any grant-eligible program for all

Canadian citizens (the freeze did not apply to international students) in 2004-5 and 2005-

6. The government provided compensation to universities for the majority of the lost

tuition revenue during the tuition freeze.

In 2006, the government announced a new tuition (undergraduate and graduate)

framework which increased tuition fees from 2006-07 through to 2009-10 (extended in

2010 for two more years) and further eroded Ontario’s democratic framework in support

of a ‘public’ higher education system. In order to assist low income students, the amount

of tuition fee increases that were set aside for student financial aid which was capped at

2006-7 levels (with adjustments for enrolment changes) was reset at 10% of the tuition

fee increases for 2010-11 and 2011-2012. Regulated tuition fee increases were also

subject to accessibility guarantees provided by institutions. Tuition fees for entering

students in Arts and Science and selected other undergraduate programs were allowed to

increase by a maximum of 4.5% while fees for entering students in graduate and high-

cost professional programs were allowed to increase by a maximum of 8%. Increases in

tuition fees for continuing students in any program were not allowed to exceed 4% with

the average increase in tuition fees for all students in an institution not allowed to exceed

5%.

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Open Ontario (2010) called for higher education institutions to be more dependent

on private sector funding from ‘high fee paying’ international students to subsidize their

operations and thereby increased competition between institutions for these prized

students. As universities continue to be under increased financial pressures, it is highly

unlikely that they will use these additional funds to increase the quality of education by

hiring more full-time tenured faculty but instead, at the very least, they may increase the

number of contingent workers as the demand from international students can fluctuate

over time. The increase in the number of international students may increase an

institution’s climate diversity leading to enriched student experiences if the current

student body is not currently ethically diversified, but may not add to the sector’s climate

diversity if international students are located across all institutions. The distribution of

international student by program or degree level may also have an impact on an

institution’s programmatic diversity.

For most institutions, tuition fees have become the most significant source of

revenue above government grants. Since these fees have no diversity objectives, and will

probably play an even more significant part of revenues, it is likely that the trend towards

convergence will continue in the future.

Capital funding

During 1994 to 2010, funding in support of university infrastructure was provided

to institutions to maintain facilities in their current conditions through the province’s

Facilities Renewal Program and by providing funding for new facilities to accommodate

increasing enrolments.

In 1999, the SuperBuild Growth Fund was announced by the provincial

government which provided capital infrastructure funding managed through the Ontario

SuperBuild Corporation. This initiative was intended to rationalize how government

invests in public infrastructure and encourage public and private sector contributions

towards public infrastructure. The program provided more than $15 billion to over 4,000

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projects of which over $1 billion was used to expand and improve post-secondary

facilities across the province to accommodate enrolment increases (due to demographic

trends and the elimination of one high school grade in 2002-3) and to upgrade facilities to

keep pace with new technologies and advances in research. This represented the largest

public capital investment in Ontario universities and colleges in more than 30 years. The

funding was allocated on a competitive basis based on an approach which valued private

and public partnerships as well as the level of responsiveness to student demands,

innovation and community benefits (Ontario SuperBuild, 2000 and 2003).

The funding was provided to Ontario universities and colleges to add new

classrooms, lecture halls, laboratories and faculty offices in support of programs in

chemistry, biology, applied science and engineering, and information technology

(Ontario SuperBuild, 2002). No funding was provided in support of student residences,

recreational, athletic or food service facilities. Start-up funding in the amount of $60

million was also provided to create the University of Ontario Institute of Technology

(UOIT) through the UOIT Act, (2002) which identifies its distinct mission from other

universities to provide “programs that are innovative and responsive to the individual

needs of students and to the market-driven needs of employers” thereby slightly

increasing the sector’s programmatic diversity.

Table 33 shows the funding received by institution under the SuperBuild program.

It excludes the $60 million start-up funding to UOIT. The program provided over $700

million in funding to Ontario universities secured with planned private contributions

exceeding $274 million. While the funding was allocated on a competitive basis, the

distribution of SuperBuild funding mirrors very closely with an institution’s share of total

basic formula grants. Nine universities (excluding Dominican College) had no

significant (1% positive or negative) change in distribution between the two funding

sources while the University of Toronto and Waterloo did not receive their share of

SuperBuild funding based on their relative share of total basic formula grants while

OCAD, Ryerson and Trent received significantly more (more than 2.4%) than their

relative share of total basic formula grants. The more even distribution of SuperBuild

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funding across the province would suggest that it promoted processes of institutional

convergence.

Table 33 – SuperBuild Program Allocations by Institution 2000-2006

SuperBuild Formula 2001 Allocation as a Grants as a

SuperBuild Formula Percentage PercentageFunding* Grants** of Total of Total

Institution

Algoma University 0.65 2.84 0.1 0.2Brock University 21.80 34.28 3.1 2.4Carleton University 39.09 75.62 5.6 5.2Dominican College - 0.10 0.0 0.0University of Guelph 49.48 85.28 7.0 5.8Lakehead University 14.61 22.66 2.1 1.6Laurentian University 2.49 25.46 0.4 1.8McMaster University 42.01 94.05 6.0 6.4Nipissing University 12.83 6.90 1.8 0.5OCAD University 21.16 7.63 3.0 0.5University of Ottawa*** 50.10 113.81 7.1 7.8Queen's University 58.93 104.13 8.4 7.1Ryerson University**** 55.09 72.37 7.8 5.0University of Toronto 99.96 320.87 14.2 22.0Trent University 29.17 17.86 4.1 1.2University of Waterloo 35.61 103.37 5.1 7.1The University of Western Ontario 67.65 135.57 9.6 9.3Wilfrid Laurier University 20.28 29.79 2.9 2.0University of Windsor 16.80 57.50 2.4 3.9York University 65.25 149.41 9.3 10.2 Total 702.96 1,459.50 100.00 100.00

*As reported in the 1999-2000 to 2005-6 COFO-UO Financial Report of Ontario Universities.** As reported in the 2000-01 COFO-UO Financial Report of Ontario Universities.*** 2004-5 Financial statements and SuperBuild (2002)****As reported by institution

(Millions of dollars)

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Capital Renewal Program

Table 34 – Capital Renewal Allocation by Institution 2008

Capital Formula Total Capital 2007 Allocation as a Grants as a

2007-8 Special Renewal Formula Percentage PercentageAllocation* Allocation* Allocation Grants** of Total of Total

Institution

Algoma University 363.2 1,000.0 1,363.2 3,884 0.4 0.2Brock University 4,573.7 6,747.2 11,320.9 61,886 3.4 3.1Carleton University 7,347.6 10,839.3 18,186.9 103,586 5.4 5.1University of Guelph 8,114.1 11,970.1 20,084.2 117,031 6.0 5.8Lakehead University 2,506.4 3,697.5 6,203.9 32,451 1.9 1.6Laurentian University 2,790.5 3,989.1 6,779.6 35,997 2.0 1.8McMaster University 9,160.0 13,513.1 22,673.1 123,423 6.8 6.1Nipissing University 1,434.3 2,116.1 3,550.4 14,293 1.1 0.7OCAD University 1,458.0 2,150.8 3,608.8 13,684 1.1 0.7UOIT 1,350.0 2,500.0 3,850.0 19,129 1.1 0.9University of Ottawa 9,675.6 14,273.6 23,949.2 156,358 7.1 7.8Queen's University 8,387.4 12,373.3 20,760.7 122,208 6.2 6.1Ryerson University 6,867.7 10,131.4 16,999.1 105,375 5.1 5.2University of Toronto 25,578.8 37,734.3 63,313.1 417,644 18.9 20.8Trent University 2,212.2 3,263.5 5,475.7 27,127 1.6 1.3University of Waterloo 9,088.6 13,407.7 22,496.3 139,396 6.7 6.9The University of Western Ontario 13,208.6 19,485.6 32,694.2 179,049 9.8 8.9Wilfrid Laurier University 3,383.5 4,991.4 8,374.9 50,443 2.5 2.5University of Windsor 4,899.6 7,227.9 12,127.5 74,725 3.6 3.7York University 12,600.2 18,588.1 31,188.3 216,972 9.3 10.8 Total 135,000.0 200,000.0 335,000.0 2,014,661 100.0 100.0

* COU (2012)** As reported in the 2006-07 COFO-UO Financial Report of Ontario Universities.

(Thousand of dollars)

In January 2008, the government announced $200 million under a new Capital

Renewal Program, $135 million of which was allocated to universities. This program

was intended to support energy efficient projects, campus safety and security initiatives

and renewal of existing facility. The 2008 Ontario budget also included an additional

$200 million towards this program specifically for universities for a total of allocation of

$335 million. Table 34 shows that the funding was allocated to universities on the same

basis as an institution’s current share of total basic formula grants as all universities

essentially received their relative share (plus or minus 1%) save for the University of

Toronto and York University. The distribution of capital funding consistent with

operating grant allocations across the province from this program promoted the

homogeneity of institutions.

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Annual facilities renewal funding is provided to universities in support of minor

facilities repairs and maintenance. Since 2000-01, the amount allocated to universities

remained consistent at $26.7 million annually (with occasional one-time only increases)

but in 2010, as a result of budget restraint measures, this annual amount was reduced to

$17.3 million. Since this funding is not allocated on a competitive basis and is provided

to institutions with the freedom to apply to projects with the greatest need, it fails to

promote institutional diversity within the sector.

Research infrastructure funding

The provincial government started to support university research directly in a

significant way in the mid 1990’s with the creation of the Ontario Research and

Development Challenge Fund (ORDCF) and the Ontario Foundation for Innovation

(OIT). The ORDCF supported leading edge and industrially relevant research in

partnership with private businesses partially to build bridges between research institutions

and the private sector and to enhance Ontario’s research capacity. The OIT was created

in 1999 to fund research infrastructure and to be the vehicle for provincial contributions

in concert with the Canada Foundation for Innovation (CFI) grants awarded to Ontario

researchers (Fallis, 2013).

In 2004, the Ontario Research Fund (ORF) was created to “support scientific

excellence by supporting research that can be developed into innovative goods and

services that will boost Ontario’s economy” (MEDI, 2012). It provides funding on a

competitive process in support of capital costs of research through its Research

Infrastructure program which levers awards from CFI by providing up to 40% of the

capital cost of acquiring, developing or leasing research infrastructure. Since its

inception in 2004, the ORF provided Ontario universities with over $510 million in

infrastructure funding.

Table 35 compares the ORF infrastructure funding percentage allocation to the

2010 percentage allocation of Tri-Council funding for each institution. The allocation of

ORF infrastructure funding using CFI’s competitive processes resulted in research

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infrastructure funding being allocated throughout the province in a manner that mirrors

very closely to Tri-Council funding allocations with 12 institutions receiving the same

proportions (plus or minus 1%). The five medical/doctoral schools received a smaller

proportion (73%) of ORF funding as compared to their proportionate share (77%) of the

Tri-Council funding suggesting that ORF infrastructure funding is spread out across

institutions. Having previously determined that Tri-Council funding promoted processes

of institutional diversification, it also is reasonable to conclude that capital funding

allocated on the same basis as its related research funding would continue to support

existing research strengths in universities.

Table 35 – Research Infrastructure Funding by Institution 2004-2011

(thousands of dollars) Percentage

Percentage of Tri-councilProvincial of Provincial Research

Contribution* Contribution Funding**Institution

Algoma University 225 0.0 0.0Brock University 3,313 0.6 0.8Carleton University 13,751 2.7 3.2University of Guelph 38,832 7.6 3.8Lakehead University 2,764 0.5 0.6Laurentian University 2,394 0.5 0.5McMaster University 63,348 12.4 11.9Nipissing University 681 0.1 0.1OCAD University 6,208 1.2 0.0UOIT 1,235 0.2 0.4University of Ottawa 43,006 8.4 11.8Queen's University 60,740 11.9 8.3Ryerson University 5,316 1.0 1.2University of Toronto 139,605 27.3 35.9Trent University 5,275 1.0 0.6University of Waterloo 42,223 8.3 5.9The University of Western Ontario 68,059 13.3 9.1Wilfrid Laurier University 975 0.2 0.7University of Windsor 4,926 1.0 1.3York University 8,837 1.7 3.9 Total 511,713 100.0 100.0

* MRI (2012)**SSHRC, NSERC and CIHR funding as reported in the 2009-10 COFO-UO Financial Report of Ontario Universities.

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From the analysis of capital funding allocations from the various government

programs examined, the allocation of a limited amount of capital funding, not linked to

research funding but based on a competitive process contributed to processes of

institutional convergence as more institutions chose to increase both undergraduate and

graduate enrolment levels in order to obtain a share of the funding allocation.

Endowment matching programs

In 1996, the government introduced an endowment matching program (Ontario

Student Opportunity Trust Fund) to encourage private sector investments where private

endowed donations raised in support of bursaries were matched by the government. This

matching program effectively allowed the market, through private donors, to direct the

allocation of government funding by Faculty within a university, instead of allowing

these funds to be allocated to areas of greater need by the university. Young (2002)

summarized the manner in which the market allocated these funds for student aid. She

compared the percentage raised to an institution’s share of provincial enrolment and

noted that four universities mirrored very closely to their share of provincial enrolment,

six surpassed their share with the University of Toronto raising 43% of the total as

compared to enrolling only 17% of the province’s students and Queen’s raising 13% of

the total as compared to enrolling only 5.7% of the province’s students. This program

allowed the government to shift costs away from its loan program to the private sector

(student’s loan entitlements are reduced by the amount of bursaries received) while

creating additional funds for institutions in the competition and recruitment of students

while fostering increased competition between institutions for a limited number of

philanthropic dollars. The structure of the OSOTF program promoted and uneven

distribution of funding not based on an institution’s share of the provincial enrolment but

allocated by the market, thereby promoting institutional diversification.

In 2005, the government replaced the OSOTF program with another endowment

matching program (Ontario Trust for Student Support) to encourage private sector

investments where private endowed donations raised in support of bursaries were

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matched by the government until the program was discontinued in 2012. While the

government funding available was not as significant as under the OSOTF program, the

Ontario Trust for Student Support (OTSS) program provided $50 million annually to

universities and colleges, of which $38.3 million was originally allocated to universities.

Universities and colleges were provided an annual funding ceiling limit representing their

share of the annual amount made available under this program. Any unused ceiling room

created by institutions not meeting their fundraising targets was assigned to those

institutions which exceeded their fundraising ceilings thereby creating a competitive

fundraising environment amongst universities and colleges for limited funding and

philanthropic dollars. Table 36 summarizes the funding provided to universities and

colleges under the OTSS program. Universities received a significant share (83.9%) of

the total funding available in 2005-6 but were unable to maintain this momentum

dropping to 64.8% of total funding by 2011-12.

Table 36 – Annual Ontario Trust for Student Support Funding 2005-2012

UniversityFunding as a

University College PercentageFunding* Funding* of Total

Year

2005-6 47,405,553 9,111,442 83.92006-7 40,515,204 9,484,796 81.02007-8 38,292,220 11,707,780 76.62008-9 35,129,747 14,870,253 70.32009-10 28,106,177 14,393,823 66.12010-11 27,716,598 14,783,402 65.22011-12 21,379,138 11,620,861 64.8 Total 238,544,637 85,972,357 73.5

* Ministry of Training, Colleges and Universities

The OTSS program provided an incentive to encourage institutions with limited

fundraising capacity to raise funds above what they had historically raised under the

OSOTF program. For the first three years of the program, institutions that did not raise

$1,000 per FTE of OSOTF endowments were eligible to receive a three-to-one match on

donations raised under the OTSS program above their historical annual fundraising

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average, capped at 50% of their historical annual fundraising average. A one-to-one

match was provided on donations raised up to the historical annual fundraising average.

By the end of 2006-7, of the eight universities eligible for a three-to-one match, seven

had reached $1,000 per FTE of OSOTF/OTSS endowments with the University of

Waterloo reaching $944 per FTE of endowments. Institutions not eligible to receive a

three-to-one match (raised more than $1,000 per FTE of OSOTF endowments) received a

dollar-for-dollar match of eligible donations raised up to their annual fundraising ceilings.

The annual fundraising ceiling was determined by allocating the remaining funding

available (after determining the funding required for those institutions eligible for a three-

to-one match) based on each institution’s share of provincial enrolment.

From 2008-9 until the end of the program in 2011-12, an institution qualified for

the three-to-one match when its historical two-year fundraising average was less than its

fundraising ceiling (determined for everyone based on an institution’s share of provincial

enrolment). The three-to-one match was capped at one-third of the difference between

the historical two-year fundraising average and the fundraising ceiling. Similar to the

OSOTF matching program which allowed the market through private donors, to direct

the allocation of government funding to university programs instead of allowing these

funds to be allocated to areas of greater need by the university, this program tempered the

involvement of the market by setting fundraising ceilings based on an institution’s share

of provincial enrolment.

Table 37 shows that 13 of the 20 institutions received funding which mirrored

very closely (plus or minus 1%) to their share of provincial enrolment while 4 institutions

received slightly less and 3 slightly more. An examination of the standard deviation of

the OTSS funding as a percentage of total (SD= 3.98) as compared to enrolment as a

percentage of total (SD= 3.88) further supports that there is very little difference between

the allocation of funding and enrolment levels. The structure of the OTSS program

promoted an egalitarian funding model as it allocated funding based on an institution’s

share of its provincial enrolment thereby contributing to processes of institutional

convergence.

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Table 37 – Ontario Trust for Student Support Funding by Institution 2005-2012

OTSS Enrolment2009-10 Funding as a as a

OTSS Enrolment Percentage PercentageFunding* Headcount** of Total of Total

Institution

Algoma University 705,164 1,188 0.3 0.2Brock University 10,390,179 17,625 4.4 3.7Carleton University 8,230,149 25,888 3.5 5.4University of Guelph 4,587,090 26,354 1.9 5.5Lakehead University 4,082,671 8,496 1.7 1.8Laurentian University 5,469,567 9,246 2.3 1.9McMaster University 14,755,298 28,717 6.2 6.0Nipissing University 861,380 6,521 0.4 1.4OCAD University 3,543,833 4,047 1.5 0.8UOIT 5,999,660 7,384 2.5 1.5University of Ottawa 14,777,150 40,371 6.2 8.4Queen's University 10,775,267 24,028 4.5 5.0Ryerson University 28,526,124 37,834 11.9 7.9University of Toronto 37,742,686 78,389 15.8 16.3Trent University 4,704,827 7,840 2.0 1.6University of Waterloo 14,244,737 32,504 6.0 6.8The University of Western Ontario 24,042,199 36,237 10.1 7.5Wilfrid Laurier University 10,103,527 17,572 4.2 3.7University of Windsor 12,233,691 15,845 5.1 3.3York University 22,769,438 54,237 9.5 11.3 Total 238,544,637 480,323 100.00 100.00

* Ministry of Training, Colleges and Universities** Council of Ontario UniversitiesUniversities in bold denotes institutions w ith less than $1000 per FTE at the beginning of OTSS program

Graduate enrolment expansion

A detailed examination of specific developments leading to increased graduate

program planning in Ontario was conducted to provide insight into current government

policy direction and to gain a greater understanding of the impact of graduate expansion

on institutions and its related impact on systemic and climate diversity in the sector.

Significant changes in an institution’s enrolment profile (proportion of students enrolled

in undergraduate and graduate programs) combined with an increase in number of

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students impacts the climate of an institution and the combined impact of all institutions

contributes to increases or decreases in the sector’s systemic and climate diversity.

It is important to differentiate graduate education between master’s education and

doctoral education. Master’s programs differ significantly from Doctoral programs as the

majority of the work at the master’s level consists of coursework over a one to two year

period, have an applied or professional orientation with some requiring a thesis which

generally does not constitute new knowledge of publishable quality. Doctoral programs

have an academic orientation, are interconnected with the research function of a

university, usually take four or more years to complete, involve coursework, and requires

a major thesis or dissertation which add to the body of knowledge and is of publishable

quality (Fallis, 2013).

A number of environmental factors were identified that led to Ontario’s graduate

expansion. The need for graduate education was recognized by all levels of government

as Canada’s global productivity and competitiveness could no longer be assured from an

economy based on commodities and natural resources and had to be built on intellectual

capital. This required the post-secondary sector to take a dominant role with a greater

focus on strategic research initiatives as directed by government, greater linkages

between universities and the private sector, and to provide training and education to

increased number of qualified individuals able to conduct research with an advance

understanding of research methods (Clark, Moran, Skolnik and Trick, 2009).

The Canadian labor market demands for holders of graduate degrees exceeded the

current supply produced by Canadian universities for many years. The shortfall was

being made up from immigration and repatriation of Canadians. By the end of the

decade, COU expected the labor market demand for qualified PhDs as university faculty

in Ontario to be 11,000 and 30,000 nationally as retiring faculty would have to be

replaced to accommodate the increased number of undergraduate students seeking

university education. Luckily, there were also an increasing number of students who

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were prepared to tackle the challenges of graduate education and meet the labor market

demand (Council of Ontario Universities, 2003).

A significant amount of annual one-time-only graduate enrolment growth

operating funding (see table below) was provided to institutions in support of graduate

expansion as a result of the 2005 Ontario budget announcement.

Table 38 – Annual Graduate Expansion Funding Provided to Ontario Institutions 2005-2012

2004-5* 18,428,931 2005-6 15,566,590 2006-7 45,876,519 2007-8 118,693,211 2008-9 46,863,831 2009-10 67,956,457 2010-11 80,402,998 2011-12 82,712,715

476,501,252

*for 2001-2 to 2004-5 Source: Ontario Ministry of Training, Colleges and Universities

The allocation of graduate expansion funding was first based in 2004-5 and 2005-

6 on funding shares driven by five indicators: FTEs, BIUs, sponsored research, degrees

awarded, and graduate grants and scholarships as agreed to by all institutions under a

Consensus Proposal provided by COU. While institutions were promised funding for

expanding their graduate enrolments, they would not know the extent to which each

additional graduate student would be funded as funding for graduate enrolment growth

was announced during 2004-6 after the academic year was completed and was dependent

on available government funds making it difficult for institutions to plan for future

enrolment.

In June 2006, the government announced its graduate expansion plans and related

funding for 2006-7 and 2007-8. Grants were provided to each institution through

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separate Master’s and Doctoral funding envelopes based on increases in Master’s FTEs

and Doctoral FTEs for 2006-7 and 2007-8 above 2004-5 enrolment levels capped at an

institution’s enrolment targets. In order to ensure that graduate spaces were available to

students, the government created a competitive environment between institutions for

graduate students by reserving the right to reallocate any shortfall in enrolment targets to

other institutions. Institutions were required to provide periodic graduate enrolment

projections to government who assessed their progress towards their assigned graduate

enrolment targets. Institutions were also periodically requested to provide their requests

for additional graduate spaces to government.

In 2006, graduate enrolment targets were first set to increase by 12,000 spaces by

2007-8 and later set at 14,000 students to be reached by 2009 for the Ontario system.

Spaces were allocated between Master’s and Doctoral. In February 2009, a second round

of graduate expansion was announced increasing the target to 15,000 students to be

reached by 2013-14. The government demonstrated its willingness to differentiate

amongst universities when it allocated the additional 1,925 Master’s and 1,373 Doctoral

spaces (which increased system targets by 3,298 over the 12,000 spaces allocated in

2007-8) to a limited number of research-intensive institutions. McMaster, Ottawa,

Toronto, Waterloo, Western and York received 82% of the additional Doctoral spaces

and 62.8% of the additional Master’s spaces. In December 2009, after a mid-year review

of the program, institutions were permitted, on a one-time-only basis to convert up to

50% of their unfilled allocated Master’s and Doctoral spaces between the two pools.

Many institutions converted Doctoral spaces into Master’s spaces as a result of the

increased demand for Master’s degrees, especially professional Master’s degrees. In July

2011, as a component of the government’s Putting Students First plan for post-secondary

education, the government announced support for 6,000 additional graduate spaces for

growth between 2012-13 and 2015-16.

In August 2006, the government announced $471.4 million in planned capital

funding in support of the allocation of 12,000 graduate spaces. The funding will be

provided to institutions as an annual stream of capital grants over 20 years, commencing

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in 2007-8, based on the institution’s actual graduate enrolment growth over 2002-03.

Institutions are eligible to receive an annual capital grant for each new graduate FTE

enrolled beyond its 2002-3 graduate enrolment level. The planned capital funding of

$471.4 million was allocated to institutions in accordance with an institution’s graduate

enrolment growth target and took account of the institution’s graduate program mix and

its related net assignable square meters (NASMs) as determined by COU’s space

standards. The notional capital funding allocated to the 12,000 graduate spaces was

determined by dividing the $471.4 million planned capital funding by the system total

NASM of 185,269 to arrive at a system notional capital funding per NASM of $2,544.

An institution’s notional allocation was therefore determined by the product of an

institution’s required NASMs based on its program mix and $2,544 (the system funding

per NASM). The institution’s notional capital funding allocation was divided by its FTE

growth targets resulting in an institution’s notional capital funding per FTE which was

discounted over 20 years at 6.5% interest to arrive at a the institution’s capital grant value

per FTE to be paid annually as institutions increase their graduate enrolment levels.

Since the capital funding related to graduate enrolment growth will be paid over 20 year,

institutions were required to use existing cash reserves or externally borrow funds to

accomplish the required capital renovations or construction. This funding mechanism

provides capital funding for each additional graduate student based on an institution’s

planned graduate enrolment growth which was paid annually, similar to its related

operating funding, based on actual enrolment.

The following is an examination of graduate student enrolment changes by

institution to gain an understanding of the impact of graduate enrolment expansion on an

institution’s enrolment profile and climate. Graduate student enrolment change was

operationalized as the change in the graduate student population headcount as a

percentage of total student population. Appendix 3 lists the total student headcounts

(undergraduate and graduate) by institution by year from 2000-01 to 2010-11. Appendix

4 lists the graduate student headcount by institution by year from 2000-01 to 2010-11.

Using Appendix 3 and 4, the graduate student population headcount as a percentage of

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total student population can be calculated by institution by year. The results are shown in

Appendix 5.

Figure 3 - Cumulative Change (Less Than 2%) in Graduate Students as a Percentage of Total Students - Fall Headcount from 2000-01 by Institution

2002-2011

‐3.00

‐2.00

‐1.00

‐

1.00

2.00

3.00

2002 2003 2004 2005 2006 2007 2008 2009 2010 2011

Perc

enta

ge

University of Guelph Wilfrid Laurier University Carleton University

York University Nippissing University McMaster University

University of Toronto University of Ottawa Queen's University

Source: Ontario Ministry of Training, Colleges and Universities

Figure 3 and Figure 4 graph the cumulative change in graduate student as a

percentage of total students from 2000-01 by grouping together institutions with less than

a 2% cumulative change and grouping together those institutions with more than a 2%

cumulative change (Dominican College is excluded due to its small number of graduate

students and as an outlier with a 15.7% change as 46% of its students are graduate

students in 2010-11 as compared to over 30% in 2000-01). Algoma University is

excluded as it had no graduate students during the period.

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Figure 4 - Cumulative Change (More Than 2%) in Graduate Students as a Percentage of Total Students - Fall Headcount from 2000-01 by Institution

2002-2011

‐1.00

‐

1.00

2.00

3.00

4.00

5.00

6.00

7.00

2002 2003 2004 2005 2006 2007 2008 2009 2010 2011

Perc

enta

ge

Trent University OCAD University

Lakehead University Brock University

The University of Western Ontario Laurentian University

University of Waterloo University of Windsor

UOIT Ryerson University

Source: Ontario Ministry of Training, Colleges and Universities

Most institutions with less than a 2% change in graduate students as a percentage

of total from 2000-01 to 2010-11 (including four medical/doctoral schools) absorbed an

increased proportion of undergraduate students relative to graduate students during the

double cohort period to 2006 while few institutions with more than a 2% change in

graduate students as a percentage of total from 2000-01 to 2010-11 absorbed an increased

proportion of undergraduate students relative to graduate students.

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Table 39 – Graduate Enrolment as a Percentage of Total Enrolment by Institution 1994, 2004 and 2010

Institution 1994 2004 2010

Brock University 1.7 6.4 8.7

Carleton University 10.0 12.6 13.9

University of Guelph 12.4 10.2 9.5

Lakehead University 3.2 6.7 7.0

Laurentian University 2.5 5.1 8.2

McMaster University 11.6 11.5 14.1

Nipissing University 0.0 6.3 5.0

OCAD University 0.0 0.0 2.3

UOIT 0.0 5.6

University of Ottawa 14.2 13.0 15.0

Queen's University 15.6 14.5 16.4

Ryerson University 0.0 2.0 5.9

University of Toronto 17.6 18.0 19.1

Trent University 3.1 3.1 5.4

University of Waterloo 9.7 10.7 13.6

The University of Western Ontario 10.0 11.7 14.8

Wilfrid Laurier University 8.1 7.8 8.7

University of Windsor 5.9 7.8 11.4

York University 7.7 9.7 11.1

Analyzing the cumulative change in graduate students as a percentage of total

enrolment provided a general understanding of each institution’s enrolment growth

journey and its impact on each institution’s enrolment mix. The impact of the growth in

students and more specifically, growth in graduate students funded by government, on the

climate of an institution and on the sector is better examined by comparing the percentage

of graduate students as a percentage of total students in attendance at institutions in 1994,

2004 (before the allocation of enrolment growth funding) and 2010.

Table 39 (excluding Dominican College) shows that from 1994 to 2010, all

institutions (except for University of Guelph) had increased the number of graduate

students on campus relative to the total student population. An examination of the

standard deviation for graduate enrolment as a percentage of total enrolment for 1994,

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2004 and 2010 determined that there has been a decrease in the distances from the mean

from 1994 (SD=5.45) to 2004 (SD=4.76) and a further decrease to 2010 (SD=4.44)

suggesting that as more institutions increased their graduate enrolments relative to the

total population, more institutions resembled each other leading to a decrease in

diversity in the sector.

While graduate programs are offered throughout more of Ontario’s universities,

suggesting a decrease in diversity as noted above, an examination of the extent of the

change in program emphasis between Master’s and Doctoral during the graduate

expansion period could provide further insights. Appendix 6 details the number of

Master’s students by institution from 2004-5 to 2010-11 and Appendix 7 details the

number of Doctoral students by institution during the same period. The proportion of

Master’s students and Doctoral students as a percentage of total graduate students by

institution is detailed in Appendix 8 and 9 respectively.

Table 40 lists the cumulative change in Doctoral students as a percentage of total

graduate students from 2005 to 2010 by institution. It should be noted that an increase in

the percentage of Doctoral students is offset by a decrease in the percentage of Master’s

students for the institutions included in the table. It is interesting to note that The

University of Western Ontario is the only medical/doctoral school that significantly

changed its mix of graduate students while the other medical/doctoral schools made very

little (less than 2%) change. The top 4 institutions (UOIT, Laurentian University,

Lakehead University and Ryerson University) all had cumulative changes in graduate

enrolments as a percentage of total students above 2% and all made significant (more

than 6.5%) changes in their graduate student mix as a result of graduate enrolment

growth funding.

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Table 40 – Cumulative Change in Doctoral Students as a Percentage of Total Graduate Students from 2004

2005-2010

2005 2006 2007 2008 2009 2010Laurentian University 3.8 6.1 11.5 12.7 15.2 16.7UOIT 0.0 0.0 0.0 3.7 7.6 13.4Lakehead University 0.3 2.4 2.8 5.8 8.1 10.0Ryerson University 2.4 3.3 2.3 4.1 6.7 8.0The University of Western Ontario 1.9 4.4 3.8 4.3 6.1 6.5York University 1.9 2.0 1.5 3.1 3.6 5.1Brock University 1.9 1.5 2.4 1.9 2.5 3.7Dominican College ‐0.1 ‐6.7 ‐6.6 ‐13.5 ‐3.0 2.0University of Guelph 2.5 2.2 1.1 0.7 1.6 1.8Wilfrid Laurier University 0.8 2.6 3.2 2.5 1.4 1.8University of Windsor 0.8 0.9 1.2 0.8 1.1 1.4University of Ottawa 2.6 3.8 1.8 1.6 1.0 1.1University of Toronto 1.2 1.7 0.0 ‐0.1 ‐0.3 0.4Carleton University 2.2 2.2 0.0 ‐0.9 ‐0.9 0.3Queen's University 0.8 0.6 0.2 1.3 0.4 0.2Trent University 3.3 3.8 1.6 ‐2.8 ‐2.6 ‐0.2University of Waterloo 0.6 1.5 0.0 ‐1.4 ‐1.3 ‐1.2McMaster University 1.2 1.3 ‐1.1 ‐0.7 ‐1.2 ‐3.1

(Algoma, Nipissing and OCAD have no doctoral students)

Table 41 shows the extent of the change in program emphasis by institution

during the graduate expansion period by showing the percentage of Doctoral students as a

percentage of total graduate students for 2004 and 2010. An examination of the standard

deviation for Doctoral enrolment as a percentage of total graduate enrolment for 2004

and 2010 determined that there has been a decrease in the distances from the mean from

2004 (SD=13.6) to 2010 (SD=9.97) suggesting that doctoral students are more evenly

distributed across the province leading to a decrease in diversity in the sector.

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Table 41 – Doctoral Students as a Percentage of Total Graduate Students by Institution 2004-2010

Institution 2004 2010

Brock University 4.4 8.1

Carleton University 27.7 28.0

University of Guelph 32.2 34.0

Lakehead University 6.5 16.5

Laurentian University 1.3 17.9

McMaster University 38.0 34.9

UOIT 0.0 13.4

University of Ottawa 26.6 27.7

Queen's University 31.2 31.4

Ryerson University 6.0 14.0

University of Toronto 39.2 39.6

Trent University 29.8 29.6

University of Waterloo 40.2 39.0The University of Weste 30.2 36.7

Wilfrid Laurier Universit 9.4 11.1

University of Windsor 21.1 22.5

York University 25.8 30.9

Table 42 shows the extent of the change in program emphasis by institution

during the graduate expansion period by showing the percentage of Master’s students as a

percentage of total graduate students for 2004 and 2010. An examination of the standard

deviation for Master’s enrolment as a percentage of total graduate enrolment for 2004

and 2010 determined that there has been a decrease in the distances from the mean from

2004 (SD=27.2) to 2010 (SD=12.3) suggesting that master’s students are more evenly

distributed across the province. Even after removing the impact of OCAD University and

UOIT, the standard deviation for Master’s enrolment as a percentage of total graduate

enrolment for 2004 and 2010 still showed a decrease in the distances from the mean from

2004 (SD=13.6) to 2010 (SD=11.4) suggesting that master’s students are more evenly

distributed across the province leading to a decrease in diversity in the sector.

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Table 42 – Master’s Students as a Percentage of Total Graduate Students by Institution 2004-2010

Institution 2004 2010

Brock University 95.6 91.9

Carleton University 72.3 72.0

University of Guelph 67.8 66.0

Lakehead University 93.5 83.5

Laurentian University 98.7 82.1

McMaster University 62.0 65.1

Nipissing University 100.0 100.0

OCAD University 0.0 100.0

UOIT 0.0 86.6

University of Ottawa 73.4 72.3

Queen's University 68.8 68.6

Ryerson University 94.0 86.0

University of Toronto 60.8 60.4

Trent University 70.2 70.4

University of Waterloo 59.8 61.0

The University of Western Ontario 69.8 63.3

Wilfrid Laurier University 90.6 88.9

University of Windsor 78.9 77.5

York University 74.2 69.1

From the analysis on graduate enrolment growth, while institutions were once

differentiated according to the extent of doctoral education provided, the allocation of a

limited amount of graduate enrolment operating and capital funding mainly on a

competitive basis contributed to processes of institutional convergence as more

institutions chose to offer graduate programs in order to obtain a share of the funding

allocation.

Since doctoral programs and research intensity complement each other, Fallis

(2013) suggested that differentiation in Ontario’s university sector should occur by

having a subgroup of universities focused on doctoral education and research at an

internationally competitive level. Doctoral education funded at a few universities would

benefit from having a critical mass of students and faculty to deliver high quality

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programs that could be benchmarked internationally. Research could be conducted at all

universities with the subset of institutions having a critical mass of high quality research

across a range of fields. The other group of universities would focus on baccalaureate

education and would offer Master’s programs but no Doctoral programs. The MYAA

would be used as a mechanism to formally limit enrolments. Therefore, Ontario might be

better served by limiting all future growth in Doctoral programs to those institutions that

already have a greater share of Doctoral students thereby limiting the share of graduate

education to other institutions.

Limiting graduate aspirations was not shared by all participants interviewed for

this study as such a practice would not be equitable, as every institution should have the

chance to offer graduate programs. A participant noted that “those who did not get them

(graduate spaces) would be howling to say you are relegating us to second tier

status…On the other hand, the other voices would say, if Ontario aspires to have world

class institutions, then there has to be some serious differentiation.” Another participant

was concerned that only funding research-intensive institutions in terms of graduate

learning may cause the sector to lose new disciplines and new areas of specialization

while others questioned if the supply of students is as endless as the sector assumes. A

number of participants did question the Ministry’s approach to dealing with unfilled

graduate spaces by some institutions while other had more supply than spaces available.

Criticisms were also launched at institutions on this matter: “if you can’t meet your target

consistently, than you have to ask yourself if you have graduate programs that are

relevant or is there some programs you should not be doing?”

Conclusion

The examination of key provincial funding policies through policy analysis

between 1994 and 2010 suggests that the current policy environment supports the

convergence of institutions. The university’s basic operating funding grant, which is

based on enrolment levels by program, continues to funds institutions equally (same BIU

value for all institutions) without specifying any allocations between teaching, research

and other activities, irrespective of an institution’s type or size. There has also been a

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decrease in the level of special purpose funding, in support of differentiated missions and

government priorities, provided to institutions during this period.

Tuition fees are for the most part, regulated by the government and provide no

incentive for institutions to engage in competitive pricing to differentiate their programs

and therefore contributed to processes of institutional convergence. Capital funding and

funding in support of student aid, which lack diversity objectives promoted by the

existing egalitarian funding model, contributed to processes of institutional convergence.

While institutions were once differentiated according to the extent of doctoral education

they provided, the allocation of additional graduate operating and capital funding

contributed to processes of institutional convergence as more institutions chose to offer

additional graduate programs.

Ontario universities were operating in a period of high resource flows from

increases in student demand and other funding which provided additional resources to the

primarily undergraduate institutions to add new graduate programs and therefore mimic

the comprehensive and medical/doctoral institutions.

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CHAPTER VII - MOVING FORWARD: DIVERSITY AND THE STRATEGIC MANDATE AGREEMENTS

Introduction

The Minister of Training, Colleges and Universities recently noted that

there is no question that every college and university should be able to offer a full range of core programming, particularly at the undergraduate and entry level. And there is no question that we need to see the continued growth of graduate studies as well as a strong research agenda within both the college and university sectors. But putting students first means focusing our resources on what each institution does best so that collectively they offer the maximum choice, flexibility and quality experience to Ontario students (Milloy, 2011).

This chapter used the strategic mandate agreements provided by each university,

which articulated their future direction, in order to assess the cumulative impact of these

plans on systemic and climate diversity in Ontario’s university sector. The impact of

these plans is important as the development of a policy on institutional diversity must

take into account not only current levels of diversity but must also substantiate the need

for such a policy by projecting the extent of diversity under the current policy

environment.

It is understood that this type of analysis is a projection based on the following

key assumptions. It was first assumed that that all institutional plans and priorities will

be realized by 2018 which in itself assumed that the provincial government will provide

the required funding inherent in some of these plans. This study did not conduct any due

diligence to determine the reasonableness of the various institutional strategic directions

and priorities or to assess their likelihood of being realized by 2018. It is also understood

that institutions provided these strategic plans and priorities in response to the

government’s areas of special interest and many have excluded other strategic directions

and priorities which might have impacted the extent of systemic and climate diversity for

2018. The projections also assumed that there was no significant change in the current

federal and provincial policy environment and no new institutions are added to Ontario’s

university sector irrespective of the calls by a number of scholars (Jones and Skolnik,

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2009, and Clark, Moran, Skolnik and Trick, 2009) for new undergraduate teaching-

focused institutions.

Strategic Mandate Agreement process

The Ministry of Training, Colleges and Universities launched a process to

establish strategic mandate agreements with each of Ontario’s colleges and universities,

with the purpose of informing future decisions, including funding allocation decisions

and program approvals. The government also articulated its vision for post-secondary

sector in Ontario as follows: “Ontario colleges and universities will drive creativity,

innovation, knowledge, and community engagement through teaching and research.

They will put students first by providing the best possible learning experience for all

qualified learners in an affordable and financially sustainable way, ensuring high quality,

and globally competitive outcomes for students and Ontario’s creative economy”

(Ministry of Training, Colleges and Universities, 2012, p. 7).

The Higher Education Quality Council of Ontario established a peer review panel

with the objective of evaluating the strategic mandate submissions to identify institutions

that would have the ability to improve productivity, quality and affordability through

innovation and differentiation and that could advance government policies, objectives

and goals. These institutions would be provided with funding to pursue their mandates

by 2013-14 (HEQCO, 2012).

While the submissions specifically addressed the government’s areas of special

interest (productivity, innovation and student centeredness), for many institutions, these

areas were closely aligned with their own strategic plans and priorities which they were

already pursuing. Participants generally agreed that strategic mandate agreements are an

effective way to shape the direction of higher education and increase diversity as

institutions can identify how they can differentiate themselves from others while

encouraging institutions to focus on their areas of strength. As summarized by a

participant, they generally saw the process “as an opportunity not to get radical

transformation in a short period of time, but to set the stage for measured evolution that

will ultimately lead to a differentiated system. Government will have to make some

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brave policy choices in doing that, and put some stakes in the ground that they haven’t

done before”. However, the inaugural strategic mandate agreement process was not

without criticism as a participant noted:

There wasn’t confidence in the process, it was changing as it was taking place, it was a tight timeframe, wrong time of year, so everybody went back to their strategic plans, done in a more traditional way, used that because they had community buy in, and so we got criticized for not demonstrating enough diversity.

The process was also criticized by participants for not providing incentives to drive

diversity; it limited responses to eight pages (not all institutions complied); focused on

short-term, tactically based responses instead of broad strategic directions; it failed to

recognize the importance of the need for universities to consult with its many

constituencies in order to gain support for any changes in direction or mission; coupled

with a process that occurred when key stakeholders were no longer on campus.

The problem with this SMA process is that we were asked to do one thing but we are being evaluated as if we were asked to do something else. We are than criticized for not generating new ideas as if we were not doing what we were asked to do. We did what we were asked to do. We were not asked to show how we are going to be different.

While most participants supported such a process, some had serious reservations

as noted by the following statement:

My fears with these SMAs is that it will be a way of controlling what universities do in order to reduce costs in the system, than that would be a dead loss because it will have that same homogenizing effect as all the other interventions from government tend to have.

HEQCO’s expert panel also recognized some of the deficiencies in the SMA

process as they highlighted that

…the SMA process, including its focus and areas of emphasis, evolved over time. These considerations, coupled with the constraints of the exercise, shaped what institutions could submit. Additionally, the public consultation and other discussions underway at the time the SMAs were being prepared no doubt influenced submissions. Some institutions perceived that this was an exercise in securing incremental resources, and the content of their SMAs was shaped by

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what they thought would optimize their success in such a competition. The Panel was mindful of these considerations as it reviewed the SMAs (HEQCO, 2013. p. 5).

The expert panel also noted that “the SMAs provide a rich collection of ideas,

innovations, plans and projects that could be advanced within the institution identifying it

or generalized to other institutions” (HEQCO, 2013. p. 6) but noted that “there was not

sufficient diversity among mandate statements, particularly when examined within each

of the college and university sectors, to allow for identification of some institutions as

leads.” (HEQCO, 2013, p. 6). A number of participants interviewed after the report was

issued criticized the panel for essentially “abrogating their responsibilities towards

making any kind of definitive or declarative statements” on the SMAs.

Strategic Mandate Agreements

The following is a summary of Strategic Mandate Agreements by institution

highlighting potential changes in their 2010 categorization of variables (type, size,

enrolment profile, undergraduate profile and student/faculty contact) that was used to

project the categorization of variables by institution to 2018. The projections of the

variables by institution was used to categorize institutions into institutional types and

determine their concentration and dispersion by type as a means of projecting systemic

and climate diversity in the university sector in Ontario in 2018.

Algoma University

Algoma University is currently a small, regional (Algoma Region), and primarily

undergraduate university with a special mission to focus on teaching and learning, and

engage in cross-cultural education. It plans to grow its enrolment (Aboriginal students,

students from other parts of Ontario, and International students) from 1,000 FTEs to

3,000 FTEs in the future as a path to increased productivity. It seeks to offer its first

Master’s program in Environmental Science in coordination with a similar institution,

Lake Superior State University. It also seeks to extend the number of sites at which it

offers first-year or first and second-year programs in order to feed its upper year courses

on its main, Sault Ste. Marie campus. It also seeks to increase its collaboration with

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colleges in Northern Ontario and offer two new articulated-degree programs as well as

enter into three new pathway agreements (Algoma University, 2012). The 2010

categorization of variables for Algoma University appears not to be impacted by the

university’s future strategic direction.

Brock University

Brock University is currently a large, regional (Niagara Region), and

comprehensive (2010 - primarily undergraduate) university that offers a variety of

undergraduate programs and 34 Master’s and PhD programs. It is a student-centered,

learning focused institution that offers a full range of traditional, experiential and

innovative pedagogies. It engages in transdisciplinary community-based research and

actively pursues regional economic development initiatives. It seeks to expand its on-line

offering and experiential learning programs for students, to establish five

transdisciplinary Research Institutes and grow its graduate and undergraduate programs

by increasing its graduate enrolment to 10% of total students by 2014. It also seeks to

build networks of community partnerships to expand and establish a culture of

innovation, research and commercialization to meet the needs of the knowledge economy

(Brock University, 2012). Brock University’s desire to increase its graduate enrolment

would impact its enrolment profile by 2018 to medium (more than 10% are graduate

students) from its 2010 category of low (less than 10% are graduate students). It will also

be classified as a comprehensive institution from 2011, consistent with its Maclean’s

classification.

Carleton University

Carleton University is currently a large, regional (National Capital Region),

comprehensive and research-intensive university that offers a wide range of disciplinary

and interdisciplinary programs with excellence in graduate studies and experiential

learning. It seeks to develop a fully integrated model of college/university academic

programming, to provide leadership and collaboration leading to regional economic

prosperity and sustainable development that will engage its faculty and students in their

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community. It also seeks to expand its international reach by offering a summer gateway

program for international students, develop more on-line courses and cluster of courses

that will be a building block towards a degree and to increase its partnerships with

universities in other countries by developing programs in areas of demand (Carleton

University, 2012). The 2010 categorization of variables for Carleton University appears

not to be impacted by the university’s future strategic direction.

University of Guelph

The University of Guelph is currently a large, comprehensive and research-

intensive university that offers a wide range of theoretical and applied, disciplinary and

interdisciplinary, undergraduate and graduate programs. It is recognized for having the

only veterinary school in Ontario and for conducting research in agri-food and life

sciences. It seeks to transform its curriculum by undertaking a program prioritization

process to enhance its productivity and effectiveness that will inform which program to

enhance, continue, reduce, restructure or eliminate. It also seeks to widen the use of

learning ePortfolios, to develop courses to reflect acquired or developed skills and ensure

that students accumulate a guaranteed minimum number of active learning practices. It

also seeks to provide learning opportunities that will stimulate regional economic and

social development with a variety of partners (University of Guelph, 2012). With the

government announcement of support for 6,000 additional graduate spaces between

2012-13 and 2015-16, the University of Guelph could easily move its current enrolment

profile of 9.6% to 10%, moving to the medium category by 2018.

Lakehead University

Lakehead University is currently a medium, regional (Northwestern Ontario and

Simcoe County) and primarily undergraduate university that offers a variety of

undergraduate programs and 36 Master’s and PhD programs. It has a commitment to

Aboriginal learners which represent 11% of its total student enrolment. As a learner-

centered university, it recognizes that research informs the curriculum as its faculty is

engaged in innovative research initiatives and integrates teaching, learning and research.

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Experiential learning is also a component of nearly every program. It seeks to create new

pathways and increase student mobility by entering into college-universities multilateral

transfer agreements, regional college partnerships and increase its Aboriginal enrolment

to 15% of total enrolment. It seeks to increase student, faculty and staff engagement by

advancing scholarly and innovative approaches to teaching and technology practices,

creating a gathering place for Aboriginal students, and provide face-to-face and virtual

academic support services in a student success center. It also seeks to be responsive to

the needs of its rural and remote community by expanding learning opportunities,

research and economic development through a series of community partnerships

including the establishment of a store-front legal clinic, a Centre focused on programs for

non-traditional learners, and a Centre of Excellence in mineral exploration and

sustainable mining development (Lakehead University, 2012). Its strategic plans to 2018

notes that enrolment will be increased by over 2,000 students bringing total enrolment

over 10,000 by 2018 moving its enrolment size from medium to large.

Laurentian University

Laurentian University is currently a medium, regional (Greater Sudbury and

Barrie) and primarily undergraduate university that offers a variety of undergraduate

programs and 5 signature graduate programs in a French, English and Aboriginal culture

with over 60% of its students as First Generation and over 10% are Aboriginal. Its

research excellence is focused in 9 areas and is recognized for its fresh water, mineral

exploration and mining innovation research. It seeks to improve its student engagement

and experience by recruiting 90 highly talented faculty, create a Centre for Academic

Excellence, modernize its campus to make creative use of space and increase its

enrolment from 7,200 FTEs in 2011 to 8,300 FTEs by 2017. It also seeks to actively

engage with its community partners by building an Indigenous Learning Centre,

increasing the number of Aboriginal faculty and students and better meet the needs of

Francophone learners in Central-Southwestern Ontario, build a new facility in Barrie that

will allow the expansion of its programs and build a School of Architecture that will

revitalize Sudbury’s downtown core. It also seeks to establish state of the art research

laboratories and graduate research spaces in environmental sustainability, mining

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innovation and exploration. It will continue its graduate expansion by introducing 5 more

Master’s program and increase the number of PhD students (Laurentian University,

2012). With its 2012 enrolment at 9,700 full and part-time students, Laurentian

University will easily exceed 10,000 students by 2018 with its current enrolment growth

plans, moving its enrolment size from medium to large.

McMaster University

McMaster University is currently a large medical/doctoral and research-intensive

university that offers a wide range of undergraduate and graduate programs through a

research-focused, student-centered approach. It integrates research and education by

embedding community-based, experiential learning in programs across all 6 of its

Faculties. It seeks to develop a distinct, personalized and engaging undergraduate

experience by continuing its tradition of pioneering academic programs based on self-

directed, problem-based learning linked to its research mission. It will establish an

Experiential Learning Centre that will increase experiential learning, online delivery,

community engagement and mentorship and will assess the benefits of using student

learning portfolios. It also seeks to build on existing partnerships with local government,

businesses and other community groups and will create a Network of Community

Champions in its Faculties to raise the visibility of its community engagement mission

and enable the sharing of best practices. It also seeks to enhance support to its faculty to

assist them in engaging students in their research activities and further increase its

graduate enrolment by introducing new graduate programs (McMaster University, 2012).

The 2010 categorization of variables for McMaster University appears not to be impacted

by the university’s future strategic direction.

Nipissing University

Nipissing University is currently a medium, regional (Northern Ontario) and

primarily undergraduate university that offers a variety of undergraduate and a handful of

graduate programs in a range of disciplines while giving special attention to learners in

the North, including First Generation and Aboriginal learners. As a teaching and a

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student-centered learning institution, it seeks to enhance its academic programs by adding

new program offerings and cross-disciplinary degrees (8 new Master’s level and 2

Doctorate level). It also seeks to support student accessibility by providing innovative

programs and applied degrees through its multiple college partnerships (increase

pathways for non-traditional students and improved recognition for prior learning), cross-

sector partnerships, blended learning and online and flexible models of delivery and

credit transfer recognition. It will also continue to develop a fully-integrated community

of engaged scholars and learners by developing problem-based learning with community-

based objectives, engaging undergraduate students in research and practical learning

experiences to enrich their learning experiences (Nipissing University, 2012). The 2010

categorization of variables for Nipissing University appears not to be impacted by the

university’s future strategic direction.

OCAD University

OCAD University is currently a small and primarily undergraduate university

offering undergraduate and a handful of Master’s level programs through experiential and

technology-enabled learning and is specialized in art, design and media education. It

seeks to create a variety of fully online and blended learning course offerings, will lead in

technology-enabled learning and will expand experiential learning opportunities with a

formal partnership with a business school. It also seeks to increase its enrolment to above

5,000 FTEs by 2017 by growing its undergraduate enrolment by 25%, growing its

market-driven graduate programs by 3 times its size and offer PhD programs (a revision

to its Act will be required to allow the institution to offer Doctoral programs) and

increasing the number of diploma-to-degree articulation agreements with colleges. It also

seeks to increase its research capacity in art, design and media to enhance its student

experience and allow it to transfer its knowledge to diverse communities through local

and international research partnerships (OCAD University, 2012). The 2010

categorization of variables for OCAD University appears not to be impacted by the

university’s future strategic direction.

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University of Ontario Institute of Technology

The University of Ontario Institute of Technology is a medium, primarily

undergraduate university that offers 43 undergraduate and 27 graduate programs in

STEM-based and STEM-intensive disciplines which are designed to be technology-

enabled, career-focused and market-oriented. It seeks to increase its enrolment levels to

10,000 FTEs by 2016 and to 20,000 FTEs by 2030 by implementing a number of

outcome-based learning strategies throughout its programs and by broadening its college-

university transfer articulation agreements and its collaborative program delivery with

Trent University. It seeks to strengthen its partnerships with Durham College and Trent

University to leverage resources in Durham Region and Northumberland County to

enhance their impact on the knowledge economy. It also seeks to enhance its physical

and technological infrastructure in support of a full integration of a technology-enriched

learning environment and to promote innovation in teaching research (digital research

capacity including cloud delivery models) and administration (University of Ontario

Institute of Technology, 2012). With its enrolment plans, UOIT will easily exceed

10,000 students moving its enrolment size from medium to large by 2018.

University of Ottawa

University of Ottawa is currently a large medical/doctoral and research-intensive

university that offers a wide range of undergraduate, graduate and professional programs

in a bilingual environment with a commitment to the promotion of French culture in

Ontario. It seeks to increase its innovation in teaching and learning by increasing the

number of experiential learning opportunities with organizations that are clustered around

the national capital region, enable greater student mobility through its participation in the

University Credit Transfer Consortium, reduce time to completion through three-session

academic programming and three-year undergraduate degrees, increase the use of

technology-assisted learning and accelerate its French immersion program. It also seeks

to increase its research-intensity in its particular areas of strength: health, science and

engineering, and public policy. It will also increase its graduate students to 18% of total

students, increase the number of Doctoral students by 50% and increase the number of

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courses offered in both English and French to 85% of total course offerings (University

of Ottawa, 2012). The 2010 categorization of variables for University of Ottawa appears

not to be impacted by the university’s future strategic direction.

Queen’s University

Queen’s University is currently a large, medical/doctoral and research-intensive

university that offers a wide range of undergraduate, graduate and professional programs

by providing a student learning experience which is enriched by a research-intensive

setting. It seeks to expand its undergraduate credentials and experiential and

entrepreneurial education. Additional undergraduate credentials include creating more

opportunities for students to receive a college-level certificate or diploma concurrent with

a degree (in cooperation with a College) and will also pursue opportunities within the

university to offer certificates within its degree programs. While it currently offers a

number of experiential and entrepreneurial experiences to students within its programs, it

will compile a directory to identify co-curricular activities and their related learning

outcomes making these activities accessible to all students. It will also build on its

existing strengths to increase student involvement in Kingston and other communities. It

expects to increase enrolments by 2,000 undergraduate FTEs and 350 graduate FTEs by

2018 as it also expands its graduate credentials in its professional programs by offering

laddered credentials which include certificates and graduate diplomas (Queen’s

University, 2012). The 2010 categorization of variables for Queen’s University appears

not to be impacted by the university’s future strategic direction.

Ryerson University

Ryerson University is a large, comprehensive (2010 was primarily undergraduate)

university which offers a variety of undergraduate and graduate programs (13 PhD

programs). It is a student-centered institution that emphasizes entrepreneurial, creativity,

experiential learning, continuing education, and online learning. It seeks to broaden its

professional graduate programs and anticipates increasing enrolment by 750 Master’s

FTEs and 260 Doctoral FTEs by 2018. It also plans to expand its Digital Media Zone

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concept to other disciplines as it attracted entrepreneurial talent from across the world to

build a digital media industry in the GTA in collaboration with industry and community

partners. It also seeks to transform its curriculum with more experiential learning,

technology-enhanced course delivery, year-round course availability, and provide digital

literacy opportunities across its curriculum. It also seeks to grow its undergraduate

enrolment by 3,600 FTEs with the addition of 6 programs in innovative fields, produce

120 new online courses per year for the next five years bringing its total online offerings

close to Athabasca University’s total online offerings (Ryerson University, 2012). With

the government announcement of support for 6,000 additional graduate spaces between

2012-13 and 2015-16, Ryerson University could easily move its current enrolment profile

of 9.2% to 10%, moving to the medium category by 2018. It will also be classified as a

comprehensive institution from 2011, consistent with its Maclean’s classification.

University of Toronto

The University of Toronto is currently a large, medical/doctoral and research-

intensive university that offers a full range of undergraduate, graduate and professional

programs across disciplines and across three distinctive campuses. It is an internationally

significant research university that ensure its undergraduate education is enriched by its

culture of inquiry, discover and creativity and is known as Ontario’s academic flagship.

It expects to increase its undergraduate enrolment by 5,000 FTEs at its east and west

campus. It seeks to continue to enhance its efficiencies and productivity by increasing

the number of combined undergraduate and Master’s degree (3 + 2), expand the number

of teaching-stream faculty, and expand the number of international graduate students

should the domestic-level funding formula be extended to international graduate students.

It also seeks to expand technology-assisted learning opportunities by exploring the

potential for offering for-credit foundational courses through the Massively Open On-line

Consortium – Coursera. It also seeks to enhance entrepreneurial and experiential

learning opportunities by developing an entrepreneurial for-credit course for its Arts and

Science students, expanding its partnerships with an international consortium, private

sector partners, as well as providing funding to students who can’t afford to forgo part-

time income to take advantage of valuable unpaid internship opportunities (University of

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Toronto, 2012). The 2010 categorization of variables for the University of Toronto

appears not to be impacted by the university’s future strategic direction.

Trent University

Trent University is currently a medium, regional (Durham Region), primarily

undergraduate research-focused university that offers a variety of undergraduate and a

handful of graduate programs in an intimate learning environment. It seeks to establish

an Interdisciplinary School of Environment, Sustainability and Enterprise which will

increase its reputation for research and teaching in environmental science and

sustainability, expand its graduate and undergraduate programs in its current areas of

strength (enrolment up by 1,150 FTEs) and will provide additional experiential learning

opportunities. It seeks to be a catalyst for regional transformation rooted in community-

based experiential learning, locally focused research and increased university-college

partnerships. It also seeks to develop a Centre for Aging and Society that will examine

the social, economic, cultural and health impacts of aging on society and individuals

communities. It will also increase its leadership in Aboriginal community development

(Trent University, 2012). The 2010 categorization of variables for the Trent University

appears not to be impacted by the university’s future strategic direction.

University of Waterloo

The University of Waterloo is a large, comprehensive and research-intensive

university that offers a wide range of undergraduate and graduate programs in an

environment which cultivates innovation while offering a unique form of experiential

learning as the world’s largest post-secondary co-operative education program. It seeks

to expand its graduate program offerings and enrolment by offering more online graduate

courses, more opportunities for research work terms, developing more interdisciplinary

graduate programs and integrating its ESL program for its graduate students. It also

seeks to adopt a transformative higher education model that will help move discoveries

quickly to market and support innovation-enabled learning by developing and building an

Innovation Village that would provide the necessary infrastructure, virtual network of

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support and like-minded risk takers in an environment fueled by shared ideas. It also

seeks to enhance its technology-enabled learning by first building technology-enabled

learning assessment expertize leading to a regional university consortium that would

develop and distribute online courses and resources using open courseware (University of

Waterloo, 2012). The 2010 categorization of variables for the University of Waterloo

appears not to be impacted by the university’s future strategic direction.

The University of Western Ontario

The University of Western Ontario is currently a large, medical/doctoral and

research-intensive university that offers a wide range of undergraduate, graduate and

professional programs by providing a student learning experience which is enriched by a

research and innovation setting. It seeks to strengthen its current commitment to the

delivery of the best student experience by increasing the number of faculty Chairs to

improve its student to faculty interactions, increasing the number of Teaching Fellows to

increase innovation in curriculum development, expand its experiential learning

opportunities, and increase its enrolment (600 Master’s and 300 Doctoral by 2017)

mainly in its professional graduate programs. It will continue to provide a learning

environment that fosters creativity through exploration, discovery, invention and

innovation and will promote industry access to its facilities through partnerships. It also

seeks to enhance its knowledge mobilization efforts by providing its students with

opportunities to experience hands-on learning in the community and abroad and will

introduce a co-curricular record to give formal recognition to ‘out-of-class” learning

(The University of Western Ontario, 2012). The 2010 categorization of variables for the

University of Western Ontario appears not to be impacted by the university’s future

strategic direction.

Wilfrid Laurier University

Wilfrid Laurier University is currently a large, comprehensive (2010 was

primarily undergraduate), research-intensive university which offers a full range of

undergraduate, graduate and professional programs in a liberal arts tradition, multi-

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campus and multi-community setting. It seeks to offer innovative academic programs

with a focus on integrated and engaged learning. It provides student choice through its

extensive articulation agreements and excels in teaching and learning by creating

teaching-stream faculty positions, provide a General BA which can be completed entirely

online, and make use of online preparedness evaluations. It will increase its technology-

assisted learning and will partner with regional universities to create new online

resources. It seeks to grow its graduate programs and enrolment (15% growth in

Master’s and 20% in Doctorate enrolment), augment its undergraduate research

opportunities and will increase its emphasis on partnership development and

collaborative research. With limited capacity at its Waterloo campus, it seeks to create

another campus in Milton (Wilfrid Laurier University, 2012). With the increase in its

graduate programs and research intensity, it will be classified as a comprehensive

institution from 2011, consistent with its Maclean’s classification.

University of Windsor

The University of Windsor is currently a large, comprehensive and research-

intensive university that offers a wide range of undergraduate, graduate and professional

programs in an environment focused on students and its community (Winsor-Essex

Region). Over the next three years, it seeks to transform the large classroom experience

by redesigning its 25 largest undergraduate courses by making extensive use of online

and mobility communications technologies that will translate into an agile, efficient, and

effective learning experience. It also seeks to strengthen its community engagement and

post-secondary collaborations by building around its new downtown campus (Opening

Fall 2014) by entering into partnerships with the business community and St. Clair

College. It will increase its academic and community programing and student pathways

(undergraduate honors degree/diploma) while maximizing its resource utilization. It also

seeks to increase its research-intensity by encouraging more intra and inter-disciplinary

research groups, expanding its graduate and professional programs, integrating research

and creative activities in its undergraduate curricula and support increased international

research and graduate training opportunities (University of Windsor, 2012). The 2010

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categorization of variables for the University of Windsor appears not to be impacted by

the university’s future strategic direction.

York University

York University is currently a large, comprehensive and research-intensive

university that offers a wide range of undergraduate, graduate and professional programs

with strengths in liberal arts and programs that enhance inter-disciplinary and multi-

disciplinary approaches. Its seeks to continue to be recognized as a leader in college-

university collaboration, will launch a pilot project with Ryerson University to allow

students to take up to 24 credits at the opposite university, will continue its summer

programs, continue to meet the needs of Southern Ontario’s Francophone community and

will implement an institution-wide retention strategy with a specific focus on first year

and PhD students in order to improve its completion rates. It seeks to create the

University of York-Seneca as a satellite campus at York or Seneca to advance college-

university transfer credits. It also seeks to deepen and broaden its engagement with the

community to increase experiential learning opportunities and to increase its innovative

networks and clusters that foster knowledge mobilization as well as increase its

international connections to provide more opportunities for an international experience to

its students (York University, 2012). With the government announcement of support for

6,000 additional graduate spaces between 2012-13 and 2015-16, York University could

easily move its current enrolment profile of 8.6% to 10%, moving to the medium

category by 2018.

Table 43 summarizes the changes in the categorization of variables by institution

for 2018 from 2010 derived from the review of each institution’s Strategic Mandate

Agreements.

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Table 43 – Changes in Categorization of Variables Derived from Proposed Institutional Plans

2018

Institution Variable 2010 2018 Brock University Type Primarily Undergraduate Comprehensive

Brock University Enrolment Profile Low Graduate Medium Graduate

University of Guelph Enrolment Profile Low Graduate Medium Graduate

Lakehead University Size Medium Large

Laurentian University Size Medium Large

UOIT Size Medium Large

Ryerson University Type Primarily Undergraduate Comprehensive

Ryerson University Enrolment Profile Low Graduate Medium Graduate

Wilfrid Laurier University Type Primarily Undergraduate Comprehensive

York University Enrolment Profile Low Graduate Medium Graduate

Table 44 categorizes institutions by size and type for 2010 and 2018 and incorporates the

changes noted in Table 43. Table 45 categorizes institutions by enrolment and

undergraduate profile, and student-faculty contact for 2010 and 2018 and incorporates the

changes noted in Table 43. All changes are in bold for ease of comparison.

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Table 44 – Categorization by Size and Type

2010 and 2018

2010 2018 2010 2018

Algoma University S S SP SPBrock University L L PU CCarleton University L L C CDominican College of Philosophy and Theology S S SP SPUniversity of Guelph L L C CLakehead University M L PU PULaurentian University M L PU PUMcMaster University L L MD MDNippissing University M M PU PUOCAD University S S SP SPUOIT M L PU PUUniversity of Ottawa L L MD MDQueen's University L L MD MDRedeemer University College S S SP SPRoyal Military College of Canada S S SP SPRyerson University L L PU CUniversity of Toronto L L MD MDTrent University M M PU PUUniversity of Waterloo L L C CThe University of Western Ontario L L MD MDWilfrid Laurier University L L PU CUniversity of Windsor L L C CYork University L L C C

Size: S=small, M=medium, L=largeType: PU=primarily undergraduate, C=comprehensive, MD=medical/doctoral, SP=special purpose

SIZE TYPE

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Table 45 – Categorization by Enrolment Profiles and Student/Faculty Contact 2010 and 2018

2010 2018 2010 2018 2010 2018

Algoma University L L M M L LBrock University L M H H L LCarleton University M M H H L LDominican College of Philosophy and Theology H H L L H HUniversity of Guelph L M H H L LLakehead University L L H H M MLaurentian University L L M M M MMcMaster University M M H H M MNippissing University L L M M L LOCAD University L L M M L LUOIT L L H H L LUniversity of Ottawa M M H H L LQueen's University M M M M M MRedeemer University College L L H H M MRoyal Military College of Canada H H H H H HRyerson University L M L L L LUniversity of Toronto M M H H M MTrent University L L H H L LUniversity of Waterloo M M H H L LThe University of Western Ontario M M H H M MWilfrid Laurier University L L H H L LUniversity of Windsor M M H H L LYork University L M H H L L

Enrolment profile: L= low graduate, M= medium graduate, H=high graduateUndergraduate profile: L=low full-time, M=medium full-time, H=high full-timeStudent/Faculty contact: L=low contact, M=medium contact, H=high contact

ENROLMENT UNDERGRADUATE STUDENT/FACULTYPROFILE PROFILE CONTACT

Categorization of institutions into types

Incorporating the changes to the categorization of institutions by variables as

derived from institutional plans, institutions are once again categorized into institutional

types to determine their concentration and dispersion by type as a means of assessing

systemic and climate diversity for 2018.

Systemic diversity

Table 46 shows the distribution of institutional types using the variables to assess

systemic diversity for 2010 and 2018. The number of types remained at 5 for both years

but the distribution by type changed significantly.

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Table 46 – Distribution of Institutional Types – Systemic Diversity 2010 and 2018

Number of Types

Number of Universities

Cumulative number of

types %

Cumulative number of institutions %

4 5 4 80 20 871 3 5 100 23 1005 5 100 23 100

2010

Number of Types

Number of Universities

Cumulative number of

types %

Cumulative number of institutions %

1 8 1 20 8 352 5 3 60 18 781 3 4 80 21 911 2 5 100 23 1005 5 100 23 100

2018

The results of calculating the simple indices are as follows:

Table 47 – Comparison of Four Simple Diversity Indices – Systemic Diversity 2010 and 2018

Change in

INDEX Diversity Calculation Index Calculation Index since 2010

A 23/5 4.6 23/5 4.6 UnchangedB 5/23 X 100 21.7 8/23 X 100 34.8 DecreaseC 2.5/23 X 100 10.9 4/23 X 100 17.4 DecreaseD 0/23 X 100 0 0/23 X 100 0 Unchanged

2010 2018

While there is no change in Index A as the number of types and institutions

remained unchanged between years, Index B which measures the extent of large-scale

clustering of universities by institutional type, projected a decrease in diversity between

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both years as the largest cluster contained 5 institutions in 2010 and is expected to

contain 8 institutions by 2018. Index C, which measures the extent to which institutions

are concentrated by type, indicates that 2010 had the least concentration by type and

therefore more systemic diversity as compared to 2018. Index D, which measures the

extent to which institutions belong to only one institutional type, indicates no change as

there were no unique institutional types in 2010 and 2018.

The level of systemic diversity can be further summarized numerically for 2018

and 2010 using Simpson’s λ. The larger the number of types of higher education

institutions and the more institutions are evenly distributed across a large number of

types, the more diverse the system. The closer the indicator is to zero, the higher the

diversity. In 2018, the 23 institutions are projected to be distributed across 5 types.

Simpson’s λ is consequently: (8/23)² + (5/23)² + (5/23)² + (3/23)² + (2/23)² = 0.2401.

Using the calculation of Simpson’s λ, there appears to be a projected decrease in systemic

diversity between 2018 and 2010 (Simpson’s λ=0.2060) since the 2018 value is higher

than the 2010 value.

Therefore, assuming that institutional plans are realized by 2018, these are likely

to decrease the sector’s systemic diversity since two of the four indices identified a

decrease supported by Simpson’s λ.

Climate diversity

Table 48 shows the distribution of institutional types using the variables to assess

climate diversity for 2010 and 2018. The number of types remained at 10 for both years

but the distribution by type did change from year to year.

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Table 48 – Distribution of Institutional Types – Climate Diversity 2010 and 2018

Number of Types

Number of Universities

Cumulative number of

types %

Cumulative number of institutions %

1 6 1 10 6 261 4 2 20 10 432 3 4 40 16 701 2 5 50 18 785 1 10 100 23 10010 10 100 23 100

2010

Number of Types

Number of Universities

Cumulative number of

types %

Cumulative number of institutions %

1 7 1 10 7 303 3 4 40 16 701 2 5 50 18 785 1 10 100 23 100

10 10 100 23 100

2018

The results of calculating the simple indices are as follows:

Table 49 – Comparison of Four Simple Diversity Indices – Climate Diversity 2010 and 2018

Change in

INDEX Diversity Calculation Index Calculation Index since 2010

A 23/10 2.3 23/10 2.3 UnchangedB 6/23 X 100 26.1 7/23 X 100 30.4 DecreaseC 6/23 X 100 26.1 7/23 X 100 30.4 DecreaseD 5/23 X 100 21.7 5/23 X 100 21.7 Unchanged

2010 2018

While there is no change in Index A as the number of types and institution

remained unchanged between years, Index B which measures the extent of large-scale

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clustering of universities by institutional type, indicates that there is a projected decrease

in diversity between both years as the largest cluster contained 6 institutions in 2010 and

is expected to contain 7 institutions by 2018. Index C, which measures the extent to

which institutions are concentrated by type, indicates that 2010 had the least

concentration by type and therefore more systemic diversity as compared to 2018. Index

D, which measures the extent to which institutions belong to only one institutional type,

indicates no change as there are 5 unique institutional types in 2010 and 2018.

The level of climate diversity can be further summarized numerically for 2018

and 2010 using Simpson’s λ. In 2018, the 23 institutions are projected to be distributed

across 10 types. Simpson’s λ is consequently: (7/23)² + (3/23)² + (3/23)² + (3/23)² +

(2/23)² + (1/23)² + (1/23)² + (1/23)² + (1/23)² + (1/23)²= 0.1607. Using the calculation of

Simpson’s λ, there appears to be a projected decrease in climate diversity between 2018

and 2010 (Simpson’s λ=0.1493) since the 2018 value is higher than the 2010 value.

Therefore, the institutional plans are projected to decrease the sector’s climate

diversity since two of the four indices identified a decrease supported by Simpson’s λ.

Conclusion Institutional plans submitted through the strategic mandate agreement process are

projected to further decrease the extent of systemic and climate diversity in Ontario’s

university sector by 2018. This is consistent with Codling and Meek’s (2006)

propositions that a higher education system existing in a homogeneous environment

without formal policy intervention to promote diversity will increase the potential for

institutional convergence. This analysis further highlights the urgent need for a policy on

diversity for Ontario’s university sector.

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CHAPTER VIII – DIVERSITY – AVIEW FROM THE TOP

Introduction

This chapter will summarize the results of interviews conducted with university

presidents or their designate and the President of COU. Interviews were conducted over

a three month period concluding at the end of May 2013 to gain a greater understanding

of the key factors or barriers responsible for Ontario’s reticence in making design

changes in its higher education system. Participants were also asked to comment on

suggestions made in the literature and in the sector generally, that would increase

diversity in Ontario’s university sector and to suggest provincial and federal government

levers that could effectively be used to increase diversity.

Diversity – A cherished value

Participants often noted that diversity or differentiation is a concept that is poorly

understood, represents different things to different people and is often interpreted

according to criteria that are not very useful. Some participants would like to see a

definition that is agreed upon by the sector while another participant sought a more fluid

definition:

It is just setting the concept of differentiation in stone. That for me is the terrifying end piece because it immediately fossilizes what we perceive about our differences and limits the flexibility, the ingenuity, innovation and inventiveness of institutions to be able to live and breathe.

Participants generally agreed that diversity or differentiation is a cherished value in

Ontario’s university sector. As one participant noted, “it would be nice to have a healthy

and diverse ecosystem because that is a sustainable ecosystem in the post-secondary

sector, you need all types of different types of institutions”. However, diversity is also a

concept that is lauded and feared, as one participant explains.

I think it (diversity) is cherished, lauded and feared. It is something that I think every institution prides itself on and they actually pride themselves on being different, distinct and having specific niches…If we are engaged in truly believing

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that diversity is an important ethos, we will constantly debate what it means…You can’t have and use the word diversity without having diverse opinions about what it means. Some participants noted that while the sector may value diversity, it is constrained

by another cherished Canadian value, that of equity. They felt that the need to have

policies that treat everyone consistently and fairly constrains diversity. “Some would

argue that Canada handicaps itself because we try so hard to treat people fairly, equitably.

While this is an admirable value, if you are aspiring to be world class that does not get

you there.” A participant stressed that:

Everything in this sector seems to be sacrificed on the altar of consistency. We treat everyone the same even if our circumstances can be totally different. We need to start treating universities differentially, whether by size or by geographical location, or areas of program differentiation.

This might be difficult to achieve, as one participant described how a strong value of

equity impacts interactions amongst institutions:

We come together on some issues, and we are all very different institutions but the pressure for none to stand out above the others is enormous. We always avoid issues that would allow a particular institution or group of institutions to emerge into a dominant position so we form little alliances.

While another noted other consequences of a strong equity ethos:

At the moment, the only form of service to the province that the funding regime recognizes is accommodating numbers of students and the quality issue has been historically an issue best not raised. We do not question the overall quality of education provided in the province nor do we ever suggest that it is better at some places rather than at others. It is the province equity thing taken to an absurd extreme. The aspiration of institutions, and their faculty to grow and evolve over time as

research-intensive institutions was identified by participants as a factor pushing

universities in the system to a homogeneous position. As one participant explained:

Most of the universities that got started as primarily undergraduate-focused universities aspire to have a more significant research component. To that extent, they want and expect to evolve to have more graduate programs, and to have

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more faculty who have significant research programs. Faculty probably were attracted to become faculty because they wanted to do both research and teaching.

Concerns were also raised by participants as to how diversity or differentiation

could be achieved in the sector, especially with respect to possible redistribution of

funding while highlighting the need to be seen as equals. A participant explained how

diversity can also be feared:

There is a fear of differentiation which is the one that says that underneath it all, it’s about you wanting to be seen to be better than me and take my money. There is a real pull back from institutions and therefore their effort to not enter into differentiation because they don’t trust it to be a legitimate exercise. You have to get over both barriers, both the legitimacy of the exercise and therefore the confidence that it is really about true differentiation rather than about a transfer of resources.

Dimensions of diversity

Participants were asked to comment on which dimension or dimensions of

diversity they cherish. The majority of participants discussed one or several dimensions,

but one participant simply valued being different.

Difference is what I value. Difference is what is important. Different approaches, different understandings, different belief systems, different ways of looking at things. It is all that which embodies diversity for me. To me, it does not mean something that everybody says, that would be a diverse system and when we get there we will be able to say we are diverse. That would be a betrayal of the very process, it is an organic ever changing absolutely fluid system that we are trying to promote and create. Six participants expressed the importance of programmatic diversity as “creating

a niche with depth in certain areas and some breadth in others”. A number of participants

noted that, in each community, students should have access to a number of high quality

programs across a limited number of disciplines. The community’s needs should dictate

which programs are offered.

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Five participants mentioned that they value systemic diversity as the size

component is very important, especially from an economy of scale perspective and for

creating a sense of community.

Some students really thrive within a small institutional culture, they feel it is more intimate, it may have less offerings for them but in general the student-faculty ratios are lower and the sense of being in a community is stronger…There is a value to small institutions but the challenge is the economy of scale…we have to think about how to aggregate operational systems, purchasing, support, all of those pieces that can allow small institutions to be financially solvent. Other participants noted that climate diversity was important in support of a

quality graduate student experience and the need to have institutions with low student-

faculty ratios. Participants also made reference to reputational diversity as having some

importance. “In the U.S. there is more of this sense of ecology where not every

institution has to be excellent in all areas but they need to serve this population base.”

One participant spoke of the importance of procedural diversity

in terms of models for teaching, research and service. There is a tendency to try to conform those, yet how in the future we are going to be structuring experiential learning where the learner is outside the walls of the institution and it goes beyond a co-op program approach, (although I think internships and co-op programs are excellent and we need more of them).

Provincial government levers that promote diversity

Discussions with participants on what provincial levers could be used to promote

diversity revealed that there was no support for any legislative solutions but, without

question, participants agreed that funding initiatives would have the most steering effect

on institutions. However, participants questioned if the provincial government could

actually move forward in the short-term to fund increased differentiation considering its

current fiscal challenges and other priorities. There was a general consensus among

participants that the government needs to provide the required incentives to increase

diversity in the sector. Some participants noted that government could perform some

central planning function with the assistance of expert panels.

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Funding formula and tuition fees

A number of funding policy changes have been discussed in the literature that

could increase Ontario’s diversity in the university sector. The funding formula and

tuition fee policy are seen as the most powerful tools government can use to affect

change in Ontario’s higher education system. “There is every reason to believe that the

strategic and disciplined use of funding formulas to drive these changes will be effective.

The extraordinary growth of Ontario’s postsecondary system over the last ten years attest

to the powerful force and dramatic results that targeted funding can exert” (HEQCO,

2013. p. 14). This view was also shared by Clark, Trick and Van Loon (2011) who

mainly focused their attention on possible changes in government funding policies and

reporting requirements noting that without government action, institutions cannot act

alone to affect the degree of institutional differentiation in the system, unless they obtain

and use non-government funding to pursue a more specialized mission. Most participants

agreed that structural changes to the existing funding model would be needed to increase

diversity in the sector.

Clark, Moran, Skolnik and Trick (2009) suggested a more differentiated funding

mechanism which balances public interest and institutional autonomy as current funding

arrangements in Ontario offer few incentives to encourage institutions to be something

other than research-intensive universities. The redistribution of a significant portion of

the operating funding envelope to enhance teaching missions for some while supporting

research-intensive missions for a subset of universities to effectively compete with their

research peers could provide the required incentives to increase systemic diversity. Some

participants also suggested that the provincial government make more use of

differentiated funding as noted by a participant:

You would have to have a funding system that did not treat all things the same if you are going to have real differentiation. A differentiated funding system that was based upon entitlements to an institution because of size or age as opposed to outcomes would wrong and dangerous for the province and would ultimately not work. Where the funding is differentiated, it should be output driven and it should be competitive.

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According to some participants, incremental funding would include the creation of a

number of funding envelopes that would be tied directly to the university’s mandate to

serve their communities. Funding should also be provided for those universities that

would choose not to grow but instead would choose to increase program quality as a

means of differentiating themselves. Considering the current fiscal environment,

participants acknowledged that the government will have to make tough decisions to

make some progress on this issue. One participant noted that diversification could be

better achieved by encouraging innovation within institutions:

They [government] need to set out clear parameters around fiscal management, one of which is you must have set aside 3 or 5 percent of your total operating budget for innovation. They need to incent that behavior or you need to penalize institutions. If you don’t have it, your grant gets cut because you clearly don’t need to have that amount.

In his response to MTCU’s Strengthening Ontario’s Centres of Creativity,

Innovation and Knowledge, Clark (2012) builds on proposals made in Academic Reform

and suggests that Ontario should adopt a research performance-based funding

mechanism, like those used in other OECD jurisdictions, that encourages the most

productive researchers to do more research while others would do more teaching without

increasing system resources. Clark (2012) proposed a transparent and cost-effective

methodology which would have the government distribute a substantial portion of

operating funding by allocating a dollar amount per research contribution unit (RCU)

earned by an institution’s professoriate. An RCU would be assigned to each professor

based on an individual’s rank in an ordinal distribution. Professors in the top deciles

would be attributed more RCUs than those in lower deciles. The research contribution of

professors by field would be determined using web-based bibliometric indices and

granting council awards available in the public domain. In cases where no quantitative

data exists, ordinal rankings could be generated by an expert panel reviewing professors’

curriculum vitae.

Clark (2012) anticipates that the variability in research performance among

faculty in the same field will follow a power law distribution where the majority of

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research contributions by field are produced by a small number of very productive

professors. The allocation of a portion of the operating grant based on research

performance would provide the required financial incentives for those institutions

receiving less funding per full-time professor from the research portion to focus more of

their efforts on teaching rather than research, thereby possibly attracting a greater share of

the teaching portion of the operating grant. Over time, these allocation mechanisms

would enhance diversity in the sector as they would encourage each institution to

specialize in fields where they could attract and retain highly productive faculty by

increasing the fraction of time they devote to research activities. Conversely, it would

also act as an incentive for institutions to shift some of the research time of the less

productive researchers to teaching and other scholarly activities (scholarly activities

undertaken by teaching faculty do not need to include time spent trying to make an

original research contribution). Reducing the amount of time a professor spends on

research would not necessarily damage one’s teaching quality as the two activities are

essentially uncorrelated.

Participants were generally not supportive of Clark’s (2012) research and teaching

allocation mechanism. While there were no objections for institutions to be measured

and accountable, the possibility of dislocating current funding from one institution to

another was seen as untenable and against the value of equity that we share in Ontario

and Canada.

I totally disagree with that approach. It completely compartmentalizes the learning experience and creates artificial boundaries and completely ignores the community relevance and the fact that we all work with particular stakeholders who might see value in us having a particular set of undergraduate and graduate programs to help our communities.

A participant suggested that any allocation between teaching, research and community

service should be done with each being valued equality, that is, one third of the funding

allocated to each of the three to emphasize that research in no better than teaching. Any

metric should be applied to everyone in the sector.

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Clark, Moran, Skolnik and Trick (2009) suggested a larger role for government or

a government advisory body to advise on the current funding of Ontario universities as

the rise in class size and the use of part-time instructors is continuing despite significant

financial infusions. The current use of the public Multi-Year Accountability Agreements

(MYAA) could also be enhanced to effectively link funding to an institution’s mission

and priorities and to better recognize and endorse institutional differences. The expert

panel, which assessed the strategic mandate agreement submissions, agreed that the

government needs to take a greater role in driving change and “should consider devolving

and depoliticizing outcome-based funding decisions to an external group of experts that

represents societal interests and is charged to implement government direction”

(HEQCO, 2013. p. 8). One participant agreed that the provincial government should

make more use of expert panels but noted that these should be international review panels

that would set goals and suggest incremental funding allocations. It was felt that this

approach would be more palatable to the academic community. There was also

scepticism as to what role government could play in increasing diversity. As one

participant explains,

…even though we chase money, and there is no question that it can have a steering effect, you do have to question whether they [government] would get it right…or could the government say, pick any percentage you want of your money available for you to do something different and be more diversified…but I think government does not know any better than we do.

Participants voiced their concerns that government should provide clear goals and

direction for the sector when it comes to diversity. Any goals provided should be

accompanied with metrics so institutions can demonstrate the change in the level of

diversity in the sector. Another suggested that any goals and priorities should not be set

for the sector but should be negotiated on an institution by institution basis in order to

ensure that local communities are appropriately served.

Strategic Mandate Agreements

The process to establish strategic mandate agreements (SMA) with each of

Ontario’s colleges and universities with the purpose of informing future decisions,

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including funding allocation decisions and program approvals was viewed by participants

as a generally good process as long as future processes address concerns discussed in the

previous chapter. Participants suggested that the process should be reframed as a means

of not only increasing diversity in Ontario’s postsecondary sector, but it could also

provide the public with a greater understanding of what universities are doing, and why

and how they are doing it. The process should include a negotiated process with the

province that would ultimately arrive at strategic objectives that would ultimately be

approved by the province. Institutions should continue to be accountable on how they

achieve provincial goals and priorities through the MYAA, but institution specific goals

and priorities negotiated through the SMA process should be assessed through metrics

determined by the institution and reported through their governing bodies as the locus of

accountability and responsibility.

Teaching-focused baccalaureate granting institutions

A number of policy choices have been discussed in the literature to increase

Ontario’s systemic diversity in the university sector. Clark, Moran, Skolnik and Trick

(2009) made a number of suggestions including the creation of new teaching-focused

baccalaureate granting institutions with a limited research mission focused mainly on

teaching-related scholarship. Jones and Skolnik (2009) also recommended the creation of

teaching-oriented institutions that focus on undergraduate education combined with

expanding the current role of colleges to offer additional baccalaureate programs. Clark,

Moran, Skolnik and Trick (2009) and Jones and Skolnik (2009) noted a number of issues

with creating new institutions. If created, they should be unencumbered by an existing

institution’s history, culture and labour agreements. Some of these institutions could be

career-focused (closer to polytechnic institutes without the graduate component) while

others could be career-focused and offer liberal arts programs. Placing some of these

institutions in the Greater Toronto Area (GTA) was recommended due to the future

expected growth in demand for baccalaureate education in that region, but the

recommendation failed to address the impact on other universities outside of the GTA

that actually draw a significant portion of their students from the GTA. They also

suggested that a handful of colleges could have increased involvement in providing

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career-focused baccalaureate programs, could be designated as polytechnic institutes or

could have their mission redefined to substantially provide baccalaureate programs.

Fallis (2013) disagreed with the idea of creating teaching-only undergraduate

universities or polytechnic institutions due in part to the current fiscal situation of the

province and his projections of future demand for higher education which do not support

the need for new institutions. In any case, Fallis believes that if new institutions are

created, they should be created in a large enough number so they can work together to

establish their own distinct and recognizable identity in order to prevent institutional

isomorphism.

Most of the individuals interviewed for this study were opposed to the idea of a

teaching-only undergraduate university sector. The link between teaching, research, and

community service was viewed as sacrosanct and should not be broken, as without these,

the institution is not a university evidenced by this participant’s comment:

“Undergraduate students need to have exposure to research, researchers, research

methodology and that is one of the reason you go to university and not a college.”

Another participant noted,

I don’t support that idea. I think only bureaucrats can dream of such a thing because when we have people in our PhD programs, they are in our PhD programs not because they want to stop doing research, but because they want to continue to be engaged in the research enterprise. I don’t think you are running a university if the people you are putting in front of the students are not contributing to the growth of the discipline and the advancement of knowledge in that discipline. You have something else but let’s not call these things a university.

Some participants raised a number of other concerns, including graduates from a

teaching-only undergraduate university may be restricted from accessing graduate

education in the future, that such institutions might not always be limited to only offering

undergraduate education and might have future aspirations of offering graduate education

and that a mechanism must be in place that ensures that under no circumstances should

the teaching load of faculty in these institutions be reduced below 4 and 4. There was

support for having teaching-focused faculty within universities and that teaching,

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research and community services should be equally valued within existing universities.

A participant did note that teaching-focused institutions are a good idea as long as they

have “a scholarship mandate, and research that suits and fits their areas of excellence”.

Open University

A number of scholars (Jones and Skolnik (2009); Clark, Moran, Skolnik and

Trick (2009)) suggested the creation of an open university to enhance degree completion

in the province as traditional universities currently do not have an open admission and

flexible credit recognition features of an open university. Participants interviewed for

this study were for the most part, supportive of such an initiative. One participant noted

that

the open university concept serves an important niche. An important part of the ecosystem. An open university would meet the needs of a lot of people who want to complete degrees, pursue degrees, particularly while they are still working and when they don’t have access.

Another participant suggested that “anything that democratizes access to knowledge is a

really good thing” while another suggested that such an institution should be created as a

cooperative joint venture amongst a number of existing universities. Concerns around

the quality of education that could be obtained from an open access institution were

raised by one participant. “If you are going to mix open access with specializations, you

will diminish the educational experience for the people who really want to be experts or

at the forefront of a field as you will have to dumb down the material.”

Private University

When some participants were asked if there could be a possibility that a publicly

assisted university in Ontario could privatize as a means of increasing diversity in the

sector, participants noted that few institutions if any, could actually fully privatize by

charging differentiated tuition fees to make up for lost government grants. Also,

investment income made available for spending from endowments at Ontario universities

only make up a small percentage of an institution’s total revenues and would need to

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significantly grow in order for the institution to be financially viable. One participant

questioned the extent to which a private university in Ontario could succeed by focusing

primarily on an international clientele while another participant suggested that our sector

could benefit from having an international graduate school offering “highly inter-

disciplinary dynamic programs”. The idea of a private university in Ontario was

welcomed by one participant who noted that

I don’t think there is anything wrong with that as long as it serves a certain need and may push the public sector to look at its own practices. I think to a limited extent it could be welcomed in the system as such a place could innovate quicker.

Federal government levers that promote diversity

The federal government plays an important role in supporting research at Ontario

universities and across the country. As noted by Jones (2006), federal government

programs tend to reward existing research strengths and as noted in this study, promote

processes of institutional diversification. Most participants agreed that funding research

at universities is a key factor in supporting systemic diversity. Some suggested that the

federal government can play an even greater role in supporting increased systemic

diversity by introducing

some other program on top of that concentration of resources through the granting councils…It would have a very powerful differentiating effect and others might see it as undesirable but for the nation it would be very desirable…I don’t think anybody arguing for a greater concentration of resources in research-intensives would want that to come at the cost of impoverishing the rest of the system.

Another suggestion included how the granting councils can play a greater role in

improving the learning environment by ensuring

that undergraduates are being taught by grant winners rather than just graduate students. They could change their evaluation to say that there are certain requirements, at least on a three year rolling cycle that you have done so much undergraduate teaching. If you think the quality of education and what you do is important, than you might ask faculty members to submit student evaluations as part of their submissions. That would change the incentives quite a bit.

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Others suggested that more funding should be put in classroom if the Federal government

would alter the way they fund the indirect cost of research at institutions. A participant

noted:

The biggest tragedy, in terms of our federal relationship, and I say tragedy from the point of view of its impact on teaching and the learning environment, is the indirect cost of research. That would create increased systemic diversity because those institutions that do represent excellence would have that same opportunity with a more leveled paying field.

Conclusion

Diversity is a cherished value in Ontario but it is also feared and lauded. It is also

poorly understood in the sector as it means different things to different people.

Programmatic and systemic diversity may be valued above other dimensions of diversity.

Ontario’s reticence in making design changes in its higher education system may stem

from the desire to have policies that treat everyone equitably. Participants noted that the

greatest potential for increasing diversity lies in making structural changes to the

provincial operating funding policy through a revised strategic mandate agreement

process. Participants were generally opposed to the creation of a teaching-only

undergraduate university sector but were, for the most part, supportive of an open

university that would enhance degree completion in the province. Some participants also

recognized the important role of the federal government in supporting research and

suggested it could provide incremental funding for greater differentiation while amending

its current indirect cost of research funding program.

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CHAPTER IX – CONCLUSIONS

Introduction

The extent and nature of institutional differentiation is a design choice

(distribution by type of institution, location and relationship amongst institutions) among

many that must be considered by policymakers when developing a higher education

system or when dealing with an increased number of students and societal demands for

undergraduate and graduate education. Modifications to the design of Ontario’s higher

education system have been suggested over the years in an effort to increase its quality

(instruction and research) and accessibility in a cost effective manner. The fiscal climate

of restraint has recently intensified the debate for structural changes through increased

institutional differentiation in Ontario’s higher education system.

Ontario’s universities operate within a neo-liberal political framework where

market mechanisms have been used by government in the allocation of resources that

strengthened state control over higher education. Government funding policy changes

incorporated principles of competition, partial deregulation and increased information

dissemination requirements (Young, 2002). These policies, combined with other factors

such as economic conditions, levels of competition and cooperation, type of external

environmental (diversified or homogeneous) conditions, and the degree to which an

institution’s internal environment is normatively-defined, are all factors that must be

considered in the conceptualization of mechanisms that promote or hinder institutional

diversity in higher education systems.

The study focused on the following research questions:

a) Has there been a change in systemic and climate diversity between the year 1994 and 2010 in Ontario’s university sector?

b) Is systemic and climate diversity expected to change between the year 2010 and 2018 in Ontario’s university sector?

c) What factors promoted or hindered the process of diversification or differentiation in Ontario’s university sector between 1994 and 2010?

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d) What sector-wide government policies and conditions are most likely to promote systemic and climate diversity in Ontario’s university sector?

Methodology

Institutional diversity was examined using a mixed research method in two

phases. The first phase of the study quantitatively measured and determined the extent of

diversity in the university sector in 1994 and 2010 using hierarchical cluster analysis.

The response variables used in the analysis for both years are those used to operationalize

systemic and climate diversity as these variables are commonly used to differentiate

institutions and reflect the varying character of institutions. They include the number of

full-time faculty, full-time and part-time graduate enrolment, and full-time and part-time

undergraduate enrolment. Financial indicators that differentiate institutions by their main

functions of education and research were also used for 1994 and 2010 and include tuition

fee revenue, operating grants funding, non-credit operating funding, and sponsored

research funding. This study’s hierarchical cluster analysis used Ward’s method as its

clustering algorithm and the (squared) Euclidean distance as its distance index.

This study also quantitatively measured and determined the change from 1994 to

2010, and forecasted the change from 2010 to 2018 (using institutional strategic mandate

agreements) in systemic diversity (institutional size and type) and climate diversity

(campus environment and culture) by adapting Birnbaum’s (1983) diversity matrix

methodology to categorize institutions into institutional types and determined their

concentration and dispersion by type as a means of assessing diversity in the university

sector in the province of Ontario. The larger the number of types of higher education

institutions and the more institutions are evenly distributed across a large number of

types, the more diverse the system. Simpson’s λ was also used as another measure of

systemic and climate diversity for 1994, 2010 and 2018. It calculates the probability that

two institutions, drawn at random, will belong to the same type.

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The second phase of this study used policy analysis and drew on mutually related

theoretical perspectives from organizational theory as its primary conceptual framework

to interpret and corroborate the decrease in diversity between 1994 and 2010. Policy

analysis included, where practical, an examination of the extent to which funding is

concentrated in fewer institutions. There is a greater potential for systemic diversity

when funding is concentrated in just a few institutions. This was achieved by

determining the change in the dispersion of federal and provincial government funding

amongst institutions by comparing the relative proportion of grants received in 1994 as

compared to 2010. The funding concentration was further examined using the standard

deviation of the relative proportion of grants received in 1994 and 2010. An increase in

the distance from the mean from 1994 to 2010 signified an increase in concentration of

funding, which suggests increased systemic diversity. Organizational theory provided a

means of analyzing organizational behavior from a macro perspective through the

examination of the relationship between the organization and its environment. Interviews

were also conducted with university presidents or their designate and the President of

COU to gain a greater understanding of the key factors or barriers in Ontario’s reticence

in proposing design changes in its higher education system.

This study’s research methodology ensured that this dissertation contributed to the

scholarly literature on higher education in a number of ways. It first added to the

international scholarly discussions of using organizational theory as a conceptual

framework to better understand the change in diversity by bringing an Ontario

perspective in evaluating competing perspectives. This dissertation also provided a first

attempt at quantifying the level of diversity (including systemic and climate diversity) in

Ontario’s university sector.

Historical and environmental context An examination of the findings and recommendations of a number of

Commissions and policy documents revealed that beginning in 1981 and continuing to

the present, the debate about diversity in Ontario has been mostly centered on systemic

and programmatic diversity in an effort to increase the quality of instruction and research,

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and to increase access to postsecondary education in a cost effective manner. Policy

recommendations have revolved mainly around the funding model and the strategy of

tying incremental funding to performance indicators, mostly made within a context of

respecting institutional autonomy, rejecting central planning functions while increasing

competition, cooperation and collaboration amongst postsecondary institutions.

Clark, Moran, Skolnik and Trick (2009) highlighted that democratization and

globalization are two phenomena which shaped Ontario’s environment. Other factors are

the strong dominance of values such as academic freedom of individuals, the autonomy

of institutions and, the creation and dissemination of knowledge. These freedoms in

higher education are also balanced with norms of quality and reputation. Universities in

Ontario also operate in an environment that has traditional faculty personnel with strong

academic cultures.

From 1994 to 2010, Ontario universities were operating in a period of high

resource flows as a result of increased student demand for undergraduate and graduate

education and the receipt of other funding which provided additional resources to the

primarily undergraduate institutions to add new graduate programs and mimic the

comprehensive and medical/doctoral institutions thereby increasing the potential for

institutional convergence.

Change in systemic and climate diversity between 1994 and 2010

This study first used hierarchical cluster analysis which suggested that there has

been very little change in diversity between 1994 and 2010 since universities in Ontario

were clustered in three groups for both 1994 and 2010 and remained in the same cluster

grouping in 2010 as they did in 1994. This period is also characterized by an increase in

financial resources combined with a more diversified revenue stream even though the

combination of government operating grants and tuition fees accounted for almost the

same proportion of total revenue by 2010. However, the benefits of a diversified revenue

stream are tempered by the fact that the provincial government’s operating support funds

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students equally by program for all institutions and tuition fees are mostly regulated

creating a uniform funding regime.

The adaptation of Birnbaum’s (1983) diversity matrix methodology to Ontario’s

university sector revealed a decrease in systemic diversity (differences in the type of

institution and size of institution) as two of the four indices signaled a decrease, one

signaled an increase and one signaled no change. The level of systemic diversity was

further summarized numerically for 1994 and 2010 using Simpson’s λ and appeared to

indicate a decrease in systemic diversity between 1994 and 2010 since the 2010 value is

higher than the 1994 value.

The adaptation of Birnbaum’s (1983) diversity matrix methodology to Ontario’s

university sector revealed a decrease in climate diversity (differences in campus

environment and culture) between 1994 and 2010 as two of the four indices signaled a

decrease, one signaled an increase and one signaled no change. The level of climate

diversity was further summarized numerically for 1994 and 2010 using Simpson’s λ and

appeared to indicate a decrease in climate diversity between 1994 and 2010 since the

2010 value is higher than the 1994 value.

This dissertation provided a first attempt at quantifying the level of diversity

(including systemic and climate diversity) in Ontario’s university sector and empirically

confirmed the general belief that diversity is decreasing in Ontario’s university sector.

Change in systemic and climate diversity between 2010 and 2018

Institutional strategic mandate agreements were used to project the extent of

systemic and climate diversity from 2010 to 2018 as a further substantiation of the need

for a policy on institutional diversity by adapting Birnbaum’s (1983) diversity matrix

methodology to Ontario’s university sector.

The analysis revealed a decrease in systemic diversity as two of the four indices

signaled a decrease and two signaled no change. The level of systemic diversity was

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further summarized numerically for 2018 using Simpson’s λ and appeared to indicate a

decrease in systemic diversity between 2010 and 2018 since the 2018 value is higher than

the 2010 value.

The analysis revealed a decrease in climate diversity as two of the four indices

signaled a decrease and two signaled no change. The level of climate diversity was

further summarized numerically for 2018 using Simpson’s λ and appeared to indicate a

decrease in systemic diversity between 2010 and 2018 since the 2018 value is higher than

the 2010 value.

Factors promoting or hindering processes of diversification or differentiation

This study examined a number of key federal and provincial government funding

programs and their contribution to processes of institutional diversification or

convergence by using organizational theory as a conceptual framework. It brought an

Ontario perspective to the discussion in the evaluation of competing perspectives.

Interviews were also conducted to identify the key factors or barriers in Ontario’s

reticence in proposing design changes in its higher education system.

Federal government

This study examined a number of key federal government funding programs (the

provision of research funding to universities through its national granting councils,

Canada Research Chairs Program, Canada Excellence Research Chairs Program and

Knowledge Infrastructure Program) and their contribution to processes of institutional

diversification or convergence. Federal grants accounted for 8.3% of total revenues in

1994 and 12.5% in 2010. The examination of the extent of the change in the dispersion

of funding amongst institutions between 1994 and 2010 showed that funding distributed

on the basis of a peer review competitive process was more concentrated in 2010 as

compared to 1994 thereby increasing the potential for institutional diversification. This

increased potential is tempered by the fact that federal grants account for a significantly

smaller share of total revenues as compared to provincial grants and tuition revenue.

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However, the distribution of Knowledge Infrastructure Program funding across

universities in Ontario, to increase Canada’s competitiveness in science and technology

and regional economic activities, provided financial resources to the less research-

intensive institutions to increase their research capacity, thereby encouraging these

institutions to mimic the more successful research-intensive institutions. This funding

will place the less research-intensive universities in a better position to compete for

research funding (scarce resource) in the future, thereby increasing the potential for

institutional convergence.

Provincial government

Provincial funding programs examined in this study were as follows: basic

operating formula grants, tuition regulation, capital funding (SuberBuild, Capital

Renewal Program, research infrastructure, and capital graduate expansion), endowment

matching, and operating graduate expansion.

The basic operating formula grant and other grants provided to institutions on the

basis of enrolment levels create an egalitarian funding model as institutions are funded

equally (same BIU value for all institutions) not only for each student in the same

program, but also to conduct teaching and research functions irrespective of an

institution’s type or size. The tuition fee policy, which has now become the most

significant source of revenue above provincial government grants, is regulated and

provides no incentives for institutions to engage in competitive pricing to differentiate

their programs and therefore contributed to processes of institutional convergence. There

has also been a decrease in the level of special purpose funding, in support of

differentiated missions and government priorities, provided to institutions during this

period.

While institutions were once differentiated according to the extent of doctoral

education they provided, the allocation of additional graduate operating and capital

funding contributed to processes of institutional convergence as more institutions chose

to offer additional graduate programs. Since Ontario universities were operating in a

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period of high resource flows, it provided additional resources to the primarily

undergraduate institutions to add new graduate programs and therefore mimic the

comprehensive and medical/doctoral institutions.

These findings are consistent with Codling and Meek’s (2006) propositions that a

higher education system existing in a homogeneous environment without formal policy

intervention to promote diversity will increase the potential for institutional convergence.

Interviews This study, through interviews with university presidents or their designate and

the President of COU, determined that diversity is a cherished value in Ontario but it is

also feared and lauded. Diversity is also poorly understood in the sector as it means

different things to different people. Programmatic and systemic diversity may be valued

above other dimensions of diversity.

Ontario’s reticence in making design changes in its higher education system may

stem from the need to have policies that treat everyone equitably. Participants noted that

the greatest potential for increasing diversity lies in making structural changes to the

provincial operating funding and tuition fee policy through a revised strategic mandate

agreement process. Participants were generally opposed to the creation of a teaching-

only undergraduate university sector but were, for the most part, supportive of an open

university that would enhance degree completion in the province. Some participants also

recognized the important role of the federal government in supporting research and

suggested it could provide incremental funding for greater differentiation while amending

its current indirect cost of research funding program.

Policy implications for Ontario’s university sector

This study projected a further decrease in systemic and climate diversity in

Ontario’s university sector by 2018 by extrapolating institutional plans submitted through

the strategic mandate agreement process which further supported Codling and Meek’s

(2006) propositions that a higher education system existing in a homogeneous

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environment without formal policy intervention to promote diversity will increase the

potential for institutional convergence. This analysis also further highlighted the urgent

need for a policy on diversity for Ontario’s university sector.

Structural changes to the provincial operating funding and tuition fee policy

through a revised strategic mandate agreement process were also suggested by

participants. Clark, Trick and Van Loon (2011) also proposed a number of structural

changes including the adoption of a new, simpler funding formula that can be used by

government to more effectively affect public policy. The current single general-purpose

grant is based on the mistaken belief that each professor must be a productive researcher

in order to be an effective teacher. It provides the university with the freedom to decide

how much time and money is devoted to each of teaching, research and other activities.

It has also become needlessly complex, is not well understood by the university system

and makes it difficult for government to effectively affect policy changes. The current

arrangements could be replaced with three funding envelopes, one for teaching, one for

research and one in support of differentiated missions and special government priorities.

The teaching envelope could be allocated in a manner that ensures that every university

receives the same amount of funding per-student when combined with tuition revenue.

The research envelope could be allocated in three ways: as a flat dollar amount per

faculty without regard to disciplines of study to support the time faculty spends on

research, to top up funding as a contribution to the additional costs associated with the

receipt of external research grants (allocated using a performance-based criteria), and in

support of research not currently funded by the national granting research councils.

Funding in support of differentiated missions and special government priorities would be

provided through a teaching enhancement fund (initially calculated as 5% of the total

teaching envelope) for strategic initiatives that promote system improvements negotiated

through the MYAA.

Suggested Provincial policy to increase diversity

The debate about diversity in Ontario has historically centered on increasing

systemic and programmatic diversity in order to increase quality (instruction and

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research) and accessibility in a cost effective manner. A policy on diversity will need to

clearly identify its objectives (quality, accessibility and/or cost effectiveness) and should

be framed within the following:

i. There are multiple dimensions to diversity. Any policy document will

need to clearly identify what dimensions along which institutions should

be diversified.

ii. Teaching, research and community service are the hallmarks of a

university. An institution must continue to do all three in order to be

called a university.

iii. Institutional autonomy must be respected with an accountability

framework that identifies the Board of Governors as the locus of

accountability.

iv. The provincial government, through the use of an international panel of

experts, will have to take on a more central planning role for the sector by

recognizing institutional program strengths while accepting that

institutions will not be able to be everything to everyone.

v. The current egalitarian funding model will need to be altered to include

more diversity objectives through either providing incremental funding or

increased differentiated funding.

vi. System changes take time. Multi-year plans will need to be negotiated

with each institution. Multi-year and transitional funding will need to be

provided and monitored through institutional specific performance

indicators.

More specifically, the basis of the policy should be structured around the strategic

mandate agreement (SMA) process supported by incremental funding. The criticisms of

the inaugural SMA process discussed in chapter VII should be addressed. The negotiated

mandates should be supported by institutional specific performance indicators.

Institutions should also be required to, not only identify areas of strength and aspirations,

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but should also identify programs which they will discontinue over time. Transitional

funding should also be provided in support of any program rationalization.

While it is understood that the Province is undergoing a slow economic recovery

with increased demand for baccalaureate education, diversification can only be achieved

by providing the required incentives to autonomous institutions which translate into

providing incremental funding. An increase in public funding to levels comparable to

other provincial jurisdictions should be invested to increase diversity by creating a

number of world-class institutions of choice for international students and to increase

quality by decreasing the student-faculty ratios at a number of universities.

While funding policies could be individually determined for each university,

“many differentiation frameworks cluster like-minded institutions into categories in

which institutions share the same rights and responsibilities as others in their cluster”

(Weingarten, Hicks, Jonker, and Liu, 2013, p. 7). As this study determined, institutions

in Ontario can be grouped in three clusters. The University of Toronto is in a cluster of

its own. Algoma, Redeemer, Dominican, Laurentian, Nipissing, Lakehead, Trent, OCAD,

UOIT, Brock, Wilfrid Laurier and Windsor would be included in a primarily

undergraduate cluster while Guelph, Queen’s, Carleton, Waterloo, McMaster, Ottawa,

Western, York, and Ryerson would be included in more research-intensive cluster.

Weingarten, Hicks, Jonker, and Liu (2013) used a limited number of variables without

the rigor of cluster analysis to arrive at similar clusters but determined that York,

Carleton, Windsor and Ryerson “do not fall easily into the two broad clusters of ‘more

research intensive’ and ‘mainly undergraduate” (p. 17). Incremental funding could

therefore be allocated competitively within each cluster as institutions would provide

detailed proposals (with performance indicators) specifically addressing government

diversity objectives set for each cluster. Proposals would be reviewed by an international

panel of experts that would advise the government on funding allocations by institution.

The government will have to prioritize its diversity objectives by allocating the

incremental funding envelope by cluster before considering any proposals.

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Suggested Federal policy to increase diversity

The Federal government already plays an important role in funding competitive

research as a means of ensuring that Canada remains economically competitive in a

knowledge-based economy. It has also provided infrastructure support to universities in

an effort to stimulate regional economies.

As suggested by Naylor (2013, 2013a), universities in Canada are losing ground

to other research-intensive universities around the world whose government has decided

to fund some of their universities at levels that will allow them to compete on the world

stage. The Federal government should therefore concentrate additional multi-year

resources to institutions allocated based on their percentage of peer-adjudicated federal

granting council funding. This additional allocation would only be accessed by

institutions after submissions for funding are approved by an international panel of

experts.

Limitations of the study This study quantitatively examined systemic and climate diversity in Ontario’s

university sector. The research design selected for this study does not permit the

extrapolation of the results to other university sectors in Canada or elsewhere. The

results cannot be extrapolated to Ontario’s higher education system.

Due to the small number of universities in Ontario, this study purposely selected

participants that ensured representation from a cross-section of institutional types and

geographic regions and therefore the results cannot be generalized to represent the views

and opinions of all university presidents in Ontario.

Future Research

Future research in this area could consider if the model used in this study to

quantify diversity can be applied to Ontario’s higher education system as a whole instead

of limiting it to its university sector. This quantitative model could also be applied to

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other university sectors in Canada in order to assess diversity from a Pan-Canadian

perspective. The model could be extended to consider the impact of satellite campuses

on systemic and climate diversity by disaggregating institutional data by campus.

As a result of the importance of programmatic diversity to the sector, a greater

understanding of diversity could be achieved by quantifying the level of programmatic

diversity and its change over a number of years. This would require adapting the model

used in this study by categorizing institutions based on their program offerings.

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APPENDICES

Appendix 1 – Enrolment and Faculty data - 1994

Full-time Part-time Full-time Part-time Number of

HEAD COUNT* Undergrad Undergrad Graduate Graduate Full-timeEnrolment Enrolment Enrolment Enrolment Faculty**

NOVEMBER 1, 1994

Brock University 7113 3330 120 497 311Carleton University 14744 4423 1639 957 714Dominican College of Philosophy and Theology*** 60 83 21 6 9University of Guelph 10851 2125 1543 262 711Lakehead University 5849 1648 196 158 255Laurentian University (Algoma & Hearst) 5757 2922 146 139 358McMaster University 11979 3008 1573 651 972Nippissing University 1412 978 0 24 66OCAD*** 1471 1231 0 0 74OISE 17 108 874 1519 129University of Ottawa 14317 6809 2360 1501 1,089Queen's University 11331 3458 2089 632 810Redeemer University College***** 743 65 0 0 30Royal Military College of Canada****** 961 0 272 423 155Ryerson University 10120 11761 0 0 500University of Toronto 29836 13236 6360 1809 2,568Trent University 3760 1479 122 33 192University of Waterloo 15726 4797 1690 405 831The University of Western Ontario 20103 5638 2234 514 1,457Wilfrid Laurier University 5118 2275 451 316 277University of Windsor 10427 4278 656 227 491York University 25627 9854 2127 1178 1,061

* Includes eligible and ineligible students from MTCU enrolment records**Statistics Canada - University and College Academic Staff Survey *** Faculty data obtained from university website**** Faculty data obtained from 2005 CUDO data***** Enrolment data obtained from 2003 - AUCC and Faculty data obtained from 1999 per 2001 Almanac***** Enrolment data obtained from 2003 - AUCC and Faculty data obtained from 2001 per 2004 Almanac

205

Appendix 2 – Enrolment and Faculty data - 2010

Full-time Part-time Full-time Part-time Number ofHEAD COUNT* Undergrad Undergrad Graduate Graduate Full-time

Enrolment Enrolment Enrolment Enrolment Faculty**NOVEMBER 1, 2010

Algoma University*** 834 354 0 0 39Brock University 14,076 2,013 932 604 563Carleton University 18,162 4,124 2,778 824 821Dominican College of Philosophy and Theology**** 36 31 57 1 7University of Guelph 21,604 2,235 2,287 228 780Lakehead University 6,323 1,569 578 26 308Laurentian University 6,241 2,237 407 361 365McMaster University 21,327 3,349 3,354 687 1305Nippissing University 3,874 2,320 59 268 181OCAD University**** 3,054 898 44 51 108UOIT 6,515 456 308 105 158University of Ottawa 28,200 6,133 4,611 1427 1254Queen's University 15,730 4,349 3,580 369 802Redeemer University College****** 870 40 0 0 39Royal Military College of Canada******* 1,090 170 300 260 195Ryerson University 18,632 16,956 1,893 353 931University of Toronto 56,531 6,870 13,195 1793 2698Trent University 6,187 1,230 354 69 229University of Waterloo 26,458 1,627 3,486 933 1023The University of Western Ontario 27,457 3,435 4,782 563 1322Wilfrid Laurier University 14,102 1,942 908 620 533University of Windsor 11,645 2,401 1,658 141 523York University 41,012 7,219 3,841 2165 1396

* Includes eligible and ineligible students from MTCU enrolment records**Statistics Canada - University and College Academic Staff Survey *** Obtained from university**** Faculty data obtained from university website***** Faculty data obtained from 2010 CUDO data****** Enrolment data obtained from 2012 - AUCC and Faculty data obtained from 2009 per 20011-12 Almanac******* Enrolment data obtained from 2003 - AUCC and Faculty data obtained from 2001 per 2004 Almanac

206

Appendix 3 – Undergraduate and Graduate Students - Fall Headcounts per Year

2001-2011

2000-01 2001-02 2002-03 2003-04 2004-05 2005-06 2006-07 2007-08 2008-09 2009-10 2010-11

Algoma University - - - - - - - - - 1,164 1,188 Brock University 11,269 11,924 13,130 15,523 16,597 17,406 17,453 17,005 16,417 17,128 17,625 Carleton University 17,531 18,464 20,455 22,535 23,583 23,835 24,082 24,256 24,284 25,257 25,888 Dominican College 150 158 188 171 177 183 150 148 138 127 125 University of Guelph 15,323 15,945 17,029 19,096 20,120 20,622 21,922 22,362 23,114 24,844 26,354 Lakehead University 6,195 6,140 6,525 7,304 7,579 7,535 7,596 7,837 7,671 8,190 8,602 Laurentian University 6,590 6,796 7,320 8,695 9,405 9,862 10,336 10,032 9,766 9,078 9,401 McMaster University 17,187 18,451 20,056 22,001 23,234 24,664 25,446 26,151 26,767 27,684 28,717 Nipissing University 3,729 4,101 4,603 5,478 5,906 6,659 6,830 6,333 6,843 6,817 6,521 OCAD University 2,356 2,417 2,453 3,062 3,435 3,467 3,413 3,445 3,431 3,716 4,047 UOIT - - - 936 1,830 3,090 4,320 5,103 5,567 6,589 7,384 University of Ottawa 25,124 26,563 28,198 30,948 31,766 33,690 35,112 36,280 36,958 38,702 40,371 Queen's University 17,773 18,223 18,923 20,034 20,391 20,783 20,566 20,716 21,717 22,601 24,028 Ryerson University 21,786 23,439 24,979 27,221 28,610 33,019 33,906 35,061 36,481 36,892 37,835 University of Toronto 55,990 58,995 62,944 68,290 68,810 71,224 72,333 74,035 74,731 77,163 78,389 Trent University 5,344 5,547 6,347 7,348 7,798 8,170 8,327 7,891 7,734 7,817 7,840 University of Waterloo 22,164 22,715 24,186 25,029 25,958 26,181 27,040 27,975 28,842 30,859 32,504 The University of Western Ontario 28,522 29,653 31,134 32,784 33,460 34,072 34,270 34,207 34,403 35,314 36,237 Wilfrid Laurier University 9,525 10,404 10,872 12,426 13,319 14,061 14,906 15,152 15,715 16,820 17,572 University of Windsor 12,850 13,510 14,313 16,266 16,518 16,830 16,883 16,183 15,695 15,568 15,845 York University 38,527 39,578 43,635 46,794 49,496 50,691 51,420 51,819 51,989 53,205 54,237 Total 317,935 333,023 357,290 391,941 407,992 426,044 436,311 441,991 448,263 465,535 480,710

All Students- Fall Headcounts

(Includes eligible and ineligible students) (Excludes Northern Ontario School of Medicine) Source: Ontario Ministry of Training, Colleges and Universities

207

Appendix 4 – Full-time and Part-time Graduate Students - Fall Headcounts per Year

2001-2011

2000-01 2001-02 2002-03 2003-04 2004-05 2005-06 2006-07 2007-08 2008-09 2009-10 2010-11

Algoma University - - - - - - - - - - - Brock University 639 648 673 863 1,065 1,053 1,169 1,259 1,419 1,544 1,536 Carleton University 2,544 2,664 2,737 2,951 2,962 2,906 3,035 3,397 3,510 3,567 3,602 Dominican College 46 59 56 56 54 52 48 58 58 60 58 University of Guelph 1,685 1,741 1,859 1,964 2,055 2,050 2,074 2,330 2,394 2,434 2,515 Lakehead University 279 286 345 431 511 556 553 721 629 618 604 Laurentian University 325 311 374 404 477 552 558 645 705 695 768 McMaster University 2,332 2,537 2,579 2,690 2,662 2,801 2,987 3,303 3,408 3,686 4,041 Nipissing University 169 172 187 221 375 368 327 320 350 373 327 OCAD University - - - - - - - - 26 63 95 UOIT - - - - - 12 23 90 167 345 413 University of Ottawa 3,429 3,723 4,057 4,188 4,122 4,181 4,345 4,967 5,247 5,625 6,038 Queen's University 2,588 2,665 2,700 2,781 2,953 3,099 3,264 3,515 3,606 3,889 3,949 Ryerson University 50 240 396 456 570 773 1,085 1,639 1,966 2,120 2,246 University of Toronto 10,417 11,029 11,862 12,226 12,375 12,276 12,603 13,827 14,208 14,828 14,988 Trent University 173 189 207 229 242 248 277 345 386 405 423 University of Waterloo 2,041 2,237 2,485 2,650 2,789 2,884 3,120 3,630 3,987 4,295 4,419 The University of Western Ontario 3,325 3,410 3,715 3,848 3,906 4,021 4,185 4,612 4,861 5,040 5,345 Wilfrid Laurier University 900 925 978 1,041 1,036 1,073 1,150 1,267 1,370 1,488 1,528 University of Windsor 878 846 1,053 1,209 1,287 1,304 1,377 1,479 1,637 1,689 1,799 York University 4,220 4,340 4,708 4,734 4,783 4,754 5,144 5,698 5,861 6,093 6,006 Total 36,040 38,022 40,971 42,942 44,224 44,963 47,324 53,102 55,795 58,857 60,700

Full-time and Part-time Graduate Students - Fall Headcounts

(Includes eligible and ineligible students) Source: Ontario Ministry of Training, Colleges and Universities

208

Appendix 5 – Graduate Students as a Percentage of Total Students per Year 2001-2011

2000-01 2001-02 2002-03 2003-04 2004-05 2005-06 2006-07 2007-08 2008-09 2009-10 2010-11

Brock University 5.67 5.43 5.13 5.56 6.42 6.05 6.70 7.40 8.64 9.01 8.71 Carleton University 14.51 14.43 13.38 13.10 12.56 12.19 12.60 14.00 14.45 14.12 13.91 Dominican College 30.67 37.34 29.79 32.75 30.51 28.42 32.00 39.19 42.03 47.24 46.40 University of Guelph 11.00 10.92 10.92 10.28 10.21 9.94 9.46 10.42 10.36 9.80 9.54 Lakehead University 4.50 4.66 5.29 5.90 6.74 7.38 7.28 9.20 8.20 7.55 7.02 Laurentian University 4.93 4.58 5.11 4.65 5.07 5.60 5.40 6.43 7.22 7.66 8.17 McMaster University 13.57 13.75 12.86 12.23 11.46 11.36 11.74 12.63 12.73 13.31 14.07 Nipissing University 4.53 4.19 4.06 4.03 6.35 5.53 4.79 5.05 5.11 5.47 5.01 OCAD University - - - - - - - - 0.76 1.70 2.35 UOIT - - - - - 0.39 0.53 1.76 3.00 5.24 5.59 University of Ottawa 13.65 14.02 14.39 13.53 12.98 12.41 12.37 13.69 14.20 14.53 14.96 Queen's University 14.56 14.62 14.27 13.88 14.48 14.91 15.87 16.97 16.60 17.21 16.43 Ryerson University 0.23 1.02 1.59 1.68 1.99 2.34 3.20 4.67 5.39 5.75 5.94 University of Toronto 18.61 18.69 18.85 17.90 17.98 17.24 17.42 18.68 19.01 19.22 19.12 Trent University 3.24 3.41 3.26 3.12 3.10 3.04 3.33 4.37 4.99 5.18 5.40 University of Waterloo 9.21 9.85 10.27 10.59 10.74 11.02 11.54 12.98 13.82 13.92 13.60 The University of Western Ontario 11.66 11.50 11.93 11.74 11.67 11.80 12.21 13.48 14.13 14.27 14.75 Wilfrid Laurier University 9.45 8.89 9.00 8.38 7.78 7.63 7.72 8.36 8.72 8.85 8.70 University of Windsor 6.83 6.26 7.36 7.43 7.79 7.75 8.16 9.14 10.43 10.85 11.35 York University 10.95 10.97 10.79 10.12 9.66 9.38 10.00 11.00 11.27 11.45 11.07

Full-time and Part-time Graduate Students as a Percentage of Total Fall Headcounts

209

Appendix 6 – Full-time and Part-time Master’s Students – Fall Headcounts per Year

2005-2011

2004-05 2005-06 2006-07 2007-08 2008-09 2009-10 2010-11

Algoma University - - - - - - - Brock University 1,018 987 1,100 1,172 1,329 1,437 1,409 Carleton University 2,122 2,015 2,113 2,427 2,537 2,574 2,554 Dominican College 29 28 29 35 39 34 30 University of Guelph 1,390 1,337 1,359 1,552 1,605 1,610 1,655 Lakehead University 461 505 501 648 548 525 502 Laurentian University 471 524 506 555 602 572 618 McMaster University 1,593 1,636 1,756 2,012 2,076 2,266 2,583 Nipissing University 375 368 327 320 350 373 327 OCAD University - - - - 26 63 95 UOIT - 12 23 90 158 314 354 University of Ottawa 2,955 2,908 2,981 3,482 3,687 3,976 4,271 Queen's University 2,032 2,108 2,226 2,412 2,436 2,661 2,710 Ryerson University 536 708 984 1,503 1,768 1,852 1,932 University of Toronto 7,468 7,274 7,413 8,355 8,603 9,016 9,008 Trent University 170 166 184 237 282 295 298 University of Waterloo 1,668 1,697 1,819 2,171 2,427 2,591 2,686 The University of Western Ontario 2,721 2,725 2,733 3,039 3,183 3,206 3,381 Wilfrid Laurier University 939 964 1,012 1,108 1,207 1,328 1,358 University of Windsor 1,015 1,018 1,074 1,148 1,278 1,313 1,386 York University 3,547 3,426 3,701 4,132 4,152 4,286 4,139 Total 30,510 30,406 31,841 36,398 38,293 40,292 41,296

Full-time and Part-time Masters Students - Fall Headcounts

(Includes eligible and ineligible students) (Excludes graduate diploma students) Source: Ontario Ministry of Training, Colleges and Universities

210

Appendix 7 – Full-time and Part-time Doctoral Students – Fall Headcounts per Year

2005-2011

2004-05 2005-06 2006-07 2007-08 2008-09 2009-10 2010-11

Algoma University - - - - - - - Brock University 47 66 69 86 89 107 125 Carleton University 815 863 904 930 929 944 995 Dominican College 25 24 19 23 19 26 28 University of Guelph 659 708 710 774 787 819 851 Lakehead University 32 37 49 66 77 90 99 Laurentian University 6 28 40 81 98 113 135 McMaster University 975 1,053 1,134 1,177 1,234 1,319 1,385 Nipissing University - - - - - - - OCAD University - - - - - - - UOIT - - - - 6 26 55 University of Ottawa 1,069 1,198 1,299 1,377 1,445 1,515 1,633 Queen's University 921 991 1,038 1,103 1,170 1,228 1,239 Ryerson University 34 65 101 136 198 268 314 University of Toronto 4,808 4,930 5,113 5,379 5,514 5,734 5,899 Trent University 72 82 93 108 104 110 125 University of Waterloo 1,121 1,169 1,301 1,458 1,537 1,646 1,718 The University of Western Ontario 1,180 1,292 1,451 1,572 1,677 1,834 1,964 Wilfrid Laurier University 97 109 138 159 163 160 170 University of Windsor 272 286 303 331 359 376 403 York University 1,236 1,315 1,426 1,551 1,688 1,792 1,852 Total 13,369 14,216 15,188 16,311 17,094 18,107 18,990

Full-time and Part-time Doctoral Students - Fall Headcounts

(Includes eligible and ineligible students) (Excludes graduate diploma students) Source: Ontario Ministry of Training, Colleges and Universities

211

Appendix 8 – Master’s Students as a Percentage of Total Graduates – Fall Headcounts 2005-2011

2004-05 2005-06 2006-07 2007-08 2008-09 2009-10 2010-11

Algoma University ‐ ‐ ‐ ‐ ‐ ‐ ‐ Brock University 95.6 93.7 94.1 93.2 93.7 93.1 91.9 Carleton University 72.3 70.0 70.0 72.3 73.2 73.2 72.0 Dominican College 53.7 53.8 60.4 60.3 67.2 56.7 51.7 University of Guelph 67.8 65.4 65.7 66.7 67.1 66.3 66.0 Lakehead University 93.5 93.2 91.1 90.8 87.7 85.4 83.5 Laurentian University 98.7 94.9 92.7 87.3 86.0 83.5 82.1 McMaster University 62.0 60.8 60.8 63.1 62.7 63.2 65.1 Nipissing University 100.0 100.0 100.0 100.0 100.0 100.0 100.0 OCAD University ‐ ‐ ‐ ‐ 100.0 100.0 100.0 UOIT ‐ 100.0 100.0 100.0 96.3 92.4 86.6 University of Ottawa 73.4 70.8 69.6 71.7 71.8 72.4 72.3 Queen's University 68.8 68.0 68.2 68.6 67.6 68.4 68.6 Ryerson University 94.0 91.6 90.7 91.7 89.9 87.4 86.0 University of Toronto 60.8 59.6 59.2 60.8 60.9 61.1 60.4 Trent University 70.2 66.9 66.4 68.7 73.1 72.8 70.4 University of Waterloo 59.8 59.2 58.3 59.8 61.2 61.2 61.0 The University of Western Ont 69.8 67.8 65.3 65.9 65.5 63.6 63.3 Wilfrid Laurier University 90.6 89.8 88.0 87.5 88.1 89.2 88.9 University of Windsor 78.9 78.1 78.0 77.6 78.1 77.7 77.5 York University 74.2 72.3 72.2 72.7 71.1 70.5 69.1

Full-time and Part-time Masters Students as a Percentage of Total Graduate Fall Headcounts

212

Appendix 9 – Doctoral Students as a Percentage of Total Graduates – Fall Headcounts 2005-2001

2004-05 2005-06 2006-07 2007-08 2008-09 2009-10 2010-11

Algoma University ‐ ‐ ‐ ‐ ‐ ‐ ‐ Brock University 4.4 6.3 5.9 6.8 6.3 6.9 8.1 Carleton University 27.7 30.0 30.0 27.7 26.8 26.8 28.0 Dominican College 46.3 46.2 39.6 39.7 32.8 43.3 48.3 University of Guelph 32.2 34.6 34.3 33.3 32.9 33.7 34.0 Lakehead University 6.5 6.8 8.9 9.2 12.3 14.6 16.5 Laurentian University 1.3 5.1 7.3 12.7 14.0 16.5 17.9 McMaster University 38.0 39.2 39.2 36.9 37.3 36.8 34.9 Nipissing University ‐ ‐ ‐ ‐ ‐ ‐ ‐ OCAD University ‐ ‐ ‐ ‐ ‐ ‐ ‐ UOIT ‐ ‐ ‐ ‐ 3.7 7.6 13.4 University of Ottawa 26.6 29.2 30.4 28.3 28.2 27.6 27.7 Queen's University 31.2 32.0 31.8 31.4 32.4 31.6 31.4 Ryerson University 6.0 8.4 9.3 8.3 10.1 12.6 14.0 University of Toronto 39.2 40.4 40.8 39.2 39.1 38.9 39.6 Trent University 29.8 33.1 33.6 31.3 26.9 27.2 29.6 University of Waterloo 40.2 40.8 41.7 40.2 38.8 38.8 39.0 The University of Western Ont 30.2 32.2 34.7 34.1 34.5 36.4 36.7 Wilfrid Laurier University 9.4 10.2 12.0 12.5 11.9 10.8 11.1 University of Windsor 21.1 21.9 22.0 22.4 21.9 22.3 22.5 York University 25.8 27.7 27.8 27.3 28.9 29.5 30.9

Full-time and Part-time Doctoral Students as a Percentage of Total Graduate Fall Headcounts