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THE DEVELOPMENT OF DISTANCE EDUCATION IN IRAN WITH SPECIAL REFERENCE TO THE PLANNING AND MANAGEMENT OF PAYAM-E-NOOR UNIVERSITY ISSA EBRAHIMZADEH A thesis submitted to the University of Bristol in accordance with the requirements of the degree of Ph.D. in the School of Education, Faculty of Social Sciences April 1997 ABSTRACT According to the 1996 census Iran has a population of about 60 million with more than 7 million people in the higher education age group (18-24). About 1/3 of this group are seekers of higher education. For this reason Iranian policy makers and planners are engaged in exploring appropriate ways of providing higher education for this large and growing population, in a relatively short time and with constrained resources. The establishment of Payame Noor University as a distance education organisation in 1987 was a result of these efforts. In 1990, only three years after its establishment, PNU enrolled more students than any other state university in Iran, and it reached mega-university scale within seven years of its establishment. It is now among the twelve mega-universities of the world and is the largest state university in Iran. This dissertation examines the evolution of distance education in Iran, based upon original fieldwork data collected as part of a detailed case study of PNU. It analyses the philosophical and theoretical underpinnings of PNU - given its mega-university status and declared enthusiasm for the industrialisation of teaching and learning - in the light of a framework derived from Peters' (1967, 1994) industrial theory. Specific attention is given to an evaluation of planning and management processes in operation at PNU from the industrial perspective, and with regard to an analytical framework derived from Hodgkinson (1991, 1996) and educational management models (bureaucratic, collegial, political and ambiguity) articulated by Bush (1994). The analysis identifies factors which have contributed to the development and evolution of distance education in Iran and examines how national macro policies and PNU's micro policies have influenced expansion. The dissertation argues that the development of distance education in Iran is primarily motivated by issues of social demand, access, cost and human resource development. It is argued that external factors have had the most profound impact upon the development of the university. Conflict and problems are identified relating to policy making and implementation, the government and the university, and industrial, academic and administrative cultures. These issues, it is proposed, are to be expected of any new system which shares the characteristics of educational and industrial institutions. In concluding the advantages and limitations of the industrial model of distance education are examined. It is further argued that the application of any theory as a framework for a distance education institution that has origins in a different cultural setting must take close account of the socio-cultural contexts of education in different types of historical civilisations. This process needs greater consideration in PNU and national ideo-political and socio-cultural perspectives must be more carefully taken into consideration if policy makers and planners attempt to adopt any more pre- existing models to the local context. II A CKNO WLED GEMENTS This dissertation has been possible through the support and encouragement of many people verifying the belief that knowledge is the production of collaboration. My sincerest thanks to them all. My supervisors Dr. Michael Crossley and David Oldroyd have been a constant source of guidance and encouragement and have always been forthcoming with helpful structure, criticism and comments. The final product is due in no small measure to their careful and critically supportive tutoring. I offer them my sincerest gratitude. I gratefully acknowledge the contribution of all my informants who willingly shared their valuable experience and knowledge with me. My thanks also to all my colleagues in Payame Noor University for their sincere collaboration. I am thankful to my wife Susan, my daughters Sepideh, Sanam and Sahar, and my son in law Dr. Nabavi for their patience and support. And finally my sincerest thanks to Alan Lockett who patiently read the whole dissertation and helped me in developing the ability to write correct English. III AUTHOR'S DECLARATION I hereby confirm that the work presented in this dissertation is mine, and that it has not been submitted for a degree or an award at any other university. Signed.................Date ...... Iv 19 19 19 20 21 25 26 27 29 30 31 TABLE OF CONTENTS ABSTRA CT II A CKNOWLEDGEMENTS I" A UTHOR 'S DECLARA TION IJ TABLE OF CONTENTS LIST OF FIGURES ki LIST OF TABLES XII LIST OF ABBREVIATIONS XIII CHAPTER ONE 1 Introduction I Introduction 1 Rationale for the Study 2 Aims of the Study 3 Research Questions 4 Theoretical Literature and Analytical Framework 5 Industrial Theory 6 Management Theory 7 Hodgkinson's Analytical Framework 9 Research Design 11 Research Process 11 Methodology 11 Case Study and Qualitative Research 12 In-depth Interviews 13 Document Analysis 14 Observation and Reflection on Experiential Knowledge 15 The Fieldwork Report and Energent Themes /6 Anticipated Problems 16 Sign flcance of the Study 17 Structure of the Study 17 CHAPTER TWO Distance Education Concepts and Theories Introduction Historical Perspectives on Distance Education Distance Education and National Education Systems First Generation Distance Education (the pre-Fordist mode) Second Generation Distance Education (the Fordist mode) Third Generation Distance Education (the post-Fordist mode) Mega-universities Definitions of Distance Education Problems in defining distance education V 62 62 62 62 62 63 64 64 65 66 67 71 74 76 77 79 80 81 82 84 85 86 87 88 89 91 93 95 97 103 103 103 103 Similarities and differences 33 What distance education is 34 The characteristics of distance education 37 Contradiction of Terms 41 Theories of Distance Education: An Overview 44 Theory of Autonomy and Independence 46 Theory of Interaction and Communication 50 Theory of Industrialisation 52 Planning 53 Rationalisation 53 The Division of Labour 54 Assembly Line 54 Mass Production 55 Centralisation 56 CHAPTER THREE Planning and Management of Distance Education Introduction Models for Implementing Distance Education Models of Distance Education as a Method of Instruction Print-Based Models Audio-Based Models Video-Based Models Computer-Based Models Models of Distance Education as a Broad System A Systems Model of Distance Education A Transactional Model of Distance Education Distance Education and Educational Models Policy Making and Planning in Distance Education What is Planning? Models of Planning The Social Demand or Socio-cultural Model The Manpower or Human Resource Development Model The Planning of Distance Education The Management of Distance Education Monitoring Analytical Framework for the Management of Distance Education Models of Educational Administration and Management The Bureaucratic Model The Collegial Model The Political Model The Ambiguity Model The Search for an Over-arching Analytical Framework The Concept of Administration CHAPTER FOUR Research Methodology Introduction Definitions of Case Study VI 155 155 155 156 156 157 157 158 159 159 160 160 161 161 162 162 162 163 164 165 165 166 168 169 170 172 Types of Case Study 107 Types of Case Study in Terms of Discipline 108 Types of Case Study in Terms of End Product 109 Strengths and Limitations of Case Study Strategies 112 Case Study and Qualitative Research: Epistemological Issues 116 Research Design: Payame Noor University, A Case Study 122 Phases of the Research Process 123 The Pre-fleldwork Phase 123 The Fieldwork Phase 126 The Post-fieldwork Phase 127 The Development of The Research Questions 128 Selection of the Case 130 Data Collection Techniques 131 In-depth Interviews 134 Document Analysis 139 Observation Combined with Reflection on Experiential Knowledge 141 The Case Study Data Base 144 Data Analysis 145 Data Analysis Process 147 The Presentation and Interpretation of Data in the Islamic Context 148 Writing up 152 Limitations of the Study 152 Ethical issues 154 CHAPTER FIVE The Context and Development of Distance Education in Iran Introduction Country profile Geographical situation History Population Economy Educational System Primary Education Guidance Schools High Schools Higher Education Distance Education in the New Education Policy The Development of Distance Education in Iran Historical Perspective Fourth Development Plan ABU Correspondence Faculty Disciplines and Degrees Method of Teaching Evaluation System Establishment of the Free University of Iran (FUI) Instructional system of FUI The Academic Programmes The Preparation of Course Material and the Integrated Media Package Regional Study Centres VII Critiques of Early Distance Education in Iran: Evaluation and Concluding Comments 173 Cultural Revolution 175 The Establishment of Payame Noor University 178 Original Rationale 178 Renewed Interest in Distance Education 181 Legal Status of PNU 181 Aims and Objectives of PNU 183 Organisational Structure of PNU 184 A Comparison of the Organisational Structure of PNU with Conventional Universities in Iran 185 Recruitment and Training of Academic and Supportive Staff 188 Regional and Local Study Centres 188 The Process of the Establishment of Study Centres 189 The Duties of Regional Centres 192 The Duties of Local Centres 193 The Instructional System of PNU 194 Printed Study Materials 195 Development of Self-study Materials 196 Individual and Group Tutorial Sessions 197 Face to-face Residential Classes 198 Television Programmes 200 Audio-visual Cassettes 202 Laboratories and Experimental Kits 203 Programmes of Study 204 1. Formal Degree Programmes 204 2. Associate Degree Programme 205 3. Equivalent Degree Programmes 205 4. General Degree Programmes 206 5. International Degree Programmes in Persian Language and Literature 207 6. Non-degree Programme 208 Student Characteristics 208 Evaluation system 213 Continuous Assessment 213 Final Assessment 214 Financial Issues 215 Budgeting Process of the University 217 Financial Monitoring 218 Planning to Increase the Income Resources of PNU 219 International Collaboration' 220 Planning for Using an International Network 221 CHAPTER SIX 223 The Planning and Management of PNU: A Critical Analysis 223 Introduction 223 Philosophical and Theoretical Foundations of PNU 223 Philosophical Foundations 223 New Chancellor and New Policy: Towards a Mega-university 225 Theoretical Framework of PNU: The Industrial Model in Action 228 PNU and Industrial Theory 229 Rationalisation 230 The Division of Labour 231 Division of Labour in the Teaching-learning Process 232 Division of Labour in the Materials Production Process 236 VIII Mechanisation 239 Mechanisation of Teaching-learning Processes 239 Mechanisation of Material Production 242 Assembly Line 245 Mass Production 248 Dilemmas of an Industrial Model 249 Dilemmas of Comparisons with Industry 249 Dilemmas of International Transfer 250 Dilemmas of Technical Skills 252 Dilemmas of Organisational Principles 252 Dilemmas of Administration Culture 253 Dilemmas of Feedback 254 Policy Making and Implementation at PNU 255 Policy Making 256 Planning Process 256 The Problem of Rapid Development 261 Two Different Models of Planning: Conflict Between Macro and Micro Policy 263 Management Process 275 Background 275 Management at PNU The Test of Various Models 277 Participation Process 280 Conclusion 286 CHAPTER SEVEN 290 Conclusion: Cultural Context, Mega-universities and Industrial Theory 290 Introduction 290 Iran: The Context for Distance Education 290 Socio-political Issues and Priorities 290 Prospects for Distance Education 292 Payame Noor University (The Message of Light): The Industrial Model in Practice 295 Characteristics and Impact 296 PNU as a Mega-university 296 Organisational Structure 297 Cost-effectiveness 298 Growth and Management 299 Mega-universities: Problems and Potential, Learning from the Iranian Experience 300 Government Force 301 Policy Making and Implementation Issues 302 Dilemmas of Two Different Models for Planning at Two Different Levels 304 Contingent Planning 305 Cross-functional Issues 307 Dilemmas of Industrialisation 307 Further Reflections on the Industrialisation of Education in Iran: Dilemmas of International Transfer 31/ Two Theoretical and Analytical Frameworks: dilemiTlas of application 317 Methodological Issues 3/9 Case Study Research in Developing Countries: Strengths and limitations 320 Recommendations for Future Planning, Management and Research 322 Quality of Services 322 Participative Management 322 Conclusion: Towards the Third Generation of Distance Education 323 Ix REFERENCES 326 Appendix 1 342 Detailed JIeldworlc questions 342 Appendix 2 347 Case study of PNU Key Informants and interviews Guide 347 Appendix 3 349 Inlerviews Timetable 349 Appendix 4 350 The Organisational Chart of Payame Noor Universty 350 x LIST OF FIGURES Title Page Figure 1.1 Hodgkinson's Model of Leadership 10 Figure 2.1 Relationship of Distance Education to Other Forms of Education 44 Figure 2.2 Control and Educational Transaction 50 Figure 3.1 Distance Education Models Classified by Medium of Instruction 66 Figure 3.2 A Systems Model of Distance Education 68 Figure 3.3 A Systems Model Without Linking Intermediaries 70 Figure 3.4 A Systems Model With Linking Intermediaries 71 Figure 3.5 A Transaction Model of Distance Education 72 Figure 3.6 Models of Distance Education and their Theoretical Basis and Relationship to the Educational Models 76 Figure 4.1 Research Design: Case Study of PNU in Iran 124 Figure 4.2 Data Gathering Techniques and Covering of Multiple Sources of Evidence 133 Figure 4.3 Data Analysis Process 148 Figure 5.1 The Process of Course Production at PNU 197 Figure 5.2 Budget Process at PNU 219 Figure 6.1 Division of Labour in the Teaching-learning Process at PNU 235 Figure 6.2 The Process of Printed Materials Production 238 Figure 6.3 The Dynamics of Flexible Planning Required in a Mega-university (balance of forces) 272 Figure 7.1 Contradictory Forces in the Mega-University of PNU 309 XI LIST OF TABLES Title Page Table 2.1 The Modes of Production and Corresponding Stage of Distance Education 29 Table 3.1 Differentiating Aspects of AdministrationlManagement 98 Table 5.1 Stages of Education in Iran 159 Table 5.2 ABU Total Numbers of Students and Graduates 166 Table 5.3 Statistical Details on FUI in 1980 172 Table 5.4 Total Participants in Entrance Examination in Relating to Total Admission at State Universities 179 Table 5.5 The Comparison of PNU and Conventional Universities Organisational Structure 186 Table 5.o Classification of Study Centres in Terms of the Number of Students and Staff 187 Table 5.7 Development of Local Study Centres at PNU 190 Table 5.8 Classification of Study Centres in Geographical Regions 191 Table 5.9 Face-to-Face Residential Classes in Each Semester 199 Table 5.10 Educational TV Programmes Produced and Broadcast 202 Table 5.11 Distribution of Students Based on Their Age at PNU in 1995 209 Table 5.12 The Distribution of Students in Various Fields of Study 210 Table 5.13 The Development of New Fields of Study 211 Table 5.14 Trends in Enrolments 211 Table 5.15 Tuition Fees at PNU (in US $) in 1995 216 Table 5.16 The Budget of PNU (in US $) 217 XII LIST OF ABBREVIATIONS AAOU ABU BOB BT CMC DE DPI EMC FUI GPA ICCE ICDE ICDL 1DB IEC IRIB LM MCHE NEAO OAAE PBO PLLES PNU PPC SCCR UNESCO Asian Association of Open Universities Aburaihan Brooni University Budget and Organisation Bureau Board of Trustees Computer Mediated Communication Distance Education Development Plan of Iran Educational Media Centre Free University of Iran Grade Point Average International Council for Correspondence Education International Council for Distance Education International Centre for Distance Learning Islamic Development Bank International Extension College Islamic Republic of Iran Broadcasting Learning Materials Ministry of Culture and Higher Education National Educational Assessment Organisation Organisation of Administrative Affairs and Employment Planning and Budget Organisation Persian Language and Literature for External Students Payame Noor University Printing and Publishing Centre Supreme Council of Cultural Revolution United Nations Educational, Scientific, and Cultural Organisation XIII CHAPTER ONE Introduction Introduction Higher education is assumed to have a great deal of potential to increase human resource quality, raising it to a point where it can initiate and sustain essential economic, social and cultural development. Accordingly, Iranian higher education policy makers have adopted two basic planning strategies: the expansion of existing universities and the establishment of new universities. In developing the latter strategy they decided to establish a distance education university under the name of Payame Noor University (PNU). This means the Message of Light. PNU's initial progress has shown that distance education holds great potential in Iran for the expansion of higher education opportunities to a wider range of people. A second attraction of distance education is that it is believed to be more cost-effective, allowing more places to be made available at less cost than conventional face-to-face provision. As the only higher level distance education institution in the country, the future of the PNU is important to the whole educational community in Iran. This dissertation examines the development of distance education in Iran, focusing specifically upon the growth and evolution of PNU, and a critical analysis of its plarming and management strategies conducted with reference to an analytical framework derived from the relevant international literature. Rationale for the Study University level distance education has expanded rapidly throughout the world to meet unprecedented increases in the social demand for higher education. In Western countries distance education universities were often originally intended to help certain disadvantaged groups to take part in higher education. (See, for example, Holmberg, 1983; Sewart, et al. 1983; Keegan, 1993 and 1994). In developing countries such as Iran the situation is even more critical. Iran is faced with many problems in providing higher education for those who seek it, and in training skilled and specialist manpower. This is the basic reason why the Ministry of Culture and Higher Education developed a distance education university as an alternative to conventional universities - in order to enhance the number of qualified specialists in many branches of the socio-economic system. At the same time, Iranian educational policy makers and planners intend to open up increased access to the professions for a wider section of the existing workforce in a short period of time, without students and employees having to be present on a full time basis at university. This system of education, it was argued, could provide more flexible educational opportunities and a more realistic basis for meeting the nation's needs. In the first five years of PNU's operation, the number of its students increased so dramatically (from 8118 in 1987 to 66458 in 1992) that they made up a considerable percentage (approximately 25%) of all students in Iranian universities. Indeed, student enrolment now exceeds (160,000 in 1996) earning PNU the status of a mega- university (Daniel, 1995). The country's higher education experts thus now believe 2 that PNU has become a permanent part of national higher education. Distance education at PNU has, however, not to date, been studied formally and there are few other studies of university level distance education in Iran. There is therefore much. we can learn from both the national and international experience that can contribute to the future of distance education in the country, and to the more general and theoretical literature on distance education itself. This study represents an attempt to contribute to the improvement of distance education within Iran by providing well grounded knowledge and insights for the future development of PNU. The research also aims to contribute to the critique and further development of theoretical ideas that have an influence upon the future of distance education systems beyond national boundaries. The study is important personally because my own experience from 1977 to 1993 in distance education in Iran provides an experiential foundation for the research. I was involved in distance education in the capacity of the Head of the Academic Office of the Correspondence College; Head of the Department of Education and Department of Guidance and Counselling in the School of Psychology and Education at Allameh Taba Tabai University; Vice-chancellor of Assessment and Student Affairs, Chancellor's Academic Adviser and Secretary of University Council at PNU. It will therefore be possible, in the future, for me to play a key role in the further development of distance education in my country. Aims of the Study The main aims of the study are as follows: 1. To critically review the international literature relating to theories and models of the planning and management of distance education with particular reference to Peters' (1994) Industrial Model; 3 2. to document the development of distance education in the higher education sector in Iran from an historical perspective; 3. to develop a detailed case study of PNU as a mega-university; 4. to conduct a critical analysis of the planning and management of PNU in the light of the related international literature; 5. to draw out implications from the study for the future improvement of distance education policy and practice in Iran; 6. to relate the findings of the PNU case study to the broader theoretical literature on distance education. The case study itself documents the factors and processes which led to the establishment of PNU, and the elements and issues that continue to shape its development. It also examines the strategies that the PNU has adopted, in the light of the related international literature. Research Questions Five main questions arise from the rationale and aims of the study, and these provide the focus for the research: 1. What are the origins, assumptions, theoretical orientations and objectives of PNU? 2. How has the university developed and what are its main characteristics? 3. How have the planning and management strategies of the university developed and what are their strengths and limitations? 4. What lessons can be learnt from the PNU experience that have relevance for higher education policy and practice in Iran? 4 5. What can the PNU experience contribute to the international and theoretical literature on distance education? The broad research que3tions provide the basic structure for a more detailed fieldwork interview schedule for use with key informants adapted from case study questions developed by the International Extension College (IEC) (Dodds and Mayo, 1992). These detailed questions are presented in Appendix 1. The adoption of this schedule facilitates comparisons between the PNU and other case studies carried out by fEC personnel. Theoretical Literature and Analytical Framework Searching the ever increasing literature on distance education and selecting key sources as a main reference point was a challenging task. The development of such a substantial body of literature on distance education in less than twenty years is a significant indicator of the field's importance in itself. To structure the review, materials were classified into two main categories related to the aims of the study: 1. theoretical perspectives on distance education; 2. the planning and management of distance education. Key references then formed the core of a critical review initially focused upon the concepts, definitions, theories and the planning and management of distance education. In particular, Sewart et al's (1983) work on international perspectives in distance education, Keegan's (1980, 1993 and 1994) works on definitions, theoiy and practice and Daniel's (1995) work on Mega-universities were adopted as main reference points for scholarship. Many different definitions of distance education are reviewed in chapter two but more specific attention is given to the characteristic features of distance education. How far 5 does it differ from other mediated forms of teaching-learning methods? Is distance education an irmovative method of teaching-learning or a new system of education? Those definitions considered are therefore categorised into two different groups: definitions which were proposed by those who identify distance education as an innovatory method of teaching-learning, and definitions proposed by those who deal with distance education as a new system of education. This analysis leads on to the distinction between distance education and concepts such as correspondence education, independent study and open learning. Industrial Theory Further analysis was enhanced by reviewing three well known theories of distance education, namely autonomy and independence theory, interaction and communication theory, and industrial theory. While the first two theories are helpful in understanding distance education systems, the third perspective was seen to be especially useful as a theoretical framework for the detailed analysis of PNU - given its mega-university status and declared enthusiasm for the industrialisation of teaching and learning. Indeed, there are considerable similarities between the operating systems of PNU and other mega-universities and industrial organisations in terms of mass production (of graduates and of study materials), division of labour, the assembly line, the application of technology etc. The principles of industrialisation strategies are often applied in both the teaching-learning process and the administrative operations of these very large universities. For these reasons Peters' (1994) industrial theory was seen to provide the most appropriate framework for the analysis of the theoretical underpinnings of PNU, and for developing improved understanding of its functions and problems as a mega-university. The framework itself is outlined in Chapter Two, 6 but at this stage it should be noted that Peters' arguments implicitly underline the fact that distance education must be carefully pre-planned, prepared and organised, and that there is much division of labour, a growing array of technology to work with, and. the necessity for formalised evaluations. He therefore states that: People become aware that these and other features of distance study are structurally the same as those that can be found in an industrialised production process. Explicitly, these ideas are expressed by using the image of a teacher in the classroom working like a craftsman, as opposed to a teacher being a part of a complicated teaching-learning system organised like an industrialised process. The catch-phrase 'industrialised form of instruction' helps to recognise structural elements which are typical in distance study (Peters, 1994: 216-217). Although the multiple roles and industrial features of distance education make it very sophisticated and more complex than conventional educational provision, the potential of distance education to ensure cost effective higher education on a large scale remains one of its great advantages. This in turn, generates a process of educational administration that requires administrative skills that are akin to those of an industrial enterprise (Keegan, 1986). Management Theory The critical review of existing literature extends in Chapter Three to give more specific attention to models of planning and management related to distance education. In this respect Rumble's (1986) book on the planning and management of distance education, Paul's (1990) material on the management of open universities, Hodgkinson's (1991) work on educational leadership, and Bush's (1986 and 1994) books on theory and practice in educational management are adopted as main references, along with other related journal articles. These sources help to elicit the perceptions and perspectives of those involved more closely in educational 7 management in general, and in the planning and management of distance education in particular. In the light of the literature reviewed it became clear that many writers are seeking ways of enhancing the systematic, and theoretically grounded, planning and management of distance education. In doing so, they have suggested key models for planning and management. These models are also classified into two categories: a) models of distance education as a teaching-learning method and b) as a broader system of education. Consideration of these models yielded insights for drawing out more general principles for the planning and management of distance education. Given the focus of the present study, and the limitations of the relevant distance education material, it was decided to consider related literature in the more general field of educational management. Models of management, including the bureaucratic, collegial, political, and ambiguity models were, therefore, critically reviewed, to help establish an overarching framework for analysis of distance education universities' management processes. In doing so, it became apparent that Hodgkinson (1991) provides a useful framework for the analysis of the management of any educational institution, and this can also be applied for analysing the complicated management of distance education institutions. Two theoretical frameworks (Peters, 1994 and J-Iodgkinson, 1991) are therefore adopted in this study - with Hodgkinson's drawing attention to the close relationship between policy making and policy implementation; the major conceptual and analytical concepts around which the study is organised. While a central function of any educational system is to ensure that students are taught according to a curriculum, distance education systems also have another function, that is the preparation, production and distribution of learning materials. This means that 8 distance education institutions have two core characteristics: academic and material production (manufacturing). It is therefore argued that distance education universities almost uniquely represent the tendencies of two orientations - the professional. autonomy of university academics and the bureaucratic demands of large publishing houses and service organisations. The inherent conflict between these two features has major implications for how such universities can be managed (Paul, 1990: 30). These issues indicate that the nature of distance education requires simultaneous attention to the planning and management of both academic and manufacturing missions. Hodgkinson 's Analytical Framework Hodgkinson's (1991) model as shown in figure 1.1 was found to be especially helpful for the PNU study - and in keeping with the dissertation's aims and rationale. Again, the detailed theoretical discussion follows in Chapter Three but here it is pertinent to provide a basic outline of core concepts only. In this model leadership, which is vital for success of any institution, is a key concept 'encompassing both administration and management' (Burns, 1978:2). Hence, leadership involves both policy making and policy implementation and brings the components of the organisation together to ensure the effective functioning and support structure for students and faculty alike. Philosophy is seen by Hodgkinson as the first stage in the dynamic process of policy making, and leadership is, in fact, 'philosophy-in-action' (Hodgkinson, 1983). Here philosophy means organisational values, its theoretical framework and reasons for being. At the top level of administration, the vision and mission of the organisation is formulated by philosophical means such as imagination, intuition, hypothesis, argument, dialectic, logic, value analysis and clarification. 9 Policy implementation 1ising 1 Figure 1.1 Hodgkinson's Model of Leadership Leadership Administration Management Policy making • . .[Philosoh] 'I, [Planning j 'I, L Po1iticsJ (Adapted from Hodgkinson, 1991) Following this stage of the model, in this study PNU's original assumptions and philosophies are first analysed in the light of industrialisation theory to document the theoretical underpinnings and organisational strategies of the university. The research then continues to analyse PNU in the light of Hodgkinson's subsequent stages. The second stage, Hodgkinson believes, is bringing the philosophy into action. Planning is preparation for action. Politics is the final stage of policy making in this model. Politics here rLlates to the choice of appropriate strategies and the allocation of necessary resources to realise the plan. It is the task of management to bring these politics into the managerial stage by mobilising them. This is, in fact, policy implementation which can be evaluated by monitoring the whole function of an organisation. Through monitoring, managers evaluate the performance of various functions of the institution. In addition, as already indicated, the management 10 processes of PNU are analysed with reference to four of Bush's (1994) management theories. Research Design A research design is at best a compromise between the aims of the study, the resources available and the feasibility of the area of study. This research design, is adapted from a model provided by Yin (1994), and further structured by reference to industrial theory and the policy making and implementation components, featured in Hodgkinson's (1991) model (figure 1.1) as applied to the PNU. The research design is presented in diagrammatic form in figure 4.1 (Chapter 4). Considerable effort was made to make this design as clear and realisable as possible. Research Process The research process as shown in figure 4.1 included three distinct phases: pre- fieldwork, fieldwork and post-fieldwork. The details about each of these phases and the methodological issues faced during each phase are discussed in Chapter Four, along with a consideration of how serious research problems were dealt with in practice. Met/i odology Selecting specific research strategies, epistemologies and methods from many, each of which can reveal something different about the phenomenon under study, is a challenging issue. Harnmersley (1992:196) thus states that: It is not fruitful to think of social research method in terms of contrasting approaches, each involving a comprehensive and harmoniously integrated range of components all the way from epistemological assumptions right through the specific research techniques. The methodological decisions we face in social research are more complex than this. 11 It is argued here that methodological decisions depend upon what the researcher wants to know, how the problem is defined, the goals and circumstances of the research, arid above all the nature of the phenomenon under study. In developing every research. strategy something will inevitably be gained and something sacrificed. One can only weigh up each strategies' benefits against their limitations and select accordingly. As Merriam (1988:3) has pointed out: Naturalistic inquiry, which focuses on meaning in context, requires a data collection instrument sensitive to underlying meaning when gathering and interpreting data. Humans are best suited for this task- and best when using methods that make use of human sensibilities such as qualitative interviewing, observing, and analysing. Nonprobability forms of sampling, are consistent with the goals and assumptions of [the case study] paradigm as are specific ways of ensuring for validity and reliability. Case Study and Qualitative Research Since a main goal of this study involves the documentation and interpretation of PNU's mission, and the analysis of its planning and management processes and theoretical underpinnings, a largely qualitative case study strategy was developed. Case study research, it is argued, is ideal for understanding and interpreting, educational phenomena. Case studies are also judged to be a most important way to assemble information relating to the design, implementation, and impact of educational programmes. Dodds and Mayo (1992:5) argue that: case studies can address questions of great interest to planners and administrators. Why and for whom were particular initiatives taken, how were such initiatives implemented; at what cost; and with what result? The answers to such questions can assist decision makers to improve both the performance of existing programmes and the design of new ones. Apart from these reasons, the uniqueness of the present subject of study and the nature of the research questions made the case study a preferred strategy for collecting varied data and documenting the institutional aspects of PNU with regard to the political, 12 economic and cultural forces that have modelled it over time. A detailed methodological rationale is given in Chapter Four but it should be noted here that this case study of PNU applies three main methods: 1) in-depth interview 2) document. analysis 3) observation. In-depth Interviews One of the principal research traditions of the case study is the gathering of oral evidence by interview. To portray insiders' views about policy making and policy implementation at PNU, and for the collection of more basic and first hand data, in- depth interviews were applied. Interview sessions were arranged with key informants to gather data, firstly about policy making at PNU. These main informants who were selected by judgmental sampling included the Minister of Culture and Higher Education, PNU's Chancellor, Vice-chancellor of Academic Affairs, Vice-chancellor of Assessment and Student Affairs, Vice-chancellor of Research, Vice-chancellor of Finance and Administration (see Appendix 2). There was a plan to interview other influential and knowledgeable people such as former chancellor and vice-chancellors of PNU if they were accessible. In practice I could interview only one previous vice- chancellor of the university. Interviews were subsequently continued with regard to policy implementation. As well as this, the General Directors of the Educational Plarming and Curriculum Bureau, Student Evaluation and Academic Services, the Production of Learning Materials, Print and Publishing Centre and the Manager of the International Collaboration Office were interviewed. Appendix 2 gives detailed information about the focus of specific interviews drawn up to match informants with relevant topics related to their experience. The match was made on the basis of the informants' special knowledge of the particular topic(s) and the nature of their 13 involvement with PNU or with national higher education in general. From this interview guide relevant questions that were compiled previously, and presented in Appendix 1, were used as an agenda or aid-memoir during the interviews. From that. pool, individual agendas were prepared for each interviewee covering the issues to be discussed during each session. Document Analysis Document analysis was another key method adopted for analysing the history of distance education in Iran in general, and the background of PNU in particular. In this respect, an effort was made to use accessible national and institutional documents. Concerning the first group, access was gained to the Iranian Third and Fourth National Development Planning documents in the higher education section before the revolution and, to higher education documents of the First and Second Cultural and Socio-economic Development Planning Phase of Iran after the revolution. National and provincial educational Journals and other general local newspapers and publications concerned with the field of distance education were also examined. Related to the second group, the documents mentioned below were of specific value: . minutes of the meetings of the University Council; . minutes of the meetings of the University Administrative Council; . minutes of the annual meeting of regional study centre Principals; • documents for university planning; • documents relating to university budget and financing, and finally; • all other information and statistical documents of PNU related to the study. 14 Observation and Reflection on Experiential Knowledge Triangulation is considered as a strength in much social research. For this purpose, observation methods were also applied both to gain further information about specific contexts, and to strengthen the broad picture and generate more reliable conclusions. As Hammersley and Atkinson (1989:199) point out: .what is involved in triangulation is not the combination of different kinds of data per se, but rather an attempt to relate different sorts of data in such a way to counteract various possible threats to the validity of our analysis. In this study, unstructured observation was used to collect supplementary data that help qualify and interpret other sources. This was particularly 'suitable for the study of managerial meetings which regularly bring together the same group of people' (Johnson, 1994;54). I was able to attend four such meetings (Meetings of the Administrative Council, Regional Study Centre Principals, Vice-chancellors of the University and the International Collaboration Committee) during fieldwork in 1995. The researcher's previous experiential knowledge at PNU, and in other distance education institutions in the country, provided a great opportunity for enhanced understanding of the informants and for general observation around the university. This knowledge also helped to identify which documents were suitable for study and how they could be accessed, when and where the data could be collected, and above all how the data could be validated. During the course of the research, notes on the circumstances and content of the meetings were made. In other words, it can be said that this study had many insider researcher advantages (Louisy, in Crossley, and Vulliamy, 1997). 15 The Fieldwork Report and Emergent Themes The ordering and categorising of the data collected was carried out both in the field and following my return to the UK. One important point here was the decision about the timing and form of analysis applied to the collected data. If this work was left totally until after the fieldwork had been done, it might be found that some vital questions for the analysis had not been asked. As recommended elsewhere (Burgess, 1988; Merriam, 1988; Johnson, 1994) in order to avoid the danger of making disproportionate use of the more striking or memorable research material and neglecting to balance this with other apparently humdrum data, all research materials, however collected, were recorded. Firstly, they were classified into the two broad categories relating to policy making or policy implementation derived from Hodgkinson. Then each of these data sets were allocated sub-categories based on more detailed questions and themes emerging from the fieldwork. For example, a most prominent theme to emerge from the data relates to the conflict between the unique socio-political context of Iran and the complex organisational culture necessary for a rapidly growing mega-university. Anticipated Problems Prior to undertaking the fieldwork a number of basic problems were anticipated. These included possible difficulties in securing the agreement of informants' co- operation, the dangers of over-familiarity with the case under study, the impact of the previous relationship of the researcher upon the informants and, potential problems relating to the presentation and interpretation of critical data in an Islamic context. The ways in which each of these problems were dealt with are also discussed in detail in Chapter Four. 16 Significance of the Study A study of the only distance education university in Iran (PNU) designed to reveal the perceptions, perspectives and problems of policy makers and planners has much to offer the international distance education community eager to learn about the experiences of rare mega-universities. Daniel, (1995) has recently popularised the concept of the mega-university and while his publication draws attention to the achievements and problems of such universities, PNU is not represented in his review. Moreover, this case study helps to 'test' Peters' (1994) industrial theory in action, in one mega-university in an Islamic country. In this respect it is argued that the study makes an original and challenging contribution distance education theory and to Iranian studies. In documenting the development of PNU, and its planning and management processes, the research makes a further contribution to the existing literature about the management of distance education in Iran from which policy makers and planners both within the country, and in the wider international community, can draw to inform improved policy making and policy implementation. Structure of the Study Distance education as a subject of specialist study has only appeared in the recent decades on the international agenda. In Chapter Two the study begins with a brief history of distance education and a critical review of the international literature on concepts, definitions and theories. This is followed in Chapter Three by a review of the literature on models of planning and management in distance education. 17 Arguments for adopting a largely qualitative, case study approach, and the research strategies and teclmiques associated with it, are presented in Chapter Four. The need for a clear understanding of the economic and socio-cultural background of the setting under study provides the rationale for Chapter Five, which examines the context within which distance education in Iran has developed. The detailed description and history of PNU is presented here in a framework derived from the characteristics of Peters' (1994) industrial model. The more analytical part of the case study is then presented in Chapter Six with reference to Peters' industrial theory and to Hodgkinson's analytical model. In Chapters Five and Six, the first three broad questions of the research are therefore addressed. The final chapter deals with the last two research questions and considers the practical and theoretical lessons which can be learned from the study for the future of distance education in Iran, for the international literature on distance education and for our understanding of mega-universities and management in this specialist field. 18 CHAPTER TWO Distance Education Concepts and Theories Introduction Distance education has expanded dramatically around the world during the last two decades. This is in response to a variety of demands for education in general, and for higher education in particular, which exerts pressures on political systems. Even though conventional education systems have expanded enormously, these are often unable to meet social demand. Since resources are limited in many countries, a massive expansion of those systems is not possible. In addition conventional systems suffer from certain rigidities which prevent some sections of society from gaining access. This raises the question of inequality of educational opportunities. In many developing countries it has been found that expansion has led to the dilution of educational standards, resulting in problems of low quality. Thus the twin concerns of the policy makers in these countries are: providing wider opportunities and maintaining the quality of education. It is in this context that distance education is seen to be an effective alternative, that is, potentially, within the reach of anyone who wants to have access to it (Perraton, 1982). This chapter, briefly reviews the history of distance education and considers its development relating specifically to Peters' (1967, 1994) work on Industrial Theory. 19 Key concepts are discussed and distance education is defined with reference to its main characteristics. Consideration is also given to how theories of distance education are reflected in administration and management processes, and in the various administrative models adopted. Historical Perspectives on Distance Education Distance education is a fairly new term that has only gradually become accepted. A kind of formal recognition occurred in 1982 when the International Council for Correspondence Education (ICCE) changed its name into the International Council for Distance Education (ICDE). This change of name illustrates the fact that the basic origin of distance education is in the field of correspondence education, known and practised since at least the latter part of the Nineteenth Century (Holmberg, 1986). In the Nineteenth Century correspondence education was developed primarily for commercial or altruistic reasons to provide alternative access to formal education and training. It was made possible by the development of cheap and reliable postal services, improved printing, and the general advances in learning reflected in book publishing, the foundation of libraries, the development of charity schools, debating societies, scientific clubs, working men's colleges and institutes, all of which made the emergence of home study practicable and desirable. The first correspondence programme was started in the United Kingdom in 1840 by Isaac Pitman to teach shorthand (Rumble, 1986). As the 19th century drew towards its close a number of universities began to establish departments to teach students by correspondence, and by the end of the century correspondence education was widely practised, and accepted to a greater or lesser extent as a valid means of studying. This acceptance paved the way for developments in the twentieth century. 20 In the years that followed further correspondence schools and colleges were established by private individuals who were motivated by a mixture of altruism and commercial acumen. The fact that some of those who set them up were motivated more by a desire to make money than a desire to teach led, from the early twentieth century, to the establishment of bodies designed to accredit and regularise the activities of correspondence schools and colleges. Among these were the US National University Extension Association (established in 1915), the US National Home Study Council (1926) and the Association of British Correspondence College (1955). Distance Education and National Education Systems The Twentieth Century has seen further growth in the commercial correspondence sector as well as in the adoption of correspondence and distance teaching systems by professional associations (e. g. The American Association of Medical Record Librarians, etc.) and latterly, for in service training purposes within large companies (e. g. British Telecom), and in-service teacher training within both developed and developing countries. It has also been marked by diversification away from reliance upon the traditional media used in correspondence courses (notably printed lessons and question papers, and written assignments from students which are marked by tutors) to incorporate other media, including broadcasting, audio-visual materials and computers. Since the 1970s distance education has thus emerged as a valued component of many national education systems in both developed and developing countries. The creation of a large number of distance education universities throughout the world is a clear example of the extent to which distance education has been successfully integrated 21 into national systems. This success ensured that, sooner or later, distance education would be adopted as an instrument of state education policy. Australia was the first country to do this on a large scale to meet the needs of a dispersed population of school-aged children. It was followed by the massive expansion of correspondence education in the former Soviet Union, and the People's Republic of China. It is not the aim of this study to provide a detailed history of the development of distance education world-wide. What is interesting here are the underlying factors that have led to the adoption of distance education as an instrument of national education policy: the pursuit of egalitarianism, modernisation theories, rural development and community education strategies, continuing education and the need for increased training in many professional contexts. In the early part of this century distance education most interested those governments which were faced by the problem of educating a population scattered over vast distance, and it continues to be recognised as a means of overcoming the problem of providing educational opportunities to those who are socially, economically and geographically disadvantaged. For example, one of the most important objectives of PNU in Iran, is the provision of higher education for those who are in remote and deprived areas of the country; while those of the Costa Rican Universidad Estatal a Distancia suggest that the university will provide a solution to the problems facing the agricultural and working population who have the ability to enter a university but who, for economic, social or geographical reasons could not enrol in the existing universities (Rumble, 1986:49). Distance education can also serve the needs of housewives, particularly in Islamic countries, and those who are kept at home, for instance sick or handicapped persons, and long term prisoners. 22 At the higher education level in Iran, for example, PNU was established in part to help meet a vast demand for university education which could not otherwise be met. The Allamah Iqbal Open University in Pakistan, similarly, has as one of its objectives the provision of facilities to the masses for their educational uplift (Asian Association of Open Universities AAOU, 1989). In reviewing international experience, Holmberg (1986) argues that the reasons for founding distance education universities and incorporating them into national education policy are mainly: . the need felt in many countries to increase the availability of university education generally; • realisation that adult people with jobs, family and social commitments constituted a large group of prospective part-time university students; • a wish to serve both individuals and society by offering study opportunities to adults, among them disadvantaged groups; • the need to provide in many professions with further training at an advanced level; • a wish to support educational innovation; • a belief in the feasibility of an economical use of educational resources by mediated teaching. The latter probably was - and still is - the main reason for the establishment of much distance education, in addition to the need to respond to the daily increasing demand for university education in developing countries. Furthermore, distance education's potential makes it attractive for educational planners and policy makers, although the effectiveness of distance education in the cognitive domain is seldom challenged. 23 Since distance education has often been regarded as a product of the industrialisation era, and as an industrial form of education, there is a tendency among distance education practitioners to identify a historical relationship between industrial evolution and the development of distance education systems. These views relate in part to the different types of distance education systems and provide a useful typology which can be helpful in the comparative analysis of these systems in developed and developing countries. Academic teaching alone seems to have remained largely unscathed by industrialisation -with the exception of distance education (Peters 1994). This form of education has, from the start, had a special relationship with industrial principles and has tended to conform with the industrial production process. Keegan (1990:74) asserts that: All forms of human life have been heavily influenced by the industrial revolution. Only traditional forms of education in schools, colleges and universities have remained outside it - except for the phenomenon of education at a distance. Peters (1967) gives this as the reason why distance education cannot be analysed in the same terms as conventional education. If this is the case then any change in the industrialisation process may change the process of distance education. Hence, to consider the relationship between industrialisation and distance education, the historical development of the economic and educational system must be analysed (Fames, 1993). It is argued that the factors leading to the adoption of particular industrial methods may lead to similar methods being applied to distance education. Broadly speaking, there were two distinct periods in terms of the industrialisation of production process: pre-industrial and industrial. The pre-industrial mode of production is the symbol of the old era. The work process in this era was initially characterised by the individual craft production, the use of 24 simple tools and craftsmen's trade. In this period craft methods of teaching-learning were used by teachers with personal interaction between teacher and the elite body of students. They were the knowledge craftsmen who had noticeable autonomy over• what was taught. The industrial mode of production is the symbol of a new era. In this period individual work, as was traditional in the craftsmen's trades, changed at an early stage to a production based on the division of labour and later to the development of assembly line and mass production. The use of simple tools was increasingly restructured by mechanisation and later, automation (Peters, 1967). The industrial era itself is characterised by three different periods, namely pre-Fordist, Fordist and post-Fordist (Badham and Mathews, 1989), each of which represent different modes of production even though over time they exist in varying proportions. It is argued that comparing the modes of production with the various generations of distance education provides a useful view of their shared characteristics and possible futures (Fames, 1993) First Generation Distance Education (the pre-Fordist mode) The pre-Fordist mode of industrialisation was characterised by the factory system, involving large numbers of workers in unskilled jobs with little responsibility and repetitive processes. The need for some skilled and educated craftsmen, managers and professionals grew but the proportion was still small. The first generation of distance education was born in this period of industrialisation. The advantages of rapid postal services and the network of railways gave rise to the proliferation of correspondence education as the first generation of distance education. This was basically a single media teaching-learning method. The production of study materials in this mode was in Fames' (1993) words, 'something of a cottage industry'. 25 The arrival of radio created another basis for the development of this generation, but it remained mainly reliant on printed materials and, occasionally, local meetings. These courses were not subject to standardised examinations. Second Generation Distance Education (the Fordist mode) Industrial production shifted from mechanisation to automation in the Fordist period. The level of technology and productivity improved. This improvement led to mass production and mass consumption which in turn brought about standardisation of products. Collinicos (1989:134) describes Fordism as: .the large-scale use of dedicated machinery suitable only for a particular model; the Taylorist 'scientific management' of labour, and flowline assembly of product. The division of labour and breaking the work process down into a number of simple operations made the production of complex products possible. Many of these complex products helped deal with basic chores and opened up new opportunities for leisure and learning. Similarly, as the demand for education increased, the number of schools rose and the teaching-learning process was divided up between a range of teachers specialising in different subjects and levels. Regarding the development of mass higher education Sewart (1990) explains that students are processed by different specialists as if they are raw material on a production line. He states: We have seen then, in mass higher education, an assembly line approach in which the product representing studentship is assembled by a number of specialists, many in narrow academic disciplines but some also in 'supports areas' which are at least as critical to the attainment of the final objective of successful completion of undergraduate studies. Mass higher education has acquired the characteristics and management approaches of large scale industry (Sewart, 1990:6). 26 The second generation of distance education uses a combination of multi-media, correspondence and face-to-face approaches. While such systems exemplify the Fordist mode of industriali3ation, some aspects of their functions come closer to the pre-Fordist model of production. Second generation distance education, as explained by Nipper is: multi-media distance teaching, and has been developed since the late 1960s, integrating the use of print with broadcast media, cassettes and - to some degree - computers. Feedback processes are very similar to those of 'first generation' systems but include telephone counselling and some face-to-face tutorials. The main objectives of the first and second generation systems have been the production and distribution of teaching-learning material to learners (Nipper, 1989:63). This second generation distance education is described by Peters (1967) as an industrial mode of education. Third Generation Distance Education (the post-Fordist mode) Flexibility, greater variety of products and services, greater choice for consumers, advanced and diversified technology, and automation characterise the post-Fordist mode of industrialisation. post-Fordism is consumption-led. Computer-based distribution systems allow retailers to avoid overstocking that was one of the main problems of Fordism; it also makes possible the targeting of products on specific groups of consumers... New technology - such as flexible manufacturing systems- no longer needs to be dedicated to a particular model and can be adapted to a variety of different purposes... The new methods no longer require the mass of semi-skilled machine minders of Fordism, but a smaller multi-skilled core workforce (Callinicos, 1989:134). Flexibility, the main feature of the post-Fordist mode, also characterises third generation distance education. It is possible that a post-Fordist system of mass higher education will emerge where students can study in mixed mode by taking some courses taught face-to-face, perhaps supported by open learning materials or franchised to a college, as well as through distance taught courses from the same or 27 different institutions. Students might study in different modes, that is to say they could transfer their courses from distance mode to conventional and switch from part time to a period of full-time study and vice versa. For example, there is a flexible rule in Iran to give an opportunity to the students of conventional universities to take some courses from PNU at a distance and for PNU's students to take some courses taught face-to-face at conventional universities. Third generation distance education, as Rumble (1989) describes it, moves away from the capital intensive (and costly) development of mass-produced instructional materials, towards replacement by bought-in materials acquired at much lower cost. He further explains that: The savings generated could be used to teach and counsel students through CMC [computer mediated communication] systems ... [with the adoption of CMC] there should be more scope for personal involvement on the part of students in the development of personally meaningful projects ... greater autonomy in the choice of routes toward the achievement of learning objectives, and more discussion and real interactive dialogue in the process. ... The role of academics would change again, becoming closer to the traditional role of academics in conventional universities, but with a subtle and important difference: they would be conference moderators and personal advisors, not lecturers and seminar leaders (Rumble, 1989:248 cited in Fames, 1992). According to Rumble (1989: 248) 'we are on the threshold of the third generation distance education systems combining access to mass-produced information with real interactive communication'. We may be able to develop post-Fordist third generation distance education which emphasises 'a more decentralised, democratic, participatory, open and flexible' (Campion, 1990:59) system with a high level of teacher and student responsibility. Fames (1992:15) notes that: In [western] society generally post-Fordist modes of production and consumption are becoming more widespread but many people are excluded or participate only on the periphery. Similarly in education only a small proportion of adults enjoy flexible teaching and learning, while increasingly large numbers receive only limited or no training which restricts their autonomy. 28 Table 2.1 summarises the relationship between modes of production and stages of distance education. Table 2.1 The Modes of Production and the Corresponding Stage of Distance Education Mode of production Stages of distance educational development Pre-industrial Pre-distance education, independent learning form books Industrial, pre-Fordist First generation single media DE Fordist Second generation multi-media DE Post-Fordist Third generation computer-based open and DE, ________________________ networks of opportunity Adapted trorn Fames, 1992 Mega-universities The development of distance education is described above with reference to its history, the technologies it has used and the pedagogical situations it creates. This provides a useful basis for reviewing the nature and status of some of the largest distance education universities that have enrolled over 100,000 students and have recently been named mega-universities (Daniel, 1995). Mega-universities are, to a large extent, the product of technological development, the use of technology in the teaching-learning process and the industrialisation of education. The policies of widening access to higher education, the availability of public TV and radio, the use of telecommunication technology and the enrichment of correspondence education by the integration of other media have allowed distance education universities to expand their organisations and enrol a maximal number of students in their various programmes of study in various disciplines (Daniel, 1995). The size of the student body in these kinds of universities became, therefore, the most important criterion for distinguishing mega-universities from other distance education universities. 29 Daniel (1995:15) defines a mega-university as 'a distance-teaching-institution that has over 100,000 active students each year in tertiary education courses.' This definition includes three basic criteria: distance teaching, higher education and size. These criteria which are restrictive rather than distinctive can be helpful in the grouping of some distance education universities together that individually and collectively have achieved a double breakthrough. By simultaneously increasing the number of students dramatically, and lowering costs sharply, they have created a rare discontinuity in the evolution of higher education. Daniel (1995:15) argues that: The change they have introduced is of kind rather than degree. Crucially this development could help to satisfy some of the burgeoning demand for tertiary education in the next century at a cost that individuals and governments can afford. PNU in Iran met these criteria in the academic year of 1994-95. Definitions of Distance Education As already noted after the creation of the name of the ICDE, there were still doubts about using the term distance education instead of correspondence education. Distance education was therefore used by many as synonymous with modern correspondence education. The reason why the term distance education has come into more general contemporary use is that the word correspondence is felt to be associated exclusively with written materials, whereas audio-visual means and often radio, TV, computer, telephone communication and other media nowadays supplement the written materials in what is accepted as distance education. The interpretation of the Association of British Correspondence Colleges (Keegan, 1980), thus reserves the term correspondence education for study which relies eitirely on printed courses and communication in writing. 30 Distance education is thus a term that has gradually become recognised as a broader concept than correspondence education and is seen as learning supported by: 'those teaching methods in which because of the physical separateness of learners and teachers, the interactive, as well as the pre-active phase of teaching, is conducted through print, mechanical, or electronic devices' (Moore, 1975:4). Sometimes, particularly in the USA, "independent study" is used as a synonym. Wedmeyer (1981) claims that independent study, a term now used in the USA as generic for the several kinds of distance education and non-traditional learning systems that include correspondence study, is more precise than distance education. In addition, this term has significance with respect to learning theory, and has historic continuity in the USA. However, the term distance education represents not only the teaching process but also learning, and has potential in that it can be considered a wider, more inclusive term, for example as an educational system rather than only as a method in the teaching and learning process. Problems in defining distance education Since there are various disagreements over the concept of distance education, there are also a number of problems in attempting to define it. It is certainly not restricted to the notion of mere geographical distance from the main campus or regional study centres. Although, initially, distance methods may have arisen in some countries because of students' difficulties in travelling to conventional institutions, it would be acceptable to say now that distance in the physical sense is not a major necessary defining feature of this form of educational provision. Indeed, a high proportion of students enrolled in distance education institutions live in densely populated urban areas close to the physical location of these institutions. It is clear that the use of the 31 term 'distance' in this sense indicates the nature and degree of separation of teachers and learners in the educational process. That is what is proposed by Moore (1983) in the expression 'transactional distance'. However, the use of Moore's expression may give rise to other problems; for example the bringing in of other concepts like self-directed programmes and individual tutorial programmes. Rumble makes a useful observation about this problem by arguing that: .using these dimensions [distance] the most distant programme would be one in which there was neither dialogue nor structure - an example would be a wholly self-directed programme of individual reading. At the other end of the continuum, the least distant programme would be one in which there is a high level of dialogue, with little pre-determined structure, -for example, an individually tailored tutoiial programme. Most of what are commonly called distance education programmes fall somewhere between these two extremes - they have a measure of dialogue, as well as being more or less highly structured (Rumble, 1986:8). A further factor which deserves attention is the great diversity of practices, systems and projects that are commonly covered by the term distance education. Granted, all of them have their defining elements. The many forms of distance education as it is now known have evolved from a wide variety of different sources. In some, where the traditional correspondence colleges have remained strong for a hundred years, they still have their basic models (postal tuition combined with printed or cyclostyled course materials), which have often been adopted relatively unchanged by many publicly financed institutions. In others where, notably in Latin America, radio broadcasting organisations were among the pioneers of distance education, this is reflected in the structure of many current systems where there is less emphasis on print and individual correspondence teaching and more on locally organised listening groups. 32 Thus, the problem in trying to give a comprehensive definition of distance education lies in identifying the common features of different institutions that range from correspondence based institutions to universities using communication technology to reach distance students. Similarities and differences Some specialists believe that consideration of the similarities and/or differences in various kinds of distance education systems, and differences between distance education and conventional education, can help us to identify the main elements or characteristics of distance education and so reach an acceptable definition. Others prefer to consider its nature as a teaching-learning process. Consideration of differences is useful in getting at what distance education is not. This means that making distinctions between what is called distance education and what is not, is necessary for definition. For instance, Peters (1973) uses this method in an attempt to define the relationship between teacher and taught in distance education. He characterises this relationship as being controlled by technological rules (and not social norms as in face-to-face teaching), maintained by emotion-free language (and not interactional speech), based on a limited possibility of analysing students' needs and giving them direction (not on expectations built on personal contact), and achieving its goal by efficiency (and not through personal interaction). On the other hand, there are many forms of what may be considered the opposite of conventional or face-to-face education that are not distance education, such as: education by letter, printed education, teaching kits, audio-visual aids, radio and television, programmed learning, private study and computer-based study. 33 All of these are recognised as indirect informal education and each of them (as will be shown later) lacks one or more of the main characteristics of distance education. On the other hand there arc certain forms of education which have some similarities to distance education that are not identical with it, such as: independent study, open learning, off-campus studies, extension programmes, university without walls, experimental and the external degree. These distinctions and similarities merit attention because of their importance in the definition of what is excluded and what is included. What distance education is Although there are many different ways to answer this question, it is preferred to do this by description of the nature of distance education. Is distance education a different method of teaching or learning or both? Is it an educational system that encompasses all of the process of education? There is no general agreement. Some specialists identify it as an innovatory method of teaching from the teacher's point of view; and of learning or studying from the student's point of view. For example: Distance education may he defined as the family of instructional methods in which the teaching behaviours are executed apart from the learning behaviours, including those that in a contiguous situation would be performed in the learners' presence, so that communication between the teacher and the learner must be facilitated by print, electronic, mechanical or other devices (Moore, 1973); Distance education is the various form of study at all levels which either does not imply the physical presence of the teacher appointed to dispense it in that place where it is received or in which the teacher is present only in occasion or for selected tasks(Keegan 1980); The term distance education covers the various forms of study which are not under the continuous, immediate supervision of tutors present with their students in lecture rooms on the same premises, but which, nevertheless, benefit from the planning, guidance and tuition of a tutorial organisation (Holmberg 1981); 34 Distance education is learning while at a distance from ones' teacher - usually with the help of pre-recorded packaged learning materials. The learners are separated from their teachers in time and space but are still being guided by them (Rowntree 1992). It can be seen that each one of these definitions describes the nature of distance education from a methodological point of view (it is a teaching or learning method...), laying emphasis on: • learners being at a distance from the teacher for most or all of the time during the teaching-learning process; • planning, guidance and teaching being important components of a distance education programme; • being based on non-contiguous communication without excluding the possibility of face-to-face education. There are some other definitions that deal with distance education as an innovatory teaching-learning system which involves all elements of an educational system, regardless of the method of teaching or learning. For example Peters(1967) attempts to give a definition which is apt in pointing to the specific characteristics of the new form of teaching-learning process, thus structurally separating them from conventional forms of teaching-learning. This definition is as follows: Distance study is a rationalised method - involving the division of labour- of providing knowledge which, as a result of applying the principles of industrial organisation as well as the extensive use of technology, thus facilitating the reproduction of objective teaching activity in any numbers, allows a large number of students to participate in university study simultaneously, regardless of their place of residence and occupation (Peters, 1967:125). This definition shows that within the complex overall distance education activity, one area has been exposed to investigation which had regularly been omitted from traditional didactic analyses. Contrary to other definitions, new concepts are used here to describe new facts. it is suggested that distance education is an industrialised form of education and has its own laws of didactical structure, great teaching 35 potential that presents new opportunities to both teachers and students which have not been fully studied. Anyone professionally involved in education, Peters maintains, must presume the existence of two forms of education which are strictly separable: conventional education based on personal communication and distance education based on industrialised and technological communication. Although there have always been those who have objected to such a presentation (such as Australian practitioners who deny any differences between two kinds of education systems because of their extension mode of distance education in many traditional universities and colleges), we can still reasonably consider it as an alternative system to conventional education. If one believes that the designing, planning and managing of the process of learning and their efficient administration are the most important tasks of an educational system, and the definite products of this system are the pre-identified knowledge, skills, attitudes and insight of learners, one will be more likely to favour the type of approach to explanation outlined below: unlike conventional education which is teacher-centred, distance education is student-centred which relies on the students as the most important element in the teaching-learning process. It means that the students' aptitudes, capacities, previous knowledge and needs are addressed as far as possible. In distance education, teaching methods are scrutinised and students' behaviours are identified in advance. The process of delivery of learning materials is of great significance, different in that in the conventional system it is the teacher who forms the students' behaviours through regular attendance in classroom. In contrast in distance education students do not usually attend classes and their behaviours mainly depends on the administrative methods and activities of distance education institutions (Ebrahimzadeh 1 992a). Whereas in conventional education the teacher teaches, in distance education the institution teaches (Daniel, 1993:106). Taking this into consideration, distance education learning materials are designed in such a way, as Rowntree (1992) noted, as to: • enable more people to learn by economising on the amount of teacher time required; use a variety of media appealing to different learners; • enable learners to study how, when and where they choose; 36 • enable them to work at their own pace; • set learning activities in the learner's home, community or work place; and • give learner's responsibility for their own progress. Viewing the teaching-learning process in the distance education system instead of centring only on the teacher's activities, it is organised in a systematic way which is done by means of other institutional intermediaries. This makes it different from other traditional approaches. This difference includes not only the process of learning and/or behaviour of the students, but also the staff who should help students through their learning to be independent and self-reliant. This shift from shaping the student's behaviour to organising and structuring the learning process changes distance education from a method of teaching to an industrialised system of education (Ebrahimzadeh 1 992a). The essential challenge of this system is to set up institutional processes to carry out on a larger scale the function of instructional planning, delivery and assessment that the classroom teacher is able to perform on a small scale in such a flexible manner (Daniel 1993). However, the industrialised characteristic of distance education relies on its potential to mass produce and distribute learning materials, as well as the logistical aspects of administering and co-ordinating the activities of a dispersed population of students and tutors. The characteristics of distance education Since 1970, the popularisation of distance education has been accompanied by attempts to map out its main characteristics distinguishing a clear border line between distance education and conventional education. Perhaps one of the first of these developed by Delling (1975) identified eight dimensions of distance education (society, the student, the distance, the information carrier, the study aim, the study matter, the learning result and the supporting organisation) by means of which, it should be possible to describe the whole distance education process. Although he 37 was able to distinguish some characteristics of distance education, there were still some great problems that remained unsolved. Holmberg's (1977) studies on distance education in Germany constituted another attempt to pin-point the tasks of this new field of education. He explained through his guided didactic conversation theory what occurs in distance education. The most important contributions to discussion of the character and essence of distance education were made during the 1980s. Here is not the place to explain all of them, but the debate's main characteristics can be established by consideration of definitions which have been previously discussed. An analysis of all the definitions proposed by Peters (1967), Moore (1973), Holmberg (1977), Keegan (1980), and Rowntree (1992) shows that some basic characteristics can be identified which are essential for any comprehensive definition. Holmberg (1981) identifies eight characteristics for distance education: 1. The main general characteristic of distance education is that it is based on non-contiguous communication. 2. The learners are at a distance from the teachers. 3. Pre-produced courses, which are usually in printed form supported by other media. 4. Organised two-way communication takes place between the student and a supporting organisation. 5. Distance education caters for individual study... in whatever society, for whatever purpose, by whatever means, under whatever ideology, the essential object in educating process is learning by individual learners.., the methodology or strategies employed are only incidental to these ends. 6. Distance education can be and often is a form of mass communication. 7. Distance education is an industrial type of teaching and learning. 8. Organised distance education is a mediated form of guided didactic conversation. Four of the eight characteristics noted by Holmberg (1-4) are entirely descriptive in character, two also concern application (5-6) and the final two (7-8) include 38 interpretations aimed at elucidating the essence of distance education. Keegan (1986), similarly, identifies seven characteristics which he regards as being essential for any distance education 3ystem. These are: 1. The separation of teacher and student. 2. The influence of educational organisation. 3. The use of technical media. 4. The provision of two-way communication. 5. The absence of group learning, with students taught largely as individuals (while retaining the possibility of occasional seminars). 6. Participation in most industrialised form of education. 7. The privatisation of learning (in that learning occurs away from the group). Keegan's point of view has provoked discussion in Australia. There Bàâth questions whether two of the alleged characteristics of distance education listed by Keegan are in fact typical. This objection concerns the inclusion of occasional face-to-face meetings and the participation in an industrialised form of education among the main elements of distance education. He points out that high quality distance education can be provided entirely at a distance in courses where there is no possibility of additional face-to-face meetings. He further argues that although most distance education can be characterised as industrialised education, there certainly are forms of distance education that cannot be described in this way. This objection seems to be understandable from the viewpoint of an Australian specialist, because the vast majority of Australian distance education systems are an extension of conventional universities with a small-scale form. This is not the place to debate whether distance education should be integrated within or separated from conventional face-to-face programmes (Perry 1976, Daniel and Smith 1979). It is worth noting that Iranian experience has shown that the integration of distance education with conventional education creates a strong tendency for it to be 39 assimilated into and affected by the conventional system. But the industrialisation characteristic of distance education is not dispensable. There is some scepticism about the absence of group learning and the privatisation of learning as a main characteristic of distance education because learning is an individual process and it will occur whenever and wherever, whether away from the group or within the group. Hence these two characteristics cannot be essential for any distance education. However, the other five of Keegan's characteristics are essential. As a result of the above discussion it can be concluded that: distance education is an industrialised system of education which is organised to structure the process of learning by an institution rather than teacher; it involves selection and implementation of appropriate strategies for the utilisation of technical media in order to provide two-way communication which is aimed at facilitating the student's independence and aiding assessment of their learning results. A brief consideration of this definition shows that the managing or supervising of the learning process and the preparing of facilities based on the needs and capacities of learners by an institution are more important than teaching method. Nevertheless, the selection and carrying out of appropriate strategies not only involves various teaching methods and using various media which may include print, audio-video, TV, radio and computer, but also extends to distance learning materials, which may be supplemented by direct teaching provided through tutorials, telephone contact or residential sessions. Finally, in this definition the object of evaluation and assessment (final stage of education or teaching-learning process) is not neglected since the student's assimilation of the concepts, skills, knowledge and attitudes which are presented in the distance learning materials is evaluated by their producers or 40 tutors employing several modes of evaluation to verify the learner's competence and also by students themselves. Furthermore, this useful definition incorporates the main characteristics of distance education reviewed previously. Contradiction of Terms There are at least five terms that may be confused with the concept of distance education. There follows an attempt to describe these terms and to show their differences from distance education. Correspondence education: as discussed beforehand, this term is not a suitable synonym for all kinds of distance education. Keegan (1980) states that communications theory experts tell us that words get tired and if they do then 'correspondence study' [or education] is a tired word. It is a correct designation of that subgroup of the print-based area of distance education in which student contact is not encouraged. It should continue to be used only for such programmes. Independent study: is the term used in the USA particularly in higher education. Wedmeyer (1977) as a proponent of this term writes that: independent study consists of various forms of teaching-learning arrangements in which teachers and learners carry out their essential tasks and responsibilities apart from one another, communicating in a variety of ways for the purpose of freeing internal learners from inappropriate class p acing or patterns or providing external learners opportunity to continue learning in their own environments and developing in all learners the capacity to carry on self- directed learning, the ultimate maturity required of the educated person. In several European countries such systems are grouped under the term of distance education. 41 Offering this definition he feels that the term independent study has the capacity to involve a wide range of activities which usually appear in distance education. Keegan (1980) responding to this argues that there are three reasons for rejection of this term as generic: - the normal understanding of independent study implies a different relationship to an educational institution; - the ideal in distance education is not necessarily independence but as Daniel writes, 'interaction and independence: getting the mixture right'; - in the USA an "independent student" is one who sets up an individual study programme on a contract basis during an interview with a faculty member. The contract may include periods of normal lectures, unguided study or distance programmes. Open learning: is a term used to describe courses flexibly designed to meet individual requirements. It is often applied to provision which tries to remove barriers that prevent attendance at more traditional courses (Lewis and Spencer, 1986). Open learning is a state of mind rather than a method with particular characteristics. It can be arranged to enable people to learn at a time, place and pace which satisfies their circumstances and requirements. The emphasis is on opening up opportunities that both aim to assist learners in gaining access to knowledge and skills they would otherwise be denied and to give learners the optimum degree of control over their learning. As can be seen, open learning empowers the individual to negotiate content, mode, length and time of study. Since the essence of open learning is philosophical rather than administrative (Keegan, 1980), it reflects a different and more flexible attitude towards education than that often associated with conventional teaching and learning. Open learning may be offered in conventional face-to-face institutions or through distance education. To call an educational provision "open" is to contrast it to one that is closed. Education can, however, be open or closed in many quite 42 different ways. Some are open only in a special sense, while others provide freedoms in more significant dimensions - in admission, selection of courses, individual adaptation of the curriculum and time, goal selection and evaluation (Wedmeyer, 1977). The term is confusing unless the context indicates the dimension of openness that is to be understood. Openness is the main feature of open learning as an innovative method that distinguishes it from other learning and teaching methods. It seems that the use of open learning as a synonym for distance education has arisen since the Open University was established in the UK. Although some ambiguity in institution's names is inevitable, it is not appropriate to use open learning as a general synonym for distance education. Distance teach lug and distance learning: these terms have been more commonly used by the Open University in the UK. Teaching at a distance or learning by distance is only half the process of distance education, nor is distance teaching or distance learning a synonym for distance education alone. At the conceptual level there is a clear distinction between distance education and these two terms. But we are witness to the fact that both concepts are used as if they were interchangeable with distance education. This misuse of two concepts is based on neglect of their main meaning. Distance learning or teaching must be considered in contrast with direct learning or direct teaching. That is, in direct teaching we have to provide face- to-face tuition leading towards assignment and assessment, whereas, in distance teaching or learning the presence of learners in a special place is not necessary. In these processes the main role of instruction relies on distance learning materials. It is 43 also possible to apply various media and even direct teaching can be provided through tutorials to supplement them. For this reason we can say distance learning or teaching constitutes a method for transferring concepts, skills and knowledge by distance through the distance education system and that their influence relies on the quality of learning materials more than educational administration. It can be justly claimed that both distance teaching and learning are important means involved in the actualisation of distance education. A suitable term for both together is distance education (Keegan, 1988). Finally, it is useful to mention that distance education is sometimes described as the opposite of face-to-face education. There are many forms of what may be considered in contrast with face-to-face education that are not distance education (Keegan, 1986) according to our definition of distance education, as can be seen in figure 2.1. Figure 2.1 Relationship of Distance Education to Other Forms of Education Education Direct traditional Indirect education face-to-face education Independent study Distance Private study Education Education by letter Printed education Teaching kits Audio-visual aids Radio and TV. Programmed learning Computer aided learning Adopted from Keegan (1986) Theories of Distance Education: An Overview While there is no final agreement on the definition of distance education, it is evident from the literature that distance education has, in some respects, managed quite well without any one clear theory to call its own. Practitioners, for example, often claim 44 that they are interested only in practice. This arises partly from suspicion of theoreticians that try to over simplify education and of those who try to restrict it to theory which is neutral with regard to ends but exhaustive with regard to means. But as the field matures questions about the theory of distance education do not go away. As Perraton (1981 and 1983) points out, the lack of an accepted theory has weakened distance education because there is a lack of identity, a sense of belonging to the periphery and the lack of a touchstone against which decisions on methods, on media, on financing, on student support, and when they have to be made, can be made with confidence. The words of the American theorist, Wedemeyer (1974:3), published two decades ago, also highlight this when he argues that: • it is unfortunately true that the failure of distance education to develop a theory related to the mainstream of educational thought and practice has seriously handicapped the development and recognition of this field. Moreover, as Evans and Nation point out (1992:46): The distance education community was [ and still is] able to respond relatively uncritically to new models for practice, but it is not very keen to engage with critical debate, theory or, to a lesser degree, to do research. Theories are most helpful when they provide fresh insight on events and problems. They can identify new ways of understanding practice and lead to a significant reduction in the theory/practice divide. They cannot then be dismissed as unnecessary and irrelevant to the needs of practitioners. As Landers and Myers (1977) stress, there is nothing more practical than a good theory. Of the serious attempts that have been made to theorise in this sub-field most of the useful work has arisen from the practical experience of distance education. For this reason the work of the few major theorists in the field, for all its strengths, remains impoverished by too close an identification with practice. It is, nevertheless, to a 45 review of this material that we now turn. What can be expected of a theory of distance education has been well expressed by Keegan (1990: 5): A theory is something that eventually can be reduced to a phrase, a sentence or a paragraph and which, while subsuming all the practical research, gives the foundation on which the structure of need, purpose and administration can be erected. A firmly based theory of distance education will be one which can provide the touchstone against which decisions - political, financial, educational, social- can be taken with confidence. Such a theoretical basis would replace the adhoc way of responding to 'crisis' situations which normally characterise this field of education. Holmberg, quoting Popper's concept of theory, also writes: 'the task of scholarship is on the one hand theoretical, to bring about understanding and explanation, and on the other hand practical, to provide for application or technology' (Holmberg, 1991:149). According to I-Ioltnberg (1989:167-168), educational theories should: • have internal consistency as a logical system; • establish functional relationships between the teaching and the outcomes of learning; • be capable of generating specific hypothesis and predictions; • be expressed in such a away that research data capable of possibly refuting (falsifying) the theory can be collected. Using this concept and fiamework, the existing theories of distance education are grouped under three headings by Keegan: 1. theory of autonomy and independence. 2. theory of interaction and communication 3. theory of industrialisation. Each of these theories is critically reviewed below. Theory of Autonomy and Independence In two useful articles Delling (1975 and 1976), taking up an extreme position, describes distance study as an artificial, dialogue learning opportunity in which the physical distance between the learner and the helping organisation is bridged by an artificial signal carrier. Delling tends to reduce the role of the teacher and of the 46 educational organisation to a minimum by emphasising the autonomy and independence of the learner. Wedemeyer's (1974) work also falls into this category but owes much to the philosophy of Carl Rogers (1969), which in turn is based upon the individualism of American society. Wedemeyer's writing on distance education (for which he tries to popularise the term 'independent study') has two theoretical bases: a democratic social idea and a liberal educational philosophy. Wedemeyer argues that nobody should be denied the opportunity to learn because he or she is poor, geographically isolated, socially disadvantaged, in poor health, institutionalised or otherwise unable to place him or herself within an institution's special environment for learning. He also considers that 'independent study' should be self-pacing, individualised and goal-free: the student should be free to pace his/her learning according to their circumstances and not be bound by any mechanisms of the institution; the student should be free to follow any of several ways for learning; the learner should have freedom in the selection of goals, the activities that will lead to these goals and to the evaluation of achievements. Moore's (1984) work with Wedemeyer at the University of Wisconsin has led to further conceptualisation about a family of instructional methods in which teaching behaviour is executed apart from the learning. The separation of learner and teacher led Moore to the analysis of on-campus independent study and his concept of learner autonomy. From this basis he has developed a theory of independent study based on the variables 'apartness' and 'learning autonomy'. Moore (1993) believes that to define independent study only in terms of distance is a mistake. He argues that the autonomy of the learner is an equally important variable 47 in correspondence study and other forms of distance education and he proposes a classification of educational programmes by the use of the two variables of 'distance' and 'autonomy'. In this he recognises that learners vary in the extent to which they are able to exercise autonomy. There are, he argues, programmes with much autonomy and dialogue, and programmes with less. A programme with high learner autonomy, Moore holds, may be as damaging as one with low autonomy. The problem is to match programmes to learners so that each learner has an opportunity to develop their own individual learning for personal growth. It is true that distance education in the final analysis, is education. The assumption is that education is based upon two-way communication. Quality of education is reflected in the nature and frequency of communication between teacher and student. This theory attempts to minimise the role of the teacher and educational organisation by emphasising the students' autonomy and independence. The process of education (conventional or distance) most simply characterised as an interaction or transaction between student and teacher for the purpose of identifying, understanding and confirming worthwhile knowledge. Social values and beliefs are critically analysed and integrated into individual perspectives such that a new consciousness will emerge. The idal for a distance education system is to adopt a structure and to design learning material that would maximised a student's independence, but it does not mean that would minimise the interaction between teacher and learner. It is argued here that the excessive emphasis on independence by autonomy and independence theory comes from over-emphasising the physical separation of the teacher and learner as a main characteristic of distance education. It seems that it is 48 only the morphological characteristic of this system. Shale and Garrison (1990:25) argue that: [This] perpetuates an undue emphasis for the form that distance education takes and neglects the critical issue that distance education should be about 'education" with the morphological constraints arising from distance being simply a physical and therefore methodological constraint. Although conceptual ambiguities will be reduced considerably by regarding distance education as education at a distance, the challenge still remains to clarify what is meant by autonomy and independence. Presumably what Wedemeyer means by independent study is that it should be 'self-pacing, individualised and goal-free and not to be bounded by any mechanisms of institution...' (see page 47). If it can be so, then it cannot be distance education (see figure 2.1). As Moore states, defining independent study only in terms of distance is a mistake (see page 47). There are many other elements which are structurally more important than 'distance' for a distance education system. Moreover many years of study may be necessary before a learner is competent enough to set objectives and study methods or to take part in evaluation (Verduin and Clark 1991:125). The quality of an educational system is more concerned with 'encouraging students critically to analyse differing perspectives, thereby constructing personal meaning and validating that understanding by acting upon it through communicative acts' (Garrison, 1993:15). The quality of communication on the other hand, is dependent upon using more exclusive control for the complexity of an educational transaction. Figure 2.2 below makes clear this kind of control which is neglected by autonomy and independence theories. 49 Figure 2.2 Control and Educational Transaction Content nto' Communication / ,.;; TeacherControl ' Independence ,' Communication Content Garrison arid Baynton (1987) (in Garrison, 1993:15) Control, defined as the opportunity to influence educational decisions, goes beyond the rather simplistic view of independence as a freedom to study, to the selection of objectives and the choosing of content by the students without consideration for interaction. Here control is achieved in a complex and dynamic interaction between teacher, student and curricula at the micro level and shared in an inherently collaborative process. Garrison (1993) proposes that control is based on the interrelationship between independence (as in the self directed learner), proficiency (as in the ability to learn independently) and support (characterised by the resources available to guide and facilitate the educational transaction). This, in turn, is interpreted within the larger relationship between teacher, student and content. Theory of Interaction and Communication Holmberg (1983 ) has proposed the guided-didactic conversation as the concept that best characterises distance education. This, he suggests, identifies procedures which are intended to be effective in facilitating learning. These procedures would include 50 course writing in a conversational style in which a careful structuring of content and language distinguishes distance study materials from the normal style of textbooks. According to Holmberg's theory of distance education, study in a distance system is self-study, but it is not private reading, for the student is not alone. Students benefit from having a course provided for them and also from interaction with the tutors and other supporting staff in a distance education institution. The guided didactic conversation can either be real (by correspondence, by telephone and personal contact) or simulated (conversational style of authors of distance learning materials, students' internalised conversation by study of a text). Bth's (1980) name has also been associated with notions of two-way communication in distance education. Throughout the 1 970s he undertook a series of research projects on the possible forms of two-way communication in education at a distance: on the possibility of providing interaction within materials by means of exercises, questions or self-check tests and on the central role of the tutor in providing communication with the student by mail, telephone, computer or face-to- face meetings. Sewart (1983) has summarised his interaction and communication theory of distance education as a continuity of concern for students' learning at a distance. He challenges the notions that the package of study materials can carry all the functions of the teacher out, suggesting that, even if they could, materials would become infinitely expensive as they would have to reflect the complex interactive process that operates between the teacher and individual students. In this way Sewart considers the situation of student learning at a distance to be quite different from that of conventional students, because of the absence of swift feedback and of the peer 51 group as a constant benchmark. The provision of advice and support for students in a system of learning at a distance poses, for him, almost infinitely variable problems. This creates the need for an advisory and supportive role to be played by distance education institutions, in addition to the more obvious provision of a teaching and learning package. Theory of Industrialisation Otto Peters is the pioneer of this theoretical perspective. He starts out from the position that distance education is distinctive and new. Hence the analysis of distance education in terms of conventional instructional theory has proved unsuccessful and unproductive. One must therefore seek another basis of analysis. His extensive research on distance education institutions of every kind in the 1 960s led Peters to propose the hypothesis that distance education could best be analysed in comparison with the industrial production process. He proposed new categories for the analysis of distance education, borrowing from economic and industrial theory. From his point of view, industrialisation is the symbol of a new era in the development of human life which is fundamentally different from all previous ages. It has influenced all aspects of human life except traditional academic teaching, which seems to have remained unaffected by industrialisation, with the exception of distance education. From the start this form of education has been consistent with the principles of industrialisation. Peters (1973:3 10) states that: Whoever is professionally concerned with education today must acknowledge that there exist two clearly differentiated forms of teaching: traditional face-to- face teaching based on interpersonal communication and industrialised teaching based on technical and pre-fabricated forms of communication. Peters' application of industrial theory to distance education led him to the conclusion that it was the most industrialised form of education and that 52 consequently some elements of industrialisation theory have parallels in distance education. These are: the importance of a planning phase; rationaliation, the division of labour, meclianisation, an assembly line, mass production and centralisation. These elements and their application to distance education are briefly described from Peters' point of view and the theoretical perspective forms a key part of the framework adopted for the analysis of PNU in Iran. Planning The industrial manufacturing process needs considerable, comprehensive and detailed planning. Similarly, in the setting up and development phase of a distance education system, planning plays an important role. Moreover, the development and production of study materials in such a system, the combining of the teaching- learning process with other media, and the objectification of the teaching-learning process need to be planned in a way that clearly predetermined objectives are achieved in the most effective manner. Ration alisation In industry, rationalisation means taking into account all rationally guided measures for achieving desired outputs with a lower input of energy, time and money. Peters (1994:111) declares that: the introduction of lectures to larger groups of students, the use of printed books and the specialisation of university lecturers were considerable steps towards the rationalisation of the academic teaching process. In distance education there are ways of thinking, attitudes and procedures which only established themselves in the wake of an increased rationalisation by the industrialisation of the teaching-learning and production processes. The division of teaching-learning into various specified processes, the use of media in teaching and 53 learning, the use of technical equipment in the production of study materials and new formal mechanisms for quality control can be regarded as results of such rationalisation designed to save teachers' and students' time and energy. The Division of Labour According to Peters, industrial production requires long-term planning, high development costs and a relatively stable product. This complex mode of production also needs standardisation for keeping prices within mass purchasing power. The production of complex products is achieved by breaking the process down into a large number of simple operations each being done by a worker on a production line. Peters (1994:113) argues that: The division of labour is the main prerequisite for the advantages of this new form of teaching [distance education] to become effective. The principle of the division of labour is thus a constituent element of distance teaching. The function of academics in distance education has considerably changed in comparison with the functions of academics in conventional universities. For instance, the two basic functions of the academic, namely the transmitting of knowledge and information and, guidance and counselling, were allocated to two different groups of academics or departments. As in the industrial manufacturing process, in distance education, on the account of the division of labour, more people can be involved in the teaching-learning process. Assembly Line The assembly line is characterised by the travelling of work-pieces whilst the workers remain at their places. The efficiency of an assembly line is largely dependent upon the level of mechanisation or automation. 54 The formal similarity between distance education and the industrial production process again becomes evident to Peters here. In the development of study materials the manuscript is passed from the writer to the other members of a course team, and after specific changes is passed further down the publication production line. Study materials are printed on a large scale, stored and sent to the students. In this way, in both cases, the production process and the teaching-learning process, time, energy and money are, ideally, saved (Peters, 1967). Mass Production The development of industrialisation in the Fordist period and improvements in the application of technology in the production process brought about mass production and mass consumption, with students as the consumers of education. The large demand for higher education, particularly in developing countries, led some planners to create large scale operations, or, in Daniel's (1995) words, mega-universities, to respond to this demand appropriately. It is therefore understandable that: various governments see distance teaching, on account of its similarity with the mass-production process, as a means of providing very large groups of students more adequately with academic teaching than conventional methods would allow (Peters, 1994: 115-116). Apart from profitability, the mass production of study materials and graduates led many distance education institutions to improve the quality of courses and, ultimately, the efficiency of graduates. Moreover, statistics prove that the number of those enrolled in areas near distance education universities is higher than areas located far from them. According to the principle of mass production, this gap between two areas will be filled up by providing equal opportunities for the dwellers of deprived areas 'just as industrial mass production has assimilated consumer patterns' (Peters, 1994) which might not otherwise have been achieved. 55 Centralisation The investment required for mechanised mass production involving the division of labour has therefore led to large industrial concerns with a concentration of capital, and centralised administrations. From an economic point of view, large distance education institutions (i. e. mega-universities) can cater for a very large number of students. It is, therefore, beneficial to create a large central organisation that crosses the traditional division of the responsibility in universities between academic matters and educational administration. At the end of his comparison between distance education and industrial institutions, Peters (1994: 125-126) declares that: It was not a purpose of this comparative interpretation to pass judgements on the industrial structures which have been shown to apply to distance teaching. Presumably, the striking advantages of these structures, from a point of view of educational policy and organization, are also connected with important educational disadvantages ... They can be detected and remedied more easily, when the industrial structures characteristic of distance teaching are recognized and taken into account of when the appropriate educational decisions are taken. In the early 1 980s Peters' explanation of distance education as an industrial form of educational practice stimulated many people in the field to adopt, or to recognise in their own practice, an industrial model of distance education. Peters (1989) contends that distance education, in its present form, is a product of the industrial society. The successfulness of this system is related to its compatibility with the principles and values of the industrial society. He follows the same argument to describe how distance education must now change to address the changes in industrial society as we enter a post-industrial or post-modern era. In industrial societies, there has been much discussion regarding the propounding of 56 changes and whether distance education responds to these changes or not. Amundsen states that: This shift is already apparent in many sectors of the society and is reflected in, among other things, the emergence of new, more individualized technology, more decentralized decision-making, and personal values that focus on quality of life, self-realization, self-expression, and interdependence ... (Arnundsen, 1993 :62). Thus, the problem is not whether distance education responds to these transformations or not. The problem is how distance education should respond and contribute to these changes. Peters (1993) himself, realising the nature of post- industrial society, and the necessity of the accordance of distance education with this society stresses that: In a postindustrial society the traditional industrial model of distance teaching will no longer satisfy the new needs of new types of students with their particular expectations and values which, seemingly, not only differ from those of the students in the industrial society but are in many cases even the exact opposites of them (Peters, 1993:57). He emphasises that this requires increased telecommunication between participants that enables them to have different sets of goals and objectives and rely more on self- directing and self-controlling leading to greater autonomy. Peters thus believes that the shift from industrial to post-industrial distance education will be a Copernican one. Although Peters (1989) denies that the comparison between distance education and the industrial production process forms a theory for distance education, his point of view has long been considered as a theory of distance education by practitioners (Bãáth, 1981, Willen, 1981, and Keegan 1990). 57 This way of viewing instructional industrialism brings about some criticism in the sense that industrial theory is regarded as a hindrance to theoretical and practical progress in distance education. For example Evans and Nation argue that: [Industrial theory] is a limited and limiting approach and its theoreticians just do not seem to be aware of the substance of competing approaches ... Practitioners, researchers, and theorists in open learning and distance education need to be aware of the broad range of theories available to them in educational theory and social theory more generally. We seek to demonstrate the power of social theories which allow theoreticians, researchers and distance educators to understand the full implication of human agency (Evans and Nation, 1989:58). They go on to point out that since industrial theory relies on behaviourism, it ignores the humanist aspect of the educational process, and that there are many things to learn from humanistic approaches and from the social sciences for all those who are interested in taking account of the human agency in theorising about distance education. We, nevertheless, owe much to Peters for the introduction of a useful theoretical presentation. Peters is right to draw attention to the fact that the mass production and distribution of study materials, as well as the logistical features of administering and co-ordinating the activities of scattered populations of students and tutors, involves the application of principles from the industrial sector. The skills of productionloperations management are needed to ensure that materials are developed, produced and delivered on time to learners. Rumble states that: Explanations of these processes tend to be couched in the language of 'classical management' ... which emphasise organisational structures embodying 'rational' working arrangements designed to operate in predictable fashions (Rumble, 1986:14). It is clear that the application of such principles in an educational institution can be problematic. This is because it is not always easy to match the course development activities which are relatively creative, to an inflexibly scheduled production system. 58 Secondly, many educators, used to a high degree of autonomy in their daily work, resent the loss of autonomy that is implicit in such regularised and task differentiated systems. This can be a stressful environment for some. Rumble argues: This raises problems of interpersonal behaviour both within the productive group and between groups that require a more human- relations approach to management if understanding is to be achieved. Also the 'packaging' of knowledge which the quasi-industrial nature of many aspects of distance education practice implies also raises problems for many educators, most notably for those who believe that the educational process should focus on the personal needs of the student, and that this is something distinct from the training approach implicit in packaging (Rumble, 1986:14). Furthermore, there is a crucial difference between educational and other subsets of administration such as industry, trade, and commerce. All of the latter know with some clarity what determines an effective organisation, and evaluative criteria are built in through rational measures of profit. In education, however, no such clarity of ends and means exist. Hodgkinson remarks that: The educational enterprise does not always know where it is going, or what it is actually accomplishing, or even how to do what is supposed to be its primary task- the teaching-learning process. From an objective stand-point it is not at all clear to what extent teaching methodology is traditionalised ritual as opposed to scientific technology (Hodgkinson, 1991:62). Criticism of industrialisation theory by western experts of distance education is understandable because western society has now passed or is passing through the industrial era. The principles of industrialism are - in all likelihood - already in the process of fading out. It is also now more appropriate in such contexts to investigate whether there are new affinities between distance education and the post-industrial work process. Peters has tried to deal with these criticisms by raising doubts as to whether western nations have indeed yet transformed to a post-industrial era. He states that 'the "new era" [post-industrialism] will still remain largely a matter of the future' (Peters, 59 1993:4 1). Perhaps the change from industrial technology to new technology will be as fundamental as the change from the craftsman's technology to industrial technology. Here it is argued that in developing countries the problem remains very different from that in western, developed countries. It is also argued that the application of industrial theory to the study of distance education systems in developing and transitional economies can still be very useful. The study of distance education in transitional countries such as Iran, for example, can be greatly enhanced by the critical application of industrial theory. Because such countries often remain in the pre-Fordist or Fordist stage of industrialisation. Peters' perspective may be the most appropriate for analysis. Another advantage of this framework is its relevance for the study of large-scale organisations, or mega-universities, that have benefited from, and relied upon, a mass production strategy. For the mega-universities, among them PNU, it is particularly important to consider the compatibility of industrial structures in dealing with very large numbers of students and the production of study materials on mass. Many have enhanced the quality and attractiveness of their study materials and expanded the boundaries of the distance education and training by using the principles of industrialisation. In contrast to industry, the main processes and products of education concern the interactive nature of humans. Thus, the distance education process cannot be analysed merely by industrial criteria alone. Its procedures are distinctively different and may be problematic on the three counts of ends, means, and evaluation. But it is argued that if distance education institutions, particularly mega-universities, are clear 60 about where their compatibility with industry lies, a theoretically informed analysis should be helpful. Moreover, the characteristics of distance education and elements of various theories do not exist as an abstraction, and attempts are, therefore, made here to relate these characteristics and theoretical perspectives to models for the planning and management of distance education - thus revealing how practitioners have tried to design appropriate organisational systems for distance education. The next chapter considers these latter issues in greater depth. 61 CHAPTER THREE Planning and Management of Distance Education Introduction This chapter reviews the existing literature relating to models for implementing distance education, and to the relationship between these models and theories of general educational management. By focusing upon the planning and management of distance education relevant literature on educational planning in general is also reviewed. The chapter thus extends beyond Peters' industrial theory, to complete the overarching framework applied in the subsequent analysis of the case study of PNU. Models for Implementing Distance Education Literature in this field demarcates different models for the implementation of distance education and these help us understand distance education's organisational nature. A number of classifications exist and these are summarised below. The most comprehensive are those proposed by: a) specialists who believe that distance education is a method of instruction, and b) specialists who consider it as a broader system of education. Models of Distance Education as a Method of Instruction Four different types of model are presented in the first group: these relate to the medium upon which learning is based. Before discussing the characteristics of each 62 model it is necessary to point out that changes to the application of technology reflects significant shifts in the conceptualisation and practice of distance education. Moreover, there exists a complex mix of technologies and media that makes it difficult to classify distance education models in terms of one medium or another. One of the most important criteria influencing the choice of technology is the control over the medium available to the students. The use of transitory technologies alone, such as radio and television broadcasts, is not sufficient to support the learning process. However, the value of permanent technologies such as books, audio and video cassettes, and computers lies not just in their ability to allow students to view or listen to material at more convenient times. They also enable learning from other media to be much more effective. Another factor which influences an institution's use of media is the extent of access to a particular medium by the students. This means that whatever technology is used, it must be available in nearly every home at a realistic cost. Different models of distance education in this category can be identified by their choice of media as the basis for the learning materials. Print-Based Models By far the majority of distance education programmes are print-based. The teaching strategy of the UK Open University, for example, is approximately 80% print-based, 10% broadcasting (radio and television) and 10% face-to-face seminars and summer schools (Keegan, 1986). The main material of study at PNU in Iran likewise is about 90% printed materials, 8% face-to-face class meeting and 2% broadcasting of TV and audio-visual cassettes (Zohoor et al., 1991). This is a dominant characteristic of many distance education institutions elsewhere. A real disservice has been done to the field by the over-emphasis of eye-catching terms like the 'University of the Air'. Educators, 63 administrators, and politicians, in both developed and developing countries should realise that the vast majority of distance education courses are printed-based and will remain so, especially where financial resources are limited. An exception to this may be with populations for whom literacy is a problem but courses are required. Audio-Based Models Courses in which the educational content is carried by audio-cassettes or transmitted over the radio and to which printed materials are peripheral have in some cases been used by distance educators. They are frequently cost-effective, can be used by people with literacy problems and may be a particularly adaptable and successful method for teaching languages. Video-Based Models Distance education can be classified as video-based when the courses are broadcast on television or contained on video-cassettes. Some printed materials containing background, further reading and assessment procedures may be supplementary. Video cassettes can contain short, unlinked sequences, with activities following each sequence, and feedback provided on the activity, either on the cassette itself, or in notes. Video cassettes in particular lend themselves to group use, because of the need for interpretation and discussion of video examples. This can increase the activity and participation of the learners. Furthermore, they can be stopped and replayed allowing time for students to think, discuss and take notes. The development of cable television and the possibility of home ownership or rental of VCRs make this an area of great potential in some cultures. A variant of both video and audio-based programmes emphasises the educational use of satellites. Daniel (1978) presented an evaluation of the first attempt at satellite- 64 based programmes to the 11th world conference of the International Council for Correspondence Education (ICCE) at New Delhi. Well made educational TV programmes are good for publicity. They are also excellent for providing information and demonstrating skills because they can show actions and places that cannot be seen in any other way. To support deep learning, the aim of producers of educational TV is generally to enable students to observe evidence; to analyse it; to develop an argument from it; and to draw conclusions (Coe, 1990). But broadcast TV is ephemeral and students cannot follow up programmes effectively. It also represents a one way communication. Thus, educationally it falls short when the goal is conceptual development. For this reason, according to the majority of distance education specialists, video tapes are much better, educationally, than broadcast TV. Computer-Based Models Increasingly computers can be used as the medium on which distance education programmes are based. With regard to the computer, perhaps the most promising and dominant application is computer-mediated communication which combines telecommunication technologies with computer capabilities to provide distinct methods of interacting educationally at a distance. The computers' capability for processing and controlling the flow of information may also be used for computer assisted learning off-line. Computer-mediated communication represents a qualitative advance in facilitating interaction at a distance and, therefore, represents an important communication teclmology for distance education (Garrison, 1993). Since there is so little experience with this type of medium many educational questions exist regarding how and when to use it. On the other hand, using the computer as an instructional medium is not yet widespread both in developed and developing countries. Figure 3.1 65 summarises the classification of these models with reference to their medium of instruction. Figure 3.1 Distance Education Models Classified by Medium of Instruction [Distance Educationi _,j, 'l' 'L' 'I, Print- base di IAudio-basedl rvideo -based } rcomputer-based Distance study Audio cassette Video cassette courses Courses by newspapers 'I, Courses by bradio Courses by I Courses by television I satellite Source: Keegan (1986) Models of Distance Education as a Broad System Reasoning that distance education is nothing unless it is a new method of teaching and 'there is nothing uniquely associated with distance education in terms of its aims, conduct, students, and other activities'(Garrison, 1989:8), has led to a critical reaction from many distance education practitioners. They suggest that distance education should be considered as exploratory, evolutionary and innovative in nature, and a discipline in its own right (Sparks, 1983, Gough, 1984, Holrnberg, 1986). If we deal with distance education as these scholars suggest, it assumes the status of a new system of education with its own aims, students, methodology, management, and other components. From this point of view there are two models in the literature both of which display characteristics of Peters' industrial theory. These are described below under the sub-headings of the System Model and the Transaction Model. 66 A Systems Model of Distance Education The systems view of distance education is proposed by Kaye and Rumble(1981), based on the concepts developed by Miller and Rice (1967) for analysing organisations as open systems which exist by exchanging materials with their environment. The activities carried out by such an organisation are divided by Miller and Rice into three categories: • operating activities: the specific import, conversion and export process which define the particular nature and role of the enterprise; • logistical activities, which ensure the supply of necessary resources for the proper functioning of the enterprise (recruitment, training, purchasing etc.); • regulatory activities, which ensure the overall co-ordination and control of all processes within the enterprise, as well as its links with the outside environment. The operating activities which are characteristic of distance education enterprises can thus be grouped into two major subsystems which reflect the separation of teacher and student (or teaching and learning activities) to which reference has already been made. The 'materials subsystem' covers the design, production and distribution of mediated learning materials. Materials development embraces the activities of curriculum planners, teachers, contents experts, instructional designers, media producers and other transformers (e.g. editors, graphic designers) who help in the production of media products. The output of their activities are prototype materials which through the materials production process, are turned into finished products, in single or multiple copies, in print, audio-visual, and/or computer software form. These materials can then be packaged together as a course and are then distributed to all the 67 students and tutors involved in the course, through direct delivering, mailing, broadcasting, or data transmission facilities. The student subsystem is separate in systems terms from the material subsystems, involving different activities, personnel and resources, all of which are basically concerned with facilitating the students' learning activities and managing their instruction. It admits students to the institution, allocates them to the courses, local centres and tutors and counsellors, collects fees, ensures that they receive course materials, assesses their progress, issues certificates, and maintains their records. The point of contact between the two subsystems occurs when the students receive the learning materials and start to use them. Figure 3.2 shows a systems model of distance education. Figure 3.2 A systems Model of Distance Education Materials Student subsystem subsystem Materials Admission development course allocation Materials Allocation to production services etc. Materials Study distribution Assessment Certification Source: Rumble, (1986:17) 68 The value of this simple systems model is that it clearly identifies the principal activities involved in running a distance education enterprise, as well as the inter- relationships that exist between them. It underlines the importance of the quasi- industrial process that characterises the production and distribution of materials and lays stress on the specialisation of tasks and division of labour. It defines the difference between an educational publishing organisation (which would only require a material subsystem) and a distance education institution (which must also provide an appropriate student subsystem). It also helps pinpoint the activities which are independent of students numbers (e.g. course development) and which are therefore susceptible to economies of scale, and is hence a useful starting point for financial modelling. Finally, it underlines the fact that, theoretically and in practice, different groups and organisations can collaborate in providing distance education systems, each perhaps taking on responsibility for different activities, or clusters of activities, within each subsystem. But this model seems to neglect certain fundamental aspects of distance education. In distance education the goal of linking materials to learning is at the centre of the organisational structure. In conventional education the intersubjectivity between teacher and learner - that is necessary to the teaching-learning process -is automatically set up. In distance education this intersubjectivity is lacking and there can be no guarantee that anything will happen once learning materials have been developed and dispatched to the students (Keegan, 1980). Administrators of distance education systems who consider that distance education is merely a marginal or peripheral part of traditional education often forget to provide this link. They make the mistake of thinking that once the learning materials have 69 been developed and dispatched the job is done and learning will occur. In distance education there is no basis for assuming this unless a successful linking system is provided. For instance if the point of contact between the two subsystems (learning materials and students in figure 3.2) is taken into consideration, and the link between the two subsystems is not made clear then a broken system will be present (see figure 3.3). Figure 3.3 A systems Model Without Linking Intermediaries Organisational tasks Learning materials producers ________________ link? Develop learning materials : Learning material dispatch to students Student learning activities Receive learning materials [ Learning process Quality, quantity and status of learning As can be seen, the question on the student learning activities, particularly on the quantity, quality and status of learning remain in need of solution. This means that we need some linking elements to bring the two subsystems together so that their connecting function enable the whole system to work appropriately. Utilising these connecting elements will let the system convert from a broken to an integrated form as shown in figure 3.4 below: 70 Figure 3.4 A systems Model With Linking Intermediaries Learning Materials Linking Students (L M) sub-system Intermediaries sub-system LM______________ I Counsellorsce_jj Tutors I Evaluators I Dialogue and I Learning Communication J activities: QualityL M Feedback system - Quantity and• Developed I • Produced ____________________I Student I Status • Dispatched - services of learning Organisational tasks Students learning activities-_J A Transactional Model of Distance Education A rather different systems perspective is obtained by viewing distance education from the sometimes competing perspective of the principal 'actors' involved in the process, and the relationships or transactions between them. In conventional education, the transactions of the vast majority of the learners are with individual teachers who may give personal advice on course choice, help with administration problems, and generally monitor the progress of the learners. These transactions usually take place within the physical boundaries of the institution. In distance education, however, the situation is quite different. Learners have three principal types of transaction to maintain, and each of these has a different site within the system (see figure 3.5). Transactions with the learning materials - reading, viewing, listening, manipulating, selecting, interpreting, assimilating, synthesising, and so on; the place of these interactions is generally the students' home, work place and maybe a regional study centre. 71 Figure 3.5 A Transactional Model of Distance Education Administration and management I Tutor Developers! I producers I I I Counsellor management management I Materials I I Learner Tutors J J Counsellors ntAdmin- Administration and Management Source: Rumble (1986) Transactions with 'intermediaries' such as tutors, counsellors and others who are there to help in interpreting and using the course materials and to promote group discussion and interaction with other learners; the place of these interactions varies; local study centres or occasional residential sessions for group work, laboratories, classes, the home or place of work for exchanges by post, telephone, or other communication devices. Transactions with the institution or at least with the student services division and to deal with administrative and general queries and problems. These are of necessity often impersonal, having to be carried out at distance and may be perceived by students as problematic (the unfeeling bureaucracy of the faceless institution etc.). However, the institution may at times deal with students on an individual basis through personal counselling services and the faceless bureaucracy may be humanised to the extent that such services are available (Henri and Kaye, 1985:125). 72 Beyond this circle of transaction in which the learner participates is a complex set of invisible (to the student) activities and interactions which are necessary for providing, co-ordinating and maintaining learning resources, the network of intermediaries, and student services. These activities were outlined above (course and student subsystem, figure 3.2). The principal agents responsible for these activities are: • educators and subject-matter experts responsible for selecting, organising and developing the content and curriculum of a particular course. • 'transformers' of various kinds, who work with the subject-matter experts in developing and producing the specific media products which make up the learning resources. These include editors, graphic designers, media producers, educational technologists, and computer software programmers. • managers responsible for planning, the formulation of policy, organisation and staffing, co-ordination and control; • evaluators concerned with monitoring the functioning of the system, providing and analysing information for decision-making and recommending necessary corrective actions. In some cases these will be specific individuals based in an evaluation or management information unit, in others evaluation may be done by managers and educators as a normal part of their work (Rumble, 1986:22-3). Viewing distance education systems in instructional terms emphasises the human relations aspects of management, in contrast to the systems approach which tends to stress the 'rational aspects of management. The strength of this model lies in its recognition of the special nature of the teaching- learning relationship in distance education, determined by the physical separation which it involves. The description of tutors, counsellors, etc., as 'intermediaries' captures this perfectly. The importance of this cannot be overstated: any successful approach to distance education must focus on the nature of interaction between student and teacher and the implications of this for system design; it is not enough to attempt a straightforward 'transfer' of a conventional course to a distance education model, hoping to rely on an efficient production and delivery system. Failure to 73 recognise this and to consider the crucial balance between independence and support can be a recipe for failure. Distance Education and Educational Models This section considers the extent to which the seven basic characteristics of distance education (see Chapter Two) are affected by the general model of education underpinning a particular distance education system. By a 'general model of education' we mean a coherent and organised body of concepts and ideas, based on a particular world view or philosophy, from which prescriptions for principles and methods of teaching and learning can be derived. A number of different classifications of educational models exist. Those proposed by Bertrand (1979) are employed here. The framework he developed divides educational models into three categories: Institution-centred Models, Person-centred Models and Society-centred Models. The main features of institution-centred models lie in maximising the effectiveness and the efficiency of educational practice. Bertrand groups here, under the heading of systematic models, those m3dels which basically treat learning as the processing, storage and retrieval of new information (what Rumble (1986) calls information processing models). Bertrand also includes Skinner's (1968) behavioural approach in this group. Person-centred models on the other hand analyse education from a humanistic perspective, putting the main emphases on individual growth, on the 'meaningfulness' and the personal significance of learning experiences, and on the motivation of the learner. Carl Rogers' (1969) model for non-directive teaching represents the best known application in this area. 74 Finally, Bertrand's third category covers models which are based on social action and interaction approaches, where the main role of educational activity is to bring about change in society and the social structures of institutions. According to existing literature the majority of distance education systems established so far in many countries, particularly at the tertiary level, conform to institution- centred models in which the primary focus is on increasing the efficiency of the institution as a purveyor of mass education. An over-riding concern appears to be that of making the systems as efficient and cost-effective as possible; educational planners, operational staff, media producers, instructional designers and evaluators are often assigned key roles in institutional structures. Learning material writers, tutors, counsellors are assigned to the roles of intermediaries between the teaching system and its learners. The very reliance of distance education on the use of media and communication technologies can be said only to have served to strengthen the temptation to apply educational models of the information-processing variety to the design of specific institutions. However, all distance education systems need not be of the institution-centred type. It is possible to design person- and society-centred models. What is important is that the philosophy of education or main purpose of design of the system should be made explicit. In other words, if basic assumptions and philosophies are not clearly defined at the starting stage, considerable misunderstandings can arise in later stages. Designing a distance education system based on a particular model will thus need particular types of organisation, planning, and management. For instance, designing a distance education institution based on the systems model will need the careful application of the principles of industrialisation theory, the basic elements of the 75 institution-centred educational model and the principles of bureaucratic organisational theory. Figure 3.6 reflects a models of distance education and their theoretical basis. Figure 3.6 Models of Distance Education and their Theoretical Basis and Relationship to Educational Models Theories of Distance Models of Distance Educational Education Education Models Independent theory Communication and Interaction theory Media-based model model Transaction model Media based model Transactional model Institution-centre Social-centred Generally, the educational models which underlie the design of specific projects or institutions are not made explicit in the terms used above. Usually, and in the best of cases, choices will be made from among the whole range of different models, in such a way as to suit the particular curriculum, learners and situation. However, it is possible to design distance education based on all of the above mentioned models. What is important is that the dominant world view in the society and philosophy of education should be taken into account so that provision suits the context. Policy Making and Planning in Distance Education Policy making and planning are inextricably related to administrative activities whereby ideas are translated into action (Hodgkinson, 1991). There was a time when policy making and planning was perceived as an exclusive right of governments. The move towards institutional autonomy, particularly in higher education, led to the increased involvement of higher education institutions and university managers in the 76 policy making and planning processes of their institutions. An emphasis on proactive rather than reactive management and the potential benefits of more effective resource management, staff deployment and the possibility of evaluation follow the use of systematic planning in education. What is Planning? In common usage, planning is preparation for action, but in special usage there are many definitions of planning. Here the term is used to represent a continuous process of determining policy, priorities and decisions for the future actions of the educational system with regard to economic and political realities. Hence, planning is a political and economic rather than an educational process. It is essential to bring about desired changes in educational institutions, to improve their effectiveness and functional efficiency (Reddy, 1986). Apart from sustaining educational effectiveness and organisational efficiency, planning, as a generic process, provides continuous direction for distance education. There are, however, many criticisms of educational planning in developing countries. The critics argue that educational planning is often confined only to formal education and tends to maintain the existing system (Mutua and Nitmaswa, 1988). Planners are also criticised for not giving due consideration to change and for not being flexible enough. Wallace (1991:188) argues that: Flexible planning is, perhaps, an oxymoron. Flexibility implies the ability to respond rapidly to changing circumstances while the notion of planning suggests the formulation of a design which will lead to a sequence of pre-specified changes over time. A model of strategic planning which will guide action in schools [and universities] in the current context, where some aspects may be turbulent while others remain stable, must therefore address a tension between two contradictory influences. 77 For an educational institution, planning is essentially a matter of spanning or mapping the route between the perceived present situation and the desired future situation. Existing plans can rapidly be modified as circumstances change without having need to re-plan from scratch (Wallace, 1991) because a logical plan has already considered likely changes. The effectiveness of the process is largely dependent upon the clarity of the situational analysis and the skill in translating the ideas into the real outcomes. This view places planning at the heart of the management process, in which it moves management away from a reactive into a proactive approach and from a response based on expediency into a value-driven approach which is founded on consent and consensus (West-Burnham, 1994). When institutional planning is at the mercy of national political policy change, the response can often only be reactive. However, institution autonomy may increase the scope for planning, remembering that plans are intentions which may have to be modified in response to internal and external changing circumstances. West-Burnham (1994:84) states that: The combined effects of institutional autonomy, public accountability, formula- based funding ... mean that failure to plan is no longer an option. The world will not be in the future as it has been in the past. Planning is a process that has to be rigorously managed. It is generally organised through individuals and groups participating in various roles. At one extreme, as Wallace and McMahon (1994) remark, a manager may make a unilateral decision and at the other, all staff may be invited to complete a questionnaire on their preferences for the development of the institution. They further argue: Participation in planning procedures also varies along a dimension from shared decision-making, through consultation on idea and preferences, to being informed about decisions made by others (p. 18). 78 In a centralised institution like PNU the actions of headquarters have a key influence on the degree of participation that is allowed to others. Study centres, for example, may have a role in the development planning of the university and in the decision making process, since they are in position to set some of the parameters for participation. Models of Planning In the field of education, particularly in developing countries, there are many limitations on human resources. They have, therefore, to plan their activities at national, sectoral, regional, local and institutional levels in order to reduce waste in resources and provide a cost-effective education. Models of planning emphasise different factors. Some deal with education an essential element for society's cultural development, for the promotion of knowledge and for the development of the individual. Some address the manpower objectives for each sector of the economy. Each has something to say about what may be observed on the ground, yet their assumptions are divergent. They have all been used in many countries and each has been the subject of criticism. A key factor is the degree of rationality, feasibility and conformity of the model with the cultural, economic and political circumstances of a country. On the basis of what has been discussed in the previous section about models of distance education, it is possible to identify two main models of educational planning each of which has a special relevance. Whilst these issues cannot be discussed in detail here, the relevant points from each are outlined. 79 The Social Demand or Socio-cultural Model In this model education is regarded as a form of consumption that directly satisfies human needs and desires. There is a rational economic basis for social development although the return to individuals emerges as greater than the return to society as a whole. In order to meet private demand for education, governments have to respond appropriately. Given that the cost of the education is borne by the government, it can be argued that there is a presumption of an underlying mechanism whereby students and their families arrive at their educational decision in the light of market signals or mechanisms. If not, the social demand model represents a free-for-all. The social demand model has often been used in connection with the planning of higher education. For example it was featured in Iran before the revolution and in the first development plan of the country after the revolution. One consequence of the implementation of this model was the rapid expansion of higher education in Iran. The need for some degree of shift in higher education towards the study of the physical and teclmological sciences was largely ignored because it was difficult to forecast what would be the students' study interests and plan accordingly. Consequently, many experts from the PBO in Iran recommended the application of alternative planning models to incorporate economic factors in the process and consider the rate of return. The proponents of the social demand approach argued that it did not ignore the economic and manpower needs of country, because students would study the labour market before deciding about their field of study. The problem is, when they graduate they resist taking middle-level jobs which society needs to be filled. Jobs are available but not the jobs they want. Only in the long term do such candidates accept these jobs. The critics, therefore argue that where a university place costs about one hundred 80 times more than a primary school place, slow change is not acceptable. In the long run, the scarcity of resources and shortage of manpower in Iran lead the planners to adopt a planning model that gave a high priority to the attainment of the optimum allocation of resources. For this reason national planners in contemporary Iran changed their strategy and employed the manpower model. The Manpower or Human Resource Development Model Human resource development represents another strategy to achieve an optimum allocation of resources by looking at education as an investment. This model which has been used in the majority of developing countries, is based on the attempt to forecast the future demand for educated manpower. Given the length of time taken to provide society with the correct size of workforce to meet its economic needs for different manpower levels (low, middle and high), such forecasts may have to be made for some years (in a long horizon perhaps for fifteen or twenty years). This is one of the major problems inherent in the manpower planning approach, since in the meantime economic needs and labour market conditions may change significantly. From the point of view of many developing countries, this approach, nevertheless, has obvious attractions. Many of nations are suffering from a shortage of skilled manpower and investment resources. Their often blind faith in the power of education to solve most developmental problems, leads them to expand their educational systems largely as they exist. The result in many countries has been a rapid rise in investment in education beyond their financial capacity; and the intensification of the movement of people from rural to urban areas. For this reason many planners were critical of the manpower planning approach in developing countries for largely ignoring the needs of rural areas. Another important criticism of this model is that it 81 limits educational planning to strictly economic ends and ignores the social and political aims of education. It is argued that economic growth is not the only aim of education, it is not an end in itself but a means to a higher goal. In line with this view, the International Commission of the Development of Education (1972), entitled its report 'Learning to be' and concluded that the aim of education is human fulfilment which, to the members of the commission, implied far more than the achievement of economic satisfaction. Nevertheless, manpower planning is still widely used in some form or another in the higher education sector world-wide. Economists are not able to measure with any accuracy the contribution of education to economic growth. It is assumed that investment in human capital, principally via education, can make an important contribution to economic development, but providing precise information and guidance to help in decision making is needed but problematic. The Planning of Distance Education Many contemporary planners argue that distance education can be an effective system within the reach of anyone who wants to have access to it (Perraton, 1982). If this is the case, and distance education institutions are to provide high quality instruction to learners, they need to be systematically planned and scientifically managed. Unlike conventional universities, distance education universities have dual characteristics: relating to academic and material production process. In this sense distance education is an especially complex system and involves especially elaborate planning at a variety of levels. Thus, a fundamental distinction, as Rumble (1986) points out, should be made between strategic planning, operational planning and annual budgeting. At the strategic level realisable long-term prospects (up to ten to twenty years), are the focus. At the operational level which is concerned with the medium-term (up to five 82 years) institutional aims consistent with the funds available are the focus. Financial forecasting is extremely difficult, either because governments are not able to predict confidently their medium and long term financial prospects, or because they are in a situation of economic instability where inflation is high (such as the case of Iran) and a long term view becomes increasingly hard to sustain. Finally, the budget level is concerned with the detailed financial plan for the institution for realising immediate objectives normally during one year. Planners need also to pay particular attention to the political climate in which the institution has to operate in order to ensure that those responsible for the allocation of resources have a good understanding of the institution's mission and needs. The planning process outlined above may appear rational in theory. In practice it is likely to be difficult to follow. The external environment is unpredictable and 'Keeping track of the external influences likely to affect the future of a distance education system ... is a major task' (Rumble, 1986:154). The internal environment may be more predictable. Internal factors and agents are involved in the process of identifying required results by specifying the indicators of success. An idea is worthless unless there are the means to convert it into focused action. These actions are carried out through the internal agents. Planning is not necessarily a top-down process. It is an all-embracing process which needs the involvement of senior, middle and front line managers and teachers. The practicability of a plan depends, either directly or indirectly, upon the extent and amount of the involvement of all those involved in implementation. West- Burnham (1994:90) argues that planning does not necessarily require a hierarchy in terms of status; this is particularly true in professionally staffed organisations [e.g. distance education institutions] but is increasingly found in total quality businesses wheie all staff have a shared sense of involvement and commitment. 83 Participative planning is often argued to be particularly important for mega- universities. Daniel (1995:81) thus observed that: there seems to be some correlation between the success of a mega-universities and the level of participation of staff in governance. This is not surprising, for knowledge-based industries work best with management processes based on teams and consensus rather than on hierarchy and authority. The planning process is thus seen from this perspective as an opportunity for development, communication, team-building, integration and enhancing the effectiveness of distance education institutions. The Management of Distance Education It is the function of management to translate plans into action. Although Hodgkinson (1991) prefers the term 'leadership' to cover both policy-making and policy- implementation here we use the term 'management' to cover both processes. The management of higher level distance education is different from the management of conventional universities. As has already been mentioned, in conventional education the teacher teaches, in distance education the institution teaches (Daniel, 1993). This is the radical difference. Educational materials have to be produced on a large scale and distributed to thousands of students scattered in different locations. Also the technological dimension of distance education is very sophisticated. Distance education institutions are similar to industrial institutions involving such technology at the production stages, and incorporating features of constant monitoring (Peters, 1994). Viewed as a system, as Kaye and Rumble (1981) indicate, distance education institutions can be analysed in terms of an integrated system of operating, logistic and regulatory subsystems (see figure 3.2). The operating subsystem converts system inputs (new students and pre-existing course materials) into outputs. The main outputs 84 of the distance education system are courses and educated pupils. The function of the logistic subsystem is to procure and replenish inputs through activities such as the purchase and maintenance of equipment. The regulatory subsystem is at the core of the system. It facilitates co-ordination of various activities of the institution and relates the organisation to its environment. Kaye and Rumble (1981) describe planning, control and evaluation as the underlying process in this subsystem. Distance education universities must have management systems that support three outcomes: good learning materials, effective student service and efficient logistics. These systems are the basis of a viable management structure, organisational design, and monitoring and evaluation. This industrialisation process of educational administration, it is argued, requires administrative skills that are akin to those of an industrial enterprise. Monitoring In view of the peculiarities in distance education systems, monitoring has a very significant role to play in them. Monitoring is an essential dimension of both the planning and management process. Distance education is a highly integrated system and there is a close interrelationship between the various subsystems and between the activities. Every activity has to be undertaken according to schedule. It is through monitoring that the management watches the performance of various subsystems in the institution. From the beginning the need and significance of monitoring has been realised and accepted in distance education. Though most distance education institutions undertake this function, the process varies from institution to institution. Some use sophisticated computer-based monitoring systems, while others use manual systems. There is considerable interest in the development of performance indicators both as an aid to management and as a means of monitoring the overall performance 85 of an institution and permitting comparisons with the other educational institutions. In industry there are a number of key measures which can be applied in distance education as performance indicators to measure effectiveness and efficiencies Reddy (1986) has suggested the following questions, the answers to which can lead to performance indicators for managers in planning the monitoring system: 1. Why it is being planned? 2. What aspect of programme will be covered? 3. Who/which agencies will be responsible for generating and analysing feedback information? 4. How will the feedback information be obtained? 5. When and how frequently will the feedback information be obtained? 6. Who will establish the accuracy of information? How will it be established? 7. Who will use the information and initiate the corrective action? 8. How much information is needed? How fast it is needed and what cost will be incurred? There will be alternate choices for each of the questions raised above. Monitoring is therefore, undertaken in the fields of course creation, production and delivery, tutorial services, effectiveness of instructional materials and media, student evaluation, etc. Monitoring also includes a review of the corrective action taken in response to feedback. It is distinguished from evaluation where judgements are made about quality and effectiveness of project performance (Reddy, 1986). To conclude, monitoring is considered as a link between planning and control. Analytical Framework for the Management of Distance Education In the light of the literature reviews undertaken above and in Chapter Two, it is clear that many writers call for systematic, and theoretically grounded planning within the administration and management of distance education. This is, perhaps, essential if we are to avoid the repetition of past mistakes and the generation of familiar problems. Given the administration and management focus of the present study, and the 86 limitations of the relevant distance education literature, it is therefore now appropriate to consider the potential of the related literature in the more general field of educational administration and management. Models of Educational Administration and Management Although the management of educational institutions has been the subject of many studies in recent years, most of these studies have been related to educational management in general, less to higher education and even less to distance education. We will use selected generic models to analyse the management of higher level distance education. Most of the models of educational management that will be presented here possess three major characteristics, as Bush (1986: 16-17) remarks: 1. Theories [or models] tend to be normative in that they reflect beliefs about the nature of educational institutions and the behaviour of individuals within them when, for example, practitioners or academics claim that decisions in school are reached following a participative process, they may be expressing normative judgement rather than analysing actual practice. 2. Theories tend to be selective in that they emphasise certain aspects of the institution at the expense of other elements. The espousal of one theoretical model leads to the neglect of other approaches. Schools and colleges are arguably too complex to be analysed through a single dimension. 3. Theories of educational management are often based on, or supported by, observation of practice in educational institutions. The approaches developed initially for industrial or commercial organisations have been adapted, with varying success, for application to schools and colleges. Many models or theories have been discussed by different writers on educational management. These perspectives overlap along several different dimensions. The models vary in the extent of their applicability to different types of institutions. It is nevertheless useful to review the major models which have been suggested to explain how institutions of higher education are administered and managed. For the purposes of analysis, the bureaucratic, political, collegial and ambiguity models identified by Bush (1986, 1994) are considered in detail. 87 The Bureaucratic Model Bureaucratic theory is associated strongly with the work of Max Weber (1947) who remarks that bureaucracy is the most efficient type of management. Bureaucracy is an almost inevitable consequence of increasing size and complexity. Using this model as a methodological tool against which to measure a modern university, it is clear that universities exhibit many of the characteristics of bureaucratic organisations (Paul, 1990: 31). The main features of a bureaucratic model are as follows: • a hierarchical authority structure with formal chains of command between the different positions in the hierarchy; • a goal-orientation organisations pursue those goals determined by their official leaders; • a division of labour with siaff specialising in particular tasks on the basis of expertise; • decisions and behaviour are governed by rules and regulations rather than personal initiative, • decisions are made through a rational process involving definition of problems, assessment of possible solutions and choice of the most appropriate solution to fit the organisation's goals; • the authority of leaders is a product of their official positions within the organisation; • leaders are accountable to the organisation's sponsoring, or governing body (Bush, 1994: 36). This model quite effectively characterises the operation of many distance education universities - their registry, student service, library systems, and personnel and financial offices; their research infrastructure, and the organisation and administration of the academic programmes. In terms of goals, bureaucratic theory specifies organisations as goal-seeking entities, which ignore or understate the contribution of individuals within the organisations. This is important for the major teaching and research function of a university as well as to its policy development. On the other hand, faculty members' claim to academic freedom and professional autonomy are 88 direct challenges to the hierarchical authority of office which is the hallmark of bureaucracy. A tension arises because academics' authority is derived not from the formal office but from her or his professional and personal education and expertise. Furthermore , the bureaucratic model is more appropriate in stable conditions but it is less valid in situations of rapid change. In changing and dynamic organisations such as distance education universities there may be little opportunity to engage in a rational process of choice. In practice, however, much of human behaviour is irrational and this inevitably influences the nature of decision-making in education. It is therefore often said that hierarchical bureaucratic approaches are most appropriate for the processes of planning, budgeting, and managing course production where line authority and system integration are important factors, but they are not as applicable to processes such as course development, teaching, and research. Any attempt to understand a distance education institution's management thus requires sensitivity to the two dimensions of the operation (production and academic). The Co1Iegial Mode! The collegial model is increasingly advocated as the most acceptable approach to manage universities, particularly in western countries. This model originated within the colleges of Oxford and Cambridge universities. The main features of the collegial model are as follows: • they assume an authority of expertise in contrast to the positional authority associated with the bureaucratic models. Professional authority occurs when decisions are made on an individual basis rather than being standardised; • they stress a common set of values shared by members of the organisation These common values are expected to lead to shared organisational objectives; • they assume that decisions are reached by a process of discussion leading to consensus (Bush, 1994:38-39). 89 Considering these features, most major academic decisions must be made by an academic council. Faculties are usually left to their own devices when it comes to research, teaching and evaluation of students, and any concerns about performance or standards tend to be dealt within an open and collegial fashion. Distance education universities are more complex institutions compared with conventional universities, and are frequently expected to do more with fewer resources, and to be more financially accountable and responsible. As a result, the collegial model, where it has been applied, has been abandoned or modified in times of financial crisis. Paul states that: This model is appropriate when there are common problems to be solved or when it is more important to get consensus and commitment than necessarily to find the most expeditious or cost-effective response to a particular concern. However, when quick decisions are necessary, when there are clear conflicts of interest between competing parties or when unpopular decisions which are difficult to sell to the whole constituency are required, it is not a very effective way of trying to solve problems (Paul, 1990:33). Furthermore, a suitable social and cultural basis is necessary for using this model in universities' management. For example, in developing countries with less experience in decision-making by democratic means, it is often difficult to get consensus in many concerns. My experience in PNU shows that when there was an effort to get the consensus and commitment of faculties, the problem often remained unsolved or was solved too late. Decision-making by consensus often led to conflict rather than agreement. Nevertheless, as Paul (1990) says, the collegial model is integral to university management and governance because it best lends itself to professional, as opposed to administrative, authority. 90 The Political Model Political theories characterise decision-making as a bargaining process. Their main assumption is that the members of organisations engage in political activities to pursue their interests. In contrast to the ideal form of the collegial model, the political model adopts the view that conflict is a natural phenomenon and an inevitable feature of universities. The relevance of the political model to educational institutions specially universities is now being given increasing recognition by both academics and practitioners. Within education this perspective is often referred to as 'micropolitics' (Bush, 1989:69). Glatter claims that micropolitics represents an essential perspective: The language of power, coalitions, arenas, contests, bargaining, negotiations, interests, ambiguity and so on seems very helpful in distinguishing rhetoric from reality [ ... ] in drawing attention to the different purposes which different individuals, groups and institutions have and the various ways they set about attaining them [ ... ] the approaches which may be broadly termed the micropolitical perspective are essential to an understanding of educational administration and management (Glatter, 1982:161). Baldridge (1971:234) who was not satisfied with either the bureaucratic or collegial models, without denying their importance and fundamental place in a modem university, concludes that: they are not useful in explaining how decisions are made in the universities with which he was familiar. The bureaucratic model is weak in dealing with non-formal power and its stress on structure over process. While aimed more at the process of decision-making, the collegial approach and its emphasis on consensus failed to explain or deal with conflict. He thus borrowed from sociology and political science in proposing a political model of decision-making, one which recognised the predominance of power groups. Citing conflict theory, community power theory and an informal groups approach, Baldridge's political model emphasises policy-making by analysing factors of the social context, identifying how 91 interest groups explain their causes, how these feed into the legislative process, and hence how policy is developed and executed. The political model has the following major features: • it tends to focus on group activity rather than the institution. Interaction between groups is in the heart of this model; • political theory is related with interests and interest groups,. their different objectives, leading to conflict between them; • this model proposes that the goals of organisations are ambiguous and contested; • decisions are made after a complex process of bargaining and negotiation; • the concept of power is central to political theory. The decision-making process is likely to be determined finally according to the relative power of participating individuals and groups. There is no question about the usefulness of this model which may be seen both at the departmental level and institutionally, in analysing and understanding much of what goes on in a distance education university. More recently, pressure for accountability and productivity have introduced new and strong stockholders, notably government and industry, so that funding is increasingly allocated to specific goals, and traditional norms of collegiality and autonomy have been confronted directly by those who provide most of the institution's resource base. In annual seminars of the PNU's regional study centre managers we realised that, in spite of their long distance from each other and their scattering through the country, they have notable unanimity among themselves and they attempt to influence central campus authorities, including the university chancellor and vice-chancellors, in the decision-making process and the adoption of certain policies. This is an interest group with power that influences directly the formal decisions of top managers. They have been able to establish agreement among themselves and form an alliance because of their common interests and problems. Recognising this kind of phenomenon is possible by using the political model. 92 Despite this capability, the political model suffers from the same limitations as the bureaucratic and collegial models in that it explains only part of a university's functioning. It is most effective only when combined with other models to address both the structure and process of university management and administration. The Ambiguity Model One of the most appealing analytical approaches for those who have tried to understand uni\'ersities is the ambiguity model, sometimes referred to as 'organised anarchy' (Cohen and March, 1974). This model stresses ambiguity of goals, fluid participation by individuals in the decision-making process, and lack of clarity as to means. These ambiguities and uncertainties challenge traditional forms of management. This model challenges rational theories of choice which presume pre- existent goals in such rapidly changing times. Paul (1990) explains this by stating that today's university presidents have difficulties in dealing with the many interest groups, hidden agendas and natural inertia of prevailing social structures. In examining such regular decision-making tasks as planning the budget, developing educational policy, and ruling on academic tenure and planning, Cohen and March demonstrate considerable insight and imagination in suggesting how one can lead in such an ambiguous environment. They suggest that goals should be treated as hypotheses, intuition as real, hypocrisy as transition, memory as an enemy and experience as theory (Cohen and March, 1974:226, cited in Paul, 1990). These concepts appeal to those who have experience in university governance. But Millet (1980) suggests that Cohen and March have failed to distinguish between the overall direction of the university and problems of priority within the faculties. He argues that the faculties, not the president, are the managers of learning processes and denies the 93 vagueness of the university's goals. He states that it is the priorities and methodologies within the overall goals that lead to conflict (Millet 1980:184). Paul (1990) remarks that Millet like Cohen and March are focusing basically on the management of the academic sector and of faculty governance then, he adds: The modern university is a much more complex institution of which this is only one, albeit the key, part, and hence neither the collegial nor organised anarchy model is a completely satisfactory representation. Furthermore, pressures for more accountability, for diversification of funding and for opportunity for younger academics during periods of retrenchment, have challenged collegial modes of decision-making, especially where they have been perceived as too slow or cumbersome in responding to an ever-changing environment (Paul, 1990:38). Distance education universities are rapidly expanding and changing particularly in their initial stage of operation. On the other hand, these universities are a kind of 'professional client-serving' organisation. The students often demand inputs into the process of decision-making, especially where it has a direct influence on their educational experience. Professors and tutors are expected to be responsive to the students' perceived needs other than acting under the direct supervision of hierarchical superordinates. The requirement that professionals make individual judgements, and do not necessarily operate according to managerial perceptions, leads on to the view that distance education universities can correctly be portrayed as 'organised anarchy'. Enderud argues that: large and complex, multipurpose, rapidly expanding or otherwise changing organisations are anarchic [ ... J so are organisations with high degree of professionalisation among their rank and file, service-producing organisations probably fit this picture better than good-producing enterprises do (Enderud, 1980:236). Distance education institutions which try to be more open, in a period of change may experience difficulties in interpreting the various messages being transmitted from the environment. This kind of uncertainty over the significance of external signals, as 94 Bush (1986) says, adds to the ambiguity of the decision-making process inside the institution. Analysing the management and decision-making process of distance education institutions in such situations will be more appropriate if it is based on the ambiguity theory because decisions in this situation are usually unplanned. The bureaucratic perspective assumes that when problems arise, possible solutions are formulated and the most appropriate solution is chosen. The advocates of the ambiguity approach claim that this logical sequence rarely occurs in practice. Problems, solutions and participants' interaction and choices somehow emerge from conditions of ambiguity such that there are no criteria for making the connections. Hence, as Bell (1980:190) observes the ideal solution and its related problem may not be linked. The ambiguity model stresses the advantages of decentralisation while centralised organisation is recommended by the most practitioners of distance education as an appropriate form for administration and management, despite their complexity and their dispersed regional study centres. The Search for an Over-arching Analytical Framework The four theories discussed above provide important insights into university management. They also provide perspectives from which the management of distance education systems can be analysed and then compared and contrasted with that of conventional educational systems. All of these models are uni-dimensional. Indeed, elements of each model may be identified as present in the same institution, at the same time, depending on circumstances. Each model individually is partial and selective but taken together they may represent a powerful means of analysing and understanding events and situations in education. We can examine whether particular 95 management and leadership models or theories are more or less appropriate in distance education systems than others, and whether distance education systems on balance exhibit different features from those found in conventional educational institutions. Distance education systems particularly mega-universities, clearly exhibit some features not found in conventional universities which make their management qualitatively different (Kaye and Rumble, 1981:177). The question arises whether traditional forms of academic management can be applied to a distance education system. For this reason some experts (e.g. Ellstrom, 1983 :236) recommend the syntheses of two or more theories in providing a more comprehensive analysis or explanation of distance education institutions. But this means the establishment of another model and it is not clear whether any can have universal acceptance. One answer, then, as Paul (1990) suggests, lies in not yet another organisational model, but in the concept of leadership. He argues that: Today's challenges place a very high premium on institutional leadership, that which develops a clear and coherent sense of direction and a comprehensive and value-driven way of getting there. It represents the practical application of what has been learned about leading people in other settings, notably the corporate world, informed by what the various models of universities as organisations tell us about the practical requirements of that milieu. It is leadership that can encompass a number of management and governance styles, a sense of purpose and direction that will provide meaning for and integration of the various activities and functions throughout the institution (Paul, 1990 :67). Strong leadership will be able to bring the organisational components together and give integrity to the institution for ensuring the effective function and entire support structure for students and faculty alike. While much more attention is paid here to the various techniques of administration and management, leadership, which is vital for success of any institution, involves a 96 lot more than technique. 'Leadership' is an ambiguous term encompassing both administration and management 'with more than hundred definitions' (Burns, 1978:2). Hodgkinson while confirming this point states that: It is a truism that no educational administrator would freely admit to not being a leader. On the contrary, the administrator would tend to conceive of the role of leader simply by way of definition [ ... ] the term can then be used synonymously with administration. Administration is leadership. Leadership is administration. (Hodgkinson, 1983:195) This definition can be helpful for our purpose in adding to Peters' theory in devising a framework to analyse distance education administration and management. If leadership is administration then what is the administration? The Concept of Administration Figure 1.1 sets out the framework for the observations which follow. The difference in usage between administration and management, is to some extent a matter of semantic convention. Management is both subtended from and subsumed by the larger concept of administration (Hodgkinson, 1991:51). This is because administration systematically embraces and generates the management and is hierarchically superior and prior to management. This is not a value judgement and does not mean that the former is somehow better than the latter. Hodgkinson argues that organisations can persist longer without administration than they can without management and on this criterion management would represent the better set of functions. Value judgements can, of course, be made if the criteria are specified. (Hodgkinson, 1991:51). Table 3.1 illustrate the systematic distinction between the activities more properly ascribed to administration and those more properly ascribed to the lower systematic level of management. 97 Table 3.1 Differentiating Aspects of Administration/Management Administration Management Art Science Policy Execution Values Facts Generalism Specialism Strategy Tactics Philosophy Action Upper ranks Lower ranks Qualitative Quantitative Reflective Active Human Material Top management Middle management Deliberation Details Source: Hodgkinson (1991) This table shows that the distinction lies in organisational functions. The more one is involved with matters such as ends, aims, policies, strategies, and philosophy of the organisation, the more one is engaged in administration. Likewise, the more one is involved with matters like implementation of policy, execution and operational decision-making, the more one is engaged in management. Administration, therefore, can be defined as 'the general form of human behaviour which seeks to achieve ends through organisational means. As these means are specified they give rise to technology and to the management of technology' (Hodgkinson, 1991). Because of commonality of problems encountered and strategies adopted in administration (Barnard, 1972), it can be described as a generalism in contrast to the increasingly specialist requirements of management. Management has been defined as an 'activity involving responsibility for getting things done through other people' (Cuthbert, 1984). A major function of management in any education system is to ensure that students are taught in accordance with determined curriculum. In distance education systems, management has also to ensure that the study materials required by the students are created and reached them on time. 98 This means that distance education systems have - in terms of management - two features: academic and manufacturing. One of the biggest challenges for such institutions is the management of professionals, a task usually carried out by fellow professionals who may or may not have training or experience in management. Paul argues that: Faculty autonomy is compromised by the course team concept and by the visibility of the course package. Such routinised functions as course production, the distribution of course materials and individualised students' tracking and records system impinge directly upon rather than merely support the teaching and learning process in the institution. Hence [distance education and] open universities almost uniquely represent the strongest tendencies of both orientations - the professional autonomy of university academics and the bureaucratic demands of a large publishing house and service organisation. The inherent conflicts between these orientations have major implications for how such institutions can be managed (Paul, 1990:30). According to the above definition of administration and management it can be pointed out that in contrast with administration, management demands a special knowledge or training. Hence it could be said that anyone, in principle, can do administration but not anyone, either in principle or in practice, can do management. Despite this, most senior managers tend to regard themselves, without self-conscious analysis, as administrators rather than managers. In one sense it should be understood that management and administration are inseparable. In the analysis of these processes attention should be paid to this relationship, because analysing management without any attention to administration may take us away from a comprehensive analysis. Indeed, whatever is done by managers is nothing unless translating the strategy, policy and planning - outcomes of administration - into action. The nature of distance education requires emphasis simultaneously, on the joint focuses of administration and management of the entire organisation. The working 99 days of any educators in distance education are occupied with both kinds of activities at different times. Furthermore, all organisation members of whatever section and whatever rank, from time to time find themselves engaged in administrative acts, while administrators often find themselves engaged in strictly managerial tasks. In this light, it can be seen that classroom teaching in conventional education, tends toward the managerial end of this spectrum, but in distance education, teaching has particular feature in which administrative and managerial activities are so related to each other that they can never be divorced. In addition, in contrast to other fields of administration, educational administration is distinctively different and problematic on the three counts of ends, means, and evaluation. Yet these very difficulties, as Hodgkinson states, are the source of peculiar leadership opportunities: the opportunity to discover, clarify and defend the ends of education, to motivate towards those ends, the opportunities to discover means and invent process, since the prevalent state of pedagogic science permits rather than constrains, and opportunity to create and establish morally grounded evaluation and legitimate it for all the participants in the great co-operative educational project (Hodgkinson, 199 1:62-63). All of which means that educational leadership/administration is specially difficult, specially challenging and specially moral. Hodgkinson (1991) suggests a realistic model for understanding and analysing this complex process. From his point of view the first stage in the dynamic and never ending process of administration is philosophy and administration. In fact, he defines the entire process of leadership as philosophy- in-action (Hodgkinson, 1983). Philosophy means to him organisational values and reasons for being. The ideas are formulated by philosophical means such as imagination, intuition, speculation, hypothesis, argument, dialectic, logic, rhetoric, value analysis and clarification at top level administration. Then, this idealistic 100 administration level is translated into the plan. The next stage is interring the plan into the political process and selling it to those who finally control the necessary resources to realise the plan. Thereby, the level of idea has shifted to the level of people (policy making). Afterward, the whole process at the people level, moves toward the mobilising of the resources necessary to realisation of the plan. Motivation of the human resources of the organisation to the collective purpose in this phase, makes the process more managerial rather than administrative but is still within the field of art and politics other than science. After accomplishing this, organisational means influence ends and events occur not merely in the realm of idea and people but also in the realm of things. The final phase of this dynamic process is monitoring, includes formal supervision, auditing, accounting, reporting and evaluation (policy implementation). In systems theory, the monitoring stage feeds back to the philosophy phase and the dynamic cycle of policy -making, administration, policy implementation and management is completed. Hodgkinson (1991) states that: This total process can be conceived as the general field of leadership. It may be embodied in a single person or it may be parcelled out into several specialities dependent on complexity of the organisation and its tasks. It is dynamic and recurrent and continuous with the cycle repeating and overlapping with the other cycles initiated at various points in the organisational history. The principle is always the same: a movement from ideas to things or events via the mediation of people. That is the intellectual realm modifies the reality realms of the physical or natural world by human action. The central problem of administration, then, becomes the motivation of this action and, more precisely, since administration is always of a collective, it is to reconcile the self-interest of the individual organisational member or client with the collective interest of the organisation (Hodgkinson, 1991:64-65). Hodgkinson's perspective, in combination with the other models discussed above, it is argued, enables us to better understand the close relationship between the leadership 101 (administration) and management of distance education institutions on the one hand, and the interrelatedness between the theory, policy, strategy, planning, tactics and monitoring of these institutions on the other hand. The dynamic nature of this model is also compatible with the conceptual framework provided by Peters and the industrial nature of distance education systems. Together these perspectives and theoretical models provide a framework for the subsequent analysis of the origins evaluation, planning and management of PNU. In the next chapter, however, further details of the case study research strategy are provided. 102 CHAPTER FOUR Research Methodology Introduction The first part of this chapter examines the perspectives that underpin the methodological strategies adopted for the study. Definitions of types of case studies, their strengths and limitations with regard to this study, and their relationship with qualitative approaches to research are considered. It further examines epistemological issues regarding the choice of research strategy. The second part of the chapter justifies the choice of a case study strategy for the PNU research presented here, and describes the methods used in preparing for and in carrying out the fieldwork. I-low data were collected in practice and the procedures of data analysis are discussed in the light of their relevance and appropriateness to the research aims and questions introduced in Chapter One. Definitions of Case Study The research strategy adopted for this dissertation emphasises a largely qualitative approach built around one detailed case study of a higher education institution in Iran. This choice was influenced by the research rationale that is discussed at length here. An in-depth examination and improved understanding of the case under study, that is 103 of PNU and its evolution, has the potential to elicit key issues influencing the planning and management of distance education in this distinctive organisation. Moreover, critical reflection upon this case, it is argued, can contribute to the development and critique of broader theoretical principles and to enhanced awareness of issues of concern to others in this field. While the case study is a well known strategy in social science research, there is little consensus on what constitutes a case study. One set of problems arises when we look at research methods in terms of contrasting approaches involving different epistemological assumptions. Another problem is that many social science textbooks have failed to consider the case study as a formal research strategy of the same order as others (Yin, 1994). Furthermore, the confusing of case studies with etimography or the techniques of participant observation has served to increase the lack of clarity and appreciation of its full potential. First of all it is helpful to point out what a case study is not. Case study as a research strategy is not the same as casework, case method, case record or case history. Casework denotes 'the developmental, adjustment, remedial, or corrective procedures that appropriately follows diagnosis of the causes and maladjustment '(Good and Scates, cited in Merriam, 1988:15). Case method is an instructional technique or a teaching method that has become very popular in law, medicine, and business. 'In teaching, case study materials may be deliberately altered to demonstrate a particular point more effectively. Case history, which tries to trace a person, group, or institution's past, is sometimes part of a case study research strategy. Most definitions of 'case study' have merely repeated the types of topics to which case study has been applied. Such definitions thus cite the topics, including 104 individuals, organisations, processes, programmes, institutions and even events as the major focus of case studies. For example Merriam(1988:9) notes that: case study is an examination of a specific phenomenon such as a programme, an event, a person, a process, an institution, or a social group. However, citing topics is inadequate as a means to establish a comprehensive definition. From an historical point of view, Platt traces the practice of doing case studies back to the conduct of life histories, the work of the Chicago School of sociology, and case work in social work. The case study strategy, in her view, begins with: • . a logic of design ... a strategy to be preferred when circumstances and research problems are appropriate rather than ideological commitment to be followed whatever the circumstances. (Platt, 1992:42). One might ask what this logic of design is. To Yin (1994) it means consideration of the technical features of this strategy. The technical definition from his point of view begins with the scope of case study: 1. A case study is an empirical inquiry that investigates a contemporary phenomenon within its real life context, specially when the boundaries between phenomenon and context are not clearly evident. 2. The case study inquiry copes with the technically distinctive situation in which there will be many more variables of interest than data points, and as one result relies on multiple sources of evidence, with data leading to coverage in a triangulating fashion and as another result benefits from the prior development of theoretical propositions to guide data collection and analysis (Yin, 1994:13). This technical definition suggests that the case study as a research strategy comprises an all encompassing method - with the logic of design incorporating specific approaches to data collection and to data analysis. In this sense, as Stoecker (1991) argues, the case study is not either a data collection tactic or merely a design feature alone but a comprehensive research strategy. 105 Case study can be further defined by its characteristics. While the number of characteristics cited varies from source to source, there appear to be four main characteristics common to all case studies: these are captured by the terms particularistic, descriptive, heuristic, and inductive ( Helmstadter, 1970; Wilson, 1979; Guba and Lincoln, 1981; Stake, 1981, 1995; Hoaglin eta!. 1982; and Merriam, 1988). Particularistic means that case studies focus on a particular phenomenon or situation. This specificity of focus makes it an especially good design for the study of every day practical problems. 'Case studies are problem-centred; small scale and entrepreneurial endeavours' (Shaw, 1978:2). Descriptive means that the end product of a case study is a rich, thick description of the phenomenon under study. Thick description is a term taken from anthropology and refers to the complete, literal description of the incident being investigated. It also means to Guba and Lincoln (1981:119), 'interpreting the meaning of ... descriptive data in terms of cultural norms and mores, community values, deep-seated attitudes and notions, and the like'. Heuristic means that case studies illuminate the readers' understanding of phenomenon under study. They can bring about the discovery of new meaning, previously unknown relationships and variables, or confirm what is known. 'Insights into how things get to be the way they are can be expected to result from case studies'(Stake, 1981:47). Inductive refers here to the fact that the form of reasoning employed in case studies is largely based on inductive reasoning. In relation to this Merriam(1988:16) concludes that: 106 Qualitative case study can be defined as an intensive, holistic description and analysis of a single entity, phenomenon, or social unit. Case studies are particularistic, descriptive, and heuristic and rely heavily on inductive reasoning in handling multiple data sources. The nature of this particular research design is inextricably linked to certain philosophical assumptions. Comparison of the technical definition of Yin with the definition of Merriam shows that the origins of case study strategy are embedded in the growing body of literature on qualitative research. This does not mean that case study equals qualitative research or that someone who selects the case study strategy cannot use quantitative data. Yin (1994:14) states that not only can case studies include quantitative data, but they may even consist entirely of such material. For this reason both definitions indicate the use of multiple data sources including both the qualitative and the quantitative. The logic of this strategy for research in social and applied sciences such as education derives from perspectives that attempt to understand how all parts of a phenomenon work together to form a whole. This understanding, Patton writes: .is an end in itself, so that it is not attempting to predict what may happen in the future necessarily, but understanding the nature of the setting ... The analysis strives for depth understanding (Patton, 1985:1). The selection of data collection techniques, the way of organising and interpreting or analysing the collected data, and notions of validity, reliability, and generalisability of findings related to these core principles and assumptions are invariably linked to the investigators own world view and philosophical orientation. Types of Case Study Every discipline hinges on research activity to expand its knowledge base. There are many disciplines that use the case study research strategy for such purposes. This strategy may be modified according to the nature of the discipline and its problems, and the kind of knowledge expected. Hence there are various types of case studies 107 according to disciplinary orientation. Case studies can also be differentiated in terms of their end product. Yin(1994:38) distinguishes between four types of case study using their specific design as a criterion for divergency. Types of Case Study in Terms of Discipline The case study in education more often focuses either on individual students in seeking to understand specific issues and problems, or on practice, policy making and the management of educational institutions. Investigation of these issues requires a design that often draws upon a variety of disciplines including anthropology, history, sociology and psychology, both for theoretical orientation and for techniques of data collection and analysis. Indeed Crossley and Vulliamy (1984:193) state that: The ethnographic case study of a single community or culture has been central to anthropological enquiry ... However, studies of schools from such a perspective have proliferated during the last [two] decades. Culture thus, remains a unifying construct of educational ethnography (Goetz and Le Compte, 1984) and whatever the unit of study an ethnographic case study is characterised by its socio-cultural interpretations in context. A second type of case study that can be found in education is the historical. This type of case study employs documentary techniques by emphasising primary source materials. The historical case study in education has tended to involve description of institutions, programmes and practice as they have evolved in time. In discussing types of case study Bogdan and Bikien (1982:59) introduce historical organisational case studies as one form common in educational research; 'these studies focus on a specific organisation and trace its development'. The key to historical case studies, Merriam (1988) says, is the notion of investigating the phenomenon over a period of time. 108 A third type of case study is the psychological case study which employs concepts, theories, and measurement techniques from psychology in studying educational problems. The focus of this type of research is typically on the individual and constitutes a way of investigating some aspect of human behaviour. In education a case study of an individual, programme, event or process might well be informed by psychological concepts. Finally, the fourth type of case study that is employed in education intensively is the sociological case study. This type focuses on the constructs of society and socialisation in the investigation of educational phenomena. Goetz and Le Compte (1984:28) have suggested some topics that can be studied by case studies drawing upon sociology. Examples could involve the study of the social structure of educational institutions, the effect of role sets on teachers' interactions with students, the actual versus the hidden school curriculum, and the relationship of schooling to equalities and inequalities in society at large. Thus sociology along with other disciplines can be seen to have influenced the theory and method of case studies in education and have much to offer future research. What distinguishes a case study approach in education overall is a focus on questions, issues, and concerns broadly related to teaching and learning. The setting, delivery system, curriculum, student body, and theoretical orientation may vary widely, but the general arena of education remains central (Merriam, 1988:27). Types of Case Study in Terms of End Product Case studies have also been classified into three major types according to the nature of their outcome. That is the end product of a case study can be primarily descriptive, interpretative or evaluative. 109 A descriptive case study presents a detailed account of areas of education where little research has been conducted. Innovative programmes and practice are often the focus of descriptive case studies in education. Such studies can form a data base for future comparison and theory building. Lijphart, however, (cited in Merriam, 1988:27) argues that descriptive case studies are 'a-theoretical' and move in a theoretical vacuum; 'they are neither guided by established or hypothesised generalisations nor motivated by a desire to formulate general hypotheses'. In summary, then, in this kind of case study, whatever the area of inquiry, basic description of the phenomenon being studied comes before hypothesising or theory testing. An interpretative case study, like the descriptive type, includes rich, thick description. In this variety of case study the researcher gathers as much data about the issues under study as possible with the intent of explaining or theorising about the phenomenon. Rather than just describing, for example, what was observed or what was reported in interviews, the researcher might take all the data and develop a typology, a continuum, or categories that conceptualises different approaches to the task. The level of conceptualisation in interpretative case studies may range from suggesting relationships among variables to constructing a theory. The model of analysis is inductive. Because of the greater amount of analysis in this type of case study some researchers call them analytical or in Yin's words exploratory case studies. Shaw (1978), however, argues that analytical case studies are differentiated from straightforward descriptive case studies by their complexity, depth, and theoretical orientation. Evaluative case studies involve description, explanation, and judgement. They have been termed illuminative evaluation (Parlett and Hamilton, 1976), responsive 110 evaluation (Stake, 1967; Patton, 1980), naturalistic evaluation (Guba and Lincoln, 1981), and qualitative evaluation (Stake, 1981, Goetz and Le Compte, 1984). Yin notes that case studies have a distinctive place in evaluation research. He writes; There are at least five different applications. The most important is to explain causal links in real-life interventions that are too complex for the survey or experimental strategies. In evaluation language, the explanation would link the programme implementation with programme effects. A second application is to describe an intervention and real-life context in which it occurred. Third, case studies can illustrate certain topics within an evaluation, again in a descriptive mode - even from a journalistic perspective. Fourth, the case study strategy may be used to explore those situations in which the intervention being evaluated has no clear, single set of outcomes. Fifth, the case study may be a 'meta-evaluation' - a study of evaluation study (Stake, 1986; Smith, 1990). Whatever the application, one constant theme is that programme sponsor- rather than research investigators alone- may have the prominent role in defining evaluation questions and relevant data categories (Yin, 1994:15). Case study evaluations of educational issues became extremely popular in western nations in the late 1970's and have been 'the genesis of much educative and basic research since then' (Goetz and Le Compte, 1984:30). It is worth mentioning that the existence of a typology of case studies does not imply that the boundaries among various types - or the occasions when each one is to be used - are always clear and sharp. For example, sometimes drawing a boundary line between descriptive or explanatory and interpretative or exploratory case studies is difficult enough. Even though each of them may be explained in terms of their distinctive characteristics, there are large areas of overlap between them. In employing the terms and concepts emerging from the above discussion, the present research is based upon a case study research strategy that is largely qualitative in nature, and descriptive, interpretative and analytic in type. The basic fieldwork was carried out within PNU in Iran during the year 1995. 111 Strengths and Limitations of Case Study Strategies Case study as a distinctive strategy for research has, like other strategies, its own strengths and limitations. These strengths and limitations are inherently related to the rationale for selecting the strategy as the most appropriate design for addressing the research aims. For example, the predictive nature of the findings is a strength of experimental research strategies; but if someone needs information about the characteristics of a phenomenon, more detailed description may be needed. Thus, the limited predictive power of case studies is not seen as a major limitation for such works because prediction should not be the research priority. Another important consideration in assessing the strengths and limitations of various research strategies is to identif' the type of research questions being asked. For example, 'how' and 'why' questions are likely to favour the use of case studies. Thus, the question of how the planning and management strategies of PNU have developed and what their strengths and limitations are might be addressed by either a survey or a through a multi-method case study. The survey might examine the planning model, documenting the practitioner's reasons for selecting or developing this model, largely by using statistics and quantitative information. On the other hand, the question also relates to the factors and processes which influenced the planning of PNU, and elements and issues like the political, economic and cultural forces that have modelled its management, and shaped the university's development. This means that some 'how' and 'why' questions need clarification that could generate important insights and help improve our understanding. This is the moment that, Yin (1994:9) argues, the qualitative dimensions offered by case study have a role to play, because how and why 112 questions are being asked about a contemporary set of events over which the researcher has little or no control. In investigating a social unit which is complex and consisting of multiple variables of potential importance in understanding the phenomenon, there are few better alternatives to the in-depth case study. It is an appropriate design for educational research and has proved particularly useful for studying educational innovations, for evaluating programmes, and for policy analysis. This is another reason for the application of the case study strategy to the present study. Yin states that: Case study's unique strength is its ability to deal with a full variety of evidence - documents, artefacts, interviews, and observation - beyond what might be available in the conventional historical study. Moreover, in some situations such as participant observation, informal manipulation can occur. (Yin, 1994:8) Case study is often better able to assess social changes than other research strategies and offers insights that can illuminate meanings and expand the readers' experience. These insights 'can be construed as tentative hypotheses that help structure future research' (Merriam, 1988:32) Although the case study is seen by many as a valuable strategy for some kinds of inquiry, some critics have, nevertheless, viewed it as a less desirable form of inquiry than others. Perhaps, the greatest concern has been over the potential lack of objective rigour of case study research. This critique may be effectively countered if the researcher is careful to develop a systematic and rigorous research design and takes care not to allow biased views to influence the direction of the findings and conclusions. A second common concern relates to the scientific generalisability of case study findings. 'How can you generalise from a single case?' is a frequently heard question. The answer is not a simple one (Yin, 1994). It is true that scientific facts are rarely based on single experiments; they are usually based on a multiple set of 113 experiments, which have replicated the same study under different conditions, but with the same approach. Yin (1994:10) argues that this tactic, 'can be used with multiple-case studies but requires a different concept of the appropriate research design'. Nevertheless, the real business of the case study, as Stake states, is not generalisation but particularisation. We take a particular case and come to know it well, not primarily as to how it is different from others, but what it is, what it does. There is emphasis on uniqueness, and that implies knowledge of others that the case is different from, but the first emphasis is on understanding the case itself (Stake, 1995:8). The findings of case studies are thus more effectively generalisable to theoretical propositions and not to populations or universes. This can be seen as analytical rather than statistical generalisation (Yin, 1994). This is also congruent with the basic philosophy of much qualitative research. Another criticism about case studies is that they can take a long time to carry out and they can result in massive documents. This criticism may be relevant to much of the ethnographic research that has been done but all case studies do not require a long time in the field. They can take many forms and need not depend solely on ethnographic or participant observer data. In case study one can use many other techniques to achieve a high quality end product depending upon the topic of study. Yin (1994:78) introduces six sources of evidence for case studies: documents, archival records, interviews, direct observation, participant observation and physical artefacts. The case study, for example, frequently uses a chain of evidences gleaned from interviews, documents and observation to create explicit links between the main questions of research, the collected data and the conclusions drawn. This incorporation of data sources can increase reliability because it involves triangulation. Some other limitations also remain to be considered. Guba and Lincoln (1981:377) 114 note that 'case studies can over simplify or exaggerate a situation, leading the reader to erroneous conclusions about the actual states of affairs'. Since in case study the researcher is the primary instrument of data collection and analysis, the amount of description, analysis or summary material used is basically up to the researcher. For this reason, case study is also limited by the sensitivity and integrity of the investigator (Merriam, 1988). Reliance upon the researcher as the primary instrument for data collection and analysis can, on the one hand, produce brilliant insights about a phenomenon, while, on the other hand, lead to a pedestrian or even fraudulent analysis. This is what Guba and Lincoln (1981:378) refer to as the 'unusual problems of ethics'. They note that 'an unethical case writer could so select from among available data that virtually anything he wished could be illustrated'. It is true that by custom case study researchers are privileged to assert what they find meaningful as a result of their investigation. But the key interpretations to be pursued are not solely the researcher's own. These are the informants' interpretations as well. The reliability and trustworthyness of interpretations is more important than whose interpretations are presented or emphasised. The researcher, Stake (1995:99) argues, is the agent of new interpretation, new knowledge, but also new illusion. He tries to extend the elegant intricacy of understanding but there is always, in Stake's (1995:12) words, the 'infinite void still lying just beyond'. Indeed, this is an ethical dilemma. As Stake emphasises: To draw so much attention to interpretation may be a mistake, suggesting that case study work hastens to draw conclusions. Good case study is patient, reflective, willing to see another view of the case. An ethic of caution is not contradictory to an ethic of interpretation (Stake, 1995:12). Despite these limitations, it is argued that case study is one of the most effective strategies for social science research especially when 'how' and 'why' questions are 115 being posed. It is also most appropriate when the researcher is dealing with many variables and has little control over events. The methodological issues that the researcher considered when planning this study were therefore most complex. Indeed, it was necessary to consider the likely effect of the selected strategy together with others, realising that it is often not fruitful to think of research strategies in terms of competition, because each case study can involve a comprehensive and integrated range of different components. Compared with other research strategies, I therefore found case study more appropriate for this study in the light of the specific research aims and questions. The decision to adopt this approach for the study of PNU was, therefore, made in full awareness of the complexity of qualitative case study and of the debate on its limitations. Case Study and Qualitative Research: Epistemological Issues Epistemological debates about positivistic and non-positivistic research have gone on since at least the second half of the nineteenth century. At that time quantification was seen as a key advantage of the natural sciences. There was, likewise, a strong tendency to apply natural science methodology to the emergent social sciences. The advocates of this school of thought argued that control of nature encouraged them in the belief that they should eventually be able to control the social world in the same measure. The influence in anthropology was also evident: Malinowski and Radcliffe-Brown all took the natural sciences as a paradigm for their approaches to the study of 'primitive' societies; though as in the case of Blumer and other Chicago sociologists this was tempered with ideas about the distinctiveness of social phenomena (Hammersley, 1992:167). Advocates of qualitative methods have, even themselves, sometimes regarded the natural sciences as exemplary; thus Thomas and Znaniecki, two of the most influential 116 advocates of case study and life history methods in the 1920s and 1930s comment on: 'the marvellous result attained by rational techniques (that is, by science and technology) in the sphere of material reality' (cited in Hammersley, 1992:167). The experience of social scientists, nevertheless, draws attention to the fact that there are many differences between natural phenomena and social phenomena or human behaviour. Merriam argues that: Naturalistic inquiry, which focuses on meaning in context, requires a data collection instrument sensitive to underlying meaning when gathering and interpreting data. Humans are best suited for this task (Merriam, 1988:3). In terms of natural science methodology, the researcher is seen as a keen outside observer of natural phenomenon and detachment of the researcher from the subject under study (natural phenomenon) is not only possible but also in some sense necessary. The acquisition of knowledge about such kinds of phenomenon, and the better understanding of them, does not require a close relationship with the researcher. By contrast, in social life, the phenomenon and context are not always distinguishable. Thus, understanding of social events, human behaviour, and our interactive social world, needs both a close relationship and sympathy with the subject of the study. In other words: A social researcher cannot be a senseless mirror that reflects only the face of the phenomenon. If so, he/she can not attain the real expected results. The same detachment between social researcher, society, and human being is, therefore, not possible (Ebrahimzadeh, 1992b:43). Realisation of these issues helped bring about a growth in the use of qualitative perspectives and methods. Hence, in the past thirty years, qualitative approaches to research have moved from a marginal situation in many applied social sciences, such as education and health, towards a much more central position. There is considerable debate, however, about the extent to which positivistic strategies can be used in 117 conjunction with qualitative methods in a single research study. Many argue that research methodologies 'should not be arrayed hierarchically' (Yin, 1994), and draw attention to the existence of a complex of assumptions and arguments, some of them in conflict, and a range of strategies and tecimiques that have advantages and disadvantages for particular goals and in particular circumstances. Crossley and Vulliamy (1997:4), for example, state that 'epistemological differences shape a researcher's overall strategy and approach, irrespective of what data collection techniques are adopted'. Moreover, the disadvantages of adopting one methodology rather than another may be tempered through a combination of different methods or even methodologies, thus improving the potential reliability and generalisability of results. Many professional researchers have sought to do this and, at the same time, they have sought to modify current methodological thinking about qualitative research in a variety of ways. They have tried, then, to establish a sort of subtle realism as an epistemological basis for their research. This may be seen as having made the task of appraising the validity of qualitative research findings clearer. This is because, as Hammersley (1992) notes, assessing the validity of the results of qualitative studies in terms of their relevance to or integration with practice - the criterion which most critics emphasise - can be more problematic than assessing their validity on the basis of subtle realism. However, few have argued explicitly against the possibility of such criteria. They accept that social reality is mind-constructed and that there are multiple realities (Smith, 1984:383). In the light of this assumption the reality of the phenomena studied can be dependent on the researcher's perception and interpretation of it. This assumption is congruent with the constructivist point of view in which the 118 world we know is a particularly human construction. That is, what we know of reality is only what we have come to believe, not what we have verified outside our experience. How case study researchers should contribute to their readers experience depends on their notion of knowledge and reality. Stake argues that: We may conceive of three realities. One is an external reality capable of stimulating us in simple ways but of which we know nothing other than our interpretations of those stimuli. The second is reality formed of those interpretations of simple stimulation, an experiential reality representing external reality so persuasively that we seldom realise our inability to verify it. The third is a universe of integrated interpretations, our rational reality. The second and third, of course blend into each other (Stake, 1995:100). This means that each human being has her/his own version of second and third realities and these are ever changing. The aim of research, Stake believes, is not to discover the first kind of reality because it is impossible, but to construct a clear reality of the second kind and a more sophisticated rational reality (the third type), specifically one that can withstand disciplined scepticism. Although it may be true that human beings have multiple ways of perceiving and interpreting reality, this does not mean that there are multiple realities, as constructivists emphasise. In the external world, every entity in itself has its own unique reality which different people perceive differently. Because of this Stake observes: Science strives, to build a universal understanding. The understanding reached by each individual will of course be to some degree unique, but much will be held in common. .. .We seek the well-tuned reality, one bearing up under scrutiny and challenge (Stake, 1995:102). He says that following a constructivist view of knowledge does not require the researcher to avoid delivering generalisations. In his view constructivism justifies the inclusion of a substantial quantity of narrative description in the final report of a case study-based piece of research. 119 Since the assessment of findings of qualitative (and all other) investigations necessarily involves judgement there is always a potential challenge to their truth. This is further pointed out by the fact that the personal construction of reality of every informant is not equally important either epistemologically or socially. But Stake (1995: 102) asserts that 'people have ways, not infallible but practical ways of agreeing on which are the best explanation. So do philosophers'. For this reason Rorty (1984) suggests that the aim of inquiry should be solidarity rather than truth. The problem with this is that the issue of whether some claim is treated as true or trustworthy is determined by our judgement as to the balance of our interests, whether the desire for solidarity with those we currently disagree with outweighs our desire for solidarity with others and our other preferences. Personal civility or political ideology may call for respecting every view and solidarity, but the results of case study research do not. It is not, Hammersley (1992:29) remarks, a convincing epistemology. 'Widespread development over the last twenty five years of qualitative research has been a product of epistemological criticism' (Crossley and Vulliamy, 1997).These epistemological debates among philosophers have not been, and are not today, a dialogue between only two positions; the arguments are more diverse and complex (Hammersley, 1992). Thus, contrary to Rorty, there is no escape from epistemology. It can be concluded that the principle of relativity is strong in qualitative case study. Researchers contribute uniquely to the study of the case and audiences derive unique meanings. These and other differences are relative to the purposes of the study, the immediate situation of the case, and the circumstances of the audience. Hence, some researchers have suggested that to put an end to this kind of debate, one should simply select a combination of methods or techniques, do one's research and leave the 120 philosophical battle to the philosophers (Miles and Huberman, 1984). A combination of methods is, in fact, a form of triangulation that can enhance the validity and reliability of one's study. But, as Merriam (1988:2) has noted, 'troubling problems arise' when one is trying to reach conclusions across studies conducted from different paradigms. Obviously, we make our assumptions about what is knowable and under what conditions this can be reliable knowledge. What is important here is the finding and determining those conditions. The sociological theory of phenomenology gives good support in this respect by emphasising understanding the actions of people on the basis of their active experience of the world (Burgess, 1984). It depends on, as Stake (1995:103) indicates: How much the researcher participates personally in the activity of the case, how much he poses as expert, how much is neutral observer and critical analyst, and perhaps more important than those how much will the researcher be her/himself? Therefore to understand how people construct their reality, as King (1979:3) recommends, we really need to get inside the skin of other people. It is argued that such an approach can contribute to the construction of theory by bringing to bear on the local knowledge gained the interplay of academic insights and researchers working on selected problems or topics, by means of comparative analysis using different disciplines (King, 1979:15). This theoretical perspective supports a predominately qualitative case study strategy to research in the social sciences. To examine the potential of this strategy for the present study and overcome the traditional criticism, I have sought to create an appropriate research design that will maximise the quality of outcomes. This design includes logical sequences, as Yin, (1994) suggests, that link the collected data to the main questions of the research. Such sequences, whether 121 explicit or implicit, strengthen every research investigation, and this case study is no exception. Effort has also been made to minimise the inevitable limitations, thus enhancing the validity of the research. Research Design: Payame Noor University, A Case Study A research design is at best a compromise between the aims of the study, the resources available, and the feasibility of the area of the study. The main purpose of the research is: to help to avoid the situation in which the evidence does not address the initial research questions. In this sense a research design deals with a logical problem and not a logistical problem (Yin, 1994:20). Designing case study research was a real challenge to the researcher because there were few set procedures or protocols - such as in quantitative kinds of research - to be followed step by step. In the literature, of course, there are guidelines and the experience of others to help, but it is not always a simple matter to gauge the correct way to proceed. Decisions have to be made as to what precisely constitutes the case, how data will be collected, who will be interviewed, what documents will be read and so on. These procedures are usually far from routine. One pitfall to be avoided, Yin(1 994:19) recommends, is to consider case study designs as a subset or variant of the designs used for other strategies. He covers new methodological ground, describing a basic set of research designs for doing single and multiple case studies. Although this model is not a complete one and, as Yin himself states, 'needs to be continually modified and improved in the future', in its present form it is, nevertheless, helpful in aiding the design of more rigorous and methodologically sound case studies. 122 The design for the present case study, therefore, was adapted from Yin (1994), in the light of the contribution that this study seeks to make towards our improved understanding of the process of policy making and policy implementation in PNU as the only distance education university in Iran. The components of this design are presented graphically in figure 4.1. This figure shows the operational procedures of pre-fieldwork, fieldwork, and post-fieldwork phases as well as the relationship between and the sequences of these procedures. The research process as shown in figure 4.1 included three distinct phases: pre- fieldwork, fieldwork and post-fieldwork. Before discussing the operational procedures in detail it is worth outlining each of those phases below. Phases of the Research Process The Pre-fleidwork Phase It is hard to say at which point a research study actually began. Before research begins, the researcher is inevitably socialised into a field or discipline with its own vocabulary, concepts, and theories (Goetz and Le Compte, 1984). One begins to think like a member of the field and to view the area of research through its own 'glasses'. This means that traditionally the literature review constitutes the real start of the research. It is argued that the review of literature affects the nature of the questions raised, which in turn influences the research design and strategy, which then influences the conclusions drawn. This does not, of course, mean that the researchers start to review literature with a blank mind. Conversely, while they may have identified their own problems and questions, the review should enable the researcher to formulate their research design, to clarifij their questions and, especially for qualitative researchers, to avoid the danger of adopting overly pre-conceived ideas. 123 I1 I? I leD I I Jr B CD 0 CD & CD CD - CD CD C CD 0 'C 0 0 CD 0 B 2. CD . CD C< B CD pCD a C0 -.rD C-< '