From German Model To American Model

In recent years,flagship universities in many countries worldwide have set the goal to transform themselves into world-class universities,which is full of challenges.Although extensive case studies on research universities have been conducted,most are accounts of university stories,and very few in-depth and systematic empirical studies have been conducted on the change process occurring at those universities.To fill the research gap,this paper aims to analyze how a European university,Swiss Federal Institute of Technology in Lausanne(EPFL)achieved world-class status through a fundamental transformation and institutional transfer based on theories of model analysis,new institutionalism and change management.To fulfill the research purpose,an exploratory and explanatory single case study method has been adopted.The nature of this qualitative case study enables the researcher to develop a holistic and meaningful understanding of the transformation of EPFL.Data has been collected through multiple sources:(1)A historical analysis of EPFL based on archival data which has been retrieved from EPFL's library,institutional data available on EPFL's website as well as books and articles written about EPFL and its leadership;(2)in total,45 in-depth interviews were conducted with diverse university stakeholders,including 18 administrators,10 academic leaders,and 17 faculty members.Interviewees were asked open-ended and generic questions to uncover the essence of the major transformation that occurred during President Aebischer's tenure,including the driving forces,content,effects and challenges of the transformation.Based on the case study of EPFL,conclusions in four aspects could be drawn upon:New institutionalism believes that any organization is an institutionalized organization and is influenced deeply by the institutional environment.With the advent of the era of knowledge economy and the intensification of international competition,the external institutional environment in which research universities are located has undergone major changes.Competing global dynamics and various“institutional transmitters” continue to force governments at the national level to integrate global competition norms and university prototypes into relevant governance structures and policies.In this context,Switzerland began to reform its higher education system,adopting the concept of new public management to promote the marketization and competitiveness of its research universities.At the same time,the Swiss federal government adjusted the strategic goal of EPFL and appointed Patrick Aebischer as the“institutional entrepreneur”to promote the transformation of EPFL.It was under both the legal pressure and competitive pressure that President Aebischer made a strategic choice to transplant the American model to build EPFL into a world-class university.In terms of the change initiatives,this study found that during the period of2000-2016,EPFL has transformed to US model mainly in five aspects,including governance,organizational structure,personnel system,doctoral training,and technology transfer.Regarding governance,EPFL has gained more institutional autonomy and strong leadership but lost its collegial culture;in terms of organizational structure,EPFL's departments have been integrated into more closely connected colleges.At the same time,the chair-based institutes under the control of individual professors have been transformed into institutes shared governed by faculty members;as far as the personnel system is concerned,EPFL adopts the tenure track assistant professorship;in terms of doctoral training,EPFL has transformed from the apprenticeship system to a more structured doctoral school system.The study also reveals that under the influence of the overlapping of multi-institutional logics,which includes national logic,market logic,university management logic and academic logic,EPFL could not simply copy the American model,but rather merge it with the university's tradition.Third,in terms of the effects of the changes,the success of EPFL is reflected in four dimensions,including an improvement in the university's academic culture,contributing greatly to the concentration of talent,the acquisition of competitive research funding and industry income,and the scientific excellence of EPFL.In terms of talents and funds,this study found that between 2007 to 2012,the increase rate of academics and graduate students have exceeded than 95% and 80% sample universities respectively,while the increase in research funding has exceeded 60% of the samples.In addition,in terms of vertical data,the growth of talent and third-party funding at EPFL has far exceeded the previous periods.The data shows that EPFL's attractiveness to talent and its ability to obtain competitive funding has been significantly enhanced and through melding the spirit of the US with the European context,such as its meritocracy with generous federal support,EPFL has created a dynamic and innovative culture,a culture that is unique in Europe and attractive for European researchers.Fourth,the study has also portrayed the challenges that university leadership tend to encounter when managing top-down reforms in the context of globalization.The top-down radical changes at EPFL triggered the biggest crisis in the history of the university.Faculty members strongly resisted the changes due to reasons including the lack of trust in the new president,fear of losing control,concern over personal loss,disputes between old and new disciplines,dislike of the university becoming too Americanized,and the inability to meet new research requirements.The study shows that faculty members' sentiment must be considered and dealt with appropriately through approaches such as gaining support from the government,using effective communication,forming a formal and informal coalition,and showing early success.The study shows that collegiality cannot be ignored or by-passed by university leadership since it's a key aspect of the culture of universities.In other words,to secure these changes,university leadership need to cooperate with the university community during the change process and inspire faculty members towards the common goal,otherwise change will not stick without support and action at the bottom.Finally,this study also reflects on the problems and risks brought about by the transformation of the flagship universities represented by EPFL,mainly in two aspects.First,although EPFL has enhanced its international competitiveness through copying the US model,it has also neglected its local mission to some extent,lost some of its traditional values and distinctive features.What is more,to pursue fast development,EPFL conduct managerialism over collegiality,depriving faculty of the opportunities to participate in decision-making and strategic planning,which has resulted in several negative effects,including a decline in faculty's sense of belongings,an increased risk of wrong decision-making,harm to the bottom-up change and innovation,and an unstable new culture.