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Revista Internacional de Educação Superior

versão On-line ISSN 2446-9424

Rev. Int. Educ. Super. vol.8  Campinas  2022  Epub 12-Ago-2022

https://doi.org/10.20396/riesup.v8i0.8663684 

Articles

An Integrated Income and Management Model for Internationalization: An Analysis for Higher Education Institutions

Um Modelo Integrado de Gestão e Financiamento para a Internacionalização: Uma Análise para Instituições de Ensino Superior

Carlos Silverio Huerta Jiménez1 
lattes: 8139813716266465; http://orcid.org/0000-0003-0317-7541

Marco Velázquez Albo2 
http://orcid.org/0000-0002-5916-4283

1,2Benemérita Universidad Autónoma de Puebla


ABSTRACT

Since its conception almost three decades ago, internationalization of higher education has seen the development of organization models for internationalization at institutional level. However, based on a literature analysis of the most cited models, what remains to be developed are institutional funding frameworks to support internationalization activities. This article proposes a model for the acquisition and management of funds for the internationalization of higher education institutions. It has the premise that an institutional integrative system can generate more resources than one that is not institutionally integrative. A strategic application of the model is discussed as an example for its application at institutional level. This model provides practical implications for strengthening internationalization efforts at higher education institutions.

KEYWORDS: Higher education; Internationalization; Management; Income aquisition; Strategic planning

RESUMO

Desde o seu início, há quase três décadas, a internacionalização do ensino superior assistiu ao desenvolvimento de modelos organizacionais para a internacionalização a nível institucional. No entanto, com base na análise da literatura dos modelos mais citados, o que resta a desenvolver são os quadros de financiamento institucionais para apoiar as atividades de internacionalização. Este artigo propõe um modelo de aquisição e gestão de fundos para a internacionalização de instituições de ensino superior. Parte da premissa que um sistema institucional inclusivo pode gerar mais recursos do que um não inclusivo na instituição. Uma aplicação estratégica do modelo é discutida como um exemplo para sua aplicação no nível institucional. Este modelo fornece implicações práticas para fortalecer os esforços de internacionalização em instituições de ensino superior.

PALAVRAS-CHAVE: Educação superior; Internacionalização; Administração; Aquisição de fundos; Planejamento estratégico

ABSTRACT

Desde su concepción hace casi tres décadas, la internacionalización de la educación superior ha visto el desarrollo de modelos organizacionales para la internacionalización a nivel institucional. Sin embargo, a partir de un análisis de la literatura de los modelos más citados, lo que queda por desarrollar son marcos de financiamiento institucional para apoyar las actividades de internacionalización. Este artículo propone un modelo de adquisición y gestión de fondos para la internacionalización de las instituciones de educación superior. Tiene la premisa de que un sistema institucional integrador puede generar más recursos que uno que no es integrador en la institución. Se discute una aplicación estratégica del modelo como ejemplo para su aplicación a nivel institucional. Este modelo proporciona implicaciones prácticas para fortalecer los esfuerzos de internacionalización en las instituciones de educación superior.

PALABRAS CLAVE: Educación superior; Internacionalization; Administración; Adquisición de fondos; Planeación estratégica

Introduction

Internationalization of higher education as a concept has existed for almost three decades now and various organization models for the development of internationalization of higher education institutions have been proposed. However, based on a literature analysis of the most cited models (DAVIES, 1992; WIT, 2002; HENARD et al., 2012; HUDZIK; MCCARTHY, 2012; KNIGHT, 1994; KNIGHT; WIT, 1995; RUDZKI, 1998; WENDE, 1997), it was realized that these have mainly focused on dimensions of organizational structures without focusing deeply on the funding for institutional internationalization. Therefore, a model for this purpose would be a valuable contribution to supporting internationalization efforts at institutional level.

This paper proposes a model of acquisition and management of funds for internationalization: Integrated Income and Management Continuum for Internationalization (IIMCI). The model is an adaptation of the "Integrated Income Acquisition and Management (IIAM) Continuum" created by Birmingham (2002). This article argues that the IIMCI is useful for generating comprehensive institutional strategies for the acquisition and management of funds to support the internationalization of higher education institutions (HEIs). Under this proposal, it is suggested that when the institutional work of key activities for the acquisition and management of funds for internationalization (KAAMFI) is carried out in an integrated manner, there is more institutional capacity to generate resources for internationalization. It has the premise, similarly as Birmingham (2002) put it in her research, that an integrative system of acquisition and management of funds can generate more resources than one that is not integrative.

In international and regional surveys on the situation of the internationalization of HEIs (EGRON-POLAK; HUDSON, 2014; GACEL-AVILA; RODRIGUEZ-RODRIGUEZ, 2018), a weak or sometimes non-existent institutional structure for internationalization is reported as one of the main weaknesses for internationalization. The lack of funds to advance this activity is also reported as one of the main obstacles. This reality motivated the writing of this paper. Currently, there are no models that specifically support the acquisition and management of funds for the internationalization of HEIs.

The most recent definition of internationalization of higher education is found in the study "Internationalization of Higher Education" sponsored by the European Parliament in 2015. Wit et al. (2015), authors of the study, offer a definition of internationalization based on the most used definition by that time created by Jane Knight (KNIGHT, 2008). They define internationalization of higher education as

the intentional process of integrating an international, intercultural or global dimension into the purpose, functions and delivery of post-secondary education, in order to enhance the quality of education and research for all students and staff, and to make a meaningful contribution to society (WIT et al., 2015, p. 29).

It is observed in this definition that internationalization is an intentional institutional process of integrating international and intercultural dimensions in the substantive functions of a HEI in order to improve the quality of the teaching, administration, research, extension, continuing education among other key functions. It also highlights, even though not explicitly, that these efforts are aimed at developing global skills in all students and staff. It is expected that international, intercultural or global dimensions take place in the mission and institutional life and that its members get involved to improve the quality of education and research for all and not only for students, professors, researchers who can participate in international mobility programs. In addition to increasing institutional quality, internationalization strategies should contribute to the betterment of the communities the HEIs serve and in general to society.

It is argued in this article that all of these international activities should be financially sustainable. HEIs report as a weakness or an obstacle to internationalization the lack of funds and structures, but would not it be instead that what HEIs are lacking is a strategy or model of acquisition and management of funds that would make their internationalization activities sustainable?. Whether HEIs have traditional internationalization activities: the mobility of students, faculty and researchers and international research cooperation; or they have other more recent ways of internationalizing such as internationalization of the curriculum, internationalization at home, virtual mobility, collaborative online learning among others (cf. WIT et al., 2015), HEIs require a strategy for the acquisition and management of funds that would assure that these activities are financially sustainable. One would think that this is a given, but why is it then that many HEIs report as a weakness the lack of funds for internationalization.

Wit (2017) comments that there is no internationalization paradigm that all higher education institutions should aspire to. One could very well argue that there are as many ways of implementing internationalization as there are HEIs. Each institution, depending on its mission and vision, should decide what internationalization means to them, why internationalize, what to do, and how to achieve the objectives set. Therefore, the acquisition and management of funds for internationalization is also particular to each HEI. Since its conception, internationalization of higher education has seen the development of internationalization organization models at institutional level (DAVIES, 1992; WIT, 2002; HENARD et al., 2012; HUDZIK; MCCARTHY, 2012; KNIGHT, 1994; KNIGHT; WIT, 1995; RUDZKI, 1998; WENDE, 1997). For the purposes of this text, the organization model of Wit (2002) is used to exemplify a model that has as implicit tenets the need for integrative efforts, vertical and horizontal collaboration and institutional as well as stakeholder commitment.

Integrative Management of Internationalization: Collaboration and Commitment

The way in which internationalization has been conceived has determined the scope and contents of the models for its management at the institutional level. Since 1994, when Knight proposes her definition of internationalization as the integration of an international and intercultural dimension in the different substantive areas of an institution, models were developed to make internationalization permeate the institutional functional areas in order to improve the quality of education and research. Under this perspective, the same author (KNIGHT, 1994) created a model with emphasis on processes and gave it a cyclical characteristic. Wit (2002), built on Knight's cyclical model by adding an integration effect in relation to the impact that internationalization activities at the institutional level have on education, research and service to society (Figure 1.)

Wit (2002) and Knight (1999), considering internationalization as a task that should involve the entire educational enterprise, developed an internationalization management model that mirrors a strategic planning process. It starts by making a diagnosis, and continues its other elements moving cyclically: the plan, implementation, evaluation and reinforcement. In a strategic planning process, the internal and external context is analyzed, key factors for the success of strategies are identified, the structures to support the achievement of the goals are formulated, and a budget is projected to fund the work. The largest number of internal and external stakeholders are involved. This helps participants realize that they can support internationalization from their trenches regardless of whether or not this responsibility is explicit in the description of their positions. As Childress (2009, p. 291) explains it, “plans advance institutional goals for internationalization by expressing institutional commitment, defining institutional goals, informing stakeholders’ participation, as well as informing and stimulating stakeholder involvement in internationalization initiatives.”

Source: Wit (2002, p. 136)

Figure 1 Internationalization Circle 

In Wit’s Circle (2002, p. 127), two underlying elements are identified for a successful implementation in each of its nine stages: integration and commitment. It is suggested that by integrating the largest number of stakeholders, six purposes should be aimed to be achieved: 1. make stakeholders realize the importance and sense of urgency of internationalization strategies for the institution, 2. obtain their support to determine the strategies to be developed, 3. realize that from their positions, they can support the achievement of goals, 4. objectives and goals are determined in the awareness that progress and achievement depend on the degree of integration, 5. responsibilities are assigned that are not necessarily part of the description of their positions, and 6. they learn better how to be involved in the acquisition and management of funds for internationalization. The commitment to work in an integrated and collegial way is essential for the cyclic advancement of the model. Wit (2002) calls the circle that connects each phase the “Supportive Culture to Integrate Internationalization”. Once the plan is put into operation, personal and professional commitment is the engine that will move actions forward through the operational stages of the circle: implementation, review, reinforcement and reengineering if necessary.

For purposes of greater assurance of success in the implementation of internationalization activities, it is important that the personnel of key activities that directly work in the acquisition of institutional funds participate in the process of creation and implementation of the internationalization strategic plan. These key activities are addressed in the following section.

Key Activities for the Acquisition and Management of Funds for Internationalization (KAAMFI)

Birmingham (2002) identified in its research ten key activities for the acquisition of funds in a HEI: Marketing, Institutional research, Relations with the media, Relations with the community, Relations with the private and social sector, Relations with governments, Procurement of grants, Relations with alumni, Foundation, and Publications. For purposes of elucidation, each of these activities are described here:

  1. Marketing: Through this activity, funds are generated for the institution by giving the institutional brand a greater reach and impact both internally and externally, supporting the recruitment of students, supporting educational programs to look attractive to potential students, and through a variety of marketing strategies that each institution establishes.

  2. Institutional Research: This activity is key for the acquisition of funds because if the information generated by this office is pertinent, reliable and relevant, institutional decision-making and planning processes are created on empirical evidence. Consequently, the institution is more efficient in acquiring and managing resources.

  3. Relations with the media: This activity generates funds by keeping the institution in the media such as radio, television, press, social networks, etc., the local, regional and even the international community is kept informed about the programs offered by the institution, institutional achievements, success stories, etc.

  4. Relations with the community: The outside community is a sector from which funds are procured through the offering of academic programs and training activities. These activities are carried out to strengthen relations with business and industry of the region, with civil organizations, the public sector, chambers of commerce, etc. HEIs also offer the community events, concerts, sporting events, etc. that can have a cost thus generating financial resources for the institution.

  5. Relations with the private and social sector: Another source of institutional funds comes from corporations, companies, businesses, industries, foundations, etc. who are interested in investing in projects and programs (and consequently in teachers, students and researchers) that are being developed in the institution. If a private or social entity invests in a HEI, not only does it increase its relations with the community and practices its social responsibility, but also it increases its visibility and promotes itself, identifies prospective talents, etc. HEIs also generate funds by offering training, joint research, and other services to these sectors.

  6. Relations with governments: Securing public financial resources, interacting with policy-makers, with legislators and mayors are practices that generate institutional funds. The key personnel that are in charge of these activities are key for lobbying and procuring institutional funds for the institution.

  7. Procurement of grants: Supporting faculty and staff in the application for grants from international organizations, private entities, foundations, etc. is a key funding generation activity.

  8. Relations with alumni: Alumni can contribute with donations to HEIs, they can inquire whether the company in which they work could make a donation in money or in kind to the HEI, alumni could include the HEI in their will, etc.

  9. Foundation: This activity is key for the acquisition of funds through tax-deductible donations to the HEI and fundraising events. Relationships with individual or family donors, donor companies, businesses and industries, and foundations are developed to secure increasing institutional funds.

  10. Publications: The sale of publications created by the different academic programs of the HEI, as well as other publications from partner universities and publishers is a key income generating activity.

It is agreed with the author that for most tertiary education institutions these activities are key to the acquisition of institutional funds. There may be more activities related to income generation. One more is added here that it is considered key to supporting the acquisition of resources for internationalization: commercial internationalization. The concept of internationalization has been used in international relations and in political sciences, as well as in the private and social sectors implying a reach beyond borders. In these fields, internationalizing means having direct participation in other countries in such a way that they are part of the global economy. The internationalization of a public, private, or social company goes through a process that involves a series of decisions aimed at increasing its reach, its competitiveness, its performance, and its income. The internationalization of a company is a systematic and planned task to increase its strengths, reduce its weaknesses, expand its opportunities, and prepare itself to face threats in a global context with a purpose: revenue.

Likewise, HEIs are also public, private or social enterprises that seek to internationalize and participate in a globalized world. It has already been mentioned that each HEI determines how to internationalize. It is also the decision of each HEI if all, some or none of its internationalization activities have to have commercial purposes. If it is decided that some internationalization activities should generate institutional income, then actions will have to be carried out for this purpose: to increase international visibility in order to attract local students who prefer an institution with an international profile; attract, recruit and charge tuition to international students; open a campus in a foreign country, develop international activities of applied research and development, among other commercial strategies. These activities will have to have the explicit purpose of increasing the institution's income and supporting its internationalization.

Now that the key activities for the acquisition and management of funds for internationalization (KAAMFI) have been explained, the next section explains the instrument that has been called Integrated Income and Management Continuum for Internationalization (IIMCI).

Integrated Income and Management Continuum for Internationalization (IIMCI)

It is in the last decade of the 20th century when definitions and organization models of internationalization of HEIs began to develop. In several countries, tools and sets of indicators have been developed to assist institutions or programs to analyze their own institutional internationalization activities (self-assessment). Other tools are intended to allow comparisons to be made between programs or between entire institutions (benchmarking). Self-evaluation and comparative evaluation have an internal function, generally oriented towards improvement of international activities. (BEERKENS et al., 2010). However, there are no models in the literature that support the acquisition and management of funds specific for the internationalization of HEIs. In this text, a model called The Integrated Income and Management Continuum for Internationalization (IIMCI) is proposed. (Figure 2). The IIMCI is an adaptation of the "Integrated Income Acquisition and Management (IIAM) Continuum" created by Birmingham (2002). Birmingham created the IIAM proposing that key activities of acquisition and management of funds advance in a continuum that goes from disintegrated to integrated activities and from little to greater commitment among them.

The instrument has two parts. In part 1, the user of the IIMCI instrument first must identify whether his/her institution has some or all the KAAMFI by checking the box YES or NO for each activity. In part 2, the user is explained that the continuum moves from stages 1 through 5 representing 1 the lowest integration and commitment and 5 the highest integration and commitment. He/she is instructed to identify the stage that in his/her opinion the institution is currently at and add comments that justify the choice. The instrument can ideally be used by institutional teams and groups of decisions makers including KAAMFI representatives. The purpose is to promote conversations and debate that would stimulate reflection and a decision making processes with the purpose of striving for potential chance and innovation.

Source: Based on Birmingham (2002, p. 10)

Figure 2 Integrated Income and Management Continuum for Internationalization (IIMCI). Part 1. Activities 

Source: Based on Birmingham (2002, p. 10)

Figure 3 Integrated Income and Management Continuum for Internationalization (IIMCI). Part 2. Stages 

This tool has value when used at each of the 9 stages of Wit’s Internationalization Circle. An application on how the IIMCI relates to each of the 9 stages is explained in the next section.

The IIMCI in Operation: An Application

In previous paragraphs it was mentioned that there is not a single way to internationalize but each institution decides what they mean by internationalization and decides which internationalization strategies to carry out. In this text, the importance of going through a strategic planning process is highlighted and recommended. Not only does this planning allow for the involvement of all key stakeholders whose responsibilities are the acquisition of institutional funds, but also stakeholders that do not have this duty explicit in their job descriptions. The latter can also support the acquisition of funds. Consequently, this process allows for everyone to realize that from their positions they have an implicit or explicit responsibility to support the internationalization of the institution including an important part that is the acquisition of funds to support and advance this activity.

To analyze the potential of the IIMCI in practice, the organization model of Wit (2002) is used: The Internationalization Circle. It is considered that the IIMCI is useful in each of the nine stages of the circle. The stakeholders that are part of the strategic planning process should be introduced to the IIMCI model from the beginning of the planning process and it should be emphasized among them that all the activities that eventually become part of the internationalization strategic plan must be accompanied by their corresponding funding or funding projection. An explanation of applications of the IIMCI Continuum for each stage of Wit’s Circle follows.

Stage 1. Analysis of the internal and external context, policies and pronouncements.

It is likely that, out of this analysis of the context, it is reported that a weakness for the internationalization of the institution is the need to strengthen institutional structures and that one of the main obstacles is the lack of funds for internationalization. The IIMCI Continuum at this stage can make participants realize that without funds for internationalizing, intentions and good ideas are not good enough. After making the case for internationalization, administrators in charge of KAAMFI are encouraged to come up with ways to support the acquisition of funds for internationalization and to work together for this purpose. Therefore, in this stage, the participation of KAAMFI administrators is essential. Stakeholders whose job descriptions do not explicitly establish acquisition of institutional funds are also encouraged to support this cause from their trenches in a collaborative way with KAAMFI administrators.

Stage 2. Raise awareness of the need, purpose, and benefits of internationalization for students, employees, teachers and society.

Making the case for internationalization at this stage among participants of the strategic planning group is essential. At this stage, conversations take place around the why to internationalize. If participants do not build a consensus on the reasons why internationalization activities are beneficial for the institution, its members, and to society, it would be difficult to get the buy-in from all stakeholders. Since participants have already been familiarized with the IIMCI Continuum in the previous stage, it is at this stage 2 when a deeper analysis of the contents of the tool can be carried out. Participants, individually or in teams, can be asked to mark, according to their experience and knowledge of the institution, the stage of the continuum in which they consider that the institution currently is at. A plenary to report results and build consensus will follow. Deciding collectively on a stage allows the group to learn about the different components and degrees of institutional integration of the more advanced stages in the continuum. This is a good time for the group to make decisions towards advancing to a stage of more integration and coordination to support the funding of internationalization.

3. Commitment by senior administrators, governing board, teachers, staff and students.

Supporting the acquisition of institutional resources should be everyone's job. The job descriptions of many positions within an educational institution do not consider this as one of the responsibilities. Although "support for the acquisition of funds for the institution or for internationalization" is not explicitly found in these descriptions, it is important to raise awareness among the different stakeholders that they can support this task from their trenches. The IIMCI Continuum serves so that those involved in strategic planning meetings generate a strong commitment to support the funding of institutional internationalization. Once the stage of setting internationalization objectives and goals arrives, participants will be more disposed towards supporting the funding of international activities.

4. Planning. Identify needs and resources, purpose and objectives, priorities, strategies.

It is at this stage of the Circle that the IIMCI Continuum may be more useful. Not only is it important to allocate financial resources but a projection should be made on how these resources will be sustainable. One could go one step further, not only trying to ensure financial sustainability but also project long-term integrative strategies to increase funds for internationalization. In other words, try to design strategies for acquiring funds that exceed the minimum funds for the assurance of each activity and generate a surplus of resources for internationalization. The IIMCI Continuum supports this task by bringing to the table the discussion about the need for integration, systematic and planned work, and creativity in the acquisition of funds.

5. Put into operation: academic and service activities, organizational factors using guiding principles.

If one of the guiding principles in the formulation of the internationalization strategic plan was the acquisition of funds, this principle should be put into practice when the strategic plan is put into operation. Here organizational factors are especially important. According to the IIMCI Continuum, the ideal scenario is that KAAMFI are interdependent and those in charge share and use information with other institutional areas. Implementing an integrative model for the acquisition of funds has a direct impact on organizational structures. The more interdependent these structures are, the stronger the collaboration for this purpose. In the implementation of the strategic plan it is important that stakeholders are ready to make readjustments and that there is flexibility to work in an integrated manner and to be ready to adapt to unexpected changes.

6. Implementation of programmatic and organizational strategies.

The operational part of the plan involves the implementation of the integrated organizational activities as well as the activities at the program level. The IIMCI Continuum is useful at this time to reinforce the task of acquiring funds. This task is continuous, it does not stop, it should not be set aside at any time. Income acquisition at the implementation stage is when the KAAMFI are the most active. The operational part of a strategic plan can last from 4 to 6 years and it is during this period that funds will be continually sought after and work will be carried out towards greater integration and institutional coordination for this objective. One should not forget that the implementation of programmatic internationalization strategies can attract financial resources if the institution decides so. Enrollment of international students, exchange programs, study abroad programs, double degree programs, etc. all of them should be income generation oriented and in turn these funds should be used to advance institutional internationalization activities.

7. Review. Evaluate and improve the quality and impact of initiatives as well as the progress of the strategies.

Every strategic planning process has an evaluation stage. It is at this time when stakeholders sit down to review the degree of achievement of the different goals of the internationalization plan. The IIMCI Continuum can be used in these discussions to assess how the instrument helped and supported the acquisition and management of funds for internationalization activities, as well as for the achievement of goals. It can also be used to assess whether the degree of institutional integration has advanced and discuss the advantages and disadvantages of working towards an integrative model of acquisition of funds for internationalization.

8. Reinforcement. Develop incentives and recognition for teachers, employees, and student participation.

Encouraging and recognizing the efforts of the different institutional key stakeholders as well as students is recommended. Incentives and recognition can take many forms. They can range from printed awards granted at ceremonies, to awards in the form of scholarships for continuing education, and they can even be gifts. Encouraging and recognizing efforts has a financial cost to the institution. Therefore, funds should be secured and set aside for providing incentives and recognition. The IIMCI Continuum reminds those involved that by working in an integrated manner, more creative ways to generate funds will be implemented and in turn more recognition and incentives will come to them.

9. Integration effect. Impact on education, research and services to society.

Wit’s Circle emphasizes that integration of all stages of the internationalization process is key so that there is an impact on education, research and service to society. The IIMCI Continuum should be seen as a tool that contributes to supporting this impact. The breadth and depth of the institutional financial strength to support international activities should be directly proportional to the magnitude of quality improvement for all and service to society.

It can be seen that the IIMCI is a useful tool to support the initiation and advancement of each of Wit´s 9 stages of his Internationalization Circle. The IIMCI is an instrument that reminds institutional stakeholders of the importance of integrative and collaborative efforts across the institution with the purpose of advancing the fundamental purpose of higher education internationalization: a means to improve quality and better serve society.

Conclusions

The few or no institutional structures, as well as the lack of funds are reported in international surveys as the main weaknesses or obstacles to advance the internationalization of tertiary education institutions. Each institution decides how to internationalize and why to do this. Internationalization is seen as a task that involves the entire HEI enterprise. In order to work interactively and strengthen the acquisition of funds for internationalization, the IIMCI Continuum is proposed in this article. This tool supports institutions to make decisions in a strategic planning process for internationalization to secure and project funding for the goals set in the plan. The internationalization organization model of Wit (2002) is taken to exemplify the usefulness of the IIMCI Continuum. It is explained how this tool supports the strengthening of institutional structures to support and promote internationalization. Working in an integrated manner at the institutional level for the acquisition and management of funds for internationalization is a task that remains to be implemented at various HEIs around the globe and this article provides ideas and an instrument for leveraging institutional efforts that result in greater financial resources and better structures for internationalization.

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Received: December 18, 2020; Accepted: January 18, 2022; Published: January 22, 2022

Corresponding to Author1 Carlos Silverio Huerta Jiménez E-mail: carlos@usmexfusion.org Benemérita Universidad Autónoma de Puebla Puebla, México CV Lattes http://lattes.cnpq.br/8139813716266465

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