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In response to the challenges presented by unprecedented growth in higher education (HE) since 1978, China adopted policy experimentation (PE) as a means of introducing and testing HE reforms. This study involves four in-depth case studies of important reforms facilitated by policy experiments at different junctures of China's HE development: early 1980s, mid-late 1980s, late 1990s, and early 2010s. Within each reform, two elite universities as 'experiment points' (shi dian) were selected. Through cross-case analysis informed by semi-structured interviews and extensive documentary analysis, the study offers a holistic historical perspective on how PE has been used to bring about institutional changes in China's higher education. The study documents different rationales used for implementing policy experiments. State actors use PE to exert pressure on universities to introduce reforms, to lower associated risks and to strengthen the nation's overall HE policymaking capacity in a volatile and extremely heterogeneous context. For their part, university leaders have adopted PE locally to navigate China's politically charged policymaking environment and to negotiate with state actors more favourable terms for reforms. Therefore, the PE approach enables state-university interactions and power negotiations that create and maintain 'strategy space' for consensus-building and institutional changes. It is an iterative process characterised by central-local interaction and intentionally ambiguous boundaries. The state, however, retains ultimate authority for legitimatising, selecting and expanding policy experiments. It is best understood as elite-enabled experimentation within existing political hierarchies. Over time, China's PE approach has become a semi-institutionalised mechanism for HE reforms. In the various policy experiments discussed in this study, PE functions as a productive, disciplinary and symbolic force at different stages of the policy process. Sometimes it appears to offer a genuinely productive mechanism for producing, identifying and negotiating innovative policy options that may be replicated at a larger scale; sometimes its essential use lies in its generated regulative effect; and sometimes it assumes more of a symbolic role allowing the government to acquire or consolidate reform legitimacy. Policy processes are mediated by these different uses of PE towards either reform efficacy or institutional conformity. This study situates these reforms within broader political, social, economic and historical contexts, and highlights the policy implications for higher education reform internationally.

In the light of growing concerns regarding the quality of higher education after a period of rapid expansion, in 2003, the Chinese government launched the Undergraduate Teaching Evaluation (UTE), the first nation-wide evaluation of universities. In 2008, the UTE was replaced by the Quality Project, which signalled a change in its quality assurance approach, with a move from evaluations to the issuing of awards. In order to investigate the impact of the two national quality assurance policies, along with the impact of two long-standing internal quality assurance mechanisms employed by universities - class observation and student evaluation of teachers - on teaching, the researcher adopted policy analysis and a case study approach. Three different universities in the same region were selected as cases. Semi-structured interviews with 56 heads of department and teachers across three departments at each university were conducted. National and university policy documents, as well as interview data, were analysed thematically in the light of concepts derived from the political sciences, namely Knoepfel et al.'s (2007; 2011) framework for policy analysis and Schneider and Ingram's (1990) classification of policy tools. University policies and interview data revealed the patterns of impact of these two quality assurance policies. Faced with the UTE inspection, universities shifted their focus from assuring the quality of teaching to achieving good results in the exercise and therefore engaging in 'game-playing'. In order to ensure good UTE results, universities even resorted to the manipulation of data. University policies resulting from the UTE required teachers to produce standardised documents and to follow particular procedures. The majority of interviewed teachers regarded the impact of the UTE with cynicism, seeing it as a waste of time and effort, an interference with academic freedom, and believing it had the effect of undermining ethics. However, some teachers reported as positive impact of the fact that the UTE helped to keep teachers disciplined, and that it provided an impetus for ensuring teaching quality. Interview data showed that the Quality Project awards only had an impact on the award winners, who perceived the incentives on offer to be substantial. These award winners considered the acknowledgement given by the awards and the information obtained through reflection and good examples as valuable impacts. However, the Quality Project awards did not have impact on non-award winners, i.e. the majority of teachers. This study revealed that in order to have impact the institutional practices of class observation and the student evaluation of teachers relied on a number of conditions being in place. These practices had impact when the stakes were high or when university teachers received valid and reliable feedback. Whilst high stakes were found to lead to mixed impact, valid and reliable feedback contributed to the improvement of teaching. This study contributes to the understanding of the impact of quality assurance policies and mechanisms on teaching in Chinese higher education, an area that has not yet been the subject of significant empirical research. Covering the two major quality assurance policies in recent years, and also the institutional mechanisms teachers face, this research was able to capture the interdependence between these policies. No such research has previously been conducted in the context of Chinese higher education. In regard to the theoretical aspect of the research, the empirical evidence that was collected and a comprehensive review of other empirical research enabled the development of an Impact Framework. The Impact Framework identified patterns in the impact of various quality assurance policy tools and revealed their inherent strengths and weaknesses. Hence, the Impact Framework can serve in the future as an important reference for policy-makers who are seeking to design and implement effective quality assurance policy tools.