Regulation and control play a vital role in ensuring the quality and effectiveness of higher education systems, in the U.S. and internationally. In the U.S., higher education is regulated and controlled by governmental bodies like the Department of Education and accrediting agencies. These bodies enforce quality standards and ensure institutions comply with relevant laws and regulations.

Internationally, higher education's regulatory and control mechanisms vary across countries. In the U.K., higher education is heavily regulated by the government, with quality assurance agencies responsible for ensuring that institutions meet specified standards. In countries like Canada, governmental bodies and independent accrediting agencies regulate and control higher education.

To identify regulations and types of control that reign accountability in public and private universities, students will learn international mechanisms and regulatory systems like governing boards and coordinating boards as well as state and local regulatory systems. The assessment will allow the learner to assess Vietnam's differences and similarities to international cases.  

Below are examples of regulatory and control mechanisms for higher education internationally:

• The Bologna Process in Europe aims to harmonize higher education across the continent.

• The Tertiary Education Quality and Standards Agency (TEQSA) in Australia regulates and controls the quality of higher education institutions in the country. 

• The National Assessment and Accreditation Council (NAAC) in India and the Higher Education Evaluation and Accreditation Council of Taiwan (HEEACT) both assess and accredit higher education institutions in their respective countries.

In higher education, governing boards and coordinating boards play essential roles in managing and overseeing universities and colleges.

Governing boards (GB) make policy decisions and provide oversight for the institution they represent. GB can hire and fire top-level administrators, approve budgets, set tuition rates, and make other decisions that affect the institution. Higher education GB include university boards of regents, boards of trustees, and boards of governors. For example, the Board of regents at the University of Michigan is responsible for overseeing the university's operation, setting policies, and ensuring that it operates in the best interests of its students and the state of Michigan. The board consists of eight elected members that work for around eight years and are not pay. (University of Michigan). 

Conversely, coordinating boards coordinate and oversee the higher education system within a state or region. They do not have direct authority over individual institutions but rather work to ensure that institutions meet the needs of the state or region and that resources are being used efficiently. Coordinating boards include the Texas Higher Education Coordinating Board and the Florida Board of Governors. The California State University System is one example of a coordinating board in higher education. The California State University System is overseen by the California State University Board of Trustees, responsible for setting policies and supervising the operation of the 23-campus system. However, the system is also subject to oversight by the California Postsecondary Education Commission, responsible for coordinating higher education policy across the state. (The California State University)

(Read more in ... https://www.calstate.edu/csu-system/board-of-trustees/Pages/about-the-bot.aspx , and

https://agb.org/trusteeship-article/governing-higher-education-systems-in-perilous-times/ )

National, state, and provincial (local) regulatory systems in higher education refer to the legal frameworks, policies, and procedures that govern higher education institutions' operation and quality assurance within a particular country or region. These regulatory systems ensure that higher education institutions provide high-quality education and maintain academic standards aligned with national or regional expectations. Below are some examples of national, state, and local regulatory systems in higher education, along with references for further information.

1. 1. 1. National regulatory systems: The national government regulates higher education institutions in many countries. For example, the Department of Education oversees higher education institutions in the U.S. and ensures they comply with federal regulations. In France, the Ministry of Higher Education and Research is responsible for setting policies and regulations for higher education institutions. Similarly, in Australia, the Tertiary Education Quality and Standards Agency (TEQSA) regulates higher education institutions and ensures that they meet national quality standards (Australian Government, n.d.).

      2. State regulatory systems: In some countries, regulatory systems for higher education are established at the state level. For example, in India, each state has its own regulatory body responsible for overseeing higher education institutions. In the U.S., each state has a higher education agency responsible for regulating institutions within the state. For instance, the New York State Education Department regulates higher education institutions in New York State (New York State Education Department, n.d.).

      3. Provincial regulatory systems: In countries like Canada, regulatory systems for higher education are established at the provincial level. For example, in Ontario, the Ministry of Colleges and Universities regulates higher education institutions and ensures they meet provincial quality standards. Similarly, in British Columbia, the Ministry of Advanced Education and Skills Training oversees the quality and accountability of the province's post-secondary education system (Government of British Columbia, n.d.).

Accreditation is the process by which a recognized external body evaluates and verifies that an institution, program, or service meets certain predetermined standards. In higher education, accreditation is a voluntary process that allows institutions and programs to demonstrate their quality, accountability, and credibility to stakeholders such as students, employers, and the public.

Accreditation can be divided into two main types: 

1. 1. 1. Institutional accreditation evaluates an entire institution against standards that assess its overall effectiveness, governance, management, resources, and mission. Institutional accreditation is typically performed by regional or national accrediting agencies recognized by the U.S. Department of Education, such as the Higher Learning Commission, the Middle States Commission on Higher Education, or the Southern Association of Colleges and Schools Commission on Colleges. These agencies use a peer-review process and site visits to evaluate an institution's compliance with the standards and make recommendations for improvement.

      2. Program accreditation is the process of evaluating a specific academic program against a set of standards that assess its quality, rigor, and alignment with professional or disciplinary standards. Specialized accrediting agencies often carry out program accreditation focusing on business, engineering, nursing, or social work fields. These agencies may be independent or affiliated with a professional association or government agency. Examples of accrediting program agencies include the Accreditation Board for Engineering and Technology (ABET), the Association to Advance Collegiate Schools of Business (AACSB), and the Council on Social Work Education (CSWE).

In addition to accreditation, higher education is subject to various forms of control, including regulation and oversight by federal and state governments, accreditation agencies, and other stakeholders. Regulation refers to the rules, laws, and policies that govern the operation of higher education institutions and programs, as well as the behavior of their stakeholders. For example, the U.S. Department of Education establishes rules and policies related to federal financial aid, campus safety, and student rights and protections. State governments may regulate tuition rates, academic standards, and teacher preparation programs. Accrediting agencies may also impose sanctions or revocation of accreditation for institutions and programs that fail to meet their standards.

In summary, accreditation is a voluntary process that allows institutions and programs to demonstrate their quality and credibility. At the same time, regulation and other forms of control provide oversight and accountability to ensure that higher education institutions and programs meet certain standards and expectations.

(Read more in U.S. Department of Education, 2023)

Higher education financial regulations refer to rules, policies, and laws that govern the financial management of higher education institutions. Regulations are designed to ensure transparency, accountability, and effective management of resources, which is critical to the success of the institutions. In this context, institutions can implement several types of controls to comply with these regulations.

1. 1. 1. Internal Control: these are policies and procedures established by an institution to ensure the integrity of financial transactions and protect against fraud or mismanagement. Examples of internal controls include the segregation of duties, regular reconciliation of accounts, and strict access controls.

      2. External Control: External controls are regulations and oversight imposed on an institution by government agencies, accrediting bodies, or other external entities. Examples of external controls include compliance with federal financial aid regulations, state laws governing the procurement and contract management, and requirements for financial reporting to accrediting bodies.

      3. Fiscal Control: Fiscal controls are mechanisms institutions use to ensure that their financial resources are used efficiently and effectively. Examples of fiscal controls include budgeting, cost accounting, and financial forecasting.

      4. Audit Control: Audit controls involve regular reviews of an institution's financial records by internal or external auditors to ensure compliance with regulations and identify potential areas of risk or vulnerability.

      5. Risk Management Control: Institutions take measures to mitigate financial risks and protect against potential losses. Examples of risk management controls include insurance policies, contingency planning, and investment strategies.

Examples of financial regulations and types of control in the U.S. that may impact higher education institutions include the following:

• • • The Higher Education Opportunity Act (HEOA) of 2008 requires institutions to disclose certain financial information to students and families, including tuition and fees, financial aid options, and graduation rates. This regulation falls under external Control and is enforced by the Department of Education.

    • The Governmental Accounting Standards Board (GASB) Statement No. 34 requires institutions to report their financial activities standardized to improve transparency and accountability. This regulation falls under internal Control and is enforced by the institution's financial department.

    • The Higher Education Act (HEA) provides financial aid to students and regulates higher education institutions participating in federal student aid programs. The HEA includes regulations related to financial reporting, accreditation, and student financial aid programs.

Regulation and types of control in higher education can vary significantly between private and public universities and across international contexts. The examples demonstrate how regulation and control work in higher education in both private and public universities.

Private Universities

Regulation and types of control in higher education can vary significantly between private and public universities. Non-governmental organizations or individuals typically operate private universities and are often funded through tuition fees and private donations. These universities often have more autonomy and flexibility than public universities regarding decision-making, curriculum development, and hiring practices. However, they are also subject to various regulations and controls from external bodies, including accreditation agencies and government bodies. One key example of regulation and control in private universities is the accreditation process. In the U.S., private universities are typically accredited by regional accrediting bodies such as the Middle States Commission on Higher Education or the Western Association of Schools and Colleges. In order to maintain accreditation, these accrediting bodies evaluate the quality and standards of the university's programs and operations and may request that the university make changes or improvements. Private universities may also be subject to government regulations and controls, particularly in countries where higher education is heavily regulated. For example, the University Grants Commission (UGC) in India regulates and oversees private universities, including setting standards for academic programs, monitoring compliance with regulations, and granting or revoking university status. 

Public Universities

Government sources typically fund public universities and are often subject to more extensive regulations and controls than private universities. In some cases, public universities may be operated by government bodies or agencies. One key example of regulation and control in public universities is government funding. In many countries, public universities receive significant funding from government sources, and this funding is often tied to specific performance indicators or targets. For example, in the U.K., the government's Teaching Excellence Framework (TEF) evaluates universities on various factors, including student satisfaction, teaching quality, and graduate outcomes, and universities that perform well may receive additional funding (Department for Education, 2017). Public universities may also be subject to regulations and controls from external bodies such as accreditation agencies or government departments. The same regional accrediting bodies typically accredit public universities in the U.S. as private universities and could be subject to additional regulations and controls by state governments. 

International Context 

Regulation and control in higher education vary across international contexts, depending on government structure, cultural values, and economic conditions. For example, higher education may be heavily centralized and regulated by government bodies in some countries, while universities in other countries may have more autonomy and flexibility to operate independently. One key example of international differences in regulation and control is the role of government in higher education. In countries such as France and China, the government plays a significant role in regulating and funding higher education, and universities are typically subject to strict regulations and controls (Marginson & Rhoades, 2002). In contrast, the U.S. and the U.K. have traditionally had more decentralized higher education systems, with greater autonomy for universities to operate independently (Marginson & Rhoades, 2002).

Contextualize the significant changes and what sources of control influence higher education institutions in Vietnam? by distinguishing differences between the private and public sectors and types of regulation compared to the U.S. case.

Association of Governing Boards of Universities and Colleges. (n.d.) https://agb.org/trusteeship-article/governing-higher-education-systems-in-perilous-times/

Australian Government. (n.d.). Higher Education Provider Categories – Issues from TEQSA

https://www.education.gov.au/system/files/documents/document-file/2020-12/tertiary-education-quality-and-standards-agency.pdf

Council for Higher Education Accreditation. (1998, February). What is accreditation?  

Department for Education. (2017). Teaching excellence and student outcomes framework specification.

Governmental Accounting Standards Board. (1999, June). Statement no. 34 of the Governmental Accounting Standards Board: Basic financial statements—and management’s discussion and analysis—for state and local Governments. 

Government of British Columbia. (n.d.). Post-secondary education. 

New York State Education Department. (n.d.). Office of Higher Education. 

https://www.nysed.gov/about

Texas Higher Education Coordinating Board. (n.d.). Coordinating boards.

https://www.highered.texas.gov/our-work/talent-strong-texas/

https://www.txhighereddata.org/index.cfm?objectid=92B11555-04A1-11E8-AE27F050468F4ED1

The California State University. (n.d.). https://www.calstate.edu/csu-system/board-of-trustees/Pages/about-the-bot.aspx

https://www.bsa.ca.gov/pdfs/reports/2016-122.pdf

The Higher Education Act (HEA)

https://www.aacrao.org/advocacy/issues/higher-education-act

University of Michigan. (n.d.). Board of regents.

https://regents.umich.edu/regents

U.S. Department of Education. (n.d.). Accreditation: Postsecondary education institutions.

U.S. Department of Education. (2023). Accreditation in the United States.