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Higher Education, Public Good
and Markets

This book critically examines some of the major trends in the devel-
opment of higher education. It demonstrates how in the context of
liberalisation, globalisation and marketisation, the crisis in higher edu-
cation has assumed different dimensions in all advanced and emerging
societies. The author shows how the state tends to slowly withdraw
from the responsibility of higher education, including in the arena
of policymaking, or simply adopts a policy of laissez-faire (of non-
involvement) which helps in the rapid unbridled growth of private
sector in higher education. The notion of higher education as a public
good is under serious contestation in current times. The book argues
for the need to resurrect the compelling nature of higher education
along with its several implications for public policy and planning,
while providing a broad portrayal of global developments, compara-
tive perspectives and key lessons.
The volume will be of interest to scholars and researchers of education,
political science, public policy and administration, governance, develop-
ment studies and economics, and to those working as policymakers and
in higher education sectors and think tanks as well as NGOs.

Jandhyala B. G. Tilak, an eminent economist of education and for-

mer Vice Chancellor, National University of Educational Planning and
Administration, New Delhi is currently Distinguished Professor at the
Council for Social Development, New Delhi, India. He has authored/
edited more than 12 books and around 300 research articles in ref-
ereed journals. In recognition of his research, he received the Swami
Pranavananda Saraswati UGC Award, Malcolm Adiseshiah Award,
Dewang Mehta Award, and Inspirational Teacher of the Year Award.
He has served as Visiting Professor at the University of Virginia in
the US, Hiroshima University in Japan, and Sri Sathya Sai Institute of
Higher Learning in Prasanthi Nilayam, India; Consultant at the World
Bank; and President of the Comparative Education Society of India.
He also served as the editor of Journal of Educational Planning and
Administration.

‘Jandhyala B. G. Tilak is India’s most prominent economist of higher

education. In this volume, he not only cogently discusses key economic
issues, but also focuses on broader higher education themes. Higher
education has become a key arena for public policy debate – and the
topic of considerable controversy. Tilak’s thoughtful and often data-
driven insights are an important contribution to the discussion.’
Philip G. Altbach, Research Professor
and Founding Director, Center for International
Higher Education, Boston College, USA

‘Having followed the research contributions of Professor Jandhyala

B. G. Tilak over two decades, I am glad to see some of his seminal
publications appearing as a book. He has been one of the eminent edu-
cationists to advocate higher education as a “public good” at a time
when there are forces against this concept. His unique contributions
on financing higher education mainly linking with issues of access and
affordability and on the concept of University are well known.’
M. Anandakrishnan, Former Director,
Indian Institute of Technology, Madras, and Chairman,
Indian Institute of Technology, Kanpur, India

‘Professor Jandhyala B. G. Tilak is the world’s leading scholar of Indian

higher education and we all benefit from his clear-minded writings on
the core issues that shape higher education everywhere: higher edu-
cation and socio-economic development; the role of states, planning
and markets; objectives of public and private good; and problems of
privatisation and globalisation. This beautifully written volume will
bring his work, which is powered by a deep commitment to equality,
universal educability and democracy, to a still larger audience and help
ensure its lasting impact.’
Simon Marginson, Professor of International
Higher Education, University College London, UK

‘A must-read collection of readings on the political economy of higher

education by a true scholar in the field.’
George Psacharopoulos, Visiting Professor of Economics,
University of Athens, Greece, and formerly with the
London School of Economics and the World Bank
Higher Education, Public
Good and Markets

Jandhyala B. G. Tilak
First published 2018
by Routledge
2 Park Square, Milton Park, Abingdon, Oxon OX14 4RN
and by Routledge
711 Third Avenue, New York, NY 10017
Routledge is an imprint of the Taylor & Francis Group, an
informa business
© 2018 Jandhyala B. G. Tilak
The right of Jandhyala B. G. Tilak to be identified as author
of this work has been asserted by him in accordance with
sections 77 and 78 of the Copyright, Designs and Patents Act
1988.
All rights reserved. No part of this book may be reprinted
or reproduced or utilised in any form or by any electronic,
mechanical, or other means, now known or hereafter
invented, including photocopying and recording, or in any
information storage or retrieval system, without permission in
writing from the publishers.
Trademark notice: Product or corporate names may be
trademarks or registered trademarks, and are used only for
identification and explanation without intent to infringe.
British Library Cataloguing-in-PublicationData
A catalogue record for this book is available from the British
Library
Library of Congress Cataloging-in-Publication Data
A catalog record for this book has been requested
ISBN: 978-1-138-21318-0 (hbk)
ISBN: 978-1-315-14638-6 (ebk)
Typeset in Sabon
by Apex CoVantage, LLC
Dedicated to the memory of my parents
Jandhyala Lalita Kunjali & Venkateswara Sastry
Contents

List of figuresix
List of tablesx
Prefacexiii
Acknowledgementsxv

Introduction 1

1 Higher education: a public good or a commodity

for trade? Commitment to higher education or
commitment of higher education to trade 10

2 Higher education between the state and the market 35

3 Are we marching towards laissez-faireism in

higher education development? 55

4 Lessons from cost recovery in education 70

5 Financing of higher education: traditional versus

modern approaches 100

6 The privatisation of higher education 119

7 Current trends in the private sector in higher

education in Asia 141

8 Higher education in the BRIC countries:

comparative patterns and policies 168
viii Contents
9 Economics of internationalisation of higher
education185

10 Social control on higher education 225

11 Higher education and development in Asia 237

12 Universities: an endangered species? 260

Index285
Figures

3.1 Gross enrolment ratio in higher education and

achievement in technology 65
7.1 Private sector squeezes public space 147
9.1 Growth in global foreign student enrolment (in millions) 192
9.2 Regional distribution of students studying
abroad (%), 2008 194
9.3 Foreign students as percentage of host country
enrolments, 2004 and 2008 197
9.4 OECD countries with highest net inflow rate of
students (%), 2008 203
10.1 Clark’s triangle of academic coordination 229
11.1 Index of growth in higher education in Asia 238
11.2 Higher education attainment in Asia and the Pacific,
1990s244
11.3 Gross enrolment ratio in higher education and
achievement in technology 246
Tables

1.1 Decline in public expenditure on higher education per

student (% of GDP per capita) 19
2.1 Trends towards private higher education 46
2.2 Emerging trends in policy, planning and financing of
higher education 48
2.3 Conflicting interests of the State and markets in higher
education49
3.1 A chronology of some important events in higher
education development in the recent period 57
3.2 Gross enrolment ratio in tertiary education (%),
1980–200058
3.3 Trends towards private higher education 59
3.4 Emerging trends in policy, planning and financing of
higher education in developing countries 60
3.5 Distribution of enrolments in tertiary education
(ICED5A), 2000 61
3.6 Returns to higher education (%) 63
3.7 Regression estimates of higher education on economic
development in Asia 63
3.8 Regression estimates of higher education on
achievement of technology in Asia 64
4.1 Distribution of education subsidies by income group (%) 74
4.2 Declining private returns to higher education in
selected countries (%) 76
4.3 Distribution of enrolments in education in India, by
household expenditure quintiles, 1986–87 78
4.4 Share of fees in costs of higher education in selected
countries (%) 80
4.5 The contribution of students/families (fees) to the
recurrent budgets of selected African universities 81
 Tables xi
4.6 Private and social costs of higher education in India
and the United States (%) 81
4.7 Share of household expenditure in total national
expenditure on education in selected countries 82
4.8 Student loan programmes and government losses in
selected countries 84
4.9 Efficiency of alternative measures of cost recovery 89
6.1 Privatisation trends in selected countries (percentage
of enrolments in private higher education) 120
6.2 Enrolments in public and private higher
education (%) 120
6.3 Percentages of public and private sectors in higher
education institutions 121
6.4 Expenditure per student in higher education
(private/public)123
6.5 Percentage rates of return to private versus public
higher education 127
6.6 Percentage of specialisation of private and public
sectors in higher education in Latin America 129
6.7 Fees as percentage of total expenditure on higher
education135
7.1 Number of private higher education institutions in
Asian countries 146
7.2 Distribution of enrolments in tertiary education (type
A and research), 2002 148
7.3 Non-US private universities in the world university
rankings (2004) 152
7.4 Public and private universities in Asia in the world
university rankings, 2004 153
7.5 Enrolments in private higher education and overall
gross enrolment ratio in higher education 156
7.6 Conflicting interests of the State and private sector in
higher education and research 158
7A.1 Different data sources and different estimates on
enrolments in private higher education institutions
in Asia 163
9.1 International student mobility, 2008 193
9.2 Top ten countries with foreign students, 2008 195
9.3 Benchmarks for international students in selected
countries198
9.4 Growth in international students in Malaysian higher
education198
xii Tables
9.5 Developing countries with highest outbound
numbers of students 199
9.6 EduGATS in higher education in developed and
developing countries 205
11.1 Rates of return to education in Asia (%) 239
11.2 Rates of return to higher education in Asian countries 240
11.3 Gross enrolment ratio in higher education in Asia
and the Pacific 241
11.4 Regression estimates of higher education on
economic development in Asia 242
11.5 Higher education attainment in Asia Pacific 243
11.6 Higher education (GER) and technology (TAI) 245
11.7 Regression estimates of higher education on
achievement of technology in Asia 246
11.8 Coefficients of correlation between higher education
and social development indicators 247
11.9 Share of expenditure on higher education in GNP (%) 250
11.10 Share of fees in costs of higher education in selected
countries (%) 252
12.1 Changing interests of universities in education and
research274
12.2 Emerging trends in higher education 275
Preface

Higher education around the world experienced dramatic changes

during the last quarter century or so. There have been three important
developments: recognition of the importance of higher education in
development was accompanied by discussions on alternative methods
of funding higher education, which were followed by a rapid increase
in the role of private sector in higher education. A simultaneous devel-
opment that has taken place at the global level is the entry of the
General Agreement on Trade in Services in education. As a result of
the multitude of developments, the very nature of higher education
seems to be undergoing a theatrical change – from being a public good
to an individual good which can be sold in domestic and international
markets. As a critical contribution to some of these various issues
confronting higher education today, including trends, contours, and
debates, this book, I hope, will attract the attention of the scholars as
well as policymakers dealing with higher education.
This is a collection of my own articles published in various journals
during the last couple of decades. With a dominant common under-
current theme, and being a collection of articles by the same author
over a period of time, there is some repetition in arguments and evi-
dences presented in various chapters.
Though often academic contributions seem to be one’s own, they are
often enriched by intangible contributions of a variety of actors – the
family members, the friends, the teachers, the students, the administra-
tors, the mentors, the admirers, the critics, journal editors, reviewers
and many others. There are many of their kind in my case and it is dif-
ficult for me to acknowledge by name all of them. I fondly remember
the contributions of my teachers, the generosity of my friends, experts
and critics, and the tremendous support that I received from my wife
and children throughout my work. The National Institute/University
of Educational Planning and Administration, which I served for more
xiv Preface
than three and a half decades until recently, has provided an excellent
conducive environment for my research.
I am also grateful to George Psacharopoulos, Philip Altbach,
M. Anandakrishnan and Simon Marginson, all eminent experts in
higher education, who have words of appreciation for my work, which
are reproduced as part of the blurb of the book.
I would like to thank all the publishers of my earlier research repro-
duced here, who have generously granted permission in gratis, to
reprint/reuse the material in this book.
Antara Ray Chaudhary at Routledge India, Taylor & Francis, has
taken a special initiative in bringing out this book in the present attrac-
tive form.
Acknowledgements

The original sources of articles included in this collection are men-

tioned here. The author and the publishers gratefully acknowledge the
following for granting permission in gratis to reprint the respective
articles in this volume.

Taylor & Francis/ ‘Higher Education: A Public Good or a

Routledge Commodity for Trade? Commitment to Higher
Education or Commitment of Higher Education
to Trade’, Prospects, 38(4): 449–466, 2008
‘The Privatization of Higher Education’,
Prospects: Quarterly Review of Education,
21(2): 227–239, 1991
‘Higher Education and Development’,
International Handbook of Educational
Research in the Asia-Pacific Region, 11,
Springer International Handbooks of
Education: 809–826, 2003

UNESCO ‘Higher Education between the State and the

Market’, in Guy Neave (ed.), Knowledge,
Power and Dissent: Critical Perspectives on
Higher Education and Research in Knowledge
Society, pp. 235–254 (Paris: UNESCO
Publishing, 2006)

Centre for ‘Are We Marching towards Laissez-faireism in

International Higher Education Development?’, Journal of
Cooperation, International Cooperation in Education, 8(1):
Hiroshima 153–165, 2005
University
xvi Acknowledgements

Tyrrell Burgess ‘Current Trends in Private Sector in Higher

Associates Education in Asia’, Higher Education Review,
41(2): 48–77, 2009

Rajagiri College of ‘Social Control on Higher Education’, Rajagiri

Social Sciences Journal of Social Development, 4(2): 93–105,
2008

Oxford University ‘Lessons from Cost Recovery in Education’,

Press in Christopher Colclough (ed.), Marketizing
education and health in developing countries:
miracle or mirage? pp. 63–89 (Oxford:
Clarendon Press, 1997)

Deomed Publishing Financing of Higher Education: Traditional

versus Modern Approaches Journal of Higher
Education, 2(1): 28–37, 2012

Indian School of ‘Internationalisation of Higher Education

Political Economy GATS: Illusory Promises and Daunting Threats’,
Journal of Indian School of Political Economy,
19(3): 371–418, 2007

Economic and ‘Higher Education in BRIC Countries:

Political Weekly Comparative Patterns and Policies’, Economic
and Political Weekly, 48(14): 41–47, 2013

Common Ground ‘Universities: An Endangered Species?’, Journal

Publishing of the World Universities Forum, 3(2): 109–
127, 2010
Introduction

Higher education systems, in many developing as well as developed

countries, are characterised with a continuing crisis, with overcrowd-
ing, inadequate staffing, deteriorating standards and quality, poor
physical facilities, insufficient equipment and overall public apathy.
More importantly, higher education is subject to neglect and even dis-
crimination in public policy. One of the important consequences of
public apathy has been dwindling public budgets for higher educa-
tion, adversely influencing the quality, quantum and equity, and rather
almost every dimension of higher education. The World Bank policies
that discouraged investment in higher education for a long period,
improper use of estimates of rates of return, and excessive, rather
exclusive, emphasis on Education for All (EFA) in the recent years,
adverse economic conditions in many developing countries, following
structural adjustment policies, etc., are some of the reasons for the
neglect of higher education. Besides, the view that higher education is
not important for development, certainly not for poverty reduction or
reduction in inequalities, and that it has no significant effect on eco-
nomic growth, equity, poverty and social indicators of development in
developing countries has also contributed significantly to this neglect.
It is also being assumed that the State can as well withdraw from its
responsibility of providing higher education in favour of the markets.
As these widely held assumptions influence the policymakers in their
designing of public policies, a confrontation with the assumptions is
an imperative today.
Today higher education is at crossroads. In the larger context of lib-
eralisation, globalisation and marketisation, the crisis in higher educa-
tion has assumed different dimensions and nature, different from the
earlier ‘continuing crisis’. Higher education in all societies – advanced
as well as emerging – is under severe strain. Public policies are in dis-
array, with contradictory policy statements being made. In fact, many
2 Introduction
societies are also characterised by absence of any clear coherent long-
term policy on higher education. Public apathy for higher education
has strengthened the forces of privatisation of higher education on a
large scale. The phenomenon of internationalisation of higher edu-
cation, which is not altogether new, also assumed different colours,
proportions and directions with varying implications for development
of national higher education systems. These trends got a significant
boost with the formal introduction of neo-liberal policies. With the
highly rationalised and individualised neo-liberal logic that is based
on the fundamental principle of private returns, market forces have
become very active.
From times immemorial, education has been considered as some-
thing special, as a ‘public good’, even if the term is not explicitly used.
UNESCO World Conference on Higher Education in Paris in 1999
unanimously reiterated and adopted a communiqué acknowledging
higher education as a ‘public good’ and calling on countries not to
disinvest in the sector during the global economic crisis. UNESCO
(2015) pleaded for education to be considered as a common good – ‘a
global common good’.
These assertions assume significance, as the very notion of higher
education being a public good, a least-contested view prevalent for
several decades and in fact, many centuries, is now under serious con-
test, as higher education is being increasingly viewed by many as a
commodity, as a private good, as an individual good that can be mar-
keted in the national markets and can be subjected to international
trade in global markets. Critical analyses of some of the major trends
in the development of higher education demonstrate that the state
tends to slowly withdraw from the responsibility of higher education,
including in the arena of policymaking, or simply adopting a policy of
laissez-faireism – non-intervention by state – which helps in the rapid
unbridled growth of private sector in higher education. The rapid
growth of private higher education results in loss of equity – social and
economic; increase in regional disparities; erosion in quality; loss of
important academic disciplines (in favour of marketable disciplines) of
study; change in attitudes; erosion in national, social and educational
values; public pauperisation and private enrichment; crowding-out of
the public sector and imbalanced development of higher education;
and, above all, the loss of public good nature of higher education.
Many methods of financing higher education, specially mobilising
resources from non-state sources with varying effects on equity and
efficiency in higher education, have come into vogue, though state
financing that is financing higher education out of general tax and
 Introduction 3
non-tax revenues seems to be still the best option. Given the changing
attitudes and approaches of the state to development of universities,
one may wonder whether universities are becoming an ‘endangered
species’.
This is the broad canvas within which the contribution of the book,
which covers areas spanning theoretical and conceptual issues such as
education as a public good, importance of public funding, and empiri-
cal issues on relationships between higher education and society to
current policy issues such as privatisation, cost recovery, financing,
autonomy, the changing nature of the universities, General Agree-
ment in Trade and Services (GATS) and internationalisation of higher
education, could be understood and appreciated. All these issues are
discussed from a particular perspective: public good vis-à-vis market,
which is becoming indisputably the most dominant one. The book is
based on a few selected articles published by me over the years cover-
ing many aspects of higher education. Given the common underlying
theme, repetition of some of the arguments could not be avoided. The
first chapter, which comes from a keynote speech that I gave in a meet-
ing of the Noble laureates in Barcelona in 1995, highlights the public
good character of higher education, and the last chapter, which is based
on an address I delivered in the World University Forum in Davos,
warns of the danger of ‘classical’ university becoming an endangered
species. The main argument of the book lies in stressing the need to
resurrect the public good nature of higher education, along with all its
implications for public policy and planning. It simply argues that the
role of the state in higher education development is critical and can-
not be reduced. The process of weakening of the public sector needs
to be arrested and its long cherished critical role gradually restored.
The several chapters in the book revolve around this theme. It covers
various issues confronting higher education today, including varying
trends, multiple contours, and debates and discourses.

***
The first chapter begins with a debate about whether higher education
is a public good or a commodity for trade. Conventionally, higher
education is regarded as a public good that benefits not only the indi-
viduals but also the whole society by producing a wide variety of exter-
nalities or social benefits. But of late, the chronic shortage of public
funds for higher education, the widespread introduction of neo-liberal
economic policies and globalisation in every country and in every sec-
tor, and the heralding of the international law on trade in services by
the World Treaty Organisation and the GATS all tend to question the
4 Introduction
long-cherished and well-established view of many on higher education
as a public good, and to propose and legitimise the sale and purchase
of higher education, as if it is a normal commodity meant for trade.
The very shift in perception on the nature of higher education from a
public good to a private good, a commodity that can be traded, may
have serious implications. The chapter describes the nature of the shift
taking place, from viewing higher education as a public good to a
private tradable commodity and its dangerous implications. The dis-
cussion in the first chapter sets the stage before we analyse and discuss
various critical issues in higher education, many of which are closely
related to the very concept of higher education as a public good.
The higher education system the world over is in flux, hanging
between the conflicting interests and varying powers of the state and
the market. Chapters 2 and 3 describe how policymakers in higher
education in many countries today are in a confusing state, being
confronted by growing markets on the one hand and the weakening
public sector on the other. Over the years, many developing countries
have shown indifferent attitudes towards the development of higher
education, deliberately deserted higher education and slashed budget-
ary allocations to higher education. Public policies are formulated in
favour of private higher education by many countries out of compul-
sion, and some out of conviction. Some countries have in the past
adopted policies which are strongly supportive of public sector and are
anti-private; and some intend to regulate the growth of private sector,
and policies in many countries can be described as policies of laissez-
faireism, which in effect work as pro-private. As market forces have
become very active, many tend to adopt clear policies towards mar-
ketisation of higher education. There is a rapid transition from a sys-
tem that operated on a welfare state philosophy to a market-oriented
one. The path adopted by several countries is first a cut in public fund-
ing for higher education, followed by weakening of the policy frame-
work and regulatory mechanisms, then adoption of laissez-faireism
and finally adoption of formulation of policies towards privatisation
and marketisation of higher education.
Though a major part of higher education in many countries is still
under the state sector, the growth of private sector has been alarming,
and if the trends continue, private sector may eventually altogether
displace the public sector from the scene. Laissez-faireism in many
countries, by its very nature, helps the growth of market forces. If
pro-private policies are adopted, the process would be fast, as is being
experienced in many developing countries. But since the markets in
developing countries are ‘incomplete’ and ‘imperfect’, the outcomes
 Introduction 5
are also far from perfect, and, in fact, in many cases, the market forces
produce disastrous consequences.
In Chapter 4 on cost recovery in education, I examine several argu-
ments of the ‘neo-liberal’ economists and the economists believing
in welfare state philosophy on issues relating to financing and cost
recovery in higher education. These two schools of thought present
distinct arguments in favour and against many of the cost-recovery
methods being adopted nowadays. Specifically, we also look at the
several approaches of cost recovery in education, discuss the pros and
cons of the several approaches, including their effects on equity and
efficiency, and review the experience of some of the countries in this
regard. The effects of these cost-recovery measures on the quantity,
quality and equity in higher education need to be examined for sound
policymaking. The analysis helps in discerning some valuable lessons
for educational policymakers and planners around the world faced
with difficult policy choices. All measures have certain strengths and
certain weaknesses, but on balance, one may conclude that progressive
taxation, funding education out of general tax revenues and financing
of higher education probably out of general and specific tax revenues
may still be the best options. All others are only second best solutions,
though financing through the budgetary resources for higher educa-
tion will not be the panacea for all problems being faced by higher
education. This forms a necessary condition for development.
The best option is not a new idea. Conventionally, higher educa-
tion is heavily subsidised by the state in almost all countries. This has
been justified by the recognition of education as capable of producing
externalities, as a public good (and as a quasi-public good in case of
higher education), as a merit good, as a social investment for human
development, and as a major instrument of equity, besides as a meas-
ure of quality of life in itself. The launching of neo-liberal economic
reforms in most developing and advanced countries of the world is
associated with changing perceptions on the role of higher education
and adoption of business models in setting up and running universi-
ties. Private universities, commercial universities, corporate universi-
ties and entrepreneurial universities are becoming the order of the day.
The several basic characteristic features of higher education, such as
higher education as a public good, merit good, social investment and
as a human right, are under attack. Recent evidence shows that many
universities are going in a big way with different kinds of measures of
generating resources – from student fees, through student loans and
other non-governmental sources. It is argued that the major transition
in the method of financing of higher education is taking place at a
6 Introduction
rapid pace, which is not desirable. It is often not realised how impor-
tant it is for the state to finance higher education.
Based on the degree and extent of privatisation of higher education
systems in many countries of the world, higher education can be clas-
sified into four categories – extreme or total, strong, moderate and
pseudo. There has been a gradual shift from pseudo and moderate to
the extreme form of privatisation. There are several ‘myths’ under cir-
culation, partly supported by weak and biased research on the relative
efficiency and gains of private education. For example, many consider
the public sector to be inefficient in the field of education and corre-
spondingly the market-focused private sector as efficient and therefore
desirable. It is necessary to explode this and other similar widely prev-
alent myths about private higher education, contrasting with facts.
The myths examined in Chapter 6 include superiority of private higher
education over public education with respect to internal and external
efficiency and quality; easing of financial burden of the state; ability to
respond to individual, social and market needs; philanthropic nature
of private higher education entrepreneurs; and other generally claimed
positive effects of private higher education on income distribution and
inequalities.
Among the world regions, the Asian region experienced a very high
rate of growth of private sector in higher education. Some systems
in the region could be described as predominantly private or as ones
with an extreme degree of privatisation of higher education. In fact,
all the four types of higher education could be noted in the Asian
countries. The growth in Asian countries is more in response to the
‘excess demand’ phenomenon than to the phenomenon of ‘differenti-
ated demand’. Increasing scarcity of public resources on the one hand,
and the neo-liberal environment thrust on the weak states on the other
hand, are the two most important factors that have advanced the rapid
growth of private higher education. A review of some of these recent
trends in the growth of private higher education in Asian countries
is attempted in Chapter 7 and of the BRIC (Brazil, Russia, India and
China) countries in Chapter 8. Their socio-economic and educational
effects would help in drawing important lessons for others.
Though higher education sector is undergoing reforms, there is
indeed a dilemma regarding the relative roles the public and the private
sectors have to play in the emerging scenario. However, the general
tendency of higher education reform is to embrace market princi-
ples and usher in the private sector to play a larger role in the higher
education sector. Though this approach is debatable, policymakers
in Asia, the BRIC countries and elsewhere appear to be convinced
 Introduction 7
by the neo-liberal logic. The accompanying policies – whether they
are relating to finding, or privatisation, or internationalisation, or
­massification – all stand as a testimony to this.
The approaches of the governments in Asian countries, or in the
BRIC countries and, in fact, in many other countries, have changed
considerably during the last few decades. How are the BRIC coun-
tries, the four largest low- and middle-income developing economies
(which are attracting wide attention from many all over the world –
­developing as well as developed as emerging economic powerhouses)
doing, and how is the higher education system being shaped in these
countries? There are several common features in the policies adopted by
the BRIC countries. However, there are also considerable differences in
the approaches the governments have adopted for expansion of higher
education. The approaches are strongly influenced by the ­initial condi-
tions, the social and economic histories, the political character of the
State and a variety of factors. In many cases, the adoption of market
approaches produced disastrous consequences. Quickly reviewing the
level of development of higher education in the region, and public poli-
cies, including select policies on financing higher education and privati-
sation, it underlines the need for increased public financing and warns
against excessive reliance on cost-recovery measures and privatisation
of higher education.
The empirical evidence in Asia and the Pacific countries testifies to
the strong relationship between higher education and development,
including economic growth, inequalities and human development,
invalidating the earlier circulated presumption that higher education
is not important for development. It is clear that no nation that has not
expanded reasonably well its higher education system could achieve a
high level of economic development. The importance of higher edu-
cation in promoting economic growth as well development, broadly
defined, is increasingly being realised today world over.
Internationalisation of higher education has taken different forms
and is nowadays predominantly defined in terms of, if not broadly
equated to, trade in education placing it under the purview of the GATS,
in the framework of which internationalisation takes place through
four different modes, familiarly known as (1) cross-border supply, (2)
consumption abroad, (3) commercial presence and (4) movement of
natural persons. Of all, the most dominant mode continues to be the
second one, viz., the student mobility. Though student mobility is not
new, this is also being viewed nowadays essentially as an instrument
of trade, having a great potential to generate financial resources. Other
measures such as twining, setting up offshore campuses, etc., are also
8 Introduction
being treated within the framework of international trade only. In all
this, economic gains prevail over academic considerations.
Universities by very definition are characterised by autonomy. How-
ever, rarely are they completely autonomous; they are controlled either
by the state in case of state institutions or by markets in case of private
universities. Ironically, the State which is ideally expected to play a
very significant role in the development of higher education is increas-
ingly unwilling and unable to do so; in contrast, the markets, the entry
of which into the arena of education is not welcomed by all, is very
eager to take complete control of higher education; and the rest of
the society has been a helpless onlooker only. While strongly favour-
ing autonomy, in Chapter 10 it is argued for meaningful democratic
social control on higher education. Social control is to be distinguished
from government control or control by market forces. Social control,
however, includes control by not only the State but also several other
actors. Social control on higher education has to be understood in
relation to social functions of and society’s responsibility for higher
education. Normative modes of social control or simply democratic
social control of higher education might ensure, by creating and build-
ing ‘social pressures’, that the public good nature of higher education
is resurrected.
Finally, Chapter 12 peeps into the future of the public university. To
look into the future of the university, we need to trace back and study
how the universities have been undergoing changes. Spelling out the
idea of a university, the chapter traces its historical evolution from
the ancient, medieval and even modern periods to the present day,
showing the drastic changes that are taking place in its very concept,
mission and functioning, particularly during the last quarter century
or more (see Minogue 1973; Aviram 1992; Denman 2005). One can
note universities of five generations, starting from the ancient period
to those of the new millennium. The universities of the fourth and the
fifth generations that belong to the twentieth and twenty-first centuries
have drastically changed the very concept, definition, nature, mission
and functioning – almost every aspect – of universities. The ‘critical
university’ (Loughead 2015) is vanishing and the concept of ‘public
university’ is disappearing, as the so-called public university is adopt-
ing a multitude of private aspects (Guzmán-Vawlenzuela 2016) and
private universities of various questionable types are emerging. The
need to re-establish the classical idea of the university is obvious.

***
 Introduction 9
The dozen chapters together form an attempt to provide a nuanced
critic of several trends in higher education and how they affect the
relationship of higher education with society at large. Presenting a
broad portrayal of the global developments in higher education and
its relationship with society, the book offers a critical perspective on
higher education. Often drawing from experiences of many countries,
the study provides comparative perspectives on several issues, from
which valuable lessons can be discerned for sound public policymak-
ing in higher education. I consider it a successful attempt if a message
comes from the book loudly and clearly that the case for public pro-
visioning of higher education remains strong and that it is imperative
for the state to play a dominant role in this field.

References
Guzmán-Vawlenzuela, C. (2016). Unfolding the Meaning of Public(s) in Uni-
versities. Higher Education, 71, 661–679.
Loughead, T. (2015). Critical University. Lanham, MD: Lexington Books.
UNESCO. (1999). World Conference on Higher Education. Paris.
UNESCO. (2015). Rethinking Education: Towards a Global Common Good.
Paris.
1 Higher education: A public
good or a commodity for
trade?
Commitment to higher
education or commitment of
higher education to trade*

Conventionally, education has for a long period been regarded as a

public good, producing a huge set of externalities (mainly positive
externalities), benefiting not only the individuals but also the whole
society. In case of higher education too, not only educationists but also
other social scientists and thinkers, including economists, have recog-
nised the public good nature: higher education constitutes a public
good in itself, and also it produces public goods, benefiting simultane-
ously the individuals and the larger society. This view has been almost
universally prevalent for a long period, influencing public policies on
higher education.
In recent years, however, the growth in market forces and more
importantly international law on trade in services tend to question or
simply gloss over the long-cherished, well-established view of many
that higher education is a public good and to propose and legitimise
the sale and purchase of education, as if it is a commodity meant for
trade. Higher education tends to be not regarded as a public good
or a social service, and it appears as if we have ‘lost the “public” in
higher education’ (Zemsky 2003). Even in the earlier decades, while
there were some who questioned the concept of higher education
as a public good, the heralding of the neo-liberal and globalisation
policies, and later the advent of international trade in educational
services accentuated such thinking. Public good and similar princi-
ples are viewed as too naive to be relevant in the rapidly changing,
increasingly privatised and liberalised modern context.1 The conven-
tional wisdom is becoming rapidly invaded by the strong, powerful
forces of national and international mercantilists, represented in the
World Trade Organization (WTO) and the General Agreement on
Trade and Services (GATS), the institutions that were set up out-
side the United Nations system. Higher education is seen primarily
as a private good, as a tradable commodity that can be subjected to
 Public good or commodity? 11
the vagaries of national and international markets. As Knight (1999)
summed up:

With the massification of higher education, increasing at an expo-

nential rate, there is strong interest on the part of large and small
countries to make the export of education products and services
a major part of their foreign policy. In fact, we see major shifts in
foreign policies where education was primarily seen as a devel-
opment assistance activity or cultural programme to one where
education is an export commodity.

In short, higher education is subject to severe pressures from domes-

tic and international markets. The divide between public policy and
commercial activities is at stake. In a sense, at the centre of the cur-
rent debate is a fundamental clash of values between traditional versus
modern, state versus market, national versus global, and educational
versus commercial. This article reviews the arguments on both sides:
higher education as a public good and higher education as a tradable
commodity, and argues how important it is to recognise and resurrect
the public good nature of higher education.

What is a public good?

Let us start with the basic question: what is a public good? Among the
several beautiful concepts that economists have contributed to devel-
opment studies, the concept of public good is an important one.2 What
is a public good? Economists (see Samuelson 1954; also Musgrave
1959) define public goods as those that are non-excludable and non-
rivalrous, i.e., such goods cannot be provided exclusively to some: oth-
ers cannot be excluded from consuming them; secondly, non-rivalrous
means their consumption by some does not diminish other people’s
consumption levels of the same goods. Public goods generate a large
quantum of externalities, simply known as social or public benefits.
Public goods are available to all equally; marginal utility is equal, and
the marginal cost of producing public goods is zero. They are also
collective consumption goods.3 Economists consider all public goods
that strictly satisfy all the preceding conditions as pure public goods;
alternatively, other public goods that do not necessarily fully satisfy
all the conditions are seen as semi- or quasi-public goods. Further, if
the benefits of public goods are limited geographically, they are called
local public goods (Tiebout 1956); and the public goods whose ben-
efits accrue to the whole world are called global or international public
12 Public good or commodity?
goods (Stiglitz 1999).4 By contrast, private goods are altogether differ-
ent; they do not satisfy any of these conditions.
An important implication of public goods is: production of public
goods has to be financed by the state out of general revenues, without
necessarily relying on prices or any user charges like student fees, and
markets, as individuals do not completely reveal their preferences and
will not be ready to meet the full costs. Therefore, the personal or
market provision of public goods is not feasible, and even if feasible is
inefficient.5 Even if some public goods are excludable, market mecha-
nisms cannot provide public goods efficiently and cannot ensure opti-
mum levels of production. Public goods are typically characterised by
underproduction in a market situation, because private demand would
fall severely short of socially optimal levels. Besides, public goods are
generally made accessible to all and they are not subject to competi-
tion. That the provision of such goods is subject to market failures,
and that economies of scale also operate in case of many of the public
goods, further supports their public provision. In fact, public goods
that are subject to economies of scale are better provided by the state
as a monopolist, than by many, as the economies of scale enjoyed by
the single supplier far outweigh any efficiency gains from competition.
To prevent the abuse of the monopoly power, and to ensure that any
producer surplus is returned to the society, it is only natural that it is
produced and supplied by the state. On the other hand, private goods
are not available to all and they are subject to the principles and laws
of markets.
Some view that the distinction between public and private goods
is ‘technical’ and ‘ideological’ and that classification of public goods
is not an absolute one; it depends upon government policies, mar-
ket conditions, level of development and political realities. After all,
public goods have been provided since the Middle Ages, and hence
they need to be redefined time and again in consideration of changing
political realities (Desai 2003). Sadmo (1998) argues that normative
theory serves better than the positive theory in recognising and clas-
sifying the public goods.6 The concept of public goods needs to be
interpreted, considering all aspects – the intrinsic nature of the given
good, the public goods it produces, the social purpose it serves, and
the limitations of markets or what is widely known as market failures
in the production of such goods.

Is higher education a public good?

Some argue that higher education cannot be treated as a public good, as
it does not satisfy either of the first two features, viz., non-excludability
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is hollow. It is a worthless canoe;
a hollow canoe. A canoe that will
never reach the ocean.”

When Keawenuiaumi heard this A lohe o Keawenuiaumi i keia

call from the birds the tree-felling leo o na manu, haalele i ke oki
was abandoned. As the birds ana i ke koa, no ke kahea mau o
kept up this calling continually na manu pea i na la a pau loa;
Keawenuiaumi became vexed nolaila, uluhua o Keawenuiaumi,
and thereupon made up his mind a manao iho la oia e imi i kanaka
to go in search of a skillful archer akamai i ka pana pua i make na
to come and kill the birds. About manu. Ua hiki aku ke kaulana o
this time the fame of Mainele as Mainele ma Hawaii a puni i ka
an archer reached Hawaii, so pana iole, nolaila olelo o
Keawenuiaumi made a vow, Keawenuiaumi me ka hoohiki:
“That if Mainele would kill the “Ina e make na manu ia Mainele,
birds he should receive the alaila, lilo kana kaihamahine i
king’s daughter in marriage 15 wahine na Mainele, a me kekahi
together with a portion of the aoao o Hawaii.”
island of Hawaii.” Upon the
arrival of Keawenuiaumi’s A hiki na elele a Keawenuiaumi i
messengers in Oahu, Mainele Oahu nei, hai ia Mainele i na
was informed of the wish of the olelo a Keawenuiaumi. Ia lohe
king. As soon as Mainele heard ana o Mainele i keia holo ona i
that he was wanted on Hawaii, Hawaii, hoomakaukau iho la ia i
he immediately prepared his na waa a me na kanaka holo pu
double canoe and got together me ia. [461]
his men who were to accompany
him. [460]

When Kauakahi, the man who O Kauakahi, ke kanaka nana i

found Pikoiakaalala sleeping on lawe o Pikoiakaalala, ia ia e moe
the sand, heard of the ana ma ka ae one mahope o
contemplated trip to be made by kona pae ana mai Kauai mai,
Mainele to Hawaii, he went to olelo aku la ia ia Pikoiakaalala:
Pikoiakaalala and told him of “E holo ana o Mainele i Hawaii e
what he had heard, saying: pana ai i na manu, ua hiki mai
“Mainele is going to Hawaii to nei na elele a Keawenuiaumi.”
shoot birds for Keawenuiaumi; “Ae, ina oe e manao e holo au, e
the messengers have just pii oe i ie, a ulana hokeo, i wahi
arrived from Hawaii.” no’u e noho ai, i ole au e ike ia e
Pikoiakaalala answered: “If you Mainele, a e olelo no hoi oe, he
wish me to go along you had hokeo akua nou. Pela au e hiki
better go up and get some ie ai.” Hana iho la o Kauakahi e like
vines and make a basket in the me na olelo a Pikoiakaalala, a
shape of a calabash for me to makaukau ka hinai ie, a me ka
hide in, so that I may not be holo o Mainele.
seen by Mainele, and you can
say that it is a basket for the safe
keeping of your god. This will be
the means of getting me to
Hawaii.” Kauakahi then followed
out the instructions given by
Pikoiakaalala and had the basket
made, and the trip with Mainele
arranged.

When Mainele’s preparations I aku o Mainele ia Kauakahi: “E

were finally completed, he holo kaua i Hawaii.” Ae mai o
approached Kauakahi and said: Kauakahi: “Ae, he ae no ko’u i
“Let us sail to Hawaii.” Kauakahi ka holo me oe i Hawaii, aia nae
replied: “All right, I am willing to a ae oe i ka’u olelo.” “Heaha ia ia
go to Hawaii with you providing olelo?” wahi a Mainele. “He
you give me your consent to do hokeo akua no’u, he kapu kona
what I want.” “What is it you waa e kau ai, aohe kanaka e kau
want?” asked Mainele. “I have a ma kona waa, owau wale no.”
basket where my god is kept. Ua pono ia olelo ia Mainele. I ka
The canoe in which this god is to la o lakou i holo ai i Hawaii, kau
be taken, as I want to take it aku la o Mainele ma kona mau
along, must be tabued and no kaulua, me na ohua a me na
one must be allowed to take hoewaa; o Kauakahi me
passage in it outside of myself.” Pikoiakaalala i loko o ka hokeo
This was satisfactory to Mainele. ie ma ko laua waa, mahope ka
On the day agreed on for the hokeo, mamua o Kauakahi.
voyage to start for Hawaii,
Mainele, his followers and
paddlers boarded their double
canoe, while Kuakahi and
Pikoiakaalala, who was in the
basket, boarded their canoe, the
basket in the after part and
Kuakahi in the fore part of the
canoe.

A few words of explanation Olelo hoakaka no ka hokeo ie.

relating to the basket. This was No ka hakahaka o ka ulana ana,
made with several openings komo ka makani i loko, aole e
which allowed a free current of pau ke aho, nolaila i komo ai o
air and enabled Pikoiakaalala to Pikoiakaalala i loko e noho ai. A
sit therein. After leaving Oahu to hala o Oahu nei mahope o
their rear, the canoes after a lakou, hoalulu na waa o lakou
quick passage, were laid to off mawaho o ka pali o Kaholo, i
the cliffs of Kaholo, at Lanai, on Lanai, a ahiahi, hina ke kehau o
the afternoon of that same day. Kahalapalaoa mahope o na waa,
In the evening the breeze from holo aku la lakou mai ia ahiahi a
Kahalepalaoa which came owakawaka kai ao o ke
directly from behind them sent kakahiaka nui, nana aku la lakou
their canoes flying along at such i ka wailele o Kawaikapu i na pali
a rate of speed that by dawn of hulaana, e kupono ana i
the next morning they were able Makaukiu ma Kohala i Hawaii.
to make out the waterfall of Aia hoi, he hulaana, o
Kawaikapu on the steep cliffs of Kuukuunaakaiole ka inoa e
Makaukiu, Kohala, Hawaii. At hamama mai ana kona waha i
this place is a sort of a bay kahi a na waa e holo aku nei. I
surrounded by high cliffs which aku o Pikoiakaalala ia Kauakahi:
opens directly to the sea and “E olelo aku oe ia Mainele e
which was right ahead of the pana aku i ka waha o ka iole e
canoes as they were pouliuli mai nei.” A lohe o
approaching land; the name of Mainele i ka olelo a Kauakahi,
the place is Kuukuunaakaiole. hoole maila: “Aohe iole, he pali
Pikoiakaalala upon seeing where ia; he kanaka lalau oe.”
they were said to Kauakahi: “Tell
Mainele to shoot at the mouth of
the rat which is dimly seen
ahead of us.” When Mainele
heard this he replied to
Kauakahi: “That is not a rat, that
is a cliff, you are mistaken.”

Upon passing the cliffs they A haalele lakou i na pali

continued on their way to Hilo, at hulaana, po a ao hiki lakou ma
which place they arrived the next Hilo a pae ma ke awa o
day and landed at Kaipalaoa. Kaipalao; pii na mea a pau a hiki
Everybody upon landing i kahi o Keawenuiaumi, koe o
proceeded to the place where Kauakahi me ka hokeo ie ana. I
Keawenuiaumi was at that time aku o Mainele: “E pii kaua.”
residing with the exception of Olelo mai o Kauakahi: “Aole au e
Kauakahi and his basket. When pii a hiki kuu hokeo akua. Ia lohe
Mainele saw that Kauakahi was ana o Mainele, kauoha aku la o
left behind he asked him: “Let us Mainele ia Keawenuiaumi i
go on up?” Kauakahi replied: “I kanaka no ka hokeo akua e hiki
will not go on up unless the ai i uka. Kena mai la o
basket which my god is in goes Keawenuiaumi eha kanaka, amo
with me.” When Mainele heard aku la i ka hokeo ie a hiki i ka
this, he requested of hale, olelo aku o Kauakahi ia
Keawenuiaumi that men be Mainele: “Aole kakou e pono ke
furnished to carry the basket noho ma ka hale hookahi me ke
along up to the house, ’kua o kaua, e aho e olelo oe ia
whereupon Keawenuiaumi Keawenuiaumi i wahi hale no
ordered four men to pack the maua.” Olelo aku la o Mainele ia
basket to the house. Upon their Keawenuiaumi, i [463]hale no ke
arrival at the house, Kauakahi akua o laua me Kauakahi;
spoke to Mainele: “I don’t think it mahope oia lohe ana, aohe i
right for us to live in the same upuupu iho paa ka hale,
house with our god; it is best that haawale o Kauakahi me ka
you ask Keawenuiaumi that a hokeo ie. O keia mau hana a
small house be given me where I pau loa, na Pikoiakaalala wale
can live with the god.” Mainele no, i ole oia e ike ia e Mainele a
therefore requested of me na kanaka.
Keawenuiaumi for [462]a house
for the god and Kauakahi. As
soon as the king heard this,
orders were given that a small
house be built, which was
finished in no time, where
Kauakahi moved in with his
basket. This request was really
made at the wish of
Pikoiakaalala, in order that he
might not be seen by Mainele
and the people.

On the second day of their I ka lua o ka la o lakou ma Hilo,

arrival at Hilo, Keawenuiaumi, pii o Keawenuiaumi me Mainele i
Mainele and the people kahi o ke koa waa, a na manu e
proceeded up into the koa forest hea ai, me ka auamo ia o ka
where the tree that had been hokeo ie. A hiki pono lakou
already picked out was situated. malalo o ke kumu o ua koa nei,
On this trip the basket was noho kaawale aku la o Kauakahi
carried along, and when they me ka hokeo ie. Ia wa, ooki na
arrived at the tree, Kauakahi and kalai waa a Keawenuiaumi i ke
his basket remained at a little kumu o ke koa, kau ana na
distance from the others. The manu, kahea ana: “E,
king’s canoe makers then Keawenuiaumi e! Aohe waa, he
proceeded to cut down the tree. puha. He waa ino, he waa puha.
Just as soon as this was done He waa hiki ole i ka moana.”
the birds lit on the tree and
called out: “Say, Keawenuiaumi!
You cannot make a canoe [out of
this tree], it is hollow. It is a
worthless canoe, a hollow
canoe. A canoe that will never
reach the ocean.”

As soon as the people heard the Lohe na mea a pau loa, pana o
call, Mainele shot at the birds, Mainele i ka pua, aohe launa ae
but his arrow did not come i na manu. Hana ke olokea he
anywhere near them on account alanui e pii ae ai a waena o ke
of the height of the tree. A koa pana ae, aohe no he launa
staging was then built up which ae i na manu. Hawanawana aku
reached about half way up the o Pikoiakaalala ia Kauakahi: “E
tree, but even then Mainele’s ninau alu oe ia Mainele a me
arrow did not reach the birds. Keawenuiaumi heaha keia ku
Pikoiakaalala then whispered to ole o na manu? He pana ole ia
Kauakahi: “Ask Mainele and paha i ka pua, ina paha e pana
Keawenuiaumi why the birds are ia ku na manu.” A lohe o Mainele
not hit. Perhaps Mainele was not i keia olelo a Kauakahi, i mai la:
shooting at them, if he did he “Aole no la hoi e pana ae; aia no
would hit them.” When Mainele hoi ka manu ke kau mai la, eia
heard the remarks of Kauakahi, ka pua, pana ae no hoi paha,
he replied: “Why don’t you shoot malama o ku ia oe.” I aku o
at them yourself? There are the Kauakahi: “Ae, e olelo ae au i
birds, here is the bow and here kuu akua a nana e pana na
are the arrows, go ahead and manu.” Ia wa ku ana o
shoot, may be you will hit them.” Pikoiakaalala mai loko ae o ka
At this Kauakahi replied: “All hokeo ie me kana pua pana iole.
right, I will ask my god to shoot Alaila, ike o Mainele a me na
the birds.” Pikoiakaalala then kanaka o Oahu aku nei he
came out of the basket with his kanaka ko loko o ka hokeo ie.
rat shooting arrows to the Olelo aku o Pikoiakaalala ia
surprise of Mainele and the Keawenuiaumi: “I poi wai, e lawe
Oahu people that accompanied mai a malalo o ke kumu o ke koa
him, for they had not known that nei kukulu.” I loko oia wa pana o
a man had been in this basket all Pikoiakaalala i na manu; kulou
this time. Upon coming up to iho la kona poo i loko o ke poi
Keawenuiaumi, Pikoiakaalala wai, e nana ana i ke aka o na
requested that a basin of water manu i kupono ka pua ke pana,
be brought and made to stand o ka lima me ka pua iluna kahi i
under the tree. As soon as this pana ai, o na maka i loko o ke
was done Pikoiakaalala came poi kahi i hooponopono ai i ke
and stood over the basin; while kupono. Ia pana ana, ku na
he looked into the basin at the manu a elua, pahu ana i lalo,
reflection of the birds in the uwa ka aha kanaka i ke akamai
water, he held his arms above o Pikoiakaalala.
his head with his bow bent and
his arrow aimed at the birds; as
soon as he saw that the birds
were in line he let fly his arrow
which flew true to the mark
hitting both birds and they came
tumbling down to the ground.
The people upon seeing this
great skill shown by
Pikoiakaalala gave a mighty
shout.

Keawenuiaumi, true to his word Lilo ke kaikamahine a

gave his daughter to Keawenuiaumi ia Pikoiakaalala a
Pikoiakaalala to wife and also me kekahi aoao o Hawaii waiwai
gave him a portion of Hawaii, o Kauakahi, hilahila o Mainele a
which made Kauakahi a very rich hoi mai i Oahu nei. [464]
man. Mainele was so ashamed
that he immediately returned to
Oahu. [451]

1 This name, showing Pikoi’s descent,

is a departure from the customary
form, being not only of, or from, Alala,
but is more definite as from ka (the)
Alala. ↑
2 Kaulamawaho, outside rope;
Kekakapuomaluihi, “the arrow
shooting of Maluihi”. ↑
3 Ike ole laua, as translated here, may
also mean “they did not know”, or
“were unaware”, etc. ↑
4 Olohu, name of a stone disk for a
rolling game, which takes the same
name. ↑
5 Pahee, a favorite betting game of
sliding a stick along a grass or
gravel course. ↑
6 Koieie, probably the same as koieiei,
a play at a flowing stream where the
incoming tide or current will return the
object thrown. The sport of sliding down
the rapids, as in Samoa or other islands
of Polynesia, takes the same name. ↑
7 E moe ana might mean simply “lying
down”, from his exhausted
condition. ↑
8 Rat shooting was a pastime of the
aliis. ↑
9 Kaukau alii, probably a prince, since
the term applied to a class of chiefs
below the king. ↑
10 The kalolo prayer was a petition
supplicating favors. ↑
11Aweoweo, a shrubby plant at various
altitudes (Chenopodium
sandwicheum). ↑
12Haumakaiole, an epithet applied to
one who is blear-eyed, from old
age. ↑
13 Hau, frost or misty; maka, eye; iole,
rat. ↑
14 Kuaiole, the upper ridge-pole of a
house. ↑
15 A stereotyped form of royal
recompense. ↑
[Contents]

Legend of Kaao No Kalelealuaka

Kalelealuaka and a Me
Keinohoomanawanui. Keinohoomanawanui.

The land where Kalelealuaka Oka aina i noho ai o

and Keinohoomanawanui lived Kalelealuaka a me
was Lihue, situated below and to Keinohoomanawanui, o Lihue e
the east of the Kaala mountains waiho ana malalo hikina o ka
on Oahu. The ground upon mauna o Kaala i Oahu. O ke
which the house stood is kahua hale nae, o Oahunui. O
“Oahunui”. At this time Kakuhihewa ke ’lii o Ewa a me
Kakuhihewa was the king of Ewa na aina e pili ana me ia; o
and of the districts adjoining; Pueonui ko Kona nei, oia mai
while Pueonui was the king of Moanalua a Makapuu, e noho
the district of Kona, embracing ana laua me ka paonioni a me
that stretch of country from ke kaua, kokoke e pau loa o
Moanalua to Makapuu. At this Ewa ia Pueonui.
time these two kings were
contending in war with each
other whereby Pueonui was
acquiring the Ewa lands.
Kalelealuaka was a very brave
and fearless man in battle and in
fighting. Kalelealuaka and
Keinohoomanawanui often spent
their time wishing for certain
things. The house in which they
lived faced directly towards Ewa.

Usually after partaking of their He kanaka koa loa o

evening meal they would light Kalelealuaka ma ke kaua a me
their kukui nut lamp and then lie ka hakaka. O ka laua hana me
down with their heads on their Keinohoomanawanui, o ke kuko.
pillows, look up at the roof, O ko laua hale, ua kupono ka
Kalelealuaka at one gable of the puka i kai o Ewa, o ko laua
house and Keinohoomanawanui manawa e kuko ai, o ka wa pau
at the other, when Kalelealuaka o ka paina ana o ke ahiahi e
would call out to pupuhi ana kukui, aia a hoi e
Keinohoomanawanui: “Let us moe, kau ke poo i ka uluna, huli
name our wishes.” ke alo iluna nana i kaupoku o ka
Keinohoomanawanui would then hale. Moe o Kalelealuaka ma
reply: “My wish is this: that we kona kala, moe o
sleep until the first crowing of the Keinohoomanawanui, ma kona
cock, then wake up and proceed kala, kahea aku o Kalelealuaka
down to the plain, pull up some ia Keinohoomanawanui: “O ke
ahuhu, 1 gather them together, kuko a kaua.” I mai o
continue on down to the beach, Keinohoomanawanui: “O ka’u
pound until soft, put the stuff into kuko, o ka moe o kaua a kani ka
the cracks, catch an eel, return moa kuakahi, iho a ke kula,
home, put the eel in banana huhuki auhuhu, a loaa, iho aku a
leaves, cook it in the oven kahakai, kui a wali, hoo aku i ka
underground; then at the second mawae o ka ala, make ka puhi,
crowing of the cock uncover the hoi mai a uka nei, haihai i ka lau
oven and place the cooked eel to maia, kalua, a kani ka moa, huai
one side to cool; after it is cooled ae a hoomaalili ma kapa. A
we will then proceed eating until maalili, ai kaua a maona, hoi aku
we have had our fill; when we a luna o ka hua moena, kau ke
will retire to our mats, place our poo i ka uluna, huli ae ke alo
heads on our pillows, face up to iluna, nana ae i kaupoku o ka
the roof and watch the rats race hale, liilii ka maka o ka iole, oia
along the battens. That is my ka’u kuko la i lohe oe.”
wish, I want you to know.”

Kalelealuaka would then reply: I aku o Kalelealuaka: “Aole kau

“That is no wish, I have the he kuko; o ka’u no ke kuko.”
proper wish.” “What is your “Pehea kau kuko?” wahi a
wish?” Keinohoomanawanui Keinohoomanawanui. “O na ilio
would ask. “That we may eat the nahu maka o Kakuhihewa na
dogs of Kakuhihewa that bite the kaua e ai; ka puaa kea o ka
face of people; that we may bake niho, na kaua e kalua; ke awa
the hog whose tusks are nui o na loko na kaua e ai, na
crossed; that we may eat the fat puawa ona na kaua e inu. Na
awa 2 of the fish ponds; that we Kakuhihewa no e mama a wali,
may drink of the best and most e hoka a loko o ke kanoa, e
intoxicating awa; that hoohee a loko o na apu; nana no
Kakuhihewa himself shall chew e hooinu i na waha o kaua, ona
the awa, strain it into the kaua, moe i ka ona awa a huli
containers, pour it out into the ae; nana no e lawe mai i na
cups, place the cups to our lips; kaikamahine ana a ma na aoao
and after we have slept off the o kaua hoomoe: oia ka’u kuko la
effects of the awa, that he bring i lohe oe.” “Kahaha, make kaua;
his daughters and make them kai no paha ma na mea e ae
our wives. That is my wish, I kaua e kuko ai, eia ka o ke ’lii
want you to know.” kau kuko; ina pela kou manao
Keinohoomanawanui then mamake kaua,” pela aku o
replied: “Say, we will get killed. I Keinohoomanawanui. Pela ko
thought we were to wish on other laua hana mau ana a hala ke
subjects; but I see your wish is in anahulu o na po a me na po
relation to the king. If that is your helelei, oia he mau po keu. O
wish we will surely get killed.” anahulu a me helelei. Anahulu,
This was carried on by these two he umi ia. Helelei, he keu
for ten nights and over. 3 mawaho o ka umi; oia ke ano
ma ka olelo kahiko o Hawaii nei.
Eia ke ano o keia mau inoa.

As their lamp was seen burning No keia a mau o ke kukui i na po

for several nights, Kakuhihewa a pau, uluhua o Kakuhihewa,
got vexed and ordered one of his kena i ke kiu e pii e nana i keia
spies to go on up and see what kukui a o ke aumoe. A hiki ke kiu
this midnight lamp was for. As ma waho, e olelo ana o
the [466]spy arrived and stood on Keinohoomanawanui [467]i kana
the outside of the house he a pau ia, olelo o Kalelealuaka i
heard Keinohoomanawanui kana a pau, hoomaha iho la
name his wish, which was laua. Kukulu iho la ke kanaka kiu
followed by Kalelealuaka, after i ka pahoa ma ka puka o ka hale
this the two became quiet. The a hoi mai la a hiki ia. Ninau aku
spy then stuck a short wooden la ke ’lii: “He kukui aha kela au i
dagger in the ground at the pii aku nei?” Hai mai la ke kiu i
entrance 4 of the house and na olelo a pau loa ana i lohe ai,
returned to the king. At his arrival a lohe ke ’lii i keia mau olelo. Aia
the king asked: “What was that me ke ’lii he kahuna; ui ae la ke
lamp burning for that you went ’lii: “Pehea kela kanaka o
up to see?” The spy then Kalelealuaka, he pono anei kana
repeated all he had heard. While olelo, aole anei?” I aku ke
the spy was repeating what he kahuna: “He pono kana olelo; o
had heard to the king, a priest ke kanaka ia puni ko aina; o na
was at this time with the king. At mea a pau ana i olelo mai ai, e
the conclusion of the recital, the hooko oe, o oe ponoi no ke hana
king turned to the priest and e like me ka olelo a ua kanaka
asked him: “What about that ala.” O keia mau olelo a pau loa,
man Kalelealuaka? Do you think ua hooko o Kakuhihewa ke ’lii;
his wish proper or not?” The eia nae, olelo aku ke kahuna i ke
priest replied: “What he has said ’lii: “I mau hale elua, i hookahi
should be carried out, because hale ai, i hookahi hale moe,
he will be the man to gain the hookahi la paa, alaila, kii ia o
conquest for you, so that you will Kalelealuaka a lawe mai.”
own the whole island. You must,
however, carry out every detail of
his wish with your own hands.”
On the advice of the priest,
Kakuhihewa 5 proceeded to carry
out in detail the wish made by
Kalelealuaka. The priest had,
however, instructed the king to
build two houses, one to serve
as an eating house and the other
a sleeping house; both to be built
and completed in one day and
then Kalelealuaka was to be sent
for and brought down.

When Kalelealuaka 6 and O Kalelealuaka a me

Keinohoomanawanui 7 woke up Keinohoomanawanui, i ko laua
in the morning and went out of ala ana i ke kakahiaka a hele
doors, they saw a wooden iwaho o ka hale, iko iho la laua
dagger sticking in the ground just he pahoa e ku ana ma ka puka o
outside of the entrance. At ka hale, ua kukuluia. I aku o
seeing this Keinohoomanawanui Keinohoomanawanui ia
said to Kalelealuaka: “We are Kalelealuaka: “Make kaua! Eia la
going to be killed. Here is a he pahoa ma ka puka o ka hale
wooden dagger at our door. We o kaua! Ua loaa. Aloha ino kaua
have been discovered. What a i ka make; o ka’u no ia e olelo
pity that we are to be killed. You aku ana ia oe e waiho ke ’lii,
can now see the consequences aohe make olelo.”
of disobeying my advice, not to
speak anything in connection
with the king.”

While they were discussing the Ia laua e kamailio ana no ka

dagger found at their door, they pahoa i kukulu ia ma ka puka o
looked down toward Ewa and ka hale, nana aku la laua i ka
saw a company of people moe mai o ke kaoo huakai
coming up toward them from the kanaka, mai kahi o ke ’lii a
king’s house all armed with kokoke i ko laua nei wahi, me na
stone axes from front to rear of koi lipi mai mua a hope o ka
the procession. At the sight of huakai. “Aia hoi paha ka make o
the people Keinohoomanawanui kaua la,” pela aku o
remarked: “There perhaps is our Keinohoomanawanui ia
death coming?” Kalelealuaka Kalelealuaka; makau wale. O
replied: “You coward.” The keia huakai, he poe ooki laau
company they saw coming was hale, e like me na olelo a ke
on their way to cut timber for the kahuna i ke ’lii, hookahi la ua
erection of the two houses as paa na hale elua.
advised by the priest. These
houses were completed in one
day.

how kalelealuaka and no ke kii ana ia

keinohoomanawanui kalelealuaka a me
were sent for and keinohoomanawanui, e
how they were taken lawe i kai o ewa imua o
to king kakuhihewa at ke ’lii o kakuhihewa.
ewa.

On the following day Ia po a ao ae, nana hou aku la o

Keinohoomanawanui again saw Keinohoomanawanui i nei
a large company of people huakai nui e pii mai ana mai kai
coming up from Ewa, all armed mai o Ewa, me na pololu, me ka
with spears and other ihe me ke kuia, me ka elau, me
instruments of war; some had na mahiole, me ka ahuula, me
war helmets and feather capes ka manele auamo. Hai aku o
while some had a litter for Keinohoomanawanui ia
carrying people. Upon seeing the Kalelealuaka, eia ka make o
people Keinohoomanawanui kaua ke kiina mai nei. Wahi a
turned to Kalelealuaka and said: Kalelealuaka: “Nana ia aku.” O
“Our death is now close upon Kalelealuaka, ke moi nei no me
us.” Kalelealuaka replied: “Keep kana laau palau, me ka maka’u
your eye on them.” Kalelealuaka ole me ka aa no e hakaka.
all this time was lying down with
his war club, showing no fear A hiki ka huakai ma waho o ka
and acting as though willing to hale o laua nei, eono poe
fight. When the people arrived kanaka ka puni o ka hale me ka
outside of the house, six of them makaukau i na mea make. Ia wa
surrounded the house all armed ala mai o Kalelealuaka me kana
with death weapons. Soon after laau [469]palau a uhau iho la i ka
this Kalelealuaka got up, hale, kaawale ae la elua mahele
stepped [468]outside with his war me ka lele liilii i o i anei. Olelo
club in hand, raised it and struck mai ka luna o na kanaka: “Aole
it on the house cutting it in two ka makou huakai he kaua a he
and scattering the grass and make; i kii mai nei makou ia oe e
timbers in all directions. The iho i kai o Ewa, ma ke kauoha a
officer in command of the ke ’lii a Kakuhihewa. Eia hoi ka
soldiers spoke up saying: “We manele la kau mai iluna.”
did not come here to inflict
death, but we have been sent to
bring you to Ewa by the orders of
Kakuhihewa, the king. Here is
the litter, get in.”

Before their arrival at Ewa, A hiki lakou nei i kai o Ewa, ua

Kakuhihewa had in the hoomakaukau ponoi o
meantime prepared with his own Kakuhihewa ke ’lii i na mea a
hands everything as advised by pau, e like me ka olelo a ke
the priest, as already set forth in kahuna i olelo mua ia ma ka
this story. The reason why hoomaka ana o keia kaao. O ke
Kakuhihewa had followed the kumu o keia hana ponoi a
instructions was because he Kakuhihewa, no ke ake e lilo nui
wanted to gain possession of all ko Pueonui aina ia ia, a no ka
of Pueonui’s lands, and also olelo kekahi a ke kahuna. Lilo ae
because the priest had advised la o Kalelealuaka i hunona na ke
him so. Kalelealuaka and ’lii a me Keinohoomanawanui,
Keinohoomanawanui were from hookahi hana a Kalelealuaka he
this time on taken as the king’s hiamoe i loko o ka hale me ka
sons-in-law. All Kalelealuaka did wahine, ke kaikamahine a
after this was to retire with the Kakuhihewa.
daughter of Kakuhihewa in one
of the houses prepared for them.

While they were living together I loko o keia wa a lakou e noho

at this time, war was again nei, hoomaka ke kaua o na ’lii, o
resumed between the two kings, Kakuhihewa a me Pueonui. O
Kakuhihewa and Pueonui. 8 Keinohoomanawanui lilo ae la ia
Keinohoomanawanui was at i luna koa, oia kekahi i hele i ke
once made one of the king’s kaua, ua lanakila ko lakou aoao
officers and he went out to take ma ke kaua ana me Pueonui. O
part in one of the battles, and in Kakuhihewa a me na koa kai
which Pueonui was beaten. hele i ke kaua i ke ao, ua nui ka
Kakuhihewa and his men went make ma ko Pueonui aoao, ua
out to fight during the daytime lanakila loa o
and they slew a great many of Keinohoomanawanui ma keia
Pueonui’s men. mau kaua ana, a ua manao ke
Keinohoomanawanui always ’lii o Kakuhihewa nana keia
gained the victory in these make.
battles so that in time the king
began to give
Keinohoomanawanui the credit
of such splendid results.

Kalelealuaka in the meantime No Kalelealuaka. I ke ao, moe

retired during the daytime, but at oia a kani ka moa kuakahi o ka
the first crow of the cock at early wanaao, hele e pepehi i na ’lii
dawn, he would get up and go koa o Pueonui. Mai lalo mai o
out and slay the officers in the Ewa e holo ai, a loaa na ’lii koa a
army of Pueonui. He would run me ke kaua i Kapukaki e nana
from Ewa to Kapukaki, the ala ia Halawa. Lawe kela i ka
heights looking down at Halawa, mahiole a me ka ahuula o na ’lii
where he would meet the officers a me na koa, hookahi laau palau
of the opposing army and fight e uhau ai ma ka akau, a pela ma
them single handed, striking on ka hema, ua pau loa ia poe
the right and then on the left. kaua; pela kana hana mau ana i
After slaying the enemy by the na po a pau me ka ike ole ia. A i
use of his war club he would kekahi po ana i hoi hou ai, ike ia
carry off their war helmets and e ke kanaka mahiai i Halawa. Ua
feather capes. This was carried luku aku o Kalelealuaka i na koa
on by him for several nights o Pueonui a pau i ka make, ua
without the knowledge of loaa ka ahuula a me ka mahiole,
anyone. One night as he was e huli hoi ana ia, a no kona
returning a farmer at Halawa mama loa aole maopopo kona
saw him. Kalelealuaka had slain mau helehelena. Nolaila,
several of Pueonui’s men, and hoomakakiu ua kanaka mahiai
secured some feather capes and nei i kekahi po hou mai, a ike ia
war helmets and was on his way ia Kalelealuaka e hele ae ana
home; but he was traveling at me ka mama loa, ia wa, pahu
such speed that the farmer was kela i ka ihe laumeki kohe o mua
unable to make out who he was. a ku i ka lima, i ka peahi mahope
On the night following the farmer mai, paa loa i loko ka upe o ka
thought he would lie in wait for ihe. Lalau iho la o Kalelealuaka i
this man; sure enough he saw ka ihe a uhaki ae la, paa no ka
Kalelealuaka going along at a upe i loko o ka lima.
very great rate of speed, so
taking up his spear whose point
was fixed like a hook, he threw it
and hit the man in the arm just
above the wrist; the spear point
entered and was made fast.
Kalelealuaka seizing the spear
tried to pull it out, but was unable
on account of the peculiar point,
so he broke it, leaving the point
still in the arm.

Pueonui was defeated and O Pueonui ua pio kona aoao, a

Kakuhihewa took possession of ua pau loa kona aina ia
all his lands. Kakuhihewa all this Kakuhihewa, ua manao hoi o
time thought Kakuhihewa na
Keinohoomanawanui was the Keinohoomanawanui keia pio o
cause of these victories over Pueonui, a me keia make o na
Pueonui and the slaughter of the kanaka. No ke kanaka mahiai.
men. In the meantime the farmer Hoole oia ia
refused to give Keinohoomanawanui: “Aole
Keinohoomanawanui the credit nana keia make o Pueonui, he
of these victories and declared kanaka e wale no ke kanaka
that the final defeat and death of nana e luku nei, aia a kokoke e
Pueonui was the work of a ao [471]hele keia kanaka. He
different man altogether, who kanaka mama loa, aohe lua, me
went out to fight only in the early ka laau palau i ka lima, a i ka hoi
morning. He described this ana mai me ka mahiole a me ka
unknown man as a very fast ahuula, ua pahu ia e a’u i ka ihe,
runner of whom he knew no a paa ka upe o ka ihe i loko o ka
equal; the man always carried a lima. Oia ka hoailona o ua
war club, and on his return would kanaka ala.”
come with war helmets and
feather capes. “I have wounded
him in the arm and I think [470]the
spear point is still in his arm. It
will be the means by which the
man could be recognized.”

When Kakuhihewa heard this, he A lohe o Kakuhihewa i keia mau

issued a call for everybody to olelo kukala aku la ia i kana olelo
come together, no man, woman kuahaua: “Aohe kanaka noho,
or child to remain at home, aohe wahine, aohe keiki. O ka
excepting those who when they mea ku ae a hina iho, oia ke
fell down were unable to get up noho aku, o ka mea mai hiki ole
again, and those who were so ke hele.” A akoakoa na mea a
sick that they could not walk. pau loa i kahi hookahi, hele ua
After everybody had come kanaka nei e nana i ka lima,
together, the farmer proceeded aohe loaa iki. Ninau aku la ia
to look for his man by looking at Kakuhihewa: “Aohe kanaka i
their arms; but he was unable to koe?” “Aole,” pela aku ke ’lii.
locate him. He then asked “Aka, o kuu hunona wale no koe
Kakuhihewa: “Is there no one e moe la i ka hale, aohe ana
left?” “None,” said the king, hana e loaa.” “E kii aku, e lawe
“except my son-in-law who is mai e nana aku au,” pela aku ke
asleep at home, and has done kanaka mahiai. A hiki mai la o
nothing requiring him.” “Send for Kalelealuaka, hoike mai la i kona
him and let me see [his arm],” lima, i nana iho ka hana e paa
said the farmer. When ana ka upe o ka ihe i ka lima.
Kalelealuaka came up to the “He oiaio, o keia kanaka ka mea
farmer and held up his arm the nana i luku ko Pueonui aoao a
point of the spear was found. pau i ka make. O ke kanaka keia
The farmer then remarked: a’u i hoomakaukiu ai i ke
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