© Dezernat Planung, Entwicklung u. Controlling 22.09.2010 Perspectives of the universities...

© Dezernat Planung, Entwicklung u. Controlling 22.09.2010

Perspectives of the universities

Administration vs. Management

- The Excellence Initiative from inside

HUMANE 22nd/23rd of June, Konstanz

Manfred Nettekoven

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Strategy development at universities - Why and how?

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1870 1880 1890 1900 1980 1990 1996 1998 2000 2005 2006

Jahr

“University Freedom” Law (deregulation)Independence from the state governmentChange of legal form

Opening as “Königlich Rheinisch-Westphälisch Polytechnische Schule”(10.10.1870)

Global budget

The end of the hibernation

An

zah

l Stu

die

ren

de

BolognaExcellence Initiative

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Constitutional reform in 2006

The joint task „Hochschulbau“ was discontinued (lapse of article 91a GG)

The Federal Republic of Germany focuses only on investments in research (article 91 b GG)

Transitional arrangement until 2013/2019 (article 143 c GG)

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…leads to problems concerning investments, the German Science council on scientific matters calls the constellation as specified below „financing trap“

Constitutional reform in 2006

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Make 1.3 out of 1.9 billion!

Investments throughout Germany

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With the deregulation changes in the budget sector arose

3 areas are affected:

1. Basic funding

2. Performance-based rewards

3. Innovation

What followed was a budgeting exercise, starting with

- Operational budget

- Budget for human resources,

- Facilities

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Increasing relevance of output control

Performance agreements as a vehicle to support this (output-orientated) change

Discretionary resources are necessary to fund performance agreements

Key performance indicators

Controlling

Commercial accounting instead of the traditional cameralistic accounting

With the deregulation changes in the budget sector arose II

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Not all the budgetary lines are involved, allocation of personnel is often omitted

Area is facility allocation, remains the „final frontier“

Management of funds and ressources

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International trend

Two possibilities

Evaluation-based basic funding of university research spreads out. But: quantitative indicators and peer review are associated with problems. (e.g.: Great Britain, Australia)

Alternative possibility: selective ad hoc financing, which do not touch the basic funding, to reach quality improvements of research (’excellence initiative’).

There have recently been attempts of this type of initiatives in Canada, Japan, the Netherlands and recently also in Germany (ExIni).

Chance: additional resources through competition

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Rectors or presidents more often „from outside“, partially recruited by headhunters

Chancellors often become vice-presidents for a limited period, „lawyers privilege“ is abolished (1999)

Establishment of full-time deans (Hamburgisches Hochschulgesetz, Hochschulmedizingesetz NRW)

Effects on the staff

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Portfolio-Management, Hybrid-universities, SWOT-analyses

Cooperation with research centers, as for example: KIT (Karlsruhe), JARA (Aachen)

Professionalization of management and of strategic and relevant business processes (appointments of professors)

SAP and „Datenlotsen“ etc., software for traditional business administration is going to be more relevant

Effects on the strategy

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© Dezernat Planung, Entwicklung u. Controlling 22.09.2010 13

A new strategy paper for the RWTH Aachen university, why?

Graduate School

Aachen Institute of Advanced Study in Computational Engineering Science (AICES)

Future Concept

RWTH 2020 – Meeting Global Challenges

Excellence Cluster

Ultra High-Speed Mobile Information and Communication (UMIC)

Integrative Production Technology for High-Wage Countries

Tailor-Made Fuels from Biomass (TMFB)


The future concept of the RWTH Aachen university

Solve with the help of

Improvement of the fundamental understandingStrengthen the cooperation between disciplins and partnersRaising of consciousness of students and employees of the RWTH Aachen universityEstablishment of appropriate management structures

Vision

Global challenges availability of energy water supply chronic diseases demographic change work – life balance ...


A new strategy paper for the RWTH Aachen university, why?

The „new rectorate“ (Schmachtenberg) saw it as

his task to continue the future concept and to

develop a strategy for all areas.

Reasons

Strategy concept „RWTH 2020 : Meeting Global Challenges“ (excellence initiative) is focused on research, it does not include any other area of activity

The development of a „holistic“ strategy concept served as an essential element of the renewal proposal: Future concepts for the second phase of the excellence initiative (Beginning 10/2012).

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Applied system

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Applied system

Otmar von St. Gallen

Effizienz: „Die Dinge richtig tun!“

Eff

ekti

vitä

t: „

Die

ric

hti

gen

Din

ge

tun

!“

Hauptprozesse Forschung

1. Allokation Haushalt

2. Akquise Projekte

3. Akquise Großprojekte

4. Akquise Industrie

5. Akquise Investitionen

6. FP 1: Publikationen

7. FP 2: dis. Projekte

8. FP 3: interdis. Proj., SFB`s

9. Akquise Cluster

10. Personalgewinnung

11. Personalentwicklung

12. Diversity Recruiting

- 0 +

-

0

+

Maßnahmen

1

4

5

23 7

8

9

10

11

6

Strukturen schaffen

Prof. Stellen

Planung & Führung

Image (CI)

Zukunftsthemen

12

Effizienz: „Die Dinge richtig tun!“

Eff

ekti

vitä

t: „

Die

ric

hti

gen

Din

ge

tun

!“

Hauptprozesse Forschung

1. Allokation Haushalt

2. Akquise Projekte

3. Akquise Großprojekte

4. Akquise Industrie

5. Akquise Investitionen

6. FP 1: Publikationen

7. FP 2: dis. Projekte

8. FP 3: interdis. Proj., SFB`s

9. Akquise Cluster

10. Personalgewinnung

11. Personalentwicklung

12. Diversity Recruiting

- 0 +

-

0

+

Maßnahmen

1

4

5

23 7

8

9

1010

1111

66

Strukturen schaffen

Prof. Stellen

Planung & Führung

Image (CI)

Zukunftsthemen

12

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Applied system

stra

tegi

sch

norm

ativ

oper

ativ

Strat. führbareUni mit FZJ

und UKA

Synergien schaffen(komparative Vorteile)

MeinungsführerschaftForschungsqualitätDrittmittelfähigkeitGroßprojektfähigkeitStudienerfolgsquoteAbsolventenqualität

Planungs- u.Führungssystem

Strukturergänzungen: (CC, Cluster, Forschungs-institute)

Sonderprofessuren

JARA-Institute

Exzellenz =

Qualitatives Wachstum

Hochleistungs-kultur

Einzelstrategien (je Entität)

Planungs-/Führungsproz.

Ergänzungsflächen (Lehre)

Campus (Melaten/ Westbhf.)

Zukunftskonzept 3. Linie

Zukunftskonzept Lehre

Gender-Programm

Personalwachstum&Entwickl.

Flächenwachstum

CI / Image / Marke

Campus (Industrie-Immatr.)

Forschungs-Großprojekte

Medizin u. Technik-Programm

Leistungsprinzip

Kooperationsbereitschaft

Veränderungsbereitschaft

AktivitätenStruktur Verhalten

Gemeinsames Bewusstsein

• Zukunftsorientierung• Interdisziplinarität• Internationalisierung• Qualität der Forschung• Qualität der Lehre• Gender & Diversity• Wettbewerb

stra

tegi

sch

norm

ativ

oper

ativ

Strat. führbareUni mit FZJ

und UKA

Synergien schaffen(komparative Vorteile)

MeinungsführerschaftForschungsqualitätDrittmittelfähigkeitGroßprojektfähigkeitStudienerfolgsquoteAbsolventenqualität

Planungs- u.Führungssystem

Strukturergänzungen: (CC, Cluster, Forschungs-institute)

Sonderprofessuren

JARA-Institute

Exzellenz =

Qualitatives Wachstum

Hochleistungs-kultur

Einzelstrategien (je Entität)

Planungs-/Führungsproz.

Ergänzungsflächen (Lehre)

Campus (Melaten/ Westbhf.)

Zukunftskonzept 3. Linie

Zukunftskonzept Lehre

Gender-Programm

Personalwachstum&Entwickl.

Flächenwachstum

CI / Image / Marke

Campus (Industrie-Immatr.)

Forschungs-Großprojekte

Medizin u. Technik-Programm

Leistungsprinzip

Kooperationsbereitschaft

Veränderungsbereitschaft

AktivitätenStruktur Verhalten

Gemeinsames Bewusstsein

• Zukunftsorientierung• Interdisziplinarität• Internationalisierung• Qualität der Forschung• Qualität der Lehre• Gender & Diversity• Wettbewerb

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„reality landing“

No scientific institution can become successful without an accepted and communicated strategy

For this reason simplifications are necessary!

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Elements of the strategy development

Values Visions Objectives Strategies

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The strategy process…

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…a comprehensive process within the universities

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Workshops

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Genesis / Milestones

02.04.09 : Presentation in the strategic council

24.06.09 : 1. discussion with the members of the strategic council

18.07.09 : 1. workshop held in the strategic council

10.09.09 : Statement in the University council meeting

24.09.09 : 2. discussion in the strategic council

01.10.09 : 2. workshop

29.10.09 : Discussion in the senate:

approval of „strategy RWTH 2009 - 2020“

12.11.09 : University council meeting

approval of „strategy RWTH 2009 - 2020“

18.11.09 : The rector addresses an email to all professors/ groups / departments - the strategy paper is attached

29.01.10 : Official presentation in the context of the event „RWTH transparent“

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Project status

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!Erarbeitung

ab 01/2010


Strategy RWTH 2009 - 2020


Projects carried out within the strategy program

With respect to the fields of competitions the following twelve projects are considered as crucial:

(1) Target and performance agreement with the faculties, technical groups and the rector‘s office

(2) Aim to raise the number of scientists working for the RWTH

(3) Image (corporate identity, marketing-PR)

(4) Provide structures (enabling large scale projects)

(5) Campus (industry matriculation, Campus GmbH)

(6) Work on future teaching strategies

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Projects carried out within the strategy program (2)

(7) Personnel development programs/ Career advancement

(8) Provide construction ground (investment in university construction/ campus)

(9) Excellence Initiative concept

(10) Focus on medicine and engineering

(11) Research alliance with Jülich

(12) Process of finding topics for the future (events, studies, forums, public discussions)

The order of the listed projects does not represent an hierarchical arrangement and is therefore no indicator of the projects significance.

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Project team

Under the direction of:Herr Thomas TrännappDipl. Sozialwirt

Leiter der Abteilung Struktur u. Forschung

Stellvertretender Leiter des Dezernates Planung, Entwicklung u. Controlling

Change ManagementHerr Giuseppe StrinaPrivatdozent Dr.-Ing. M.A.

SupportHerr Olaf GockelDipl.-Kfm.

Leiter des Projektteams Exzellenzinitiative

Abteilung Struktur u. Forschung

Frau Carla SplinterDipl.-Ing.

Referentin des Strategierats

Abteilung Struktur u. Forschung

Frau Jennifer Derichs Abteilung Finanzplanung u. Controlling

SekretariatZugriff auf Kapazitäten des Dezernats Planung, Entwicklung und Controlling

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Thank you for your attention!

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© Dezernat Planung, Entwicklung u. Controlling 22.09.2010 Perspectives of the universities...

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