Strategy development at universities - Why and how?

1. Perspectives of the universitiesAdministration vs. Management- The Excellence Initiative from inside HUMANE 22nd/23rd of June, KonstanzManfred Nettekoven

2. Strategy development at universities - Why and how?

3. The end ofthehibernation Excellence Initiative Bologna Global budget Anzahl Studierende 1870 1880 1890 1900 1980 1990 1996 1998 2000 2005 2006 Jahr Opening as “Königlich Rheinisch-Westphälisch Polytechnische Schule” (10.10.1870) “University Freedom” Law (deregulation) Independence from the state government Change of legal form

4. 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)

5. Constitutional reform in 2006 …leads to problems concerning investments, the German Science council on scientific matters calls the constellation as specified below „financing trap“

6. Make 1.3 out of 1.9 billion! Investments throughout Germany

7. 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

8. Withthederegulationchanges in thebudgetsectorarose II • 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

9. Management of funds and ressources • Not all the budgetary lines are involved, allocation of personnel is often omitted • Area is facility allocation, remains the „final frontier“

10. Chance: additional resourcesthroughcompetition 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).

11. Effects on thestaff • 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)

12. Effects on thestrategy • 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

13. Graduate School Excellence Cluster Aachen Institute of Advanced Study in Computational Engineering Science (AICES) Ultra High-Speed Mobile Information and Communication (UMIC) Integrative Production Technology for High-Wage Countries Tailor-Made Fuels from Biomass (TMFB) A new strategy paper for the RWTH Aachen university, why? Future Concept RWTH 2020 – Meeting Global Challenges

14. The future concept of the RWTH Aachen university Vision Global challenges • availability of energy • water supply • chronic diseases • demographic change • work – life balance • ... Solvewiththehelpof • Improvementofthe fundamental understanding • Strengthenthecooperationbetweendisciplinsandpartners • Raisingofconsciousnessofstudentsandemployeesofthe RWTH Aachen university • Establishment ofappropriatemanagementstructures

15. 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).

16. Applied system

17. Applied system Otmar von St. Gallen

18. Applied system

19. „reality landing“ Noscientificinstitutioncanbecomesuccessfulwithout an acceptedandcommunicatedstrategy Forthisreasonsimplificationsarenecessary!

20. Elements of the strategy development Values Visions Objectives Strategies

21. The strategy process…

22. …a comprehensive process within the universities

23. Workshops

24. 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“

25. Project status Erarbeitung ab 01/2010 ! ü

26. Strategy RWTH 2009 - 2020

27. 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

28. 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.

29. Project team Support Herr Olaf Gockel Dipl.-Kfm. Leiter des Projektteams Exzellenzinitiative Abteilung Struktur u. Forschung Frau Carla Splinter Dipl.-Ing. Referentin des Strategierats Abteilung Struktur u. Forschung Frau Jennifer Derichs Abteilung Finanzplanung u. Controlling Sekretariat Zugriff auf Kapazitäten des Dezernats Planung, Entwicklung und Controlling Under the direction of: Herr Thomas Trännapp Dipl. Sozialwirt Leiter der Abteilung Struktur u. Forschung Stellvertretender Leiter des Dezernates Planung, Entwicklung u. Controlling Change Management Herr Giuseppe StrinaPrivatdozent Dr.-Ing. M.A.

30. Thank you for your attention!