1. Perspectives of the universities Administration vs
Perspectives of the universities Administration vs. Management - The Excellence Initiative from inside HUMANE 22nd/23rd of June, Konstanz Manfred Nettekoven

2. Strategy development at universities - Why and how?

3. The end of the hibernation
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”
( )
“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. Investments throughout Germany
Make 1.3 out of 1.9 billion!

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. With the deregulation changes in the budget sector arose 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 resources through competition
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 the staff
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 the strategy
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. A new strategy paper for the RWTH Aachen university, why?
Graduate School
Aachen Institute of Advanced Study in Computational Engineering Science (AICES)
Excellence Cluster
Ultra High-Speed Mobile Information and Communication (UMIC)
Integrative Production Technology for High-Wage Countries
Tailor-Made Fuels from Biomass (TMFB)
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
...
Solve with the help of
Improvement of the fundamental understanding
Strengthen the cooperation between disciplins and partners
Raising of consciousness of students and employees of the RWTH Aachen university
Establishment of appropriate management structures

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“
No scientific institution can become successful without an accepted and communicated strategy
For this reason simplifications are necessary!

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
: 1. discussion with the members of the strategic council
: 1. workshop held in the strategic council
: Statement in the University council meeting
: 2. discussion in the strategic council
: 2. workshop
: Discussion in the senate:
approval of „strategy RWTH “
: University council meeting
: The rector addresses an to all professors/ groups / departments - the strategy paper is attached
: Official presentation in the context of the event „RWTH transparent“

25. Project status ü !
Erarbeitung
ab 01/2010

26. Strategy RWTH

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

30. Thank you for your attention!