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Measuring Governance in Tertiary Education
Jamil Salmi & Roberta Malee BassettWashington, DC 28 January 2010
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outline of the presentation
• what is governance; why it matters
• key dimensions of governance
• the corruption agenda
• benchmarking governance in tertiary education
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4
what is governance in tertiary education?
• governance focuses on
– the rules and mechanisms by which various stakeholders influence decisions
– how institutions are held accountable
– to whom they are accountable
5
what is governance in tertiary education?
• governance encompasses the framework in which an institution pursues its goals and policies in a coherent and coordinated manner to answer the questions: ‘who is in charge, and what are the sources of legitimacy for executive decision-making?’
eacea.ec.europa.eu/ressources/eurydice/pdf/0_integral/091EN.pdf
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natural lab experiment:
University Of Malaya vs. National University of Singapore
• early 1960s: 2 branches of University of Malaya
• today, stark difference:
• THES: NUS # 30, UoM # 180
• SJTU: NUS 101- 151, UoM not in top 500
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AutonomyAcademic Freedom
StudentsTeaching StaffResearchers
Leading-Edge Research
Dynamic Knowledge & Technology
Transfer
Concentration of Talent
Abundant
Resources
Favorable Governance
Leadership TeamStrategic VisionCulture of Excellence
Public Budget Resources
Endowment Revenues
Tuition Fees
Research Grants
WCU Supportive Regulatory Framework
Top Graduates
Characteristics of a World-Class UniversityAlignment of Key Factors
Source: Elaborated by Jamil Salmi
• talent• UM: selection bias in favor of
Bumiputras, less than 5% foreign students, no foreign professors
• NUS: highly selective, 43% of graduates students are foreign, many foreign professors
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University Of Malaya vs. National University of Singapore
University Of Malaya vs. National University of Singapore (II)
• finance
• UM: $118 million, $4,053 per student
• NUS: $750 million endowment, $205 million, $6,300 per student
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University Of Malaya vs. National University of Singapore (II)
• governance
• UM: restricted by government regulations and control, unable to hire top foreign professors
• NUS: status of a private corporation, able and eager to attract world-class foreign researchers
• 52% of professors (9% from Malaysia)
• 79% of researchers (11% from Malaysia)
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comparing the US and Europe
• governance is a key determinant of world rankings
• research performance positively linked to degree of autonomy (budget management, hiring and firing staff, freedom to set salaries)
• university boards with outside representation are a necessary condition for dynamic reforms
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outline of the presentation
• What is governance and why it matters
• key dimensions of governance
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key dimensions of governance
• role and responsibilities of the state?
• laws, policies, declarations, charters
• institutional leadership
• autonomy vs. accountability (stakeholder voices)
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role of the State
from
central control
to
steering at a distance
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international trends
• general move to granting greater autonomy (Japan, Thailand, Indonesia, Germany, France)
• MOEs are surrendering some functions to intermediate agencies or empowering institutions
• Board with external representation
• growth in scale and intrusiveness of monitoring by governments
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key dimensions of autonomy
• academic (selection of students - qualifications and number, program and curriculum development, academic freedom)
• staffing (recruitment / evaluation of faculty / dismissal, remuneration)
• financial (income generation, block-grant, ownership of infrastructure and ability to borrow)
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extent of university autonomy in 12 OECD countries
CountryOwn
publicbuildings
Borrow funds
Spend budgets
to achieve objectives
Set academic
structure and courses
Employ and dismiss
staff
Set staff salaries
Decide size ofstudent
enrolment
Mexico Y Y Y Y Y
Netherlands Y Y Y Y Y Y
Poland Y Y Y Y Y Y
Australia Y Y Y Y Y
Ireland Y Y Y Y Y
UK Y Y Y Y Y
Denmark Y Y Y Y
Sweden Y Y Y Y
Norway Y Y Y Y
Finland Y Y Y
Austria Y Y Y Y
Romania Y Y Y Y Y Y
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changing role of government (Georgia)
Areas of oversightand regulation
Present situation
Proposed approach
Formulating overall vision and setting policies
Y Strengthened
Allocating budgetary resources based on performance and equity criteria
N Y
Evaluating and promoting quality Limited Strengthened
Allowing flexibility to hire and dismiss faculty
N Y
Allowing flexibility to establish salary levels
N Y
Imposing ex ante financial controls and audits
Y N
Allowing flexibility in procurement rules N Y
Monitoring / evaluating Limited capacity Y
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appointment of university leader
• government appointment
• democratic election (faculty, administration, students, alumni)
• competitive appointment (Board, govt, electorate)
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role of the Board in the autonomous university
• appoints the President and monitors his/her performance
• approves the mission and strategic plan, budget and performance indicators
• assesses performance against the strategy and plan
• establishes and monitors control and risk management systems
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effective Boards
• Board = interface between society and universities
• learning to work together: university leadership and Board
• need for capacity building• clear boundaries
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outline of the presentation
• why governance matters
• key dimensions of governance
• the impact of corruption
an inventory of corrupt behaviors
• categories based on educational and institutional processes
• “protagonists” identified
• examples provided from around the world
• summary matrix on p. 33 of the report
main forms of corruption in tertiary education
• admission process (examination fraud, bribery, favoritism, undue influence, discrimination)
• academic process (cheating, plagiarism)
• awarding of false credentials
• undermining of QA (bribery, false data, accreditation mills)
• research misconduct (standards, falsification of results, conflicts of interest, theft of ideas)
financial fraud and mismanagement
• profiteering
• theft
• embezzlement
• financial mismanagement
• student loan fraud
informal payments for education
Colom
bia
Zambia
Mad
agas
car
Parag
uay
Peru
Gua
tem
ala
Tajikis
tan
Bulgar
ia
Moz
ambiq
ue
Namibi
a
Gha
na
Nepal
India
Albania
Bangla
desh
Haiti
Sri La
nka
Pakist
an0
10
20
30
40
50
60
70
80
90
100
26 7 7 7 8 9
16 1620
24 2534 35
40
60 61
92
% of households that make informal payments
http://medialogy.net/2009/12/28/looking-while-reading/
why does corruption happen?economic dimensions
• corruption in tertiary education often mirror corruption in other realms
• low teacher and administrator salaries
• supply out of sync with demand
why does corruption happen?political dimensions
• lack of oversight and accountability
• managerial capacity
• political tolerance
negative impact
• contrary to basic purpose of education• ethical values• academic merit • loss of trust in system and outputs
• teachers (role models)• students (code of conduct)• institutions (reputation)
• misuse of limited resources
• danger to the public • medical doctors with invalid accreditation
fighting corruption
• preventive measures (legislation, governance, procedures)
• detecting and monitoring (IT systems, tip lines, surveys, audits)
corruption in Kyrgyz universities
KTUKAU
NGU
BGU
Bishke
k M
edica
l Aca
dem
y
KGUSTA
KRSUM
UK
KGAFKiS
AUCA0
20
40
60
80 68 67.5 64.9 62 59.6 5951 49.5
34.3
5.1
Percentage
fighting corruption
• punitive measures (legal action, career sanctions, academic / professional sanctions, protests and violence)
• multiple purpose measures (accreditation, awareness, transparent reporting, integrity ranking)
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outline of the presentation
• why governance matters
• key dimensions of governance
• the corruption agenda
• benchmarking governance in tertiary education
ranking systems in 2009
Region National and International Ranking System
Eastern Europe and Central Asia Kazakhstan (A, B), Lithuania (B), Poland (C), Slovakia (B), Romania (B/C), Russia (B), Ukraine (B/C)
East Asia and PacificAustralia (B), China (B, C, IB), Hong Kong (C), Japan (B, C), Korea (A), Malaysia (A), New Zealand (A), Taiwan (B, IB), Thailand (A)
Latin America and the Caribbean Argentina (D), Brazil (A), Chile (C,D), Mexico (B), Peru (B)
Middle East and North Africa Tunisia (A)
North AmericaCanada (B, C, B/C), United States (C, IC)
South AsiaIndia (C/D), Pakistan (A)
Sub-Saharan AfricaNigeria (A)
Western EuropeGermany (B/C, C), Italy (C), Netherlands (A), Portugal (C), Spain (B, C, IC), Sweden (C), Switzerland (B/C), United Kingdom (A, B, IC)
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European Association of Universities
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• Study of University Autonomy in Europe (34 countries)
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benchmarking governance in tertiary education
• defining key dimensions
• selecting indicators
• developing questionnaire
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developing indicators
• systems governance (strategic vision, legal framework, quality assurance, resource allocation and financial incentives)
• autonomy (academic, staffing, financial)
• accountability mechanisms
• existence and role of Boards
• institutional leadership
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data collection
• piloting questionnaire in the East Asia Region
• second pilot phase in Central America
• intended to expand globally after pilot-driven improvements
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next steps
• collecting data
• analyzing findings
• establishing relationships with performance measures
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University
Governance
Upgrade your knowledge –
Govern and finance your tertiary education system!
Ariel Fiszbein
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