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Excellence Initiatives and
World-Class Universities
Jamil Salmi
JRC - Ispra 8 June 2015
the search for excellence
my university is…
more world-class than yours
natural lab experiment:
U. of Malaya vs. NUS
• late 1950s: 2 branches of
University of Malaya
• today, stark difference:
• THE: NUS # 25, UoM not in top 400
• SJTU: NUS 101 - 150, UoM 301 - 400
outline of the presentation
defining the world-class university
the road to academic excellence: “Excellence Initiatives”
is it working?
how do you recognize
a world-class university?
what have we learned?
everyone wants one
no one knows what it is
no one knows how to get one
Philip G. Altbach
defining the WCU
self-declaration
defining the WCU
self-declaration
reputation
rankings
top 50 universities (2014)
ARWU 2014
THE
2013-14
JAPAN, 1 AUSTRALIA, 2
CANADA, 3
OTHER ASIA, 4
WESTERN EUROPE, 4
UK, 7
USA, 29
JAPAN, 2 CANADA, 2
UK, 6
WESTERN EUROPE, 7
USA , 32
AUSTRALIA, 1
Autonomy
Academic Freedom
Students
Teaching Staff
Researchers
Leading-Edge
Research
Dynamic
Knowledge &
Technology
Transfer
Concentration
of Talent
Abundant
Resources Favorable
Governance
Leadership Team
Strategic Vision
Culture of Excellence
Public Budget Resources
Endowment Revenues
Tuition Fees
Research Grants
WCU Supportive
Regulatory
Framework
Top
Graduates
Characteristics of a World-Class University
Alignment of Key Factors
Source: Elaborated by Jamil Salmi
concentration of talent
teachers and researchers
incoming students
undergraduate / graduate students balance
weight of graduate students
University Undergraduate
Students
Graduate
Students
Share of
Graduate
Students (%)
Harvard 7,002 10,094 59
Stanford 6,442 11,325 64
MIT 4,066 6,140 60
Oxford 11,106 6,601 37
Cambridge 12,284 6,649 35
LSE 4,254 4,386 51
Beijing 14,662 16,666 53
Tokyo 15,466 12,676 45
concentration of talent
teachers and researchers
incoming students
undergraduate / graduate students balance
international dimensions
international dimensions
foreign faculty
Harvard (30%), Caltech (37%), Oxford (40%), ETH Zürich (60%)
foreign students
Harvard (19%), Cambridge (18%)
abundant resources
government funding
US able to spend 3.3% of GDP ($54,000 per student) – 1/3
public 2/3 private
Europe (E25) only 1.3% ($13,500 per student)
endowments
Comparison of US and UK Endowment Levels (2013)
US Institutions Endowments
Assets UK Institutions
Endowment
Assets
Harvard University 32,334 Cambridge 6,327
Yale University 20,780 Oxford 5,767
U. Of Texas system 20,448 Edinburgh 264
Stanford University 18,689 Manchester 204
Princeton University 18,200 Glasgow 164
Comparison of US and UK Per Student Endowment (2013)
US Institutions Endowment
per student UK Institutions
Endowment
per student
Yale University 2,513,000 Cambridge 343,934
Princeton University 2,271,000 Oxford 343,934
Harvard University 1,540,000 Edinburgh 9,298
Stanford University 824,000 Glasgow 6,952
University of Texas
(system) 99,466 Manchester 5,208
abundant resources
government funding
endowments
tuition fees
research funding
favorable governance
freedom from civil service rules
management autonomy
flexibility and responsiveness with power to act
autonomy
institutional autonomy
organizational autonomy (independent Board
with external representation, selection of
leader, structure)
human resources management
financial management
incl. procurement
academic autonomy
U. Of Malaya vs. NSU
talent
resources
governance
creating the Solar Energy
Research Institute in Singapore
outline of the presentation
defining the world-class university
the road to academic excellence: “Excellence
Initiatives”
the path to glory
mergers
upgrading existing institutions
creating a new institution
Excellence Initiative
large injection of additional funding by a national
government
aimed at upgrading existing universities in an
accelerated fashion
characteristics of EI
Government-funded
Sometimes co-funding national/local gvt (Germany,
China)
endowment (France)
competitive vs. direct selection
new for Western European countries
involvement of foreign experts
characteristics of EI (II)
public vs. private universities
research vs. teaching
excellence initiatives
excellence initiatives (II)
amounts involved
repetition of EI
upgrading approach
Excellence Initiatives
challenge of creating a culture of excellence
focus on governance
outline of the presentation
defining the world-class university
the road to academic excellence: “Excellence Initiatives”
is it working?
challenge of evaluating
Excellence Initiatives
time dimension
robustness of data
attribution
correlation vs. causality
self-selection
other factors or combination of factors
who is rising/falling in the
rankings? Country 2004 2014 Change
China 16 44 + 28
Australia 14 19 + 5
Saudi Arabia 0 4 + 4
Taiwan 5 9 + 4
Germany 43 39 - 4
United Kingdom 42 38 - 4
Japan 36 19 - 15
United States 170 146 - 24
top 100 universities/1 million people
0.01
0.02
0.05
0.06
0.11
0.13
0.16
0.17
0.18
0.19
0.20
0.24
0.26
0.29
0.31
0.36
0.46
0.64
0.00 0.10 0.20 0.30 0.40 0.50 0.60 0.70
Russia
Japan
Germany
France
Canada
United Kingdom
USA
Australia
Finland
Belgium
Norway
Netherlands
Israel
California
Sweden
Denmark
Massachusetts
Switzerland
61
it’s all about alignment
Autonomy
Academic Freedom
Students
Teaching Staff
Researchers
Leading-Edge
Research
Dynamic
Knowledge &
Technology
Transfer
Concentration
of Talent
Abundant
Resources Favorable
Governance
Leadership Team
Strategic Vision
Culture of Excellence
Public Budget Resources
Endowment Revenues
Tuition Fees
Research Grants
WCU Supportive
Regulatory
Framework
Top
Graduates
Characteristics of a World-Class University
Alignment of Key Factors
Source: Elaborated by Jamil Salmi
vintage bias?
acceleration factors
internationalization
0.3
0.5
1.4
2.0
2.3
2.6
0.00
0.50
1.00
1.50
2.00
2.50
3.00
Greece Ireland Finland Portugal Switzerland Cyprus
research capacity: EU research grants by country of host institutions per 1 million inhabitants
international dimensions
reliance on Diaspora (Pohang, HKUST, SJTU, Cyprus)
foreign or foreign-trained academics
international dimensions
reliance on Diaspora (Pohang, HKUST, SJTU, Cyprus)
foreign or foreign-trained academics
English language
acceleration factors
internationalization
being a niche institution and/or offering niche
programs
curriculum, pedagogical and managerial innovations
strategic planning and benchmarking
WCU health warnings… • the rise of Asia
looking back to the past
looking ahead to the future
WCU health warnings…
• what is your purpose?
• chasing rankings and national prestige?
• search for excellence?
• danger of homogenization
Ernest Boyer
(Scholarship Reconsidered)
We need a climate in which colleges and universities are
less imitative, taking pride in their uniqueness. It’s time to
end the suffocating practice in which colleges and
universities measure themselves far too frequently by
external status rather than by values determined by their
own distinctive mission.
a word of caution
danger of homogenization
dare to be different
WCU health warnings…
• what is your purpose?
• chasing rankings and national prestige?
• search for excellence?
• danger of homogenization
• take the long view
Excellence, like all things of abiding value,
is a marathon, not a sprint
Daniel Lincoln
www.tertiaryeducation.org
