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Measuring Governance in Tertiary Education. Jamil Salmi & Roberta Malee Bassett Washington, DC 28 January 2010. outline of the presentation. what is governance; why it matters key dimensions of governance the corruption agenda benchmarking governance in tertiary education. - PowerPoint PPT Presentation
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Measuring Governance in Tertiary Education
Jamil Salmi & Roberta Malee BassettWashington, DC 28 January 2010
2
outline of the presentation
• what is governance; why it matters
• key dimensions of governance
• the corruption agenda
• benchmarking governance in tertiary education
3
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
6
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
AbundantResources
Favorable Governance
Leadership TeamStrategic VisionCulture of Excellence
Public Budget ResourcesEndowment RevenuesTuition FeesResearch 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
12
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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)
15
role of the State
from central control
tosteering at a distance
16
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
17
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
19
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
Colombia
Zambia
Madag
asca
r
Paragu
ayPeru
Guatem
ala
Tajikis
tan
Bulgari
a
Mozam
bique
Namibi
a
Ghana
Nepal
India
Albania
Bangla
desh Hait
i
Sri Lan
ka
Pakist
an0
102030405060708090
100
2 6 7 7 7 8 916 16 20 24 25
34 3540
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
NGUBGU
Bishke
k Med
ical A
cade
my
KGUSTAKRSU
MUK
KGAFKiSAUCA
0
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)
38
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 Pacific Australia (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 America Canada (B, C, B/C), United States (C, IC)
South Asia India (C/D), Pakistan (A)
Sub-Saharan Africa Nigeria (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)
40
European Association of Universities
41
• Study of University Autonomy in Europe (34 countries)
42
benchmarking governance in tertiary education
• defining key dimensions
• selecting indicators
• developing questionnaire
43
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
44
data collection
• piloting questionnaire in the East Asia Region
• second pilot phase in Central America
• intended to expand globally after pilot-driven improvements
45
next steps
• collecting data
• analyzing findings
• establishing relationships with performance measures
46
University Governance
Upgrade your knowledge –
Govern and finance your tertiary education system!
Ariel Fiszbein