2. THE EVALUATION – BACKGROUND, PURPOSE AND PROCEDURE
This chapter presents the background for and purpose of the 2009 University Evaluation, including a brief presentation of the evaluation procedure and the Evaluation Panel. This initial presentation of the “setup” for the evaluation is followed in chapter 3 by the perspectives and framework based on which the Panel has structured its assessments, including the Panel’s description of the wider context the Danish university sector is part of.
The 2009 University Evaluation has been initiated on the basis of the Danish Parliament resolution V9 of 16 November 2006, and carried through in accordance with the Terms of Reference for the 2009 Danish University evaluation of 3 December 2008.
2.1 The Terms of Reference
As indicated in the Terms of Reference (annex 1), The Danish Parliament’s resolution V9 (Denmark’s Liberal Party, The Conservative People’s Party, and The Danish Social Democrats) of 16 November 2006 sets out the formal framework for the evaluation:
“The Danish Parliament accepts the answer from the Minister of Science, in that it:
> Notes that the purpose of the mergers are more education, greater international impact of research, more innovation and collaboration with industry, the attraction of more research funding from the EU, as well as a continued competent service in the area of government commissioned research.
> Notes that the institutions’ self-determination has been the core principle in the mergers of the universities and the government research institutions, which are to come into effect on January 1, 2007.
> Underlines the importance of the university law’s provisions concerning research freedom and employees’ freedom to participate in the public debate.
> Notes that the Minister of Science in 2009 will conduct an evaluation of the extent to which the purpose of the university mergers has been achieved.
> Notes that the Minister of Science in 2009 furthermore will conduct an evaluation of the state of codetermination for employees and students at the universities, the free academic debate, and research freedom, under the current university law ”.
The purpose of the evaluation has been to investigate the issues described in the Danish.
Parliament’s resolution V9, as well as issues concerning the development of degrees of freedom (autonomy) for the universities, with the main focus on the effect of the reform of 2003 (the 2003 University Act) and the 2007 reform (the mergers of universities and government research institutions). According to the Terms of Reference, “The aim of the two reforms was to provide universities with an enhanced capacity for strategic prioritisation across their core areas of activity: education, research, and knowledge transfer, as well as with an enhanced ability to meet demands of society ”.
In connection with the purpose of the evaluation, the Terms of Reference specified that: “The creation, through the reform of 2003, of a clear and transparent management structure including appointed leaders and governing boards with a majority of members from outside the university, forms the basis for the evaluation ”.
With reference to the explanatory notes for “The Draft Bill to Changing the University Act (L140) of 31 January 2007”, the Terms of Reference stipulated that the evaluation should be conducted independently.
2.2 Procedure for the evaluation
The document “Proposal for minimum contents of the 2009 evaluation of 18 November 2008”, including amendments of 29 January 2009 (annex 2) also belongs to the formal framework for the evaluation. It comprises the following evaluation areas:
A. Fulfilment of the purpose of university mergers
1. More education
2. Greater international impact of research
3. More innovation and collaboration with industry
4. Attraction of more EU-funding
5. Continued competence in commissioned services to government.
B. Codetermination for employees and students
C. The free academic debate
D. Research freedom
E. Degrees of freedom (Autonomy).
The Panel notes that the data available this early after the completion of the mergers will not be sufficient to establish valid causal links. Regarding the mergers the Panel therefore has had to rely to a large extent on experiences, perceptions, and interpretations.
The main objects for the evaluation were the eight Danish universities, i e. the five universities that have undergone mergers in 2007 (University of Copenhagen (KU), Aarhus University (AU), Technical University of Denmark (DTU), University of Southern Denmark (SDU) and Aalborg University (AAU)), and the three universities that did not merge (Copenhagen Business School (CBS), Roskilde University (RUC), and IT-University of Copenhagen (ITU)). In addition, the following four government research institutions, which were not merged, have been included in the evaluation: SFI - Danish National Research Centre for Social Research; NFA - National Research Centre for the Working Environment; GEUS - Geological Survey of Denmark and Greenland; and: The Kennedy Centre. Finally, DFF – Danish Food Forum (“Det Nationale Fødevareforum”) has been included in the evaluation. The inclusion of the latter in the evaluation was decided in connection with the foundation of DFF, which took place as a consequence of the mergers.
The evaluation has drawn upon a number of surveys and analyses conducted by private consultants, and statistical data delivered by the Ministry of Science, Technology and Innovation and the Danish University and Property Agency. The evaluation has also benefited from comprehensive written reports and statements from the individual universities as well as from Universities Denmark, the non-merged government research institutions, relevant Ministries and several other stakeholders. Furthermore, the Panel has included the recent evaluations of SFI and NFA as the basis for its investigations in relation to these two institutions. An overview of the background material is enclosed as annex 4.
In addition, the Panel has based its evaluation on information and opinions obtained from meetings with employees, students, and management representatives of the individual universities, as well as with representatives of non-merged government research institutions, relevant ministries and relevant stakeholders and collaboration partners of the universities. The meetings with the universities and other stakeholders took place during the Panel’s nine days assembly in Denmark 20-28 August 2009. In addition, ahead of the August assembly, on 12 May 2009, the Panel Chair and one Panel Member met with a number of stakeholders. Programmes for the Panel’s meetings with the universities and other stakeholders are enclosed in the time and work plan for the evaluation (annex 6).
The meetings were held as informal discussions on the basis of specific questions prepared in advance, aimed in particular at gaining information and viewpoints supplementary to the received background documents, focusing especially on the impact of the mergers and the university sector policy instruments (legislative, financial and dialogue based instruments).
The Panel has had several internal meetings for planning as well as for discussing its observations, assessments and recommendations (see annex 6). From August to November 2009 the Panel completed the evaluation report. The Panel’s communication on the report took place via e-mail, telephone and meetings.
2.3 The evaluation panel
In accordance with the Terms of Reference, the evaluation has been conducted by an external, internationally composed evaluation panel. Annex 3 provides a brief description of the Panel which consisted of the following experts:
> Dr. Agneta Bladh, Rector, University of Kalmar (chair)
> Professor Elaine El-Khawas, George Washington University
> Dr. Abrar Hasan, Independent Consultant
> Professor Peter Maassen, University of Oslo
> Professor Georg Winckler, Rector, University of Vienna
Pia Jørnø, M.Sc. , independent consultant and science writer, served as academic secretary for the Panel. Søren Poul Nielsen, M.A., independent consultant, served as additional academic secretary during the Panel’s meetings with universities and stakeholders in August. Both served independently of the Ministry of Science, Technology and Innovation