Institutional Autonomy

Thomas EstermannHead of Unit

Governance, Autonomy & Funding

Lithuanian Society of Young Researchers ConferenceVilnius, Lithuania

20 September 2011

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Brief Profile of EUA

Established in 2001

Non-governmental membership organisation

850 individual university members

35 National Rectors’ Conferences members

46 countries

Independent voice for the university sector

Focus on EHEA and ERA

EUA’s work on autonomy

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Conference series 2007-2009

EUA – declarations (Glasgow, Lisbon, Prague)

Exploratory Study on university autonomy in Europe (2009) Sketches broad trends in university autonomy and

governance in 34 higher education systems

Autonomy Scorecard (2009-2011) Maps and compares university autonomy and accountability

through a set of common indicators Enables governments to benchmark their progress on

governance/autonomy reforms vis-à-vis other HE systems

Case studies: TRENDS reports, Financially Sustainable Universities, Institutional Evaluation Programme.

Correlation between autonomy and: Performance (Aghion et al., Ritzen)

Quality (Trends IV, V and 2010)

Degree of income diversification (higher share of additional income – EUDIS)

More sucessful internationalisation (Trends 2010)

Efficiency and effectiveness

Institutional autonomy allows universities to decide on strategic priorities

according to their strengths

does not automaticially lead to better performance, but it is an important prerequisite

Why university autonomy?

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Four dimensions of autonomy

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Organisational autonomy

Academic and administrative

structures

Governing bodies

Executive leadership

Financial autonomy

Funding frameworkPublic funding cycles and modalities

Financial capacityReserves & surplusesStudents’ contributionsReal estate

Staffing autonomy

Recruitment, dismissal and promotion of

staff

Staff salaries

Civil servant status

Academic autonomy

Quality assurance

Academic profile

Degree programmes

Student admission and

selection

Internal academic structures

Universities are free to determine their internal academic structures in approximately 2/3 of higher education systems.

In the remaining third, the law may either list faculties or provide guidelines.

In GR or TR, academic structures must be approved by an external authority.

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Universities may decide on their academic structures: AT, BRA, CH, DK, EE, ES, FI, HES, HU, IE, LT, LV, NL, NO, NRW, PL, PT, UK

Guidelines exist in the law: CZ, FR, IS, IT, SE

Faculties/other academic structures are listed in the law: CY, LU, SK

Other restrictions: GR, TR

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Appointing external members of university governing bodies

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University appoints external members: DK, EE, FI, PT, UK

University puts forward, external authority appoints external members: NO, SE, SK

Part appointed by university, part by an external authority: AT, CY, FR, HES, IS, LT

External authority appoints external members: CH, ES, HU, IT, LU, NL

Other restrictions: CZ, IE, NRW

Not applicable (no external members included): BRA, GR, LV, PL, TR

Public funding via block-grants

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3Block grant: AT, BRA, CH, CZ, DK, EE, ES, FI, FR, HES, HU, IE, IS, IT, LT, LU, LV, NL, NO, NRW, PL, PT, SE, SK, UK

Line-item budget: CY, GR, TR

In almost all systems, universities receive block grant funding, although several restrictions exist:

In F, HU, IS LV,LT, PT, SK and SE the block grant is divided into broad categories between which funds cannot be moved.

Often parts of the block grant are earmarked.…8…

Keeping surplus on public funding

In a majority of systems, universities are able to keep a surplus , but often other restrictions may still apply.

Only in four countries, including Lithuania, can a surplus not be kept.

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Can keep surplus without restrictions: AT, BRA, CH, DK, EE, ES, FI, FR, HES, HU, IS, IT, NL, NRW, SK, UK

Can keep surplus with approval of external author-ity: LV, LU, PT

Can keep surplus up to maximum percentage: NO, SE

Allocation of surplus predetermined by external authority: PL

Unable to keep surplus: CY, GR, IE, LT

Other or multiple restrictions: CZ, TR

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Ownership of property

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Different labour laws across Europe provide a framework

Possible restrictions to staffing autonomy: Number of posts restricted

Recruitment/selection procedures prescribed in law

Appointment made outside university

Academic staff needs to be accredited

Restrictions on promotion procedures

Limitations on dismissal

Salaries (institutional level, individual level)

Restrictions on incentives

Restrictions – an example on staffing

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Ability to choose QA mechanisms and providers

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Universities freely select quality as-surance providers: AT, BRA, CH, CY, EE, HES, IS, NRW

Universities cannot select quality as-surance providers: CZ, DK, ES, FI, FR, GR, HU, IE, IT, LT, LU, LV, NL, NO, PL, PT, SE, SK, TR, UK

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Universities freely select quality assurance mechanisms: AT, CH, CY, IS

Universities cannot select quality as-surance mechanisms: BRA, CZ, DK, EE, ES, FI, FR, GR, HES, HU, IE, IT, LT, LU, LV, NL, NO, NRW, PL, PT, SE, SK, TR, UK

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Admission criteria at Bachelor level

Autonomy scores in Lithuania

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1

HIGH AUTONOMY

234567 MEDIUM HIGH AUTONOMY - 1st LEVEL

LITHUANIA89

MEDIUM HIGH AUTONOMY - 2nd LEVEL101112

MEDIUM HIGH AUTONOMY - 3rd LEVEL1314

15

MEDIUM LOW AUTONOMY

161718192021222324252627 LOW AUTONOMY28

Organisational autonomy Financial autonomy1

HIGH AUTONOMY234

MEDIUM HIGH AUTONOMY

5678910111213

MEDIUM LOW AUTONOMY – 1st LEVEL

14151617 MEDIUM LOW AUTONOMY – 2nd

LEVEL

LITHUANIA

18192021

MEDIUM LOW AUTONOMY – 3rd LEVEL

22232425

LOW AUTONOMY262728

Autonomy scores in Lithuania cont.

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Staffing autonomy Academic autonomy1

HIGH AUTONOMY – 1st LEVEL23

4

HIGH AUTONOMY – 2nd LEVEL5678

HIGH AUTONOMY – 3rd LEVEL

LITHUANIA

9101112

MEDIUM HIGH AUTONOMY

131415161718192021

MEDIUM LOW AUTONOMY

22232425262728 LOW AUTONOMY

1

HIGH AUTONOMY

234567

MEDIUM HIGH AUTONOMY

8910111213141516

MEDIUM LOW AUTONOMY – 1st LEVEL1718

19

MEDIUM LOW AUTONOMY – 2nd LEVEL

20212223 MEDIUM LOW AUTONOMY – 3rd

LEVEL

LITHUANIA

24252627 LOW AUTONOMY28

Trends

Organisational autonomy• Still strong influence by state in

selecting external board members

• North-Western European countries have a CEO-type rectorship but majority still traditional model

• Development of dual governance structures

Academic autonomy• Many universities still have no influence

on number of students or their selection

• Still large restrictions on language of instruction

• Little capacity to select QA mechanism

Staffing autonomy• Increased flexibility in staffing issues

but little ability to determine salaries

• Selection of academic staff still strongly regulated

Financial autonomy• East/West divide in autonomy regarding

tuition fees as well as in use of public funding

• Limited ability to borrow and raise money

• Limited ability to own real estate

• Heavy reporting procedures

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Which elements of autonomy are important?

More financially autonomous institutions with inappropriate organisational structures will not reap the benefits

Institutions less autonomous in financial and academic aspects will not be able to use greater freedom in organisational or staffing autonomy

All areas and elements of autonomy are related

Governance and autonomy reforms need to take a holistic approach

But no “one size fits all model”- each system needs to find balance between accountability and responsibility related to its background.

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How to ensure accountability?

Appropriate Quality assurance procedures

Financial transparency through Full costing

Appropriate reporting

Participation of external members in institutional decision-making

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But is autonomy enough?

Sufficient funding University autonomy and funding are mutually reinforcing factors

Leadership development - Key success factor to: lead change in institution

reinforce strategic approach

implement successful income generation

Human Resource development and professionalisation to develop: new skills

management capacity

new staff profiles

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THANK YOU!

For more information please contact:

Thomas.estermann@eua.be

www.eua.be