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Institutional Autonomy

Institutional Autonomy. Thomas Estermann Head of Unit Governance, Autonomy & Funding Lithuanian Society of Young Researchers Conference Vilnius, Lithuania 20 September 2011. Brief Profile of EUA. Established in 2001 Non- governmental membership organisation

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Institutional Autonomy

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  1. Institutional Autonomy Thomas Estermann Head of Unit Governance, Autonomy & Funding Lithuanian Society of Young Researchers Conference Vilnius, Lithuania 20 September 2011

  2. Brief Profile of EUA • Established in 2001 • Non-governmentalmembership organisation • 850 individual university members • 35 National Rectors’ Conferencesmembers • 46 countries • Independent voice for the university sector • Focus on EHEA and ERA

  3. EUA’s work on autonomy • 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.

  4. Why university autonomy? • 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

  5. Four dimensions of autonomy

  6. Internal academic structures • Universities are free to determine their internal academic structures in approximately 2/3 of highereducationsystems. • In the remaining third, the law mayeitherlistfacultiesor provideguidelines. • In GR or TR, academic structures must beapproved by an externalauthority.

  7. Appointing external members of university governing bodies

  8. Public funding via block-grants In almost all systems, universitiesreceive block grantfunding, althoughseveral 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.

  9. 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.

  10. Ownership of property

  11. Restrictions – an example on staffing • 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

  12. Ability to choose QA mechanisms and providers

  13. Admission criteriaatBachelorlevel

  14. Autonomy scores in Lithuania Organisationalautonomy Financial autonomy

  15. Autonomy scores in Lithuaniacont. Staffingautonomy Academicautonomy

  16. Trends

  17. 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.

  18. How to ensureaccountability? • Appropriate Quality assurance procedures • Financial transparency through Full costing • Appropriate reporting • Participation of external members in institutional decision-making

  19. 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

  20. THANK YOU! For more information please contact: Thomas.estermann@eua.be www.eua.be

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