EUA Autonomy Report Final

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EUA PUBLICATIONS 2009

UNIVERSITY AUTONOMYIN EUROPE I

ExploRAToRy STUdy

b Thmas Estermann & Terhi Nkkaa


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Cright 2009 b the Eurean Universit AssciatinA rights reserve. This inrmatin ma be ree use ancie r nn-cmmercia urses, rvie that thesurce is acknwege ( Eurean Universit Assciatin).

Aitina cies this ubicatin are avaiabe r 10Eurs er c. Fr rering inrmatin, ease [email protected] r write t:

Eurean Universit Assciatin asbRue Egmnt 131000 BrussesBegium

Te: +32-2 230 55 44Fa: +32-2 230 57 51

A ree eectrnic versin this rert is avaiabe thrughwww.eua.be

ISBN: 9789078997160


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University Autonomy

in EuropeExploRAToRy STUdy

b Thmas Estermann & Terhi Nkkaa


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Table o contents

Frewr ...................................................................................................... 4Acknwegments ............................................................................... 5

1 Introduction ........................................................................ 6Methg ........................................................................................... 8Chaenges an cnstraints .......................................................... 9Net stes an utk ................................................................... 10Survee cuntries/sstems ......................................................... 10

2 Organisational Autonomy .......................... 11Interna acaemic an aministrative structures ....... 11Gverning Bies ................................................................................. 12

Framework o decision-making bodies ............................... 12Dual and unitary governance structures .......................... 12External members in governing bodies ............................. 13

Eecutive eaershi ........................................................................... 14Selection o the rector ..................................................................... 14Qualifcations o the rector ......................................................... 15Rectors term in ofce and dismissal ................................... 15Relation to the governing bodies ........................................... 16

Cncusins: organisatina autnm ............................. 17

3 Financial autonomy ................................................ 18Funing ramewrk ............................................................................. 19

Public unding ...................................................................................... 19Intermediary unding bodies ..................................................... 20Financial reporting ........................................................................... 20

Financia caacit .................................................................................. 21Reserves and surplus ....................................................................... 21Students fnancial contributions ............................................ 22

Borrowing and raising money .................................................. 23Ownership o land and buildings .......................................... 24Cncusins: Financia autnm ............................................ 26

4 Stafng autonomy ................................................... 27Recruitment sta ............................................................................ 27Civi servant status ............................................................................... 29

Saaries ........................................................................................................... 29Cncusins: stang autnm .............................................. 31

5 Academic Autonomy ............................................ 32Institutina strateg .......................................................................... 32

Acaemic re .................................................................................... 33degree rgrammes .......................................................................... 33

Structure and content o degrees ........................................... 33Introduction and terminationo degree programmes ................................................................... 33

Stuent amissin ................................................................................ 35Overall numbers o students ..................................................... 35Numbers o students per discipline ...................................... 35Admission mechanisms ................................................................. 36

Student quotas .................................................................................... 37Cncusins: Acaemic autnm ......................................... 38

6 Concluding remarks Perceptions and Trends ............................. 39

percetins ................................................................................................. 39Trens ............................................................................................................. 40

Cntributrs t the stu .............................................................. 43Reerences ................................................................................................... 44

Table o contents

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Table o fgures

2.1 determining acaemic structures .............................. 112.2 Framewrk ecisin-making bies .................. 122.3 Eterna members in gverning bies ................. 13

2.4 Seectin the rectr .......................................................... 142.5 Reguatr ramewrksn rectrs quaicatins .................................................... 15

2.6 Rectrs quaicatins ........................................................... 152.7 determining the rectrs term in ce ................. 152.8 Rectr an gverning bies ......................................... 162.9 Te rectrshi ..................................................................... 16

3.1 Buget te ................................................................................... 193.2 Intermeiate bies in higher

eucatin uning .................................................................... 203.3 Auit universit accunts ............................................ 213.4 Keeing surus rm state uning .......................... 21

3.5 Setting tuitin ees ................................................................... 233.6 Abiit t brrw mne .................................................... 243.7 Abiit t raise mne

n the nancia markets ...................................................... 243.8 ownershi universit buiings ............................. 253.9 Sae universit-wne rea estate ......................... 25

4.1 Abiit t recruit sta ............................................................. 284.2 Aintment senir acaemic sta

(recruitment rceures) ................................................... 284.3 Civi servant status ................................................................... 294.4 overa saar csts .................................................................. 294.5 Iniviua saar eves .......................................................... 30

5.1 overa stuent numbers .................................................... 355.2 Number stuents er isciine ............................. 365.3 Amissin mechanisms ........................................................ 365.4 Stuent qutas ............................................................................ 37

Table o fgures

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Foreword

Ben the traitina unctins teaching, research an inn-vatin, universities are execte

t u new res an tasks anresn t new chaenges in anincreasing cmex an gbaenvirnment.

EUA strngy beieves that in-

creasing institutina autnmis ke t enabing universities tresn t these new emans.In its prague decaratin (2009),EUA rearms the crucia re autnmy as a success actr

r Eurean universities in thenet ecae.

EUA has unertaken t try an unerstan better

the ierent eements autnm that are imrt-ant r Eurean universities an t anayse hw

these are refecte in ierent natina sstems. As-ects universit autnm are being aressein man ierent EUA rjects, such as the TRENdSrerts r in nging wrk n nancia sustain-

abiity r institutina iversity, whie questins

gvernance an autnm are as at the heart the institutina auits carrie ut by EUAs Insti-

tutina Evauatin prgramme. A these activitieshe t imrve EUAs inrmatin n, an uner-staning , the imrtance autnm r Eur-ean universities.

The resent stu, ver much an eratr na-ture, is targete quite secica at rviing theunatins r a Eure-wie atabase cmar-abe inrmatin n ierent asects universitgvernance an autnmy. The rert cmares

an anayses a series eements nancia,

rganisatina, stang an acaemic autnmy

in thirty-ur Eurean cuntries. It as seeks t

bring an institutinay cuse ersective int

the n-ging ebate n university autnmy angvernance.

This stu has reveae that the terming uset ene eements institutina autnm as weas the ersectives rm which the are viewe anevauate vary greaty acrss Eure. Thus, en-

ing an searating ut the varius cmnents autnm uner anasis is a cmicate an cm-e rcess. There is a high egree iversit inthe ramewrk cnitins, reguatins, an ime-mentatin rcesses gverning the way in which

Eures universities erate. It is cear that the re-atinshi between the state an higher eucatininstitutins can take a variet rms an that thereis nt just ne iea me.

Therere, this stuy seeks t er a reiminary

anaysis the great iversity mes avaiabe.

Further wrk is neee, an areay anne, t

take this rwar, an t tr an ienti cmmnissues that cnstitute cre eements crucia r cre-ating cntexts in which university autnmy can

furish an eve.

Finay, ur heartet thanks g t the SecretariesGenera Eures Natina Rectrs Cnerencesan their exert sta wh cntribute in a majr

way t this stuy, by giving their time, exertise

an enthusiasm.

Jean-Marc Rapp

EUA presient


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Acknowledgements

The mnitring an anaysis crucia eements

institutina autnmy in 34 Eurean cun-

tries resente an ambitius task, in articuar as

EUA receive n externa uning t cnuct thisstu. Man ee rm acrss Eure have cn-tribute generusy t the success this rject.

EUA is ee grateu r the active surt theNatina Rectrs Cnerences. Withut the inut,exertise an cmmitment the Secretaries Ge-

nera the Natina Rectrs Cnerences an theireert sta this rert sim wu nt eist. EUAwu urther ike t thank a interviewees, wh

cntribute t the cectin ata.

Man cntribute t the research an anasis ne-cessar t ruce this rert an rvie invau-abe avice, surt an guiance uring the wri-ting rcess. lese Wisn, EUA Secretar Genera,eserves articuar acknwegement r acing

the anaysis in the cntext the nging B-

gna rerms an the evement the EureanHigher Eucatin Area an r her invauabe cm-ments n ierent rats the rert. EUA Baran Cunci members rvie guiance an ex-

ertise thrughut the stu an ensure that thevariet unerstanings the term autonomywasresecte in the anasis.

A secia thanks ges t Heribert Wuz, Secretary

Genera Universities Austria r his insightu cm-ments n the tet an the anasis.

Further thanks g t ceagues in the EUA sec-

retariat r the he the rvie: Urike Reimannan Anrew Mier r their cntinuus surt inthe ubicatin an esign rcess, Meissa Ks,wh hee in the na stages the rject an

davi Crsier (nw Euryice) wh initiate the

stu.

Enra pruvt, EUA rject cer, eserves ar-

ticuar acknwegement r cntributing t everasect this rject. Her eicate wrk in the

vaiatin ata, grahic esign, cmiing cm-arative cuntry rerts an rating arts the

rert, were crucia r this ubicatin.

Thomas Estermann

Hea Unit, Gvernance,Autnm an Funing, EUA

Acknowledgements

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Changing exectatins universities cntributinst a knwege-base ecnmy an sciety ver

the ast ecae have transrme the reatinshi

between the state an higher eucatin institutins.Universit gvernance an the egree cntr ex-erte b the state have becme the subject muchebate.

The Eurean Cmmissin an a signicant number Eurean gvernments have recgnise the neer universit autnm. In its Cmmunicatin de-ivering n the Mernisatin Agena r Univer-

sities: Eucatin, Research an Innvatin (May

2006), the Eurean Cmmissin marks as a riritthe creatin new ramewrks r universities, char-acterise b imrve autnm an accuntabiit.The Cunci the Eurean Unin (2007) cnrmsthis arach an makes an exicit ink between

autnm an the abiit universities t resnt sciety exectatins. In this ramewrk, univer-

sit autnm is nt n crucia t the achievement the Eurean Higher Eucatin Area (EHEA), butis as a etermining actr in the cmetin

the Eurean Research Area (ERA), as state in theEurean Cmmissins Green paer The EureanResearch Area: New ersectives (Ari 2007).

Grwing interest at ic eve is mirrre b the

vume iterature avaiabe n the tic an hase t a wie range enitins an cncets autnmy (r exame Cark, Srn, Sami, Huis-

man, Anersn an Jhnsn, Maassen). In this

rert, institutina autnm reers t the cn-stanty changing reatins between the state an

higher eucatin institutins an the egree cn-tr eerte b the state, eening n the natinacntet an circumstances. The variet situatinsacrss Eure refects the mutie araches t

the nging quest r a baance between autnman accuntabiity in resnse t the emans

sciet an the changing unerstaning ubicresnsibiit r higher eucatin.

Athugh man stuies have ientie a tren awarm irect state cntr twars inirect steering

mechanisms (such as nancia r quait assurancemechanisms) ubic authrities sti retain a centrare in the reguatin the higher eucatin ss-tem an, in a arge number cuntries, sti eertirect cntr.

Whie there is bra agreement n the imrtance autnmy r the achievement universities

missins in the 21st centur, there is itte secic u-t-ate inrmatin cmaring natina sstems inEure an what this means in ractice r the uni-versities erating in these cuntries. A cmrehen-sive verview the current state a in terms autnm an reate higher eucatin rerms inEure is require t rvie a vauabe echange knwege r a articiants invve in this astchanging rcess.

percetins an terming reate t institutinaautnm var great in Eure, hwever, an tcmare sstems reiab, mre sstematic maing universities autnm an accuntabiit is ne-cessar. debate nees t be unerinne b reiabe

ata t enabe vauabe eaminatin the crrea-tin autnmy with institutina errmance,

eceence, quait an ecienc.

EUA is evting its attentin t the evement animact autnm an reate rerms thrugh awie arra stuies (such as the Trens rerts, therject rert Financia Sustainabe Universities:Twars u csting in Eurean universities, the

EUdIS rject an the diversity stuy rert), as

we as thrugh stakeher ebates, cnerences

an its Institutina Evauatin prgramme.1

Introduction1

1 htt://www.eua.be/events/institutina-evauatin-rgramme/hme/

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EUA has thus esigne a muti-stage, interactive

rcess aime at enabing university ractitiners

an reguatry authrities t cmare systems

acrss Eure in a ruitu ashin.

The aim this stuy, which began at the en

2007, is t rvie a unatin r a Eure-wiecmarabe atabase thrugh anaysis certain

crucia asects autnmy. It as aims t bring

the institutina ersective (i.e. what autnm re-a means in ractice) int the ebate n autnman gvernance rerms n ic eve.

In view the wie range enitins autn-

my, this stuy use as a starting int the basic

ur imensins set ut in EUAs lisbn ecaratin(2007), which are acaemic, nancia, rganis-

atina an stang autnm.

The stu secica ke at the abiit univer-sities t ecie n:

organisational structures an institutina

gvernance in articuar, the abiit t estabishstructures an gverning bies, universit ea-ershi an wh is accuntabe t whm

fnancial issues in articuar the i erent rms acquiring an acating uning, the abiit t

charge tuitin ees, t accumuate surus, t br-rw an raise mne rm ierent surces, theabiit t wn an an buiings an rertingrceures as accuntabiit ts

stafng matters in articuar the caacity t

recruit sta, the resnsibiity r terms em-

yment such as saaries an issues reating t

emment cntracts such as civi servant statusacademic matters in articuar the caacit t

ene the acaemic re, t intruce r termi-nate egree rgrammes, t ene the structurean cntent egree rgrammes, res an re-

snsibiities with regar t the quait assurance rgrammes an egrees an the extent cntr ver stuent amissins.

It is bvius that sme these eements vera

r are interreate. one imrtant asect sta-

ng autnm is, r eame, the etent t which

universities have cntr ver nancia matters re-ate t stang, such as the vera saar csts aniniviua saar eves, which is as a unamentaeement nancia autnm.

Furthermre, it is cear that the ur eements

autnm iscusse nt cver a asects au-tnm. The abiit t ecie n the areas, sce,aims, an meths research r eame rms asignicant art a universits acaemic autnm.due t the imite resurces this rject an inrer t rvie an verview a sucient number Eurean sstems, EUA restricte research t theabve areas. data cectin an cmarisn r theremaining eements wi w (see as Next stesan utk).

This stuy reveas that the ramewrk an cni-

tins uner which Eures universities erate vargreaty between an smetimes within cuntries.

Hence the reatinshi between the state an high-er eucatin institutins takes a variety rms.

Mrever, this wrk shws that anaysis autn-

my shu nt be ne in isatin an requires

that the braer cntet be taken int accunt. In

ther wrs this requires cnsieratin the se-cic evement, cuture an traitins natinahigher eucatin sstems acrss Eure, in aitint resent ega ramewrks an nging higher

eucatin rerms. Thus, there is n iea me autnm, but rather a set basic rincies thatcnstitute crucia eements autnm, an that,when imemente in the cntext a given sys-

tem, surt universities in carring ut ever mrecme missins.

Introduction

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Methodology

EUAs research n the state institutina autn-my an gvernance amngst Eures univer-

sities began at the en 2007. The main basis ranaysis was an nine questinnaire aresse t

thse Natina Rectrs Cnerences (NRC) which

are members EUA. The questinnaire cusse

n the ega status institutins, institutina strate-gies, management an gverning structures, nan-cia issues, stuents, human resurces, intermeiarbies an vera autnm. It was cmete btwenty cuntries. Hwever, the nings rm the

surve, as iscusse with the Secretaries Genera

the NRCs in the rst ha 2008, were nt awaseasi cmarabe an shwe variatins in the un-erstaning cncets an questins.

In rer t ensure carit an cmarabiit theresuts an t btain a braer icture natinatrens, the sce an cnstraints n institutinaautnm in Eure, EUA ecie t cnuct a se-ries teehne interviews. This was as aime atgathering inrmatin rm thse cuntries whichha nt as et articiate in the surve. Mst inr-matin was again surce rm the NRCs. In mstcases the interviewees were either the Secretary

Genera r an eert rm the NRC wh seciaisein this tic. In thse cuntries where EUA es nthave cective members, iniviua members wereinterviewe when ssibe r ther cntacts wereuse t n an interviewee (see annex 1, Cntribu-trs t the stu). The interviews were cnucteby dr. Terhi Nkkaa. The iniviuaise interview

rtcs were base n survey resnses rm

thse cuntries which ha resne t the sur-

ve. Fr ther cuntries, a generic interview rt-c was esigne. The interview mems were sentt the interviewees t be vaiate. The interviews

were cnucte rm Setember t december2008, an cvere 34 Eurean cuntries.

data rm the interviews an the rigina surveyrme the basis r a rst cmarative anasis. Theanaysis was cmemente by inrmatin gath-

ere thrugh ther research cnucte by EUA,

such as the Fu Csting rject (which anayse,

amngst ther areas, certain asects nancia

autnm in mre etai) r inrmatin gatherethrugh EUAs Institutina Evauatin prgramme.

Fina, etaie cuntr res (cmaring 34 e-ements a imensins autnm) were cm-ie, cmrising the vaiate inrmatin given b

each cuntr an the reiminar anasis a ataincuing esk-base research an ata surcerm ther EUA rjects. Thse res were sent

t the interviewees an a NRCs with EUA member-shi. particiants were then abe t cmare theiranswers with answers rm ther articiants n aquestin b questin basis, awing r a review revius answers i esire r necessar. This r-ceure as rvie a na uate the cecteata, as it was cear that, in sme the cuntries,nging universit gvernance rerms uring thesurve eri ha change the status autnm.This hase was cnucte in sring 2009 an cm-ete in June 2009.

The stuy cvers 34 higher eucatin systems

(see survee cuntries/sstems). Because thenumber an iversity systems incue, it was

necessary t bui bra anaytica categries

smetimes simiing cmex situatins in rert ienti vera trens.

Introduction

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Challenges and constraints

The survey bjectives resente ur majr cha-enges, with sme them inting t the nee rurther actin an research in this area.

First, mnitring a changes in the natina an e-ga ramewrks in 34 cuntries within the stu e-ri resente an enrmus chaenge. Smetimesrerms (either being imemente r anne)

change the icture markey as was the case in

France an lithuania r instance. But even smaerchanges mi the icture r at east sme imen-sins autnm, as in Austria where the sce r

tuitin ees has been greaty reuce. It was nythrugh the genersit the Rectrs Cnerencesin terms their time an exertise that the imi-

tatin in resurces was cunterbaance an EUA

was abe t vaiate, cmare an uate ata sev-era times ver the surve eri.

Secn: autnm is a cncet that is unerstierent acrss Eure an assciate ercetinsan termingy ten t vary quite signicanty.

This is nt n cause b i ering ega ramewrksbut as b the histrica an cutura settings whichene institutina autnm in each cuntr. Thisresents a cnsierabe chaenge r a reiabe

cmarisn autnm acrss brers. Estabish-ing a singe set cncets r a asects eaminerve in sme cases imssibe, which resute insme variatin in the resnses. Fr exame the

attemt t cmare the ega status universitiesrve t be uneasibe. A ew cuntries (e.g. the

Czech Reubic, the Svak Reubic an Icean)

have ierent tes cassicatins r ubic in-stitutins, such as a istinctin between state uni-versities an ubic universities.2 This ae t thecnusin. It seeme better that a categrisatin

the sce ega autnm is mae e-st, basen a thrugh anaysis the ierent asects

institutina autnmy, rather than t use ex-ante

enitins, which are subject t natina variatin,misinterretatin an ther imitatins.

Hwever, the stuy in genera es nt incue

the anasis rivate institutins. data an statis-tics shw that in mst cases, the majrity the

stuents stu in ubic universities, athugh smecuntries, such as prtuga an Turke, have a argerivate university sectr. Sme cuntries have ri-

vate universities which are nt-r-rt an whichare mere technica rivate. These receive stateuning an the rivate nature the institutin isjust anther wa arranging ega status an wn-ershi. on the ther han, there are rivate, r-

rt universities, which are seen as aternatives tubic universities, an which nt receive stateuning (r at east nt t a signicant egree). Inthe ew cases where inrmatin abut rivate uni-

versities was avaiabe, it has been secica state.

A thir chaenge was the evauatin an anaysis

certain eements acaemic autnm, in ar-ticuar the evement cntent an structure curricua in reatin t the imementatin the

cre eements the Bgna rcess, natina anEurean quaicatins ramewrks an quait as-surance arrangements. These chaenges int t

the nee r urther, braer ebate an anasis the reatinshi between these eements.

Fina, the avaiabe resurces were imite as EUAreceive n eterna uning t cnuct the stuan therere ecie t un it rm its cre bu-get, given the imrtance the tic r its mem-bershi. It was cear rm the start that with the

nancia an human resurces avaiabe this cuny be regare as the rst ste the in-eth

anasis a subject enrmus interest in Eure.Hence the act that research acrss the 34 cuntrieswas restricte t certain reevant eements n.

desite these cnstraints, this stuy resents a

bra utine the state institutina autnm

the Eurean universities an rvies cmara-tive ata imrtant eements the ur basic

imensins autnm. With 34 anase sstemsit resents an uate snasht r iscussin n

the changing rms an ercetins institutinaautnm, an a starting int r a cntinue annging mnitring the evement autn-m Eures universities.

2 State universities, when reguatins iere rm ubic universities, were equa iscare rm the stu, as nn-reresent-ative the higher eucatin sectr as a whe.

Introduction

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Next steps and outlookSurveyedcountries/systems

This stu inints areas in which urther researchwu be ructive an EUA wi cntinue t bringtgether an integrate nings rm a its wrk re-ating t autnmy. Within the ramewrk the

nging EUdIS rject, EUA is examining in e-

tai the ink between the iversicatin incme

streams an autnmy thereby rviing anther

iece the uzze in terms nancia autnm.

The majr net ste, thugh, wi be taken thrughthe Autnmy screcar rject r which EUA

receive uning rm the Eurean Cmmissinslieng learning rgramme. This rject wi be-gin in octber 2009 an wi run r tw ears. Itwi bring tgether an streamine the cecte ataan nings rm revius an current research

cvering bth EUAs wn wrk as we as reating itt ther stuies in this area. The aim is r EUA anits rject artners t eve a mre in-eth un-erstaning a asects autnm. This rjectwi cmbine a bra acaemic research eertisein the area gvernance an autnm with theextensive knwege base EUAs Natina RectrsCnerences an its wie membershi universitractitiners. The anasis wi incue the cectinan interretatin natina egisatin n highereucatin t rvie the ega backgrun, an aninterretatin university systems t ensure cr-

rect interretatin terms an meanings.

In a secn hase the cecte ata wi be grueint a screcar, whereb a cre set criteria wirvie an at a gance verview the status universit autnm acrss Eure, which wi en-abe ngituina anasis an crss-reerencing withther ata (r instance n innvatin). The scre-

car wi as cntain fexibe eements an crite-ria t aw r uture evement an iniviuaaatatin.

The Autnmy screcar is intene t serve

mutie urses such as benchmarking natin-a icies, awareness-raising amng universities,

but as as a reerence which can be use in ur-

ther stuies as a rbust cncetua an eratinat t estabish reatins between autnmy an

ther cncets such as errmance, uning, qua-it, access an retentin, etc, higher eucatin

institutins.

Country/System3 Country code

Austria AT

Begium/Femish Cmmunit BE n

Begium/French Cmmunit BE r

Bugaria BG

Cratia HR

Crus Cy

Czech Reubic CZ

denmark dK

Estnia EE

Finan FI

France FR

German dE

Greece GR

Hungar HU

Icean IS

Irean IEIta IT

latvia lV

lithuania lT

luemburg lU

Mata MT

the Netherans Nl

Nrwa No

pan pl

prtuga pT

Rmania Ro

Serbia RS

Svak Reubic SK

Svenia SI

Sain ES

Sween SE

Switzeran CH

Turke TR

Unite Kingm UK

3 In mst cases the stu reers t cuntries as units anasis; hwever, this was nt ssibe in the case Begium, where twistinct sstems eist; the stu therere reers t tw sstems in Begium. Whenever the ata cecte in the UK es nta t Sctan, the rert mentins it. Fr thse cuntries where numerus sstems ceist ue t the eera nature thestate, such as German, Switzeran an Sain, the stu either reers t the cuntr when a eature is cmmn t a sstems,r incues mre etaie inrmatin i avaiabe.

Introduction

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Within the ramewrk rganisatina autnm,this stu esecia cuse n the universities abi-it t estabish their structures an gverning b-

ies, an t ene the maities its eaershime. The wing anaysis reveas that, whie

the esign interna acaemic an aministrativestructure is mst uner universit cntr, gvern-ance structures an eaershi are ten strngy

shae b natina egisative ramewrks.

Organisational

Autonomy 2Internal academic and administrative structures

In tw-thirs the surveye cuntries, universities

are essentiay ree t etermine their interna aca-

emic structures. In the remaining thir, universitiesare subject t varius restrictins in terms their aca-emic structure which eames are given bew:

Facutiesiste bname inaw

Fr Turke, luemburg an Crusacuties are iste b name in the aw4.In Turke, the aw enes the number,name an isciinar sce eachacut, vcatina schs an grauateinstitutes. The eartments can be es-tabishe b the universities, but neet be arve b the Turkish Cunci Higher Eucatin.

Guie-ines racaemic

structuresincuein the aw

In ten cuntries (see Figure 2.1), uni-versities must w ega guieinesr their acaemic structure. Hwever,

in thse cases the aw es nt hrvisins n the number an name acaemic units.

Umbrearganisa-tins anstrngacuties

In the Western Bakans at east inSvenia, Serbia an Cratia theacuties an ther units are ver strngan have a t ineenence rmthe universit which eective acts asa kin se umbrea rganisatin.In Cratia the acuties themseves areabe t ecie n their wn internastructures ineenent rm theuniversities. Hwever, Cratian acutieshave st, since Januar 2007, their

status ega entities an are nw uintegrate in the universities.

The grah bew shws hw ree Eurean universi-ties are t etermine interna acaemic structures.5

Administrative structures

The universities abiity t ecie n their interna

aministrative structures is curtaie by aw in a

minrit cuntries that ace secic restrictins:Bugaria, r instance, enes the structure its

universities aministratin by aw, whie Cratian

acuties have been eciing n their aministra-

tive structure ineenenty rm the universities;Swiss universities are subject t restrictins which

var between cantns.

4 In Icean, whie universities in genera ma ree ecie n their acaemic structures, acuties are eicit name in the awr the Universit Icean, which genera cmes uner ierent reguatins than the ther universities the cuntr.

5 The categries in the chart aim at inicating genera trens an ma vera t sme etent, as cuntries that inicate thatuniversities are ree t etermine their acaemic structures ma have sme tes rvisins in the aw.

2.1 Determining academic structures

Universities ma ree ecie: AT, BE n, BE r, HR, CZ,dK, EE, FI, GR, HU, IS, IE, IT, lV, lT, MT, No, pl, SK,

SI, UKFacuties iste in the aw: Cy, lU, TRGuieines in the aw: BG, FR, dE, Nl, pT, Ro, RS, ES,SE, CH

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T estimate the egree rganisatina autn-my an institutina caacity Eures higher

eucatin institutins, ne must as k int thestructure the universities gverning bies. The

wing is a brie escritin the main tyes

gverning structures current un in Eure,with an anasis the cmsitin the gverningbies. The stu cuses n the institutins maingverning bies, i.e. the ecisin-making by/

bies (whether riente twars management

r acaemic aairs), as we as the main avisry

bies.

Framework o decision-making bodies

The basic ramewrk ecisin-making bies

is amst aways stiuate in the reevant aw r

ecree (29 cases). The universities may, hwever,

have sme autnmy in the imementatin

such ramewrks. Fr instance, the rrtin

reresentatin ma be stiuate in the ecree, butthe universities ma ecie n actua numbers. Thiscan be iustrate b the case Ita, where the awn states that a acuties shu be reresente inthe Acaemic Senate an that a categries er-snne be reresente in the Aministratin Bar.Hwever, universities are ree t a ther bies.

In eera systems, such as Germany an Switzer-

an, the situatin varies rm state t state (r can-tn). The Unite Kingm is an interesting case,

where the ecisin-making structures are enein the Higher Eucatin Acts n r the st-1992universities, whie r er nes such rvisins arecntaine in the Charters an statutes the univer-sities themseves.

Dual and unitary governance structuresIn mst cases natina egisatin cntains sme kin guieines r the rmatin r structure the

ecisin-making b/bies, as we as the grusreresente in them an the seectin members.Hwever, the ivisin tasks an seectin me-

ths ma be et r the universit itse t ene.

There are tw main tes gvernance structures:ua an unitary. In mst cuntries universities

have a ua structure cmrising a bar r cunci(rather imite in size), an a senate (athugh ter-

ming varies cnsierab, it is ten a wier anmre reresentative b, incuing the acaemiccmmunit an t sme etent ther categries the universit sta), with sme te ivisin wer between them. This is the case in 23 cun-tries (see Ma 2.3), athugh in a ew cuntries ne the tw bies has a rimari cnsutative re.o these, the rimary ecisin-making re tens

t ie with the bar/cunci in Cratia, Icean anluxemburg an with the senate (r ther rimariinterna by) in the Czech Reubic, Estnia an

the Netherans. In German ecisin-making -wers ie with the senate in sme states, an with thebar/cunci in thers. The prtuguese an lat-

vian sstems ier rm thers insar as universitiesthemseves ma ecie t have just ne gverningb r t set u an avisr b as we.

In a ua structure, the bar/cunci is ten re-

snsibe r mre ng-term strategic ecisins,

such as eciing n statutes, strategic ans, seec-tin the rectr an vice-rectrs, an buget a-catin. The senate is ten resnsibe r acaemicissues, such as curricuum, egrees an sta r-

mtins. The senate in these cases cnsists main

interna members the university cmmunity,smetimes ny ressrs, but in mst cases as

reresentatives the ther categries teachingsta, aministrative sta an stuents.

Aternative, in sme cuntries, universities have aunitary system ny ne main ecisin-making

b, which ma be cae the senate, cunci r in-ee b anther name. This singe ecisin-makingb wu then be resnsibe r a majr eci-sins. The unitar sstem is use in Begium/Frenchcmmunity, denmark, Finan, France, Greece,

Hungary, Nrway, pan (in mst the ubicuniversities), Rmania an Sween. pans ubicuniversities ma hwever as estabish a cnsuta-tive by cae a cnvent, whie rivate universi-

ties might as have a bar trustees. In Turke

Governing Bodies

OrganisationalAutonomy

12

2.2 Framework o decision-making bodies

in the aw: AT, BE n, BE r, BG, Cy, CZ, dK, EE, FI, FR,GR, HU, IS, IE, IT, lV, lT, lU, MT, Nl, No, pl , pT, RS,SK, SI, ES, SE, TRnt in the aw: HR, Rovaries: dE, CH, UK

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the rivate universities have a bar trustees ansenate, whereas the ubic universities n have asenate (the atter case is rerte in ma 2.3).

External members in governing bodies

Anther imrtant eement within the structure gverning bies is whether the cmrise externamembers an hw these are seecte. The seectincan be carrie ut b the universit itse an/r ban eterna b/authrit.

Atgether 28 sstems (see Ma 2.3) have eternamembers in the university gvernance structures.

o these, 22 have a ua structure an si (Begium/French cmmunit, denmark, Finan, France, Nr-

wa, Sween) have a unitar structure. dua struc-tures that excue externa members are uncm-mn (Bugaria). Athugh prtuguese universities

may ecie t have a unitary r ua gvernance

structure, it aears that mst have te r a uame in which eterna members are invve tsme egree. In Turke, the rivate universities havea ua structure with exter-

na members, an ubic

universities have a unitary

structure withut externa

members.

In sme cases the externa

members ma have a majr-ity in ne the gverning

bies, r a members mabe eterna, as is the case in,

r exame, Austria (in the

Cunci), the Czech Reub-ic (in the bar trustees),Estnia (avisry bar),

luxemburg (a vting

members the bar

gvernrs), the Netherans

(suervisry bar), anin sme Swiss cantns an

German states.

Externa members gv-

erning bies are usua in asitin t articiate in themst imrtant ecisins.

Nevertheess, in sme thecuntries the main ecisin-making wer ies with the

gverning b cmrising

ny interna members,whereas the gverning bwith externa members

hs a urey cnsutative

re. This is the case in Cratia, the Czech Reubic,Estnia an Ita, whie the situatin in German var-ies rm state t state. latvia ma as be incue inthis categr as n the avisr bar, which the

universities are ree t estabish, eective incueseterna stakehers.

Athugh there is n artia inrmatin abut theaintment externa members, seectin r-

ceures ten t w tw main mes: the areeither cntre b the universit itse (r instancein denmark, Finan, France an prtuga), r b ahigher authrit, such as the Ministr Eucatin(as is the case in the Czech Reubic, Estnia, Ice-an, luemburg, Mata, the Netherans, Sain,Switzeran). In Austria, Irean, lithuania an the

Svak Reubic, sme the externa membersare ainte by the university itse, an thers

ainte by externa authrities. In Turkey, the

uners the rivate universities ma aint e-terna members.


13

*

2.3 External members in governing bodies

dua gvernance structures incuing eterna membersdua gvernance structures wihut eterna stakehersUnitar gvernance structures incuing eterna stakehersUnitar gvernance structures withut eterna stakehersCuntries nt incue in the stu

* Begium has tw ierent sstems

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The abiit universities t ecie n their eecu-tive eaershi is anther ke inicatr their r-ganisatina autnm. The universit eaershiten cmrises severa ke sta in the institutin,such as the rectr, the vice-rectrs, the hea a-ministratin an the acut eans6. In sme cases,the aw secies the cmsitin an cmetences such a gru. Hwever, this stu cuses rima-ri n the eecutive hea the universit, reerrebew as rectr as this is the mst cmmn e-nminatin use thrughut Eure7.

This chater, therere, examines in eth the range rceures in ace acrss Eure r the seec-tin the rectr an his/her reatin t the thergverning bies.

Selection o the rector

Seectin rceures a int ur basic categries.The rectr ma be:

Elected by a secic eectra by, which is

usua arge, reresenting (irect r inirect)the ierent grus the universit cmmunit(acaemic sta, ther sta, stuents), whse

vtes ma be weighteElected b the gverning b which is em-

cratica eecte within the universit cmmunit(usua the senate, i.e. the b eciing n aca-emic issues)

Appointed b the cunci/bar the univer-sit (i.e. the gverning b eciing n strategicissues)

Appointed thrugh a tw-ste rcess in

which bth the senate an the cunci/bar areinvve.

The rst rceure, whereby the rectr is eecte

b a arge b, which ma be secica set u rthis urse an reresents the ierent grus the universit cmmunit, is the mst cmmn (seegure 2.4). This gru cnsists cuntries wherethe entire universit cmmunit irect takes artin the eectin the rectr, ike in Greece, r wherean eectra by is set u, as is the case in Est-

nia r Finan, amng thers. In seven cuntries,

universities seect their rectrs thrugh a smaergru (such as the senate), an the ceratin the tw main gverning bies is require in ve

sstems.

At the ther en the sectrum are thse, rima-ri western Eurean cuntries, where the rectr isainte b the bar. In German, the rceurevaries accring t the state, an ranges rm therectr being eecte b the members the univer-sity cmmunity, t the rectr being ainte by

the Ministr Eucatin. In Nrwa, the universi-

ties ma themseves ecie n the seectin therectr, an thus in sme universities the rectr iseecte, in thers ainte.

The seectin the rectr ma as have t be cn-rme, i n rma, b a higher authrit. In Ice-an (r sme the universities), Rmania, Sweenan sme Swiss cantns, the aintment the

rectr must be cnrme either b the gvernment,r the reevant Ministr. In the Czech Reubic, Hun-gar, the Svak Reubic an Turke, the aint-ment is cnrme b the presient the Reubic,in luemburg b the Gran duke.

Executive leadership

6 In sme cuntries, esecia in the Netherans, Irean an Engan, this gru was cnsiere t be the mst weru b,with their abiit t acate buget.

7 Equivaents r the term rectr ma be resient (France, Irean, prtuga), vice-chancer (UK, Sween), r rin-cia (Sctan), amng thers.

8 In lithuania, the new aw which tk eect n 12 Ma 2009 stiuates that the rectr wi nw be ainte b the UniversitCunci rather than eecte b the Senate as was the case bere.


14

2.4 Selection o the rector

Eecte b arge eectin b: BE r, HR, Cy, EE, FI,GR, IT, lV, pl, SI, ES, TREecte b senate-te gverning b: CZ, FR, HU,MT, pT, Ro, SKSeecte in ceratin tw bies, ticabar an senate: AT, BE n, BG, RS, CHAinte/seecte b bar: dK, IE, lT8, lU, Nl,SE, UKVaries between universities: dE, IS, No

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Qualifcations o the rector

prvisins regaring the rectrs require quaica-tins are ten ene b aw (in abut tw-thirs the 34 cuntries incue in the anasis). Fr a

minrit, this is nt the case, an restrictins as twh ma be eigibe genera stem rm the univer-sits statutes r rm cmmn ractice.

Figure 2.6 reveas that in a majrit cases the rec-tr is eecte t be a u r assciate ressr. Inteen cases he/she must cme rm the universitin questin. ony in a ew cases (mainy in nrth-

western Eurean cuntries) can the rectr cme

rm utsie acaemia. This is cnsistent with thsesstems where the rectr ats a re cser t that a chie eecutive cer (CEo) a cman. In anumber cuntries such as Austria, Finan, den-mark r lithuania, the rectr is as execte t

emnstrate manageria skis.

2.6 Rectors qualifcations

Frm withinuniversit

As rm theruniversities

pressr BE n, BEr, BG, HR,Cy, CZ, GR,HU, MT, pl,Ro, RS, SK,SI, ES

dK, EE, IT,lV, lU, pT,CH, TR

FI, FR, IS, lT(acaemicst, ntnecessariressr)

Asutsieacaemia

AT, IE, dE, Nl, No, SE, UK

Rectors term in ofce and dismissal

The rectrs term ce is usuay state in the

aw, either as a e ength which is manatr, ras a maimum eri (in latvia, universities are ree

t set shrter terms in their statutes). The mst cm-mn term uratin r the rectrs ce is ur

ears (as is the case in at east ha the cuntries).Hwever, it is interesting t nte that the rectr es

nt awas have a e term ce. In Engan,r eame, vice-chancers can be ainte ran inenite eri, which refects a mre manage-ria arach t the unctin than in the majrit Eurean cuntries (it is imrtant t nte, hw-

ever, that there is n strng crreatin between theme seectin the rectr an the te termin ce chsen; ainte rectrs can as have ae term in ce). In tw-thirs the cases theterm is renewabe at east nce, smetimes uner

ierent maities (etensin b 50% the term ce, nn-irect renewabiity but ssibe re-

eectin rmer rectrs, etc).

dismissa is a ke inicatr t assess the rectrsaccuntabiity t the institutin an t ther

stakehers. In mst cases, it is the same by

that seects an ismisses the rectr. There are,

curse, ecetins. In Sain the rectr is eecteby an eectra cunci but is ismisse by the

universit senate. In Bugaria he/she is eecte bthe genera cunci but ismisse when 50%

the sta cas r new eectins. In a hanu

cuntries, the ismissa the rectr must be cn-rme b a higher authrit (ike in the Czech Re-ubic r Greece), whereas in thers the ismissamay actuay be initiate by the reevant higher

authrity, usuay the ministry, base n cases

grss miscnuct (Hungar, pan, prtuga,Sween, Turke). In Ita, the rectr cannt be is-

misse uring his term. In lithuania, the rectr iseecte t resent his rert t the bar ansenate, wh must cnuct a vte cnence.

Ater tw unsuccessu vtes, the rectr is biget resign.


15Rectrs quaicatins stiuate in the aw: AT, BE r,BG, HR, Cy, dK, EE, FI, FR, dE, GR, HU, IT, lU, lV, lT,No, pl, pT, Ro, SK, ES, SE, TRRectrs quaicatins nt stiuate in the aw: CZ, IE,MT, Nl, SI, CH, UK(missing inrmatin r Faners an Serbia; in Iceanthe situatin varies.)

2.5 Regulatory rameworks on rectorsqualifcations

24

7

2.7 Determining the rectors term in ofce

Rectrs term ce etermine b universities: BEn, BE r, dK, IT, Nl, SI, ES, UKRectrs term ce etermine in the aw: AT, BG,HR, Cy, CZ, EE, FI, FR , GR, HU, IS, IE, lV, lT, lU, MT,No, pl, pT, Ro, RS, SK, SE, TRVariatins (eera sstems): dE, CH

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Relation to the governing bodies

Assessing the re the rectr with regars t thegverning bies the institutin as cntributest a eeer unerstaning the egree an nature

rganisatina autnm.

The wing anasis ks at bth unitar an uastructures. In the atter case, it cuses n the rea-tin the rectr t the b that is main resn-sibe r mre ng-term strategic ecisins, such

as eciing n statutes, strategic ans, seectin the rectr an vice-rectrs, etc, in sitin t theb main cncerne with acaemic aairs.

The anasis reveas that there are tw mes: ei-ther the rectr is art this gverning b (as a

vting member r as the chairersn), r he is e-terna but accuntabe t this b. The rst meis un in a majrit Eurean cuntries, whiethe atter is use in Austria, in the Czech Reubic,denmark, lithuania, luemburg, prtuga, an in

the Svak Reubic. In these cuntries, the rectr

is accuntabe t that b, in the sense that he ismaking rsas t it, an rerting t it, but es

nt take art in the vtes. Insme cuntries, an interme-iary me revais, such

as in Serbia r Switzeran,

where the rectr ma be thechair the acaemic sen-

ate withut being a vting

member the bar9.

The rectr was rerte

t be the chair the gv-

erning by that is mainy

resnsibe r mre ng-

term strategic ecisins in

13 cuntries. (S)He may be

the chair, but is nt necess-ariy s, in Begium/French

cmmunity, Estnia, Ire-

an an in sme universi-

ties in Nrwa. In Sween it

is ssibe r the rectr tchair the bar accring taw, but this rare haens.In Mata, the rectr is the

chair the senate, an vice-chair the cunci. In smeSwiss universities, the rectrresies ver the senate.

9 The Netherans is smewhat a secic case, with its Cege Van Bestuur (CVB), which b aw is imite t three members,incuing the Rectr. It usua cmrises, in aitin, the resient an a thir ersn resnsibe r nances. Because its wie sce cmetences, the CVB cu be either quaie as a strategic gverning b r as the universits eecutiveeaershi.


16

2.8 Rector and governing bodies

Vting member/chair the gverning b: BE n, BEr, BG, HR, Cy, EE, FI, FR, GR, HU, IS, IE, IT, MT, Nl*, pl,Ro, SI, ES, SE, TRNt a vting member the gverning b: AT, CZ,dK, lT, lU, pT, RS, SK, CHVaries: dE, lV, No, UK

2.9 Type o rectorship

CEo-te rectrshi: ainte rectr, quaicatins nt secie in the aw r ver en, eterna anaccuntabe t gverning b resnsibe r ng-term strategic ecisinsprimus inter ares rectrshi: eecte rectr, strict ene quaicatins, member gverning b resnsiber ng-term strategic ecisinsother (cmbining eements abve mes)dierent tes rectrshi (CEo / rimus inter ares / cmbinatin)

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Key issues & fndingsWhilethedesignofinternalacademicandadministrativestructureslargelyfalls

uner universit cntr, gvernance structures an eaershi are ten strngshae b natina egisative ramewrks.

TheuseofdualgoverningstructuresinEuropeanuniversitiesisnowmorewide-srea than the mre traitina unitar sstem.

Externalstakeholdersareincreasinglyinvolvedintheuniversitiesgovernance

structures, an esecia in cuntries where universities have mre than ne gv-erning b. This es nt mean hwever that eterna stakehers are neces-sari cnne t the cnsutative b; the ma have a u re in the ecisin-making rcess.

TheshifttowardsaCEO-typeleaderincertainwesternEuropeancountriesap -ears t g han in han with a greater autnm in management an structure.

Insomecountriessmallexecutivemanagementgroups,comprisingtherector

an ther sta rm the t management, can have bra cmetences an aretherere cnsiere t be a weru b.

A stuy interna acaemic an aministrative

structures shwe that thse universities which

were reativey ree t ecie their wn structure

rme the majrit. The minrit ha their struc-tures shae t a greater r esser etent b aw.

As ar as eaershi is cncerne, the shit twars aCEo-te eaer in certain western Eurean cun-tries aears t g han in han with a greater au-

tnm in management an structure. These mremanageria eaers are seecte b a bar, ma beeterna t the institutin an rert t the gvern-ing bies. At the ther en the sectrum are

the mre traitina, eastern Eurean r Meiter-ranean cuntries, where the rectr tyicay is an

acaemic rimus inter ares, seecte b the in-terna acaemic cmmunit amngst the ressrs the universit in questin, chair the universitsgverning b, with term an quaicatins eter-mine in the aw. Between these tw tes as arange cuntries with varius cmbinatins the

abve (see Ma 2.9).

The traitina Eurean me university

gvernance has been a unitary ne universities

as rimari acaemic-run rganisatins. This stushws that nwaays ua gvernance structures

are mre cmmn than unitar structures an thatthese bies as cmrise externa members in

a substantia number cases. Their re, thugh,

remains cntrversia as eterna cuncis are ei-ther seen as shwing t itte interest in an cm-

mitment t universit aairs, r cnsiere t havet much cntr ver the acaemic issues the

universit.

The incusin externa members rms an im-

rtant art mre autnmus universities ac-cuntabiit twars their stakehers an scietat arge. This wi rm a crucia art current anuture rerms n gvernance, as there is a ressingnee t n the right egree accuntabiit bintegrating eterna stakehers in an ecient anarriate wa, in the ight the missin an the

strategic ririties each an ever universit.

Conclusions: Organisational autonomy


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Anther signicant an cmex asect univer-

sit autnm is the sce universities nanciaautnmy. In this stuy we are chiefy cncerne

with tw majr asects nancia autnm: therert rst aresses the rceura ramewrk ubic uning (which ntab incues the tes uning cntracts, intermeiar uning bies, aswe as nancia rerting rceures). The anasisthen cuses n the universities nancia caacit,which cvers ke eements such as:

theextenttowhichtheycanaccumulatereserves

an kee surus n state uning theabilityofuniversitiestosettuitionfees,

their ability toborrowmoneyon thenancial

markets theirabilitytoinvestinnancialproducts

theirabilitytoissuesharesandbonds

theirabilitytoownthelandandbuildingsthey

ccu

Financia autnm is certain the area where theinks t the ther imensins autnm are mstbvius an this can therere har be cnsierein isatin. The abiit r inabiit universities tecie n tuitin ees has imicatins r stuentamissins, natina reguatins n saaries r a rsme categries sta iminge n stang autn-

m an the caacit t ree use incme irect-y imacts n the abiity t imement a ene

strateg.

In the ramewrk its wrk n nancia sustain-

abiit, EUA has esigne a nancia autnm in-e10 which anase the crreatin this imen-

sin autnmy an the universities abiity tgenerate incme. These nings have as serve

as a basis r the wrk in this stu an wi be ur-ther ere with a arger number cases in thenging EUdIS rject11.

What this wrk reveae an what was cnrme

by this stuy is that nancia autnmy is an area

where it is crucia t take int accunt a ssibe

ichtm between rma an eratina autn-m. Whie universities within a sstem ma seemt enj a high egree autnm with regars tthe wnershi their buiings, r instance, thema n be abe t se such assets uner strict re-strictins that eective curtai their autnm. It istherere necessar t rcee t a mre in-ethanasis a wie seectin eements nanciaautnm t btain an accurate image the reastate autnm universities.

Financial autonomy

10 See Financiay sustainabe universities : Twars u csting in Eurean universities , chater 7 n Autnmy an

Accuntabiit11 EUdIS : Eurean Universities diversiing Incme Streams, www.eua.be/euis

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Public undingMre an mre cuntries mve t nger-term ne-gtiate cntracts between the Ministry an the

university, in which the rights an resnsibiities

the universities (in terms resurces an stu-

ent numbers, r instance) are etermine, with

ssibe annua ajustments. There is a ercetibetren, esecia in western Eure, twars the is-tributin ubic uning thrugh bck-grants,

rather than ine-item bugets.

Bck-grants are ene in this stuy as nancia

grants which cver severa categries exenituresuch as teaching, nging eratina csts an/rresearch activities. In this ramewrk, universities

are main resnsibe r iviing an istributingsuch uning internay, accring t their nees,

thugh sme tes restrictins ma a.

By cntrast, ine-item buget means that univer-

sities receive their uning area re-acate tcst items an/r activities; therere, the are ntabe t make acatin ecisins, r ny within

strict imits.

line-item bugets, in which the uning is acateb the Ministr r the pariament are use in seven,reminant eastern Eurean cuntries, nameBugaria, Cyrus, Greece, latvia, lithuania, Serbia

an Turkey. Sme German states as cntinue t

use this rm ubic uning. An extreme case

is Serbia, where the main art the ubic un-ing is acate irect t the acuties, whereas inCratia, where the acuties as use t be strng,ega ineenent entities, bck-grant uning isnevertheess acate t the universit eve.

In 26 sstems, universities receive their basic un-ing rm the Ministr in the rm a bck-grant,which the can acate autnmus t their in-terna activities. Hwever, this es nt necessarimean that universities are entire ree t use suchuning as the see t. In Sween an Svenia, rexame, this bck-grant is subject t bra cat-

egrisatin which imees universities rm trans-erring arge amunts rm a majr st (i.e. staeeniture, inrastructures, research, r teaching)t anther.

Inee, n eight cuntries (Austria, Begium/Fem-ish cmmunit, Estnia, Nrwa, pan, the SvakReubic, Switzeran an the UK) have estabishesstems in which universities encunter n r ver

ew restrictins as t hw the can sen their re-surces. In a ther cuntries, universities ace re-

strictins in their use ubic uning, ranging

rm tight itemize bugets, searate bck-grants r teaching an r research, t ighter-tuch re-

quirements such as rues n ubic rcurement

rceures r eame.

There are ierent rms acating ubic un-ing, such as uning rmuas, errmance agree-ments r targete uning, which are ten use incmbinatin. In genera, there seems t be a trentwars ubic uning being at east art eter-mine n the basis uning rmuas, which in-cue inut-reate arameters (such as the number rst-ear stuents enre), but as increasingerrmance-base criteria such as the number egrees r creits aware, r instance. Faners

is in such a transitin eri unti 2012, by which

time ubic uning wi mst be etermine nutut-base criteria. In Austria, ubic uning is

base r 20% n a uning rmua, whie 80%

is acate n the basis a errmance agree-ment between the university an the Ministry.

Such kins agreements, r cntracts, are as

un in ther cuntries ike France, an ier rm uning rmuas as they are wier in sce an

incue targets an tasks that the university cm-

mits t achieve.

In mst cuntries, a art ubic uning as

cmes as targete r earmarke uning, whethercmetitive r nt, which ten crresns t theirect uning secic rjects that match the

authrities ririties.

Funding ramework

Financialautonomy

19

3.1 Budget type

line-item buget: BG, Cy, GR, lV, lT, RS, TRBck-grant buget: AT, BE n, BE r, HR, CZ, dK, EE, FI,FR, HU, IS, IE, IT, lU, MT, Nl, No, pl, pT, Ro, SK, SI, ES, SE,CH, UKVaries between states: dE

1

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Intermediary unding bodies

The resence an sce varius intermeiary

bies in the uning structure a natina highereucatin sstem refects hw the re the state

has evve an t what etent it has eegate re-snsibiities t such bies in a me that rivi-eges inirect steering rather than irect interven-

tin. oten name cuncis, these intermeiary

rganisatins may be estabishe t istribute in-

stitutina an/r research uning t universities,

acting therere as buer bies between the

itica wer an the higher eucatin institu-

tins. The anasis reveas that such intermeiariesten un research, but that institutina uning

arge remains a irect attributin the Ministriesthemseves.

Institutional fnancing

Mst Eurean cuntries have nt estabishe inter-meiary bies in institutina nancing; instea,

basic erating grants are irect acate b thereevant Ministr either at natina r regina eve.Few cuntries, such as Engan, Irean an Rma-nia, have set u intermeiar bies which are re-snsibe r acating uning t the universities.In ve ther cuntries, a searate b is invve,in aitin t the reevant Ministr, in acating in-stitutina uning. Eames this istributin tasks are given bew.

Begium /Femishcmmunit

The Cmmissiner r higher euca-tin veries that universities cmwith the reevant reguatins, anmanage their uns ruent.

denmark The Ministr has estabishe asearate agenc r universities anuniversit buiings.

Ita The Natina Cmmittee r theEvauatin the Universit Sstem

(t be incue in the NatinaAgenc r Evauatin) is resnsiber eabrating the criteria use inacating uns an incentives tuniversities.

latvia The pariament-ainte Cunci Higher Eucatin rvies generastrategic guieines an suggestinsr higher eucatin uning, whichis, hwever, utimate ecie unb the Ministr Eucatin.

Turke The Natina Higher EucatinCunci has t arve universitbugets, athugh it es nt a-cate uning t universities.

Research unding

Intermeiar bies are mre cmmn in the e research nancing. Mst Eurean cuntries haveestabishe a sstem whereb state-une bies

acate a r art research uning t univer-sities, mst ten n the basis cmetitive re-

search rsas.

Research uning bies can be un in a cun-tries anase ecet in a minrit cuntries in-cuing Greece, Mata an Serbia. In these cases,

research uning is either irect acate b theMinistry itse (in Greece, the Genera Secretariat

r Research an Techng uner the Ministr devement), r b bies wrking uner the aus-ices the Ministr.

Financial reporting

Financia rerting t ubic authrities is ne rm ensuring universities accuntabiity r their -

nancia activities. Amst invariaby, universities

nee t submit nancia rerts t the uning

Ministr, the pariament, the regina gvernment

r ther tes ubic authrities. Even in the ewcases where universities nt rert t the Min-istr, as is the case in Icean an in luemburg,the sti have t u the rerting requirements eisting auiting agencies. At the ther en thesectrum are cases ike Austria, Finan an France,where the universities nancia rerts are actuause b the Ministr as a basis r cntract negtia-tins r the wing eri.

Accuntabiit is urther ensure thrugh the auit the universities accunts, mst ten carrie ut

by a natina auiting agency, either n a yearybasis r at nger intervas. The ierent systems

iverge hwever in the maities these auits:sme cuntries eman that accunts be auite

Financialautonomy

20

Intermeiate uning bN intermeiate uning bSme intermeiate b artia invve in uning

Intermeiate bies inresearch uning

Intermeiate bies ininstitutina uning

3.2 Intermediate bodies inhigher education unding

GR, MT, RS

31

BE n, dK, IT, lV, TR

26

IE, Ro, UK


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bth b ubic an rivate agencies, r b rivatecmanies which sen the rerts t the reevantauthrities as we as make them ubic (ike in theNetherans r in Irean). At the ther en the

sectrum, the accunts Greek universities areirecty auite by the Ministries Eucatin

an Finance. In Ita, the new Natina Agenc rEvauatin is t be taske with auiting the univer-sities accunts. The ierent German states have

imemente iverging maities, whie the varrm ne universit t the ther in Faners an inIcean.

Financial capacity

In the ramewrk nancia autnm, the stuas cuse n the abiit universities t act asineenent nancia entities in reatin t the -wing issues:

Theextenttowhichreservesmaybeaccumulated

an surus state uning retaine Theabilitytosettuitionfees

Theabilitytoborrowandraisemoneyonfnancial

markets Theownershipandsaleofuniversityrealestate.

Reserves and surplus

Whie universities in a cuntries are abe t kee

an bui reserves rm se-generate uning, it isnt awas the case that the can accumuate surus

rm state uning. In tw the Batic States (latviaan lithuania), as we as in sme the suthern

cuntries (Crus, Rmania, Serbia, Turke an pr-tuga), universities are require t return an ten-tia surus t the state at the en the nancia ear.

In a ther arts Eure, universities are awet kee a tentia surus. Nevertheess, at era-tina eve, ne can istinguish a series imitatinst this reem: the Czech an Sweish universities,r instance, can n kee the surus u t a mai-mum ercentage the tta uning; in Mata, Ita

r Svenia, the surus can ny be use r re-ene, secic activities; in a number cuntries,universities wu nee t secure the Ministrs a-rva r at east justi the intene use the save

amunts. Fina, Engish universities, whie awet kee surus rm the bck-grant, ma have treturn surus generate rm earmarke uning.

Besies, their caacit t bui reserves is reguateb their ega status registere charities.

These eames a cncur t shw that, even i therma autnm universities ma seem reativeetensive, as the case aears t be in the matter buiing u nancia reserves, a cser k at themaities such autnm reveas a much mremie icture where reguatin remains a majr e-ement t take int accunt.

Financialautonomy

21

3.3 Audit o university accounts

pubic auit ce: BE r, BG, HR, Cy, CZ, EE, FI, FR, HU,IT, lV, lT, lU, No, pT, Ro, RS, SK, SI, ES, SE, CH, TR, UKVaries between States r universities: dE, BE n, ISprivate auing cman: AT, dK, IE, MT, Nl, pl

Ministr auit: GR

3.4 Keeping surplus rom state unding

Varies between States: dEUniversities ma nt kee surus n state uning: Cy,

lV, lT, pT, Ro, RS, TRUniversities ma kee surus n state uning: AT, BEn, BE r, BG, HR, CZ, dK, EE, FI, FR, GR, HU, IS, IE, IT,lU, MT, Nl, No, pl, SK, SI, ES, SE, CH, UK

6

24

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7

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12 denitins are taken rm Eurice, Ke data n Higher Eucatin in Eure, 2007 eitin13 Financing Higher Eucatin in Suth Eastern Eure, Centre r Eucatin pic, Begrae, 2009, .9514 Fees wi a in Finan rm 2010 nwars t nn-EU stuents enre in Masters egrees taught in Engish.15 In Austria, ue t an amenment t the Universit Act in Setember 2008, reguar stuents are nt ue t a tuitin ees as

ng as the are within the reguar uratin stuies us tw terance semesters. Fees are as waive i the can rve thatthe eceee this imit because certain bigatins such as chi care r art time emment.16 In Sain, the natina authrities set a genera ceiing the tuitin an aministrative ees; then, the autnmus cmmunities

etermine the amunt thse ees.

Students fnancial contributions

This stu cnsiers the issue tuitin ees as aras it is reevant t etermine the universities nan-cia autnm. It is therere nt a cmete ana-

sis n stuents nancia cntributins, as etaieata was nt cecte n the iering amunts nancia cntributins r eves inirect surtrvie by the ubic authrities t universities

thrugh stuent ai. The anasis n the status these cntributins was unerinne b ata rmEUAs interna atabase n tuitin ees.

The abiit that universities have r nt have tset such ees an ecie n their amunt cnstitutesan integra art the anasis their nancia ca-acit, as the resut in the generatin new un-

ing streams r the institutin thrugh rivate cn-tributins. In sme cuntries, this incme stream rms a high ercentage a universitys buget

an as therere a ierent re in an institutinsstrategy than in a university withut this rm

incme.

This stu cnsiers stuents rivate cntributinsuner tw rms12:

Tuitionfees,asannualcontributionspaidbystu-ents t cver a r art tuitin csts in highereucatin; an

Administrativefees,ascontributionsofstudents

t ierent aministrative csts (entrance ees,

registratin ees, certicatin ees).

It is imrtant t nte that such cntributins mabear ierent names in ierent sstems, an thataministrative ees, the eve which is usuay

wer than tuitin ees, ma nnetheess have a sig-nicant imact in terms uning in sme cun-tries, in articuar in suth-eastern Eure13. Fina,cnsieratins n the amunts the nancia cn-tributins require are nt etaie here, asie rm

an anasis the istributin resnsibiities insetting the ees (wh etermines what).

In the majrit the anase cuntries, universitiescect tuitin ees r aministrative ees rm artr a the hme/EU stuent uatin. These 25cases incue Cyrus, Greece an Svenia, where

ees nt a t the Bachers eve. In aitin,cuntries such as the Czech Reubic, denmark, Fin-an14 r Mata, where higher eucatin is ree rthe main stuent uatin, charge ees t inter-

natina (nn-EU) stuents.

Hwever, ees ma in sme cases n reresent amargina incme stream r universities. There are,mst ten, reguatins an imitatins attache

t such systems. Fees may, r exame, ny a-

t a minrit stuents, ike istance-earningstuents; they may ny be aicabe r imite

urses (i.e. stuent services) as is the case in Tur-ke. The ma as n a r stuents nt c-cuing state-une stu aces. In Greece, ninternatina stuents an stuents engage in

masters curses a ees. Fina, in cuntries whereuniversities are nt awe t charge ees t the

main stuent uatin, there ma be ecetinsr thse stuents eceeing the stanar uratint cmete their egree (r instance in the CzechReubic)15.

In terms nancia autnm, the istributin resnsibiities in setting the ees is an imrtant

eement t juge the nancia caacit a univer-sit. There are three mes eisting in Eure: theees ma be etermine b the universit itse, bthe Ministr (r an ther reevant ubic authrit),r b bth.

The rst me, where universities can autn-

musy set the eve the ees, can be un in

ten, mainy eastern Eurean cuntries. on the

cntrar, in the site me, ees are ecusiveetermine by ubic authrities in nine systems

incuing France, Sain16 r Turke.

Between these tw tes, the me ceratinis the mst cmmn. In these cuntries, the univer-sities an the gvernment bth set the eve ees,

accring t ierent maities. The gvernmentma set a ceiing uner which universities are ree tecie n the eve the ees, r arve ees set bthe universities. Interesting, a ierentiate c-erative me eists in man cuntries, where theees are set b ierent bies r ierent grus stuents r instance with the gvernment

Financialautonomy

22


25/48

reguating ee eves r the main stuent ua-

tin (natina an EU stuents), whie universities

are abe t ecie n ees r internatina, nn-EUstuents (nrth-western me: Engan, the Ne-

therans, Irean). In Engan, there is a ceiing rnatina an EU bachers stuents, whie univer-

sities are ree t charge ees r a ther eves.

Figure 3.5 summarises the ierent mes currentuse in Eure t set tuitin ees r the main stu-ent uatin (i.e. at Bacher an Masters eve,r u-time, n-camus, natina an EU stuentsnt exceeing stanar uratin stuies). It ex-

cues aministrative ees, which universities havegeneray mre reem t set. Nn-EU stuents,

phd stuents, istance earning stuents r art-

time stuents are nt cnsiere here.

Borrowing and raising money

The thir eement stuie here which is reate

t the abiit the universities t act as ineen-ent nancia actrs is their caacity t brrw

mney rm banks, r raise mney n nancia

markets. Whie it aears that it is quite cmmn

r universities t be abe t brrw mney, ny

ver ew sstems aw them t invest in stcks anshares r issue bns r eame. In this resect, inmst cases gvernments eert sme kin cntrver the universities nancia activities.

Whie abut tw-thirs the cuntries aw uni-versities t brrw mney17, the aw, eseciay in

nrthern Eure, ten sets ut restrictins t thisabiit b imiting avaiabe amunts, requiring thatuniversities get authrisatin rm the reevant

authrities (denmark, latvia), r by ny awing

universities t brrw rm the Natina Bank, as is

the case in Sween (u t a certain amunt). othercuntries have starte imementing rerms that

en the ssibiit r universities t brrw m-ney rm banks, but within very strict cnitins.

This is the case in France with the nging gvern-ance rerm, whereb universities can nw resrt tbrrwing i such a mve is arve b a number reevant ubic authrities.

Hwever, in abut ne-thir Eure, universitiesare enie this ssibiity. Universities may get

arun this, thugh, by estabishing ega entities

17 In German, n universities in lwer San an Nr th-Rhine Westhaia have the caacit t brrw mne rm banks.The situatin is simiar in Icean where n the Universit Icean is awe t resrt t brrwing.

Financialautonomy

23

3.5 Setting tuition ees

Ecuing German, where the egisatin ier s between the eera states * on at bacher eve

TUITION FEES APPLYING TO (ALL OR PART OF) THE MAIN STUDENTPOPULATION (NATIONAL + EU)

UNIVERSITY COOPERATIVEMODEL

PUBLICAUTHORITIES

Ceiling set bypublic authorities

Cooperationuniversity & public

authoritiesFixed amount No tuition fee

Croatia, Estonia,Greece, Hungary,Latvia,

Luxembourg,Poland, Romania,

Serbia, UK

Italy,Portugal,

UK: England*

Cyprus,Belgium / Flanders,

Lithuania

Begium / Wallonia,

Bulgaria, France,Ireland,

Netherlands,Slovenia, Spain,

Switzerland,Turkey

Austria,

Czech Republic,Denmark, Finland,Iceland, Malta,

Norway, Slovakia,Sweden, Cyprus*,

Greece*, Scotland*,Slovenia*


26/48

such as unatins (Switzeran) r research cen-tres (Greece) that have the caacity t brrw

rm banks.

Whie universities abiity t take ut bank ans is

areay imite, stringent restrictins make it even

mre icut t raise mne n the nancia market.Thugh this ata rve mre icut t cect, thestu reveas that ew sstems aw their universitiest invest in stcks an shares r t issue bns r

instance. Austria, Begium/French cmmunity, the

Czech Reubic, denmark, Estnia, Hungary, Itay,

latvia, luemburg, Sain an Engan are ece-tins t this genera icture acrss Eure. Never-

theess, universities in these cuntries are nt uy

ineenent nancia actrs as ermissin ubicauthrities ma be require (denmark) r the ssi-biity t issue shares an bns may be imite t

universit-reate cmanies (Engan). In the CzechReubic an Hungar universities can acquire securi-ties issue r guarantee b the state. In ther cun-tries universities are awe t wn shares their

sin- cmanies (t the ecusin ther shares),r their unatins ma be abe t erate n the

nancia market (Finan, France, Turke). In luem-burg, the universit ma invest in nancia ructsbut is nt awe t issue shares an bns.

Ownership o land and buildings

Universities nancia autnm is as aecte btheir (in)abiit t wn their rea estate as this usuareresents an asset imrtant nancia vaue. Thecaacit universities t bu, se an bui aciitiesineenenty rms nt ny an integra art

their nancia autnm but is as strng inket their abiity t exert the reem they have in

reatin t their institutina strateg an acaemicre. In this area, hwever, the stu cnrmethat cutura ierences, ercetins an traitinsare, t a arge etent, etermining actrs wheth-er aciities shu be wne r rente (rm the

universities ersective). High maintenance csts

r restrictins assciate t histrica buiings arereasns why universities in sme cuntries wu

rather nt wn their aciities.

Whie in sme cuntries it is cmmn ractice thatuniversities wn their buiings, it is the traitin

in thers that the state ens r rents rerty t

the higher eucatin institutins (thugh the mabe awe t wn rerty). The stuy reveas

that bth mes cexist rughy n equa termsin Eure, with a tren twars mre university

wnershi.

Financialautonomy

24

Universities are nt abe t raise mne n nanciamarkets: BE n, BG, Cy, FI, FR, dE, IE, lT, MT, Nl, No,pl, pT, Ro, RS, SI, SE, CH, TRUniversities are abe t raise mne n nancia markets(t sme egree): AT, BE r, CZ, dK, EE, HU, IT, lV, lU,ES, UK

3.7 Ability to raise money on the fnancialmarkets

3.6 Ability to borrow money

Universities are abe t brrw mne: AT, BE n, BE r,HR, Cy, CZ, dK, EE, FR, IE, IT, lV, lU, Nl, No, pl, Ro,RS, SK, ES, SE, UKUniversities are nt abe t brrw mne: BG, FI, dE,GR, HU, IS, lT, MT, pT, SI, CH, TR

22

12

19

11


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Fur cuntries stan ut rm the rest as the haveestabishe systems in which university an an

buiings are in mst cases nt wne irect bthe institutins nr b the state but b state-wne

cmanies. This me is secic t Austria, Finan,German an Sween.

Fina, it is imrtant t nte that nging rermsare cnstant miing this icture. In France rinstance, sme universities have gaine wnershi their buiings, whie thers wi cntinue t c-cu state-wne aciities.

Universities that ccuy ubicy wne aciities

nt necessariy have t ay rent r them. The

anaysis reveas that, whie it is reativey cmmn

r universities t have t a sme srt rent tthe state, this is nt the case in Bugaria, France rluemburg r instance.

A cser anaysis the ega ramewrk thse

cuntries in which universities wn their buiingsshws thugh that higher eucatin institutins

are nt necessari abe t ecie ree n the in-vestment n their rea estate, nr can the autn-mus ecie n the sae these assets18. Inee,in mst cases there are strng restrictins t the sae universit buiings.

Thse restrictins var an incue iering rms arva rm the state (Nrwa) r ther auth-rities t cases where universit ies are sim nt abet se these assets at a (as is the case in Greece).

on a ew sstems seem t grant a arger egree autnm t their universities n this issue; theseare the Czech Reubic, Estnia, the Netherans,

Begium/French cmmunity, Itay, Sain, Switzer-

an an the UK.

Cnversey, universities using state-wne acii-

ties may sti be abe t bui r receive buiings

thrugh rivate natins. There are, nnetheess,cases where the universities are bige t ask r

ermissin even when they can nance buiings

ineenent (e.g. prtuga an Rmania), whie inTurke a buiing nate t the universit techni-ca becmes state rert.

This anasis shws that the issue cannt sim besummarise t a questin wning r renting a-ciities but that the cncrete circumstances suchas the right t use rea estate assets as a security

t btain ans, r the abiity t se aciities an

an etermine the rea egree wnershi an

autnm.

18 Grah 3.9 n incues cuntries where it is cmmn ractice that universities wn rert. Therere it es nt incuecuntries such as Austria, where athugh universities are ega abe t bu rea estate, the majrit universit rert isnt wne b them.

18

8

4

4

Financialautonomy

25

3.8 Ownership o university buildings

Universit: BE r, HR, Cy, CZ, EE, GR, IE, IT, lV, MT, Nl,No, pl, pT, Ro, SI, ES, UKpubic authrities: BE n, BG, dK, HU, lT, lU, RS, TRpubic rea estate cmanies: AT, FI, dE, SE

Variatins: FR, IS, SK, CH

Universities ma ree se rea estate the wn: BE r,CZ, EE, IT, Nl, ES, CH, UKSae rea estate requires ermissin ubic au-thrities: HR, Cy, IS, IE, lV, MT, No, pl, pT, Ro, SK, SIUniversities ma nt se rea estate the wn: GR

3.9 Sale o university-owned real estate

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Key issues & fndings Thereisatrendtowardspublicfundingbeingallocatedasblock-grants,

which are ten base n r accmanie b errmance criteria rtargets.

InmostEuropeancountries,universit iesareallowedtocollectfeesfromat

east art their stuent uatin, athugh there is great variet in thewa the ee eves are set an the amunts the reresent.

Universitiesarestil lfacedwithanumberofrestrictionswhenoperating

n the nancia markets; brrwing is reative cmmn but investing

an raising mne are activities mst en t sateite ega entities universities (nt the universities themseves).

OwnershipoflandandbuildingsisquitediversiedacrossEuropeand

eens t a arge etent n natina cutures an traitins. Hwever,rma wnershi es nt necessari en ssibiities r universities tuse their assets withut imitatins.

A universits caacit t cntr u an acatetheir buget internay is an imrtant eement

their nancia autnmy. Athugh there is a

tren twars bck-grant uning there are sti

sme cases where ine-item bugets are use, withuniversities having n ssibiity t shit uning

between buget ines. Hwever, bck-grants maas cme with sme restrictins in the use themne receive.

line-item bugets seem t eist main in sme the eastern Eurean an eastern Meiterranean

cuntries, whereas bck-grants exist in a ur

crners Eure. Anasis grant sstems (bck-grant vs. ine-item buget) an the ssibiity t

accumuate reserves b keeing surus rm ubicuning reveas that state cntr ver ubic un-ing (ine-item buget an n ssibiity t kee

surus) is tightest in Crus, latvia, lithuania, Ser-bia an Turke. The majrit, at east 20 cuntries,enjs mre autnm in this resect, with bck-grants an the abiit t kee surus.

In genera, hwever, there is itte cear crreatinbetween grant acatin tes an ther eements nancia autnm, such as the abiit t brrw

mne, r the abiit t set tuitin ees. But kingat a the eatures nancia autnm cective,it seems that western Eurean cuntries benet

rm a greater autnm than their eastern cunter-arts. one might argue that, in genera, universitiesin western Eure have mre autnm t use theubic uning the receive, but ess autnm tecie n tuitin ees. Cuntries in eastern Eureten t have ess autnmy with ubic bugets,

but in man cases have mre autnm t ecie

n rivate-une stu aces, an the ees thsecmman. The cearest eames this are latviaan Serbia, which have ine-item bugets, but areabe t set tuitin ees ree.

Universit buiings, reresenting an asset imr-tant nancia vaue, ma be state-wne r unse-abe r histrica reasns, with universities havingitte r n ssibiity t ecie n seing them

even in cases when their maintenance is cnsumingresurces which might be better sent n euca-

tin an research. Even in cases where universities

are wners their aciities, there are quite tenrestrictins n seing r using them as securities rans, ranging rm seeking the necessar authri-satin t utright rhibitin.

Conclusions: Financial autonomy

Financialautonomy

26


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Within the ramewrk stang autnmy, this

stuy cuse n the caacity universities t

recruit their wn sta an negtiate terms

emment19

.

The abiit universities t ecie n sta recruit-ment is integray reate t its nancia an aca-

emic autnm, as sta saaries an emmentcntracts are, t a great egree, etermine b thenancia agreements between the universit an itsuners, an nancia reguatins n stang irect-y imact n the abiity t recruit the arriate

sta. Therere, it is necessary t anayse stang

autnmy in reatin t an institutins acaemic

an nancia autnm.

Cmaring ierent eements stang autnmin mre etai urther aces the chaenge that, in

aitin t the hugey iverse reguatins the

ierent sta categries at universities, the ieringega ramewrks ubic an rivate abur aw

imact as we n the abiit t recruit sta . Acknw-

eging these chaenges an the imite caacit this stuy t anayse in etai the cmete egaemment cnitins acrss 34 cuntries, the -wing three imensins were examine t aw

r cmarisns amng institutins an cuntries:

the recruitment procedures related to the ap-

intment senir acaemic sta20

thestatusofuniversityemployees(whethercon-siere civi servants r nt)

thesalarylevels

Further wrk within this wi aim t ean the ana-sis twars a sta categries an cect cma-rabe ata n human resurces evement, careermes an rmtins.

Stafng autonomy

19 due t the imite sce this stu, the anasis ata cuse main n acaemic sta categries, athugh where therinrmatin was avaiabe, it is use. Given the increase imrtance surt sta in the achievement a universits aims

an missins it wi be necessar t eten this t a categries sta in urther wrk.20 The term senir acaemic sta is use t stan r the highest acaemic sta, which, acrss the cuntries uner stu, hasierent names an ierent reguatins an is usua invve in teaching an research (an smetimes in managementactivities/eaershi activities).

4

The anasis cear emnstrates that even in ge-neric terms there are signicant ierences in sta-

ng autnm acrss ierent Eurean cuntries,ranging rm a arger egree reem in the

recruitment sta t very rmaise rceures

incuing externa arvas, smetimes by the

cuntrs highest authrities.

Figure 4.1 shws that, in tweve sstems, universi-ties are essentia ree t recruit their wn sta. Itcncerns rimari cuntries that are situate in the

nrth-western arts Eure. In anther sixteen

cuntries, universities are ree t imement ini-

viua sta recruitment ractices, but they neet abie b natina reguatins with regar t thequaicatin requirements an recruitment rce-

ure r certain r a categries sta. These cun-tries are reerre t in gure 4.1 as cuntries withsecicatins in the aw reating t recruitment

rceures. The anaysis shws that these cni-

tins are rimariy resent in Nric an eastern

Eurean cuntries. In si, reminant suthern

Recruitment o sta

27


30/48

Eurean cuntries, universities ma n artiaecie n sta recruitment ractices, as the num-bers sts in certain sta categries (usuay

ressrs an/r senir aministratin) are set at

natina eve.

It is as imrtant t nte that, in at east si cun-tries (Bugaria, France, pan, Rmania, the SvakReubic, an sme German states), the aint-

ment certain categries sta (usuay res-

srs) has t be cnrme by the reevant ubic

authrit (the Ministr r the presient the cun-tr, as is the case in pan, where the tite pr-essr is grante b the presient the Reubic).

The anasis as ientie sme ther rceureswhich ha an imact n the universities abiit an

fexibiity t recruit their wn sta. In Greece, r

eame, the seectin ee r ermanent a-ministrative an technica sts is nt in the hans the universities an is instea mae b a natinab. The universit rvies the sitin require-ments an the natina rganisatin is resnsibe

r the aministratin the entire recruitmentrcess incuing the seectin.

Sme cuntries as have cmusry ersna

accreitatin in ace r certain acaemic sts.

Thus, ny thse iniviuas wh have acquire a

ressria accreitatin can ay r sts as

ressrs. This rceure is use r exame in

the Svak reubic, Svenia an Sain. In Rmania,the seecte caniates r the highest teaching anresearch sts, have t g thrugh an evauatin

b the Natina Cunci r Cnrmatin Tites,

degrees an dimas, bere their aintment iscnrme b the Ministr.

Sta recruitment procedures

As the sitins universit ressrs ten t bethe mst strng reguate categr sta in mstcuntries, this sectin wi cus n a thrugh exam-

inatin their recruitment rceures. This esnt, hwever, mean that sme cuntries wu nta simiar rceures t ther sta categries.

Athugh there is sme variatin in the ractice recruiting senir acaemic ersnne, mst cun-

tries w air simiar rceures. It is cmmnractice t seciy the seectin criteria at acuty

eve an set u a seectin cmmittee t evauatethe caniates. The successu aicant is subse-

quenty ainte at the acuty eve r aterna-

tivey by a university-eve ecisin-making by.

The seectin cmmittee either recmmens nesuccessu caniate r rvies the ecisin-mak-ing b with a shrtist reerre caniates inrer ririt.

The na ecisin n the seectin r aint-

ment the caniate is mae at acuty eve in

the Czech Reubic, denmark an Svenia. This

as aies t sme German states an in arger

universities in Nrway. In the majrity systems

(25), hwever, the aintment is mae at univer-sit eve.

The anasis urther shws that r Cratia an Ser-bia the universit wu equa be invve in a-inting ressrs, even thugh the acuties are

(r were, in the case Cratia, unti Januar 2007)ineenent ega entities. Fina, a ew sstems re-quire that the ecisin t aint a new ressrmust be arve b an eterna b, usua thereevant Ministr (see Figure 4.2).

Stafngautonomy

28

4.1 Ability to recruit sta

Universities (ree): BE n, BE r, EE, dE, IE, lV, lU, MT,Nl, No, CH, UKSecicatins in the aw: AT, BG, CZ, dK, FI, HU, IS, IT,lT, pl, Ro, RS, SK, SI, ES, SENumber sts reguate at natina eve: HR, Cy,FR, GR, pT, TR

4.2 Appointment o senior academic sta(recruitment procedures)

Fina aintment ecisin mae at acut eve: CZ,dK, SIFina aintment ecisin mae at universit eve:

AT, BE n, BE r, HR, Cy, EE, FI , GR, HU, IS, IE, IT, lV, lT,lU, MT, Nl, pl, pT, RS, ES, SE, CH, TR, UKFina aintment cnrme b an eterna authrit:BG, FR, Ro, SKVaries between states r universities: dE, No

12

16

6

25

4

2 3


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Nne the universit sta members have civi ser-vant status in 15 cuntries (see Figure 4.3). Whie

civi servant status ma nt have the same mean-ing in a cuntries, ue t ierent ega ramewrksan traitins, the term is unerst here as re-resenting a gru that benets rm a strnger anmre rtective reguatin. In sme cuntries, cer-tain categries sta ma nt be cae civi servantsbut have a simiar status (Irean, pan). Rues anreguatins civi servant emment ma as beaie t sme categries sta n. A cmmneature is that these universities have ess feibiit

in their human resurce management cmare tthse where sta nt have civi servant status.

In certain cuntries incuing the Czech Reubic,

the Svak Reubic an Icean, ny sta em-

e at state universities have civi servant status.In these cuntries, universit sta eme at theruniversities (bth ubic an rivate) n

EUA Autonomy Report Final

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