ACADEMIC FREEDOM AND INSTITUTIONAL ACADEMIC FREEDOM AND INSTITUTIONAL AUTONOMY: CONTEMPORARY CHALLENGESAUTONOMY: CONTEMPORARY CHALLENGES

ÜÜSTSTÜÜN ERGN ERGÜÜDERDERPROFESSOR EMERITUS AT SABANCI UNIVERSITYPROFESSOR EMERITUS AT SABANCI UNIVERSITY

Istanbul, TurkeyIstanbul, Turkey

PRESIDENT, MAGNA CHARTA OBSERVATORYPRESIDENT, MAGNA CHARTA OBSERVATORYBologna, ItalyBologna, Italy

IAU 2010IAU 2010INTERNATIONAL CONFERENCEINTERNATIONAL CONFERENCE

VILNIUSVILNIUSJUNE 25, 2010JUNE 25, 2010

THE UNIVERSITY: ONE OF THE OLDEST THE UNIVERSITY: ONE OF THE OLDEST INSTITUTIONS IN THE WORLDINSTITUTIONS IN THE WORLD

CENTRAL IMPORTANCE OF ACADEMIC FREEDOM CENTRAL IMPORTANCE OF ACADEMIC FREEDOM AND INSTITUTONAL AUTONOMY FOR THE IDEA OF AND INSTITUTONAL AUTONOMY FOR THE IDEA OF

UNIVERSITY UNIVERSITY

The main idea behind the The main idea behind the ““HumboldtianHumboldtian”” concept of university is that concept of university is that society needs institutions dedicated to the society needs institutions dedicated to the search for truth and search for truth and understandingunderstanding where scholars and students work together where scholars and students work together in the in the pursuit of knowledgepursuit of knowledge. (W. V. Humboldt, . (W. V. Humboldt, On the Spirit and the On the Spirit and the Organizational Framework of Intellectual Institutions in BerlinOrganizational Framework of Intellectual Institutions in Berlin. . Minerva, 1970Minerva, 1970Alfred WhiteheadAlfred Whitehead: : ““The justification for a university is that it preserves The justification for a university is that it preserves the the connection between knowledge and the zest of lifeconnection between knowledge and the zest of life, by uniting the , by uniting the young and the old in the young and the old in the imaginativeimaginative considerations of learning.considerations of learning.””Alfred Whitehead, Alfred Whitehead, The Aims of Education and Other Essays.The Aims of Education and Other Essays. New New York: New American Library,1949.York: New American Library,1949.Michael Michael OakeshottOakeshott in his in his Idea of a Idea of a UniversityUniversityemphasizesemphasizes the the communitarian aspects of learningcommunitarian aspects of learning: : ““What distinguishes a university What distinguishes a university is a special manner of engaging in the pursuit of learning. It is a special manner of engaging in the pursuit of learning. It is a is a corporate body of scholarscorporate body of scholars, each devoted to a particular branch of , each devoted to a particular branch of learning: What is characteristic is the learning: What is characteristic is the pursuit of learning as a copursuit of learning as a co--operative exercise.operative exercise.””

MAGNA CHARTA UNIVERSITATUM: MAGNA CHARTA UNIVERSITATUM: Fundamental Principles (1 and 2)Fundamental Principles (1 and 2)

1.1. The university is an The university is an autonomous institution autonomous institution at the heart of at the heart of societies societies differently organized differently organized because of geography and because of geography and historical heritage; it produces, examines, appraises and historical heritage; it produces, examines, appraises and hands down culture by hands down culture by research and teaching. research and teaching. To meet the To meet the needs of the world around it, its needs of the world around it, its research and teaching research and teaching must must be morally and be morally and intellectually independent of all political intellectually independent of all political authority and economic powerauthority and economic power..

2.2. Teaching and researchTeaching and research in universities must be in universities must be inseparableinseparable if if their tuition is their tuition is not to lag behind changing needs, not to lag behind changing needs, the demands the demands of society, and advances in scientific knowledge.of society, and advances in scientific knowledge.

MAGNA CHARTA UNIVERSITATUM: MAGNA CHARTA UNIVERSITATUM: Fundamental Principles (3)Fundamental Principles (3)

3.3. Freedom in research and trainingFreedom in research and training is the is the fundamental principle of university life, and fundamental principle of university life, and governments and universities, each as far as in governments and universities, each as far as in them lies, must ensure respect for this them lies, must ensure respect for this fundamental fundamental requirement. requirement. Rejecting intolerance and always Rejecting intolerance and always open to dialogue, open to dialogue, the university is an ideal meeting the university is an ideal meeting ground for teachers ground for teachers capable of imparting their capable of imparting their knowledge and well equipped to develop it by knowledge and well equipped to develop it by research and innovation, and for students entitled, research and innovation, and for students entitled, and able and willing to enrich their minds with that and able and willing to enrich their minds with that knowledge.knowledge.

MAGNA CHARTA UNIVERSITATUM: MAGNA CHARTA UNIVERSITATUM: Fundamental Principles (4)Fundamental Principles (4)

4.4. A university is the A university is the trusteetrustee of the of the European humanist traditionEuropean humanist tradition; its ; its constant care is to constant care is to attain universal attain universal knowledgeknowledge; to fulfill its vocation it ; to fulfill its vocation it transcends geographic and political transcends geographic and political frontiers, and affirms the vital need for frontiers, and affirms the vital need for different cultures to know and different cultures to know and influence each other.influence each other.

ACADEMIC FREEDOM AND INSTITUTONAL ACADEMIC FREEDOM AND INSTITUTONAL AUTONOMY OFTEN CONFUSEDAUTONOMY OFTEN CONFUSED

Academic freedom and university autonomy Academic freedom and university autonomy are concepts that have evolved handare concepts that have evolved hand--inin--hand hand over centuries in a mutually reinforcing over centuries in a mutually reinforcing fashion.fashion.But they are not identical:But they are not identical:

Academic freedom Academic freedom is a is a personal privilege personal privilege accorded to faculty members. accorded to faculty members. University autonomyUniversity autonomy, on the other hand, is an , on the other hand, is an institutional privilegeinstitutional privilege..

EMERGENCE OF NATION STATEEMERGENCE OF NATION STATE

The external authority The external authority also acted as an agent or also acted as an agent or channel for accountability. channel for accountability. The various charters, The various charters, bulls and edicts it issuedbulls and edicts it issued alsoserved as a licensing, alsoserved as a licensing, accreditation and quality assurance mechanismaccreditation and quality assurance mechanism..From the 19th century on, the external authority From the 19th century on, the external authority became the nationbecame the nation--state.state.Scott estimates that Scott estimates that of the of the 1,854 1,854 universities universities founded between founded between 1200 and 19851200 and 1985, , three quarters three quarters were established were established since 1900since 1900, and , and 1,1011,101 were were founded between founded between 1950 and 19851950 and 1985..Thus, the Thus, the modern universitymodern university, especially the modern higher , especially the modern higher education system is a creation of education system is a creation of the nation statethe nation state. . P. P. Scott (ed.) Scott (ed.) The Globalization of Higher EducationThe Globalization of Higher Education. Buckingham, . Buckingham, UK: Open University Press, 1988UK: Open University Press, 1988..

MODERN CONCEPT OF ACADEMIC FREEDOMMODERN CONCEPT OF ACADEMIC FREEDOM

Academic freedom is the right to teach what one Academic freedom is the right to teach what one believes, to espouse unpopular academic and believes, to espouse unpopular academic and nonacademic causes, to act upon knowledge and nonacademic causes, to act upon knowledge and ideas as one perceives them without fear of ideas as one perceives them without fear of retribution from anyone. retribution from anyone. Nothing can diminish the Nothing can diminish the need for academic freedom; need for academic freedom; its absence has reduced its absence has reduced universities to caricatures in many parts of the universities to caricatures in many parts of the world. world. (Rosovsky 1990, 179(Rosovsky 1990, 179--81)81)There are basic differences beThere are basic differences betweentween the rights of the rights of citizenship citizenship in a nation andin a nation and the rights the rights that are that are attained by joining a attained by joining a voluntary organization.voluntary organization. Faculty Faculty members are invited to teach and do research and to members are invited to teach and do research and to set educational policy in set educational policy in their sphere of knowledgetheir sphere of knowledge. . (Rosovsky 1990, 265(Rosovsky 1990, 265--6).6).

MODERN CONCEPT OF ACADEMIC FREEDOMMODERN CONCEPT OF ACADEMIC FREEDOM

““The freedom of the individual academic to teach, to The freedom of the individual academic to teach, to do research and to publish without any external do research and to publish without any external influenceinfluence..””It should be noted that the original German concept It should be noted that the original German concept of academic freedom of academic freedom ((LehrfreiheitLehrfreiheit) was confined ) was confined within the university.within the university. It did not include any rights for It did not include any rights for academics to engage in politics outside their academics to engage in politics outside their employmentemployment. . The encyclopedia of higher education. (Eds. B. R. Clark and The encyclopedia of higher education. (Eds. B. R. Clark and G. Neave, 4 vols.), 1295G. Neave, 4 vols.), 1295--6 in vol. 2. Pergamon Press. 1992.6 in vol. 2. Pergamon Press. 1992.

““....to ensure that academic ....to ensure that academic staff have freedom staff have freedom within the law to question and test received wisdom within the law to question and test received wisdom and to put forward new ideas and or unpopular and to put forward new ideas and or unpopular opinionsopinions without placing themselves in jeopardy of without placing themselves in jeopardy of losing their jobs or privileges they may have at their losing their jobs or privileges they may have at their institutions. institutions. Article 202 of the Education Reform Act. United Kingdom. Article 202 of the Education Reform Act. United Kingdom. 19881988

Academic FreedomAcademic Freedom Statement of Statement of SabancSabancıı

UniversityUniversity

PreamblePreamble

The University isThe University is, by tradition and definition, , by tradition and definition, an autonomous an autonomous center of learning and researchcenter of learning and research devoted to examining, devoted to examining, producing, disseminating and transmitting knowledge for the producing, disseminating and transmitting knowledge for the public good. public good. The University's obligation The University's obligation to society and to the to society and to the world community is to world community is to ensure scientific integrity and scholarly ensure scientific integrity and scholarly quality of educationquality of education. To fulfill this obligation, its research and . To fulfill this obligation, its research and teaching must be teaching must be "morally and intellectually independent of all "morally and intellectually independent of all political authority and economic power," political authority and economic power," as was expressly set as was expressly set forth in forth in the "Magna Charta the "Magna Charta UniversitatumUniversitatum" signed by the " signed by the Rectors of 29 European Universities in Bologna in 1988.Rectors of 29 European Universities in Bologna in 1988.

Academic FreedomAcademic Freedom Statement of SabancStatement of Sabancıı University: StatementUniversity: Statement

With these universal principles in mind, the Board of Trustees, With these universal principles in mind, the Board of Trustees, faculty faculty and administration of and administration of SabancSabancıı

University jointly take responsibility for University jointly take responsibility for

assuring fullest protection of freedom of inquiry, thought, and assuring fullest protection of freedom of inquiry, thought, and expressionexpression. . SabancSabancıı

University's commitment to academic freedom University's commitment to academic freedom

finds expression as follows:finds expression as follows:All members of the University community involved in the practiceAll members of the University community involved in the practice of of

dissemination of knowledge are dissemination of knowledge are entitled to freedom in the conduct of entitled to freedom in the conduct of their teaching in the classroom, of their research on or off camtheir teaching in the classroom, of their research on or off campus, pus, and in the publication, discussion and interpretation of researcand in the publication, discussion and interpretation of research h results.results.

The faculty and The faculty and administration administration of of SabancSabancıı

University University are responsible are responsible for for protecting the right of each member of protecting the right of each member of SabancSabancıı

University to artistic University to artistic

expression or to freely expressing his or her personal scholarlyexpression or to freely expressing his or her personal scholarly opinion.opinion.

The The University does not attempt to influence or control the personalUniversity does not attempt to influence or control the personal opinion or public expression of that opinion opinion or public expression of that opinion of any member of the of any member of the University community.University community.

Academic FreedomAcademic Freedom Statement of Statement of SabancSabancıı

University: StatementUniversity: Statement

The The University respects University respects the the expression of expression of opinion and choice of opinion and choice of association association of members of the University community of members of the University community in their in their private, civic capacityprivate, civic capacity..

The right to academic freedom carries with it the duty to use thThe right to academic freedom carries with it the duty to use that at freedom in:freedom in:

•• CommitmentCommitment to to ethical obligations and responsibilities ethical obligations and responsibilities to the to the University community and to one's professionUniversity community and to one's profession..

•• Commitment to excellence, innovation, and to advancing Commitment to excellence, innovation, and to advancing the the frontiers of knowledge in teaching and research at an individualfrontiers of knowledge in teaching and research at an individual level and in a collaborative spirit.level and in a collaborative spirit.

•• Making a clear distinction between one's responsibility to the Making a clear distinction between one's responsibility to the University and one's rights as an individual, and University and one's rights as an individual, and making sure making sure that the expression of views does not implicate or commit the that the expression of views does not implicate or commit the University University in any way.in any way.

UNIVERSITY AUTONOMYUNIVERSITY AUTONOMY AND THE CHANGING ROLE OF THE AND THE CHANGING ROLE OF THE

STATESTATEBefore the mid 1980sBefore the mid 1980soo Regulatory state: Prescribes through input Regulatory state: Prescribes through input

controlscontrolsIn the global knowledge economyIn the global knowledge economyoo Evaluative state: evaluates outcomes and outputsEvaluative state: evaluates outcomes and outputsEmergence of national and supranational Emergence of national and supranational

agencies of quality and accreditation.agencies of quality and accreditation.AccountabilityAccountability becomes the third and becomes the third and complementary concept to academic complementary concept to academic freedom and institutional autonomy.freedom and institutional autonomy.

TRADITIONAL UNIVERSITY AUTONOMY: TRADITIONAL UNIVERSITY AUTONOMY: Freedom from (State) InterferenceFreedom from (State) Interference

Who will teach?Who will teach?Who will be taught?Who will be taught?What will be taught?What will be taught?Who will be awarded degrees?Who will be awarded degrees?What will be researched?What will be researched?

Almost no emphasis on financial matters:Almost no emphasis on financial matters:Freedom to (strategic planning, mission Freedom to (strategic planning, mission and vision)and vision)

OECD IDENTIFIES EIGHT OECD IDENTIFIES EIGHT CRITERIACRITERIA OECDOECD, , Education Policy Analysis 2003Education Policy Analysis 2003 .Chapter on .Chapter on CHANGING PATTERNS OF CHANGING PATTERNS OF

GOVERNANCE IN HIGHER EDUCATIONGOVERNANCE IN HIGHER EDUCATION

Ownership of property: buildings and groundsOwnership of property: buildings and groundsAbility to borrow and spendAbility to borrow and spendAbility to make budgets and spend according to Ability to make budgets and spend according to strategic goals.strategic goals.To be able to make your academic design and set To be able to make your academic design and set course structurecourse structureHiring and firing of academic and administrative Hiring and firing of academic and administrative personnel.personnel.Determining salaries.Determining salaries.Deciding on student intakeDeciding on student intakeSetting tuition for studentsSetting tuition for students

RECENT EUA STUDY TO TAKE STOCK RECENT EUA STUDY TO TAKE STOCK OF UNIVERSITY AUTONOMY IN EUROPEOF UNIVERSITY AUTONOMY IN EUROPE

Thomas Estermann and Terhi Nokkola,Thomas Estermann and Terhi Nokkola,”” UnUnııversity in Europe. An Exploratory versity in Europe. An Exploratory StudyStudy””..

Organizational Organizational AutonomyAutonomy

Internal Academic StructuresGoverning BodiesExecutive leadership

Financial AutonomyFinancial AutonomyFunding FrameworkFunding FrameworkFunding CapacityFunding Capacity

Staffing AutonomyStaffing AutonomyRecruitment of staffRecruitment of staffCivil servant statusCivil servant status

Academic AutonomyAcademic AutonomyInstitutonal StrategyInstitutonal StrategyAcademic ProfileAcademic ProfileDegree ProgrammesDegree ProgrammesStdent admissionStdent admission

MAJOR RELATED DEVELOPMENTS/CHALLENGES MAJOR RELATED DEVELOPMENTS/CHALLENGES IMPACTING THE GLOBAL HIGHER EDUCATION IMPACTING THE GLOBAL HIGHER EDUCATION

AGENDAAGENDA

Increasing demand and Increasing demand and massificationmassification of higher educationof higher educationDemographic shift Demographic shift –– population explosion versus agingpopulation explosion versus agingNonNon--traditional studentstraditional studentsThe rise of market forcesThe rise of market forcesImpact of technology Impact of technology New providers, private institutions and increasing competition New providers, private institutions and increasing competition Internationalization in response to globalizationInternationalization in response to globalizationUniversities in the service of societyUniversities in the service of societyDecline in public spending and a corresponding need for Decline in public spending and a corresponding need for income generationincome generationFund raisingFund raisingDiffusion of lay governance : Diffusion of lay governance : Burton ClarkBurton Clark and his concept of and his concept of Creating Entrepreneurial UniversityCreating Entrepreneurial University

Rise of lay governance in some European countriesRise of lay governance in some European countries..

NEW ACTORS/AGENTS IN UNIVERSITY NEW ACTORS/AGENTS IN UNIVERSITY AUTONOMY AND ACCOUNTABILITYAUTONOMY AND ACCOUNTABILITY

International quality assurance networks such as International quality assurance networks such as ENQA/EQAR, INQAAHEENQA/EQAR, INQAAHENational accreditation agencies playing and National accreditation agencies playing and international role (ABET)international role (ABET)OECDOECD--UNESCO guidelinesUNESCO guidelinesBologna ProcessBologna ProcessGATS (General Agreement on Trade and Services)GATS (General Agreement on Trade and Services)Magna Charta Observatory (MCO) as a watchdog of Magna Charta Observatory (MCO) as a watchdog of academic freedom and institutional autonomyacademic freedom and institutional autonomy

Gather information, express opinions and prepare documents Gather information, express opinions and prepare documents relating to the respect for, protection and promotion of, the relating to the respect for, protection and promotion of, the fundamental university values and rights laid out in the Magna fundamental university values and rights laid out in the Magna Charta Charta UniversitatumUniversitatum

ARE THERE TENSIONS BETWEEN ACADEMIC ARE THERE TENSIONS BETWEEN ACADEMIC FEEDOM AND INSTITUTIONAL AUTONOMY?FEEDOM AND INSTITUTIONAL AUTONOMY?

They are complimentary and reinforce each other.They are complimentary and reinforce each other.Yet, leadership of the university may violate Yet, leadership of the university may violate academic freedom whereas leadership must be a academic freedom whereas leadership must be a defender of the academic freedom of scholars.defender of the academic freedom of scholars.

A case study of A case study of ““best practicebest practice”” from Sabancfrom Sabancıı University.University.The reverse is also true: academics can sometimes The reverse is also true: academics can sometimes do violate the autonomy of the institution in the do violate the autonomy of the institution in the name of academic freedom.name of academic freedom.

A case study from Bogazici UniversityA case study from Bogazici University

CHALLENGES?CHALLENGES?

Preserving the integrity of the university.Preserving the integrity of the university.•• ResearchResearch•• Ethical valuesEthical values•• MalpracticeMalpractice•• Income generationIncome generation•• Intrusive quality processesIntrusive quality processes

Reconciling managerial efficiency with Reconciling managerial efficiency with collegialismcollegialism..•• A distinct type of executive leadership: Burton ClarkA distinct type of executive leadership: Burton Clark’’s s

““academic coreacademic core..”” Burton R. Clark, Burton R. Clark, Sustaining Change in Sustaining Change in Universities. Universities. New York: Open University Press, 2004.New York: Open University Press, 2004.

Need for innovation in technology in Need for innovation in technology in Energy and Environment Energy and Environment EraEra..ThomasThomas L. Friedman, L. Friedman, Hot, Flat, and Crowded. Hot, Flat, and Crowded. London:Penguin, 2010 .

Importance of the Magna Charta Importance of the Magna Charta ObservatoryObservatory

Act as a repository of the ideaAct as a repository of the ideaMonitor and keep values on the agenda of Monitor and keep values on the agenda of higher educationhigher educationNetwork with other international Network with other international organizationsorganizationsPublicationsPublicationsParticipate in conferencesParticipate in conferencesBe a part of reform efforts in different parts Be a part of reform efforts in different parts of the worldof the world