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Higher Education in Europe
July - September 1985, Vol. X , N o . 3
From the Editors 3 Management in Higher Education:
The Role of Institutional Administrators Changing Profiles (Jean Jadot)
The Responsibilities of Managers in Education (György Paris) Institutional Administrators (Burkhart Müller)
The N e w Face of 'Universitas' (E. R. de Arantes e Oliveira)
O n 'First Timers' vis-a-vis 'Experienced' Department Chairpersons' Perceptions of Role Fulfilment: the Case of Fluid Participation in Organization (Tamar E. Aci-Itzhak)
Professional Networking: a N e w Strategy for Improving Administrative Competence (Peter J. Murphy)
The Role of W o m e n in Higher Education (Margaret B. Sutherland) A n Administrative Framework for Coping with Student Activism and
Indiscipline in Nigerian Universities (J. Okpako Enaohwo) Tribune
O n Some Vital Issues in the Development and Reform of Higher Educa-
tion in the People's Republic of China (Huang Shiqi) 63 Disabled Students in the Federal Republic of Germany (Ewald Berning) 76
Disinterested Aid (A. V. Sharapo and V . N. Strelchenko) 82 International Mobility and Recognition of Studies, Diplomas and Degrees
Available Literature on the Recognition of Studies, Diplomas and Degrees
and on International Mobility (Dumitru Chiforan) 87 6
15 19 25
31
37 4756
2
Published References relative to International Mobility 95 A A C R A O World Education Series Project (Douglas Connor) 98 Information
Canada, Denmark, Federal Republic of Germany, Finland, France, German Democratic Republic, Norway, Poland, Romania, Switzerland, U S S R , United Kingdom, U S A , Yugoslavia, Miscel-
laneous 101 Bibliographical References
Book Reviews 134 Book Notes 137 Calendar of Events 142
Notes on Contributors 144
List of C E P E S Publications 146
Higher Education in Europe, Vol. X, No. 3, 1985 3
FROM THE EDITORS
Having dealt with students in the first issue of our review for 1985 and with teachers in the second, w e n o w turn to the institutional managers of higher education, that third element in the populations of higher education institutions.
A collective overview of the roles and functions of such managers touches on m a n y separate aspects including, in particular, the following: n e w d e m a n d s and challenges of institutional m a n a g e m e n t ; distinctions and relations between collegially elected academic leaders and appointed heads of administrative services ; division of responsibilities between academic affairs and administra- tive affairs; professional and educational background, recruitment, and career patterns of different types of administrators; pre-employment and in-service training; comparability with executive careers outside higher education;
return to former careers after expiration of fixed-term appointments ; a n d suitability of present models of institutional administration, given the n e w and changing d e m a n d s being placed on higher education.
All of the contributors to this topic touch, at least to some extent, on all of the above points while reflecting on their o w n particular experiences and interests in academic administration. Jean Jadot of Belgium and György Paris of H u n g a r y , both of w h o m suggest profiles for the top ranking higher education administrators of today, try to reconcile the old and the n e w . For them, the 'old' refers to the days w h e n rectors, deans, department directors, etc., were primarily academics w h o because of great success in their chosen fields were elected or appointed to administrative office. T h e ' n e w ' refers to the requirement, one which is growing in importance, that the leaders of higher education institutions be highly skilled, full-time managers, at h o m e with the very specific intricacies of m a n a g e m e n t . Such leaders, according to both authors, should, in addition, be entrepreneurs w h o are capable of 'marketing' the university's products, be they skilled people or specialized services. For both m e n , the big question is h o w to merge the old and the n e w , that is, h o w to recruit distinguished managers w h o are also distinguished aca-
4
demies, particularly as chief executive officers (rectors, presidents, vice-chan- cellors) of universities. Both recognize that the task is difficult: Paris, indeed, reflects o n the problems involved in revoking a scholar/manager, w h o turns out to lack managerial qualities, in such a w a y that he can return to his scholarly pursuits without undue loss of face.
While looking inward to m a n a g e his institution, the scholar/manager m u s t also look outward. H e must keep u p with his discipline and also with trends in society at large. The latter task can become particularly challenging, as E . R . de Arantes e Oliveira of Portugal points out, w h e n the society at large undergoes changes which are particularly sudden and far-reaching.
S o m e higher education systems and institutions more than others separate the top administrative functions from the top academic ones. Burkhart Müller of the Federal Republic of G e r m a n y writes from the point of view of the top admin- istrator of the former type of institution. H e stresses the service roles of such officials vis-à-vis the scientific pedagogical staffs, particularly in terms of the provision of information (therefore the need for administrators to be as well informed, in general, of events in various disciplines as they are relative to trends in the evolution of higher education in general) and in terms of their roles as facilitators and co-ordinators.
Moving from a focus on top level administration to the level of specific departments, w e turn to Professor T a m a r Avi-Itzhak's analysis of the percep- tions of role fulfilment of novice and experienced department heads. Only the experienced ones, says this author, break a w a y from the immediate concerns of specific departments to concern themselves with broader aspects of university m a n a g e m e n t including the places of their departments within broader univer- sity contexts. In short, according to the criteria developed in the preceding articles, the novice department head is still primarily an academic; only with increasing experience (and terms of office) does he begin to think and act like a university administrator.
If academics are to be successful managers and if managers are to have successful impacts on their environments, they must be specially trained, one w a y or the other, to fulfill their functions. Both György Paris and P . J . M u r p h y (Canada) m a k e the point that newly appointed scholar/managers can be given crash training in aspects of their duties. T h e latter author further describes a kind of acculturation training which can be offered to administrators in order to m a k e t h e m more sensitive to the feelings and needs of the constituencies of their institutions. H e suggests a set of procedures, specifically community intervisitation programmes, as a m e a n s of accomplishing this goal.
Whether top administrators be primarily academics or primarily profes- sional administrators, the feeling of Margaret B . Sutherland, the rapporteur of the recently held Unesco Conference o n the Role of W o m e n in Higher Education (Uppsala, Sweden, 16 — 18 September 1985) is that w o m e n are insuf- ficiently represented in academic administration, particularly at the highest levels. A s a participant remarked, "the greater the power, the fewer the w o m e n " . Obviously, such sexual imbalances should be eliminated.
5
Finally, writing from outside the Europe Region, J. O k p a h o E n a o h w o of Nigeria points out that a task of higher education administration is to create conditions conducive to good student discipline. T h e best w a y for doing so, he feels, is for administrators and teaching staff m e m b e r s to be disciplined and ethical themselves — advice which has universal applicability.
O u r 'Tribune' section has a double theme. T h e first article, b y H u a n g Shiqi of the People's Republic of China is another in our series of descriptions of given higher education systems. T h e second and third articles continue the topic o n students and their problems b y dealing with two special categories of students. E w a l d Berning of the Federal Republic of G e r m a n y surveys the whole question of the education of disabled students in the universities of his country. T h e third article, b y A . V . Sharapo and V . N . Strelchenko of the Byelorussian Soviet Socialist Republic, examines the education of foreign, particularly third world students, at the V . I. Lenin Byelorussian State Univer- sity in Minsk. In particular, the authors discuss the role and functions of a special unit at B S U , the Preparatory Faculty for Foreign Students, in the acculturation of foreign students before they begin theii regular studies.
M a n y of the points raised in the Topic and in the Tribune are continued in the following sections: the one dealing with International Mobility and Recognition of Studies, Diplomas and Degrees and the Information and Biblio- graphical References sections. T h e first of these three sections includes an article on the bibliographical resources pertaining to international mobility.
T h e Editors
6
Higher Education in Europe, Vol. X, No. 3, 1985Management in Higher Education:
The Role of Institutional Administrators
C H A N G I N G PROFILES
Jean JADOT
T h e profiles of European university administrators are changing. S o m e of the changes are inevitable in the sense that every institution has faced or will have to face t h e m sooner or later. Other changes belong to the histories of each separate institution ; however, this fact will not prevent us from saying a few words about t h e m .
It is convictions such as these which I should like to express in the present article. T h e y have been suggested to m e b y m y recent contacts with adminis- trators from all levels and b y m y assiduous study of the evolution of universities in Western Europe.
W e Are All D r e a m i n g of the Ideal Administrator
W e are all dreaming of the ideal rector, of the ideal president, of the ideai administrator, w h o would be imbued to the highest degree with the idea of his university's mission; w h o would be professional to the tips of his fingers;
whose courage and firmness would only be equalled b y his sense of dialogue and b y his negotiating ability ; w h o could equally well anticipate events, dream of, conceive, decide o n measures to be taken, organize and supervise activities ; w h o could discharge his functions openly but w h o could also keep a secret w h e n necessary; for w h o m a choice of co-workers should be as important as his grasp of total pictures; w h o would be on friendly terms simultaneously with ministers, with industrialists, with co-workers, w h o would be the inde- fatigable life and soul of gatherings; a captivating spokesman, a tireless traveller . . .
In spite of such needed qualities, w e already k n o w , on the eve of their elections or appointments, that w e are going to be disillusioned, and that our disillusionment will be directly proportional to our d r e a m s : w e already k n o w the candidates, and w e are aware of the fact that they are only h u m a n ; in other words, imperfect.
J. Jadot
7
Consequently, in this article, w e are not going to define the ideal profile, but try to identify the profile which is the m o s t suitable for each university and its current circumstances.
Responsible Administrators for Responsible Universities
Everybody k n o w s that in Western Europe, except in a few countries, the universities can be regarded as being largely dependent o n the public authorities.
B u t w e think that this situation is changing and will continue progressively to change under the impact of events.
Local authorities cannot avoid realizing that for a university which is not free to adapt its o w n structure whenever it is necessary, or to choose and reward its personnel, or to enter into a contract with a third party, or to re-design its curriculum, or to adequately allocate its financial resources, it is very diffi- cult to provide flexibly for the needs of society in a context of increasing competitiveness.
B u t this is a different question. W e have resolutely assumed that the favourable hypothesis according to which the local authorities will give the universities the m e a n s to act as responsible institutions, will realize itself. This hypothesis has far-reaching significance for the definition of the profiles of university administrators, be they heads of institutions, high level administrators, or m e m b e r s of managerial staffs.
This hypothesis leads to a first, obvious, conclusion: the appointment of administrators will be of increasing importance for the European universities.
It will be essential for t h e m to be able to choose the best such administrators.
H o w they are chosen, w h a t their responsibilities and their salaries will be, h o w long their terms of office will last, are questions which will have to be settled accordingly.
A second consequence of such increasing responsibilities of universities is that their activities, which involve t w o complementary aspects, i.e., the diversification of functions and high degrees of coordination, hace become more and more complex.
Diversification leads to professionalism. T h e profiles of administrators at all levels are becoming increasingly specialized, a quality which, in its turn, engenders specific requirements regarding training.
T h e m a n a g e m e n t of such increasingly complex activities also results in increasing need for coordination at the higher levels of university administra- tion. True institutional maturity is necessary if such complementary aspects of m a n a g e m e n t as the academic and the financial dimensions, the activities of central units and of decentralized ones, the political a n d technical points of view, etc. are to be integrated and to interlock with one another.
8
Changing ProfilesHeads of Institutions: General Hypotheses
F r o m w h a t has been said so far, w e shall draw u p certain general hypo- theses regarding the profiles of tomorrow's heads of institutions for the above- mentioned universities which have acquired a high degree of responsibility.
In so doing, w e shall be aware of the fact that, given the specific country, our hypotheses will seem obvious or audacious if not impossible.
First of all, the heads of tomorrow's institutions will not depend for their appointments solely o n m e m b e r s of the university. External forces, guaran- tors of the university's faithfulness to the needs of society, will stand surety for t h e m . These forces might specifically include the membership of outside representatives in academic councils, higher supervisory bodies of universities, or of regional, political authorities, etc. Conversely, it might not be possible to appoint the heads of institutions without the intervention of forces representing university communities.
Secondly, institutions will have single heads. W h a t I m e a n is that supreme executive power will not, for instance, be divided between a person responsible for academic affairs and another person responsible for financial affairs. Heads of institutions will have to be familiar with these two aspects of the m a n a g e - m e n t of universities a n d to synthesize t h e m . Consequently, they will need to be both an undisputed scientist and a good organizer.
Thirdly, their responsibilities for coordination will require t h e m to be able to grasp complex pictures. It is for t h e m to determine w h a t shares in the m a n a g e m e n t of universities are to be granted to the various (scientific and financial; internal a n d external; political a n d technical, etc.) dimensions enumerated above.
Fourthly, such managers will not discharge their duties alone. Inevitably, they will be the heads of teams of high level officials upon w h o m they can call for help and through w h o m they can tap the full service capacities of their respective universities.
Fifthly, they will have the m e a n s to exercise real responsibilities. In partic- ular, such means imply sufficiently long (four or five years) and renewable terms of office.
The attached table illustrates the various situations observed in Western Europe. It is based o n a n inquiry carried out b y the Conference of European Rectors, the resulting data having been synthesized, at the request of the Conference, b y the Observatory of University M a n a g e m e n t .
Heads of Institutions: Special Hypotheses
The recent event-filled history of European universities shows h o w impor- tant it has been for a good m a n y of t h e m that the terms of office of certain persons have coincided with very unusual circumstances.
J. Jadot
9
Are universities lacking in self-confidence? Are they having difficulties in reasserting their o w n natures and vocations in present-day terms which m a y be understood b y their m e m b e r s ? Let us wish that they m a y appoint as their heads m e n w h o although imbued with the history and the traditions of universities are also capable of giving t h e m that n e w dimension which circumstances require.
H a s the university c o m m u n i t y exhausted itself in inner strife? D o centri- fugal forces of all kinds threaten inner cohesion? Let universities choose as their heads m e n of dialogue and of unity, capable of highlighting the advantages of co-operation and of solidarity.
H a v e university staffs been suffocating, recently, through lack of informa- tion ? H a s power been too centralized, and has co-operation with the consti- tuent departments of universities been too w e a k ? Let there be called to office a m a n capable of reviving the circulation of information and the activities of coordinating bodies.
Are universities haunted b y the spectre of shrinkage and restrictions?
M a y they engage the services of responsible persons w h o are clear-sighted in their choices, persevering in their decisions, exacting but just, w h o can bring imagination to power without ever ceasing to m a k e ultimate ends discernable.
A s circumstances, to a high degree, are changeable, one could multiply such profiles to infinity. T h e question is, that short of out-of-the-ordinary events, it is difficult to induce the groups of people w h o take part in the making of appointments, to perceive those characteristic features u p o n which depend combinations of circumstances. Often, in the nomination of candidates, m o r e stress is laid on ideological options or the membership of candidates in vested interest groups than o n those personality traits which could better serve given universities in their respective special circumstances. Often, indeed, defen- siveness prevails. Thus only rarely, as a rule, do the right persons coincide with the right historical circumstances.
In Favour of High-Level Administrators
Until recently, the m a n a g e m e n t of universities w a s an essentially indi- vidual matter. T h e Rector or the President used to m a n a g e the university relying on the various councils and depending on the deans of faculties for the execution of his order at the decentralized levels. In the Anglo-Saxon countries, however, the fact that committees are used in the m a n a g e m e n t of universities has permitted the exercise of more divided responsibilities.
For the last ten years, the situation has gradually been veering in the direc- tion of North-American practice in which presidents or rectors are assisted b y vice-presidents (or vice-rectors) in charge of one or several specialized depart- ments as, for instance, teaching, research, student affairs, the teaching staff, m a n a g e m e n t , finance . . . This evolution is on the point of profoundly modifying the organization and the m a n a g e m e n t of the universities: the academic as well as the administrative aspects.
10
Changing ProfilesThe most easily perceivable modification is the gradual emergence of a n e w type of executive w h o has to be knowledgeable about a specialized field of university m a n a g e m e n t at its highest level m u c h more profoundly than had been the case earlier for heads of institutions. If some of these ' n e w heads' m a y have been selected because of former specializations (for instance, a pro- fessor of financial m a n a g e m e n t w h o is assigned responsibility for the financial department), others will have to learn the substance of their n e w functions almost from scratch. Besides, most such n e w appointees can hardly be said to be acquainted with the methods (which, in particular in the Anglo-Saxon world, are more codified than one would expect) peculiar to university m a n a g e m e n t .
The universities have high expectations concerning these n e w professionals (or, perhaps, semi-professionals), a great m a n y of w h o m will later become heads of institutions. Special training programmes should be designed for t h e m .
T h e Managerial Personnel
A certain increase in the numbers of administrative and managerial per- sonnel is the natural corollary of the m o v e m e n t in favour of diversification which w e have mentioned.
A great m a n y European universities have experienced it to various degrees and at different times. In some of t h e m , the numbers of such personnel have been increased to excess, and, in other cases, recent restrictions have led to the elimination of such a n u m b e r of them as to lead to inauspicious conse- quences for the cost and efficiency of university m a n a g e m e n t .
A great m a n y other universities, however, especially in certain countries, have not so far experienced such an increase. Thus they still have administrative and managerial personnel which is qualitatively and quantitatively incapable of contributing sufficiently to the n e w responsibilities devolving on the universities.
T o begin with, the qualifications and experience of such m e m b e r s of the personnel have essentially been inherited from civil services in their traditional sense. Here, legal qualifications and administrative training are the prevalent qualifications.
If universities give u p the protection given b y their respective ministries, thus becoming responsible corporate bodies and gradually changing into power- ful public corporations, they will per force face n e w problems: i.e., they will be expected to m a n a g e their o w n personnel and buildings, they will have to keep a close eye on their finances, to negotiate, to assume actions at law, to develop public relations, to m a k e plans for the not too distant future, to work out and to execute complex decisions and to m a k e sure that they are carried out, to m a n a g e data banks, to keep in touch with their respective ministries, and their enterprises . . . All these activities require the emergence of a n e w type of person, for the m a n a g e m e n t of a university is currently not only a matter of administrative and legal activity meant to ensure the application of
J. Jadot 11
laws and regulations, but first and foremost a complex managing activity characterized b y greater technical requirements, as well as b y creativity a n d by psychological interaction.
Obviously, civil service methods also change. B u t the emergence of this n e w type of administrator remains hypothetical for the following three reasons:
first, because quantitatively, the n u m b e r of such positions is still not sufficient to permit necessary diversification. Second, the level of such positions does not assure, for the respective officials, career prospects comparable with their competences. Third, external mobility is insufficient, especially as concerns the private sector.
Nevertheless, if the emergence of such officials is a consequence of the increasing responsibilities of universities, the actual fulfilment of those responsibilities requires the services of such officials.
H O W H E A D S O F INSTITUTIONS A R E A P P O I N T E D * Comments complementary to the table
A U S T R I A : The members of the 'Universitätsversammlung', a large tripartite body (including professors, assistants, students) are elected by a great number of people.
B E L G I U M : The proceedings vary among the various private institutions (see the three examples) ; so far as the state institutions are concerned, three names in order of preference are presented to the Ministry follow- ing the vote of the professors.
D E N M A R K : The Rector is elected by members of the 'Konsistorium' (The Academic Council) and by the faculty councils.
F E D E R A L R E P U B L I C O F G E R M A N Y : The legal framework of higher education (the 1976 act) has established the following three management models:
— the model according to which the university is headed b y a president (38 institutions out of 65 as of 1 June 1983) ;
— the model according to which the university is headed b y a rector (10) ;
— the college model (17).
F R A N C E : the act voted in January 1984 provides for the election of a univer- sity president b y the three university councils: the Administrative Council, the Scientific Council, the University Life a n d Study Council, instead of only b y the Academic Council. H o w e v e r , as a result of objec- tions raised b y the Constitutional Council, there is still s o m e uncertainty
* Sources :
The O C D E / I M H E Inquiry (1979)
The National Conferences: answers to the C R E (The Conference of the Europeaii Rectors), 1983—1984
Records of the Observatory
12
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Changing Profilesabout the implementation of the new proceedings. In both cases, execu- tive power is essentially in the hands of the president of the university.
I C E L A N D : The rector is elected, 2 thirds of the votes being cast by the tenured members of the teaching staff and 1 third by the students.
I R E L A N D : It is reported that, at the National Institute of Higher Education (Limerick), Government participation has been strengthened (the 1980 act) : the members of the Governing Body (which elects the head of the institute) are now nominated by the Government.
I T A L Y : In the state universities, the rector, elected by the professors, is appointed by the Minister. At the Catholic University of Milan, the rector is chosen by the Managing Board in which representatives of the socio-economic milieux are in a majority.
M A L T A : The President of the Republic (who is also the Chancellor of the University) appoints the rector upon the recommendation of the Prime Minister following the advice of the Academic Council.
T H E N E T H E R L A N D S : The new academic act proposed for 1984 provides that all the members of the Executive Committee will be nominated by the Crown; currently, it is this Executive Committee which recom- mends candidates for the presidency (of universities) and which (accord- ing to the new system) will give opinions about candidacies for rectors proposed by the Deans' Councils. In the universities having a private status (but which are subsidized by the state, as are the other univer- sities), final intervention by the Crown has been replaced by that of the so-called corporate body.
N O R W A Y : The rector is elected by all the faculty councils to which are added several people who represent administrative and technical depart- ments which do not belong to the faculties.
P O R T U G A L : A n 'Academic Assembly', including at least 60 votes, recom- mends three names in order of precedence to the Ministry who decides upon one of them.
S W E D E N : The intervention of a voting body (20 members of the teaching staff, 20 students, 20 members of the local trade union) has been optional, since 1983.
S W I T Z E R L A N D : In the three cantons under examination, the rectors are chosen by the governing boards of the universities in question. In Geneva, the choice is made after the rector has been elected by a college with a wide membership. At the Polytechnical School of Zurich, the rector is elected by the professors, while the President is nominated by the Federal Council (the executive council of the Federation).
U N I T E D K I N G D O M : The universities have 'appointments committees' the recommendations of which are sent to both the Council and the
Senate. In those polytechnic institutions, in which final decisions do not devolve upon the local authorities, the latter, along with the socio- economic milieux, form majorities in the managing bodies (Courts of Governors, Governing Bodies) which elect the heads of institutions.
Higher Education in Europe, Vol. X, No. 3, 1985
15
T H E RESPONSIBILITIES O F M A N A G E R S IN E D U C A T I O N
György PARIS
In h a r m o n y with the process b y which science becomes a productive force, institutions of higher education and research institutes have played an increas- ingly important role in recent years in the progress of society and of the e c o n o m y .
Although in the past scientific institutions and institutions of higher educa- tion would often decide u p o n activities and adopt methods of teaching that frequently took little note of the outside environment, such w a y s of proceeding are n o longer feasible today. Currently, n e w d e m a n d s are being m a d e as a result of the social division of labour, of production, and through social services.
Consequently, the socio-economic environment of higher education institutions is changing, and the change is naturally m a k i n g its impact felt o n the activities and roles of the institutions in question.
If higher education institutions and research institutes are to continue to play leading roles in the training of specialists, in educating the intelli- gentsia of given countries and in scientific research, they must not ignore the n e w requirements which are imposing n e w obligations o n the managers of institutions and their teachers. T o d a y , the vast majority of universities d e m a n d m o r e of a lecturer or of a head of faculty or institution than that he simply be a n outstanding specialist ; he must also b e c o m e involved in societal pro- cesses, be active politically, be able to sense the trends of progress (social, technological, a n d economic), a n d thus be able to reach decisions accord- ingly.
T h e n e w requirements impose increasing d e m a n d s o n managers at different levels of institutions. This aspect of the problem becomes particularly complex w h e n one considers that continued refinements in the division of labour will affect intra-institutional activities, the administrative w o r k associated with these activities, a n d the democratic forums of institutions. Institutions all over the world are seeking solutions to these problems. T h e y m u s t first satisfy
16
The Responsibilities of Managersthe d e m a n d s of society. Secondly, they must try to remain competitive in order to preserve their roles.
Another n e w , indeed unique, circumstance is the advent of up-to-date information technologies which are opening u p endless vistas of increased efficiency in intelectual w o r k . T h e y naturally affect the activities of scientific institutes and higher education institutions.
T h e generalization of education, specifically the rapidly increasing numbers of university students and the ever-broadening scope of technical subjects, are imposing heavy burdens on managers, but the requirements of scientific research and technological development cannot be ignored either.
Contemporary educational practice presupposes the immediate entry of the latest achievements of scientific and technological development into the educational process. O n e of the aims of these achievements is to shorten as m u c h as possible the period of time needed for the dissemination of n e w knowl- edge. It follows, therefore, that the universities, institutes/colleges, and scientific institutions establish increasingly close contacts with one another and with employing enterprises (even those engaged in basic research).
Increasing d e m a n d s have tended to give rise to conflicts over the relation which should exist a m o n g institutions and official agencies and, in general, over w h o should control these institutions. In addition to the variety of their other activities, managers must also be able to provoke deliberate conflicts in favour of innovation and then be able to resolve t h e m and to adapt their environments to the resulting n e w requirements.
This multitude of d e m a n d s often confronts the elected or appointed leaders with apparent contradictions. O n one hand, the achievements of science are ultimately to be the decisive factors, leaving no r o o m to subjectivity; o n the other hand, decisions have to be m a d e in matters of m a n a g e m e n t and adminis- tration which conform to economic and technical requirements. Whereas the first task has above all to be based on the c o m m o n determination and convic- tion of the lecturers and researchers of scientific communities, universities, scientific institutions, the necessary resolutions having to be passed in economic and technological matters are based o n the requirements imposed b y the pro- gress of the e c o n o m y and of technology. A s a consequence, the managers of institutions are, o n the one hand, compelled to m a k e 'lonely' decisions and on the other hand, to organize broad consultations and discussions in order to arrive at o p t i m u m consensus in view of given circumstances.
Since institutions exist as the result of processes of development, they naturally carry the past in themselves and develop a m o m e n t u m which directs t h e m into the future in specific directions. Managers must simultaneously display exceptional tact and comprehension, along with professional, economic, and technological knowledge in order to successfully cope with diverse requirements.
A manager's activities are, of course, largely affected b y the socio-economic conditions, the legal system, the regulations, and the historical traditions of the particular country in which he exercises his functions. Society's expecta-
G. Paris 17
tions, the interests of the academic or scientific c o m m u n i t y proper, and other diverse requirements cannot prevail unless the authorized managers exhibit adequate tact, a sense of diplomacy, and judicious ability in deciding in the course of their w o r k which final decisions should be left to the c o m m u n i t y of scholars and scientists and which, although requiring the opinions of those concerned, ultimately necessitate personal decisions.
In Hungary, considerable progress has been m a d e in the past decades in permitting the academic and scientific communities to have an increasing role in solving their o w n problems and in shaping their futures. This process is, of course, accompanied b y the grant of an enhanced responsibility for the making of decisions. Both the economic and the social spheres have been grad- ually democratized. Elected leaders enjoy the confidence of their electors as they increasingly take into account the steady updating of legal and economic controls. Thus such leaders have gained greater independence and responsibility in the fulfilment of theif complex tasks.
T h e democratic election of managers, of course, assumes that w a y s exist b y which the managers can return smoothly' to their former activities after their mandates have expired or that they will be given opportunities for useful activities in other fields. In fact, the greatest problem arises w h e n the need appears to dismiss a manager because his ability to m a n a g e has not been u p to par. In such a situation, his authority in the c o m m u n i t y of researchers from which he has c o m e is impaired, therefore making a smooth return to his former status difficult. T o d a y , no established methods exist for bringing about such transitions, but the assumption is that such managers could w o r k more efficiently in other fields better suited to their capabilities.
A problem often arises w h e n an outstanding specialist is attributed m a n a - gerial qualities which m a y not in fact exist. This type of problem arises w h e n only one personality trait of given candidates is examined before a decision to offer a managerial position is m a d e , the actual managerial requirements for the position not being considered.
Perhaps what w e are trying to say can be explained with reference to an example taken from some other field. Each of the m e m b e r s of a large orchestra, including the conductor and the soloists, have well-defined functions. B u t an outstanding conductor is not automatically an outstanding soloist, nor vice versa. T h e same principle applies to a composer.
In m y opinion, just as certain selection criteria apply in questions of the division of labour, a set of criteria has to be applied to different functions (in the above example, to the functions of composer, conductor, a n d soloist).
It will not suffice, however, to m a k e such a decision on the basis of professional or personal capabilities: the task to be accomplished has to be measured against the specific qualifications of given candidates.
T h e lack of progress in these matters is a consequence of past conditioned reflexes, according to which an outstanding specialist w a s assumed to be able to satisfy all other requirements. T o obtain better results in the future, it wil[
be necessary to better define the requirements to be m e t b y individual managers
1 8 The Responsibilities of Managers
including h u m a n qualities, professional requirements for specific management tasks, knowledge of the economy and of society, communication skills, and m a n y others.
Since all these characteristics can be assessed by means of rigorous analy- sis, a particular responsibility is assumed by those whose task and duty it is to propose the employment of managers or to m a k e decisions in such impor- tant matters.
A lack of some knowledge can be compensated. Thus managers possessing the requisite qualifications can derive managerial skills and other benefits from managers' training courses. Special attention, therefore, must be devoted to such opportunities. Particular care should be taken in studying as well as contrasting the required knowledge level and qualifications of a university leader as differentiated from, say, the knowledge level and qualifications re- quired for the management of a company.
I a m convinced that improving the h u m a n element is the most fundamental contribution that can be made to increase the efficiency of institutions of higher education. A good manager can unleash the hitherto unused skills of work groups, thus creating conditions for performing tasks at raised standards.
O n the other hand, an improperly selected manager can cause serious problems in the activities of an organization. His managerial inadequacies can set back an institution, or part of one, m a n y years.
The issues raised above have been faced only party. I suggest that a great deal of time will pass before the managers of institutions are selected in confor- mity with the above mentioned requirements.
Higher Education in Europe, Vol. X, No. 3, 1985 19
INSTITUTIONAL A D M I N I S T R A T O R S
Burkhart MÜLLER
1. T h e term 'institutional administrator' is used in this paper to refer to executives w h o are responsible for the organization of the purposeful overall functioning of institutions of higher education. Their responsibilities place t h e m at the top levels of institutional hierarchies (he's the one w h o pulls the strings — says Galilei about the Kurator in Brecht's play) 1. A m o r e specific description of top-ranking institutional administrators can be derived from a d o c u m e n t issued b y the Commission of the European Communities 2, the following features of which are as follows:
— institutional administrators play active roles in the establishment of overall policies of institutions of higher education as well as in the formulation of their strategies in relation to other organizations such as ministries, parlia- mentary commissions, and organizations for the promotion of research;
— their responsibilities lie with the implementation of strategies, in par- ticular with the adoption of measures and possible guidelines and in general with the implementation and assessment of w o r k ;
— the above responsibilities are discharged in matters relating to a d m i n - istration ;
— administrators should be able to cope with large varieties of issues and to adopt the approaches of general practitioners rather than those of spe- cialists in particular fields.
These requirements are generally fulfilled b y general secretaries of higher education institutions, b y university directors, b y the 'gerentes' of the Spanish universities 3, b y registrars, a n d b y chancellors.
In view of the features described above, 'institutional directors' are in- cluded o n the executive boards of institutions of higher education. T h e y w o r k alongside rectors and vice-rectors or with presidents or vice-presidents. Unlike
20
Institutional Administratorstheir academic counterparts in self-managed bodies w h o serve as elected m a n a - gers, institutional administrators are usually appointed to their offices, a n d accordingly, they are also in charge of the adminstrative services of universities.
2 . A n analysis of the status, tasks, a n d roles of institutional administrators should begin with a brief presentation of the general administrative system of institutions of higher education a n d of the difficulties ensuing from t h e m . (The following considerations apply only to the administrative systems of institutions of higher education which are mainly financed b y governments.
This type of university is w h a t is m o s t c o m m o n in Europe).
In W e s t G e r m a n y , the Court of the Federal Constitution passed the so- called 'University-Verdict' regulating the relationship between science a n d administration 4. In accordance with this j u d g m e n t , the responsibility of govern- m e n t is to provide the universities with the necessary buildings a n d equip- m e n t as well as to furnish to their personnel the financial a n d organizational m e a n s necessary "to ensure a n d promote the free development of science and its transmission to subsequent generations".
This principle underlies the following major tasks incumbent u p o n the administrations of higher education institutions:
— to provide the best possible conditions, in compliance with the l a w , for the scientific w o r k which underlies teaching a n d research a n d to ensure their maintenance;
— in view of the legal constraints o n budgets requiring a n efficient employ- m e n t of funds, administrations should ensure the m o s t cost-effective ratios of investments a n d achievements.
Using a previously model-based 6 analysis of university administration, w e can identify four major departments/systems in terms of their links with the scientific process:
— administrative services which are closely involved in the organization of teaching a n d research activities (e.g. the distribution of courses a m o n g teaching staff m e m b e r s ) ;
— co-operative administration relating to co-operation between self- m a n a g e m e n t a n d general m a n a g e m e n t . This prevails within the administrative systems of university bodies — e.g. in the allocation of funds for research a n d instruction ;
— 'general' administration which provides the legal a n d external prere- quisites for the operation of institutions, for example, the e m p l o y m e n t of personnel, the supply of electricity;
— administrative departments responsible for co-operation with the administrations of other organizations or bodies such as ministeries.
Consequently, administrations should be viewed as complex systems underlying which are the interactions between self-management a n d general m a n a g e m e n t . Nevertheless, the tasks a n d activities of both types of adminis- tration are essentially different from the basic activities performed in institu- tions of higher education, n a m e l y teaching a n d research. 6
B . Müller
21 3. A s a rule, the 'institutional administrator' belongs to the governing body of a given institution of higher education (e.g. the rectorate). His tasks are related primarily to legal matters, organization, and the budget. H e is active within the system of general administration, yet he is often involved in the self-management problems of decentralized structures — faculties and depart- ments. In his capacity as an 'institutional administrator', he m u s t ensure a competent approach to issues related to legal matters and to organization and budget in his university. H e dischanges a variety of functions. H e is a specialist in legal, organizational, and budgetary matters, a counselor and senior execu- tive, the manager of the general administration and of the self-management system, and the mediator and representative of his institution in its legal and administrative transactions with other institutions.
The status and functions of the institutional administrator as described above largely determine the m a k e - u p of his official peisonality and of his role viewed as a pattern of behaviour and actions (the things he does
7). His func- tions presuppose features such as the following: objectivity, thorough knowledge of the situations with which he is faced, independent thinking in the sense of not being politically or ideologically biased in his opinions, and impar- tiality
8.
4. Existing experience demonstrates that the role of the institutional admin- istrator is largely determined b y system-inherent problems.
Administrative relations in higher education establishments are very complex. It has been claimed that "the administration of a scientific higher education institution is one of the trickiest domains of public administration in general"
9.
T h e tension between scientific activity and administrative organization is marked b y the opposite tendencies to highly autonomous scientific self- m a n a g e m e n t on one hand and to closely integrated organization on the other.
T h u s confrontations are apt to arise between the t w o types of activity. T h e absence of regulated patterns of bahaviour in the areas of overlap between scientific and administrative activities entails setting u p increasing numbers of regulatory mechanisms. Calculability, controllability, and standardization as administrative requirements therefore often act as restrictions on, or even partly interfere, with scientific activities
l0.
Recent research
11has led to the conclusion that, in addition to being described in terms of their traditional structures, higher education institutions should also be described as 'organized anarchies'
12characterized b y the set- ting of unclear or contradictory goals, irregular participation in decision- making processes, and considerable a u t o n o m y of sub-units. T h e resulting u n - certainties compel the institutional administrator to act to some extent in a perpetually ad hoc manner.
5. T h e tension between science and administrative activities and the prob-
lems arising in academic units can reach the top levels of higher education
m a n a g e m e n t . T o avoid possible problems, institutional administrators should
consider the following points of advice
13:
22
Institutional AdministratorsThey should seek and establish relations with the scientific leaders of the university ; they should learn from co-operation ; they should stiive for a contin- uous free exchange of information ; and they should pass on information prompt- ly and in a concise form. They should always have knowledge of important events and other information ready for use ; attempt to bring order into pro- ceedings by asking pertinent questions, describe problems, and stimulate goal- setting. They should organize repeated talks on goals, reach decisions through joint analyses of problems, and when in doubt, leave decisions open for the aca- demic leaders.
6. Given the tension between administrative and scientific work, it is in general expected of the institutional administrator that he strive to create a climate favourable to scientific activity M. To achieve this goal, he should con- sider the following open list of strategies:
— to keep decision-making open to many-sided co-operation with a view to reaching generally accepted and respected decisions ;
— to develop understanding between scientists and administrators and to settle possible conflicts with a view to minimizing control;
— to constantly advise scientists on administrative problems ;
— to reach understanding of and to have confidence in scientific develop- ment through personal contacts and information in order to be able, if neces- sary, to lay aside short-sided administrative cost consciousness in the domain of scientific research;
— to apply coercive administrative measures in the field of scientific work only when it is necessray to prevent damage from being done to objects and equipment in the higher education institutions or injury to persons.
7. The academic leader of a university once said to a colleague: " Y o u r university administrator must be so universal that he will not miss anything."
Should one in present conditions be curious as to what the desired professional competences of an institutional administrator should be, one should immediately consult the ample research, as well as the numerous reports and recommenda- tions that have been made for the application of management techniques to the field of higher education (as for instance "Management by Objectives"
in the version proposed in "Educational Management by Objectives"15, achievement indices, or project organization, etc.).
A n analysis 1 6 of higher education management systems in European countries has shown that formal management techniques are only employed to a small degree (in higher education management) and without regard to their full implications. This reticence m a y be due to the fact that existing management techniques as such must undergo adjustments if they are to be appJied to higher education. Yet it is clear that the use of adequately adapted management techniques is a must. Institutional administrators should therefore keep in touch with the state of the art of management techniques 1 7.
Unexpected, mindboggling requirements and looming uncertainty — by these terms of reference will the next 20 years in the area of higher education
B. Müller 23
be characterized. That is what the editor of the science supplement of The Times declared at a conference on trends in higher education.
H o w higher education management will meet this challenge can be ascer- tained b y an examination of "Akademische Vision 2001" of the E T H Zurich 1 8. The study makes use of methods of trend evaluation including simu- lation as well as so-called scenarios which lead to goal perspectives. The latter facilitates decision-making as it relates to certain measures to be taken and implemented in practice.
Institutional administrators, in short, are confronted with challenges and with chances to identify problems and to successfully solve them.
REFERENCES
1. B R E C H T , Bertolt. Galileo Galilei, Act I, Scene 3.
2. Commission of European Communities. Report and Recommendations, Seminar of Higher Management Specialists in Higher Education Institutions. "Training and Promotion of Management Specialists in Higher Education Institutions in the European C o m m u - nity". XII/311/78 — D E , 5.12, 1977, p. 12.
3. B A L G A N O N M O R E N O , Manuel. Mehr als Gehilfen der Rektoren (More than Assistants to Rectors). In: Deutsche Universitàtszeitung, 9, 1983, p . 20.
4. Bundesverfassungsgerichtsentscheidung (Decision of the Federal Constitutional Law). In:
Amtliche Sammlung, Vol. 35, p. 79 ff. (p. 115 f).
5. S C H U S T E R , Hermann-Josef ; S T E N B O C K - F E R M O R , Friedrich. Überlegungen zur Eige- nart der Hochschulverwaltungen (Remarks on the Characteristics of Higher Education
Administrators). In : Wissenschaftsrecht, Wissenschaftsverwaltung, Wissenschaftsförderung, Vol. 1, 1968, p. 28—46.
6. R E I N E R M A N N , Heinrich; L A N D E R S , Thomas J. Management und Verwaltung — Theorie und Praxis (Management and Administration — Theory and Practice), 1st edition, Nomos Publishers, Baden-Baden, 1981, 219 p. In: K R O P P E N S T E D T , Franz; L E P P E R , Manfred, eds., Verwaltungsorganisation, Dienstrecht und Personal- wirtschaft, vol. 14, 1981.
7. G Ö S S L , Alfred. Praktische Psychologie und Soziologie in der Verwaltung (Practical Psychology and Sociology of Administration), Walhalla and Praetoria Publishing House, Regensburg, 225 p. In: M A T T E R N , Karl Heinz; R E I N F R I E D , Hubert, eds. Reihe Das Verwaltungsstudium in Grundrissen, Vol. 7, 1981.
8. B Ö N I N G , Eberhard. Elite, Öffentliche Verwaltung und Wissenschaft (Elite, Public Admi- nistration and Science). In: Liberal, N o . 2, 1985, p. 7—18.
9. R U P P , Hans Heinrich. "Gruppenuniversität" und Hochschulselbstverwaltung ("Group University" and Higher Education Self-management). In: Wissenschaftsrecht, Wissen- schaftsverwaltung, Wissenschaftsförderung, Vol. 7, 1974, p. 89—106.
10. General Federal L a w of Higher Education — Commission of Experts ( H R G Commission of Experts). Report of the Commission of Experts regarding the Examination of Effects of the Federal L a w of Higher Education, 1984, 131 p., published by the Federal Minister for Education and Science in Grundlagen Perspektiven, Bildung, Wissenschaft, Vol. 1, 1984.
11. E N D E R U D , Harald. Administrative Leadership in Organized Anarchies. In: International Journal of Institutional Management in Higher Education, O E C D , Paris, Vol. 4, N o . 3, 1980, p. 235—253. B E C H E R , Antony, Issues for Internal Management, Discussion Paper N o . 1, 15 p., Seventh General Conference, Programme on Institutional Manage- ment in Higher Education, C E R I , O E C D .
12. E N D E R U D , Harald. Ibid. (Note 11).
13. G Ö S S L , Alfred. Ibid. (Note 7.), p. 49.
14. H R G Commission of Experts, Ibid. (Note 10).
24 Institutional Administrators 15. L A N D E R S , Thomas J. Ibid. (Note 6), p. 173—193.
16. B E N D E R , Ignaz; H E N N I N G , Wolfgang. Universitätsmanagement (University Manage- ment). Report on Current State, Results of an O E C D Study of European Universities, University of Trier, 1980, 236 p.
17. S C H U S T E R , Hermann-Josef. Training Activities for University Administrators in Europe.
In: P O R T E R , D . ; P A D L E Y , J. S., eds. Training University Administrators in Europe. A n O E C D / I M H E Report, Gower Publishing Co., Aldershot, Hampshire, 1982, p. 106—114.
18. Eidgenössische Technische Hochschule Zürich. Akademische Vision 2001, der ETHZ (Academic Vision 2001 of the E T H Z ) , 3rd edition, 1985. 102 p.
Higher Education in Europe, Vol. X, No. 3, 1985 25
T H E N E W F A C E O F ' U M V E R S I T A S '
E. R. de ARANTES e OLIVEIRA
The author of the present article is the rector of a very special university.
Its faculties were comparable to the French Grandes Ecoles when, in 1930, the Government decided to join them together to form a university, not an easy task, even for a very strong Government. The schools did not want to lose their autonomy and were indeed afraid of losing it for nothing. Political pragmatism suggested a decentralized solution which was out of keeping with the spirit of the times and represented a major innovation in the frame of Portuguese public administration.
The Technical University of Lisbon was thus created by law. Transform- ing it into a true university was, however, a challenge to all its rectors. There was indeed no room for global university projects. As is still the case in the Grandes Ecoles, the internal activity of most of the teaching staff was almost completely confined to teaching, and no courses were then needed which involved more than one school. It is fair to stress that teaching standards were quite high, since m a n y professors exercised their professional activities at very high levels and conducted research outside their o w n schools.
It now seems quite clear that the Portuguese State was not very interested in developing scientific activities within the walls of institutions, like univer- sities, in which the presence of large masses of students and a national tradi- tion of academic freedom made them difficult to control. Means which were denied to the teaching staffs inside the schools were indeed provided outside.
M a n y professors at the Technical University were invited to develop their o w n research centers in already existing scientific institutions, and some were even given the means for creating new institutions.
It is not surprising that, within such a context, universities had no need for complex structures. As schools were not subdivided into departments, a dean and a board made up of all full professors ('catedráticos') were enough for their governance.
26
The New Face of 'Universilas'At the university level, the rector and two vice-rectors were supple- mented by a University Council in which each school was represented by three members: its dean, a representative of the full professors, and a representa- tive of the assistants. Rector and deans were not elected, but appointed by the Minister.
Three more universities existed in Portugal: the so-called classical univer- sities of Coimbra, Lisbon, and Porto. Older (Coimbra, of course, was by far the oldest) than the Technical University, they were highly centralized. Their administrative staffs were mainly concentrated in their rectorates and not, as in the case of the Technical University, assigned to faculties.
In order to complete the description of the system, it is vital to mention that it was centrally managed by a Ministry of Education which decided on almost every possible matter, even on the choice of professors. Although pro- posed by the schools, these were indeed appointed by the Minister.
Sustained by a powerful Department of Higher Education (D.E.E.Sup.), the Minister interfered with the everyday life of the universities. N o sphere of autonomy was defined. Planning and coordination were functions of the State which explains w h y all the high-level administrators, except the Secretary- General of each university, were placed at the D . E . G . S u p . and not at the universities. Such a system was the natural product of an authoritarian regime which carefully controlled the development of the country.
To study the evolution of such a system alongside the process of demo- cratization of the Portuguese State would be of particular interest. It would be wrong, however, to believe that some of the transformations which had to occur in Portuguese universities were not needed in other European countries, especially in those in which a long tradition of centralization had taken from their universities m u c h of their capacities for initiative.
In a paper written some yeais ago for a C R E meeting in Porto, the author had the opportunity of describing the great troubles that, in the first half of the 1970's, took place in Portuguese universities. Similar troubles occurred in other European countries, but in Portugal they were amplified by a poli- tical revolution.
Although new universities were created, the four oldest ones almost colapsed. A far-sighted policy of turning to foreign universities to train-large numbers of new professors had, however, already been implemented by the end of the 1960's. B y viitue of this policy, the Portuguese university system could both expand and accomodate to the explosive growth of the student population, and to the new needs of the country, needs which were felt both in Portugal and in the rest of Europe. The three basic ones were participation, decentralization, and autonomy, but participation came first. It is interesting to remark, however, that the strains to which universities at that time were submitted were essentially of a political nature.
The law of 1976, which made possible the stabilization of Portuguese universities, m a y be taken as an example among m a n y others. It aimed at establishing a model for the management of faculties. Nothing was changed
E . R . de Arantes e Oliveira 27
at .the level of the rectorates, and rectors continued to be freely appointed by ministers.
Such a model is based on the distinction between administrative and scientific management. In what concerns administrative management, each faculty m a y be compared to a small State, with its Parliament (the Assembly of Representatives) and its Government (the Directing Board). The Assembly of Representatives is composed of 30 members of the teaching or scientific staff, 30 students, and 15 members of the administrative staff, elected yearly by secret ballot by all the members of their o w n bodies. The Directing Board is composed of 4 members of the teaching staff, 4 students, and 2 members of the administrative staff elected by the Assenjbly. It is thus an emanation of the majorities of each of the three bodies represented in the Assembly. In other words, minorities are represented in the Assembly but not in the Directing Board. According to the law, the President of the Directing Board represents the School.
The scientific management of the faculty is entrusted to the Scientific Board, an appointed body composed of all the members of the teaching and/or scientific staff having doctors' degrees. This board elects its President w h o is indeed the second most important person in the school. A third Board which is far from being as important as the first two is the Pedagogic Board composed in equal proportions of professors, assistants, and students, all elected directly by their bodies.
The largest and most complex schools are subdivided into departments, and the departments, into sections. The creation of departments represents a decentralization of faculties. Departments m a y not have fewer than five professors and must correspond to given scientific areas. Each department is governed by a Board composed of members of its teaching and/or scientific staff. Such Boards are assisted by Executive Committees consisting of the President of the Board and two more members appointed by it.
Before departments were instituted, the structures of schools were based on the chairs and on the undergraduate ('licenciatura') courses, which repre- sented their main scientific activities. These courses and their curricula changed so slowly that such structures could be looked upon as being almost permanent.
The need for frequent adaptations of undergraduate curricula, the launching of postgraduate courses, and the development of scientific research projects made it vital to be able to distinguish between permanent scientific units and projects. Endowing the faculties with an internal structure was thus a vital step towards making them able to respond to the demands of society.
Regarding the old Portuguese universities, not m u c h seemed to have changed at the university level until the second half of the decade.
Autonomy then became, however, a major institutional demand and an important point in all governmental programmes. The creation of the Council of Rectors, i.e., of the Portuguese Rectors Conference, in 1979, gave tremendous strength to universities in their dialogue with the State. The greatest legal innovation was introduced in the Portuguese Constitution itself, which, since
