Shared Governance in Higher Education: A Collaborative Approach to Institutional Leadership

For many decades certain core principles have guided the conduct of teaching, research, and scholarship at American universities, as well as the ways in which these institutions are governed. Shared governance is a foundational tenet of higher education. Steering through the intricate landscape of higher education governance is no small feat. It requires more than just experience; it calls for a deep understanding of shared governance. This vital framework brings together faculty, staff, administrators, boards and sometimes students, to collaborate on policies and decisions.

Defining Shared Governance

"Shared governance" in higher education refers to structures and processes through which faculty, professional staff, administration, governing boards and, sometimes, students and staff participate in the development of policies and in decision-making that affect the institution. It is a collaborative decision-making process that involves sharing authority, responsibility, and accountability among various stakeholders. This approach recognizes the unique knowledge, expertise, and perspectives of faculty, staff, administrators, and students, and aims to ensure that all stakeholders have a voice in decision-making processes.

According to the Association of Governing Board (AGB), the principle “acknowledges the final institutional authority of governing boards and distributed authority to the administration and faculty.” The American Association of University Professors (AAUP) first stated guidelines for shared governance in higher education in 1920 and has updated those principles and guidelines on an ongoing basis. They generally frame the conversation on shared governance at most American institutions, though the application of shared governance across colleges is as different as the institutions themselves.

The Importance of Documenting Academic Principles

AAU believes that it is important to record several of these core principles that have been central to the research university enterprise, partly because they are specific to universities and, understandably, not well understood by the general public. This document is not meant as an exhaustive list of academic principles, nor as a detailed analysis of them, but rather as a useful set of definitions and as an introduction to the role these principles play in shaping the university.

Key Areas of Academic Governance

This is an overview of the foundational academic principles that guide the operations and governance of American universities, emphasizing the importance of documenting these principles for public understanding. It details three key areas: institutional autonomy, academic freedom, teaching, and service without undue interference.

Institutional Autonomy

Institutional autonomy, as defined by the Supreme Court in Sweezy v. New Hampshire (1957), is “the right of the university to determine for itself, on academic grounds, who may teach, what may be taught, how it shall be taught, and who may be admitted to study.” These essential rights rest on the separation of the university in academic matters and in governance from outside groups, particularly federal or state governments but also industry and other external interest groups. The Supreme Court has further found that “universities occupy a special niche in our constitutional tradition” and that in deference to institutional autonomy, “good faith on the part of a university” should be “presumed absent a showing to the contrary” (Grutter v. Bollinger, 2003).

The autonomy of American universities and colleges has allowed a wide diversity of institutional types to develop. Institutional autonomy allows for the exercise of academic freedom by maintaining the integrity of the learning environment.

Academic Freedom

Academic freedom is the freedom of university faculty to produce and disseminate knowledge through research, teaching, and service, without undue constraint. With this freedom comes academic responsibility: faculty members have a duty to provide their students with the freedom to learn, that is, the freedom to acquire accurate knowledge and to form independent judgments based on that knowledge. As professionals, faculty members are further accountable to their peers and to society at large for the quality and rigor of their scholarly inquiry.

The Supreme Court has found that “academic freedom thrives… on autonomous decision making by the academy itself,” and that the courts have a “responsibility to safeguard th[is] academic freedom” (Regents of Univ. of Mich. v. Ewing, 1985). Like freedom of speech or of the press, academic freedom is “of transcendent value to all of us and not merely to the teachers concerned” (Keyishian v. Board of Regents of Univ. of State of New York, 1967). That transcendent value lies in the universities’ pursuit of the common good. Through the production of knowledge, the education of students, and service to society, universities play a vital role in the functioning of our democracy.

While many understand the principle of academic freedom in relation to intellectual pursuits, pedagogical decisions and the advancement of knowledge and learning, academic freedom also provides for the faculty right to participate in shared governance and to inform and critique institutional policies. In fact, SUNY Board of Trustees policy for all SUNY institutions establishes the right to academic freedom and the SUNY Board of Trustees regulations for community colleges specifically establishes that faculty has a right and a responsibility to speak on policies related to the institution.

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Shared Governance Model

The traditional concept of shared governance encompasses the joint efforts of the governing board, administration, and tenured faculty to govern a university internally. The composition of governing bodies varies among institutions; for example, some but not all governing boards include seats for student trustees. However, the division of responsibilities among the board, the administration, and the faculty remains broadly similar across institutions.

Led by the president, the administration oversees the operation of the university, making the day-to-day decisions and implementing institutional policies. such as setting the curriculum, while fiduciary responsibility and legal authority rest with the board. This shared governance model can also be affected by the relationships between the board and entities outside the university that retain some discretionary power over the institution’s governance.

While the ultimate legal authority of the university rests with the governing board, the success of shared governance lies in communication and cooperation among the different groups involved. The components of the institution are interdependent. By including multiple constituencies in decision-making processes, the university can ensure that different voices are heard and integrated into a cohesive vision.

Stakeholders in Shared Governance

A shared governance model in higher education involves the participation of various stakeholders, including faculty, staff, students, and administrators, in the decision-making process.

The Board

The board is legally the ultimate fiduciary body for the organization and also, according to the New England Commission of Higher Education (NECHE) standard for accreditation 3.3 “the legally constituted body ultimately responsible for the institution’s quality and integrity.” Moreover, the board has a special responsibility for ensuring that the history and mission of the College serve as institutional anchors and sources of inspiration. However, the board does not perform any of these functions directly. According to the AAUP, “while maintaining general overview, the board entrusts the conduct of administration to the administrative officers -the president and deans- and the conduct of teaching and research to the faculty.4” In practice, at Elms College, the board delegates the administration of the College to the president who is assisted by the president’s cabinet and ensures that the faculty, through the principles of faculty governance, have determination over matters related to teaching and research.

Boards of trustees are a critical part of governance for colleges and universities. In institutions of higher education, the Board of Trustees is ultimately responsible for all outcomes and fiduciary oversight.

The President and the Administration

The AAUP Statement on Government of Colleges and Universities includes sections for three key stakeholders: the governing board, the president, and the faculty. This recognizes that the role of leading the administration is generally delegated by the Board to the president. This is also the case at Elms College, per the bylaws of the institution. The president is responsible to the Board for planning; setting and achieving institutional goals; overseeing the setting and applications of standards, policies, and procedures; marshaling and stewarding human, financial, and capital resources; and representing the institution to various constituencies. The president is assisted in these functions by the administration, starting with the Cabinet and extending to various levels of the organization. The current practice at Elms College is that major administrative policies are set and key decisions are made generally in Cabinet meetings. All employees of the College report to a Cabinet member who represents their unit’s views in Cabinet decision-making. Academic policies are proposed by the administration or faculty, then approved by the faculty, and then submitted to the Cabinet, the President, and the Board for final approval.

The President/Chancellor is responsible for the day-to-day management and administration of the institution. They may delegate authority to senior administrators, such as vice presidents or deans, to oversee specific areas such as academic affairs, finance and budget, student affairs, and human resources.

The Faculty

According to Board Effect “faculty shared governance in colleges and universities was originally intended to vest in the faculty oversight and responsibility for all academic matters, making clear that administrations, government, or even the Church could not unreasonably interfere with or otherwise influence academic matters such as curricula, degree programs, instructional policies, academic calendar, and the conferring of degrees. This evolved, quite sensibly, to further affirm that the faculty had a primary (though not necessarily final) decision-making role in faculty appointment, reappointment, promotion, and (where applicable) tenure.”5 In American Higher Education in the Twenty-First Century, Phil Altbach et al. reinforced this historical view of the role of faculty in the shared governance model, with “primary responsibility for curriculum, subject matter and methods of instruction, research, faculty status, and those aspects of student life which relate to the educational process.6” (p.344). At Elms College, the faculty’s primary responsibility for these aspects of academic life is well delineated in the Faculty Handbook, which is written by the faculty and ultimately approved by the Board. Moreover, the handbook outlines how faculty members participate in the direction of other administrative matters such as budget, salary and benefits, etc. Faculty representatives on the Board of Trustees provide the faculty visibility into the deliberation and decisions of the board.

However, when it comes to decisions about academic issues, the responsibility for decision-making is shared with faculty.

The Staff

Though the staff is represented in decision-making by the Cabinet member who leads their unit, and despite the fact that staff are not included in the AAUP’s definition of shared governance, Elms College recognizes that it is helpful for administrative and support staff beyond the Cabinet to feel that they have input in decision-making. The Elms Leadership Council is an opportunity for Director-level staff to provide input to the administration in policies, processes, and other decisions that are being considered. Moreover, the newly revitalized Staff Council aims to provide staff representatives from throughout the organization an opportunity and a forum to voice staff’s views, suggestions, and concerns to the administration.

The staff council may be delegated authority over matters related to staff policies, benefits, working conditions, and professional development. They may have responsibilities in advocating for staff interests and providing input on policies and practices that impact staff members.

The Students

The AAUP does not provide guidelines for involving students in shared governance but indicates that “[w]hen students in American colleges and universities desire to participate responsibly in the government of the institution they attend, their wish should be recognized… both for education experience and for involvement in the affairs of their college or university7.” Students at Elms College participate in the affairs of the college through various means. Student committees, such as the Student Government Association (SGA) and the Student Athlete Advisory Committee (SAAC) provide student structured ways to interact with the organization and express students’ views. Student representatives on the Board of Trustees provide students visibility into board’s deliberations and decisions.

Students have the greatest perspective of the issues that impact them

Benefits of Shared Governance

Upholding shared governance within the institution can result in remarkable benefits.

Greater Faculty and Staff Engagement

As shared governance allows faculty and staff to be actively involved in institutional decisions, it also fosters a culture of collaboration and engagement. This leads to a greater sense of ownership and investment in the institution, which in turn, enhances job satisfaction and motivation. When faculty and staff feel valued and have a voice in shaping policies, they are more likely to be committed to the institution’s goals and contribute expertise toward its success.

Enhanced Academic Quality

Shared governance ensures that decisions related to curriculum development, program review, and academic standards are made collectively by faculty and academic administrators. This promotes academic excellence and rigor, as decisions are based on a broad range of perspectives and expertise. As front-liners in teaching and research, the faculty can give valuable insights into best practices and emerging trends in their respective disciplines. This can lead to a higher quality of education for students.

Improved Decision-Making

Shared governance brings together diverse stakeholders, including faculty, staff, students, and administrators, in the decision-making process. This prevents a top-down approach to decision-making and encourages multiple perspectives. Shared governance allows for debates and deliberations that lead to well-informed decisions, which are accepted and implemented by the entire institution.

Increased Innovation and Creativity

Another benefit of shared governance is that it encourages an open exchange of ideas and promotes a culture of innovation and creativity. When faculty, staff, and students have the freedom to express their opinions, it fosters an environment where new initiatives and approaches can be explored. This can lead to the development of innovative programs, research collaborations, and creative solutions to challenges faced by the institution.

Enhanced Trust and Collegiality

Shared governance promotes trust and collegiality, recognizing and valuing the expertise and contributions of all groups. Faculty, staff, and students feel respected and included in decision-making, building trust, and fostering a positive working environment. This approach encourages meaningful relationships, leading to greater understanding, cooperation, and shared commitment to the institution’s mission and vision.

Factors Contributing to Successful Implementation

Listed here are key factors that contribute to the successful implementation of a shared governance model in colleges and universities:

Inclusivity: This involves the active participation of relevant stakeholders in decision-making. It ensures that everyone is empowered to contribute their opinions and ideas. Inclusivity fosters diversity of thought, cultivates a culture of respect, and ensures that decisions align with the institution’s collective needs and interests.
Transparency: This fosters openness and accountability that encourages stakeholders to be responsible for their actions and decisions. It involves access to pertinent information and sharing of decision-making processes and outcomes. Transparency helps cultivate trust among stakeholders and promotes a clear understanding of how institutional decisions are made.
Collaboration: This encourages stakeholders to work together towards common goals. Collaboration involves engaging in meaningful discussions, valuing diverse perspectives, and fostering teamwork. It promotes collective ownership of decisions, constructive engagement, and a culture of cooperation, resulting in effective governance practices.
Responsiveness: This involves timely and effective responses to the needs and concerns of stakeholders. Responsiveness also emphasizes active listening to feedback, addressing issues, and taking proactive and constructive actions.
Consensus-Oriented: This involves considering diverse viewpoints and achieving compromise through robust discussions and impartial mediation. Public hearings, forums, and citizens’ right to petition leaders help achieve consensus. Good governance prioritizes agreement from diverse perspectives for the benefit of the entire community.
Equity: This allows all stakeholders to have equal opportunities to participate, contribute, and benefit from decision-making processes, regardless of their background or position. It promotes inclusivity, diversity, and a culture of respect, where all voices are valued and considered. Equity in governance prevents bias or discrimination, fostering a fair and inclusive environment.

Best Practices for Implementation

Below are the best practices for the implementation of shared governance that every institution should know.

Clearly define the functions of stakeholders: Establishing clear roles and responsibilities for each stakeholder is crucial to ensure that everyone understands their roles in the shared governance process. This helps to avoid confusion, conflicts, and duplication of efforts and enables effective collaboration.
Foster a culture of inclusivity and respect: Shared governance requires a culture of inclusivity and respect, where all stakeholders feel valued, heard, and respected. Encourage open and honest communication that values input from all stakeholders, regardless of their position or title. This creates a positive and collaborative environment that fosters trust and encourages participation.
Provide opportunities for training and professional development: This ensures that stakeholders have the necessary knowledge, skills, and understanding of the shared governance process. Such opportunities include workshops, seminars, and other learning programs that can help stakeholders build their capacity for effective participation in shared governance.
Establish a clear decision-making process: This should outline how decisions are made, who has the authority to make decisions, and how input from different stakeholders is taken into account. The decision-making process must be transparent and inclusive, ensuring that all stakeholders have the opportunity to provide their input.
Foster collaboration and consensus-building: Shared governance is built on collaboration and consensus-building, rather than top-down decision-making. Stakeholders should work together collaboratively, seeking common ground, and finding solutions that are acceptable to all parties. This builds trust, encourages active participation, and leads to better decision-making outcomes.
Ensure accountability and transparency: All stakeholders should be held accountable for their roles and responsibilities, and there should be clear documentation of decisions, rationale, and outcomes. This helps to ensure that decisions are made in a fair and transparent manner, and that stakeholders can trust the process.
Encourage continuous improvement: Shared governance is a dynamic process that requires a culture of continuous improvement. Encouraging stakeholders to propose changes and implement innovations in the shared governance process helps ensure that it remains effective and relevant in a changing higher education landscape.

Challenges and Considerations

However, differing interpretations of roles can muddy the waters, making it imperative for higher education board directors to clearly understand their responsibilities. Due to the increasing pressure to efficiently administer higher education institutions, the practice of shared governance is receiving more attention than ever. Some political leaders and boards of trustees argue that sharing authority abolishes their right to make big decisions, as someone who knows what’s best for the institutions. On the other hand, institutions and labor unions like the American Federation of Teachers tout that all college and university employees should have a voice in institutional decisions. These include top-tenured and junior faculty, classified and support staff, and even professional staff with or without faculty rank.

Formal organizational charts illustrate the lines of responsibility and communication in a college. What they are far less likely to clearly show is shared governance.

Labor Unions and Shared Governance

Labor unions are concerned with the “terms and conditions of employment” of their members and of workers in general. Unions negotiate labor contracts (collective bargaining agreements or CBAs) with employers on behalf of their members, and educate their members about labor issues. CBAs often include provisions regarding salaries, benefits, working conditions, job security, grievance procedures, and guidelines for hiring, firing, promotions, etc. Any provision in the CBA is the province of the union leadership and can only be changed through negotiation and legal agreement between management and elected union leadership. A shared governance body cannot negotiate contractual language with either management or the union, but shared governance may have a legitimate interest in the academic implications of labor agreements. Shared governance should address all important issues of the college, not only employment issues, from a viewpoint that supports the overall academic quality of the institution, not only the fair treatment of employees.

Shared Governance in Community Colleges

The responsibility for establishing shared governance models in postsecondary education systems and community colleges lies with each state and municipalities. The Education Commission of the States , “While rooted in a state’s culture and history, postsecondary governance systems continue to evolve in response to public interests, such as increasing access and equal opportunity, aligning academic programs with state workforce needs and improving student outcomes. Understanding postsecondary governance allows policy and education leaders to better grasp their own systems; make comparisons across state lines; and more effectively respond to changes in the state’s demographics, education goals and economic conditions.”

Some of the state governance models for community colleges around the country:

State vs. local
Elected vs. appointed
State appointed vs. locally appointed
Taxing authority vs. no taxing authority
Voluntary shared governance vs. mandated shared governance

Community colleges or postsecondary education programs may have some combination of the governance structures above. Regardless of the governance structure at the community college level, shared governance works best when the institution has a clear mission, and all groups and individuals are committed to the institution’s goals.

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