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Sustainability Governance at
Higher Education Institutions
n 2 0 2 0
E d i tio
Sustainability at Higher Education Institutions: develop – network – report (HOCHN) Sustainability Governance at Higher Education Institutions
Governance 2 Sustainability Governance at Higher Education Institutions
The contents of the "Sustainability Governance at Higher Education Institutions" guide were developed as part of
the ‘Governance’ working package of the “Sustainability at Higher Education Institutions: develop – network – re-
port” (HOCHN) project implemented jointly by the Free University of Berlin and the University of Vechta.
The project is funded by the Federal Ministry of Education and Research (BMBF) under Ref. FKZ13NKE007 within
the overall "Research for Sustainable Development" (FONA) programme.
Freie Universität Berlin University of Vechta
Prof. Dr. Inka Bormann, Dr. Benjamin Kummer, Prof. Dr. Marco Rieckmann,
Dr. Sebastian Niedlich, Dr. Margarita Doneliene Mara Bauer and Larissa Jaeger
and Denise Rietzke (with the support of Ann-
Kathrin Hoffmann and Anna Krämer)
Department of Education and Psychology Faculty of Educational and Social Sciences
Division of General Education Department of Education
Habelschwerdter Allee 45 Driverstr. 22
14195 Berlin 49377 Vechta
Inka.Bormann@fu-berlin.de Marco.Rieckmann@uni-vechta.de
Sustainability Governance at Higher Education Institutions 3
Sustainability Governance at
Higher Education Institutions
Inhalt
Welcoming address .......................................................................................................................................................................................... 8
Introduction ....................................................................................................................................................................................................... 12
Sustainability as a task for higher education institutions ........................................................................................................ 12
HOCHN – the research project ................................................................................................................................................................. 12
The objectives of HOCHN ......................................................................................................................................................................... 12
The HOCHN project structure ................................................................................................................................................................. 12
Fields of action ............................................................................................................................................................................................ 13
Guides .............................................................................................................................................................................................................. 14
HOCHN – the higher education institution network ..................................................................................................................... 14
Future prospects – what are the next steps? ................................................................................................................................... 14
Acknowledgements ..................................................................................................................................................................................... 15
The underlying understanding of sustainability .............................................................................................................................. 18
Background ...................................................................................................................................................................................................... 18
The target group ............................................................................................................................................................................................ 18
The basic understanding of sustainability in the context of higher education institutions ...................................... 18
The significance of governance for higher education institution sustainability ............................................................... 22
Governance: the coordination of those involved, their activities and decisions ........................................................... 22
Complex governance at higher education institutions ................................................................................................................ 22
Transparent involvement of different stakeholders .................................................................................................................... 22
Structures for long-term commitment ................................................................................................................................................ 23
"Well intentioned" doesn't necessarily mean "well done" ....................................................................................................... 23
Governance equalizer dimensions ........................................................................................................................................................ 24
Prerequisites for successful higher education institution sustainability ............................................................................. 26
Framework conditions ................................................................................................................................................................................ 26
Sustainability as a socio-political discourse ................................................................................................................................. 26
Conflicting sustainability objectives ................................................................................................................................................. 27
The fields of policy and administration as relevant partners ................................................................................................. 27
Established academic rationales and new mission statements ............................................................................................. 28
Higher education institution rationales and faculty cultures ................................................................................................ 28
Higher education institution size ........................................................................................................................................................ 28
Regional anchoring and local integration ........................................................................................................................................ 29
Supporting factors ........................................................................................................................................................................................ 29
Sustainability as a topic for creating a positive higher education institution profile ................................................. 29
Support from the higher education institution’s management .............................................................................................. 30
Acting out of conviction .......................................................................................................................................................................... 30
Networks for higher education institution sustainability ......................................................................................................... 30
Sustainability requires resources, sustainability conserves resources ................................................................................ 31
Personnel and expertise ........................................................................................................................................................................... 31
4 Sustainability Governance at Higher Education Institutions
Principles for action .................................................................................................................................................................................... 32
Communication ........................................................................................................................................................................................... 32
Participation .................................................................................................................................................................................................. 32
Process orientation .................................................................................................................................................................................... 32
Perseverance and long-term approach ............................................................................................................................................. 32
Measures ............................................................................................................................................................................................................. 34
Networking ...................................................................................................................................................................................................... 35
General consultation ................................................................................................................................................................................. 35
Theme-based consultation .................................................................................................................................................................... 36
Sustainability coordination ...................................................................................................................................................................... 38
Overall management ................................................................................................................................................................................... 39
Sustainability management ................................................................................................................................................................... 39
Observation and analysis ......................................................................................................................................................................... 41
Orientation .................................................................................................................................................................................................... 42
Creating awareness .................................................................................................................................................................................... 42
Transfer ........................................................................................................................................................................................................... 43
Operational measures ................................................................................................................................................................................ 44
Self-appraisal tool for structures and processes: the governance equalizer ..................................................................... 47
Politics ............................................................................................................................................................................................................... 48
Profession ........................................................................................................................................................................................................ 50
Organisation .................................................................................................................................................................................................... 52
Knowledge ........................................................................................................................................................................................................ 54
The Public ......................................................................................................................................................................................................... 56
Appendices ......................................................................................................................................................................................................... 60
Thematic overview of the six guides ................................................................................................................................................... 60
List of figures .................................................................................................................................................................................................. 61
List of abbreviations .................................................................................................................................................................................... 61
List of references .......................................................................................................................................................................................... 62
List of tables ................................................................................................................................................................................................... 62
Internet links .................................................................................................................................................................................................. 63
Imprint .................................................................................................................................................................................................................. 64
Sustainability Governance at Higher Education Institutions 5Welcoming address Sustainability Governance at Higher Education Institutions 7
Welcoming address
Dear Reader,
Perhaps you are reading this guide because you are a Our guide is divided into four sections:
member of a higher education institution and would 1. Governance
like to support your institution in implementing sus- 2. Prerequisites for success
tainability in various fields of action. Are you a student, 3. Measures
research assistant or professor? Do you work in the ad- 4. Self-assessment
ministration, technical operations or the management
of a higher education institution? Perhaps your insti- Governance
tution has already succeeded in appointing a sustaina- Here we explain why considering and observing higher
bility officer or coordinator, and it is precisely this func- education institution governance in the sustainabil-
tion in which you deal with the structures and processes ity process represents an important step and how we
through which sustainability can be anchored there? understand the complex term of ’governance’ in this
context in the first place. At the end of the chapter we
Whatever your specific interest in this brochure is, we present five dimensions of higher education sustain-
are pleased and very much hope that this guide will ability: the so-called governance equalizer consisting
provide you with some structured information on the of the dimensions politics, profession, organisation,
subject of “Governance of sustainability at higher edu knowledge and the public.
cation institutions”. You will find that the guide – always
keeping in mind the diversity of higher education in- Prerequisites for success
stitutions – is intended to address you and your insti- The requirements and characteristics of the higher edu
tution at the specific point you have currently reached cation institution as an organisation are the subject of
in the sustainability process, and to provide you with the second chapter. Here the factors that promote and
options for further activities. those that impede the development of sustainability at
higher education institutions are discussed. The focus
Sustainability affects all areas of higher education: re- in particular is on the role of the various stakeholders
search, teaching, operations and knowledge transfer. who influence the process both inside and outside the
On each of these subjects we recommend that you read higher education institution.
the specific guides of our colleagues from the HOCHN
network. However, the many different projects and in- Measures
itiatives undertaken at higher education institutions In the chapter on measures to be taken we devote our-
must also be considered in their respective contexts. selves in concrete terms to the structures and instru-
This is accomplished by means of cross-sectional per- ments that have proven to be useful to the sustaina-
spectives such as those adopted in sustainability re- bility process at various higher education institutions.
porting, or by means of the present guide on higher The common thread running through this chapter is
education institution governance. Such a perspective the involvement and coordination of all conceivable
always involves looking at the institution as a whole actors or stakeholders in the activities. Each of the
and highlighting the connections between the individ- packages of measures discussed is assigned to the gov-
ual areas of higher education. Communication, partic- ernance equalizer dimensions presented in the chap-
ipation and the nature of higher education institution ter on governance.
sustainability as a process therefore play an impor-
tant role in this guide on governance. It draws on the Self-assessment
findings of an extensive survey that we conducted as Finally, we offer you a self-assessment tool to help you
part of the HOCHN network. Representatives from the evaluate the sustainability governance at your higher
student body, administration, higher education insti- education institution. The tool is based on the gov-
tution management, research, teaching and sustaina- ernance equalizer which provides you with a guide-
bility coordination were interviewed at all eleven in- line for assessing the sustainability activities of your
stitutions in the network. institution. You will also find the previously described
8 Sustainability Governance at Higher Education Institutionsmeasures and identify the areas in which your insti- The team of the HOCHN work package governance
tution is already well positioned, together with those wishes success and satisfaction on your voyage of dis-
areas which could be enhanced by further measures. covery through your own higher education institution
and in designing your own sustainability process.
In this revised edition of the guide, which was first
published in 2018, the self-assessment tool – the gov- With our best wishes,
ernance equalizer – has been made more specific and
supplemented. The revised version of the guide is ac- Inka Bormann, Marco Rieckmann, Benjamin Kummer,
cordingly based on experience gained at workshops Sebastian Niedlich, Margarita Doneliene, Larissa Jae-
with a wide variety of higher education institutions in ger, Mara Bauer, Denise Rietzke
applying the guide. The workshops were attended by
higher education institutions of all sizes, sometimes
exclusively by students, sometimes by representatives
of all stakeholder groups, by institutions that were at
the beginning of their sustainability activities and by
those that specifically wanted to further develop in-
dividual areas of sustainability. The experience gained
from these diverse workshops has now been incorpo-
rated into this revised guide. The workshops focused
on the self-assessment of sustainability activities with
the help of the governance equalizer by members of the
respective higher education institution, on the basis
of which specific needs for action were identified. We
hope that the feedback of the participants and our
own observations have further enhanced the practi-
cal suitability of the governance dimensions for the
self-assessment of sustainability activities. Further as-
pects that have been updated in this version relate to
the common understanding of sustainability within the
project network, and individual practical examples in
the chapter on ‘Measures’.
Sustainability Governance at Higher Education Institutions 910 Sustainability Governance at Higher Education Institutions
Introduction Sustainability Governance at Higher Education Institutions 11
Introduction
Sustainability as a task for higher education institutions
Sustainability is an urgent developmental task for our The four-year cooperation and the close nationwide di-
society, and is attracting increasing attention. Like all alogue involving a range of event formats such as prac-
other organisations within our society, higher educa- tical research sessions, collaborative meetings and net-
tion institutions are called upon to deal with the as- work hubs have revealed the actual value provided by
sociated challenges. HOCHN: the exchange of ideas among students, (young)
An approach to the under- How can complex or- academics, practitioners and experienced actors in the
ganisations such as field of sustainability. This makes it possible to adopt
standing of sustainability in
higher education in- new points of view, develop mutual appreciation inde-
terms of terminology within
stitutions succeed in pendent of hierarchical levels and create a forum for
the HOCHN network can be
initiating and main- constructive discussions.
found on Page 18.
taining the process
of sustainable de-
HOCHN – the research project
velopment within their own institutions and making
it a permanent part of their operations? How can it The objectives of HOCHN
be ensured that as many stakeholders as possible get The overriding goal of the joint project “Sustainabil-
involved in sustainable development? For these ques- ity at higher education institutions: develop – net-
tions there is no ready-made formula, no instruction work – report” (HOCHN) funded by the Federal Minis-
manual, no checklist that would be equally helpful for try of Education and Research (BMBF) is to promote the
all higher education institutions or could be used by all sustainable development of the German higher educa-
in the same way – higher education institutions are too tion landscape. Four sub-goals are derived from this:
different, for example with regard to their legal form
(private or public), their type (university, university of 1. Establishment and consolidation of a network for
applied sciences), their location (rural area or metro- the exchange of experiences
politan region) or size (small and specialised or large
and comprehensive). In addition, higher education in- 2. Development and analysis of a common concept of
stitutions are influenced by external framework con- sustainability
ditions that promote aspects of sustainability to var-
ying degrees, depending on the federal state in which 3. Promotion of the sustainable development of higher
they are located. education institutions through the implementation
of appropriate activities and methods
The HOCHN network looked at these questions in an
initial two-year research phase (11.2016 – 10.2018). This 4. Drafting of guidelines for sustainable development
guide is one of a total of six HOCHN guides which were at higher education institutions in order to create
first available as beta versions and represented the an integrated overall guide
initial results of the work which has been undertaken.
In the subsequent second phase of the project, the By the end of October 2020 the objective of HOCHN is
guidelines were tested by the eleven partners in the to create a roadmap for the sustainable higher edu-
network at various higher education institutions. Some cation institution of 2030 as a vision for the future of
findings from the trial phase have been incorporated sustainable development in higher education.
in this second and final edition of the guides. In ad-
dition to the research work carried out by the eleven The HOCHN project structure
German higher education institutions in the network, Eleven funded higher education institutions are net-
the HOCHN project consists of a growing sustainabil- worked in the working constellations shown in Figure 1.
ity network of German higher education institutions,
in which so far partners from around 140 higher edu- The teams at the eleven HOCHN universities have a high
cation institutions have been exchanging information. proportion of young academics from a broad range of
disciplines. The following higher education institutions
12 Sustainability Governance at Higher Education InstitutionsFields of Action
Governance
Research Transfer
FU Berlin
Team Bormann Leuphana Uni HNE Eberswalde
Lüneburg Team Nölting
Uni Vechta
Team
Team Rieckmann
Lang & Barth
LMU München
Team Vogt
Teaching
Uni Bremen Operations
Team Overall
TU Dresden
Müller-Christ Coordination Team Günther
Uni Tübingen Uni Hamburg HS Zittau/Görlitz
Advisory Board
Team Potthast Team Bassen & Team Delakowitz
Schmitt
Reporting
Uni Hamburg
Networking
Team Uni Hamburg
Bassen & Sassen Team Schmitt
FU Berlin
Uni Bremen
Team de Haan
Team
Uni Duisburg-Essen Personal Partner Level
Müller-Christ
Team Niemann Higher Education Institutions
HOCHN- (Institutional Partner-Level)
Multipliers
Network
Fig. 1: Overall structure of HOCHN (University of Hamburg)
are members of the network: The HOCHN project is supported by an international
• The Free University of Berlin advisory board. In addition the Institute for Higher
• University of Bremen Educational Development (Institut für Hochschu-
• Dresden Technical University lentwicklung – HIS-HE) is a cooperation partner in the
• University of Duisburg-Essen operational field.
• Eberswalde University of Sustainable Development
• University of Hamburg Fields of action
• Leuphana University Lüneburg In the sense of a whole institution approach encom-
• Ludwig Maximilians University Munich passing the entire higher education institution, the
• Eberhard Karls University Tübingen focus is not only on the core areas of teaching and
• University of Vechta research, but also on the operational management of
• Zittau/Görlitz University of Applied Sciences higher education institutions. In addition the project
focuses on fields of action in sustainability reporting
and governance as cross-disciplinary themes, as well
as on knowledge transfer.
HOCH advisory board: https://www.hochn.
N
uni-hamburg.de/1-projekt/fachbeirat.html
Sustainability Governance at Higher Education Institutions 13Guides HOCHN – the higher education institution network
In the course of the project each of the work packages Under the auspices of the universities of Hamburg and
has dealt with a specific aspect of sustainability at Bremen a constantly growing network of higher educa-
higher education institutions: research, teaching, op- tion institutions is being established. At the time this
eration and knowledge transfer, supplemented by the definitive edition of the individual guides went to press,
cross-disciplinary topics of sustainability reporting and members of around 140 German higher education in-
governance. The six HOCHN guides were initially avail- stitutions were already part of this network. In this
able as beta versions. They were prepared in parallel way, existing experiences and expertise can be made
with the start-up, research and networking activities available to the individual higher education institu-
of the first two funding years, and then piloted and re- tions, stimulating a shared dialogue and enabling them
vised in the two years following publication. They do to learn from one another. The HOCHN sustainability
not claim to cover the various fields of action in full, map provides information on the individuals involved,
but instead focus on specific topics and summarise partner higher education institutions and sustainabil-
the findings which have been collected and developed ity initiatives throughout the field of higher education
in a structured manner. They accordingly represent a in Germany.
starting point for follow-up discussions in the growing
HOCHN network. They are practical documents in which
Future prospects – what
the process of shared creation and dialogue gener-
are the next steps?
ates the real added value. They also make it clear that
higher education institutions progress by taking many An individual consideration of the various fields of ac-
small, often unspectacular steps. tion represents a pragmatic starting point. However,
there are strong interdependencies between the vari-
The target groups of the individual HOCHN guides are all ous fields of action, and a whole institution approach
those who wish to promote sustainable development also and especially involves addressing and orchestrat-
at their own higher education institution and require a ing the interfaces between the individual fields of ac-
low-threshold entry into the various fields of action. At tion and themes of sustainable development. The sec-
the same time the varying basic conditions of Germa- ond project phase (11.2018 – 10.2020) therefore focused
ny’s highly diverse higher education landscape need to on taking these interfaces into account, enriching them
be taken into account, so that all institutions can find with empirical knowledge and presenting them on the
useful ideas and suggestions for their own situation. basis of concrete practical examples. In addition to pi-
The HOCHN network aims to promote this important loting and revising the individual guides, the aim is to
dialogue as a nationwide platform for the sustainable offer an integrated, digital overall format that invites
development of higher education institutions. In ad- their application and further shared development. As
dition, since they create an overview of the framework a result, from the autumn of 2020 a HOCHN wiki will be
conditions and actions which a sustainable higher edu available as a common online platform open for use
cation institution requires, the guides are aimed at all by all interested parties.
stakeholders in higher education institutions.
In HOCHN I experience an inspiring
collaboration making incredibly rapid
progress: really exemplary, not only in terms
Photo: Markus Scholz/scholzfoto.de
of content, but also in terms of organisation
and working methods.
Dipl.-Ing. Cornelia Reimoser
Headquarters of the Fraunhofer Society / Member of the Advisory Board of HOCHN
14 Sustainability Governance at Higher Education InstitutionsBecome part of HOCHN! still lies ahead of us until attitudes in the higher edu-
cation landscape have changed in such a way that sus-
We are looking forward to further university part- tainability processes are regarded as permanent func-
ners who would like to join the HOCHN network. tional tasks for which personnel resources need to be
Participating in our events will provide you with made available. We would like to thank in particular
the opportunity to get actively involved in impor- Dr. Karl Eugen Huthmacher, Eckart Lilienthal, Florian
tant processes. Further information at: Frank, Cornelia Möller and Dr. Martin Schulte from the
BMBF’s Department 7: Providing for the Future – Re-
https://www.hochn.uni-ham-
burg.de/en/5-mitmachen.html
search for Fundamentals and Sustainability. Thanks
to their valuable support so far and the possibility of
netzwerk@hoch-n.org
first consolidating the wide range of findings and re-
sults and then – in a second funding phase – testing
In addition to the guides and other materials, the
them for their practical application, they have made
HOCHN wiki also contains the “Sustainable Higher Edu
a major contribution to sustainable development at
cation Landscape 2030” roadmap. The roadmap iden-
higher education institutions.
tifies perspectives, potentials and concrete imple-
mentation paths on how to strengthen and achieve a
We would also like to take this opportunity to express
sustainability transformation of German higher educa-
our special thanks to our project sponsor, the VDI
tion institutions by 2030. In order to maintain and ex-
Technology Centre, and in particular Svetlana Thaller-
pand the activities and networks begun within HOCHN
Honold, Christiane Ploetz and Helene Leneschmidt. As
beyond the immediate project period, DG HochN, the
reliable partners they are contributing significantly to a
Deutsche Gesellschaft für Nachhaltigkeit an Hochschu-
change of perspective in the world of higher education.
len e. V. (German Association for Sustainability at Higher
Education Institutions) was founded in April 2020.
Special thanks are also due to the members of the
DG HochN provides the arena for further implementa-
HOCHN Advisory Board (https://www.hochn.uni-ham-
tion and anchoring of the UNESCO programme “Edu-
burg.de/1-projekt/fachbeirat.html), who have contrib-
cation for Sustainable Development 2030” in Germa-
uted to the HOCHN network in a variety of ways, both in
ny’s higher education system on the basis of previous
an advisory capacity and in helping to shape it.
results.
We look forward to continuing our cooperation with
Acknowledgements the many stakeholders who are dedicated to the de-
velopment of sustainable higher education in Germany
A project for the sustainable development of higher
and beyond.
education institutions in this form would not have been
feasible without the BMBF and its nationwide start-up
financing. As a learning higher education institution
network, the task of establishing permanent structures
If the programme didn’t exist somebody would
have to invent something like HOCHN.
Photo: H. Thämlitz
Prof. Dr. (mult.) Dr. h.c. (mult.) Walter Leal
HAW Hamburg / Member of the Advisory Board of HOCHN
Sustainability Governance at Higher Education Institutions 1516 Sustainability Governance at Higher Education Institutions
The underlying understanding of sustainability
Sustainability Governance at Higher Education Institutions 17The underlying understanding of sustainability
Background
Many stakeholders of higher education institutions in tions and protagonists of the individual higher educa-
Germany deal with the topic of sustainability in re- tion institutions. However, precisely because there are
search, teaching and practical operations. To date, how- different approaches, conceptual clarification fulfils the
ever, there has been insufficient consensus on how the important function of contextually clarifying the scope
demands for sustainability arising from social responsi- for interpretation, commonalities and open questions,
bility should be understood, shaped and implemented and making them more concrete for implementation.
in the context of higher education institutions. This can
be seen, for example, in the current debate on the re- The understanding of sustainability provides the basis for
lationship between freedom and sustainability-related the effective implementation of actions at higher educa-
responsibility of science. tion institutions which are regarded as indispensable for
any major societal transformation and for the execution
Within the framework of the joint project, the HOCHN of the Federal Government’s national action plan ‘Educa-
collaboration has set itself the goal of developing a tion for Sustainable Development’ (ESD). The extended
shared, university-specific concept of sustainability version of the understanding of sustainability with ex-
which was conceived in a participatory process by the planations on the fields of action of research, teaching,
eleven collaborating higher education institutions. It operations, governance and transfer as well as on the
is based on the interim results of the HOCHN collabo- literature used can be found here: http://www.hoch-n.
ration, the understanding of sustainability of the in- org/2-handlungsfelder/04-forschung.html (in German)
dividual partner higher education institutions within
the joint project, the basic concept of sustainability
The target group
anchored in many international resolutions, and an
evaluation of the relevant literature. This understanding of sustainability is primarily aimed
at members of higher education institutions, especially
The understanding of sustainability is based on con- those wishing to deal with the subject of sustainability
ceptual coherence and attempts to work out the nor- and to shape change processes. Internal stakeholder
mative implications of sustainability in the context of groups include, for example, representatives of univer-
higher education institutions. It offers an orientation sity management, academics, teachers, students, ad-
framework for the overall institutional integration and ministrative staff and sustainability officers. The follow-
implementation of sustainability as an ethical principle ing are considered to be stakeholders external to the
in the theory and practice of research, teaching, oper- university: representatives of state and federal minis-
ations, governance and transfer at higher education tries, the German Rectors’ Conference and the Confer-
institutions in Germany. It by no means precludes in- ence of Ministers of Culture, politics and civil society.
dividual higher education institutions with their own
individual focal points from setting their own priorities
The basic understanding of
and practices. Rather the diversity provided by different
sustainability in the context of
understandings of sustainability can be regarded as a
higher education institutions
positive factor, since sustainability should ideally take
into account the respective contexts, framework condi- Sustainability is a normative principle that can be de-
scribed as a scale for global and intergenerational
The long version of the understanding of sus- justice in the face of the challenges posed by current
changes in the earth’s system. In ethical-political terms,
tainability with explanations on the fields of
action of research, teaching, operation, gov- sustainable development is not an externally defined
ernance and transfer as well as on the litera- and prescribed goal, but an open search process with
ture used can be found at: http://www.hoch-n. heterogeneous target components, which is therefore
pluralistic and culturally variable. Its object is long-
org/2-handlungsfelder/04-forschung.html
term responsibility for ensuring environmental viabil-
(in German)
ity, social justice and economic performance. It aims
18 Sustainability Governance at Higher Education Institutionsto strengthen the cultural competencies for shaping to the transformation for a sustainable society and the
societal life. Its systemically integrated implementa- responsible use of planetary resources.
tion is regarded as the need for comprehensive soci-
etal transformation. The core of which is a change in Due to their ethical and socio-political position, Higher
the relationship between human beings and nature. Education Institutions have an inherent responsibil-
ity to engage with a societal transformation towards
The task of higher education institutions is to deal the- greater sustainability. As special strengths they can
oretically, conceptually, methodically, critically and re- contribute with empirical and theoretical knowledge,
flectively with the processes and conditions of societal methodological expertise and the ability to analyse. To
transformation. Furthermore, it is also a matter of how do justice to the normative content of sustainability
the ethical dimension of science (in the fields of action means to think methodically about problems in socie-
research, teaching and operations) can be respected ties, to pose relevant questions regarding the relation-
and implemented. ship between humans and nature, and to learn to think
and act in interdisciplinary contexts. It is a matter of
Postmodern science requires methodical and critical re- determining how sustainable solutions for dealing with
flection on the significance of normative perspectives. the great challenges of our time can be found globally,
Therefore, ethics analyses the manifold reasons, goals, nationally and regionally, and then be implemented on
motivations and resistances of good and just action. a long-term basis at the institutional level. Thereby it
In doing so, it is not limited to prescribing ready-made is constitutive for ethics to also take a systemic view
solutions. Rather, it first wants to stimulate reflection of obstacles on the way to sustainability. In doing so,
and thereby enable freedom. The freedom of science it can not only generate target knowledge, but also im-
is therefore always to be interpreted as a mandate to part knowledge of design and transformation.
independently reflect on its goals in the service of a
sustainable society.
Those involved in the joint project HOCHN are striv-
The need for ethical reflection and orientation arises ing to implement sustainability in the fields of ac-
above all in situations of radical change. This is the tion of research, teaching, operations, governance
case today in view of the profound change in values and transfer at their own institutions. Therefore,
and the global, national and regional challenges for contributing to the practical implementation of
sustainable development (e.g. climate change). There- aforementioned goals, as well as inducing a con-
fore, the principle of sustainability sees itself both as tinues improvement process and representing a
an socio-ecological and economic challenge, as well as reliable pioneering role.
a cultural task in order to preserve the natural foun-
dations of life for all people, including future genera-
Stakeholders of the joint project HOCHN oblige to
tions (cf. Brundtland Commission; Art. 20a GG; SDGs),
foster the understanding and implementation of
and the appreciation and protection of the intrinsic
sustainability at their own higher education insti-
value of nature with its biological diversity (cf. Federal
tutions. Thus higher education institutions con-
Nature Conservation Act § 1).
tribute to the world wide action plan ‘Education for
Sustainable Development’ of the UN (2015-2019) to
Higher education institutions, as central actors in so-
which Germany is committed with a national ac-
cietal discourse, dedicate themselves to this topic in
tion plan. Additionally, the higher education insti-
a central position. Within this context and following
tutions contribute to the perception, further de-
the joint HRK/DUK declaration (2010) “Higher Educa-
velopment and enhancement of both the United
tion Institutions for Sustainable Development” (orig.
Nations ‘Sustainable Development Goals’ and Ger-
Hochschulen für nachhaltige Entwicklung) and the HRK
many’s sustainability strategy. This is reasonable,
recommendation (2018) “For a Culture of Sustainability
since the SDGs do not adequately address central
at Higher Education Institutions” (orig. Für eine Kultur
global challenges (such as increasing resource con-
von Nachhaltigkeit an Hochschulen), the collaborators
sumption and population growth, externalisation
of the joint project HOCHN take sustainability as a pro-
of socio-ecological costs or conflicts of objectives
file-forming and connecting central idea. With this com-
between economic growth and ecological limits).
mon goal higher education institutions can contribute
Sustainability Governance at Higher Education Institutions 19The higher education institutions are willing to en- sure adequate in- and external transparency, to promote continuous, open and reflective improve- ment processes, to support dialogue with various stakeholders from higher education institutions and to facilitate exchange with society. Therefore, it may prove expedient to analyse the status quo, provide transparent and regular information on their sustainability activities and to communicate these. Sustainability reporting designed in this way helps to reflect the higher education institutions understanding of sustainability, its specific goals and measures, as well as to enter into an exchange with stakeholders. 20 Sustainability Governance at Higher Education Institutions
The significance of governance for higher
education institution sustainability
Sustainability Governance at Higher Education Institutions 21The significance of governance for higher
education institution sustainability
Governance: the coordination of those academic freedoms and a high degree of autonomy
involved, their activities and decisions in decision-making and action. On the other hand, a
strengthening of the role of the higher education in-
Precisely because higher education institutions differ stitution management can currently be observed. This
so greatly from one another, the question of the insti- is being implemented by establishing central organi-
tutionalisation of sustainable development must be sational units such as executive sections, by strength-
answered individually at each higher education insti- ening processes, mission statements and guidelines
tution. Nevertheless, there are requirements that af- throughout the higher education institution, and by
fect all higher education institutions in common. Ulti- reinforcing the central decision-making authority of
mately, the aim is to implement concrete activities that, the management board in relation to self-regulating
for example, enable sustainable campus management academic bodies. Higher education institutions are also
or anchor sustainable development issues as broadly based on a large number of clearly defined areas for
as possible in research and teaching. In addition, with action (membership and affiliation, competencies and
such a complex issue as sustainable development a authorisations, administrative procedures etc.), as well
clear framework is also essential. For example, differ- as on a number of implicit rules and norms (self-con-
ent activities need to be coordinated and binding de- cepts of various academic disciplines, administrative
cisions made, e.g. on objectives, responsibilities or the practices etc.).
support to be provided by different stakeholders. The
task of coordinating these processes in an orderly man- Many groups and stakeholders with very different com-
ner is also referred to as "governance". petencies, perspectives and interests play a role in the
governance of sustainability processes at higher edu-
cation institution. These include above all the institu-
The following working paper gives a more de- tional management (in the person of the (vice-) pres-
tailed insight into the underlying under-
ident or chancellor as head of the administration),
standing of governance: http://www.hoch-n.
students in the various departments, research and
org/-downloads/governance-verstaendnis1.pdf
teaching staff as well as employees in administration
(in German) and technology. The coordination of these various posi-
tions is one of the central governance tasks on a higher
education institution’s path to sustainable develop-
Complex governance at higher
ment, because the individual protagonists often have
education institutions
very different points of view, for example on how ur-
When we talk about governance, we mean both organ- gent the challenge of sustainable development is, what
isational structures and the administrative apparatus individual goals can or should be pursued and imple-
and the management of complex processes. Govern- mented at their own institution, and in whose area of
ance is therefore diverse and demanding. This applies responsibility sustainability should be anchored.
in particular to the governance of complex organisa-
tions such as higher education institutions: the tasks of
Transparent involvement of
a higher education institution range from research and
different stakeholders
education to quality management, innovation transfer
and the provision of academic expertise for important Regardless of the starting point from which a higher
social challenges. education institution embarks on its course: as with
any change process, in connection with the central idea
Higher education institutions are on the one hand or- of sustainable development too, it can be assumed
ganised on a decentralised basis with division in terms that there will be proponents and supporters as well
of specialisations. Although hierarchical structures as sceptics and opponents. It is also true that exam-
exist within the administration, research and teach- ples of good practice that have worked at a different
ing staff in particular can rely on legally guaranteed higher education institution cannot simply be trans-
22 Sustainability Governance at Higher Education Institutionsferred in unchanged form to a different institution. On tainability strategies and initiate, implement or support
the contrary, it is always the particular situation of a operational activities on selected topics. Alternatively
higher education institution, its internal structure and or additionally, there are decision-making or prepara-
its relationships with institutions outside the higher tory bodies such as steering committees, round tables
education institution that determine what is perceived or working groups which deal with the selection of is-
as 'exemplary' or 'worth transferring' in the first place. sues and identifying and involving other stakeholders.
In order for an impulse for change such as the idea
"Well intentioned" doesn't
of sustainable development to unfold, it must there-
necessarily mean "well done"
fore be discussed and its significance for the individual
higher education institution examined. It is important Even if higher education institution sustainability
to involve as many different groups of people as pos- processes develop highly independently in individual
sible in order to implement mutually supported activ- cases, it is possible to identify overarching character-
ities. Just as student initiatives, for example, will not istics which are of great importance for the develop-
succeed in developing a mission statement for the en- ment of the relevant processes. For example, the way
tire higher education institution without the support the higher education institution regards its role in the
of the higher education institution management, it will social environment, its understanding of sustainabil-
also not be effective if a higher education institution ity and structural approach to achieving sustainabil-
management 'prescribes' a mission statement for sus- ity are all influential in determining how responsibility
tainable development without consultation and par- for the sustainability process is distributed within the
ticipation with decisive bodies such as the academic higher education institution. If a higher education in-
senate, faculty committees etc.. Instead it makes sense stitution is firmly anchored in the region and beyond
to listen to and include the views, interests, wishes, through social contacts, and if sustainability is regarded
but also fears and resistance of those who are not as a task that needs to be tackled in an interdiscipli-
yet involved. Otherwise it can easily happen that sus- nary and transdisciplinary manner, it will be easier to
tainable development fails to gain general acceptance. initiate comprehensive sustainability processes, then
These processes of exploration, communication and maintain them and finally to anchor them permanently.
consideration represent an important component of Last but not least, the commitment of the higher edu
governance. cation institutions management is decisive in deter-
mining how quickly, intensively and comprehensively
the sustainability process can be driven forward. If re-
Structures for long-term commitment
sources are available to coordinate activities, for ex-
Equally important for the governance processes re- ample, or if the institution’s management initiates a
lating to higher education institution sustainability mission statement process, this can have a very posi-
are the structures and responsibilities that support tive effect on the commitment of the higher education
the higher education institution members actively in- institution members.
volved in committing themselves to the process in the
long term. The experience of a large number of higher In view of these challenges and others, emphasis is
education institutions shows that these structures can often placed on the fundamental principles of "good
look very different. For example, offices with volunteer governance” which need to be observed in connec-
students or green offices with employed students can tion with efforts to achieve sustainable development
drive the sustainability process forward. At the same at higher education institutions. For example, an insti-
time, sustainability units appointed by the higher edu tution’s governance activities are measured in terms
cation institution management and staffed by perma- of whether the interests of the various stakeholders
nent employees can play an important role, in that are taken into account and whether transparency and
they form contact points and initiate, collate and/or participation are made possible. On questions of sus-
communicate activities in individual fields of action tainable development in particular, such ideas of "good
such as teaching, administration and research, or even governance" play an important role.
throughout the higher education institution. Support-
ing structures such as dedicated units or sustainability However, good intentions and the consideration of
officers are increasingly being set up to develop sus- these principles alone do not guarantee that higher
Sustainability Governance at Higher Education Institutions 23education institution sustainability processes will ac-
tually be successful. Governance must also be imple-
Politics
mented well. It is possible to identify five dimensions
which are of decisive importance for a successful im-
plementation process within higher education institu- How is sustainability entrenched and legitimised
tions. These are discussed here as governance equal- in the higher education institution?
izer dimensions. The overall concept of the governance This dimension deals with the question of how sus-
equalizer is further introduced in the context of the tainability can move beyond individual support points
self-appraisal tool in the last chapter. and be embedded long-term on the higher education
institution’s agenda.
Governance equalizer dimensions
Five dimensions have a decisive influence on the Profession
chances of success on the part of Governance equal-
izer dimensions sustainability: politics, profession, or- How are different professional perspectives and
ganisation, knowledge and the public. The analysis of competencies being connected?
their characteristics can therefore play a decisive role The dimension ’profession‘ focuses on the develop-
in the understanding and success of higher education ment of an interdisciplinary and transversal under-
institution sustainability processes. The five governance standing of sustainable development in the higher
equalizer dimensions presented here are based on a education institution.
theoretical examination of the research literature on
higher education institution governance. In addition,
they have been enriched and further developed with Organisation
own empirical findings.
How are cooperative work and task performance
The following table, which poses a guiding question
made possible?
for each area and is followed by a brief characterisa-
Moving higher education institutions towards sustain-
tion, can be used to understand these factors. ability requires breaking down sustainability-related
goals so that concrete actions can be taken. This in-
The exact procedure and the findings derived cludes the provision of adequate resources and creat-
ing structures and procedures that ensure continuous
from it can be found in the following article:
and reliable work.
Bauer, M. et al. (2018): Sustainability Governance
at Universities: using a Governance Equalizer as
a Research Heuristic. In: Higher Education Policy
Knowledge
31 (4), 491-511. DOI: 10.1057/s41307-018-0104-x.
https://link.springer.com/article/10.1057/s41307-
018-0104-x How is the necessary knowledge generated and
used competently?
Sustainable development calls for complex knowl-
edge management. For joint action, actors in higher
education institutions must develop a common un-
derstanding of the problems to be addressed and
their causes (systems knowledge), they must agree on
a judgment of the current situation and set goals for
the future (target knowledge), and they must identify
ways to solve the problems at hand (transformation
knowledge).
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