sou · GVB381 · 2008-01-01 00:00:00 — Resultatet i utbildningen i form av helårsstudenter påverkar den resultatbaserade halvan av utbildnings- ramen nästkommande fyraårsperiod. Resultatet av utvärdering av forskningen och av indikatorerna påverkar den konkurrensutsatta halvan av forskningsramen nästkommande fyraårsperiod. Basresursen för utbildning respektive forskning påverkas med fördröjning av förändringen av den resultatbaserade delen av utbildningsramen respektive den konkurrensutsatta delen av forskningsramen. Utöver de beskrivna medlen för utbildning och forskning till- kommer eventuell ersättning för särskilda uppdrag, samt för vissa lärosäten en lärosätesresurs för konstnärliga utbildningar som kan omprövas inför en ny fyraårsperiod. Beräknade medel för såväl utbildning som forskning avräknas med 12-delar på samma sätt som forskningsanslaget avräknas i nuvarande system. Den ökande internationella konkurrensen är, menar många bedömare, den starkaste externa faktorn som bidragit till att utveckla en ordning med utbildnings- och forskningsstrategier vid de europeiska universiteten och högskolorna. I sådana strategier kan lärosätena identifiera sina profiler och finna sina nischer i forskningslandskapet. De kan på ett visionärt sätt presentera sin verksamhet i relation till externa finansiärer, studenter och skatte- betalare. Framför allt är emellertid dessa dokument till för läro- sätena själva. De hjälper till att värdera och prioritera den egna verksamheten så att den får tydliga fokus. På så sätt kan de vara med och generera resurser för kvalitet. Inquiry starts from the perspective that universities and other higher education institutions are multidimensional. Higher education has a Humboldtian heritage to administer with a strong link between education and research, with freedom and autonomy as self-evident foundations of their activities. At the same time, there is renewed awareness of the great value of coope- ration with the community, which is articulated in the entrepre- neurial dimension of higher education. In its role as a , the State should guarantee the freedom of higher education. Basic funding should be secured and should be made independent of short-term political decisions at the same time. Inquirys proposed model for the allocation of funding means that direct appropriations will be distributed according to the academic communitys own criteria of what is good education and research and on the basis of students own informed choices. It follows from this that the State neither can nor should govern how resources are distributed between higher education institutions. It is therefore of the utmost importance that this model is managed and quality assured by an academically well qualified intermediary outside the Government Offices in form of a council, which the Inquiry calls (HEFCSwe). The legitimate need of the Government and the Riksdag to steer resources to special areas should be catered for in the second part of the system of dual support, i.e. via the research councils and other agencies, and via decisions on special commitments. In addition to being responsible for the funding system, the Council should give higher education institutions an adequate response to their education and research strategies. This intermediary body will take decisions on the supporting information for the proposals made by the Government to the Riksdag concerning appropriations for education and research at universities and other higher education institutions. The council will be responsible for operating and further developing the funding system and for other supplementary funding structures that may be linked to the system, i.e. a matching fund, a structural fund and research pooling. The council will also handle evaluations of research profiles. In line with the Committees Ordinance the Resource Inquiry has not presented any proposals for which are not financed cannot be specified. However, in its assessments the Inquiry has wanted to point to some desirable new initiatives that the Government and the Riksdag should consider. The model proposed below can function irrespective of the volume of resources. At the same time, the Inquiry wants to put forward for serious consideration the question of whether it is worth investing in the form of quality- based funding system proposed in this report, unless the State is prepared to provide substantially increased funds for distribution to the best universities and higher education institutions. Changes in the higher education system should mainly be driven by the strong forces that can be generated by competition in a positive sense. The competitive features based on various quality criteria in the distribution of appropriation funding can operate in this direction, as can students informed choices of education. At the same time, the Inquiry is at pains to stress that competition and the quantified measurement of quality are not always possible in the context of education. Even if measurement is possible, it is perhaps not always desirable. Scope should therefore be provided for the type of evaluation, with the character of an improvement audit (granska för att främja), that the for Higher Education has worked and is working with. Inquiry often returns to the importance of the education and research strategies of higher education institutions. It is these documents that reflect on the strategic choices. It is here that development work on proposals for new education program- mes and the renewal and development of existing programmes are presented. If this work is able to continue, it will eventually be possible to develop the profiles of all higher education institutions. While we will certainly still have a relatively uniform organisation of higher education, the educational profiles of the higher educa- tion institutions will be more different than they are today. Inquiry has outlined some alternatives that we see as roles or aspi- rational objectives. After a period of a strong move towards consolidation of the higher education institutions as classic universities in the higher education system, the Resources Inquiry now takes the view that it is time for the Government and the Riksdag to take concrete action to underline the great value of profile development and differentiation. The assessment of the Resources Inquiry is that profile development in the activities of the higher education insti- tutions requires scope for setting new internal priorities. The Inquiry has also made the assessment that a structural fund should be set up to support cooperation, profile development and concentration in the Swedish system of education and research. The purpose of this is for the higher education institutions to concentrate their education and research on their strong areas, areas where they are best placed to achieve international success. In the university landscape of the future the Inquiry wants to see a diverse range of higher education institutions with a higher degree of independence. One important factor in achieving this independence is undoubtedly financial autonomy. It is reasonable to imagine any higher education institution really becoming fully independent in the foreseeable future. Even if the State could set aside funds to establish a number of foundations for higher education institutions, undergraduate education would probably continue to mainly be funded by the State. If student fees were introduced, it is likely that they would cover the full cost of the education. The Resources Inquiry considers that a new strategy and approach must be formulated to all those who want to contribute to strengthening research at universities and other higher education institutions. This is also what is recommended by the EU, which made 17 recommendations in the report Giving more for research on what action EU member states must take to enhance the wil- lingness of foundations, non-profit organisations and individuals to contribute to investments in research and development. The most important recommendations include: that donations and charitable giving by individuals, companies and foundations be able to benefit from generous tax credits or deductions; that the governments of member states be urged to supplement existing research and deve- lopment funding by introducing a system of matching funds for projects supported by private sources; and that universities be encouraged to set up their own foundations to generate research funding. Inquiry agrees to theses proposals and recommendations. The possibility of applying for university status has contributed to a move towards greater breadth in both education and research both within and between research areas. In the assessment of the Resources Inquiry, research environments and postgraduate educa- tion should be concentrated instead. Giving more higher education institutions university status and thus spreading postgraduate edu- cation is inappropriate both for quality reasons and for economic reasons. Inquiry therefore proposes that any future decisions on university status should be taken solely on the basis of quality audit. for Higher Education should therefore have the task of examining and deciding on any applications for university status. In a situation where decisions on university status are decoupled from the decisions of the Government and the Riksdag, the question of university status should not be linked to any commitment concerning funding expansion either. Moreover, the for Higher Education should be given the same powers to question and decide to revoke authorisations for education at postgraduate level as it now has for undergraduate level and advanced level through an amendment to the Higher Education Act. In order to attain profile development and concentration the Resources Inquiry proposes that university colleges be given the right to award degrees at postgraduate level in subjects instead of within the present broad research areas. To safeguard quality in postgraduate education the Resources Inquiry proposes that the for Higher Education also be able to withdraw the authorisation to award degrees at postgraduate level and that the main supervisor of a doctoral student will have to be an employee of the higher education institution to which the doctoral student has been admitted. A degree in fine or applied arts at postgraduate level will be introduced. The Inquirys interim report An enhanced resource allocation system for undergraduate education (Ett utvecklat resurstilldelnings- system för högskolans grundutbildning, SOU 2005:48) presented a number of proposals concerning both a new governance system and a new system for the allocation of funding undergraduate education. Since the presentation of our interim report a new structure for higher education has been adopted by the Riksdag through the introduction of three levels in higher education in . In the light of this change, the Resources Inquiry is presenting a funding model with some new features for undergraduate and advanced education. But the Inquiry wants to point out at the same time that these proposals build on the proposals in its interim report and are in many respects an elaboration of them. The model for distributing funds to universities and other higher education institutions being proposed by the Inquiry is a coherent proposal that will help to increase quality in both education and research; strengthen the link between education and research; and provide better conditions for long-term planning by universities and other higher education institutions. Inquirys proposed model for distributing appropriations to universities and other higher education institu- tions also means that both additional and existing funds will be distributed on the basis of pre-determined criteria. So the model means that the future allocation of funds for education and research will depend on how the higher education institutions succeed in their efforts, and not on political considerations that are seldom disclosed. Inquirys proposals concerning the appropriations and funding model will contribute to higher quality in education and research and also to a stronger link between them. The proposals are summarised below: The funding system for education at undergraduate and advanced level will consist of a basic revenue per full-time equi- (FTE) student and three different additional revenues depending on the teaching method, etc., but not what subject the course belongs to. The model will mean that teaching methods that increase quality and/or are especially resource-intensive, at both undergraduate and advanced level, will be able to receive additional revenues that must, however, be accommodated within each institutions resource frame for education. The basic payment will be enhanced in relation to the lowest revenue currently available so that the basic revenue will correspond to the base level that was applicable when the present system was introduced in 1993. The quality of education at undergraduate level and advanced level will be enhanced by including a resource for a research link in the revenue for full-time equivalent students. This resource will be transferred from the higher education institutions research appro- priation. The resource for the research link, which is included in the basic revenue per full-time equivalent student, will also strengthen the link between research and education. A quality-related allocation will be introduced for education at undergraduate and advanced level. It will consist of an additional supplementary revenue that enhances the quality of the education and will be awarded depending on the result of the evaluations of higher education institutions every fourth year. One important aspect of the evaluations of higher education institutions will be an assessment of the efforts made by the institutions to give their students the teaching and the other support they need to complete their studies and to do so within the normal study period to a greater extent than is now the case. The revenues for full-time equivalent study results will be abolished. A higher education institution resource will be introduced for certain higher education institutions with education in fine art or applied art, in line with the proposal in our interim report An enhanced resource allocation system for undergraduate education. This means that funding for particularly resource-intensive pro- grammes will be concentrated to a few higher education institu- tions. Unit revenues for full-time equivalent doctoral students will be introduced. This means that the resource allocation model will cover all three levels of higher education. The proposal will make the resource consumption for education at postgraduate level visible and will mean that future decisions by the Government and the Riksdag on changes in the scale of postgraduate education will be accompanied by increases in resources or reductions in resources. In principle, the resources for education will follow under- graduate, advanced-level and doctoral students so that over time their choice of higher education institution will impact on the distribution of resources between these institutions. Quality and activity in university research will be rewarded by subjecting half the existing appropriation funding to competition and distributing it on the basis of quality and activity-based criteria. A model that contains evaluations and indicators (so-called metrics) will be introduced. The competitive part of the research appropriation frame for each university will be distributed: based on quality evaluations of research, on field-normalised citations of international scientific production, by external funding, by the number of teachers with doctorates and by the number of women professors. additional fresh appropriations for research will be distributed on the basis of the same criteria. When they are provided, appropriations for research at non- university institutions will be limited to cover one or more research profiles. The resources for a research profile are put at million. The obstacles to the development of cross-cutting education and research will be eliminated by abolishing education areas and research areas respectively as a basis for allocating funds for edu- cation and research. Each higher education institution will be allocated one block grant consisting of resources for both education and research. Having one appropriation will lead to freer use of resources, which is necessary since education and research are interwoven in many ways. and above this, the Resources Inquiry wants its proposals to give universities and other higher education institutions the conditions for long-term planning. The Inquiry makes the fol- lowing proposals: Four-year planning periods will be introduced. This means that the appropriations for the higher education institutions will be calculated for a four-year period, but will be adopted by the Riksdag each year. The block grant for each higher education institution will have an education frame. Half of the education frame will be basic funding and the other half will be a results-based part. During the four-year period the appropriations will be fixed and will not be affected by the results attained. The block grant for each university will have a research frame. Half of the research frame will be basic funding and half will be a results-based part. The results of education in the form of full-time equivalent students during a four-year period will influence the results-based half of the education frame in the next four-year period. The results of the evaluation of research and of the metrics during a four-year period will influence the competitive half of the research frame in the next four-year period. The basic resource for education and for research will be affected, after a four-year delay, by the change in the results-based part of the education frame and the competitive part of the research frame. and above the funding described for education and research, there will also be payments for special assignments, and certain higher education institutions will receive a special resource for education programmes in fine art of applied art that can be reviewed ahead of a new four-year period. The funding calculated for both education and research will be paid out in 12 equal parts over the year in the same way as is done with the research appropriation in the present system. Many commentators believe that increasing international com- petition has been the strongest external factor contributing to the development of a system of education and research strategies at universities and other higher education institutions in Europe. Higher education institutions can use these strategies to identify their profiles and find their niches in the research landscape. They are able to present their activities in a visionary way to external , students and taxpayers. However, these documents are first and foremost for the higher education institutions themselves. They help them to assess and prioritise their own activities so that they have a clear focus. This enables them to play a role in gene- rating resources for quality. lag (2008:000) om ändring i högskolelagen (1992:1434) Härigenom föreskrivs i fråga om högskolelagen (1992:1434) att 1 kap. 11, 11 a och 12 §§ samt 2 kap. 5 och 5 a §§ ska ha följande lydelse. Regeringen beslutar vid vilka Regeringen beslutar vid vilka högskolor som examina på grund- högskolor som examina på grund- får avläggas och vid vilka hög- dela föreskrifter om att någon skolor som inte är universitet som annan myndighet får besluta i examina på forskarnivå får av- delar föreskrifter om vilka exa- föreskrifter om att någon annan mina som får avläggas vid myndighet får besluta i dessa som får avläggas vid Ett tillstånd att utfärda exa- Ett tillstånd att utfärda exa- mina får lämnas bara om ut- mina får lämnas bara om ut- 1TP PT Senaste lydelse 2007:511, träder i kraft . som ställs på utbildning på grundnivå och avancerad nivå enligt detta kapitel och de sär- skilda krav som finns i förord- ningsbestämmelser. Dessutom skall det i ett rikstäckande pers- pektiv finnas ett allmänt intresse av att examina får utfärdas. som ställs på utbildning enligt detta kapitel och de särskilda krav som finns i förordningsbe- stämmelser. Dessutom ska det i ett rikstäckande perspektiv fin- nas ett allmänt intresse av att examina får utfärdas. Om det inte längre finns förutsättningar enligt 11 § andra stycket första meningen att ut- färda en viss examen, skall Hög- skoleverket uppmana högskolan att avhjälpa bris- terna. Finns bristerna helt eller till väsentlig del kvar som sägs i första stycket, får regeringen besluta att högskolan inte längre får utfärda en sådan examen som bristerna avser. Regeringen får meddela före- skrifter om att någon annan myndighet får besluta om detta. Om det meddelas ett beslut om Om det inte längre finns förutsättningar enligt 11 § andra stycket första meningen att ut- färda en viss examen, ska Hög- skoleverket uppmana högskolan att avhjälpa bris- terna. Om det inte längre finns för- utsättningar för ett universitet att utfärda examen på forskarnivå i ett visst ämne, enligt de krav som ställs på utbildning på forskar- nivå enligt detta kapitel och de särskilda krav som finns i för- ordningsbestämmelser, ska Hög- skoleverket uppmana att avhjälpa bris- terna. Finns bristerna helt eller till väsentlig del kvar som sägs i första stycket, får regeringen besluta att högskolan inte längre får utfärda en sådan examen som bristerna avser. Regeringen får meddela före- skrifter om att någon annan myndighet får besluta om detta. Om det meddelas ett beslut om 2TP PT Senaste lydelse 2007:512, träder i kraft . att en högskola inte längre får att en högskola inte längre får utfärda en examen, får dock utfärda en examen, får dock högskolan också därefter utfär- högskolan också därefter utfär- da examen för de studenter som da examen för de studenter som har påbörjat sin utbildning vid har påbörjat sin utbildning vid Detta gäller dock bara om utbild- Detta gäller dock bara om utbild- eller en kurs som kan leda fram eller en kurs som kan leda fram till en sådan examen som beslu- till en sådan examen som beslu- Frågor som avses i andra Frågor som avses i andra stycket skall avgöras av rege- stycket ska avgöras av rege- ringen, om de avser ringen, om de avser ringen ta hänsyn också till om ringen ta hänsyn också till om det i ett rikstäckande perspektiv det i ett rikstäckande perspektiv finns ett allmänt intresse av att finns ett allmänt intresse av att examina får utfärdas vid Lant- examina får utfärdas vid Lant- andra högskolor får sådana exa- andra högskolor får sådana exa- mina avläggas inom de veten- mina avläggas om villkoren enligt skapsområden som finns vid hög- 2 kap. 5 § är uppfyllda. skolan med stöd av beslut enligt 2 kap. 5 §. För utbildning på forskarnivå finns de vetenskapsområden som bestämmer. Dessa veten- skapsområden finns vid universi- Som villkor för att en högskola ska kunna utfärda en examen på forskarnivå i ett visst ämne ska gälla att utbildning på grundnivå 3TP PT Senaste lydelse 2006:173. 4TP PT Senaste lydelse 2006:173. På ansökan av en högskola och avancerad nivå samt forsk- som inte är universitet, kan rege- ning vid högskolan har en sådan ringen besluta att ett eller flera av ämnet att utbildning på forskar- vid den högskolan. nivå kan bedrivas på en hög beslut får meddelas, om utbild- ning på grundnivå och avance- rad nivå samt forskning vid högskolan har en sådan kvalitet och omfattning inom veten- skapsområdet att utbildning på forskarnivå kan bedrivas på en hög vetenskaplig nivå. 5 a §TPF FPT Det skall finnas minst en Det ska finnas minst en fakultetsnämnd vid varje univer- fakultetsnämnd vid varje univer-