sou · GVB398 · 2008-01-01 00:00:00 — Since responsibility is shared, every- ones initiatives need to be coordinated so that the whole has a greater impact than the sum of its parts. The Academic Career Inquirys work and proposals are based on a number of basic assumptions. Gender equality is a prerequisite Enabling women – who now make up the majority of students, and half of those obtaining doctorates – to be recruited as teachers and researchers to the same extent as men and giving them the same opportunities for an academic career is not just a question of democracy and fairness but also very much a question of quality. Part of the international knowledge society Higher education and research are key resources in the knowledge society. Our for success depend on our ability to attract, keep and develop the best employees. Developing knowledge is complex and a cost-driving factor and therefore requires increa- intensified international cooperation and mobility between higher education institutions both nationally and internationally. Strategic deliberation on both the content and organisation of edu- cation and research is becoming increasingly crucial to success. The extent to which knowledge can be translated into production and growth also has a decisive influence. Our employment structures and career paths must be attractive and have a high degree of comparability in international contexts. All higher education must in principle be based on research and ensuring that both research and teaching are part of the duties of teachers is therefore an important issue for the future. The dual role of researchers as teachers determines the quality of higher education and the level of recruitment to the researcher career. However, quality and success are not just a question of attrac- tive terms of employment and career systems; they are equally a question of strategic leadership and of the employer role. Recruit- ment in open – national and international – competition must increasingly replace the informal recruitment that prevails at present. It is important that the academic world is given an oppor- tunity to develop its employment structures and recruitment pro- cedures more independently and in more flexible forms than is possible today. The central role of the sector in the knowledge economy in interplay with the rest of the community also increases demands for the area to be given conditions that more closely resemble those applying to the rest of the labour market. The higher education sector is moving from growth to balanced excellence The Swedish higher education system has begun a process of transformation – a new phase in its development. Centuries of more or less expansion appear to have come to an end. On the education side, declining numbers of applications speak for themselves. For research, fulfilment of the EU objective of one per cent of GDP for publically funded civil research – the Strategy – still means continued expansion, but the growing complexity of knowledge production, and endeavours towards concentration, profile development and cooperation mean the end of general growth for everyone. The allocation of resources – both of direct and external resources – will increasingly take place in competitive forms. The pre-conceived idea that growth would be is one major explanation for the weak leadership of higher education institutions, including poorly developed employers responsibility for teachers and researchers, frequently sloppy recruitment routi- nes and a polarised workforce, with many in insecure posts and a high level of employment protection for a minority. Through a culture of internal recruitment with an unclear structure, this has also contributed to a lack of mobility. A well-balanced status quo with regard to higher education places and resources, where success and possible growth increasingly depend on developing profiles, cooperation, expertise and excellence within more or less given frameworks – balanced excellence – requires clearer leadership. In the future, the management of higher education institutions must not only assume greater strategic responsibility for deciding who is to be included in an organisation, but must also build up better mechanisms for caring for them. Researchers must be independent and free in their role as seekers and creators of new knowledge. Academic freedom, however, is not the same as institutional or administrative freedom. Concen- tration, profile development and cooperation together with increa- sed competition for research resources in Europe and globally require greater strategic leadership. The Inquirys point of depar- ture is that this type of more extensive strategic responsibility for an organisation and its staff is conditional on higher education institutions having greater freedom to set up rules for recruitment, appointments and promotion locally. When it comes to scope for fixed-term contracts, regulation of this should take place in colla- boration with the social partners and in the form of collective agreements. In the Inquirys opinion, greater freedom via locally established appointment rules in the higher education institutions employ- ment procedures will automatically lead to them taking greater responsibility. Individual interpretations of the national regulatory framework – often at Head of Department level – can now be replaced by efforts at institutional level to create and apply proce- dures that are adapted to the institutions own specific needs. Decentralised regulatory powers such as these will simultaneously provide a new arena for trade union negotiations. The EU and Community law frameworks In the EU, the and Strategies have led to the of Research Area (ERA). In the research area: new perspectives, the Commission develops its vision of an internal market for research with free movement for researchers, technology and knowledge. The rules for the ERA concerning personnel strategy issues are developed in the Commissions recommendation on a Charter for Researchers and a Code of Conduct for the Recruitment of Researchers (2005/51/EC), which represents an important background docu- ment for the Inquirys proposals. Gender equality and womens opportunities with regard to higher education and research are an important part of EU research policy. Equal treatment of both sexes is also a well-developed area of Community law. Gender mainstreaming – i.e. that gender equa- lity objectives are continually integrated into the design of impor- tant systems and policies – is the general approach and is also the way in which the Academic Career Inquiry has performed its assignment. In the Council Directive concerning the framework agreement on fixed-term work (1999/70/EC) (the Fixed-Term Work Direc- tive) there are rules aimed at improving the quality of fixed-term work and preventing the abuse of consecutive fixed-term appoint- ments. The Fixed-Term Work Directive has served as a guideline for the proposals presented by the Inquiry, both as regards the spe- cial regulations in the Higher Education Ordinance and access to protective regulations and sanctions. Regulation of Higher Education and the Employment Protection The basic rules about when fixed-term employment – fixed-term contracts – are permitted are to be found in the Employment Pro- tection Act. On 1 2007 through amendments to the Employ- ment Protection Act, that which is termed general fixed-term employment replaced a number of previous special regulations on fixed-term contracts, such as project appointments. General fixed- term employment can be used freely, but after 24 months of employment within a framework period of five years, it automati- cally becomes permanent employment. From 1 January 2008, this also includes substitute posts. The conversion of a fixed-term con- tract to an open-ended contract on the basis of the Employment Protection Act may apply to teaching posts such as lecturers and senior lecturers at higher education institutions, but does not apply to professors, nor – under the Inquirys proposals – to associate professors. Appointments other than the specially regulated tea- ching appointments at higher education institutions may be directly based on the Employment Protection Act (LAS). This applies, for example, to researchers, who are called LAS resear- chers in the Inquiry report, i.e. researchers who have obtained their employment under the terms of the Employment Protection Act. The existing career structure and the need for change When examining the existing career structure, the Inquiry has identified a number of shortcomings, illustrated in Figure 1 below. One shortcoming is that there are no clear entrance positions in the academic career. This applies particularly to the early post- doctoral period after a doctoral degree and is symbolised by the post-doctoral cloud. It is, however, also clear that current qualifi- cation-enhancing positions, including those of research assistants and associate senior lecturers are used to a distinctly limited extent. Instead the group of LAS researchers – people who are often on fixed-term contracts based on the Employment Protection Act – has grown considerably in recent years. Researchers (LAS) 5 587* (Postdoctoral fellows) full time equivalents 2006 These shortcomings reduce the attractiveness of the academic career, contribute to the lack of mobility and are bad for gender equality. They thus give rise to concern from the quality point of view, since they mean recruitment in forms other than open com- petition. The latter problem is underlined in the study of post- doctorate careers commissioned by the Academic Career Inquiry – see Appendix 6, The post-doctoral period for people obtaining docto- rates in academic year 1998/99 – which shows that a main route to an academic career today seems to be through conversion of a fixed-term contract as a senior lecturer to one which is open- ended, all under the Employment Protection Act. Another deficiency in todays career structure that can be seen in Figure 1 is that there is no step in the career path after the quali- fication-enhancing positions of research assistant and associate senior lecturer. This becomes particularly clear in an international comparison. It is also reflected in the fact that the Swedish higher education system has maintained the review system for docent (associate professor/reader) despite the fact that this position has long disappeared from the career structure. A review is also made of associate senior lecturers prior to promotion to permanent positions as senior lecturer, and the requirement is that the employee is formally qualified for such an appointment and is in addition deemed suitable in the light of the grounds of assessment established by the institution for promotion. However, lecturers who have obtained their doctoral degrees are also subject to review for promotion to senior lecturers, but in this case, their formal qualifications are sufficient to obtain such appointments. The result is an asymmetrical entry into senior lecturer posts and a lack of clarity in the progression of the career ladder. It would be reaso- nable to expect that after four years in a qualification-enhancing position, a person has achieved a markedly higher level of qualifi- cation than simple formal qualification for a senior lectureship, and that this is also reflected in the career ladder. A coherent career path The Academic Career Inquirys proposals for a new coherent career path for quality are outlined in Figure 2. A coherent job and career structure Researcher (LAS) to be tried for promotion Lecturers with basic eligibility for education at research level The Inquiry makes the assessment that teachers with doctorates are an important quality factor in higher education. While lecturers without doctorates will continue to be needed at higher education institutions, an important structural precondition is that they gene- rally fulfil the requirements for entry into education at research level. For this reason, the Inquiry proposes that basic eligibility for education at research level is introduced as a qualification require- ment for a lecturer. New post-doctoral position – the first step on the career ladder A two-year post-doctoral position will be introduced as a first step on the career ladder. Unlike general fixed-term employment based on the Employment Protection Act, this position can be extended by up to one year for such reasons as parental leave and an exten- sive teaching load. The post-doctoral position will allow a person who has recently taken his or her doctorate to further develop, dis- seminate and make use of his or her research, and will provide an opportunity for reflection and decisions concerning the future direction of his or her career. The position can also be used to combine activities inside and outside academia. A post-doctoral position should be available for application by people who have obtained doctorates no more than three years prior to the applica- tion date, and must be advertised and filled in open competition. Considerably more people than those who subsequently continue in an academic career should be given such positions. The post-doctoral position will help disperse the post-doctoral cloud and replace informal recruitment into general fixed-term employment with recruitment in open competition. It will thus be a clear, attractive career stage for both women and men, which will promote mobility at the early stages of peoples careers. Associate senior lecturer to replace research assistant The position of associate senior lecturer will replace that of research assistant. At present, both are clear qualification-enhan- cing positions in the academic career and the changes in the Employment Protection Act can be expected to lead to greater use of these instead of general fixed-term employment, since both types of employment can last considerably longer than 24 months. Employment as an associate senior lecturer which comprises the right to a review for a permanent position, is an attractive post for both women and men (see Appendix 7, VIP lane or B-team? Study of the associate senior lectureship form of employment). International comparisons show that the position is also an important personnel strategy instrument for promoting quality in recruitment (compare Chapter 3, International comparisons and Appendices 4, Tenure in the and 5, Career structures at universities and other higher education institutions in the ). The risk that staffing needs would be quickly saturated through this type of recruitment, which in the long-term often – but not always – becomes permanent employment, is refuted by the esti- mates for the next ten-year period as presented in Appendix 8, Recruitment and retirement in higher education in the next decade. the post of research assistant, in combination with other opportunities for fixed-term positions, may lead to an inexcusably prolonged series of consecutive fixed-term positions. Associate senior lecturer appointments should be open for application by people with doctorates received no more than five years prior to the application date, and must be advertised and filled in open competition. Here too, there will be scope for extending the period of employment, which is four years in principle, when there are special reasons for doing so. Appointments as associate senior lecturer will be a clear and attractive step on the career ladder for both women and men, which will lead to permanent employment within a reasonable time and will promote mobility in the early phases of peoples careers. At the same time it will be a quality-promoting recruitment instrument both nationally and internationally with the potential of being an alternative to conversions to open-ended contracts on the basis of the Employment Protection Act, primarily in respect of senior lecturer posts. Associate professor – new career stage The associate senior lecturer will be subject to review for promo- tion to associate professor, a new career stage that is needed for a progressive career system. The new career stage will not entail any major change compared with todays career structure, but can be seen as a development of the review conducted when appointing docents. For those currently holding the title of docent, a radically simplified procedure could be used in their promotion to associate professor. It must of course also be possible to use the position of associate professor for external recruitment. Just as is now the case for professors, it should not be possible to obtain a conversion to an open-ended employment contract as an associate professor under the Employment Protection Act, via a substitute position or general fixed-term employment. The new post as associate professor will help make the career structure progressive and consistent. It will make the career more attractive by adding a further career stage and will facilitate national and international recruitment of talented researchers who have not yet reached the level of full professor. All this will increase quality and promote mobility. Coherent employment in several stages with the right to promotion The above flow diagram of the career structure proposed can be interpreted so that the fields coloured in green represent a coherent employment process in several stages. The colour green represents permanent employment. The right to promotion significantly contributes to enhancing the attractiveness of the academic career and gender equality in higher posts. The Inquirys proposals mean that for a teacher who is permanently employed, the path to promotion according to merit is open. This right to promotion naturally also includes the new career stage of associate professor. As has already been noted, promotion from the position of senior lecturer to associate profes- sor should in fact be able to replace todays docent review in the future. The Inquiry also proposes that other academically qualified people in permanent posts – for example those who have acquired permanent positions in research posts under the Employment Protection Act – could, after application, be promoted to a perma- nent post as associate professor or professor. Being able to pro- mote academically qualified staff other than teachers will prevent a shadow structure of other teaching and researcher staff from being made permanent and may become an important from surrounding labour markets into an academic career. Evaluations of the promotion reform have shown that this has essentially become a reform in titles. In the Inquirys opinion this is actually a precondition for retaining the right to promotion. Changes in the conditions of operations require clear scope for strategic managerial decisions and are not compatible with strongly standardised job descriptions. At the same time it is natural that promotion is accompanied by a certain wage growth and that the employer uses staff according to their skills. The appointment process – deregulation and greater self- determination The Academic Career Inquiry proposes that a clear career path and career structure continue to be regulated in the Higher Education Ordinance. Higher education institutions are however authorised, in their appointment rules, to issue provisions on teaching catego- ries, with the exception of professors, other than those given in the Higher Education Ordnance, and on the assessment grounds that are to apply when appointing and promoting such teachers. The appointment rules must also include the rules that the higher edu- cation institution applies with regard to appointments, promotions and positive action. The higher education institution may also include in these rules more detailed provisions on the eligibility requirements and assessment grounds that are to apply concerning the teaching categories regulated in the Higher Education Ordi- nance. Review procedure to continue It will still be possible to apply for review of an appointment deci- sion via for Higher Education, but now in the light of both the regulations in the Higher Education Ordinance and the local appointment rules of the higher education institution. In this matter, the Inquiry finds that application of Convention for the Protection of Human Rights and Fundamental Freedoms and developments in concerning the review of central government appointment decisions in general, has led to the Inquiry being unable at present to come to any other conclu- sion. In future, however, there should be scope, in a broader con- text – central government appointments in general – to consider whether the extent of review procedures should be limited, and no longer comprise a full review of the decision appealed, but consist primarily of cassation and/or damages, as in the rest of Europe. Eligibility requirements for employment as a professor, associate professor and senior lecturer are proposed to include academic, pedagogical and other expertise and to require training in teaching and learning methods in higher education. According to the main rule, a person is qualified for appointment as a lecturer if he or she has basic eligibility for studies at research level. For the post-doc- toral and associate senior lecturer qualification-enhancing posi- tions, the main criteria to be used in an assessment are the require- ment for a doctorate and academic expertise. As previously, the discipline for the appointment after promo- tion must normally be the same as that of the previous appoint- ment, but can be changed via a decision of the vice-chancellor. The vice-chancellor also determines the name of the discipline when promoting an academically qualified person other than a teacher. Preparation of appointments to be regulated locally It is proposed to abolish most of the many rules of the Higher Education Ordinance concerning appointment procedures, inclu- ding the rules involving expert opinions, and to replace them by local regulations in the appointment rules of each higher education institution. However, the Higher Education Ordinance still con- tains rules on requirements for advertising vacant posts and a rule that the body preparing appointments and any expert groups are to be adequately balanced with regard to gender representation. The specific eligibility rules and assessment grounds that exist for diffe- rent teaching positions, and the principles generally applying to the exercise of official authority will continue to require thorough pre- paration of appointments in higher education institutions that will often include some type of external assessment. This applies in particular to the qualification-enhancing position of associate senior lecturer and the posts of associate professor and professor – those posts in which attainment of a conversion of the employ- ment contract under the Employment Protection Act is not pos- sible. The higher education institutions credibility in national and international contexts also requires careful regulation of the appo- intment procedure in the appointment rules. Nomination as a gender equality tool The possibility to nominate a specific person to an appointment as professor will be introduced. The rule is designed as a gender equa- lity tool. If there is unequal gender distribution, a person of the underrepresented sex can always be nominated. Otherwise, when there is an unequal gender distribution, nomination requires exceptional grounds. If the point of departure instead is equal gender distribution, special grounds are sufficient. The vice-chan- cellor is always the person to take the strategically important deci- sion to nominate a professor, and this right to decide cannot be delegated.