© 2018 International Bank for Reconstruction and Development / The World Bank 1818 H Street NW Washington DC 20433 Telephone: 202-473-1000 Internet: www.worldbank.org This work is a product of the staff of The World Bank with external contributions. The findings, interpretations, and conclusions expressed in this work do not necessarily reflect the views of The World Bank, its Board of Executive Directors, or the governments they represent. The World Bank does not guarantee the accuracy of the data included in this work. The boundaries, colors, denominations, and other information shown on any map in this work do not imply any judgment on the part of The World Bank concerning the legal status of any territory or the endorsement or acceptance of such boundaries. Rights and Permissions The material in this work is subject to copyright. Because The World Bank encourages dissemination of its knowledge, this work may be reproduced, in whole or in part, for noncommercial purposes as long as full attribution to this work is given. Any queries on rights and licenses, including subsidiary rights, should be addressed to World Bank Publications, The World Bank Group, 1818 H Street NW, Washington, DC 20433, USA; fax: 202-522-2625; e-mail: pubrights@worldbank.org. Contents 4 Report 1: ACADEMIC CAREERS: LEARNING FROM GOOD INTERNATIONAL PRACTICE 156 Report 2: ACADEMIC CAREERS IN LATVIA: STATUS QUO REPORT 220 Report 3: ACADEMIC CAREERS IN LATVIA: RECOMMENDATIONS Report 1 ACADEMIC CAREERS: LEARNING FROM GOOD INTERNATIONAL PRACTICE 22 December 2017 Contents 11 Abbreviations 13 Executive Summary 15 1 Introduction 15 1.1 Purpose and Structure of the Report 16 1.2 Introduction to the Topic 19 2 Early-Stage Researchers: Doctoral Candidates and Postdoctoral Fellows 20 2.1 Doctoral Candidates and Programs 23 2.2 System-Level Framework Conditions 28 2.3 Anchoring the Doctorate in the Institution 28 Creating a Stimulating Research Environment 30 Doctoral Schools 33 Supervision of Doctoral Candidates 37 Admissions 38 Progression and Assessment 40 Components of Doctoral Training 44 Quality Assurance 45 2.4 Managing the Doctorate with Partners 47 Interinstitutional Cooperation 48 International Partnerships 50 Collaborative Doctorates with Industry 53 2.5 Outlook on the Postdoctorate 53 What is a Postdoctorate? 53 Career Prospects 54 2.6 Reform Process toward New Models and Procedures 55 2.7 Key Learnings and Good Practice Criteria 55 Key Developments in the Field of Doctoral Training 56 Good Practice Criteria 59 3 Academic Selection and Promotion 59 3.1 Introduction: The Status and Role of Academics 62 3.2 System-Level Regulation of Academic Careers 64 3.3 General Career Patterns 64 Academic Staff Categories 69 Open Vacancy Model, Career-Based System, Tenure Track, and Promotion 72 Retirement 73 Different Career Paths 80 3.4 Selection and Recruitment of Academic Staff 82 Connection of Personnel Policies to Institutional Profiles and Strategies 83 Professionalization of Actors Involved 84 Formalization, Transparency, and Fair Recruitment 86 Process Design 88 Human Resource Services 90 3.5 Career Advancement in Academic Careers 90 Promotion Patterns 92 Career Development 94 Performance Evaluations 94 Aspects of Process Design 99 3.6 International Mobility in Academic Careers 101 3.7 Reform Process toward New Models and Procedures 101 3.8 Key Learnings and Good Practice Criteria 105 4 Remuneration 106 4.1 Trends in Remuneration of Academics 108 4.2 Intrinsic versus Extrinsic Motivation – Basic Questions of Incentivizing Academic Performance 110 4.3 What is Regulated at the System Level? 113 4.4 Defining and Measuring Performance 114 Performance Dimensions 117 Assessments 118 4.5 Linking Performance to Remuneration Models and Procedures 119 Types of Monetary Rewards 121 Aspects of Performance-Based Salary Model Development 125 Procedural Considerations 126 Responsibilities at the Institutional Level 127 4.6 Remuneration and Financial Management 128 4.7 Reform Process Toward New Models and Procedures 130 4.8 Key Learnings and Good Practice Criteria 133 5 Outlook 133 5.1 Toward Strategic Human Resource Management 135 5.2 Summary of Criteria 141 Annex 1. The “Supervisory Agreement and Study Plan for Doctoral Studies” of Finland’s University of Tampere School of Management 146 Annex 2. The “Agreement on Joint Doctoral Studies and Supervision (Cotutelle)” of the University of Tampere 151 References Boxes 20 Box 1 European Union policy developments 51 Box 21 The Professional Doctorate in Engineering in the field of doctoral training (PDEng) at Dutch technical universities 22 Box 2 The arts-based doctorate in Austria 52 Box 22 The Industrial Agreement for Training Through Research (CIFRE) fellowship 23 Box 3 Doctoral Education in the proposed Polish in France Law on Higher Education and Science 52 Box 23 University of Leiden’s “Dual PhD” 24 Box 4 Key provisions of the Salzburg II Recommendations 68 Box 24 European four-stage career model 25 Box 5 Portugal: Accreditation criteria for staff 70 Box 25 Obtaining a permanent contract under the proposed Polish Law on Higher Education 26 Box 6 The role of quality assurance and Science in determining which institutions can deliver the doctorate 73 Box 26 Retirement in academia 28 Box 7 Use of state funding for doctoral studies 73 Box 27 The “Professor Emeritus” Status at in the Netherlands Vilnius University, Lithuania 29 Box 8 Quality Assurance Agency for Higher 75 Box 28 The engagement of professionals as Education’s part-time lecturers 32 Box 9 The doctoral school at the University of 77 Box 29 International dimension of basic units Andorra and academic careers 33 Box 10 Interdisciplinary graduate program at 79 Box 30 “The three careers of an academic” the University of California, Berkeley 80 Box 31 “The entrepreneurial academic” 34 Box 11 Doctoral Supervision — Practices — University of Twente, the Netherlands and Responsibilities 85 Box 32 Women in academia 35 Box 12 Developing a national approach to 85 Box 33 Procedural safeguards and affirmative the training of academic supervisors in Ireland action policies in the University of California 39 Box 13 Improving PhD Completion Rates: 89 Box 34 Aalto University: Welcoming international University of Adelaide, Australia researchers 41 Box 14 QAA’s Characteristics of doctoral 91 Box 35 Competencies needed in four-step career graduates model 41 Box 15 UC Berkeley: Graduate Programs 93 Box 36 The promotion of innovation skills at Assessments and Outcomes the University of Strathclyde, United Kingdom 43 Box 16 Professional skills training at Imperial 94 Box 37 Professional support for researchers’ College, London, UK career development — Vitae in the United 46 Box 17 Managing the doctorate with partners: Kingdom 19 indicators of sound practice 95 Box 38 Tenure in Aalto university 47 Box 18 The interinstitutional doctoral school at 96 Box 39 Evaluation for promotions in Aalto tenure Université Paris-Est, France track 48 Box 19 Internationalization strategy at 98 Box 40 Tenure track at the Tallinn University of the University of Bergen Technology, Estonia 50 Box 20 International co-tutelles — The French 99 Box 41 Estonian program on attracting foreign national framework staff 100 Box 42 International dimension of academic careers 120 Box 48 University of Oxford — Balancing permanent increases and bonuses 109 Box 43 Design of incentive systems — balancing extrinsic and intrinsic factors 121 Box 49 Finland — Example of a matrix model determined at the system Level 111 Box 44 What is regulated at the state level — comparing Germany with the Netherlands 124 Box 50 Performance-based salary model of the University of Bremen, Germany 112 Box 45 The role of unions vis-a ` -vis the remuneration of academics — Germany, 127 Box 51 Financial management issues Austria, and United Kingdom and the introduction of the W salary scheme in Germany 115 Box 46 Performance criteria at the Royal Institute of Technology (KTH), Sweden 129 Box 52 How to develop a PBS model at an HEI? 118 Box 47 Post-tenure performance monitoring of 134 Box 53 Human resource management in higher associate/full professors at the TU Munich education institutions — A functional approach Figures 21 Figure 1 Primary legal status of doctoral 90 Figure 9 Family Program at Aalto University candidates in Europe 93 Figure 10 The strategic plan of the University of 31 Figure 2 The positioning of doctoral schools Strathclyde within European higher education institutions, 96 Figure 11 Tenure track at Aalto University 2013 (in percent) 96 Figure 12 The continuous development of Aalto 31 Figure 3 Share of European higher education tenure track system institutions with doctoral schools, 2006–13 (in percent) 98 Figure 13 Tenure track at Tallinn University of Technology, Estonia 51 Figure 4 Average importance of different activities in fostering ongoing professional relations 107 Figure 14 Overview of incentive systems between companies and universities, different 121 Figure 15 The Finnish performance-based salary years (2010–12) system (“YPJ”) 65 Figure 5 Professional and nonprofessional tasks 125 Figure 16 The multistage model for the University in higher education of Bremen 75 Figure 6 Phases of the engagement of part-time 134 Figure 17 A function-based approach lecturers to human resource management in higher 77 Figure 7 Worldviews and competitive horizons education 79 Figure 8 The three careers of an academic and their connections Tables 60 Table 1 Continuums and changes in the status 88 Table 8 Different types of recruitments and role of academics 89 Table 9 Organizing principles of HR services 66 Table 2 Career steps by country and their strengths and weaknesses 68 Table 3 Bottlenecks and good practices for 106 Table 10 Total rewards strategies different career stages 122 Table 11 Example for levels of task 70 Table 4 Potential strengths and weaknesses of requirements career- and position-based career models 123 Table 12 Salary scales for teaching 76 Table 5 Typology of career types and research staff, valid as of February 1, 2016 (in EUR) 82 Table 6 Recruitment types: The example of Finnish practices, titles, and tasks 135 Table 13 Overview of the criteria for good system- and institution-level human resource 87 Table 7 Instrument for analyzing complex policies recruitment processes in higher education — the example of the recruitment of Finnish professors REPORT 1: Academic Careers: Learning from Good International Practice | 11 Abbreviations A3ES Agency for Assessment and Accreditation of Higher Education (Portugal) ANRT Association nationale recherche technologie BFUG Bologna Follow-Up Group BSRS Bergen Summer Research School on Global Development Challenges CHE Centre for Higher Education CHEPS Center for Higher Education Policy CIFRE Industrial Agreement for Training Through Research (France) COMUE Communauté d’universités et d’établissements CRAC Careers Research and Advisory Centre (UK) DIT Dublin Institute of Technology EC European Commission ECTS European Credit Transfer and Accumulation System EID European Industrial Doctorate EJRA Employer Justified Retirement Age EQF European Qualifications Framework for Lifelong Learning ERA European Research Area ESF European Science Foundation EU European Union EUA European University Association EUA-CDE European University Association — Council for Doctoral Education HEI higher education institution HR human resources HRM human resource management IoT Institute of Technology (Ireland) JOIMAN Joint Degree Management and Administration Network KIvI Royal Netherlands Society of Engineers LERU League of European Research Universities MoES Ministry of Education and Science (Latvia) NAIRTL National Academy for Integration of Research, Teaching and Learning OECD Organisation for Economic Development PBS performance-based salary PD Professional doctorates PDEng Professional Doctorate in Engineering (the Netherlands) 12 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers QAA The Quality Assurance Agency (United Kingdom) QQI Quality and Qualifications Ireland SME small and medium-sized enterprise TUT Tallinn University of Technology, Estonia UAS University of Applied Sciences UPE Université Paris-Est uniko Österreichische Universitätenkoferenz (University Austria) UT University of Twente, the Netherlands REPORT 1: Academic Careers: Learning from Good International Practice | 13 Executive Summary rnational Practice Academic careers are an important aspect of higher education policies and practice, and thus impact countries’ competitiveness beyond the narrow field of human resources (HR) management in higher education. High-quality aca- demic work conducted by well-selected, supported, and incentivized academics is a major output of higher education. Therefore, countries compete in designing efficient HR policies that support national and institutional higher education stra- tegies and their implementation, and help attract into the academic profession the best and the brightest from within and beyond national borders. This report investigates how selected governments and higher education institutions (HEIs) in Europe and beyond shape key aspects of the career trajectories and employment conditions of academics, and derives normative criteria for good system- and institution-level HR policies from this analysis. Based on the relevant research literature, the examination of selected cases of good practice, and the authors’ experience in the field, the report covers (1) doctoral training and the postdoc (2) the selection and promotion of academics, and (3) the remuneration of academics. The three corresponding chapters address system-level regulations and policies, and the policies and practices within HEIs. Doctoral training and, optionally, the subsequent postdoc lay the groundwork for an academic career. Countries and institutions all over the world thus design policies and practical approaches to ensure that doctoral training is research based and clearly structured, and that it takes place in a conducive environ- ment. That applies to institutional arrangements in terms of admission and super- vision, doctoral programs and schools, financing for institutions and individuals, and clear and suitable arrangements for the conferral of the doctoral degree. National frameworks conducive to academic careers promote a clearly struc- tured approach to, and transparency of, academic careers. National regula- tions also play an important role in ensuring international recognition and compa- rability of academic careers and positions. Such policies enable the recruitment of (international) talent, and the integration of academics and their work in an inter- national environment. These policies support the mobility between higher educa- tion and other sectors of society. Institutional policies need to support the transpa- rency, fairness, and predictability of academic careers. Well-designed institutional career policies align approaches to recruitment, promotion, and remuneration with the institutional mission and strategy. Recruitment is one of the most important tools for the profiling of HEIs and for implementing their vision. By aligning promotion patterns with the institutional mission, institutions can motivate their employees to contribute to the achieve- ment of institutional goals, and develop a balanced approach toward, and 14 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers an appreciation of, the different core tasks of HEIs — namely, research, teaching, and service — and of administrative duties. The design of remuneration models is another instrument that allows HEIs to create incentives that support performance in line with institutional mis- sions. Such models need to be designed in a transparent manner; they need to be perceived as clear and support the motivation of staff, instead of crowding it out. Well-designed performance-based salary models balance stability with per- formance orientation, and appreciate the diversity of tasks and roles that support institutional missions. The various aspects of academic careers can be combined by institutions in a framework for strategic HR management that aligns different HR tools with system- and institution-level strategies and policies. REPORT 1: Academic Careers: Learning from Good International Practice | 15 1 Introduction 1.1 Purpose and Structure of the Report This report investigates how selected governments and higher education institutions (HEIs) in Europe and beyond shape key aspects of the career trajectories and employment conditions of academics, and derives normative criteria for good system- and institution-level human resources (HR) policies from this analysis. Based on the relevant research literature (including scholarly articles, policy reports, and consultative papers), the examination of selected cases of good practice, and the authors’1 expertise and experience in the field and their perspective on successful examples, the report covers (1) doctoral training and the postdoc, (2) the selection and promotion of academics, and (3) the remuneration of academics. The three corresponding chapters address system-level regulations and policies, and the policies and practices within HEIs. The report identifies normative requirements that good system- and institution- level HR policies must fulfill, and uses selected case examples to highlight some key points of the analysis and practices that are considered promising by the authors. A concluding chapter provides an outlook on strategic HR management and summarizes the criteria for good system- and institution-level HR policies. Those criteria are developed to serve as the normative basis for an analysis of the status quo in Latvia, of which results will be published in a second report. Building on the criteria and the status quo analysis, a third report — to be published in spring 2018 — will provide recommendations on how to improve system- and institution-level HR policies in Latvia. All three reports are part of a series of World Bank advisory services on higher education in Latvia. The first World Bank higher education advisory service was carried out in 2013/14, and addressed the Latvian higher education funding model on the system level. It led to the introduction of a new, three-pillar funding model including a performance-based funding pillar. The second higher education project with World Bank support2 started in 2016. In the first of its two phases, it turned to the internal funding models and governance arrangements of Latvian HEIs. It focused on the effects of the system-level reforms, particularly on the HEIs’ responses to the introduction of the performance-based funding pillar. 1 Members of the World Bank team that authored this report are Dr. Nina Arnhold, Senior Education Specialist and Task Team Leader, World Bank; Dr. Elias Pekkola, University of Tampere, Finland; Vitus Puttmann, Consultant, World Bank; and Dr. Andrée Sursock, Senior Adviser at the European University Association (EUA). Adjunct Professor Jussi Kivistö, University of Tampere, Finland; Profes- sor Hans Vossensteyn, Director of the Center for Higher Education Policy (CHEPS), the Netherlands; and Professor Frank Ziegele, Director of the Centre for Higher Education (CHE), Germany, provided substantial input and comments. 2 This report uses the term “project” for this World Bank higher education advisory service. 16 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers The project’s second phase — which comprises the three reports mentioned — covers doctoral training and the postdoc, the selection and promotion of aca- demics, and their remuneration. 1.2 Introduction to the Topic People are the most valuable resource for higher education systems and institutions. For all their activities (from teaching, to research, to valorization3), HEIs depend on the quality of their (academic) staff body to a greater extent than most other organizations. The related mechanisms for preparing and selecting individuals to academic positions comprise four basic phases: an initial phase of socialization via doctoral training; the entry into academia via selection processes; career advancement regulated by promotion processes; and a phase of leaving the higher education sector surrounding retirement. All those phases are framed by specific arrangements of working conditions of academics, including their remuneration. A basic objective for governments and HEIs therefore is to ensure that the right candidates with the highest potential reach and are maintained in the best positions. That requires that all the phases mentioned are designed in an appropriate way: doctoral training must prepare candidates well; selection processes must ensure that the right person is chosen; and promotion processes and remuneration need to reward the performance of academics. Moreover, the design of career systems as a whole needs to make academic careers an attractive option. Traditionally, there has been only one career track in aca- demia, leading to the professorship. The selection processes for that track have always involved a struggle between an academic community of scholars making selection decisions, and influence from the state. However, that model has started to change as the result of new important influences. Several developments within and outside of the higher education sector have provoked a gradual yet sustained change of the employment conditions and career trajectories of academics.4 Three drivers of change stand out in that respect: a transformation of the academic profession leading to a greater diversity of academics’ activities and career trajectories, a new approach to academic careers and staff development by HEIs, and a growing interest of governments in their country’s pool of higher education academic staff. Even though national traditions and regulatory frameworks are still decisive factors, there are several broad development trends common to many higher education systems. The number and variety of tasks that academics engage in have increased, resulting in a differentiation of activity profiles and career trajectories. The traditional notion of an academic as someone who engages exclusively and 3 Examples for activities falling under this category are research cooperation and study programs designed together with the business sector, continuing professional development in a lifelong learning context, widening participation of nontraditional students, contribution to developing or partner coun- tries, spin-off companies, and different forms of direct interaction with society. 4 In this report, the terms “academic” and “academic staff” refer to HEIs’ staff members whose main responsibility is teaching and/or research (see also Eurydice 2017, 14). That definition excludes staff members with primarily administrative responsibilities, technical staff, and secretarial/support staff (for a detailed discussion of staff categories see Chapter 3.3 Academic Staff Categories). REPORT 1: Academic Careers: Learning from Good International Practice | 17 simultaneously in (basic) research and teaching is no longer appropriate (Kogan and Teichler 2007). One important reason for that is the diversification of demands directed at HEIs. That has its source in the increasingly heterogeneous student body, in societies’ interest in an efficient and effective use of public funding channeled to higher education, and in the business sector’s growing realization of the value of higher education outputs (such as from applied research). HEIs react to those demands by adapting their activities, and (at least in some cases) by developing institutional profiles that focus on certain types of activity. Those reactions also affect academics, who experience a similar need to engage in new activities and profile development (Eurydice 2017). In addition, closer relation- ships between the higher education sector and its environment expanded some career avenues for academics, for example, with regard to the transition to the private sector. Those combined developments result in a new diversity in the work of academics and their potential career paths. A growing necessity and expanding possibilities for HEIs to strategically develop their academic staff contribute to the change in academic employ- ment conditions and careers. Responding to a diverse set of external demands and establishing an institutional profile by giving priority to some of them have become important tasks for HEIs. The same holds true for the strategic steering of HEIs toward institutional objectives by an HEI’s management. Those tasks require developing a staff body that fits the institutional profile, and ensuring a steering of academics’ activities toward institutional objectives. At the same time, attracting and retaining good academic staff members is increasingly challenging, and the international competition of HEIs for high-performing academics has inten- sified. Moreover, attractive employment opportunities in the private sector make it particularly difficult to fill academic positions and retain promising candidates in some fields. To cope with those challenges, HEIs have started to revise their HR policies and to approach matters of academic staffing strategically — from doctoral training and selection and promotion processes, to remuneration, proactive staff development, and matters of retirement. The evolving strategic approach to HR management is facilitated by the growing autonomy of HEIs. A decline in direct government influence on HEIs grants them greater freedom in the areas of staffing and funding. That enables HEIs to design key processes covering their academic staff body, and furthermore shifts the main responsibility for staff development to the HEI’s leadership. Policy initiatives resulting from a greater attentiveness of governments to their country’s pool of academics are another major influence. HEIs bear the main responsibility for the development and management of academics and their careers, but governments set important framework conditions and policies. The interest of governments — as well as of supranational actors such as the European Union (EU) — in adapting those framework conditions and devising new policies and programs intensified for different reasons. The mere growth of academic staff numbers in recent decades increased their importance as an object of policy interventions. The relevance of academics as a driving force for innovation and economic development amplifies that trend. A first set of regu- lations and policies pertaining to academics cover issues of general interest that also apply to other parts of the labor force. That includes regulations on wages, conditions of employment (for example, the duration of employment contracts), and fair recruitment and promotion processes (for example, with respect to equal opportunities). There are, however, also regulations and policies specific to the higher education sector. Those address, for example, the attractiveness of careers 18 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers in academia and science, the internationalization and mobility of the academic staff body, and the possibilities for strategic staff management by HEIs. The changes in the field of academic employment and careers raise one crucial question: How can an overall system of well-adjusted system- and institution-level HR policies be established? The various developments and the activities of HEIs and governments mentioned interact in their influence on employment conditions and career trajectories in academia. They might reinforce or thwart each other. Especially in the face of the challenges that make a new approach to human resources in the higher education sector necessary on the side of HEIs and governments, it is crucial to develop a sound overall approach in this field. Any specific approach is of course dependent on the traditions and framework conditions within a country, and on the histories and profiles of HEIs. Nevertheless, by focusing on shared challenges and objectives, it becomes possible to identify the following three aspects: crucial elements of the employ- ment conditions and career trajectories of academics, choices that must be made when designing them, and the implications of these choices. That in turn allows for identifying basic requirements for good system- and institution-level HR policies — as this report seeks to do with a focus on the areas of doctoral training and the postdoc, the selection and promotion of academics, and their remune- ration. REPORT 1: Academic Careers: Learning from Good International Practice | 19 2 Early-Stage Researchers: Doctoral Candidates and Postdoctoral Fellows Doctoral education and training5 represents the first step in an academic’s career, which lays the foundations for successful and meaningful employ- ment within and outside academia later on. The character of that step changed drastically in the past decade, especially in Europe. The main reason for this change is that doctoral training is believed to provide the best quali- fications for the creation, implementation, and diffusion of knowledge and innova- tion, and therefore is viewed as one of the crucial links between the European Research Area (ERA) and the European Higher Education Area (EHEA) (see, for example, Kehm 2007 and Auriol 2010). There are three main implications resulting from that development. First, expec- tations about doctorate holders have changed radically. They are expected to be both specialists in their subject matter and academic discipline and to be equipped with a range of professional skills allowing them to be well-rounded researchers and professionals who can occupy both academic and nonacademic positions. Second, there is increased pressure on doctoral-granting institutions to ensure that their students complete their studies on schedule, which means that doctoral candidates face increasing pressure to establish a record of signifi- cant academic accomplishments within a limited time period. Third, the inclusion of the doctorate as the third cycle into the Bologna Process and related European Union (EU) policy developments (for an overview see Box 1) marked a turning point and triggered a change process that was rapid and broad in its scope in Europe. 5 This chapter refers to doctoral education and doctoral training interchangeably because the third cycle is in fact about both: it generally includes taught elements (hence, it is about education), but it also provides training to become a researcher. 20 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Box 1 European Union policy developments in the field of doctoral training Doctoral training became an important topic of EU-level policies in the fields of higher education and science. The Bologna Process was initially focused on the first two cycles. Upon the request of the Bologna Follow-Up Group (BFUG) in 2003, the European University Associa- tion (EUA) developed the “Salzburg Principles,”a which provided a framework for doctoral training in Europe. These principles were adopted by the Ministers of the Bologna signatories in the 2005 Bergen Communiqué. The EUA was asked to continue its work on the topic by, among others, preparing a report on doctoral training that includes an analysis of the organization and funding of doctoral education at the national level. In 2010, the EUA revisited the Salzburg I recommendations and issued the Salzburg II recommendations, which was based on the experience gathered since Salzburg I (see Box 4). In parallel, the European Commission published the European Charter and Code for Researchers.b This document sets out a range of important criteria for recruiting and managing researchers, which also pertain to doctoral education. The code covers “General principles and requirements applicable to researchers,” “General principles and requirements applicable to employers and funders,” and a “Code of Conduct for the recruitment of researchers.” The principles and requirements include: • The responsibility of senior researchers to support younger researchers in their development, and related responsibilities of employers and funders; • A perspective of employers and funders on researchers as professionals with a career path that starts at the postgraduate level; • Fair, equitable, and attractive remuneration (also) for early-stage researchers; • The support of researchers’ career development by employers and funders; • The support of researchers’ mobility by employers and funders; • Preserving early-stage researchers from too-heavy teaching workloads; • Suitable training for teaching and coaching activities as part of the professional development of researchers; • The provision of career development opportunities in the case of recruitments for postdoctoral appointments. The European Commission (EC) developed the “HR Excellence in Research Award”c to support implementation of the code. The award is given to institutions that have implemented the code, which helps them to publicize the quality of their human resources procedures and obtain European research funding. Source: Authors based on the European Charter and Code for Researchers (https://euraxess.ec.europa.eu/sites/default/files/am509774cee_en_e4.pdf); EC 2005. Note: a. http://www.eua.be/Libraries/newsletter/Salzburg_Conclusions.pdf?sfvrsn=0. b. https://euraxess.ec.europa.eu/sites/default/files/am509774cee_en_e4.pdf. c. https://euraxess.ec.europa.eu/jobs/hrs4r. Doctoral-granting institutions started to address the competing needs related to the training of early-stage researchers, while at the same time govern- ments and other higher education stakeholders supported implementation of the framework conditions outlined above. The efforts of both HEIs and system- level stakeholders revolved around the quality of doctoral education and training. At the system level, new regulations, guidelines, and criteria were introduced for that purpose. HEIs adapted their structures and policies on the doctorate, especially with respect to the research environment they provide, the manage- ment of doctoral education, supervision arrangements, and quality assurance processes. 2.1 Doctoral Candidates and Programs The doctorate level is considered as the early stage of an academic career, but also as the final step in education and training. Although the bulk of docto- rate holders work outside academia, because research training is central to the third cycle, the doctorate is seen traditionally as the first milestone in an academic career. For instance, the European Commission refers to doctoral candidates as REPORT 1: Academic Careers: Learning from Good International Practice | 21 first-stage researchers and defines them as individuals doing research under supervision in industry, research institutes, or universities (EC 2011, 7). Nevertheless, a recent Eurydice study shows that the majority of national systems in Europe consider doctoral candidates primarily as students. This relates to doctoral candidates receiving a student card and having access to a variety of student services and benefits, including student accommodations and medical insurance. However, there are European countries (Norway, Switzerland) where an employee status for doctoral candidates is more common (see Figure 1) (Eurydice 2017, 30). In the Netherlands, next to many doctoral candidates with a university employee status, there are also many doctoral candidates paid by grants, scholarships, their employers, companies, and so forth, who have no employee status. They often do a PhD part-time. In some countries, doctoral can- didates can have both student and employee status, (for example, in Denmark, Finland, France, Germany, and Sweden) (Eurydice 2017, 30). In other countries (Hungary, Latvia, Lithuania, and Poland), it is possible to earn a doctoral degree without formal student status or participation in a doctoral program. Figure 1 Primary legal status of doctoral candidates in Europe Source: Authors adapted from Eurydice 2017, 30. Note: BE de = Belgium – German-speaking Community; MT = Malta. In a given country, one doctoral candidate can have multiple statuses. Statuses such as student, employee of a university or a private company, or self-employed can exist side by side and are most probably related to funding sources (Jorgensen / 2014). According to Jorgensen, / the diversity and parallelism of statuses can com- promise a clear definition of rights and responsibilities on the side of individuals and HEIs, with a possible negative impact on the training of doctoral candidates. Little is known about the funding support for doctoral students across Europe. Eurydice has done most work on national support systems for under- graduates, leaving out the third cycle (for example, Eurydice 2015). In Eurydice’s 22 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers latest report on academic staff, it is possible to infer limited information on doc- toral student support when looking at their status. In Switzerland and Norway, most doctoral candidates have an employment contract related to their PhD; in the Netherlands, it is the case for around half of all doctoral candidates; in other countries, at least 30 percent of all doctoral students have an employment con- tract related to their PhD. This is the case in Denmark (90 to 95 percent have a contract), Luxembourg (80 percent), Germany (64 percent), Sweden (62 per- cent), Finland (50 percent), Slovenia (37 percent), and France (32 percent) (Eury- dice 2017, 30).6 Original research remains the core component of doctoral training, but new forms of doctorates challenge the classical definition of the doctorate. Tradi- tionally, the doctorate has been defined as an intensive training through indepen- dent research under supervision and aimed at creating new knowledge. More recently, new forms of doctorates have required a refinement of this definition. For example, the UK evaluation agency states that doctoral candidates “must de- monstrate an original contribution to knowledge in their subject, field or profes- sion, through original research or the original application of existing knowledge or understanding” (QAA 2015, 3; italics added). This statement points to the emer- gence of new forms of doctorates such as professional and practice-based docto- rates, which have increased in numbers in the UK (CRAC 2016, iv). They allow in- dividuals working in the professions to pursue doctorates in their professional fields. This development is partly related to efforts in art-based disciplines to be allowed to train and award doctorates that would be fully recognized in meeting the standards of the traditional academic doctorates. These efforts led, for example, to arts-based doctorates in Austria (see Box 2). A National Qualifications Framework, aligned with the Framework for Qualifi- cations of the European Higher Education Area, is an essential foundation for the establishment of different types of doctorates; it ensures their transpa- rency as well as their articulation with other degrees. Box 2 The arts-based doctorate in Austria An amendment of higher education legislation in Austria enabled the development of arts-based doctoral programs. The legal reform established a framework for obtaining a doctoral degree based on artistic work. As stated by Universities Austria (uniko), the national association of universities: “Doctoral studies may be operated as scientific research, artistic-scientific research (‘arts based research’) or artistic studies. It should also be possible to run doctoral studies as interdisciplinary studies without assignment to any scientific discipline.” The changes in Austria were explicitly related to similar developments in doctoral training in other countries. The legislative change is perceived to allow Austrian art universities to develop further their distinct profiles via offering doctoral programs that go beyond research-based doctoral studies. Source: Authors based on Braidt 2016. Note: The authors gratefully acknowledge permission received from the EUA-CDE to extensively quote its work in this report. 6 Additional, yet by now slightly dated data on modes of doctoral student funding were generated via a survey among Bologna Follow-Up Group (BFUG) member countries in 2006 (EUA 2007). The survey revealed that scholarships/fellowships/grants were the most important form of financial support for doctoral students, while in many countries, salaries or teaching assistantships were also offered to doctoral students. In general, most countries exhibited a mix of funding modes. REPORT 1: Academic Careers: Learning from Good International Practice | 23 2.2 System-Level Framework Conditions Growing attention paid to the different aspects of the third cycle by policy makers and other higher education stakeholders led to a new perspective on the doctorate. European policy developments resulted in a shift in perspective on the doctorate with far-reaching implications for governments and doctoral-gran- ting institutions. The traditional notion of the doctorate in Europe consisted of a doctoral candidate being admitted to a program by one professor under whom she or he produced original research. European policy developments (see Box 1) challenged these notions and placed greater emphasis on the link of doctoral programs to the Master’s degree, taught courses as part of doctoral training, and better supervision. The European Qualifications Framework for Lifelong Learning (EQF) amplified this trend by specifying standards in the form of learning out- comes (descriptors) for the doctorate. The responsibilities of HEIs in the field of doctoral training was strengthened. The provisions of the European policy framework on doctoral training, especially in the Salzburg II Recommendations, provides a comprehensive overview of important institutional conditions and requirements vis-a ` -vis doctoral training. It is clear from the overview presented in Box 4 that many of the principles embedded in the Salzburg II recommendations highlight the responsibilities of the doctoral-granting institutions for the quality of their doctoral programs. In parallel, doctoral education became the target of national policy interven- tions in the form of national-level frameworks, guidelines, and regulations. This included developing national frameworks for doctoral education (for example, in Ireland and the United Kingdom), including consideration of the third cycle in quality assurance frameworks, and regulating doctoral education in greater detail in the national legislation — such as in the proposed draft law for Poland (see Box 3). Box 3 Doctoral Education in the proposed Polish Law on Higher Education and Science The new draft Law on Higher Education and Science in Poland comprises several provisions on doctoral education in line with European trends and conducive to promoting its quality.a The new draft law stipulates that doctoral education must take place in doctoral schools (even though there is also a possibility to acquire a doctorate as an external candidate), which can be established in cooperation of doctoral-granting institutions. Key provisions on the doctoral schools include: • That access takes place via competition; • That doctoral education is based on a curriculum and an individual research plan, whose implementation is evaluated; • That doctoral candidates can engage in teaching in the form of an apprenticeship, with a defined maximum number of teaching hours per year; • That doctoral schools are subject to evaluations that cover, among others, the quality of recruitment processes and of the support that docto- ral candidates receive for conducting research; • That in the case of closure of a doctoral school, doctoral candidates must have the possibility to continue their education at another doctoral school. In addition, all doctoral candidates are supposed to receive a scholarship. The scholarship’s amount should be at least 110 percent of the mini- mum wage in Poland until the mid-term evaluation of the individual research plan, and at least 170 percent afterward. Source: Authors based on the draft Polish Law on Higher Education and Science (from September 16, 2017). Note: a. Since the law is currently in the drafting stage, there might be changes to the provisions presented here. 24 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Designing national-level frameworks requires looking for the appropriate balance between institutional autonomy and accountability and between regulation and creativity. A precondition for such a balance is a national con- sensus among relevant stakeholders on the definition of the core characteristics and standards of the doctorate. Generally, relevant stakeholders include the ministry of education, the ministry of finance, quality assurance agencies, HEIs, funding agencies, early-stage research associations, and employers. Box 4 Key provisions of the Salzburg II Recommendations Critical mass and critical diversity: Institutions must develop a critical mass and diversity of research to offer high-quality doctoral education (through more focused research strategies and engagement in larger research networks, collaborations, or regional clusters). Recruitment, admission, and status: Programs should develop recruitment strategies that correspond to their particular mission and profile. Admissions policies must be transparent and accountable (a single, identifiable place to apply, admissions based on a well-defined public set of criteria). Doctoral candidates should be recognized as early-stage researchers with commensurate rights and duties. Supervision must be a collective effort with clearly defined and written responsibilities for the main supervisor, supervisory team, doctoral candidate, doctoral school, research group, and institution. Providing professional development to supervisors is an institutional responsibility. Supervisors must be active researchers. Outcomes of doctoral research must testify to the originality of the research and be suitable for dissemination. Career development for doctoral candidates must take into account individual goals and motivations and acknowledge the wide range of careers. Offering training in transferable skills should be a priority. Building ties to the other sectors contributes to bridging the communication gap with potential employers and recruiters. Credits: Applying the credit system is not a necessary precondition for establishing successful doctoral programs (especially when credits are used to measure the research component or its associated dissemination outputs). Quality and accountability: It is necessary to develop specific systems for quality assurance in doctoral education. Assessment of the academic quality of doctoral education should be based on peer review and be sensitive to disciplinary differences. Institutions should develop indica- tors based on institutional priorities such as individual progression, net research time, completion rate, transferable skills, career tracking, and dissemination of research results for early-stage researchers. Internationalization strategies should be a tool in increasing the quality of doctoral education and developing institutional research capacity (internationalization at home, collaborative doctoral programs, international joint doctoral programs, mobility). Funding: High-quality doctoral education requires adequate, sustainable, and doctorate-specific funding opportunities. Funding schemes that aim to increase the number of doctoral candidates should take into account the quality and capacity of the programs. Autonomy: Institutions need autonomy to be able to establish, and be accountable for, diverse structures with different research strategies and strengths. Legal framework: The national and European legal frameworks must give institutions the opportunity to engage in innovative doctoral programs and to develop their quality assurance systems independently within their national frameworks. Sources: Authors based on EUA 2010 and Kivistö, Pekkola, and Siekkinen 2017. Quality assurance is an important consideration when designing a system- level framework, and clarity should be sought about the respective responsi- bilities of the doctoral-granting institutions and any quality assurance agen- cy. Good examples of how to assure quality are found in Ireland and the United Kingdom, where the doctoral-granting institutions must demonstrate that they assure the quality of all aspects of doctoral education and training (for example, QQI 2017; QAA 2015, 2015b). In many countries, explicit quality criteria related to the dissertation (for example, in terms of academic rigor, originality, research methods, analysis, and interpretation) are assessed by a committee of (inter- national) peers, either before or during the defense. Legislation regulates which HEIs have the right to confer the doctorate. This right is usually given to universities, sometimes also to other types of HEIs. In the case of binary systems with two distinct types of HEIs, there is a need to regu- REPORT 1: Academic Careers: Learning from Good International Practice | 25 late if and when non-university institutions can confer the doctorate. In the UK, for example, such an institution can be linked formally to a university to train the doctoral candidates. In these cases, the degree is conferred by the university, which is responsible for the standards and quality of the degree. In other systems, such as in Ireland (see Box 6), non-university institutions have the right to confer the doctorate, provided certain conditions are met. Legal frameworks and external quality assurance play an important role in supporting the quality of doctoral training, and its development and expan- sion to different types of institutions. A key issue in that respect are the quali- fications of academic staff members involved in doctoral training. That can be regulated in different ways. Portugal, for instance, has different requirements for academic staff in universities and polytechnics (see Box 5). In other countries, the same legal framework applies to all types of HEIs. For instance, the framework in Ireland (see Box 6) started out by regulating tightly its relatively new non- university sector (1999–2012) with respect to conferring the doctorate. However, the legal framework is evolving as the non-university sector has matured and has demonstrated its capacity to train to the doctoral level. Currently, a new “National Doctoral Framework” provides a single national set of principles and high-level expectations on the standards and quality for research degrees. It has been adop- ted by all higher education institutions, government agencies and departments, policy bodies, and research funding bodies.7 Box 5 Portugal: Accreditation criteria for staff The qualifications of academic staff are an important consideration in an accreditation process. This is framed by several legal texts. The set of requirements for staff include quantitative and qualitative elements. Universities • The institution must have its own teaching staff (this refers to the full-time academic staff) qualified in the area of the program to be accredi- ted and adequate in number (see section 1, below), of which at least half must hold a PhD degree. • More than half of the teaching staff (FTE) in Master’s or Doctoral programs should hold a PhD degree in a scientific area relevant to the pro- gram. • In third-cycle programs, all teaching staff assigned to the program should hold a PhD degree. • The Coordinator of the program should be a full-time PhD holder specialized in the area of the program. • The institution’s own teaching staff (full-time teachers) must represent at least 75 percent of the total number of FTEs. 1. Universities must have, among all the teachers and researchers who work in any capacity at the institution, at least one PhD holder for every 30 students, and at least half of those must be full-time. Polytechnics • The institution must have their own teaching staff (full-time teachers) qualified in the area of the program to be accredited and adequate in number (see section 2, below), of which at least half must hold either a PhD degree or the title of specialist. • More than half of the teaching staff (FTE) in Master’s programs should hold either a PhD degree or the title of specialist in a scientific area relevant to the program. • The Coordinator of a second-cycle program should be a full-time PhD holder, specialized in the area of the program. • The Coordinator of a first-cycle program should be a PhD holder or a specialist in full-time regime, specialized in the area concerned. • The institution must have its own teaching staff (full-time teachers) of at least 70 percent of the total number of FTEs. 7 Another difference between the cases of Portugal and Ireland is that the Portuguese law applies to both public and private institutions of both sectors, while in Ireland the law distinguishes between the public and the private Institutes of Technology (IoTs). None of the private IoTs in Ireland have delegated authority to confer the doctorate. This was not permitted under the 1999 Act, but there are provisions for delegated authority to be given to private institutions under the 2012 Act. The condi- tions for this are determined by secondary legislation (known as Statutory Instruments or Ministerial Regulations), which have not been written yet. 26 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers 2. Polytechnics must have, among all the teachers and researchers who work in any capacity at the institution, at least one PhD holder or a specia- list for every 30 students; and among those engaged in teaching or research, 15 percent should be PhD holders in full-time posts, and at least 35 percent must hold the title specialist, who may also be holders of a PhD degree. Verification of the quantitative information Compliance with these requirements is done by the accreditation agency on a five-year cycle, as part of rebuilding the institutional database of the Agency for Assessment and Accreditation of Higher Education (A3ES). The database is consulted when issuing an accreditation decision. Link with the staff’s research activities As part of the program accreditation, the expert panels look at the research activity of staff. • For first-cycle study programs, no specific requirements associated with research and experimental development are explicitly set by law, but the general principles linked to the nature of higher education are applicable, particularly with respect to the articulation of study and teaching with research (or targeted research) and experimental development, which are demonstrated by the effective integration of a significant part of the academic staff in research, targeted research, or experimental development activities. • A program leading to a Master’s degree requires that “the institution develops a recognized activity of education and research or of high-level development of a professional nature, in the scientific areas integrating that area of expertise.” • A program leading to a doctoral degree in a particular field of knowledge or area of expertise requires “the existence of own human and organizational resources needed to carry out research in the scientific areas integrating that field of knowledge or specialty” and that “the university owns, by itself or through its participation or collaboration, or of its teachers or researchers, in certain scientific institutions, an accumulated research experience subject to review and materialized in scientific and scholarly material in the scientific areas integrating that field of knowledge or area of expertise.” Source: Authors adapted from A3ES 2012. Box 6 The role of quality assurance in determining which institutions can deliver the doctorate: The case of the Institutes of Technology in Ireland The Irish framework started out by tightly regulating its relatively new non-university sector (1999–2012) with respect to conferring the doctorate, but the legal framework is evolving as the non-university sector has matured and has demonstrated its capacity to train to the docto- ral level. Ireland has a diverse system of public higher education, comprising seven universities and 14 Institutes of Technology (IoTs). Under the Qualifica- tions and Quality Assurance (Education and Training) Act 2012, the seven universities and the Dublin Institute of Technology (DIT) are defined as “designated awarding bodies”; that is, they have their own statutory authority to make higher education awards up to the doctorate level (Level 10 in the Irish National Framework of Qualifications).a The remaining 13 IoTs are also classified as awarding bodies, and can confer awards up to the doctorate level under powers delegated to them by Quality and Qualifications Ireland (QQI), the independent state agency responsible for promoting quality and accountability in education and training services. Granted initially under the Qualifications (Education and Training) Act, 1999, whose provisions were preserved under the 2012 Act, the delegated authority process is currently being extended under new policies and criteria published by QQI.b Delegated authority to make research degrees (Levels 9 and 10), 1999–2012 Originally, the research degree delegated authority process was administered by the quality assurance agency for the IoT sector, the Higher Education and Training Awards Council (HETAC), one of the antecedent agencies of QQI. It included the following steps: • Approval of the right to hold a “research register”: This was a registration process that included evaluation of the institution’s capacity to assess a research degree and provide appropriate supervisory arrangements. This registration process applied to both the research Master’s degree (level 9) and the doctorate (level 10); each level would undergo a specific assessment process that involved a peer evalua- tion visit. • Once an institution had the right to hold a research register, it could then apply for delegated authority to award the relevant degree. This also included a peer evaluation process but was broader and came close to a traditional institutional evaluation process. • Delegation of authority to make research awards at level 9 or 10 was not institution-wide at the time, but specific to a discipline (for example, business studies, mechanical engineering, environmental science). Delegated authority to make research degrees (Levels 9 and 10): Developments post-2012 Since the establishment of QQI in 2012, the process for delegating authority to IoTs to make research degrees has undergone further refinement. The two key developments are: REPORT 1: Academic Careers: Learning from Good International Practice | 27 • QQI published a policy (QP.04) in May 2014, entitled Policy and Criteria for the Delegation of Authority to the Institutes of Technology to make Higher Education and Training Awards (including Joint Awards), which, among other things, was designed to enable IoTs to validate their own research degree programs in any discipline area at NFQ Level 9, and to make Master’s awards in respect of the same validated research degree programs under delegated authority from QQI. The 13 IoTs agreed a sectoral protocol with QQI, setting out the necessary requirements pertaining to a quality research infrastructure, to which all of them have subscribed. All 13 IoTs can now self-validate research Master’s degrees in any disciplinary area.c • In 2017, QQI published new Procedures and Criteria Related to Delegation of Authority. These include a provision that will enable IoTs with a track record of operating delegated authority at the doctoral level in a specified number of disciplinary fields, and of graduating a specified number of doctoral graduates in a five-year period, to apply for delegated authority at the doctoral level across all disciplinary fields. It is anticipated that implementation of this policy will begin in Autumn 2017.d New Legislation for self-awarding in the IoTs In tandem with the extension of delegated authority to IoTs to make awards, which is being proceeded under the 2012 Act, new legislation is currently being drafted that will establish the IoTs’ awarding authority on the same footing as that of the universities and DIT. The Qualifications and Quality Assurance Amendment Bill, 2017, includes provisions that give the IoTs full statutory awarding authority up to Level 9 of the National Framework of Qualifications, including for research Master’s degrees. The Irish government is also well advanced in the process of legislating for the establishment of Technological Universities, an upgraded status for some IoTs. Under the legislation, it is envisaged that Technological Universities will be formed from several consortia of the existing IoTs, that will amalgamate as part of the process of Technological University designation. Once established, the new Technological Universities will have full awarding powers up to the doctorate level. It is expected that the majority of the 14 IoTs will proceed toward the Technological University, as part of at least four consortia, and subject to the consortia meeting certain statutorily established criteria. The increasing convergence of the IoTs and universities in the area of awarding of research degrees is reflected in the establishment of the Natio- nal Framework for Doctoral Education, which was developed jointly by the public higher education institutions and the key state agencies.e Source: Authors based on contributions provided by Karena Maguire, Head of System Quality Project; Jim Murray, Director of Academic Affairs, Institutes of Technology Ireland; Richard Thorne, former IT Sligo president; and Padraig Walsh, Chief Executive, QQI. Note: a. The seven universities’ statutory awarding authority is established under the Universities Act 1997 (on the Functions of a University, section 13); DIT’s awarding authority is established under the Dublin Institute of Technology Act, 1992 (on the Functions of the Institute, section 5(2) (a)); and the related Ministerial Order, S.I. No. 224/1997, Dublin Institute of Technology Act, 1992 (Assignment of Function) Order, 1997. b. http://www.qqi.ie/Downloads/IoT%20Sectoral%20Protocol%20on%20Validation%20of%20Research%20Programmes%20at%20Level %209.pdf#search=QP%2E04%2A; http://www.qqi.ie/Publications/Publications/Procedures%20and%20criteria%20relating%20to%20delegation %20of%20authority.pdf. c. http://www.qqi.ie/Downloads/IoT%20Sectoral%20Protocol%20on%20Validation%20of%20Research%20Programmes%20at%20Level %209.pdf#search=QP%2E04%2A. d. http://www.qqi.ie/Publications/Publications/Procedures%20and%20criteria%20relating%20to%20delegation%20of%20authority.pdf, pp. 38–9. e. http://www.research.ie/aboutus/national-framework-doctoral-education. Another important facet of the system-level framework is if doctoral training is incentivized financially. In some countries, doctoral training and degrees are covered by system-level financial incentives. Doctoral training and the research conducted by doctoral candidates form a large part of the productivity of univer- sities; therefore, incentives to promote a well-functioning doctoral training part is regarded as very important for the academic development in a higher education system. Doctoral candidates are not only ambitious individuals with creative new ideas, they are also eager to learn and at the same time contribute to academic activities. As such, they are important contributors to the production of, among others, academic articles and books — including their dissertations. They also often contribute to teaching. As a result, they can be a very productive part of the academic community. Realizing this, some governments incentivize univer- sities to attract doctoral candidates and support them in successfully completing their dissertation. One example can be found in the Netherlands, where the num- ber of successfully defended degrees is an important factor behind the funding allocations for research to universities, as described in Box 7. 28 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Box 7 Use of state funding for doctoral studies in the Netherlands In the Netherlands, the public funding for research universities consist for about 40 percent of funds for teaching and for about 60 percent of funds for research. The research part (EUR 1,731 million) consists of four components: 1. Relative number of Bachelor’s and Master’s degrees conferred (15 percent) 2. Relative number of doctoral degrees conferred (20 percent) 3. Specific budget allocations for strategic research programs (7 percent) 4. Fixed amounts allocated to universities according to historical distributions (50 to 70 percent of research funding per university). The number of doctoral degrees conferred has increased steadily since the related component was integrated in the research funding for univer- sities in 1993. Currently, at the national and institutional level, the relative importance of doctoral degrees within the funding model is contested. It is felt that that element has become too dominant because the premium per successfully defended dissertation was fixed (EUR 93,000). The increasing number of degrees awarded pushed up the relative share of that funding from 13 percent to over 20 percent. Consequently, either the bonus per doctorate will be reduced or the total amount available for the component will be frozen. Source: Authors based on Vossensteyn, de Boer, and Jongbloed 2017. 2.3 Anchoring the Doctorate in the Institution Doctoral-awarding institutions bear the main responsibility for the quality of doctoral programs and for the design of those components that will ensure it. Many of these elements gained in importance as a result of the European policy developments discussed above, and were taken up by HEIs. They include a stimulating research environment; an improved management of doctoral training; enhanced support and quality supervision for doctoral candidates; adap- ted policies and procedures on admission, progression, and assessment; skills development opportunities; and internal quality processes. To signal the institutional responsibility for the quality of doctoral programs, an overarching policy on the governance of doctoral training, is important. Such policies (a) provide an overview on the doctoral degree, including details on how responsibilities for the doctorate are shared at the central university level, the faculty, and the department, and the respective rights and responsibilities of supervisors and doctoral candidates; (b) refer to the set of institutional documents that explain the regulations and processes for all stages of doctoral training; and (c) include a consideration of ethics and research integrity, open research and data management, and how the institution addresses issues related to commer- cialization and intellectual property rights. When scholarship funding is available, the institution provides information about the length of financial support, whether part-time candidates are supported, and the policies and procedures for the allocation of scholarships. Policies and procedures for allocating teaching assistantships are accessible, and criteria for selecting teaching assistants are fair, transparent, and consistently applied. Furthermore, it is important that such policies are easily accessible to all institutional members. Creating a Stimulating Research Environment A stimulating research environment is critical to ensuring the quality of doc- toral training. Many key publications on the doctorate stress that point. As Bryne, Jorgensen, / and Loukkola (2013, 43) put it, this research environment should have REPORT 1: Academic Careers: Learning from Good International Practice | 29 sufficient high quality and critical mass to produce original knowledge and to enable to doctoral candidate to become an independent and productive researcher. In some countries, critical mass is achieved through interinstitutional cooperation. QAA Scotland has a very useful self-checking tool (QAA Scotland 2017a) and two accompanying reports that would help institutions to assess this important aspect of doctoral training (QAA Scotland 2017b; 2017c). Different characteristics make up a good research environment, which is also an essential criterion in deciding which institutions should be allowed to con- fer the doctorate. The code of the Quality Assurance Agency for Higher Educa- tion (QAA) in the UK provides a comprehensive picture of what constitutes a good research environment (for a comprehensive overview of such characteristics, see Box 8). Key characteristics include demonstrable research achievements, a sufficient number of research-active staff, adequate learning and research tools, good physical resources, and an overall environment supportive of research achievement. The characteristics of what constitutes a good research environment deserve a national discussion, particularly because this should be a core criterion for decisions on which institutions should be allowed to confer the doctorate. Box 8 Quality Assurance Agency for Higher Education’s – characteristics of a stimulating research environment • Demonstrable research achievement as recognized either through peer assessment as internationally excellent or above; or consistently recognized by the award of grants in open competition with, in both cases, outputs such as journal publications, books, and work produced in other media, including engineering, performing arts, sculpture, fine art and design, and other professional practice-based and clinical contexts. • Sufficient numbers of research-active staff, including postdoctoral researchers and research students (either located at the provider or inclu- ded in collaborative or networked arrangements). • Knowledge exchange and impacts (including knowledge transfer partnerships), with an emphasis on the practical impact of research outcomes and demonstrable ability to attract external funding. • Exposure to researchers working at the highest level in the student’s chosen field and in cognate and related disciplines. • Opportunities and encouragement to work and exchange ideas with people and organizations using research outcomes for their own purposes and with colleagues in the wider research environment. • Access to academic and other colleagues able to give advice and support. • Adequate learning and research tools including access to IT equipment, library, and electronic publications. • Opportunities for research students to develop peer support networks where issues or problems can be discussed informally (this could include access to social space provided for the purpose). • Supervision that encourages the development and successful pursuit of a program of research. • Guidance on the ethical pursuit of research and the avoidance of research misconduct, including plagiarism and breaches of intellectual property rights. • Support in developing research-related skills and access to a range of development opportunities that contribute to the student’s ability to complete the program successfully (including, where appropriate, understanding issues of funding and its commercial exploitation). • Access to and support for a range of development opportunities that contribute to the research student’s ability to develop personal and, where pertinent, employment-related, skills. • Availability of relevant advice on career development. • An environment supportive of research achievement may include: – A collegial community of academic staff and postgraduates conducting excellent research in cognate areas. – Supervisors with the necessary skills and knowledge to support research students in working toward the successful completion of their research degrees. – Access to the facilities and equipment necessary to enable research students, in all modes of study, to complete their research degrees successfully. – Access to welfare and support facilities that recognize the distinctive nature of research degree study. – The opportunity for research students to raise complaints or appeals. 30 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers – Mechanisms for addressing research students’ feedback both as individuals and collectively. – Sufficient implementation and monitoring mechanisms to ensure that where a project is undertaken in collaboration with another organiza- tion, the standards of both organizations are maintained. Source: Authors adapted from QAA 2015b. Doctoral Schools Doctoral schools have been established by most European universities to institutionalize the responsibility for quality doctoral education and training and signal the shift away from the individual responsibility of supervisors. These schools can improve the management and organization of doctoral training, provide the required stimulating research environment, and ensure the consistent application of common guidelines and standards for various aspects of doctoral education such as admission, supervision, assessment, and complaints and appeals procedures (see also below). It is impossible to provide a single definition of doctoral schools because there is a great deal of variation in their function, composition, and positio- ning. First, these schools vary in the functions they assume (Fuller 2016): •Purely administrative (doctoral office, research degrees office) •Administrative (registration, progress, QA) + student training •Administrative + student training + supervisor training •Administrative + student and supervisor training + policy making •Administrative + student and supervisor training + policy + research culture (accommodation, workshop/conference facilities) Second, they differ in whether they cover master’s student or exclusively doctoral students, and whether they have additional objectives such as establishing an elite group of young researchers. Third, they differ in their positioning within an HEI. Some are located at the pro- gram level, others at the faculty level, and still others at the institutional level (see Figure 2). In some cases, a doctoral school coordinates the doctoral pro- grams of several universities. The positioning of the doctoral schools has a direct impact on its functioning, for example, by fostering interdisciplinarity and enabling the mobilization of a critical mass of researchers. REPORT 1: Academic Careers: Learning from Good International Practice | 31 Figure 2 The positioning of doctoral schools within European higher education institutions, 2013 (in percent) Source: Oliva Uribe 2017. Note: Based on EUA European Research Area Survey 2013. The number of doctoral schools has rapidly and steadily increased in Europe in recent years (see Figure 3). Figure 3 Share of European higher education institutions with doctoral schools, 2006–13 (in percent) Source: Oliva Uribe 2017. Note: Data sources specified in parentheses. All data collected on the basis of surveys. The Trends questionnaires were sent to the EUA membership and other higher education institutions, the Accountable Research Environments and Doctoral Education (ARDE) and European Research Area survey questionnaires went to the EUA membership only. The largest set of responses was 821 for the Trends 2010 questionnaire. Universities wishing to create doctoral schools must consider a range of questions, starting with: How many doctoral schools to set up? Where to locate them on an organizational chart? A first consideration is how to achieve critical mass given the size of the HEI and the number of doctoral candidates in each broad disciplinary field. The issue of critical mass — which was an important challenge for doctoral edu- cation at the University of Andorra, Andorra, as a small institution (see Box 9) — should be manageable and allows for close interactions. In other words, docto- ral schools should be neither too small nor too large. The Salzburg Principles address that trade-off by pointing out that there are different ways of achieving that goal, including by participating in international, national, and regional net- works (EUA 2005). 32 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Box 9 The doctoral school at the University of Andorra Because of its size, the University of Andorra has a number of issues that are quite different from those of a larger institution when it comes to designing a doctoral program. This small institution with only about 1,000 students and 22 full-time academic staff needs some special provisions in order to offer a sustainable doctoral program. Multidisciplinary-focused program Doctoral research is multidisciplinary and relates to the economic and social development of Andorra as well as those aimed at improving the standards of quality of life. The University of Andorra has taken a multidisciplinary approach in order to achieve the following three goals: 1. To meet the demands of doctoral students for a doctoral program. 2. To promote multidisciplinary and interdisciplinary research at the University and at national research groups. 3. To obtain a critical mass and offer a sustainable doctoral program. Goal 1: The first goal is a responsibility of the University of Andorra as the only public university in the country. The definition of a doctoral program in only one discipline would have been a major constraint, as a national university, if it wanted to train future researchers in strategic areas that can promote the social and economic development of the country. At first, the doctoral program was considered solely as an interdisciplinary program in a strategic field for the social and economic development of Andorra as a micro-state. This vision certainly allowed for an enriching interdisciplinary work, seen from various perspectives, in a particular strategic area, but it limited the recruitment of doctoral candidates whose research intentions were outside this field. This meant excluding doctoral candidates in areas that are also important for the country but outside the defined research field, thus reducing the potential critical mass of doctoral students (Goal 3). Goal 2: The Quality Council of the University of Andorra has defined four generic transversal competencies that regular students should acquire before the completion of their studies. One of these competencies is the ability to work and lead multidisciplinary and interdisciplinary groups. Research groups at the University of Andorra are a good example of this double multidisciplinary and interdisciplinary approach. Some of these groups are concerned with or related to several disciplines in a mutual and cumulative approach (multidisciplinarity), and this cooperation often involves merging the practices and assumptions of each discipline to accomplish the research goals (interdisciplinarity). Goal 3: The Principality of Andorra has a population of about 80,000 inhabitants, making it difficult to find enough critical mass for doctoral studies. Recruiting foreign students is not an easy undertaking, either. In the Catalan-speaking countries or regions (Andorra, Catalonia, Balearic Islands, and Valence) there are around 11 million inhabitants and more than 20 universities, some of which are large and prestigious institutions. In addition, importing non-Catalan-speaking students is not easy for a program in a language with a relatively small number of speakers. These factors reinforce the idea of bringing together the majority of doctoral candidates from Andorra in a multidisciplinary approach. Source: Authors adapted from Nicolau i Vila 2010. A second consideration in deciding the number of doctoral schools and their position in the HEI relates to interdisciplinary opportunities. In this context, important research questions cross disciplinary boundaries. The EU Horizon 2020 Program, for example, is structured around seven challenges facing Europe: health; food, water, forestry and bioeconomy; energy; transport; climate action, environment, resource efficiency, and raw materials; European society; and secu- rity. Addressing these challenges requires working as part of interdisciplinary teams. Doctoral candidates need to be given the opportunity to explore other disciplines that are pertinent to their research focus. Doctoral schools can provide these opportunities if they bring together several departments and even several faculties. Here too, balance is key, and the doctoral schools should seek to achieve a certain level of interdisciplinarity while avoiding the risk of spreading themselves too thin across too many disciplines. Moreover, interdisciplinary doctoral schools require that the responsibility for supervision and the conferral of the doctorate is shared across depart- ments and faculties through the doctoral school. Box 10 shows how such shared governance is assured at the University of California (UC), Berkeley, in the United States, for one option, which allows doctoral candidates to design their own interdisciplinary program. REPORT 1: Academic Careers: Learning from Good International Practice | 33 Box 10 Interdisciplinary graduate program at the University of California, Berkeley Guidelines for Faculty Supporting Interdisciplinary PhD Proposals Five faculty members must agree to serve as a sponsoring committee. Each must write a letter of support containing a detailed analysis of the proposed program. Faculty members are reminded that they should not write letters of support unless they are totally convinced that the appli- cant is an outstanding student with a proposal of exceptional merit and uniqueness. The sponsoring faculty committee must be drawn exclusively from UC Berkeley Academic Senate members (as defined in the Guide to Graduate Policy). One member of the committee must agree to act as major professor, usually serving as doctoral committee chair, and a second must agree to chair the Qualifying Examination. The major professor’s department graduate staff will be expected to serve the interdisciplinary PhD student by submitting required administrative paperwork, if the proposal is accepted, and agreement by the department Chair should be indicated. The letter from the proposed major professor should contain: 1. Evidence of consultation with other sponsors in which the role of each sponsor as a member of the supervising, qualifying, and dissertation committee is made clear 2. The proposed foreign language and manner of completing the foreign language requirement 3. A proposed normative time for completion of degree requirements 4. A statement of eligibility for or access to study space, laboratory facilities, or other forms of support within the department, group, or school. Assurance by a sponsoring faculty member that the student will be eligible for a GSI (Graduate Student Instructor) appointment or other form of support, while not mandatory, greatly strengthens the proposal. It is also helpful for the subcommittee to receive additional letters of recommendation from faculty members who have worked with the student but who will not be associated with the interdisciplinary program. Proposal Review and Next Steps A faculty subcommittee of the Graduate Council reads the proposal and makes a recommendation to the Dean of the Graduate Division, who makes the final decision whether to approve the proposal. If approved, the student’s major will be changed to Interdisciplinary Studies. One of the five sponsoring faculty (usually the major professor) will be designated as Graduate Adviser for signatures on study lists, petitions, and other forms requiring the signature of a Head Graduate Adviser. Qualifying Examinations will be carried out in accordance with the usual procedures. Foreign language requirements will conform to Graduate Council policy. After successful completion of the Qualifying Examination, the student will be advanced to candidacy under Plan A with five members (three signing the dissertation title page and all five participating in a final defense of the subject of the dissertation). Source: Authors adapted from http://grad.berkeley.edu/programs/interdisciplinary/. Supervision of Doctoral Candidates Good supervision is fundamental to the success of doctoral candidates. Many publications and studies stress that fact (for example, Bryne, Jorgensen, / and Loukkola 2013), including the European Charter for Researchers (cf. §14). The Charter stresses the responsibilities of senior researchers to fulfill their super- visory and supporting role. Supervision, however, is not the responsibility of supervisors alone. The con- clusion to the 2015 EUA’s Council for Doctoral Education (CDE) workshop stressed that HEIs share the responsibility for supervision with individual super- visors, and that it should provide the right institutional framework conditions and leadership support for supervisors (for all conclusions, see Box 11). 34 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Box 11 Doctoral Supervision – Practices and Responsibilities 1. Supervision must be considered as a responsibility that the individual professor shares with the institution. At a personal level, the ability to provide good supervision should be seen as a professional skill, separate from the academic/scientific expertise of the professor. In other words, extensive publications and a long-standing academic teaching experience do not necessarily make a good supervisor. Nonetheless, supervisory skills can be developed, for instance, through systematic training. Moreover, training that brings together supervisors from different disciplinary fields is generally perceived as extremely beneficial to participants because multidisciplinarity facilitates real exchange of practices and views, and helps against the feeling of isolation that accompanies the role of supervisor. In an attempt to raise awareness on the importance of quality and performance in doctoral supervision, some institutions decided to assess and recognize excellence in supervision through specific awards and incentives. 2. Leadership support and the appropriateness of the institutional framework are essential for the development of satisfactory supervision practices. During the workshop, participants from the University of Lausanne explained how they managed to turn their “Code of Practice for the doctorate” into a reference document for the whole university. The key strategic actions were the involvement of academic bodies, doctoral students, and professors from all faculties in the content development and subsequently the approval of the document by the deans and the university rectorate. 3. Institutions are looking for effective methods to measure and evaluate the impact of supervisor training and to determine whether the content of the supervisor development program is fit for purpose. So far, there have not been many examples of effective assessment methods. Some insti- tutions have started to collect data on this issue and suggest that the design of staff development programs should be research-based. 4. The assessment of the progression of PhD candidates is a highly debated issue. The question of how to deal with the PhD project of a student who proves unable to progress exists in every institution but is approached differently according to the different cultural contexts and national legal frameworks. 5. The traditional supervisor-supervisee collaboration seems to have been replaced by a team model in the majority of institutions. In this new model, each doctoral student is assigned to a main supervisor and to a third person, who can be either a co-supervisor or a mentor. The role of the mentor is to act as a mediator in case of conflict between the PhD candidate and the supervisor. Very often, to avoid conflict and define the rights and the duties of the parties, institutions have introduced a PhD agreement to be signed at the beginning of the PhD project. 6. Career options for doctorate holders have changed: academia offers fewer opportunities than it used to, and many PhD candidates will have to leave academia after they have obtained their PhD. This shift should be reflected by a corresponding change in the academic culture. Doctoral programs must prepare PhD candidates for possible careers within or outside academia, and supervisors must be aware of this when per- forming their tasks. Institutions should help PhD candidates become the drivers of their own professional development. 7. Decision making concerning doctoral education should be driven by solid evidence. Data should be collected on the status quo and on the pro- gress of doctorates in order to monitor supervisory relationships, and this knowledge should be used to inform decision making. Source: Maltauro 2016. Note: In boxes and annexes that consist of quotes, spelling was changed from British to American English. Today, there is recognition that co-supervision is important; therefore, team supervision is on the rise. The shift from the apprentice model to team super- vision can be attributed to the significant expansion of higher education, which resulted in greater diversity of students, structures, and purposes of programs, as well as a variety of supervision styles and configurations. Denicolo (2017) stresses the need for team supervision by arguing that doctoral candidates would benefit from a range of views on their research topics and take advantage of their relationship with multiple supervisors to enlarge their professional net- works. In addition, having more than one supervisor reduces risks related to the increasing mobility of supervisors, who might leave their doctoral candidates behind. However, because confusion and tensions can increase with multiple super- vision, it is important to think about ways to minimize these issues. Deni- colo (2017) notes that joint supervision requires, at the very least, a harmonized approach to advising and guiding doctoral students so that they develop as inde- pendent researchers. Important guidelines to solve challenges of co-supervision include that supervisors are trained for co-supervision, and that they develop shared objectives and ensure open communication. REPORT 1: Academic Careers: Learning from Good International Practice | 35 The training of supervisors is crucial for good supervision. The importance of supervisors’ training reflects the shift from the apprentice-master model to a more structured relationship (cf. Maltauro 2016). Training is particularly important for academics who have no prior supervision experience. Supervisors’ training became an accepted part of HEI activities and a signal to doctoral candidates that the respective institution takes their training as researchers seriously. The UK is the first country in Europe to have developed supervisor training. Other countries that achieved significant progress with supervisors’ training include Australia, Denmark, and Sweden (Brentel 2017). Denmark and Sweden are interesting examples of countries that developed supervisor training activities via national networks. Box 12 describes how Ireland managed such a shared process and highlights the aspects that should be taken into account when developing supervisor training. Box 12 Developing a national approach to the training of academic supervisors in Ireland This box shows how Ireland approached the development of a national framework for training and supporting academic supervisors. The Irish project involved five universities and two Institutes of Technology that represented a significant proportion of the total PhD student population in Ireland. The overall interinstitutional project was managed by a working group. The program was developed in such a way so as to facilitate a unified approach while respecting institutional differences. In the initial stages of developing the Irish framework, several key themes to be addressed in the training of and support for supervisors were identified: • Working within institutional administrative systems relating to postgraduate education (for example, registration, examination); • Mentoring and support of individual students, and guiding the development of students as independent researchers (for example, advising on training strategies, helping students with Personal Development Plans/Training Needs Analysis or other developmental tools, providing feedback, drawing on existing support services for students in difficulty); • Understanding key stages of progress for students and projects, and appropriate principles of project management; • Managing academic aspects of supervision (for example, preparing students for evaluations, examinations, and theses). In addition, it was recognized that there are several categories of supervisory staff, whose training needs may be substantively different, for example: • Early-stage researchers working with students, usually as co-supervisors (for example, postdocs); • Newly appointed academic staff without experience of supervision (including probationary staff); • Newly appointed academic staff without experience of supervision in an Irish HEI; • Academic staff with experience of supervision, either within or new to an Irish HEI; • Research staff who do not hold academic positions, but who are in day-day contact with students, for example, in research centers; • Heads of Department/School/Institutes and Department Managers who need to be aware of regulations and best practice for research stu- dents in their Department; • Administrative staff in Departments or central of offices who deal directly with postgraduate students. In any institution, it is likely that the training needs of these diverse categories may require different sessions or courses, or parts thereof. For experienced staff, for example, particularly those with research leadership responsibilities, keeping up to date with policies and practices, and developing their capability to support and manage diverse research staff roles within a team or center, is a critical development step, and the participation of such staff in training sessions for less experienced staff will unquestionably yield valuable benefits. Also, administrative and academic staff could benefit from combined initiatives that build bridges and understanding among these key sources of support for students. Thus, the Working Group proposed to develop a multistrand strategy for support of staff involved in research student supervision and support, involving induction sessions for new staff; workshops for experienced staff; and support through development of training materials, guidelines, and handbooks, and an online forum for discussion of issues. When courses were being designed, the guiding principle was as follows: • Minimum lecturing content, maximum use of discussion, case studies, reflection, exercises, and so forth, based on a survey of international best practice; • Blending academic disciplines for generic areas where possible, perhaps with follow-up individual sessions for particular disciplines, and subsequent support through, for example, online resources; • Drawing on a mix of international experts and experienced supervisors for course development and delivery. 36 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers The issue of formal accreditation of training for staff was carefully considered and left for each institution to decide. In general, it was intended that the training and skills development could be taken as stand-alone activities, or be awarded credit in formal qualifications taken in parallel or at a later date. Whatever model of supervisor support is adopted, to ensure high rates of participation by academic staff, clear benefits must be demonstrable, or elements must be formally associated with ongoing training and induction programs. Source: Authors adapted from NAIRTL 2012. There are different ways of approaching the supervision of doctoral candida- tes, but this is a fast-changing area in Europe. The variety of academic cultures is reflected in how supervisors are chosen, trained, and monitored (Bryne, Jorgen- / sen, and Loukkola 2013, 30). On one end of the spectrum, Sweden requires supervisors to take an examination before they are appointed to show that they have the skills required, while in the UK, supervisors are trained and can be removed from their role if there are repeated problems among their supervisees. At the other end of the spectrum, in many parts of Southern and Eastern Europe, professors must have merely the right formal qualifications or a certain number of years of research experience to become supervisors, and show that they are research-active. They receive no training and their performance is not monitored. Changes to these practices and introducing supervisor training and monitoring require involving academics in discussions to show how supervision can be improved through these new practices (see also Box 12). In addition, the training of supervisors should be based on a profound understanding of all aspects of doctoral supervision and the willingness of participants to reflect openly about their experience (Brentel 2017, 5). Furthermore, it is essential to provide ongoing support after the initial training so that supervisors do not revert to a position where they are isolated and cannot discuss their responsibilities (Brentel 2017, 5). HEIs can take up all those different facets of the supervision of doctoral can- didates in institutional policies, which need to cover at a minimum the quali- fications of academic staff who are allowed to supervise (for example, being an active researcher in the relevant field); how supervision is considered as part of the teaching workload; the number of doctoral candidates per supervisor; and the supervisors’ responsibilities (for example, expectations regarding regular interactions with the doctoral candidates, requirements about monitoring their progress, the support given to develop the candidates’ research and soft skills, and their subject-based and interdisciplinary knowledge). In addition, regulations could include information about supervisors working as part of a team, any mandatory or optional supervisor training, the formal per- formance appraisal of supervisors, and the complaints and appeals procedures available to supervisors. Such regulations need to be accessible to all institutional members and consistently applied. Furthermore, it is important that HEIs address the continuity of supervision (for example, if the initial supervisor leaves or is removed or if a student requests a change of supervisor). Finally, the performance of supervisors can be made part of the internal quality assurance processes. Quality assurance of supervision usually com- prises yearly meetings between supervisors and unit heads to discuss students’ progression and any challenging issues, such as an unusual number of students who are not progressing normally, an unusual number of student complaints REPORT 1: Academic Careers: Learning from Good International Practice | 37 (which, if grave enough, even in smaller numbers should trigger broader discus- sions), and other relevant factors. If necessary, the unit head can require a super- visor to seek training or remove a supervisor from his or her role. Advisors with whom doctoral candidates discuss their supervision in a safe environment can also be part of the quality assurance arrangements. Admissions The path of students from their recruitment to the conferral of the doctorate needs to be carefully monitored and supported. The key milestones in the pro- cess of doctoral training are admission, progression, and assessment. The traditional practice of a student approaching a potential supervisor to inquire about being admitted to a doctoral program is disappearing and being replaced with an institutional process. While many HEIs in Europe are still recruiting internally, the institutions have published criteria and developed transparent admission processes. The overall objective of a sound admission system is that the doctoral candidate, the research environment at the HEI, the resources available, and the supervision capacities match (ECU 2013, 38). In the UK, the QAA requires HEIs to define in advance and communicate clearly the rights and responsibilities of doctoral candidates, and to provide candidates with all relevant information (QAA 2015b). With respect to admission procedures, it requires that they are clear, consistently applied, and demonstrate equality of opportunity (QAA 2015b, 13). Additional important criteria are that only appro- priate candidates are recruited; that at least two staff members trained for that purpose are involved in admission decisions; and that the HEI can ensure that the admission process fulfilled its admission policy, notably with respect to non- discrimination (QAA 2015b, 14). At U.S. universities, it is common to ask for a dissertation proposal. For example, applicants to the interdisciplinary programs at UC Berkeley must submit a prelimi- nary dissertation prospectus that describes the research questions or hypotheses and the research methodology in the context of a discussion of the current state of knowledge on the subject.8 The global competition for talents means that the top research universities are seeking to recruit worldwide and use their brands to attract candidates. At the Technical University of Denmark, for instance, all vacant positions (except for industrial PhDs) are advertised nationally and internationally (Barfoed 2013); international applicants are interviewed by Skype and the successful ones invited for an on-site interview. Following admission, doctoral candidates should be supported by an orienta- tion and the provision of relevant information. An orientation creates a sense of community among doctoral candidates. At Edith Cowan University in Austra- lia, for instance, the orientation includes information about the expectations and responsibilities of supervisors and candidates, degree requirements, progress 8 http://grad.berkeley.edu/programs/interdisciplinary/. 38 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers procedures, research integrity and ethics,9 grievance procedures, health and safety procedures and the availability of support services (ECU 2013, 39). Candidates should be provided with an overview of all relevant regulations and processes, including characteristics of the program (for example, academic requirements, rules and regulations, the availability of funding and teaching assistantships, the criteria and length of financial support, and so forth); the time commitment and supervision arrangements; academic and nonacademic course requirements and mobility opportunities; and the rights and responsibilities of doctoral candidates (for example, costs, intellectual property rights, and appeals and complaints procedures). The related documents need to be updated regularly and easily accessible. Progression and Assessment To ensure appropriate progression, many universities require their doctoral candidates to sign a contractual agreement with their supervisor that includes clear milestones. As an example (for another example, see Annex 1),10 the Uni- versity of Lund uses an individual study plan for planning and monitoring the progression of the doctoral candidates. It contains 12 check-off points outlining how the individual timetable for the doctoral degree should be structured, and the plan is revised at least once a year (LERU 2016). Another example comes from the University of Leiden, which requires that all candidates have a training and supervision plan within three months of the start of their PhD; that they have identified a second or co-supervisor in addition to the first supervisor, and that each co-supervisor has clear responsibilities; that each candidate has an annual meeting to review progress with one or two independent members of staff; and that a decision is taken at the end of the first year as to whether the candidate is allowed to continue.11 At the University of Twente, a qualifying exam, nine months after admission, requires candidates to demonstrate sufficient progress and potential that would convince a research group and a few external professors that the candidate will be able to complete the doctorate. Of note in the Leiden example is the annual meeting with independent staff members (that is, not the supervisors) to discuss how supervision is working out. That is a good way of addressing supervision problems. Similarly, at Aalto Univer- sity in Finland, doctoral students have an assigned advisor (in addition to their supervisors) for that purpose. HEIs are monitoring progression and completion. Such monitoring is especially important when scholarship funding is tied to on-time completion. Monitoring of progression helps address weak supervision and improve completion (see the example of the University of Adelaide, Australia, in Box 13). 9 Includes videos and a variety of activities such as interviews, quizzes, and a discussion forum. This course was developed with contributions from the doctoral candidates and requires about 12 hours of homework. It is available in open access on Moodle (http://www.cpu.fr/actualite/integrite-scientifique-a-luniversite-de-bordeaux-sensibiliser-et- responsabiliser-tous-les-doctorantes/). 10 See also, for another example, the University of Tampere’s agreement form: http://www.uta.fi/english/doctoralschool/regulation/index/ doctoral_studyandsupervisoryplan_eng_V1.0.docx 11 PhD Guidelines; http://www.phd.leiden.edu/current/policies-procedures/phd-guidelines.html. REPORT 1: Academic Careers: Learning from Good International Practice | 39 Efforts to improve completion rates can also result from external pressures. In the case of the social sciences in the UK, for instance, the Economic and Social Research Council (ESRC) that funded students played a significant role in that respect in the early 1990s. Humphrey (2010) notes that the ESRC published detailed research training guidelines, covering core research and subject-specific training, with which social science disciplines had to comply in order to receive support for their students. ESRC also required institutions to report on completion rates. Those that fell below a 60 percent average were subject to the sanction of two years’ exclusion from the prestigious ESRC studentships. Box 13 Improving PhD Completion Rates: University of Adelaide, Australia All supervisors are assessed on the number of students they have supervised over a number of years and their current load. The university was keen to reward supervisors for “timely” completions, other completions, and “student rescues,” when someone about to abandon a thesis was persuaded to stay on. It wanted to penalize noncompletions and withdrawals due to dissatisfaction with supervisors, but to remain neutral about early withdrawals, student-initiated withdrawals for nonacademic reasons, and failed rescue attempts. The result was a much more effective system for classifying and tracking the performance of supervisors. This has led to problems being addressed earlier, the removal of “totally unsatisfactory supervisors,” and an 8 percent increase in timely completions. Faculty members have been bought into it because they can use the results to support applications for promotion, and the university can demon- strate “the efforts made to reduce unnecessary wastage” when “arguing for additional scholarship support,” according to Russell, who said that behavior such as “dragging failing students out” until their scholarships run out is no longer seen as appropriate. Source: Authors adapted from Reisz 2017. HEIs can also account for special circumstances impacting the duration of doctoral studies. Those include changing personal circumstances such as pregnancy leave, parental leave, or changing status from part-time to full-time or vice versa. Institutions devise appropriate procedures to deal with such changes, for example, revising the doctoral agreements accordingly. Aside from regularly monitoring the progression of doctoral candidates, the thesis is the primary basis for their assessment. There is strong consensus that the doctoral thesis should be based on original research of publishable quality. What concrete form this takes can vary substantially, including in a single institution. The two most frequent formats are a monograph or a series of papers (published or not). Studio-based research in areas such as audiovisual, arts, and IT is also an acceptable format in some cases. The specific requirements vis-a` -vis the thesis vary with its type. In the UK, for instance, a thesis in the form of a series of papers needs to be an integrated whole and present a coherent argument rather than a random assortment of papers (Davidova 2010). Other requirements devised by some HEIs are that the doctoral candidate has published several peer-reviewed papers in internationally recognized journals, and that she or he is the first author of at least one paper (Olschewski 2010). Irrespective of the format and related requirements, it is important that docto- ral candidates are informed on all aspects and requirements related to their thesis. The relevant information comprises the way in which the thesis is asses- sed. These criteria need to be clear, fair, and publicly available, and communica- ted actively to doctoral candidates and supervisors. The procedures should be applied rigorously and consistently. That can be done through standard informa- tion packages, introduction meetings, and clear instructions for supervisors and promotors. 40 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers The process surrounding the final thesis of a doctoral candidate usually includes an oral defense. The most common procedure for the defense is a for- mal and public procedure, but private procedures are common in some countries (Davidova 2010). Whatever the format, it is important to ensure that all phases of the exami- nation process are regulated. For instance, it is good practice to appoint exter- nal examiners (preferably some international), who have no conflict of interests, and have been approved by the university. The doctoral candidate can have a right to veto examiners before they are appointed and have access to com- plaints and appeals procedures. The examination that takes place during the oral defense can lead to failing the procedure, or requests by the examiners for improvements of the thesis. Those improvements can be directed at increasing the success of the thesis’ publication in journals. Increasingly, theses (and the associated data) are available in open reposi- tories. Generally, most theses are available online except if there are reasons leading to an embargo for a designated period of time (for example, copyright issues, and ethical sensitivities such as protection of human subjects). Never- theless, online publication could be an obstacle to career development by pre- venting more prestigious forms of publications. The quality of the theses should be monitored regularly. A good quality assurance practice is for the HEIs to periodically review the theses that have been accepted to ensure that they are of consistent quality across the disciplines. These could be done by an interfaculty or international committee that would read a sample of theses across disciplinary fields to evaluate whether they meet the same quality standards. Components of Doctoral Training Increasingly, HEIs are providing postgraduate students with academic, subject-based courses and soft skills development to prepare them for both their academic and nonacademic careers. It estimated that around 50 per- cent of current doctorate holders are employed outside academia, in business, government, the service sector, and other education sectors, holding both research and non-research positions, and it is unlikely that the figure will decrease (Borrell-Damian 2009, 103). If the nonacademic labor market becomes the desti- nation of an increasing number of doctoral holders, their generic skills must be sufficient to meet employer expectations. The related need to provide doctoral candidates with a wider set of skills is increasingly accepted by HEIs (LERU 2014). Other elements of doctoral training such as fieldwork and experimental laboratory work depend on the field. A good starting point for developing a course menu is to identify the charac- teristics that doctoral graduates should develop. These characteristics can include a range of competencies in handling knowledge, critical thinking, project management, professional standards and ethics, interpersonal skills, and the dissemination of research results (see also Box 14). Defining such charac- teristics can lead to a learning-outcome approach to doctoral programs. Box 15 describes how this is implemented at UC Berkeley. In this case, the university- level set (broad) learning outcomes, while leaving each discipline the task of REPORT 1: Academic Careers: Learning from Good International Practice | 41 defining them further and applying this approach to its particular programs. The box also shows how internal accountability mechanisms ensure the quality of these processes. Box 14 QAA’s Characteristics of doctoral graduates All doctoral graduates should be able to: • Search for, discover, access, retrieve, sift, interpret, analyze, evaluate, manage, conserve, and communicate an ever-increasing volume of knowledge from a range of sources • Think critically about problems to produce innovative solutions and create new knowledge • Plan, manage, and deliver projects, selecting and justifying appropriate methodological processes while recognizing, evaluating, and mini- mizing the risks involved and impact on the environment • Exercise professional standards in research and research integrity, and engage in professional practice, including ethical, legal, and health and safety aspects, bringing enthusiasm, perseverance, and integrity to bear on their work activities • Support, collaborate with, and lead colleagues, using a range of teaching, communication, and networking skills to influence practice and policy in diverse environments • Appreciate the need to engage in research with impact and to be able to communicate it to diverse audiences, including the public • Build relationships with peers, senior colleagues, students, and stakeholders with sensitivity to equality, diversity, and cultural issues. Furthermore, doctoral researchers are increasingly being encouraged to develop their foreign language and enterprise skills, and to cultivate business acumen. All doctoral graduates will have developed during the course of their research additional specialist knowledge within their discipline, while those who have studied a professional doctorate are likely to have been required to have particular professional experience that informs the topic of their research studies. They may well also have been required to engage in further study related to that professional field as part of their doctorate. Finally, doctoral graduates are able to prepare, plan, and manage their own career development while knowing when and where to draw on support. Source: QAA 2015a. Box 15 UC Berkeley: Graduate Programs Assessments and Outcomes In May 2013, the Graduate Council approved guidelines for establishing graduate program outcomes (GPOs) for all graduate degree programs. It identified six areas of mastery that are common to graduate programs that reflect Berkeley Academic Senate requirements and statements on graduate education. Through curriculum and assessment mechanisms defined by each degree program, graduate students will be able to demonstrate mastery relative to: • Advanced knowledge • Methods • Research • Pedagogy • Communication • Professionalism. For more information, please see the Graduate Council Statement (PDF).a Curricular Maps To implement the Graduate Council’s statement, curricular maps of each graduate degree program at Berkeley were constructed, incorporating published program requirements and information from departments obtained through a survey. In September 2013, program faculty reviewed their degree maps to ensure accurate representation of graduate program outcomes, revised them as needed, and forwarded them to the Graduate Division. The Graduate Division reported to the Graduate Council the results of the GPO mapping process in October 2013. 42 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Links to key documents: • Graduate Program Outcomes (PDF)b • Graduate Council Statement (PDF)c • GPO Mapping – Explanation of Symbols & Rationale for their Use (PDF).d Source: Authors based on http://grad.berkeley.edu/programs/graduate-program-outcomes/. Note: a. http://graddashboard.berkeley.edu/wp-content/uploads/guidelines.pdf. b. http://graddashboard.berkeley.edu/wp-content/uploads/gpos-final.pdf. c. http://graddashboard.berkeley.edu/wp-content/uploads/guidelines.pdf. d. http://graddashboard.berkeley.edu/wp-content/uploads/rationale.pdf. An increasing number of doctoral-granting institutions offer taught courses to doctoral students. At the University of Twente, for instance, the educational structure is set out in official regulations.12 The essential requirement is that a doctoral candidate and his or her supervisor must agree within the first three months on a training and supervision plan that specifies the frequency of their meetings and how the candidate will complete 30 European Credit Transfer and Accumulation System (ECTS) credit points of coursework. These are divided into two equal halves: 15 on academic courses and 15 on skills development. (See the “Doctoral Education Guidelines” for further details on the course require- ments.) Often, the requirements and the balance between taught courses and work on the doctoral thesis will vary within one institution. As an example, doctoral programs at the University of Tampere13 are equivalent to 240 ECTS credit points. The University of Tampere Doctoral School14 was established recently and the details of the curriculums for doctoral programs are decided by the faculties. However, the standard structure is as follows: 180–200 ECTS for the dissertation; and 40–60 ECTS for courses including orientation, methodology, doctoral seminars, and so forth. How the 40–60 ECTS are divided and what they cover varies across the faculties.15 HEIs also offer professional development courses as well as career support. The menu of courses taken by each doctoral candidate will vary depending on his or her prior experience and future projects. Box 16 provides an example of such activities at Imperial College, London, UK.16 12 https://www.utwente.nl/en/education/post-graduate/tgs/rules-regulations/doctoral-education/ and https://www.utwente.nl/en/education/post-graduate/tgs/. 13 cf. The aims, organizing, and good practices of doctoral training at the University of Tampere: http://www.uta.fi/english/doctoralschool/regulation/index/Guideline%20on%20the%20goals, %20organising%20and%20good%20practices%20of%20doctoral%20training%20EN_v2.pdf. 14 http://www.uta.fi/english/doctoralschool/introduction/index.html. 15 As examples, cf.: Doctoral program in Education and Society: http://www.uta.fi/edu/en/doctoralstudies/index/EDU_regulations.pdf https://www10.uta.fi/opas/tutkintoOhjelma.htm?rid=14511&uiLang=en&lang=en&lvv=2017. Doctoral programs in the Faculty of Medicine: http://www.uta.fi/med/en/doctoralstudies/regulations/MED%20jatko-opas%202015%20EN,%20nettiversio.pdf https://www10.uta.fi/opas/tutkintoOhjelma.htm?rid=11934&uiLang=en&lang=en&lvv=2015. Doctoral programs in the Faculty of Natural Sciences and Communication Sciences: http://www.uta.fi/sis/en/doctoral_studies/curriculumguide2015-2018.html. 16 For instance, cf. University of Twente: https://www.utwente.nl/en/hr/career-professional-development/. REPORT 1: Academic Careers: Learning from Good International Practice | 43 Box 16 Professional skills training at Imperial College, London, UK The Graduate School at Imperial College provides a Professional Development Program for Postgraduate Research and Postgraduate Taught Students. Why does Imperial offer professional skills training? Funders of doctoral programs, including governments, industry, and research councils, expect that students would have spent time on their professional development, and consider that developing generic research, personal, and professional skills is an important part of postgraduate training. Imperial’s Professional Development Program offers student support in their study and research, as well as the opportunity to develop skills relevant to their Master’s or Doctorate and their future career, whether inside or outside academia. These skills are meant to improve the ability to undertake focused and successful research, present one’s work to a variety of audiences, and enhance the students’ overall experience at College. Postgraduate alumni, academics, and employers have noted the value of the program. The Graduate School works across Imperial College with academic and support departments, alumni, students, and externals to enable and enhance joined-up opportunities. This has a social benefit, fostering networking and collaboration, as the courses, events, and activities provide forums for students to interact with others from different departments and divisions. The Postgraduate Development Unit (PDU) ensures that the program is educationally relevant, developing new initiatives, and safeguarding quality and relevance. The program is underpinned by educational research focused on the postgraduate student experience. The Graduate School Professional Skills Development Program The Graduate School Professional Skills Development Program is one of staged learning to ensure that students acquire basic research skills at the start of their doctoral studies and continue to develop as a well-rounded researcher, gaining the skills and experience to successfully complete a research degree and move on. The program is an integral part of the research degree and students should use it to support their personal development. The courses vary in length and format, from one-hour lectures, webinars, and online courses, to three-day interactive residential workshops. The short program is divided into “innovation” areas as follows: • Writing for success • Perfecting presentations • Ensuring integrity • Information landscape • Maximizing management skills • Understanding yourself and others • Successful interactions • Entrepreneurship • Teaching. The program is regularly reviewed and updated and new courses added throughout the year. Requirements All doctoral students are expected to complete several professional skills courses as part of their doctoral degree registration. Imperial College requires all doctoral students to complete their minimum attendance requirement using one of the following options. Option One: • A minimum of two professional skills workshops plus the online plagiarism awareness course by the Early Stage Assessment. • A further two Graduate School workshops or a Global Postgraduate Retreat or Global Fellows International Program by the Late Stage Review. Option Two: • A Graduate School Global Postgraduate Retreat plus the online plagiarism awareness course by the Early Stage Assessment. • One further Graduate School workshop or an additional Global Postgraduate Retreat or a Global Fellows International Program by the Late Stage Review. Option Three: A Global Fellows International Program plus the online plagiarism awareness course by the Early Stage Assessment. Source: Authors adapted from https://www.imperial.ac.uk/study/pg/graduate-school/professional-skills/why-do-we-offer-professional-skills-training/; https://www.imperial.ac.uk/study/pg/graduate-school/professional-skills/doctoral/professional-skills-attendance-requirement/. 44 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Sometimes doctoral programs include teaching assignments. According to Eurydice (2017), it is difficult to know the extent of this practice in Europe, because most countries do not stipulate this aspect in their legal framework and leave it up to the internal regulations of the higher education institutions. There are, however, a few exceptions. In Bulgaria, Denmark, Estonia, Poland, and Slovakia, legal frameworks are phrased in a way that establishes teaching assignments as a standard part of all or most PhD curriculums (Eurydice 2017, 35). These regulations vary in how specific they are about the number of teaching hours and whether this applies to all doctoral candidates or only those who have a contract. For instance, the legal framework in Estonia indicates that teaching and supervising are among the competencies expected from PhD holders but without quantifying the extent of expected teaching or supervising practice (Eurydice 2017, 35). Quality Assurance Accountability and systematic quality enhancement of doctoral education have been rising in importance on the agenda of HEIs, but external quality assurance of doctoral education is not frequent because most quality assurance agencies in Europe do not have responsibilities for assuring the quality of the third cycle.17 Sometimes, external quality assurance is part of the evaluation of research. In the Netherlands, for instance, the research eva- luation exercise looks at the extent to which doctoral students are fully engaged in their research units. The research review committees interview the doctoral candidates as a matter of course. Accountability requirements are often focused on the need for each institu- tion to assure its quality through internal quality processes. The need for internal quality assurance processes and basic requirements are covered in the Salzburg II recommendations, which stress the need to adapt these processes to the institutional profile and the specific disciplines. Furthermore, the recommenda- tions include peer review and the use of indicators based on institutional priorities. These indicators generally measure individual progression, net research time, completion rate, transferable skills, career tracking, and dissemination of research results for early-stage researchers, taking into consideration the professional development of the researcher as well as the progress of the research project (EUA 2010, §2.7). As those requirements reveal, the quality assurance mechanisms required for the doctoral level are somewhat different from the ones required for the first two cycles (Bryne, Jorgensen, / and Loukkola 2013). That pertains to, for example, the importance of an adequate research environment, the impor- tance of supervision, and the specific character of a doctoral thesis. Overall, 17 At present, few national quality assurance agencies in Europe address doctoral education as part of their core activities. These include, in particular, the French national evaluation agency, the High Council for Evaluation of Research and Higher Education (HCERES), which has responsibility for the evaluation of research more generally, and specifically includes a strand focused on the evalua- tion of doctoral schools in its activities; the Central Evaluation and Accreditation Agency (ZeVa) in Hanover; the Polish Accreditation Committee (PKA); the Quality Assurance Netherlands Univer- sities (QANU) in the Netherlands, which evaluates doctoral programs as part of the evaluation of re- search units; and the Hungarian accreditation agency. The Romanian Agency for Quality Assurance in Higher Education (ARACIS) is launching the evaluation of doctoral programs. REPORT 1: Academic Careers: Learning from Good International Practice | 45 doctoral schools were identified as a promoting factor of internal quality assuran- ce and improvement (Bryne, Jorgensen, / and Loukkola 2013, 42). Importantly, the quality of all aspects of the doctorate should be continuously monitored and assured. Internal quality assurance mechanisms include insti- tution-wide data collection and a targeted analysis of the data. They involve feedback from doctoral students and supervisors as well as internally initiated evaluations of academic and professional courses and research activities (research institutes, research groups, and so forth). The outcomes of the data analysis are provided to the relevant internal stakeholders to allow them to monitor and improve quality in a continuous manner. Results of external quality assurance processes are used for the same purposes. The senior institutional leadership monitors the quality improvement processes. Internal quality assurance processes are part of a wider framework of exter- nal quality assurance processes, which should be coordinated. Stakehol- ders involved in the monitoring of the quality of doctoral education are quality assurance agencies, research assessment exercises, and funding organizations. There is a risk that external evaluations become too burdensome and uncoordi- nated so that internal quality processes have no room to grow. This challenge can be mitigated by increasing the coherence of assessments and evaluations in the field (Bryne, Jorgensen, / and Loukkola 2013). 2.4 Managing the Doctorate with Partners Partnerships with others are likely to enhance the quality and diversity of doctoral provision — whether with other domestic HEIs, or with international or industrial partners. This is particularly true for countries with a relatively small higher education system, but it is also true that institutions in very large countries establish partnerships as key to the quality of their research activity. Cooperation enriches doctoral training and promotes, among many benefits, interdisciplinarity, quality (by creating critical mass), and a more efficient use of resources. Partnerships, however, carry risks that need to be managed. The QAA Quality Code sets out basic expectations regarding the management of partnerships, and expects that the doctoral-awarding institutions will take full responsibility for the quality and standards of their doctoral awards, including when partnerships are involved (QAA 2015b, 37). A sound practice to manage partnerships needs to cover, among other aspects, a strategic approach, appropriate governance arrangements, and adequate poli- cies and procedures (QAA 2015b; for a comprehensive overview see Box 1718). 18 The 19 indicators listed in the box assume that HEIs are fully autonomous and responsible for the quality and standards of their awards and, as such, are fully in charge of all the steps of doctoral training, from the point of entry through the conferral of the doctorate. 46 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Box 17 Managing the doctorate with partners: 19 indicators of sound practice Indicator 1: A strategic approach to delivering learning opportunities with others is adopted. Appropriate levels of resources (including staff) are committed to the activities to ensure that the necessary oversight is sustained. Indicator 2: Governance arrangements at appropriate levels are in place for all learning opportunities which are not directly provided by the degree-awarding body. Arrangements for learning to be delivered, or support to be provided, are developed, agreed, and managed in accordance with the formally stated policies and procedures of the degree-awarding body. Indicator 3: Policies and procedures ensure that there are adequate safeguards against financial impropriety or conflicts of interest that might compromise academic standards or the quality of learning opportunities. Consideration of the business case is conducted separately from approval of the academic proposal. Indicator 4: Degree-awarding bodies that engage with other authorized awarding bodies to provide a program of study leading to a joint academic award satisfy themselves that they have the legal capacity to do so. Indicator 5: The risks of each arrangement to deliver learning opportunities with others are assessed at the outset and reviewed subsequently on a periodic basis. Appropriate and proportionate safeguards to manage the risks of the various arrangements are determined and put in place. Indicator 6: Appropriate and proportionate due diligence procedures are determined for each proposed arrangement for delivering learning opportunities with an organization other than the degree-awarding body. They are conducted periodically to check the capacity of the other organization to continue to fulfil its designated role in the arrangement. Indicator 7: There is a written and legally binding agreement, or other document, setting out the rights and obligations of the parties, which is regularly monitored and reviewed. It is signed by the authorized representatives of the degree-awarding body (or higher education provider without degree-awarding powers arranging provision by a third party) and by the delivery organization, support provider, or partner(s) before the relevant activity commences. Indicator 8: Degree-awarding bodies take responsibility for ensuring that they retain proper control of the academic standards of awards where learning opportunities are delivered with others. No serial arrangements are undertaken without the express written permission of the degree-awarding body, which retains oversight of what is being done in its name. Indicator 9: Degree-awarding bodies retain responsibility for ensuring that students admitted to a program who wish to complete it under their awarding authority can do so in the event that a delivery organization or support provider or partner withdraws from an arrangement or that the degree-awarding body decides to terminate an arrangement. Indicator 10: All higher education providers maintain records (by type and category) of all arrangements for delivering learning opportunities with others that are subject to a formal agreement. Indicator 11: Degree-awarding bodies are responsible for the academic standards of all credit and qualifications granted in their name. This responsibility is never delegated. Therefore, degree-awarding bodies ensure that the standards of any of their awards involving learning opportunities delivered by others are equivalent to the standards set for other awards that they confer at the same level. They are also consistent with UK national requirements. Indicator 12: When making arrangements to deliver a program with others, degree-awarding bodies fulfil the requirements of any professio- nal, statutory, and regulatory body (PSRB) that has approved or recognized the program or qualification, in relation to aspects of its delivery and any associated formal agreements. The status of the program or qualification in respect of PSRB recognition is made clear to prospective students. Indicator 13: Degree-awarding bodies approve module(s) and programs delivered through an arrangement with another delivery organization, support provider, or partner through processes that are at least as rigorous, secure, and open to scrutiny as those for assuring quality and acade- mic standards for programs directly provided by the degree-awarding body. Indicator 14: Degree-awarding bodies clarify which organization is responsible for admitting and registering a student to modules or programs delivered with others, and ensure that admissions are consistent with their own admissions policies. Indicator 15: Degree-awarding bodies ensure that delivery organizations involved in the assessment of students understand and follow the assessment requirements approved by the degree-awarding body for the components or programs being assessed in order to maintain its academic standards. In the case of joint, dual/double and multiple awards or for study abroad and student exchanges, degree-awarding bodies agree with their partners on the division of assessment responsibilities and the assessment regulations and requirements which apply. Indicator 16: Degree-awarding bodies retain ultimate responsibility for the appointment, briefing, and functions of external examiners. The exter- nal examining procedures for qualifications where learning opportunities are delivered with others are consistent with the degree-awarding body’s approved practices. Indicator 17: Degree-awarding bodies ensure that modules and programs offered through other delivery organizations, support providers, or partners are monitored and reviewed through procedures that are consistent with, or comparable to, those used for modules or programs provided directly by them. Indicator 18: Degree-awarding bodies ensure that they have effective control over the accuracy of all public information, publicity, and promo- tional activity relating to learning opportunities delivered with others which lead to their awards. Information is produced for prospective and REPORT 1: Academic Careers: Learning from Good International Practice | 47 current students which is fit for purpose, accessible, and trustworthy. Delivery organizations or support providers are provided with all informa- tion necessary for the effective delivery of the learning or support. Indicator 19: When degree-awarding bodies make arrangements for the delivery of learning opportunities with others, they ensure that they retain authority for awarding certificates and issuing detailed records of study in relation to student achievement. The certificate and/or record of academic achievement states the principal language of instruction and/or assessment where this is not English. Subject to any overriding statu- tory or other legal provision in any relevant jurisdiction, the certificate and/or the record of achievement records the name and location of any other higher education provider involved in the delivery of the program of study. Where information relating to the language of study or to the name and location of the delivery organization or partner is recorded on the record of achievement only, the certificate refers to the existence of this formal record. Source: QAA 2015b. Interinstitutional Cooperation Forming alliances and interinstitutional agreements for doctoral education and training is a clear trend in many European countries. This is particularly important when funding initiatives concentrate research capacity and investment in a few institutions. Because such concentration can lead to regional disparities, some countries have tried to find other ways to ensure that all regions benefit from higher-education-driven research. In Sweden, for instance, all doctoral-level courses are open to all doctoral candidates regardless of their institutional affilia- tion. Many universities in Scotland share a common doctoral school. In France, all universities across the country are required to form an alliance with their immediate neighbors (universities and other types of HEIs). Box 18 presents the case of Université Paris-Est in France. Box 18 The interinstitutional doctoral school at Université Paris-Est, France In France, three types of alliances are defined by the 2013 law. This example shows the most highly developed form of alliance: a Comue (Communauté d’universités et d’établissements) that has, itself, the status of a university. Created in 2007, Université Paris-Est (UPE) is an association of 22 teaching and research institutions located outside Paris (for example, univer- sities, a veterinary school, hospital centers, engineering and architecture schools, research institutes, and other types research and development agencies and technical centers). UPE, on behalf of its members, awards the doctoral degree as well as the Habilitation a ` diriger des recherches, a national postdoctoral qualifica- tion that allows academic staff to serve as doctoral supervisors and as principal investigators. UPE coordinates doctoral training, from the admission stage to the delivery of the doctorate. To do so, UPE has created six multidisciplinary docto- ral schools that combine the expertise of its members in various thematic configurations. The UPE Department of Doctoral Studies helps the doctoral schools as follows: • To formalize their method of operation, each doctoral school is composed of a board, a director, and a clearly identified administrative mana- ger who is responsible for its scientific policy, its budget, and its budget allocations; • To harmonize the recruitment (international calls, funds allocated to doctoral students) and monitoring (duration of the thesis and professio- nal insertion) of doctoral candidates and doctoral holders; • To ensure the integration of doctoral students, by organizing “welcome days” as well as thematic courses and dedicated scientific days. The Department of Doctoral Studies coordinates doctoral training and ensures that all doctoral students have the required professional skills by: • Offering interdisciplinary courses within the doctoral schools and promoting the professional preparation of doctoral students through language courses, library and computer training, project management and business-related training, and so forth; • Providing opportunities for doctoral students to work as consultants in a business, administration, or institution while preparing their thesis; • Administering admission to the doctorate degree through the recognition of prior learning; • Tracking their careers up to 36 months after graduation. 48 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Université Paris-Est has several activities to support the internationalization of research, including: • Hosting academic guests who have been selected to come to UPE for short periods based on responses to calls for proposals; • Offering funding for co-tutelle theses, which promote early-stage researcher mobility by allowing a doctoral candidate to be supervised by two supervisors located in two countries, and the international mobility of doctoral candidates and postdocs; • Assisting international doctoral students, postdocs, and academic guests in their search for housing and in the administrative French resi- dency procedures. Some of the shared institutional services, developed and coordinated by UPE, include: • An electronic platform, based on a shared information system; • A library portal; • Shared subscriptions to online academic resources; • An international residence for international guests. Source: Authors adapted from the website of the Université Paris-Est; http://www.univ-paris-est.fr/en/actions-and-missions/document-2478.html. International Partnerships Partnerships can also be established at the international level as part of an internationalization strategy that includes the third cycle. Compared to other regions of the world, European universities are more likely to develop inter- nationalization strategies (IAU 2014), including for the third cycle. It is customary to distinguish between two aspects in an internationalization strategy: cross- border internationalization via mobility of individuals, and internationalization “at home” that concerns the design of provision — both types form a part of the strategy of the University of Bergen, Norway (see Box 19). Box 19 Internationalization strategy at the University of Bergen Internationalization abroad The University of Bergen (UiB) surveyed its PhD candidates to learn their needs in relation to internationalization. The survey revealed that going abroad was considered to be very valuable from an academic point of view. It meets the following needs: (a) compensation (learn new methods, new technology, and work in laboratories not available at home), (b) disciplinary variation (experience greater variation), (c) detach- ment (recreate oneself in a new environment), and d) networking (create future contacts). These findings served as guidelines for improving UiB’s internationalization policy. The 2009 general action plan for doctoral education at UiB requires that departments, research groups, and schools ensure that PhDs are introduced to and properly integrated into existing international networks. The PhDs should be involved in institutions that have been strategically selected as UiB’s main international collaborators. Supervisors are now given the responsibility to recommend an academically based choice for the PhD’s stay abroad. Internationalization at home Internationalization is not only a question of going abroad. For a university with clear ambitions of being visible and attractive in the international arena, it is also necessary to cultivate internationalization at home. PhD candidates want an international environment at home to meet and collaborate with fellow PhD candidates and with (senior) researchers and teachers who come from interesting and high-quality environments that are different from theirs. To improve this dimension, UiB, with a number of local partners, decided to develop a new and unique initiative: the Bergen Summer Research School on Global Development Challenges (BSRS). Mission of BSRS The mission of the BSRS is to strengthen the internationalization of PhD education in the Bergen milieu and to foster globally committed young researchers and future leaders. It offers high-quality disciplinary as well as interdisciplinary and problem-oriented, research-based education to a worldwide audience of doctoral candidates and junior researchers. It seeks to form an international platform for discussion and dissemination of new perspectives on key global challenges, where it is crucial to bring together young researchers from the global North and the global South. The topics correspond to fields that are already strong in Bergen; the aim is to strengthen international teams, and thus generate new research projects. The whole concept of BSRS is strategically related to the two major research areas of UiB, that is, global development research and marine research. REPORT 1: Academic Careers: Learning from Good International Practice | 49 BSRS outreach to nonacademic organizations and the public The BSRS mission is also to reach out to the nonacademic sectors of society. This has two aims: to ensure that the Bergeners take ownership of this initiative, and to provide an opportunity to the PhD candidates to interact with nonacademics on the global challenges they study. This was accomplished by organizing open debate meetings in collaboration with nonacademic organizations. Source: Authors adapted from Flottum / 2009. International cooperation in the field of doctoral training benefits from being based on certain principles such as providing access to a good research envi- ronment, with appropriate supervisors and resources; that universities involve supervisors and doctoral candidates in their international activities, including facili- tating periods of mobility; and that universities must have the necessary institutio- nal structures to support international activities (EUA 2015). Institutions will provide funding to promote international mobility, for instance, to attend international conferences or a period of research mobility in another institution. Periods of mobility are framed by formal agreements that specify the rights and obligations of the two institutions and those of the doctoral candi- date. International cooperation in doctoral programs can assume different forms. The Joint Degree Management and Administration Network (JOIMAN) project identified the following stages of cooperation (while the list is not supposed to imply that one stage is better than another):19 •International collaboration: this type of cooperation is not very structured and typically includes research cooperation and student exchange; •Individual collaborative doctoral program: such as co-tutelle, which includes a formal agreement with one candidate (see also Box 20); •Joint doctoral program: A doctoral program developed and/or provided by two or more HEIs, leading to the award of a double or multiple degree; •Joint doctoral degree: A program developed and/or provided by two or more HEIs, leading to the award of a joint degree issued jointly by two or more institu- tions on the basis of a joint doctoral program. The JOIMAN project identified the following success factors of these forms of cooperation: the quality of research cooperation among partners, anchoring cooperation in an internationalization strategy and, most importantly, the applica- tion of an individual co-tutelle agreement (see Box 20 for details on the French national framework and Annex 2 for an example of a co-tutelle agreement). It is generally expected that a memorandum of understanding would frame such an agreement. 19 JOIMAN — Joint Degree Management and Administration Network: Tackling current issues and facing future challenges (http://eacea.ec.europa.eu/erasmus_mundus/results_compendia/ selected_projects_action_1_joint_doctorates_en.php). Since their first report, the Erasmus Mundus Joint Doctorates have been launched and further guidelines from JOIMAN are available at www.joiman.eu. 50 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Box 20 International co-tutelles – The French national framework International co-tutelles in France, which promote early-stage researcher mobility by allowing a doctoral candidate to be supervised by two supervisors located in two countries, are regulated by a national framework. The following provides a snapshot of how these are organized. Registration • The student approaches the two potential supervisors and appies to both institutions. • The two supervisors sign a memorandum of understanding or base their agreement on a preexisting, bilateral institutional agreement. • The student registers in both institutions but pays registration fees in one institution. • The co-tutelle agreement specifies how the cost of housing and medical insurance will be covered. • The doctoral candidate alternates for a one-year period in each institution. Conferring the doctorate There are two options for conferring the doctorate: • As a single award jointly conferred by the two institutions; the award certificate indicates the title in the national language of the two institu- tions (for example, Doctorat en littérature française; PhD in French Literature). • As two doctoral awards delivered by each institution; each award includes a reference to the other institution. In either case, the thesis is defended jointly in one of the two institutions. The examining committee includes representatives from both institu- tions (funding is available to cover travel and subsistence costs). The language for the oral defense and for the thesis must be acceptable to both institutions. An abstract in French is required. Source: Campus France n.d. Collaborative Doctorates with Industry Collaboration between HEIs and industry can result in doctoral theses carried out in partnership among an HEI, a company, and a doctoral candi- date. Among other benefits, such arrangements can have important effects on regional development. This has been recognized by some regions across Europe, which have established policies to support research collaborations between uni- versities and enterprises. The fundament of such an arrangement is the integra- tion of an industrial supervisor in a supervision team, while the academic super- visor retains the lead and the responsibility for successful completion and quality of the thesis (Borrell-Damian, Morais, and Smith 2015, 8). The European Commission encourages doctorates outside academia by funding European Industrial Doctorates (EIDs) with partners from at least two different EU or associated countries.20 A variety of collaborative models with industry are possible, but all must meet certain conditions. The precise model — such as the Professional Docto- rate in Engineering (PDEng) offered by three Dutch technical universities (see Box 21) — depends on the specific research project, the respective profiles of the HEI and the company, and the regional context (Borrell-Damian, Morais, and Smith 2015). In any case, some conditions must be met to ensure that collabo- rative doctorates meet the same exacting academic standards as more traditional doctorates, and allow for a successful collaboration. This includes building and maintaining a trustful relationship among all stakeholders, and careful planning 20 https://www.euresearch.ch/fileadmin/redacteur/Career_Funding/EID_Infosheet_20170328.pdf and https://www.euresearch.ch/fileadmin/redacteur/Career_Funding/EID_Infosheet_20170328.pdf. REPORT 1: Academic Careers: Learning from Good International Practice | 51 and integrating industry partners in the lifecycle of a doctorate. Additional factors include establishing a formal agreement among the partners that addresses such issues as intellectual property rights and the formal requirements for admission (Borrell-Damian, Morais, and Smith 2015, 25). Box 21 The Professional Doctorate in Engineering (PDEng) at Dutch technical universities PDEng programs are two-year, full-time designer programs for end-on candidates in Civil Engineering, Energy & Process Techno- logy, Healthcare Logistics, Maintenance, and Robotics. The PDEng degree (not a PhD) is accrediteda by the Royal Netherlands Society of Engineers (KIvI). Most candidates are employees of companies who are stimulated and funded by their employers to conduct intensive research on a particular (practical) problem that is related to the company’s business. The programs focus on solving real-life engineering design issues suggested by clients, who may be governments, consultants, contrac- tors (from small and medium-sized enterprises [SMEs] to large multinationals) or large research institutes. Often, trainees find jobs at client com- panies after obtaining their PDEng there. The programs are full-time for two years (120 ECTS), with 51–60 ECTS (= up to 1 year) worth of educa- tion, while the design project makes up the remaining ECTS. Education and the design project are scheduled in parallel across the two years. Sources: CHEPS 2017, Differentiated Doctorates. Notes: a. As in the Dutch higher education law accreditation is only defined for Bachelor’s and Master’s degree programs, the voluntary “accreditation” of doctorates has no official status, though it may be good for marketing purposes. In short, collaborative doctorates are generally the result of a previous, long- term research collaboration between the HEI and a company. For the relative importance of different activities in fostering a good relationship between universi- ties and companies from the perspective of companies, see Figure 4. Figure 4 Average importance of different activities in fostering ongoing professional relations between companies and universities, different years (2010–12) Source: Authors adapted from Borrell-Damian, Morais, and Smith 2015, 26. Note: The scale ranges from 1 (low importance) to 5 (high importance). Data from the DOC-CAREERS II project; number of responses: 11/14. 52 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Collaborative doctorates are possible in cooperation with different types of organizations, and in different forms. This includes industrial laboratories and other types of organizations as described in Box 22 for France, where an associa- tion coordinates these types of doctorates on behalf of the Ministry of Higher Edu- cation and Research. Another approach can be found in Denmark. The Technical University of Denmark promotes Industrial PhDs21 through a number of activities, such as developing Masters projects into PhD projects, organizing research forums and networks aimed at small and medium-size enterprises, marketing the industrial PhD program internally to departments, and maintaining contacts with alumni. In addition, the Career Centre holds annual briefings on the Industrial PhD program for Master of Science (MSc) students and companies. Partners such as chambers of commerce or foundations can be involved in colla- borative doctorates, as shown by the “Dual PhD” offered by the University of Leiden, Netherlands (Box 23). Box 22 The Industrial Agreement for Training Through Research (CIFRE) fellowship in France France has been offering the opportunity for “CIFRE doctorates” for the last 30 years. CIFRE fellows conduct their doctorate in a variety of settings, including industrial laboratories or other types of organizations. They sign a three-year, full-time work contract with a French company and receive a good salary. The work undertaken in the partner organization is their thesis. Fellows enroll in a doctoral course and attend all relevant courses. They are assigned an academic supervisor and an advisor from the company who monitors their work. The French Ministry of Higher Education and Research funds this specific doctoral program. The CIFRE Program is administered on behalf of the ministry by a French association (Association nationale recherche technologie, ANRT). ANRT assesses the doctoral research projects and the involvement of the companies, and grants EUR 14,000 per year to the company. Fellows are required to submit an annual progress report signed by both the academic and nonacademic supervisors and sent to ANRT. More than 20,000 PhD students have already benefited from the CIFRE fellowships to complete their doctoral studies. The success rate of the fellowship is very high – 90 percent CIFRE fellows have completed their PhDs and are academic researchers or industrial managers in various academic fields and business sectors. Source: Authors adapted from http://www.anrt.asso.fr/fr/espace_cifre/pdf/plaquette_cifre_en.pdf. Box 23 University of Leiden’s “Dual PhD” Dual PhD program The Dual PhD program is characterized by intensive supervision; tailored tracks; and a small-scale, individual research environment. The dual character of the program is set up in various ways and tailored to the needs of the student. With full-time PhD students, all activities serve the PhD trajectory. The approach The Dual PhD Centre connects the strengths of professional practice with the strengths of scholarship through research. The system of the Dual PhD Centre, combining professional experience and PhD research, allows for new cross-fertilization between professional practice and science. Matters and questions arising out of a professional business environment will be studied from an academic perspective. 21 “The three-year Industrial PhD programme is focused on enhancing development and innovation in Danish industry. The individual project is carried out in cooperation with a company and a depart- ment at DTU; the partners could be either public sector or private companies. The partner receives a subsidy for payment of salary and the university receives a tuition fee from the Ministry of Science, Technology and Innovation. The company and the candidate and/or the main supervisor usually know each other before a company initiates an industrial PhD project; hence, in order to recruit industrial PhDs DTU tries to create structures to facilitate contact between the university, the candi- date and the company.” (Barfoed 2013, 5) REPORT 1: Academic Careers: Learning from Good International Practice | 53 The approach of the Dual PhD Centre is characterized by individually tailored programs, individual supervision, intensive coaching, and academic profundity through access to the Leiden University’s extensive academic facilities and expertise. As a result, new forms of interaction will be made possible between practice and theory. The goal of PhD research at the Dual PhD Centre is to provide a regional impulse to corporate and public innovation. PhD contract and PhD financing The candidate, the employer, and the Centre all work together to best suit individual wishes and circumstances. These working conditions are formally described in a tailored contract. The contract focuses on the special circumstances of the dual PhD candidate and fills the general requirements of the Leiden University Doctoral Regulations.a This contract also describes how the program will be financed. The costs of the program depend on the competencies and knowledge of the candidate as well as the nature and duration of the PhD research. For several professional sectors, education and research funds and grants are available. There are also other subsidy opportunities that can cover some or all of these costs. The Centre can help with advice on financing. More information about the Dual PhD Centre can be found in the following documents: • Bridging Theory and Practice: The Dual PhDb (English brochure) • Prospectus pre-PhD programc (an overview of the pre-PhD program of Leiden University Dual PhD Centre) • Model for a dual PhD proposald (a model to develop a dual dissertation proposal). Source: Authors adapted from https://www.universiteitleiden.nl/en/governance-and-global-affairs/dual-phd-centre/about; https://www.universiteitleiden.nl/en/governance-and-global-affairs/dual-phd-centre/documentation. Note: a. http://www.regulations.leiden.edu/research/phd-regulations.html. b. https://www.universiteitleiden.nl/binaries/content/assets/governance-and-global-affairs/dual-phd-centre/20170117-dual-phd-brochure-english.pdf. c. https://www.universiteitleiden.nl/binaries/content/assets/governance-and-global-affairs/dual-phd-centre/2017-prospectus-dual-phd-programme.pdf. d. https://www.universiteitleiden.nl/binaries/content/assets/governance-and-global-affairs/dual-phd-centre/2017-model-dual-phd-research-proposal.pdf. 2.5 Outlook on the Postdoctorate What is a Postdoctorate? The postdoc is usually a fixed-term position between the doctorate and a per- manent academic position. That implies that much of the discussion on acade- mic personnel in general (see Chapter 3) also applies to postdocs, but it should be noted that the postdoc is not an obligatory step to advance in an academic career. It is difficult to generalize about the postdoc’s responsibilities, but they are usu- ally expected to carry on their research during which they might serve as the junior supervisor of doctoral students. They may have some teaching duties, as well. The European Charter and Code for Researchers recommends clear rules and explicit guidelines for the recruitment and appointment of postdoctoral research- ers, including the maximum duration and the objectives of such appointments (EC 2005, 27). Career Prospects The postdoc allows a researcher to become independent, while still deve- loping his or her scientific competencies and professional skills (Science Europe 2016, 6). As a result, the number of postdocs has been rising and exten- 54 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers ding to most fields, thus prolonging the precarious career beginning of many academics (cf. also Chapter 3). A pilot study by the European Science Foundation (ESF) revealed the benefi- cial aspects of a permanent contract for both science and society. The study tracked the postdoctoral careers of 880 doctorate holders, of whom 57 percent responded.22 Some of the main findings related to the type of contracts and emphasized the positive impact of long-term compared to short-term contracts in producing more patents and more impactful research (on policy and practice). Long-term researchers were also found to be more likely to receive awards and prizes and to be more satisfied with their workplace (ESF 2015, 9–10). Currently, however, an alarming number of postdocs have become “perma- docs” (Powell 2015), that is, they go from one postdoc to another endlessly with the hope that a permanent academic job will open up. As a response, some research-intensive universities in the United States have decided to limit to five years the postdoc period and, in a sense, force some postdocs out of the acade- mic pipeline. In several European countries (for example, France, Germany), labor law limits the number of times a short-term contract can be renewed. There are, however, ways of getting around the law by going from one institution to the next. Therefore, as Powell (2015) points out, it is unclear if such laws are useful. The European Charter and Code addresses this fact by recommending that insti- tutions take into account prior postdoctoral appointments at other institutions. The Code emphasizes that the postdoctoral status is transitional, and should be considered as one step in a long-term career (EC 2005, 27). Ultimately, the fate of postdocs is linked to the way that research is funded and laboratories populated. The current model is to rely on cheap and nume- rous labor (the docs and postdocs). An alternative model, discussed by Powell, is to have fewer but better paid staff and to turn the postdoc into a “superdoc,” that is, a well-paid senior scientist (see also Chapter 3). The postdoc can be supported at the same level as doctoral candidates. A good practice example is provided by Imperial College, which has a center dedicated to postdocs.23 2.6 Reform Process toward New Models and Procedures All facets of doctoral training form part of an overarching system and should be treated as such when approaching reforms in the field. Even though reforms of doctoral training can put a focus on some of the areas discussed, these areas cannot be considered in isolation. Therefore, it is important to account for the repercussions of any partial reform efforts. To ensure that reforms 22 Of those, one-third were in postdoctoral posts, one-third completed their postdoc in the last two years, and the one-third completed the postdoc prior to 2011. A follow-up study was launched in March 2017, the results of which should be available shortly. 23 Postdoc Development Centre; http://www.imperial.ac.uk/postdoc-development-centre/. REPORT 1: Academic Careers: Learning from Good International Practice | 55 are coherent and directed at an overarching, valid objective, a national consensus is needed on what the doctorate should be and how it should be created. Exchange among higher education stakeholders is a precondition for sound reforms more generally. There are different bodies and actors with an interest in doctoral education in every country. They include governments (for example, the ministry responsible for higher education and the ministry of finance), higher education governing bodies on the national level including quality assurance agencies, HEIs, organizations representing academic staff members, and the private sector. To account for the various interests and demands of those stake- holders, involving them early in a reform process is key. Given the importance of quality assurance arrangements, all reform efforts need to ensure that new models and procedures are also taken up by quality assurance processes. External and internal quality assurance emerged as the fundament of doctoral training in many European countries. These processes need to be able to cover the specific system of doctoral training in a country. This necessitates complementing any reform efforts by related adaptations of quality assurance arrangements. In this way, it becomes possible also to monitor unin- tended effects of reforms, and to take mitigating measures when necessary. 2.7 Key Learnings and Good Practice Criteria Key Developments in the Field of Doctoral Training •Doctoral education and training is a very diverse arena as demonstrated by the emergence of new types of doctorates and the differentiation in the statuses of doctoral candidates. •Doctoral education and training has been dynamic as a result of the attention paid to the third cycle by European-level policies and initiatives. European poli- cies and initiatives have identified a range of principles and good practices for the doctoral level. Compared to the first two cycles, doctoral education is signifi- cantly less regulated in many countries, because of its tight connections to research. •At the national level, regulations evolved in line with European developments by providing new national frameworks for the doctorate, and in the form of guide- lines and criteria for external and internal quality assurance. •At the institutional level, internal structures and regulations are changing to adapt to new standards of doctoral education. •The quality of doctoral training and the way in which it can be promoted lie at the heart of developments related to the doctorate. The most important factors of quality include a stimulating research environment, a diversity of partnerships (national and international with academic and nonacademic partners), quality supervision, and internal quality assurance mechanisms. These must be suppor- ted by an appropriate system-level framework that allows diversity of provision and both institutional responsibility and accountability. 56 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Good Practice Criteria System-level framework • A.1 – System level – The system-level framework for doctoral training finds an appropriate balance between regulation and flexibility. While regulations and quality criteria need to be applied rigorously and consistently, doctoral training also requires room to accommodate personalized paths, and room for a reason- able level of institutional and disciplinary differences. This necessitates a natio- nal consensus on the essence and standards of the doctorate developed jointly by all relevant stakeholders of the higher education system. • A.2 – System level – The autonomy of HEIs in the field of doctoral training is complemented by mandatory internal accountability mechanisms and appro- priate external quality assurance processes of research and doctoral education. This includes regulations on which HEIs have the right to confer the doctorate and the related requirements. The regulations need to reflect that original research is the core component of the doctorate and, therefore, stipulate that institutions provide a suitable research environment. • A.3 – System level – Doctoral training needs to be incentivized financially to pro- mote efficiency and quality.24 • A.4 – System level – Public funding for doctoral training is allocated in accordance with national needs and competencies required, while ensuring a diversity of doctorates. • A.5 – System level – Research support programs designed and funded at the system level ensure that doctoral candidates are appropriately involved in re- search projects wherever possible and that suitable co-supervision agreements are in place. Anchoring the doctorate in the institution • A.6 – Institutional level – Admission, progression, and assessment of doctoral candidates are monitored and supported. This includes published criteria and transparent processes for admission, an orientation and the provision of relevant information for newly recruited candidates, contractual agreements between doctoral candidates and supervisors with clear milestones (including for any requirements for publications), sound assessment procedures based on clear and transparent criteria and processes, and the monitoring of students’ progres- sion and completion. • A.7 – Institutional level – The supervision of doctoral candidates is framed by appropriate institutional policies and guidelines (among others, outlining the respective responsibilities and rights of supervisors and doctoral candi- 24 Questions of how to provide financial incentives to HEIs, also vis-a ` -vis an increase in effectiveness and efficiency, have been the subject of earlier World Bank advisory work in Latvia. REPORT 1: Academic Careers: Learning from Good International Practice | 57 dates), training and ongoing support for supervisors, and monitoring of their performance. Co-supervision is encouraged and continuity of supervision is assured. • A.8 – Institutional level – HEIs provide a stimulating research environment for doctorates with a critical mass of research-active staff, adequate learning and research tools, sufficient physical and financial resources, support for, among others, mobility and conference participation, and an overall environment sup- portive of research achievements. • A.9 – Institutional level – There is a policy outlining the balance between course work and research (thesis). Such a policy reflects the competencies that a doctoral candidate is supposed to acquire. Courses include research metho- dology and scientific integrity, and professional competencies such as grant writing, and written and oral communication. • A.10 – Institutional level – An institution-wide policy and related procedures for establishing an examination committee ensure objectivity and fairness. • A.11 – Institutional level – Institutions provide doctoral candidates with a range of academic courses (for example, subject-based courses, and courses on research methodology, teaching competencies, and scientific integrity) and soft-skills courses to prepare them for both their academic and nonacademic careers. Furthermore, HEIs provide career support and, where possible, teaching and research assistantships. Career support includes helping stu- dents, when appropriate, to find nonacademic jobs (including in the private sector). • A.12 – Institutional level – Open access to doctoral theses is promoted. Normal- ly, all doctoral theses are available in open access, except if there are reasons requiring an embargo for a designated period of time (for example, copyright issues, and ethical sensitivities, such as those related to the protection of human subjects). • A.13 – Institutional level – Formal appeals and complaint mechanisms are available to all doctoral candidates. The procedures are clear, fair, safe, compre- hensive, and up-to-date, and are described in an easily accessible document. While respecting confidentiality and anonymity, the complaints and appeals that have been lodged are periodically analyzed to ensure that clusters of problems are addressed. • A.14 – Institutional level – The quality of all aspects of the doctorate is continuou- sly monitored and assured. Internal quality assurance mechanisms are adapted to the specificity of doctoral training and include feedback from doctoral candi- dates and their supervisors. • A.15 – Institutional level – Doctoral schools are a particularly effective way of institutionalizing doctoral training and promoting its quality. HEIs that establish doctoral schools consider their number and location within the institution to maximize benefits with respect to critical mass and interdisciplinarity. 58 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers • A.16 – Institutional level – Doctoral-granting institutions have a clear mission for their doctoral schools (with appropriate attention to disciplinary differences), and a comprehensive and explicit policy on the governance and organization of doctoral training that is published and easily accessible. Managing the doctorate with partners • A.17 – Institutional level – Partnerships with national and international HEIs, research bodies, and the private sector (including industry) can improve the quality of doctoral training. To manage related risks, partnerships are framed by a strategic approach, appropriate governance arrangements, adequate policies and procedures, and a co-tutelle agreement. • A.18 – Institutional level – Stakeholder involvement in framing and evaluating the doctorate is important, among others, because the majority of doctoral holders occupy positions outside academia. The postdoctoral position • A.19 – Institutional level – The postdoctoral position is framed by appropriate policies and guidelines covering, among others, recruitment procedures and the objectives of appointments. The postdoc is considered part of the academic career ladder, and the institution takes responsibility for related HR issues. • A.20 – Institutional level – Postdocs have access to career support to help them develop career objectives, within or outside academia. REPORT 1: Academic Careers: Learning from Good International Practice | 59 3 Academic Selection and Promotion 3.1 Introduction: The Status and Role of Academics The importance of framing the entire lifespan of academic careers with syste- matic HR policies and measures has increased in current higher education policies. There are several reasons for that development. First, following a period of strong growth, in many western countries, quantitative expansion is no more the foremost driving force behind developments in the higher education sector. That has shifted the policies to emphasize quality and efficiency instead of quantitative increase. Second, the labor market in higher education has matured throughout European countries. That means primarily that, on the one hand, there is a surplus of qualified applicants for the available academic positions and, on the other hand, that more and more countries try to establish so-called “world-class universities” that are engaged in an international competition for talent (Salmi 2009). In addition, the role of higher education for societies has changed during the last three decades, impacting the HR policies in HEIs: “The mandate for higher education has broadened and changed greatly over the last few years as a result of expansion, economic duress, and the pre- sentations of new demands by new types of clients, and changes in the map of knowledge. As the map moves more deliberately away from the pursuit of traditional academic goals, the formation and credentials of staff come into focus as a key issue. As the mandate changes, so do the institutional forms and structures of higher education, and it is within these that faculty will find new opportunities and restrictions.” (Kogan, Moses, and El-Khawas 1994, 9) Regardless of the major changes in the operational environment of higher education, many characteristics of the status and roles of the academic pro- fession have remained unchanged. That is typical for professional work. Profes- sional work is usually changing only gradually even in a turbulent societal environ- ment (Brante 2010; Evetts 2009; Abbot 1988). Thus, the changes of academic work and careers must be related to the continuums of status and role of acade- mics in their respective societies. Based on an international literature review of academic work and profession, Pekkola (2009) listed the main characteristics of the continuums and changes in role and status of academics (see Table 1). For the development of a coherent and effective career system, the status of the academic profession in markets, society (power, exclusion), and labor markets (unionization, employment, self-sufficiency), and the actual work (mission, job description, and merits) must be taken into account. 60 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers The overall changes related to academic careers and academic work can be described in the framework of development of higher education from the traditio- nal academic paradigm of scientific discovery and disciplinary logic (Mode 1) to a new socially distributed, transdisciplinary, and application-oriented paradigm of knowledge production (Mode 2) that is accountable to a multitude of stakeholders (Gibbons and others 1994). In that context, both the changes toward Mode 2 and the continuities of Mode 1 can be observed in practices of organizing academic work and careers. In many cases, the academics are operating outside of com- petitive markets of knowledge production. However, they are increasingly subjec- ted to (quasi)market competition (see, for example, Teichler 2007; Enders 2006; Slaughter and Leslie 1997, 1999). While higher education systems have moved from an emphasis on the expansion of access to a renewed emphasis on quality, the academic knowledge has been partly demystified and other players have emerged in the competition on knowledge production. The Mertonian norms of science (communism, universalism, disinterestedness, and organized skepticism [CUDOS])25 have been challenged by industrial norms of science (proprietary, local, authorial, commissioned, and expert [PLACE]) (Ziman 1996). Still, in many countries, academic careers have remained quite closed and the quality assuran- ce of academic work in the hands of the academic profession, and the academic labor markets controlled by professorial unions. The career structure (vacancies) also has remained traditional, and the emphasis on research merits. In Table 1, the continuums and changes are described in greater detail. Table 1 Continuums Questions for national Status and Role Continuum (tradition) Trend (change driver) policy makers and changes in the status and role of academics Role in markets Academics work outside Academics work Whom academic tasks Note: Authors based on Pekkola of competitive markets, in competitive markets are open to? 2009. not-for-profit orientation (competing with other professionals such as consultants); also for-profit orientation Societal power Academics have Academics are one group How to balance the ideals a monopoly on production among others producing of the “ivory towers” of scientific knowledge knowledge and the “supermarket”? Asymmetry of knowledge Demystification of knowledge Institutional autonomy Market regulation and allocation based on marginal revenue Academic freedom Inclusion / Scientific knowledge, Research and education How to evaluate academic exclusion education, and work are evaluated through work and outcomes? evaluated only by relevance, applications, academics and market value by external agents PhD holders have Inflation of academic Who should evaluate privileged positions degrees, other and manage academic Equity of senior qualifications, several work and outcomes? academics (collegiality) strata of academics 25 Named after the sociologist Robert K. Merton. REPORT 1: Academic Careers: Learning from Good International Practice | 61 Questions for national Status and Role Continuum (tradition) Trend (change driver) policy makers Unionization Strong professional union Several unions, How to take into account of professors collaboration among the bargaining power of unions unions? Self-sufficiency The national academic There are several gateways How and by whom profession is educating to academia, and its quality academic careers can be its successors has many indicators entered? and managing its quality Who can develop the criteria for entry (“gatekeepers”)? Employment Academics work Academics work in fixed How to ensure working in secure, privileged, positions have conditions for a vital, and permanent positions project-based income critical, diverse, and have continuous and efficient academic income profession? Mission of (Liberal) academic Production of (professional What is the aim of academic work education and generic) competencies an academic career system? Knowledge (truth) Relevance and as an end in itself applicability of knowledge Job description Generic including Specialized: research, One career path/model research, teaching, teaching, administration or many? administration and management, and management, social engagement and social engagement Merits Research merits Merits in research, How to align the aim of competitive funding academic careers, competitions, teaching, job descriptions, media attention, and merits? and so forth Those gradually changing characteristics have a global dimension and are rooted in the professional and disciplinary nature of academic work. Although higher education policy is part of national policies and higher education institu- tions are instruments of national policies (Pekkola and Kivistö 2016), those global tendencies provide good starting points for national policy makers to question the fundaments of the development of good academic careers within their policy environment. As Kogan, Moses, and El-Khawas (1994) have put it: “In the statuses accorded, in numbers of staff and in proportions of senior to junior staff, systems differ greatly, and there are also wide differences within national systems. These facts make it all surprising that academics from different countries find so much in common with each other when working on the academic content of their research and scholarship. The international dimension of knowledge and scholarship override the differences in material provision and legal and social statuses.” (Kogan, Moses, and El-Khawas 1994, 31) Since scientific knowledge production and disciplines do not recognize national borders, the international development of the academic profession must be taken into account in the development of a national career system. 62 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers The questions concerning the development of national career systems deriving from the trends in the change of the academic profession should be taken into account while developing national career models. 3.2 System-Level Regulation of Academic Careers High autonomy of HEIs with respect to managing their staff is a growing European trend and a basic framework condition of the system-level regula- tion of academic careers. Still, in many countries, at least part of the faculty members are civil servants (Eurydice 2017). Civil servant status does not necessa- rily mean that HEIs would not have staffing autonomy. The EUA (2017) has deve- loped a set of indicators to measure staffing autonomy regardless of the public or private status of employees. The measured dimensions of autonomy are: •Capacity to decide on recruitment procedures (senior academic/senior admini- strative staff) •Capacity to decide on salaries (senior academic/senior administrative staff) •Capacity to decide on dismissals (senior academic/senior administrative staff) •Capacity to decide on promotions (senior academic/senior administrative staff. In terms of higher education staff autonomy, Latvia belongs to the top cluster with Estonia, Denmark, Finland, Lithuania, Luxembourg, Poland, Sweden, Switzerland, and the United Kingdom. Latvia also scores high on financial auto- nomy, while having low points in organizational and academic autonomy. Regardless of the autonomy trend, the tasks of academics are still nationally regulated in some European countries. These countries include major continen- tal players like France, Germany, and Italy. Typically, national regulations specify the minimum hours expected to be allocated for teaching/research activities by academics, depending on their position on the career ladder (Eurydice 2017). Qualifications are regulated at some level in most European countries. Hol- ding a doctoral degree is a legal requirement for at least permanent senior aca- demic positions in most European higher education systems. Also, in systems in which a PhD is not a legal requirement for academics, it is usually regulated in other ways. In some higher education systems, higher qualifications (habilita- tion, and so forth) are also still regulated, and in other systems, a national indivi- dual accreditation (of academics) is needed for certain positions. Germany, where the habilitation has been a prominent feature for many decades, is no longer among those countries (Eurydice 2017). However, in practice, the habilitation still plays a role. In other countries, like Finland, the title of “docent”26 is an important prerequisite for career development. 26The title of docent (“dosentti”) is an academic title (or rank) awarded by universities for doctorates with a high level of academic merit. Obtaining the title is preceded by a comprehensive academic review procedure almost similar with the recruitment procedure of full professors. The title of docent does not per se constitute an employment relationship with universities, but it officially entitles hol- ders to teach in courses at the advanced level, act as principal investigators, lead their own research groups, and act as the supervisor of doctoral students. REPORT 1: Academic Careers: Learning from Good International Practice | 63 A doctorate is required for the intermediate and senior academic positions, and sometimes at the junior level, as well. When juniors are recruited without a doctorate, various ways are found to ensure that their PhD is completed. Those practices emphasize the role of the doctorate as a major career step and formal indicator of career development. The following are the examples of regulations on graduation provided in the 2017 Eurydice report: •Poland and Hungary require a set period to finish — respectively, within 8 and 10 years; •Other countries will sign a fixed-term contract, with or without the possibility of renewal (for a fixed number of terms); •In France, a doctoral candidate can sign a fixed-term teaching contract but will be required to finish the doctorate within one year; •In Romania, completing a PhD is incentivized in that it provides employment stability: “assistant lecturers without a PhD are only eligible for fixed-term contracts, whereas assistant lecturers with a PhD can be offered an indefinite contract.” (Eurydice 2017, 32) In Ireland, several Institutes of Technology (IoTs) have integrated into their institutional strategy the need to increase the number of staff with PhDs. Often, the quantitative target is part of their contractual arrangement with the Higher Education Authority and has been reviewed annually. Those IoTs provide incentives (for example, reduced teaching workloads), and support to ensure that the staff complete their thesis on time. While most countries indicate that a doctorate plays an important role in an academic career, this is controlled through the internal regulations of HEIs rather than the national legal framework. About a quarter of European countries do not have national regulations on staff qualifications (the German-speaking Community of Belgium, the Czech Republic, Ireland, Malta, the Netherlands, Finland, the United Kingdom, and Iceland). Where they exist, system-level regulations about staff qualifications vary in how specific they are (Eurydice 2017, 33). Where a binary system exists, the doctorate is more commonly required of academic staff at universities than at other types of higher education institu- tions (see the Portuguese example in Box 5). However, non-university HEIs can have their own, unique criteria for academics such as a certain amount of work experience outside academia. In addition to regulations on individual positions, the level of institutional qualifications can be regulated. In some countries, quality assurance mecha- nisms address the competencies and qualifications of staff as well as promotion and recruitment issues (Eurydice 2017). In others, there might be quantitative targets for different qualifications within academic staff, like quotas of PhD holders in teaching staff. In Kosovo, for example, one of the requirements to open new study programs is to have at least three relevant PhD holders among the teaching staff. The recent Eurydice (2017) study has mapped the formalization of HR manage- ment in Europe. Currently, only 10 higher education systems in Europe have a top-level (national) strategy for higher education HR midterm and long-term planning. That can be interpreted in two ways. On the one hand, it might be a signal that HR planning is a new, emerging topic that only the forerunner higher 64 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers education systems have implemented. On the other hand, it can indicate that staff autonomy has been taken seriously and governments do not consider themselves legitimate actors in HR planning within the higher education system. Probably, both interpretations are partly true. According to the Eurydice (2017) study, com- mon topics addressed in these strategies are gender issues, fixed-term employ- ment, staff mobility, and staff development; that is, all topics that are usually also addressed in other documents such as internationalization strategy, or regulated under other policy sectors (such as labor contracts or gender issues). The most typical career-related regulation concerns vacancies. In most of the European higher education systems, all or some positions (typically senior posi- tions) are required to be announced through public calls. In many countries, the recruitment process (composition of selection committee, accessibility of selection and evaluation documents, appeal procedures, and conflict of interest) are also regulated by the central authority. However, the variations are wide in procedural regulation: 19 countries have no regulations on the recruitment pro- cess; in 6 of those countries, all elements are regulated, and in 13 countries, some elements are regulated (Eurydice 2017). The study also reveals in which European higher education systems employ- ment conditions are monitored by top-level authorities. In most of the coun- tries, regardless of staff autonomy, the government closely follows the develop- ment of salaries of academic staff. They also monitor the contractual conditions of the academics. There are wide variations regarding the monitoring of the exter- nally funded positions, work time, and distribution of working time of academics (Eurydice 2017). In Europe, half of the higher education systems have legislation and policies preventing discrimination based on sex, age, nationality, ethnic origin, and so forth. The other half has no legislation. The most frequently stressed dimension of equality is gender. In 18 higher education systems, there are special policies in place aimed at supporting gender equality. In 15 European higher education systems, legislation is complemented with concrete measures to increase gen- der equity, such as quotas in the selection committees and boards, mandatory equality plans, units and committees, and minimum shares of recruited males and females (Eurydice 2017). 3.3 General Career Patterns Academic Staff Categories HEI staff is typically distinguished between academic and administrative staff. Figure 5 describes different tasks and personnel groups of universities in two dimensions: the level of skills needed to perform tasks, and type of tasks. The university staff categories are: 1) Professional administrators: administrators working in professional positions requiring a high level of professional expertise, but without a strong link with academic tasks or the work of academics. Controllers, marketing and commu- nications specialists, and legal experts belong to this group. REPORT 1: Academic Careers: Learning from Good International Practice | 65 2) “Third space” professionals: administrators with academic skills and qualifica- tions who work on tasks that are closely related to academic activities, such as development of research infrastructure, writing research applications, and de- veloping pedagogy or curriculums. 3) Higher education professionals: HR specialists, study affair specialists, and others working on tasks for which some professional qualifications and sub- stantial knowledge of higher education and higher education policy is needed. 4) Academic staff: research and teaching personnel; the analysis in this chapter primarily focuses on this group 5) Support staff: working in sectorial and supportive tasks. Although this report focuses on academic staff, the category of third space professionals is growing internationally, and their work is often closely rela- ted to academic work and careers. Figure 5 Professional and nonprofessional tasks in higher education Source: Authors adapted from Kivistö and Pekkola 2017, 10. The category of academic staff covers a heterogeneous group of research and teaching positions. A main conclusion of the recent study of European academic staff (Eurydice 2017) is that the academic workforce is on the national level not necessarily categorized in accordance with internationally comparable categories. Because of the significant variation in national taxonomies of titles, Eurydice researchers have developed a comparative model of analyzing acade- mic positions based on the following indicators: 1) Level of seniority: junior, intermediate, and senior (and others) 2) Main duties: teaching, research 3) Qualifications: PhD, postdoc 4) Type of contract: temporary, permanent (continuous). This list provides a good starting point to analyze different faculty groups within academic staff. In addition to these four independent variables, major significant variables for dividing academics into organizational subgroups are funding source (external or budget), full-time/part-time status, and discipline and national origins of staff. The Eurydice report lists all European commonly used academic titles accor- ding to the above-mentioned criteria. In addition, the report lists typical career paths for each European higher education system. As an example, the Latvian career path can be compared with careers in Finland, Germany, and the Nether- lands (see Table 2). Thus, the Eurydice report provides an excellent starting point for a discussion on national differences in academic careers, positions, and titles, 66 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers and it is recommended to be used as a point of reference when developing and analyzing national systems. Table 2 Career steps by Career step 1 Career step 2 Career step 3 Career step 4 Career step 5 country Latvia Assistant Lecturer/ Assistant Associate Professor Source: Authors based on Eurydice researcher professor/ professor 2017. senior researcher Finland First-stage Recognized Established Leading researcher researchers researcher researcher (for example, (for example, (for example, (for example, doctoral postdoc university professor) candidate) researcher) lecturer) Germany Scientific Assistant Junior Professor and creative lecturer professor arts staff The Teaching Lecturer/ Senior lecturer/ Professor Netherlands assistant/junior researcher senior researcher researcher Some practical conclusions can be drawn from the study of the complex and diverse career models. First, academic titles are difficult to compare across countries due to the differences in work titles, and particularly the content and qualifications attached to the working titles. In addition, there are wide differences in career paths in Europe due to historical reasons and other country-related specificities in regulating academic labor markets, and related to differences among types of HEIs (for example, universities compared to universities of applied sciences). Consequently, the respective role of teaching, service, and administra- tive responsibilities as part of career development should be explicitly discussed when academic careers are planned. For policy-making purposes, at least three lessons can be drawn from these findings. First, national policy makers should provide an incentive for universities to develop their staff careers into a direction that make international (and natio- nal) comparisons possible. This would enable international comparisons and ease the mobility between institutions and higher education systems. The Euro- pean four-stage framework could be one possible solution to this, also because it will be used in European funding schemes and by Euraxess27 (see Box 24). Second, basic promotion mechanisms can be reflected in national recom- mendations and the legal framework. While promotions are difficult to steer nationally, and detailed national qualification criteria have been abandoned in many countries, the national level should ensure that the new career models that are introduced or supported by a national policy (for example, tenure track, and so forth) will have normative foundations (for example, the possibility of per- manent positions and probationary periods). 27 “EURAXESS — Researchers in Motion” is a pan-European initiative that provides access to a range of information and support services to researchers who wish to pursue their research career in Europe or stay connected to European developments. It is a European Research Area (ERA) key initiative to promote research careers and facilitate the mobility of researchers across Europe. REPORT 1: Academic Careers: Learning from Good International Practice | 67 Third, appreciation of teaching and management duties is part of strategic human resource management (HRM) and profiling of institutions and depen- dent on their strategy. However, institutions could be encouraged to identify and asses the teaching and administrative competencies of their staff. This can be done by providing tools to do so (for example, resources for training programs) or by including staff development as a criterion in the national quality assurance scheme. In addition, the so-called “informal academic staff” fits poorly within the typi- cal career descriptions and titles. In some countries, they belong to the official classification of titles (often junior, fixed term), in other systems they fall under the category of administrators or “other” faculty members. However, this group of researchers and teachers is expanding and getting more qualified (Kuoppala and Pekkola 2015). The group of peripheral faculty has many names. Depending on the higher education system, it is called contingent faculty or non-tenured faculty (Kezar 2012), project researchers, fixed-term researchers (Kuoppala and Pekkola 2015), or casual faculty (Kimper 2003). In many higher education systems, the statistical data on informal academic staff are underdeveloped because they are not incorporated into the official HR strategies, policies, and models. Depending on the higher education sys- tem, informal academic staff faculty is mainly used as a flexible workforce to sup- port the core workforce in teaching (hourly based contracts) or research (con- tracts based on short-term project funding). Their career development possibilities are limited, and their work is characterized by uncertainty and change, while senior academics’ work is characterized by stability and continuity. In addition, for informal academic staff, an important factor relates to whether their contingent status is voluntary or involuntary. In many cases, a large number of informal academic staff makes an efficient and strategic HRM difficult. Simply put, universities often do not know who the informal faculty members working for them are or what their competencies are. Nonetheless, this group of employees is often teaching and performing other main tasks of universities. Due to the mentioned lack of control, however, this creates a quality risk for universities. The recruitment of contingent faculty is done in the “shadows” (Pekkola 2014). This gives more weight to the informal organi- zation and makes human resources more difficult to manage. Mismanagement of human resources causes problems on the individual level. It is causing uncertainty for young researchers, who might not have the security needed to establish a family and plan for their future. In addition, it creates pressure for senior academics, who might be the only organizational contact points for young researchers. They may start feeling an amplified sense of responsibility toward the personal life of the junior academics under thfeir super- vision. To make informal academic staff more visible and their management more predictable, a national policy on statistics regarding faculty members’ con- tracts (length and type) and funding can be recommended. Also, universities should be encouraged to provide realistic information on career possibilities for young academics and roles and clarify the responsibilities of managers and ` -vis junior academics. senior academics vis-a 68 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Box 24 European four-stage career model The European four-stage career model is an attempt by the European Science Foundation to create a joint taxonomy for European research careers. If applied, it could create a comparative framework for national higher education systems and other sectors of society having researchers and R&D careers. One of the ideas of the model is to make visible the fact that only a fraction of PhD holders is employed in universities and that the role of university differs at different stages. It also highlights that there should be mobility among sectors. The model features four stages: doctoral training, postdoc, independent researcher stage and established researchers (professors, research professors, directors, senior scien- tists, etc.). The European Science Foundation also describes bottlenecks and good practices for all career stages (as updated by authors). Table 3 Bottlenecks and good practices for different career stages Stage Bottleneck Good practice 1 Unrealistic career Suitable guidelines/recommendations for doctoral education, etc. perspectives; pensions; EURODOC funding http://eurodoc.net/policies/policy-papers/ EUA-CDE http://www.eua-cde.org/doctoral-education.html 2 Limited positions; problems In Europe, there are many postdoctoral funding schemes. Examples can be found, for example, at: in transition to other sectors; Study “Postdoctoral Funding Schemes in Europe” limited independence even http://www.scienceeurope.org/wp-content/uploads/2016/10/20160922-Survey-Postdocs-Final.pdf with individual grant 3 Limited number of positions In many countries, schemes that may be used as examples have been developed. mainly in the public sector; Switzerland: lack of transparency http://www.snf.ch/en/funding/careers/snsf-professorships/Pages/default.aspx in recruitments; gender bias Germany: http://www.dfg.de/en/research_funding/programmes/individual/index.html 4 Only limited positions; There are several international and national funding schemes for leading professors, for example, positions include often high ERC advance grant: administrative and teaching https://erc.europa.eu/funding/advanced-grants workload Source: Authors based on http://archives.esf.org/fileadmin/links/CEO/ResearchCareers_60p%20A4_13Jan.pdf. In addition, the League of European Research Universities (LERU) has proposed a similar framework for universities in their report Harvesting Talent: Strengthening Research Careers in Europe: 1. Doctoral candidate 2. Postdoctoral scientist 3. University scientist 4. Professor. Based on these frameworks, the European Commission has proposed a framework that will be used in its funding activities and in EURAXESS. The European Commission’s four stages are: R1 First-Stage Researcher (up to the point of PhD) R2 Recognized Researcher (PhD holders or equivalent who are not yet fully independent) R3 Established Researcher (researchers who have developed a level of independence) R4 Leading Researcher (researchers leading their research area or field). The aim of the framework is to help: 1. Researchers identify and apply for job offers close to their individual profile in diverse employment sectors, including academia and industry; 2. Employers identify candidates from different sectors close to the job profile on offer and develop their careers; REPORT 1: Academic Careers: Learning from Good International Practice | 69 3. Public authorities to make international comparisons and benchmark their researcher population and have informative statistics; 4. Potential researchers to develop a better idea of a career in research. One of the major challenges to the four-stage career model is its incompatibility with the three-stage systems (assistant, associate, and full professor) in the United States. Another challenge is the role of the postdoc which, in the view of the authors of this study, is not a mandatory step to advance an academic career. Sources: Authors based on http://www.leru.org/files/publications/LERU_paper_Harvesting_talent.pdf; https://era.gv.at/object/document/1509; and http://archives.esf.org/fileadmin/links/CEO/ResearchCareers_60p%20A4_13Jan.pdf. Open Vacancy Model, Career-Based System, Tenure Track, and Promotion According to Organisation for Economic Development (OECD) definitions (OECD 2009), the public recruitment systems can be divided into two major categories: a career-based system and a position-based system. The career- based system is characterized by competitive selection early in the career. In the academic sector, “concours” (competitive examinations) are in use only in France (Eurydice 2017). However, many European career models have characteristics of the career-based system. The characteristics include preplanned career paths within an organization and constraints to entry into careers at the later stage. A position-based system is based on open positions/vacancies. Each position, when established or vacant, is open for all candidates at all stages of their career (senior or junior). In Europe, this is the predominant system in official academic careers (Eurydice 2017). Usually, the career models in universities have characteristics of both mo- dels. Virtanen (2016) has listed the strengths and weaknesses of these two basic models. They can be adapted to higher education settings (see Table 4). In higher education, as in other sectors, the career models are usually hybrid models of the two basic variants. This means that weaknesses and strengths of both models can be found in almost every higher education system. The major challenges of career-based systems are a built-in elitism and issues related to promotion pro- cesses, whereas in position-based systems challenges related to recruitments and career development are more prevalent. The major strength in career-based systems is an emphasis on staff development and commitment, and in position- based systems a tendency toward adaptability. When developing the career system, the balance between security and com- petition should be carefully considered at every career step. There are many ways of supporting the academic drive toward good-quality results. Fixed-term contracts are not always the only and best ways to secure work motivation and academic excellence, even though sometimes they might serve this purpose, as well. In many universities, however, the high retention rate is not considered as a problem, because, on the contrary, the low turnover might hinder organiza- tional learning processes. In sum, there should be positions in which a long-term academic commitment is possible and positions that can be used as strategic instruments for renewing institutional competencies. 70 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Table 4 Potential strengths Potential strengths Potential weaknesses and weaknesses of career- and position-based career Career-based • Strong role of academic profession, • Elitism and stagnation models collegiality • Risk of exclusion of contemporary staff models • Shared values, independence, from organizational decision making Source: Authors. academic freedom • Division between “core academics” • Long timespan, autonomy and others • Accumulation of knowledge • “Ivory tower” • Motivation through promotion • High risk of heavy promotion processes possibilities to guarantee merit-based selection at all position levels Position-based • Stronger role of managers • Unhealthy competition models and possibility for strategic • Career dead-ends (no open positions) recruitments • Risk of losing a sense of shared • Competitiveness, diversity mission and value • Adaptability, relevance for society, • Risk of losing networks possibility for multidisciplinary and knowledge, if high turnover positions • Risk of “supermarket logic” in academic work • High risk of heavy recruitment processes to guarantee merit-based selection at all position levels • High risks of dissatisfaction in recruitment processes The tenure track system is a specific career trajectory in higher education combining characteristics of a career-based system and a position-based system. In a way, it is a conditional career-based system. It promises promotion and career development if conditions during the probationary period are met, as is envisaged for Poland with respect to obtaining a permanent contract (see Box 25). The concept of the tenure track system is often used with reference to the career model dominant in American universities, although there are seve- ral practices and enormous variations in institutional tenure tracks. However, the variation is even wider in tenure track models within European universities. Box 25 Obtaining a permanent contract under the proposed Polish Law on Higher Education and Science The new draft Law on Higher Education and Science in Poland stipulates structured ways of obtaining a permanent contract.a Under the new draft law, Polish HEIs can provide academics with a permanent contract or with a fixed-term contract the duration of which must not exceed four years. Hiring an academic (for a contract period longer than three months) requires an open competition – with the exception of, among others, individuals who successfully acquired an externally-funded research project. However, if an academic on a fixed-term contract is evaluated positively in a performance appraisal (which all academics must undergo at least every four years), the institution can offer him or her a permanent contract without opening up the position and carrying out the competitive procedure. Source: Authors based on the draft of the draft Polish Law on Higher Education and Science (from September 16, 2017). Note: a. Since the law is currently at a drafting stage, there might be changes to the provisions presented here. The defining document on tenure is the “Statement of Principles on Acade- mic Freedom and Tenure” by the American Association of University Profes- sors, published in 1940: “[A]fter the expiration of a probationary period, teachers or investigators should have permanent or continuous tenure, and their service should be terminated only for adequate cause, except in the case of retirement for REPORT 1: Academic Careers: Learning from Good International Practice | 71 age, or under extraordinary circumstances because of financial exigencies.” The statement also defines the following good practices for tenure: 1) Terms and conditions for appointment should be provided in writing; 2) The probationary period should have a maximum length and the discontinua- tion of the probationary period should be announced sufficiently early; 3) During the probationary period teachers have academic freedom; 4) The termination of employment (especially if tenured) should be done with precaution; 5) Termination of a continuous appointment because of financial exigency should be demonstrably “bona fide.” For instance, the recent system-wide introduction of tenure track models in Finnish universities provides a good example for assessing the preconditions, benefits, and risks associated with tenure track systems (see Välimaa and others 2016). The preconditions of successful implementation of tenure track system are, among others: •A regulatory basis for the probationary period; •A regulatory basis for tenure (permanent positions); •A regulatory basis for providing tenure after the probationary period without an open call; •A regulatory basis for ending the employment after the probationary period; •Sufficient HR and management capacity to implement tenure recruitment and evaluations; •Sufficient size of unit for using tenure; •A sufficient pool of candidates. The benefits of tenure track systems include: •Management of risk associated with permanent positions through probationary periods; •Systemization of practices; •Introducing a strong and predictable motivational structure for tenure track faculty to reach the targeted goals; •Introducing and strengthening new strategic fields of research; •Selecting the candidate with the best potential, not the most meritorious candi- date; •Solves a problem of dead-ends in purely position-based career models; •International comparability and attractive and predictable options for internatio- nal candidates. The risks associated with the tenure track system include: •If implemented only as an additional element of a career model, it creates (strengthens the division into) two ranks of academics; •May highlight the research merits and other internationally comparable merits and neglect teaching and organizational merits; •Creates highly individual motivational structures that may have negative impacts for collaboration especially in teaching and organizational matters; •Increases insecurity of young committed researchers; 72 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers •Requires strong HR competencies and resources in developing the criteria for promotions and organizing the assessments; •Requires more financial long-term planning (when introduced, might lower the salary expenses of senior academic staff but will increase them in the longer term); •Might have a tendency to postpone promotions and increase the threshold for professorships. Ensuring appropriate preconditions and balancing the benefits and risks is imperative for clearly structured, transparent, and successful tenure track models. If implementation of tenure track models is not done with great caution, one can expect several severe legal and practical HR problems that are evident even in the United States, where the system is well established. Based on a recent U.S. survey of tenure track practices, Trowler (2012, list modified by authors) has listed several policy and practice implications in organizing clear and successful tenure tracks: 1. Tenure track faculty (before and after recruitment) should be well informed on the expectations and priority of outcomes. † This should be supported by mentors, faculty orientation, written guides, and sample dossiers. 2. All outcomes need to be well defined (such as outreach to the community). 3. Tenure track faculty members need (annual) feedback. † Managers need skills to provide feedback. † Managers and senior staff need to be available for junior staff. 4. Only faculty with full potential to reach tenure should be employed after the probationary period. Retirement Matters of retirement are an integral part of the career patterns of academics. The ways in which the retirement of academics is handled differ among coun- tries (see Box 26). One commonly discussed theme is whether there should be a possibility to force academics to retire at a certain age. Advocates of that possi- bility point out that not forcing academics to retire restricts the career opportuni- ties of young researchers and hinders the positive turnover of academic staff. Critics of enforced retirement point out its discriminatory character and the contri- butions that older academics make to higher education. In the end, the design of retirement in academia requires a nationwide discussion. Nevertheless, four basic approaches can be identified: •Ruling out forced retirement altogether; •A nationwide retirement age (higher education specific or general); •Allowing HEIs to design their own retirement policies (within a certain frame- work), which could lead to, among others, an institutional mandatory retirement age, or approaches that frame (early) retirement with an incentive system (as they are practiced by, for example, American and Australian HEIs); •The development of special positions for “emeritus” professors (see Box 27). REPORT 1: Academic Careers: Learning from Good International Practice | 73 Box 26 Retirement in academia The regulation of the retirement of academics is determined by national legislation on mandatory retirement, which varies among countries.a Some countries have a mandatory retirement age and/or allow employers to enforce retirement, even though under different restrictions and procedures. That includes France, Germany, and the United Kingdom. In Germany, for example, academics who are civil servants must retire when they reach the mandatory retirement age of (in most cases) 67, if they do not receive a temporary extension. Other countries rule out compulsory retirement in almost all cases. That includes Australia, Poland, Spain, and the United States. Whether to enforce retirement can be a controversial debate in higher education systems where this is possible – as in the United Kingdom. The United Kingdom abolished mandatory retirement at the age of 65 in 2011. However, employers can introduce a retirement age for their organization if they can justify it, called an “Employer Justified Retirement Age (EJRA).” The University of Oxford in the United Kingdom introduced an EJRA of 67 years in 2011.b During a review of the policy five years after its introduction, the university’s academics fiercely debated its abolishment. The debate contained many of the arguments that proponents and critics of forced retirement in academia cite.c Proponents tend to point out the negative consequences for young academics that result from their older colleagues holding posts and acquiring resources into old age. They also highlight the wider impact on the refreshment of the academic staff body by a lack of career progression opportunities for young academics. Critics of enforced retirement tend to emphasize the age discrimination underlying mandatory retirement, and criticize what they perceive as an implicit assumption of a relation between age and productivity. Source: Authors. Note: a. http://www.ox.ac.uk/sites/files/oxford/Report of the EJRA Review Group - annexes.pdf. b. http://www.ox.ac.uk/staff/consultations/ejra-review. c. http://www.telegraph.co.uk/news/2017/06/01/oxford-dons-challenge-retirement-age-rule/; https://www.nature.com/news/the-retirement- debate-stay-at-the-bench-or-make-way-for-the-next-generation-1.17487. Box 27 The “Professor Emeritus” Status at Vilnius University, Lithuania At Vilnius University, Lithuania, professors can remain involved in the institution’s activities via a “Professor Emeritus ” status. In general, permanent employment contracts of academics at the university end with the academic year during which an academic turns 65 years of age. A first possibility to continue working at the university are fixed-term contracts of a duration of less than three years, which require approval by the senate and can be renewed only once. Professors also have the option to obtain the status of “Professor Emeritus.” That title is awarded by the senate for exceptional achievements in science, art, or teaching. A Professor Emeritus receives a monthly payment and can participate in the university’s activities. A similar option exists for other staff categories in the form of the “Affiliated Lecturer” and “Affiliated Researcher” status. Source: Authors based on the Statute of Vilnius University; https://www.vu.lt/site_files/Adm/statutas/VU_Statute.pdf. Different Career Paths There is a great variety in national definitions of academic career paths. The variation is even wider in actual career trajectories. This section looks at the overall trajectory of academic careers. Pekkola (2014) has developed a typo- logy of academic career types that consists of seven types of concrete careers. These career types are not official career models but actual career trajectories. The career types are: 1) Assistant’s career 2) Teacher’s career 3) Researcher’s career, depending on funding sources: 3a) employment 3b) scholarship 3c) project 74 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers 4) Professional career 5) Atypical career. Academic career can be divided into organizational and nonorganizational career types. The first three of these — assistant’s, teacher’s and employed re- searcher’s careers — are called organizational careers. They are based on orga- nizational (or national) practices and on a status of employee or civil servant. Assistant’s career is the most traditional academic career type. It is related to a chair model in which a professor selects his or her successor. The beginning of a career consists of auxiliary duties in research and teaching as well as plenty of administrative duties. It is a traditional generalist’s path based on a master-novice relation in which the novice grows to be a professor trough several steps. Teacher’s career is a newcomer in many higher education systems. It is a se- parate career model for university teachers who can be qualified toward pro- fessorship while being full-time teachers. A researcher’s career is a norm in many countries. A typical example of researcher’s career is the European four-stage career model. A talented Master’s degree holder is employed by a doctoral school as a junior researcher. After his or her defense, she or he continues through a postdoc position to independent researcher or teacher and finally to established researcher, like a professor. The academic careers are often based on other than organizational positions. The researcher career can follow a similar pattern as the path described above. However, it can be based on funding sources other than the university’s own budget. A typical variant of researcher’s career is a career that starts with scholar- ships or grants. In this case, the only formal ties to a higher education institution are the doctoral supervision and a study right (and in some cases a tuition fee). Another variant of a researcher’s career is a project researcher’s career. The project researcher’s path follows the researcher’s path, but his or her main duties are not directed toward his or her own academic career but to implemen- tation of a project (that may or may not be related to his or her dissertation or postdoctoral studies). The project researcher is often employed by a university but accountable to a third party. An academic career can also be professional. This means that a PhD candidate or postdoctoral researcher is employed by another organizations as she or he is pursuing, as part of her or his tasks (in research institutes, R&D departments, hospitals, and so forth), a professional doctoral program. A more detailed reflec- tion on professional careers is provided in Box 28. REPORT 1: Academic Careers: Learning from Good International Practice | 75 Box 28 The engagement of professionals as part-time lecturers Professionals from the private sector can be a valuable resource for HEIs, but need to be prepared for their engagement. Their speci- fic sets of knowledge and experience, which allow them to establish a connection between theory and practice, make professionals an interesting option for HEIs when implementing their programs. The professionals themselves can benefit from working with HEIs in the form of insights into current academic debates and an extension of their professional network – and might be passionate about sharing their knowledge and experiences with the younger generation. When hiring professionals as part-time lecturers, formal qualifications are not of primary importance to HEIs. What is important, however, is how professionals are prepared for their engagement and integrated into the HEI. HEIs have different options for increasing the success of a professionals’ engagement as lecturer. Those options cover all phases of the engagement (see Figure 6), from the design of recruitment processes to an adaptation of evaluation procedures. During the recruitment phase, for example, the overarching objective for HEIs is to ensure that the profile of the course and the competencies of the professional match. A first step to achieve this is to determine which courses professionals can implement reasonably, and to precisely define the profile and requirements for each engagement. Different options exist for subsequently identifying suitable candidates. In addition to the public advertise- ment of positions, HEIs can revert to the contact networks of their academics, and search for candidates via their publications or public presenta- tions. Figure 6 Phases of the engagement of part-time lecturers Source: Authors adapted from Gröckel, Schönberg, and Walther 2015, 8. The THM University of Applied Sciences (UAS), Germany, developed a system for hiring professionals as part-time lecturers and integrating them into the institution for their work-integrated higher education programs. The system focuses its recruitment efforts on professionals who are alumni of the UAS. Those are considered to be particularly suitable candidates, because they are acquainted with the respective programs and the needs of the students. After the recruitment, a mentoring program centered on a “teaching tandem” prepares new lecturers for their engagement. The “teaching tandem” consists of a newly recruited professional and a professor preparing a course together, and then teaching it in parallel. The teaching phase is complemented by a continuous mentoring by the professor. That approach benefits both parties: The newly recruited professional is prepared for his or her engagement as lecturer, and the professor gains up-to-date insights into the professional practice. Furthermore, all part-time lecturers at THM UAS have access to professional development opportunities in teaching techniques and to related support services. Source: Authors based on Meyer-Guckel and others 2015. The last variant of academic career is the so-called atypical career. It is named after atypical employment during PhD studies and often also, while having postdoctoral status. It includes several fixed-term positions, hourly based teaching contracts, project funds, grants, unemployment periods, and employment in other sectors. The so-called “atypical contingent academic career” is in fact typical in many countries. In Table 5, the different careers are represented within an orga- nizational and resource environmental context. The typology of career types is useful when analyzing alignment of job de- scriptions, reward structures, and career progression. Often, there is only one career model and reward system but a multitude of actual careers. This is causing a lot of dissatisfaction and misunderstandings. 76 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Table 5 Typology of career Qualifies in/ types Funding Employer Senior’s role merits for Source: Authors based on Pekkola Assistant HEI HEI Line manager, Organizational work, 2014. supervisor, mentor research, teaching Teacher HEI HEI Line manager, Teaching, supervisor organizational work, research Researcher (a) HEI HEI Line manager, Research, (teaching, supervisor organizational work) Researcher (b) HEI/Foundation/ N/A Supervisor Research National body Researcher (c) Commissioning body HEI/CB Project manager, Project work, (CB) (supervisor) research Professional Other organization OO Supervisor Professional work, (OO) research Atypical (contingent, Several sources Varies Supervisor N/A unofficial) (project manager) The typology is based on the differences in the beginning of the career. Normally, with career progression, the variation in individual career trajectories decreases. However, the differences might be observable throughout the career. For instance, there are professorships in which the qualifications may come from the educational activities, professional life, or project work. For example, in Lithuania and the UK there are typical separate career paths for researchers and teachers (Eurydice 2017), and Aalto University in Finland has developed different level positions for experts from industry invited to work in Aalto. The institutions should analyze the different career trajectories of their staff. This understanding should be based on systematic data gathering and analysis by institutions (“institutional research”) not on the personal experiences and anecdotal evidence presented by different constituencies of senior academics. The individual career trajectories should be at least to some extent comparable with organizational career structures to ensure the reciprocal commitment and motivation of staff. It should be also ensured that the managers, who are res- ponsible for the outcomes and strategic management of their unit, have a role in recruitment and acknowledgement of nonpermanent faculty. The career trajectories of contingent staff usually give a picture of the current resource environment. The changes in resource environment are usually best observable in the work of nonpermanent faculty. For these reasons, institutional leaders should closely follow the faculty, its working conditions, and funding arrangement. Institutions should pay attention to the impact of external funding on the academic careers. The current resource environment and autonomy trend has increased the amount of competitive funding and external funding in higher edu- cation. In many cases, the institutional HR policies and practices are not entirely adapted to this change. In this new environment, institutions are obligated to decide whether to employ a unitary career structure for all faculty members, two distinctive career structures for staff with different funding sources, or one career structure for permanent staff alongside a large group of contingent faculty. REPORT 1: Academic Careers: Learning from Good International Practice | 77 A unitary career structure capturing different career trajectories requires pro- fessional university management. It means that management of working time and financial administration must be well functioning, because of the variety of accountability criteria (that is, for state funding vs. other funding). Conversely, the differentiation of career patterns for employees working with external funding and those paid with core budget funding might dissociate the academic work (teaching and research) and development and innovation work from each other and end up lowering the quality of both. International staff should also be taken into account when planning the career trajectories. Even though they would be employed in similar positions and they would officially have the same career trajectories, their horizons are usually different. In Box 29, career trajectories of international staff members are discussed. Box 29 International dimension of basic units and academic careers The career of an international researcher often depends on the nature of the academic organization. David Hoffman and his colleagues have studied the work of international staff members in Finnish universities and found three distinctive organizational profiles that have a major impact how the academic career of an individual is built (see also Figure 7). The language of the science and organization play a major role in this development. In the following, the organizational profiles are directly adapted, shortened, and, in some instances, adapted via highlighting by this report’s authors from the study by Hoffman and others (2013). Figure 7 Worldviews and competitive horizons Source: Hoffman and others 2013. 78 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers The Best Science (World Class Basic Units) World class basic units in Finnish universities focused on the transformation of their field of study. In these units, academic power and prestige are gained through highly ranked publications. Human resources are recruited to these units internationally based on their academic excellence. The most salient identity of scholars is often that of the scholar – above all else (Hoffman and others 2013). The Best Finnish Scientists (Local Heroes) At the other opposite are university personnel who draw on the state-of-the-art, but take no direct part in the transformation of their discipline or field of study, such as teachers in regionally orientated campuses. In these units, academic power and prestige are gained through social dynamics and local politics. “Local Heroes” compete, but mainly among themselves or nationally with scholars from similar units. Competition centers on a limited number of vacancies and a predictable supply of students seeking well-defined knowledge to be used in local job markets (Hoffman and others 2013). The Best Science in Finnish – And English (National Champions) In between best science and best Finnish scientists, “National Champions” pursue original research and teach the regular student body. While some of the academic staff spend the majority of time on instructing students, there are also significant research outcomes. The likelihood of finding foreign academic staff in these units is higher than in units populated by Local Heroes, but not as usual in World Class units (Hoffman and others 2013). Source: Authors based on Hoffman and others 2013. Regardless of approach, institutions should align their career patterns with their institutional profile and resource environment. Institutional strategy and profile as well as income logics should be identifiable from the career patterns of an institution. For instance, if a university has a societal (entrepreneurial, innova- tive, regional) mission, the professional and project careers should be embraced in their career model, as well as successful project management and applications. A useful heuristic device to analyze career paths is provided in the Figure 8 and is discussed in Box 30. REPORT 1: Academic Careers: Learning from Good International Practice | 79 Box 30 “The three careers of an academic” The careers of academics resemble those of other professionals, but are unique in some respects. The specificity of academic careers and their complexity is captured by a model developed by two higher education research and science studies scholars, Jochen Gläser and Grit Laudel. That model emphasizes the importance of the content of an academic’s work (focusing on research) and of the scientific community for academic careers. Against that backdrop, the model distinguishes three careers of academics: 1) A “cognitive career” that refers to the research conducted; 2) A “community career” that refers to the position within the scientific community, including an academic’s reputation, status, and role; 3) An “organizational career” (Gläser and Laudel 2015, 13) that refers to the organizational positions. The model furthermore stresses that academics pursue those three careers in parallel, and that all three careers are interlinked (see Figure 8). Figure 8 The three careers of an academic and their connections Source: Gläser and Laudel 2015, 18. Source: Authors based on Gläser and Laudel 2015. Next to the variations in “typical academic careers,” individuals can also follow more “atypical career paths.” One example of that is when scientists (or even students), being an entrepreneurial academic, use an innovative idea to bring a product to the market. In cases when academics also establish their own company or commercial activities, it is important to have tailor-made solu- tions for the employment relationship between the entrepreneur and the univer- sity, covering issues such as time investment, intellectual property rights, and research projects. Entrepreneurial universities often have a general framework within which department leaders or deans can make tailor-made agreements with entrepreneurial academics or doctoral students (see Box 31). 80 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Box 31 “The entrepreneurial academic” – University of Twente, the Netherlands The University of Twente (UT), the Netherlands, encourages its academic staff members to perform ancillary activities. Ancillary activities can contribute to the professional development of staff members and strengthen the bonds between the university and society. By “ancillary activities” the UT means all paid and unpaid activities that are not part of the job performed at the UT. One can think of working with a different employer, a commissionership or being an advisor for an external organization, and activities as a (starting) entrepreneur or free professional practitioner. a Staff and doctoral candidates are allowed to establish spin-off activities and companies, and are supported in doing so. They can make use of soft loans to cover start-up costs, and certain start-up activities can be considered as time they are employed by the university. In agreement with their managing director, some of the start-up activities need to be done during holidays or be compensated by taking unpaid leave. Once the company is established and becomes a real job, then, in agreement with the managing director, the staff member must reduce the number of working hours and related pay with the university, resulting in part-time employment. Running the company is then regarded as an ancillary activity for the UT and must be reported. Depending on the legal agreements with the company, for example, in relation to property rights, the spin-off company may have to pay a small proportion of turnover or profits to the university, next to the repayment of the soft loans they may have received. If staff want to perform or continue performing ancillary activities, he or she must always request permission from the direct manager, irrespective of whether he or she works full-time or part-time. Permission is requested through the “ancillary activities” web application. Staff is usually granted permission for ancillary activities that do not adversely affect his or her job performance and that cannot harm UT interests. As universities are public organizations, transparency and integrity with regard to ancillary activities are important. As such, the UT, in concordance with the Ministry of Education, Culture and Science and the Association of Universities of the Netherlands, agreed to provide external parties with insight into ancillary activities for which permission has been granted. That concerns information on the nature of the ancillary activities and the institute for which they are performed. Source: Authors. Note: a. https://www.utwente.nl/en/hr/terms-of-employment/ancillary-activities/. 3.4 Selection and Recruitment of Academic Staff The selection of academics is a crucial HR policy field with a strong impact on academic careers. The related approaches correlate strongly with the selec- tion of doctoral candidates and postdoctoral researchers, but here the emphasis is on the organizational practices in recruiting and selecting academics at later career stages. The recruitment to universities can follow three patterns, namely professional, organizational, and informal. The typology presented here is based on research done in the context of the Finnish higher education system (Siekki- nen, Pekkola, and Kivistö 2016), but it can be applied to other settings. Professional recruitment is a traditional way of recruiting academics. It is often applied in senior positions such as filling the professorates. Professional recruitment emphasizes the role of the disciplinary community in decision making. Candidates who apply for open positions are evaluated (and ranked) by peer review and external evaluations, typically done by other professors in the same disciplinary field. National, institutional, or professional (collective) standards typi- cally regulate professional recruitment (Eurydice 2017). Regardless of the national regulations, professional recruitment has a global character when international experts are used. Professional recruitment is best for searching for academic excellence. Only external professional reviewers can recognize academic excellence that the orga- nization does not have yet. Regardless of whether the professional recruitment is based on external reviews, the strategic focus can be ensured by providing REPORT 1: Academic Careers: Learning from Good International Practice | 81 a strategic management role in formulating the job descriptions and tasks and in participating to the selection of qualified applicants. Organizational or managerial recruitment is a standard recruitment practice in any organization. Recruitments are done according to the organizational regulations, and decision making on selection is done according to the official decision-making procedures (by collective body or by a manager) of a university. Organizational recruitments are typically applied in filling permanent positions or established fixed-term vacancies. The variation of organizational practices is often high within national systems and even within a university among different faculties. The tendency in organizational recruitments and selection is to move from collective decision making toward managerial decision making. Organizational recruitment is best for selecting persons who are likely to be committed to the organization and to generate strategic fit between person and institution. Different types of collegial and collective practices can also legi- timize the selection from different approaches (gender, labor market politics, stu- dent politics, and so forth). In organizational recruitments, the strategic compo- nent can be strengthened, for instance, by supporting the managerial practices, and by providing management with a possibility to impact on selection criteria and selection procedures in departments and faculties. Informal recruitment or ad-hoc recruitments are recruitments practically done by professors and research group leaders. Recruitments are done on an ad-hoc basis to meet the needs of ongoing, often externally funded, projects. In some cases, PhD candidates are also mainly recruited by individual senior academics. Informal recruiters are often important gatekeepers for organizational recruitments because experience of academic work (teaching/research) is often required for permanent positions. There are several risks associated with informal recruitments, which are needed to keep departments and projects running. The strategic component in informal recruitments could be enforced by defining the role of contingent faculty and the rights and responsibilities of research group leaders, and by clarifying the role of line managers responsible for strategy implementation. In Table 6, an example of recruit- ment practices in Finland under the three different recruitment methods is given. Usually the recruitments are hybrid models in which the informal, organiza- tional, and professional processes meet. The balancing between selection based on academic excellence, strategic competencies, and organizational and collegial commitment has to be done in all recruitments. Professional recruitment usually supports academic excellence; organizational (managerial) practices support organizational aims and values; informal recruitment practices support flexibility and the needs of research groups and status of individual professors. 82 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Table 6 Recruitment types: The example of Finnish practices, titles, and tasks Primary source of resources Titles and tasks Recruitment type Recruitment practice Core funding Professor’s position (career stage IV): “Professional • Permanent contracts (fixed term for tenure track • Full professor positions recruitments” positions) • Tenure track positions • Open call for vacancies (or by “invitation”) • Opened mostly as an international call • Defining the position profile and tasks: recruitment committees, deans • Use of recruitment committees and external reviewers • Recruitment decisions by rectors/deans, based on the proposal appointment committees Tasks for obtaining Institutional “Organizational • Permanent or long fixed-term contracts qualifications tasks recruitments” (3–5 years) (career stages (career stage III): • Open call for vacancies I & IV): • Often opened as an international call • Doctoral • University • Defining the position profile and the tasks: candidates lecturers department heads, professors, recruitment (with salary) • University committees • Postdoctoral re-searchers • Recruitment decisions by rectors/deans, based researchers on the proposal of recruitment committees Project funding Project-related and other short-term “Ad hoc • Short, fixed-term, contracts tasks (career stage I): recruitments” • Direct recruitments often without an open call • Project researchers, research assistants, • Defining position profile and tasks: department teaching assistants heads, professors, principal investigators • Recruitment decisions by deans, department heads Source: Authors adapted from Siekkinen, Pekkola, and Kivistö 2016, 28. Connection of Personnel Policies to Institutional Profiles and Strategies The review of the literature (see Mugabi and others 2017) suggests there is wide- spread agreement among higher education researchers that: •People are the most important asset for universities and are key to long-term organizational performance; •Managing HR is the responsibility of all managers; •HR policies, programs, and practices should cohere and align with organizatio- nal strategy. The alignment of HR policies, programs, and practices with organizational strategy entails more professional and strategic HR management in univer- sities. Strategic HRM can be described as a shift of personnel administration (as a legal and administrative function) toward a function of strategic manage- ment. Strategic HRM takes the changing environment into account by parti- cipating in strategy formulation. Consequently, the role of HR is not only to REPORT 1: Academic Careers: Learning from Good International Practice | 83 implement the strategy but also to actively participate in transforming the HR in changing the policy environment. The connections of personnel policies to institutional profiles and strategies can be established through many mechanisms. One mechanism is the chan- ging role and position of personnel managers, who recently have been introduced to the top (strategic) management and strategy formulation of universities. Another way is to manage the job descriptions and competencies of staff. How- ever, academic work provides its own challenges to strategic human resource management and human resource development. Maintaining academic freedom (often protected by law) creates certain limitations on the management of acade- mic work. This means that the content of academic work (and the profile of a unit as an aggregate) can be managed only in a limited way. Hence, the role of recruitments in securing academic future work performance is extremely impor- tant (Pekkola and others 2017). The performance management system of a university is an important mecha- nism to steer academic work toward institutional aims. By introducing a re- wards structure supporting the strategic goals of an institution or a department, academic work can be steered toward strategic goals such as internationalization or research excellence. However, research evidence shows that performance incentives might have a limited impact, especially on the research activities of senior academics (for example, Kivistö, Pekkola, and Lyytinen 2017). The remu- neration and performance-based salary systems are described in more detail in Chapter 4. In addition, promotion criteria can be considered as an instrument to imple- ment strategic staff development. For instance, a university can emphasize teaching excellence or social engagement with respect to promotions, or require at least minimum qualifications under these categories. In addition, there are many soft ways of implementing HR strategy, such as human resource develop- ment and training. Professionalization of Actors Involved Traditionally, universities have been managed either as state bureaucracies or as collegial professional organizations. In both cases, the management ethos has had a far-reaching impact on the management of personnel in univer- sities. Personnel management has been in many cases conceived as mostly sup- port services for professional recruitment and legal and administrative services to ensure the legality of the recruitments and personnel affairs. In many countries, the development of professional HR services is a recent phenomenon, but one that is important within the general development trend toward strategic HRM. The professionalization of HR is related to three inter- linked developments in universities. First, it is a part of implementation of new steering mechanisms, namely, New Public Management and related performance measurement. Professional HR management is one of the instruments used to implement the managerial and performance-oriented practices within higher education (Siekkinen, Pekkola, and Kivistö 2016). Second, higher education admi- nistration has become professionalized in general (Kivistö and Pekkola 2017). That also relates to managerialism and new coordination methods in higher edu- 84 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers cation. Third, well-being at work, commitment, and motivation have become a new and more important focus in higher education (Siekkinen, Pekkola, and Kivistö 2016). That relates especially to the strong quantitative growth in university enrolment and the growth of non-tenure/casual/precarious/atypical employment (Kezar 2012). There is a growing amount of research done about human resources and human resource management in higher education (Mugabi and others 2017) and the rise of new higher education professionals (Teichler 2015; McFarlane 2011; Whitchurch 2008). It is evident that an independent group of staff specia- lized in human resource administration and management (HR professionals) has emerged in many higher education systems with its own associations, seminars, and publications.28 However, not much is known about the substance of the work of HR professionals and the required competencies (Evans and Chun 2012). Yet, some recommendations on developing different aspects of HR can be identi- fied from the literature (adapted from Evans and Chun 2012): 1) Presidents and the Board: President and the board should be well aware of HR issues and provide adequate resources for them. HR leader should report directly to top manage- ment. 2) HR Leaders: The main duty is to advocate an HR dimension in strategy formulation and decision making and to develop metrics that would support decision making and the strategy process. 3) HR Departments: HR-departments are accountable for strengthening organizational capabilities, employee commitment, productivity, and morale. HR professionals need to think about their departments from “outside in” and be able to adapt with feedback. HR professionals need to develop knowledge of academic institu- tions, priorities, goals, and processes, as well as institutional strategy and mis- sion. Formalization, Transparency, and Fair Recruitment The ethical issues, equity and equal treatment in recruitments, are highly country-specific topics. In some countries, the legislation from other sectors (such as social policy and legislation, employment policy, and legislation and legislation administrative procedures and civil service) provide a framework for recruitment as well as formalization and transparency of processes in higher edu- cation. In other countries, there are sector-specific rules and regulations concer- ning higher education. These issues are discussed in this report under the topic “national regulation.” Box 32 illustrates policies aimed at ensuring a fair gender balance in Nordic countries. 28 See, for example, www.uhr.ac.uk and http://www.cupahr.org. REPORT 1: Academic Careers: Learning from Good International Practice | 85 Box 32 Women in academia Across Europe, women are still underrepresented in academia. However, there are some countries, like Latvia, Lithuania, and Denmark, where women are in the majority. While in all academic positions the underrepresentation is moderate, in senior positions it is striking in most European countries. Serbia is the only country in which women comprise more than 40 percent of the professoriate. Even in the Nordic countries like Sweden and Norway, the share of female professors is only 25 percent. There are many explanatory factors for this. The studies on career trajectories of women have introduced three concepts to illustrate the challenges women face during their career. The “leaking pipeline” describes how women tend to drop out at certain points during their careers, the “glass ceiling” is used to illustrate invincible structural obstacles for women to progress in their career, and the “firewall” is used to symbolize the active discrimination against women. In higher education, two main methods of fighting against these obstacles have been the increased transparency of recruitments and promotions and affirmative action. The argument against affirmative action has been its quality as an anti-meritocratic measure. As a counter argument, it has ~ been proposed that meritocratic traditions themselves are supporting males (Pinheiro and others 2015, 17–18). A study done in four Nordic countries (Finland, Sweden, Norway, and Denmark) provides some insights on the reasons for gender imbalance in senior positions. It seems that the question of gender balance is not only a question of time. In all Nordic countries, the share of senior acade- mics has not increased at the same pace as the number of women PhD holders, so it seems there some barriers for women. According to the study, the barriers are more often cultural than structural, and the structural barriers are typically related to family-work life balance and lack of mentors in early career stages, rather than to the official structures in the workplace per se. The comparative nature of the study also revealed ~ that even in Nordic countries there are major country differences in the gender issues (Pinheiro and others 2015). ~ Source: Authors based on Pinheiro and others 2015. Institutional practices are also important in ensuring formalization, trans- parency, and fair recruitments. The role of institutional rules and regulations is crucial for higher education systems in which a strong national culture and regulation of transparency and equity does not exist. In Box 33, an example of the University of California is provided to describe institutional solutions for fair recruitments and transparency. Box 33 Procedural safeguards and affirmative action policies in the University of California In the University of California, Procedural Safeguards are defined as follows: Confidentiality The membership, deliberations, recommendations, and report of ad-hoc review committees are confidential. Solicited letters of evaluation and the personal recommendation by the department chair likewise are confidential. Access to the academic review record A faculty member may inspect all documents in his or her personnel review record except those that are confidential. He or she is entitled, upon request, to a redacted copy of all confidential material. Tenure Appointments to the positions of Associate Professor and Professor are continuous in tenure until terminated by retirement, demotion, or dis- missal. A tenured appointment will not be terminated except for good cause, and after the opportunity for a hearing before a properly constituted advisory committee of the Academic Senate. Security of Employment A track to Security of Employment similar to the Professor series exists for certain lecturer titles. An appointment with Security of Employment will not be terminated except for good cause, and after the opportunity for a hearing before a properly constituted advisory committee of the Academic Senate. Career development Career development opportunities are available to all ladder rank faculty members. Particular programs are available to minority and women junior faculty to assist them in advancing in their careers and to increase their representation in the tenured ranks. 86 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers In addition to overall safeguards (that are linked to the U.S. tenure tradition), the University of California has an affirmative action policy. According to the policy, the university is committed to: Nondiscrimination It is the policy of the university not to engage in discrimination or harassment against any person employed or seeking employment on the basis of race, color, national origin, religion, sex, gender expression, gender identity, pregnancy, physical or mental disability, medical condition, genetic information, ancestry, marital status, age, sexual orientation, citizenship, or service in the uniformed service. Retaliation University policy also prohibits retaliation against any person employed or seeking employment for bringing a complaint of discrimination or harassment pursuant to this policy. It is a policy of the university as a federal contractor to undertake affirmative action for minorities and women, for persons with disabilities, and for veterans. The university tracks the affirmative actions taken each year and publishes a report on these actions. Source: Authors based on The Office of the President, UCLA; http://www.ucop.edu/academic-personnel-programs/programs-and-initiatives/ faculty-resources-advancement/faculty-handbook-sections/appointment-and-advancement.html; and The 2016–2017 UCLA Academic Affirmative Action Plan; https://equity.ucla.edu/wp-content/uploads/2016/06/2016-17-UCLA-AAAP-Final-WEB-062216.pdf. Process Design At the institutional level, the process design of recruitments in different career patterns varies significantly from case to a case. Välimaa and others (2016) have developed an instrument that can be used in mapping the practices and evaluating recruitment models (see Table 7). In addition to the decision on opening a vacancy, the recruitment process usually is comprised of several equally important stages: the definition of a job description and selection criteria, selection of reviewers (in professional recruitments), the proposal for selection, and the selection. These stages can be integrated, or they may be defined as separate processes. For instance, the job description (and the call) might be prepared by a departmental board, the reviewers can be selected by the dean, the proposal for selection (and interviews) can be done by a recruiting committee, and the decision on recruitment is made by the rector. In every stage, there may be more than one actor (collective and/or individual) involved in the process. Typical actors in university recruitments are managers (academic/administrative,) standing bodies (collegial or representative), ad-hoc task forces (collegial/representative/nominated), and external reviewers and external bodies. Depending on the case, these actors can be national (still in seve- ral European systems, see Eurydice [2017]), university, faculty, or department-level bodies and managers. In addition, there may be a support function like HR profes- sionals included in the process. In short, typical recruitment processes and procedures are complicated for recruits and recruiters. Table 7 illustrates the recruitment of university professors in Finland. Because the recruitment process has many steps, and independent actors are making their own judgement without hearing each other during the pro- cess, it can be asked whether strategic recruitments are possible. For this reason, in many institutions, a separate more strategic track for recruitment, for instance, for recruiting outstanding international faculty members, has been established (example marked in blue in Table 7). REPORT 1: Academic Careers: Learning from Good International Practice | 87 In addition to institutional complexity, the recruitment processes typically vary by type of position. Thus, mapping must be done separately for each posi- tion type (for example, professors, lecturers). In addition, the practices may vary from unit to unit, that is, it is unlikely that all faculties have similar practices, although the regulatory environment is the same. Table 7 Instrument for analyzing complex recruitment processes in higher education – the example of the recruitment of Finnish professors Definition of Selection of Proposal Selection job description reviewers for selection (decision) Departmental level Recruitment RC interviews qualified Head of Department, etc. committee (RC) candidates and makes Departmental Board, etc. (nominated by Dean) proposal for Dean Task Force (recruitment committee, etc.) Faculty level Dean hears Faculty Dean Dean, Faculty Director, etc. Board and proposes to (with a consultation Faculty Board, etc. rector one of from department) Task Force (recruitment committee etc.) the candidates University Level Rector selects Rector, Head of Administration, etc. the professors from the qualified University Board, Academic Council, etc. candidates Task Force (recruitment committee, etc.) Search committee (normal recruitment) Rector invites a professor (invitation procedure) National level Head of State, Minister, etc. Recruitment, promotion council, etc. Support functions A separate international recruitment round, head hunting External bodies/reviewers Rank the qualifications Source: Authors based on Välimaa and others 2016. Note: Regular recruitment process in black; more strategic recruitment process in blue. The use of different recruitment types, the involvement of different stake- holders, and the alignment of recruitment with strategic aims is a difficult task that requires compromise. In Table 8, the different types of recruitments and their strengths and weaknesses discussed above are summed up. In addition to embedding a strategic element in all recruitments, separate, exceptional, strate- gic recruitment models (tenure tracks, recruiting, international marketing, invita- tion procedures, and so forth) can be implemented. 88 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Table 8 Different types of Impacts recruitments for management Professionals Organizational Informal Sources: Authors based on Siekkinen Strengths Supports academic Supports organizational Flexible and fast and others 2016; Välimaa and others excellence; more goals and values; 2016. “objective” representative and affirmative practices can be applied Weaknesses Major power given to Subject to organizational Unpredictable, risk of external stakeholders and labor market politics nepotism, and misuse of power Strategic focus in Definition of tasks, Defining selection Defining the role of job description; selection criteria; definition of research groups; defining among qualified tasks, job description the role of contingent candidates faculty Aim Selection of most Selection of right Selection of available meritorious academics person fitting to and capable worker; within an important field; the organizational practical survival; legitimation of criteria; organizational individual legitimation professional academic legitimation status Role of HR Facilitate the review Facilitate the recruitment Ensure legality process process and fairness Inform the reviewers on Educate the recruiters Inform recruits on criteria their rights and responsibilities Discuss new Support the development Supports team leaders and emerging fields of selection criteria in their day-to-day management activities Human Resource Services HR services can be organized as centralized services, service centers, partly centralized services (matrix), and as decentralized services — with different implications for the possibilities of HEIs to engage in strategic HRM.29 These models may also have some institutional variations or combinations, the strengths and weaknesses of which are described in Table 9. 29 Most of the studies on HR administration and policies are case studies or studies concentrating on a specific HR function like promotion, recruitment, or remuneration. One of the few studies con- ducted on the topic concerns the organization of Finnish HR services (Kuoppala and Pekkola 2015). REPORT 1: Academic Careers: Learning from Good International Practice | 89 Table 9 Organizing principles of HR services and their strengths and weaknesses HR services Practices Strengths Weaknesses Centralized HR personnel are part of central Easy to coordinate Distance (physical and substance) administration Economy of scale from academic unit Division of labor Risk of isolation Specialization Transformation costs Optimization Service center (a service unit HR personnel are part of service Budgeting HR services are easily considered with own budget providing centers that are independent Cost analysis as a cost services for academic units) (budget) units Duplicating activities Tailoring products Customer approach Transformation costs Partly centralized (matrix) HR personnel have placements Proximity Conflict of interest in academic units Coordination Management conflicts Decentralized HR personnel are part of Proximity Difficult to coordinate the personnel of academic units; Clear hierarchy Sub-optimization only strategic HR is located in central administration General know-how Lack of professional expertise Minor transaction costs Source: Authors based on Kuoppala and Pekkola 2015. The organization of HR services should be designed to support the strategy of an institution in the best possible way. Hence, the most important questions related to the organization of HR services are: 1) What are the most important organizational units in strategic HR (university, faculty, department)? 2) Should HR practices be coordinated among these units? 3) What is the division of labor between HR services and HR work done by line managers? Box 34 Aalto University: Welcoming international researchers Aalto University has profiled itself as an international research university. In all its HR policies, the internationalization plays an important role. In Finland, Aalto has probably been the most active university to develop the HR services for its international staff. One of the functions of inter- national HR services is to provide support for the families of international staff members. For this purpose, Aalto University has developed a family program. In addition to e-mail-list, Facebook group, and other information sharing, Aalto organizes several annual events for international families. These include: • A welcoming event • “Winter & Eastern Fun” events • Aalto club events, for example, City Walks, nature trips, a visit to the Parliament and to concerts • Experience Finland events to learn about Finnish culture and traditions, as well as seasonal features (in association with the University of Helsinki). In addition, Aalto has developed a Family Friend – Buddy Program that promotes integration of Aalto’s international staff members by providing them a possibility to be acquainted with Finnish families, homes, and everyday life. In this program, families of Aalto University staff members can apply for the status of host family to be networked with a family of an international staff member. 90 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Figure 9 Family Program at Aalto University Source: http://www.aalto.fi/en/about/careers/international_staff/for_families/. Source: Authors based on the website of the Aalto University; http://www.aalto.fi/en/. 3.5 Career Advancement in Academic Careers Promotion Patterns In many countries, advancement in one’s academic career is still based on success in applying to open positions, but there are also instances of more structured approaches. In some countries, there are special promotion patterns offering possibilities for (permanent and tenure track) faculty to advance in their careers. Often advancing in one’s career is still biased toward research merits. However, there is a growing interest in the role of teaching in promotions (Subbaye and Vithal 2017). Probably the most studied and referenced higher education system in the stu- dy of promotions is the UK. In his seminal study, Parker (2008) examined the pro- motion systems in all UK universities. He found seven patterns of promotion criteria. They all typically consisted of assessment in research, teaching, and administra- tion. 1) Role profile: all-around player. Employer lists all the duties and qualifications for each position. To be promoted, a candidate needs to fulfill all criteria at his or her own level and 75 percent of the criteria of the next level. 2) All-rounder with a specialism. Candidate selects one area of excellence (research, teaching, or administration) in which she or he must excel to be pro- moted. In other areas, she or he must meet minimum criteria. 3) Specialist. Candidate selects a restricted number of areas of excellence and is evaluated only in those areas. REPORT 1: Academic Careers: Learning from Good International Practice | 91 4) Well-rounded teachers. Candidate provides evidence on excellence in teaching and satisfactory level in other areas. 5) Researcher with other excellence taken into account. The candidate can sup- port (back up) his or her research excellence with excellence in teaching or administration. 6) Well-rounded researcher. Candidate is assessed in excellence in research and minimum standards in teaching and administration. 7) Pure researcher. Promotion is made based only on assessment of research merits. The promotion patterns vary in different positions. The most typical pattern for senior lecturer was “all-rounder with specialisms”; for reader, “pure researcher”; and for professor, “researcher with other excellence taken into account.” The pro- motion criteria were geared toward research merits in senior positions, especially in pre-1992 universities (that is, research universities). Institutions should select their promotions patterns to support their organizational profile and strategy. In the framework of the European four-stage researcher’s career model described earlier in this report, a list of competencies needed for different stages has been developed. These are described in Box 35. Box 35 Competencies needed in four-step career model Euraxess describes four broad profiles that apply to all researchers, independently of where they work in the private or public sector: in compa- nies, nongovernmental organizations, research institutes, research universities, or universities of applied sciences. Regardless of profession, broad profiles can be outlined that describe the different characteristics researchers might possess. First-Stage Researcher (R1) (Up to the point of PhD) Researchers with this profile will: Carry out research under supervision; have the ambition to develop knowledge of research methodologies and discipline; have demonstrated a good understanding of a field of study; have demonstrated the ability to produce data under supervision; be capable of critical analysis, evalua- tion, and synthesis of new and complex ideas; and be able to explain the outcome of research (and value thereof) to research colleagues. Desirable competencies: Develops integrated language,30 communication, and environment skills, especially in an international context. Recognized Researcher (R2) (PhD holders or equivalent who are not yet fully independent) All competencies of “First-Stage Researcher” plus: Has demonstrated a systematic understanding of a field of study and mastery of research associated with that field; has demonstrated the ability to conceive, design, implement, and adapt a substantial program of research with integrity; and has made a contribution through original research that extends the frontier of knowledge by developing a substantial body of work, innovation, or application. This could merit national or inter- national refereed publication or patent; demonstrate critical analysis, evaluation, and synthesis of new and complex ideas; can communicate with their peers, that is, be able to explain the outcome of their research (and value thereof) to the research community; takes ownership for and manages own career progression, sets realistic and achievable career goals, identifies and develops ways to improve employability; and co-authors papers at workshop and conferences. Desirable competencies: Understands the agenda of industry and other related employment sectors; understands the value of their research work in the context of products and services from industry and other related employment sectors; can communicate with the wider community, and with society generally, about their areas of expertise; can be expected to promote, within professional contexts, technological, social, or cultural advancement in a knowledge- based society; can mentor first-stage researchers, helping them to be more effective and successful in their R&D trajectory. 30 That is, speaking, listening, reading and writing skills. 92 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers R3 – Established Researcher (Researchers who have developed a level of independence) All necessary and most desirable competencies of “Recognized Researcher” plus: Has an established reputation based on research excellence in their field; makes a positive contribution to the development of knowledge, research, and development through co-operations and collaborations; identifies research problems and opportunities within their area of expertise; identifies appropriate research methodologies and approaches; conducts research independently that advances a research agenda; can take the lead in executing collaborative research projects in cooperation with colleagues and project partners; publishes papers as lead author, and organizes workshop or conference sessions. Desirable competencies: Establishes collaborative relationships with relevant industry research or development groups; communicates their research effectively to the research community and wider society; is innovative in their approach to research; can form research consortiums and secure research funding/budgets/resources from research councils or industry; is committed to professional development of his or her own career and acts as mentor for others. R4 – Leading Researcher (Researchers leading their research area or field) All necessary and most desirable competencies of “Established Researcher” plus: Has an international reputation based on research excellence in their field; demonstrates critical judgment in the identification and execution of research activities; makes a substantial contribution (breakthroughs) to their research field or spanning multiple areas; develops a strategic vision on the future of the research field; recognizes the broader implications and applications of their research; publishes and presents influential papers and books, serves on workshop and conference organizing committees, and delivers invited talks. Desirable competencies: Is an expert at managing and leading research projects; is skilled at managing and developing others; has a proven record in securing significant research funding/budgets/resources; beyond team building and collaboration, focuses on long-term team planning (for example, career paths for the researchers and securing funding for the team positions); is an excellent communicator and networker within and outside the research community [creating networks]; is able to create an innovative and creative environment for research; acts as a professional development role model for others. Source: Authors based on https://euraxess.ec.europa.eu/europe/career-development/training-researchers/research-profiles-descriptors. Career Development Providing academics with support for their career development has become an important part of HEIs’ engagement in strategic human resource manage- ment, and should be covered in HR strategies and policies. As the activities and career trajectories have diversified, so have the needs of academics for sup- port and training measures. As part of strategic approaches to HR management, HEIs responded to those needs by establishing support structures and offering a wide range of professional development opportunities. Those activities can form an integral part of an institution’s overall approach to the career advancement and promotion of academics. In that, institutions address core competencies of academics related to teaching and research, but also competencies that relate to their institutional profiles and are of particular interest to system-level stakeholders — such as innovation skills (see Box 36) and Open Science31 (Schwald 2017). Moreover, professional organizations provide HEIs and their academic staff mem- bers with targeted support in the field of professional development (including the self-assessment of competencies), for example, in the form of the program “Vitae” in the UK (see Box 37). 31Open Science can be defined via four basic goals: (1) “Public accessibility and transparency of scientific communication,” (2) “Public availability and reusability of scientific data,” (3) “Transparency in experimental methodology, observation and collection of data,” and (4) “Use of web-based tools/infrastructure to facilitate collaboration” (Ritter 2017). REPORT 1: Academic Careers: Learning from Good International Practice | 93 Box 36 The promotion of innovation skills at the University of Strathclyde, United Kingdom The University of Strathclyde’s focus on innovation and knowledge exchange pervades its institutional policies, including those on staff development. Impactful innovation and knowledge exchange with external partners on the regional, national, and supranational level are among the core activities of the university. The institutional strategy lists “world-leading innovation and impact” as one of its three key themes, and mentions support for staff development as a measure under the cross-cutting theme of “operational excellence” (see Figure 10). The impor- tance attached to staff development is reinforced as one key focus of the university’s human resources (HR) strategy, “Strathclyde People Strategy 2020,” which complements the overall institutional strategy. Figure 10 The strategic plan of the University of Strathclyde Source: https://www.strath.ac.uk/media/1newwebsite/documents/Strategic_Plan_2015_WEB_VERSION.pdf, p. 7. In line with the profile and strategic objectives of the university, academics have access to a range of support services and pro- fessional development opportunities in the area of innovation and knowledge exchange. First, the Research & Knowledge Exchange Services provide academics with support related to, among others, the commercialization of intellectual property, funding applications for research and knowledge exchange activities, contract management, and the engagement with external stakeholders such as companies. Second, the university offers professional development opportunities that address knowledge and skills for innovation and knowledge exchange. That includes two comprehensive programs: the Strathclyde’s Programme for Academic Practice, Researcher Development, and Knowledge Exchange, and the Strathclyde Programme in Research and Leadership. The courses offered by the university cover specific topics such as: • The research and knowledge exchange landscape in the United Kingdom; • Basics of knowledge exchange; • Understanding external organizations; • Engagement with industry; • Building relationships with industry; • Enterprise, commercialization, and intellectual property; • Financial aspects of knowledge exchange; • The public engagement of researchers. The university also established a Technology & Innovation Centre that brings together academics and researchers from industry to work together on innovations in important areas of research such as health and energy. Source: Authors based on the University of Strathclyde website; https://www.strath.ac.uk/. 94 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Box 37 Professional support for researchers’ career development – Vitae in the United Kingdom Vitae, a not-for-profit program developed in the UK, provides HEIs with targeted support for their professional development activi- ties for researchers. The activities of Vitae comprise research and innovation, training and resources, events, consultancy, and membership. The program pursues four aims: • Influence the development and implementation of effective policy relating to researcher development • Enhance higher education provision to train and develop researchers • Empower researchers to make an impact in their careers • Evidence the impact of professional and career development support for researchers.a In its activities, Vitae addresses researchers within and outside of the higher education sector, and acts on a global scale. The program adopts a holistic perspective on researchers and their development potential. That perspective is captured in the “Researcher Development Framework”b developed to support the professional development of researchers, which covers four key areas: knowledge and intellectual abilities; personal effectiveness; research governance and organization; and engagement, influence, and impact. Vitae is furthermore engaged in attesting HEIs’ efforts in the field of career support and professional development by implementing a UK-specific procedure for the EC’s “HR Excellence in Research” award (see Box 1). Source: Authors based on the website of Vitae; https://www.vitae.ac.uk/. Note: a. https://www.vitae.ac.uk/about-us. b. https://www.vitae.ac.uk/researchers-professional-development/about-the-vitae-researcher-development-framework. Performance Evaluations The aim of performance evaluation in the career context is usually related to career promotions, tenure track evaluations, recruitments, or remuneration. Remuneration is covered elsewhere in this report (see Chapter 4 “Remuneration”), so the emphasis here is on promotions, tenure promotions, and recruitments. As mentioned, there are as many variations of career promotions patterns as there are institutions. However, the main categories of criteria of performance evalua- tions are: 1) Teaching; 2) Research; acquisition and grants 3) Administration/management/organizational activities/collective duties; 4) Social engagement/outreach (often assessed together with administration as “service”). Only a few countries in Europe have an official policy to guide how to link the per- formance appraisal results with career development. The mechanisms linking these two factors are financial benefits, career advancement revision of work con- tent, or extension of contract (Eurydice 2017). In countries that have a strong performance orientation (like Finland), the connection between career develop- ment and performance evaluation exists de facto, but not on paper. The con- nection of performance evaluation, careers, and salaries are further discussed in chapter 4. Aspects of Process Design The institutional process design of career progression is described with the help of the case example of Aalto University, in Box 38 (for an additional example, from REPORT 1: Academic Careers: Learning from Good International Practice | 95 Estonia, see Box 40). An example of evaluation criteria, those of Aalto tenure track are described in Box 39. There are as many practices as there are institutions. However, in all cases at least the following checklist could be used for evaluating the process of promotions: •What is the aim of recruitments and is it in line with who are the targeted as recruits (for example, domestic/internationals, prospective/established acade- mics, teaching/research-oriented)? •What are the career steps (for example, are there different career tracks for teachers, researchers, and managers, are all career tracks aiming for professor- ship, and so forth)? •What are the entry points to the career (for example, are there alternative career tracks for personnel having professional experience from other sectors)? •What are the main mechanisms for promotions (for example, are the promotions bound to positions and vacancies or can one be promoted based on qualifica- tions)? •What are the annual procedures for promotions (are there annual procedures for applying for promotions)? •Is there some other time sequence in promotions (for example, tenured faculty members are evaluated every fourth year)? •Which bodies are included to the process and decision making? •How are the responsibilities shared? •How is the quality ensured? Box 38 Tenure in Aalto university Aalto university has a three-step tenure track system. Assistant Professors (first term) are appointed for a fixed term, typically from three to five years. One year before the end of this term, the Assistant Professor is reviewed for reappointment for a second term of typically four years. Thus, the full length of the Assistant Professor term is normally seven to nine years, with extensions for parental or other types of obligatory leave. An Assistant Professor can also be appointed directly to the second term. Each Assistant Professor granted a second term will be reviewed for tenure. In the tenure review, a decision is made on whether to grant tenure, that is, a permanent position, and to promote the candidate to the Associate Professor level. The Tenure Review is conducted one year before the candidate’s contract expires. The review can also be held earlier by joint agreement among the Assistant Professor, the Head of Department, and the Dean. If it is decided that an Assistant Professor has not earned reappointment or tenure/promotion, the employment ends when the existing contract expires. Associate Professors in most cases have permanent positions that expire only with retirement or resignation (or dismissal in exceptional cases of severe misconduct). In exceptional cases, Associate Professors may have fixed-term contracts. A fixed-term Associate Professor is reviewed when the term is coming to an end. If successful, the fixed-term Associate Professor will be granted tenure as a tenured Associate Professor. Promotion to the position of Full Professor is based on merit. Professors hold tenure until retirement or resignation (or dismissal in exceptional cases of severe misconduct). Aalto Distinguished Professors are exceptionally qualified Full Professors who are invited by the president to the honorary position of Aalto Distinguished Professor. 96 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Figure 11 Tenure track at Aalto University Source: http://www.aalto.fi/en/midcom-serveattachmentguid-1e6c376f9bd57d8c37611e681fe5fbb433f3d403d40/ 20160229_tenuretrackpoliciesandprocedures_en.pdf, p. 4. There are several actors involved in the recruitment and promotion procedures. In their policy and procedure document, the roles and responsibi- lities of all actors are described in detail. Aalto has also developed a continuous development program for its tenure track system that is based on Deming’s cycle (see Figure 12). Figure 12 The continuous development of Aalto tenure track system Source: http://www.aalto.fi/en/midcom-serveattachmentguid-1e6c376f9bd57d8c37611e681fe5fbb433f3d403d40/ 20160229_tenuretrackpoliciesandprocedures_en.pdf, p. 14. Source: Authors based on http://www.aalto.fi/en/midcom-serveattachmentguid-1e6c376f9bd57d8c37611e681fe5fbb433f3d403d40/ 20160229_tenuretrackpoliciesandprocedures_en.pdf. REPORT 1: Academic Careers: Learning from Good International Practice | 97 Box 39 Evaluation for promotions in Aalto tenure track In all positions, the performance is evaluated along three dimensions: (1) Research and/or Artistic and Professional Work, (2) Teaching, and (3) Service (activity in scientific community, academic leadership, and societal interaction). To be recruited as assistant professor, the can- didate is evaluated based on a systematic evaluation of the potential (or merits if applying for a second term) for a successful career on the tenure track: • Early exceptional research or artistic merits • Early exceptional teaching merits • Rate of progress in earning merits • Comparison and benchmarking of the candidates (including bibliometric indicators) • Independence and originality • Networking • Recommendation letters. To be recruited as Associate and Full Professors, review includes at least the evaluation of the key criteria described below. Research and/or Artistic and Professional Work • The most important publications and their quality and impact including the quality of the publication forums from the viewpoint of the candidate’s field of research; and/or the most important artistic works and their quality and impact. • Research/artistic work in other universities and research institutes or in professionally relevant positions (including doctoral studies and the postdoc). • The ability to build and lead a research/artistic team including possible doctoral students and postdoctoral research associates or artistic professionals supervised by the candidate. • The capability of raising competitive research funding or corresponding competitive funding in the artistic field. • The ability to conduct independent research/artistic work. Teaching • Teaching experience including supervision of doctoral, Master’s-, and bachelor’s-level theses. • Development of teaching and experience in course development in the field. • Pedagogical education and studies. • The quality of student feedback. • Collegial feedback (for example, head of department, director of degree program) and use of student and collegial feedback in developing teaching. • The ability to teach. Service When recruiting or evaluating a candidate to the Full Professor level, the review should consider the key criteria, with increased emphasis on service (activity in the scientific community, academic leadership, and societal interaction): • International (and national) visibility and standing of the candidate and her or his team in the field. • Competitive funding. • Achievements in doctoral education. • Experience in curriculum development. In addition, the candidate is expected to have made contributions to service including, for example: • The candidate’s outreach and dissemination of her or his work. • Collaboration within Aalto University, schools, and the departments such as committee, working group, and task force memberships. • Mentoring and coaching more junior colleagues. • Formal training developing academic leadership. • Academic leadership positions including committees and educational programs. • Service to the scientific/artistic community or society at large. Source: Authors based on http://www.aalto.fi/en/midcom-serveattachmentguid-1e6c376f9bd57d8c37611e681fe5fbb433f3d403d40/ 20160229_tenuretrackpoliciesandprocedures_en.pdf. 98 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Box 40 Tenure track at the Tallinn University of Technology, Estonia The Tallinn University of Technology (TUT), Estonia, introduced a tenure track model to improve the attractiveness of academic careers. That model is the first of its kind in Estonia. It consists of permanent academic positions that can be reached via a structured career path (see Figure 13). The permanent positions are funded by the central institutional level, among others, to level out fluctuations in project- based funding. In contrast to posts that are not part of a tenure track, which academics enter via an open competition, advancement along the tenure track takes place via “attestation.” The attestation consists of a periodic evaluation of an academic’s performance and of his or her compliance with requirements for advancing to the next, higher-rank post. Figure 13 Tenure track at Tallinn University of Technology, Estonia Source: Website of Tallinn University of Technology; https://www.ttu.ee/public/TTU_karjaarimudel_final_eng.jpg. Source: Authors based on Aarna 2017. REPORT 1: Academic Careers: Learning from Good International Practice | 99 3.6 International Mobility in Academic Careers Internationalization is one of the megatrends in higher education policy, and has far-reaching implications for academics and their careers. It is also a widely studied phenomenon in higher education. Internationalization has been approached from many perspectives including research excellence, teaching excellence, student learning and experiences, quality assurance, and governance. It has also been studied from an individual career perspective and identity for- mation. In addition, many indicators for internationalization have been identified (De wit 2010). However, there are comparatively few studies on international mobility as a part of national or organizational career systems. According to the Eurydice study (Eurydice 2017), most of the European higher education systems have an internationalization strategy or, like Latvia, an internationalization strategy is a part of an overall higher education policy. Only some of these policies mention concrete targets for international mobility (outgoing and incoming) — even though there is a trend in Europe toward more systematic approaches to national-level internationalization strategies, including defined targets and (per- formance-based) indicators (de Wit and others 2015). Latvia is among a few countries providing numerical targets, namely as aimed share for the international staff. However, most of the countries in Europe monitor incoming and outgoing mobility, indicating that it has a strategic importance. With respect to the institutional level, the importance and impacts of mobility as part of career structures are understudied phenomena. We know from practice that in some universities international or national mobility is a requirement for recruitment or promotions. Many universities also have institutional internatio- nalization strategies that include actions for attracting and supporting incoming mobility. Box 41 Estonian program on attracting foreign staff Estonia is one of a few countries that has a national international research marketing strategy with a vision stating that: By 2022 Estonia will be internationally known as a strong research country that is open to innovation. The international marketing of research will support the internationalization of Estonian research and an increase in the competitiveness of the Estonian economy. By 2022, the international awareness of Estonian research and the attractiveness of Estonian researchers and research institutions as cooperation partners will have increased. The vision is implemented in three development goals: 1) Estonia has a global reputation as an attractive research country that is supported by successful and constant cooperation between initiatives and organizations that aim to introduce Estonia; 2) Information on Estonian research is up to date and available for interested foreign parties; 3) The awareness has increased for international businesses that operate in the smart specialization growth areas when it comes to Estonian research, development, and innovation achievements and success stories of cooperation between enterprises and researchers. To date, considerable attention has been paid to attracting foreign researchers and partners. The Research in Estonia website (www.researchinestonia.eu) has been developed to function as a base that has a collection of research information as well as success stories relating to Estonian research. Researchers wishing to advance their career are also able to use the website to acquire more information from other pages (EURAXESS, Work in Estonia, Study in Estonia, and so forth). The majority of those visiting the website have been directed to the site from other pages that also aim to market Estonia. As part of the same initiative, an integrated “Guide for International Researcher’s Moving to Estonia” has been developed. The guide provides a range of information from the Estonian higher education and research environment and employment in Estonia to practical issues like taxation, culture, family, and transportation. In addition to the printed guide, the Estonian Research Council is also organizing twice a year a “Research Module of the Welcoming Programme” that is designed for those who are interested in topics related to Estonian research and the higher education system. The module consists of the following topics: 100 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers • Research institutions and their functions; • Various academic networks and organizations; • Research funding schemes in Estonia; • Teaching practices applied at Estonian universities, and so forth. Source: Authors based on Estonian Research International Marketing Strategy 2016–2022; http://www.etag.ee/wp-content/uploads/2015/11/Teadusagentuur_dokument_eng.pdf. Box 42 International dimension of academic careers Academic careers are often analyzed as static linear paths from PhD to professorship. However, this is rarely the case. Career development can also be horizontal or flexible, with many different elements. One interesting phenomenon in academic careers is mobility, and especially international mobility. Mobility as a desirable aim for career development emphasizes the nonlinearity of career and the supportive role of an organization and national authorities in building individual careers. In some countries, mobility is a self-evident part of academic career; in the United States, for instance, it is unlikely that an academic could spend his or her entire career from undergraduate student to professor in a single university. In smaller countries, like Finland, it commonly happens that academics spend their entire career in a single university. In many cases, in a small country, there might be only one institution providing some specialization, so even in theory, mobility might be impossible within one’s home country. Incoming international mobility might also be the only way to recruit talented scholars and develop a scholarly community. The dysfunc- tions of national labor markets are an additional reason to encourage academics to include international mobility as part of their career. In Finland, the ministry of education steers higher education institutions to increase inward international staff mobility. In addition to providing information, steering includes a requirement for higher education institutions to draft an internationalization strategy, and allocating 2 percent of the annual higher education budget based on the number of foreign staff members. The Academy of Finland (an autonomous body under the auspices of Ministry) encourages individual faculty members’ mobility. To be considered for postdoctoral or senior researcher’s funding, an academic must apply for funding from other research environments than the one in which she or he defended her or his PhD thesis, or must verify that she or he has worked elsewhere for a period of six months. Also, an international mobility plan is a requirement for Academy project funding. In addition, the Academy has several other instruments to support internationa- lization. For instance, together with the Finnish Innovation agency, TEKES Finland, it funds the Distinguished Professor Program (FiDiPro) to strengthen scientific knowledge and know-how in Finland, add a more international element to the Finnish research system, and support research-driven profiling of universities and research institutes. Many institutions have also their own policies supporting staff mobility. One of the forerunners was the University of Jyväskylä, which for several years has supported staff mobility with international research mobility grants. Mobility is also considered an asset for recruitment at all levels of academic staff. The University has also introduced a strong policy recommending that mobility is a prerequisite for permanent employment at the University of Jyväskylä. This “forced” mobility has raised many questions. In an evaluation of the Finnish career system, several concerns were raised among the employees including a fear that it puts individuals in difficult and unequal positions depending on their family commitments, socioeconomic background, and gender. Source: Authors based on official documents of Finnish Ministry of Education and culture, the Academy of Finland, and the University of Jyvaskyla. REPORT 1: Academic Careers: Learning from Good International Practice | 101 3.7 Reform Process toward New Models and Procedures The reform process toward new models and procedures of academic careers and work is an interplay among institutional autonomy, the academic profes- sion, national higher education policy, and national and international labor markets. The best way for policy maker to approach reform is to: 1) Acknowledge the national and global the characteristics of academic work and the profession and the balance between the national and international context; 2) Identify stakeholders, resources, policies, and actors having a role in the deve- lopment of academic work and careers; 3) Clarify goals of the reform and concrete measures to verify these goals. The reform of the academic career typically requires reforms in management, internal funding and budgeting, ICT-systems, and organizational structures. It also requires a cultural change and staff commitment. Thus, reforms are complex, and they do take time. 3.8 Key Learnings and Good Practice Criteria The status and role of academics • B.1 – System level – System-level regulations are primarily applied to secure academic freedom and academic quality, and to promote transparency, inclu- ding for national and international mobility. Defining the role, status, and tasks of academics is mainly an institutional responsibility. System-level policies support healthy competition among individuals, and avoid practices that lead to the mar- ginalization of certain staff groups. • B.2 – Institutional level – The status and role of academics are considered thoroughly in institutions and are reflected against the funding sources of aca- demic work, the system-level policy and regulatory framework, international trends in academic work and careers, and the traditions of academic work and its values. Institutional managers are well-informed on the contractual arrange- ments (duration and type) and funding of their staff. • B.3 – Institutional level – Institutional policies aim for equal treatment of staff with project and budget funding, and acknowledge the equal importance of research, teaching, and administrative tasks. General career patterns • B.4 – System level – On the national level, there is a systematic approach to career stages that allows domestic and foreign academics, ministries, and other stakeholders to compare positions among countries and institutions. This frame- work is flexible enough to allow institutions to engage in strategic HR manage- 102 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers ment. The system-level policy guarantees the mobility between academia and industry and among institutions, and supports attractiveness of careers. It also provides a solid legal framework for career structures such as tenure track or other systematic approaches to career development, and establishes clear entry and exit points for academic careers. • B.5 – System level – System-level policies may provide resources to HEIs for strategic career initiatives, for example, with regard to young academics. • B.6 – Institutional level – Institutional career patterns are realistic for most of the staff members. They are aligned with a systematic approach to career stages at the national level and they are internationally comparable. • B.7 – Institutional level – Institutional policies ensure transparency and clarity of career patterns and promotion criteria, and maintain an appropriate balance among research, teaching, and administrative excellence. Candidates and employees of HEIs are aware of promotion criteria and career progression possibilities. Institutions communicate clearly the qualifications needed for different positions to their employees and persons seeking recruitment. • B.8 – Institutional level – Institutional policies link key aspects of academic career patterns (recruitment, promotion, remuneration) so that these support the imple- mentation of institutional- and unit-level strategies. • B.9 – Institutional level – Data on all staff categories (including academic staff on part-time/hourly contracts) are gathered and analyzed to enable effective human resource development and strategic human resource management. • B.10 – Institutional level – Organizational structures and HR services support the career patterns within an institution. HR policy is important for the develop- ment and implementation of strategies. In the context of academic careers, insti- tutions: •Clearly define duties and responsibilities related to HR; •Ensure that sufficient resources are allocated for HR-related tasks; •Support a strategic role of the HR director; •Develop the competencies of HR professionals; •Assure the quality of HR policies and initiatives; •Set indicators for measuring HR success. Selection and recruitment of academic staff • B.11 – System level – Recruitment plays a vital role in the strategic development of institutional profiles. Thus, the national framework steering the recruitment practices needs to allow for institutional development and differentiation. Natio- nal policies primarily guarantee equal opportunity for, among others, different nationalities, genders, and minorities. • B.12 – Institutional level – The most important way of assuring the quality of recruitments is to ensure the transparency and clarity of processes. That encom- passes the clarity and transparency of job definitions, selection processes, and criteria; the provision of clear guidelines (and training) and definitions on the role of different actors involved in the decision-making process; a clear definition of REPORT 1: Academic Careers: Learning from Good International Practice | 103 entry points to academic careers; and a clear policy on equity issues/affirmative actions. Applicants are made aware of the practices. • B.13 – Institutional level – Institutions deliberately balance the selection criteria in the context of their mission, acknowledging academic excellence (professio- nal evaluation of teaching and research), organizational commitment, and fit (organizational recruitment). The institutions ensure that academic units have the capacity to select their workforce in a flexible, fair, and transparent manner, to meet the requirements of external funding and to support the overall aims of HR policies. • B.14 – Institutional level – Positions are advertised sufficiently broadly (including, where suitable, on the international level). Institutions use tools facilitating the systematic search for candidates and, where appropriate, headhunting. The selection process is efficient, transparent, and not overly time-consuming. Transparency of the process also extends to the candidate, who is informed about key milestones of the process. There needs to be clarity on the tools used to evaluate the skills of candidates (for example, lectures, evaluations by stu- dents, and assessment centers). • B.15 – Institutional level – Selection processes go hand in hand with the clarity of roles (for example, of academic selection committees, including possibly stake- holders from industry, academics from other faculties, and a representative from the institutional leadership). • B.16 – Institutional level – There is a system of checks and balances that ensures, among others, the strategic fit of candidates for the position, and a balance between professional and organizational recruitment. Career advancement and promotion patterns • B.17 – Institutional level – Promotion patterns are important instruments for steering academic work. Institutions have clear, transparent, and well-documen- ted promotion patterns that are aligned with the institutions’ mission and profile, and clearly distributed roles and responsibilities during the promotion pro- cesses. • B.18 – Institutional level – Promotion patterns take into account different aspects of academic work (research, teaching, administration, and service). The merits in different academic tasks are defined in a transparent and understandable manner. To ensure the fairness and effectiveness of promotion patterns, they are repeatedly communicated to staff members. • B.19 – Institutional level – Career development and career advancement are part of institutional planning and strategic management, and are supported by modern HR instruments (for example, target agreements and skills deve- lopment tools). In this, HEIs support academics in evaluating and developing their competencies required for conducting high-quality scientific work and for succeeding in their careers within their scientific community, and within organi- zations in the higher education sector and beyond. 104 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers International mobility in academic careers • B.20 – System level – International mobility is crucial, particularly for small higher education systems. National policies support inward and outward mobility. Incoming mobility can be marketed and facilitated on the national level. With respect to outgoing mobility, the return of academics and related mechanisms are taken into account, in addition to the provision of grants for outward mobility. The system-level policies guarantee legal conditions conducive to the recruit- ment of foreign academics, and ensure the availability of information in English (or, potentially, another major European language) for international staff. Further relevant aspects include support for mobility, dual career services, English- speaking contact points in the administration, support on social security issues, and other aspects of mobility support. • B.21 – Institutional level – Internationalization is one way of improving the quality of academic work. However, that impact cannot be taken for granted. It is impor- tant that institutions have defined the aims related to internationalization; plan- ned and organized the career patterns, tasks, and overall working environment (including family life) in a way that a foreigner without local language skills can successfully work; and have organized sufficient support structures for incoming (and outgoing) staff. Alignment of elements of human resource policies • B.22 – System and institutional level – To promote good academic work and careers, job descriptions and tasks, performance appraisal, career progression, reward systems, and strategic objectives are aligned. • B.23 – System level – All higher education policies take into account the HR policy aspect, not least because the implementation of all policies and outcomes will be ensured by, or will have an impact on, academics. REPORT 1: Academic Careers: Learning from Good International Practice | 105 4 Remuneration The topic of remuneration of academic staff, and its relation to the design of academic careers and strategic human resource management, has significan- tly gained in importance in recent years. Different factors have contributed to this development (see also Chapter 1.2 “Introduction to the Topic”). These include the changing employment status of academics in some European countries (for example, the move from civil servant to employee), fiscal constraints in the context of the recent recession,32 but also increased institutional autonomy and a rise in competition between public HEIs (as well as competition with the private sector) on the national and — depending on the type of institution — the interna- tional level. Within the last three decades, and in the context of New Public Management, remuneration questions have increasingly been considered in connection with incentivising organizational units or individuals to contribute to the achievement of goals set at the unit, institutional, and national level. New Public Management embraces the principles of subsidiarity — that decisions can be taken by actors closest to the respective issue, well-defined responsibility of actors, and competition (Ziegele and Handel 2004). It replaces steering via regu- lations by a new managerial steering approach, which leaves more scope for indi- vidual and collective incentives as steering instruments. This can be observed in the interaction between the state and HEIs, but also increasingly in the interac- tions between HEIs and individuals. One theoretical approach of remuneration is discussed by Ziegele and Han- del (2004, 4), who describe it in connection with the “Principal-Agent-Theory” (Handel 2004 based on Göbel, 2002, 98). In this context, the question is con- sidered how a “principal,” that is, an actor who commissions a certain task, can ensure that the “agent” completes this task, even though the principal will not have full information on the process leading to the completion of the task. There is further an assumption of an information asymmetry (“hidden information” and “hidden action”) among principal and agent and of presumed different benefits, leading to the need to steer related processes from the principal’s side via incen- tives. These theoretical concepts provide the background of the following discus- sion on remuneration in higher education.33 32 Evans and Chun (2012), for example, report that at the University of Nevada at Las Vegas, 20 per- cent of the workforce, or 400 positions, were cut in 2011. “Clearly recessionary budget cuts have served as an exit driver in higher education, adversely affecting employees’ sense of affiliation and job satisfaction” (Evans and Chun 2012, 55). 33 However, it is important to note limitations to the “Principal-Agent-Theory,” including, in an aca- demic context, those related to intrinsic motivation and a potential “crowding out effect,” as will be discussed later. 106 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Another theoretical approach that helps understand reward systems and rela- ted questions of talent management pertains to the so-called “employee value proposition” — a model for identifying and communicating the factors that contribute to employee retention. The employee value proposition has four elements: compensation, benefits, work content affiliation, and career develop- ment” (Evans and Chun, 2012, 54). While there are limits to the extent to which approaches to compensation and incentives developed for industry and the private sector more broadly can be applied to HEIs (Bright and Williamson 1995, 70), these approaches, never- theless, provide a useful starting point for related considerations in the ter- tiary education sector. As the discussion of Bright and Williamson (1995, 70) shows, performance measurement and remuneration remains a contested area. Besides amounts and remuneration mechanisms proposed, this also relates to underlying assumptions of what motivates academic staff, as will be discussed in the next section. However, linking remuneration models to performance will remain high on the agenda in the years to come, with competition between HEIs and countries in the “war for talent” expected to increase parallel to internationalization of higher education systems and with the need the strengthen profiles and competitiveness of HEIs measured by international rankings, by, among other things, attracting and keeping well-performing and motivated staff. 4.1 Trends in Remuneration of Academics Remuneration in the narrow sense refers to money paid for work or services. While this is indeed an important means to compensate and incentivize academics working at HEIs, it is vital to embed any discussion on remunera- tion approaches in a wider framework of incentive systems. More holistic approaches toward rewards schemes have been summarized under the heading of “Total Rewards Strategies” (for example, Heneman 2007; Evans and Chung 2012), which combine monetary and nonmonetary rewards. An overview on total rewards strategies in the private sector context is displayed in Table 10. Table 10 Total rewards Total Rewards Strategy Definition strategies Compensation Source: Heneman 2007, 3. Base pay Wages and salaries Merit pay Base-pay increases based on employee performance Incentives Cash bonuses based on employee performance Promotions Base-pay increases based on potential to perform new job Pay increases Base-pay increases based on length of service with the organization Benefits Health and welfare Payment for injuries and illness both on and off the job Paid time off Payment for vacation time or excused days from work Retirement Payment for work no longer performed based on length of employment REPORT 1: Academic Careers: Learning from Good International Practice | 107 Total Rewards Strategy Definition Personal Growth Training Skill development through on- or off-the-job instruction Career development On-the-job coaching to develop skills Performance management Ongoing goal setting and feedback to develop skills For now, the three broad categories — compensation, benefits, and personal growth — appear to be more important than detailed distinctions among different types of compensation. All of them provide distinct opportunities to reward staff, and while all of them have distinct advantages, they also have constraints, as will be discussed later. Ziegele and Handel (2004, 6) have systematized different types of incentives in the higher education context (see Figure 14). Monetary incentives on one side are complemented here with nonmonetary incentives like reputation, time,34 and transparency or information. Of particular interest is the link of the factor “freedom” to both monetary and nonmonetary incentives. Beyond academic freedom (nonmonetary), this is explained by the increased financial autonomy of institutional and individual actors, which clearly has an incentivizing function (Ziegele and Handel 2004, 8). Figure 14 Overview of incentive systems Source: Ziegele and Handel 2004, 6. While there is an overall tendency to increasingly link remuneration to perfor- mance,35 it can be observed that in the context of the recent recession, non- monetary incentives have received particular attention (Evans and Chun 2012 54ff; Dowds 2010, 14). “The implementation of an annual compensation state- ment for both faculty and staff has become an increasingly important best prac- tice for communicating the value of indirect financials such as leave programs, tuition reimbursement, and employer benefit contributions,” note Evans and Chun (2012, 55f), listing Florida State University’s launch of a university-wide total com- 34 Practical applications include, for example, teaching-free semesters for research projects, and teaching load reduction for publication. 35 See, for example, Dowds (2010, 14): “What we seem to observe though is a pattern of evolution towards merit based pay systems based on PM [i.e. performance management, authors] outcomes that will eventually be applicable to all staff….” Dowds’s study (commissioned by the Higher Educa- tion Funding Council for England) of International Experiences of Human Resource Management in Higher Education is based on interviews with HR personnel from Australia; Canada; Germany; Hong Kong SAR, China; India; Ireland; Malaysia; New Zealand; South Africa; and the United States. For further discussion on the overall link between performance and pay, see also Heneman (2007). 108 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers pensation statement and Kent State’s annual total compensation statement as noteworthy examples for the United States. However, “…[f]or state employees in public research universities, the recessionary economy has given rise to unprecedented, legislative mandated changes in the terms and conditions surrounding benefits and retirement. For example, in June 2011, New Jersey lawmakers approved a broad rollback of benefits for state employees […] that sharply increased the contributions employees made to their health insurance and pension plans […]. These changes trans- ferred billions of dollars per year in expenses to employees […]. While institu- tions of higher education have competed on benefits rather than base salaries compared to their private sector peers, this strategy has become increasingly unsustainable as benefits costs outpace salary increases and inflation (Adviso- ry Board Company, 2005). A study conducted by the Education Advisory Board concludes that compared to salary compensation, benefits are both more expensive and less effective….” (Evans and Chun 2012, 58) While this chapter focuses on remuneration and not specifically on benefits, the link between remuneration approaches and related benefits (for example, sub- sequent pension claims) and the interconnectedness of elements of overall (or “total”) reward schemes needs to be kept in mind. 4.2 Intrinsic versus Extrinsic Motivation — Basic Questions of Incentivizing Academic Performance Traditionally, academic work has been considered a vocation in which the intrinsic factors and “inner calling” are considered more important than the extrinsic motivational factors (Weber 1994). However, monetary rewards can be considered not only as part of dissatisfaction avoidance in the workplace, but as part of recognition of work itself. The topic of monetary versus nonmonetary rewards is linked to the key question of what motivates academics and, thus, what are the factors most suitable to increase their motivation and incentivize academic performance. In short, intrinsic motivation is linked to a person enjoying or finding interest in an activity per se, without a need for external incentives. In contrast, a person is extrinsically motivated if such an “internal motive” does not play a prominent role and the execution of an activity is, rather, driven by fear of sanctions or desire for external rewards. This is an important distinction in the context of perfor- mance-based remuneration due to concerns that a strong emphasis on external rewards might have negative impacts on intrinsic motivation. One of these concerns is related to a “crowding-out effect,” that is, the fear that activities initially considered interesting and rewarding per se are later performed only if there is an external reward attached to them (Ziegele and Handel 2004, 11; see also Müller-Böling, Arnhold, and Langer 2004). Analytical papers and policy statements produced in the build-up to a comprehensive academic remuneration reform in Germany in the early 2000s thus raise attention REPORT 1: Academic Careers: Learning from Good International Practice | 109 to this particular issue (see, for example, Frankenberg 1999, 51). Ziegele and Handel (2004, 11) list potential reasons for the crowding-out effect: reduced self- determination (or an impression of external determination), reduced self-esteem (the individual does not have the impression that his or her actual motivation is valued), and a selective “over-motivation” related to the external reward. In Box 43, the “crowding-out effect” and its impact on incentive systems is discus- sed in more detail. Box 43 Design of incentive systems – balancing extrinsic and intrinsic factors To effectively counter the crowding-out effect, some aspects need to be considered when designing incentive systems: • Incentive systems are particularly effective when the external incentive acknowledges the goals of the addressee of the incentive. This can, for example, be ensured by involving the addressees in the design of the incentive system. • Extrinsic incentives should be used when intrinsic incentives lead to negative effects, and thus need to be corrected (Authors’ Note: this could, for example, be the case if there is a strong individual emphasis on research activities at the expense of teaching duties), and/or if tasks perceived as less interesting need to be upgraded. • Incentive systems should not be directly linked to single activities. The more the reward is directly linked to a single action, the more the incentivizing effect will be perceived as a controlling intervention and thus as endangering the intrinsic motivation. This means: If [academic] staff is promoted and/or rewarded based on his or her overall performance (and it is perceived like this by the individual), she or he will feel confirmed in his or her engagement, that is, the intrinsic motivation will be reinforced. This is not the case if the employee is rewarded for a single, specific activity which, when perceived as controlling, might harm intrinsic motivation. • Incentive systems need to be differentiated. The more homogeneous remuneration systems are, the more there is a danger that employees with a high work ethos reduce their engagement due to the perception that this engagement is not valued (at least through the remuneration system). • Incentive systems need to consider the aspect of fairness, since the perceived fairness impacts strongly on the motivation. Besides perfor- mance justice, procedural justice is particularly important in this context. Procedural justice requires that, in principle, everyone has a chance to receive the rewards in the incentive system and that the information on which the performance assessment is based are valid. In addition, there are possibilities of strengthening intrinsic motivation in a targeted way. Factors related to intrinsic motivation that can be influenced, include: • The type of activity: The more interesting the activity is, the more scope there is for intrinsic motivation. However, what makes an activity interesting differs among individuals. • The personal relationship between Principal and Agent: The stronger the personal relationship between Principle and Agent, the stronger the intrinsic motivation usually is. It is thus, however, also prone to the crowding-out effect. • Participation: Under conditions of significant participation, employees usually display a stronger work ethic, as is the case in highly hierar- chical organizations. Source: Authors based on Ziegele and Handel 2004. From the discussion in this section it has become clear that designing remu- neration systems and incentive systems more broadly is a balancing act that needs to take into account a variety of factors. Incentive systems need to support extrinsic motivation without destroying intrinsic motivation, and they need to combine performance orientation and selectivity with justice and fairness. Other factors that remuneration models need to balance are continuity (for staff and HEIs), and flexibility (mainly for HEI), stability, and incentivizing effects and institu- tional versus subject-specific considerations, to name just a few. 110 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers 4.3 What is Regulated at the System Level? Remuneration models reflect national and institutional assumptions, priori- ties, and value systems. The comprehensive German reform of the academic employment law of the early 2000s reflected a desire to break away from the heri- tage of the past, including what was increasingly perceived as the burden of the habilitation and an outdated, age-based system of progression in remune- ration. Interestingly, however, this reform was not used to do away with the civil servant status of German professors, and it still echoes the old supremacy of the ordinarius, the traditional chair of an institute or department (see Arnhold 2006), by foreseeing a higher staff category. Evans and Chun (2012, 57) point to the importance of a “compensation philo- sophy” that underpins far-reaching remuneration reforms. In this context, of interest is what aspects of the model are determined by a supra-structure (state) or defined through agreements that include different HEIs, like collective bargain- ing agreements. State legislation usually contains a framework for remuneration policies, to ensure basic principles like clarity and transparency, but also to make cross-border but also cross-institutional academic mobility possible. For the sake of simplicity, one could thus consider two main levels in determining remu- neration policies: the state and the institutional level, particularly when HEIs enjoy financial and human resource autonomy. However, reality tends to be more complicated: Some countries display different determining state levels, as in the German example, which will be discussed further. Also, the institutional level tends to be less homogeneous, with some roles taken up by the central level of the institution and others by the faculty or department level (and specific tasks and duties allocated to an evolving group of HR professionals; see also Chapter 3.4 “Professionalization of Actors Involved”).36 A key question concerning national legislation is whether it contains actual models or whether it is restricted to basic aspects of the remuneration sys- tem. In the German case, the federal framework legislation contained principle considerations but no actual models. One key question in the German context was thus whether state legislators would pass on the resulting freedom to HEIs or whether more detailed provisions would be put into state legislation, leaving little scope for HEIs to design their own performance-based salary (PBS) models, in accordance with their own strategic priorities. It can be noted positively that most German states abstained from detailed regulations, thus giving significant scope but also significant responsibility for future PBS to their institutions. This is further illustrated in Box 44. 36 The role of HR managers and staff will not be discussed here in detail; however, more information on their evolving role can be found, for example, in Dowds 2010. REPORT 1: Academic Careers: Learning from Good International Practice | 111 Box 44 What is regulated at the state level — comparing Germany with the Netherlands In Germany, as a federal republic, most education issues are regulated on the state level as opposed to the federal level. A common basis, however, is realized through, among others, framework legislation. The year 2002 saw a new Higher Education Framework Law, which had two major goals: (a) a redesign of the qualification and promotion trajec- tories of academic staff, and (b) the introduction of a more performance-oriented and competitive remuneration system (through a Law on the Reform of Remuneration of Professorsa). Both were meant to strengthen performance and innovation within the German higher education and research system, as well as its competitiveness. The framework law stipulated important changes for the entire German higher education sector. These included: • Phasing out the habilitation and introduction of the Junior Professorship position. • The possibility of a tenure track, that is, the possibility to employ a previous Junior Professor subsequently as a full professor without adver- tising the position. The remuneration legislation, in addition, introduced: • Two types of professors (in addition to the Junior Professor) “W2” and “W3” and their respective basic salaries – 3,724 euro for W2 and 4,522 euro for W3b (HRG/Law on the Reform of Remuneration of Professors 2002, 78). • Three types of (additional) performance allowances: 1. On the occasion of negotiations in the context of a new appointment (or related negotiations for remaining at the same HEI); 2. For particular achievements in research, teaching, the arts, further education, and support of junior academics; and 3. For academics who take on certain positions or special tasks in academic administration or the leadership of an institution. The details of these provisions could, subsequently, be stipulated in the legislation of individual German states or – if the state-level legislator abstained from closely regulating the related provisions, by HEIs themselves. Observers of the reform at the time issued a warning that a too tight regulation of the provisions of the new model by the states would lead to problems and be in contradiction with the principle of higher education autonomy (Müller-Böling, Arnhold, and Langer 2004). One of the early movers was the State of Lower Saxony and the respective state legislation – passed in December 2002 – provides a good example of the compromises state legislators opted for. With regard to the financial frame foreseen for the performance allowances (point 2), the state legislation stipulates that up to 60 percent and at least 20 percent of the overall available funds for the three types of allowances need to be allocated to the category “particular achievements.” The allowances themselves can be either limited or unlimited in time. The legislator provides a catalogue of achievements/performance categories which can be considered by HEIs, including awards, publications, inventions and patents, and so on. It also stipulates the type of functions that can be foreseen for type 3 allocations, namely full-time members of the presidency of an HEI and professors who are (part-time) vice-presidents or a member of the deans’, office but leaves the option open for HEIs to add further functions to the catalogue. This left a significant amount of freedom in the development of models to the HEIs (and later sections will elaborate on how this freedom has been used). However, there are two things to keep in mind. First, while the German remuneration reform of the early 2000s displayed some particularities, due, among other factors, to the federal structure of Germany, it went hand in hand with a thorough discussion of major aspects of academic career and remuneration reforms. Second, despite two main layers of legislation (federal and state), primarily the HEIs were tasked with the development of actual performance-based remuneration models, an opportunity that was welcomed by some and viewed with some skepticism by others. This, however, means that different remuneration models can be found across Germany – beyond what was discussed above and some convergence in practice, there is no standardization of models. This is a major difference from countries like Finland and the Netherlands. In these countries, HEIs are not only confronted with one legislator or level of legislation; in both cases, actual remuneration models are agreed and stipulated at the central level based on collective bargaining agreements. For the Netherlands, for example, the size of the personnel costs to be funded can be looked up in the salary tables of the Association of Univer- sities in the Netherlands (VSNU). The salary tables have been agreed upon in the “Agreement for Funding Scientific Research” and are based on the collective labor agreement (CAO) of the Dutch universities. While this means a high level of standardization and potentially little flexibility for HEIs in matters of allowances, it ensures a high degree of transparency. The salary tables for academics at public HEIs in the Netherlands are publicly available and can be found at https://www.nwo.nl/en/documents/nwo/salary-tables/salary-table-universities-per-1-july-2017. Perfor- mance rewards for exceptional achievements can be given in the form of an extra salary step above the annual step in case of satisfactory/good performance, or staff can be given a one-time bonus. Sources: Authors based on BMBF 2002 and Arnhold 2006; https://www.nwo.nl/en/funding/funding+process+explained/salary+tables. Note: a. This law was published in connection with the Framework Law (Section 5 of the respective publication). b. These amounts were later challenged in a legal process. 112 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Apart from legislation, collective wage agreements can play a determining role in the details of remuneration models. Germany, Austria, and Finland pro- vide different examples for the role such agreements can play for salary models. An important distinction comes from the employment status of academic staff, namely, whether they are civil servants or employees. a-vis the remuneration of academics – Germany, Austria, and the United Kingdom Box 45 The role of unions vis-` Germany: The right to determine the salaries (and working conditions) of professors as civil servants (Beamte) lies with the respective legislative body, which regulates them via laws and regulations. That includes the tariff group W (Besoldungsordnung W) that is covered by the federal salary law (Bundesbesoldungsgesetz) and regulated in detail by the salary laws of the federal states (Landesbesoldungsgesetz). In contrast to the salaries of other employees (including those of universities who are not civil servants), which are in most cases framed by labor agreements, unions are not involved formally in the process of determining professors’ salaries. There are, however, unions covering the higher education and science sector (including to some extent professors), which try to influence the law-making process: • The Verband Hochschule und Wissenschaft (vhw),a which is part of the DBB Beamtenbund und Tarifunion; • The Gewerkschaft Erziehung und Wissenschaft (GEW),b which is part of the Deutscher Gewerkschaftsbund (DGB); • The Vereinte Dienstleistungsgewerkschaft (VERDI).c In addition, the professional associations for professors are also trying to influence laws and regulations on remuneration. The two main profes- sional associations for professors are the Deutscher Hochschulverbandd for professors at universities, and the Hochschullehrerbunde for profes- sors at universities of applied sciences. There is furthermore the Deutsche Gesellschaft Juniorprofessurf for Junior Professors. The unions as well as the professional associations can be involved in the official hearings on legislation on the higher education sector. Austria: The civil servant status of professors in Austria was abolished in 2004, at least for new appointments. After that, the university employer organization (Dachverband der Universitäteng) and the union covering the public sector (Gewerkschaft öffentlicher Dienst [GÖD]) established an agreement for the employees of universities (Kollektivvertrag für die ArbeitnehmerInnen der Universitätenh), which became effective in 2009 and also covers professors. That agreement covers various aspects of the employment of academics, including a basic salary in the case of professors. The actual salaries of professors, however, are determined by individual negotiations. Nevertheless, professors’ salaries increase in line with the pay negotiations between the university employer organization and the public sector union. United Kingdom: In the United Kingdom, the Universities and Colleges Employers’ Association (UCEA)i and the unions for academic and aca- demic-related staff (such as the University and College Union [UCU]j) negotiated a basic pay framework agreement in 2004.k That agreement includes the national higher education pay spine, and additional provisions on pay and grading (that is, the development of grade structures and the assignment of different positions to that structure).l There are annual negotiations between the parties on wage increases and other parts of the agreement under the Joint Negotiating Committee for Higher Education Staff (JNCHES).m At least in Oxford, professors and readers (the two most senior academic ranks) are not part of the institutional pay spine, but negotiate their salaries on an individual basis. The national framework (including the pay spine) is implemented at the regional/institutional level with the involvement of local unions/union chapters. The national framework stipulates, for example, that local unions are supposed to be involved in the development of both grading arrangements and policies on attraction and retention premiums. The unions resent the introduction of performance-related pay (PRP) into the national negotiations (and PRP in general), a step which the uni- versity employer organization, however, would be interested in.n Source: Authors based on listed sources. Note: a. http://www.vhw-bund.de/. b. https://www.gew.de/. c. https://www.verdi.de/. d. https://www.hochschulverband.de/#. e. http://hlb.de/startseite/. f. https://www.juniorprofessur.org/. g. https://uniko.ac.at/dachverband/. h. https://www.uni-salzburg.at/fileadmin/multimedia/Serviceeinrichtung Personal/KollV_2017.pdf. i. http://www.ucea.ac.uk/. j. https://www.ucu.org.uk/. k. https://www.ucu.org.uk/media/277/Framework-Agreement-for-the-modernisation-of-pay-structures/pdf/frameworkagreement.pdf. l. https://www.ucu.org.uk/framework. m. https://www.ucu.org.uk/hepay. n. https://www.ucu.org.uk/article/5624/Performance-related-pay. REPORT 1: Academic Careers: Learning from Good International Practice | 113 In summary, regulations on the system level are necessary conditions for standardization of employment categories and conditions. These aspects are linked to system-inherent requirements, like mobility and the perception of trans- parency and basic fairness. State legislators are, however, advised to observe the principles of university autonomy and subsidiarity, and give universities sufficient scope to develop models that comply with their institutional focus and strategy. Unions can play an important supporting role when it comes to ensuring consistency, transparen- cy, and fairness, as, for example, the Finnish model shows (see Box 49). Based on the discussion above, the national legislation and policies on sala- ries and financial remuneration must be taken into account. As in other areas, the principles of subsidiarity and university autonomy should ensure, however, that legislation is as “light” as possible. In addition, the role of unions should be carefully analyzed. If collective agreements have an important role in defining the salary systems, it needs to be assured that all parties are well informed on national higher education policies, especially regarding financial steering. It is of crucial importance that there are no conflicting aims between the national fun- ding model and national remuneration policies. Regardless of the national labor market model, the national salary system should leave space for institutions to build individual and collective incentive structures to meet the national perfor- mance aims. 4.4 Defining and Measuring Performance37 With PBS gaining in importance, the question of how to define and measure performance becomes a focus of attention. In many European countries, sala- ries used to reflect seniority. This was a principle that gave everyone some kind of positive prospect on the future (since people grew older automatically and their salary levels increased accordingly). Reputation was often the only coin that paid for achievement. This system, however, had several flaws: (1) it did not offer suffi- cient incentives for high performers, particularly those who did not renegotiate their salary in the context of a call — usually a situation which would allow for a salary increase — or otherwise engage in negotiations about their employment and salary status. (2) The only option to increase one’s salary was to engage in such negotiations; however, there was little transparency concerning the out- comes (see, for example, Heneman [2007, 9] on pay secrecy). (3) In some coun- tries, the fulfillment of certain functions on a part-time basis (like vice rector or dean) was either not properly rewarded or there was again little consistency and transparency within and across institutions. This led to criticism of the existing system and subsequent changes. “Instead of awarding employees pay increases and other incentives simply for seniority, the so-called ‘New Pay’ linked rewards to achievement of the organization’s strategic objectives” observed Heneman’s (2007, 1), based on developments in the U.S. private and public sectors. 37 The question of performance and how it can be measured on the system and institutional level has been the subject of early World Bank advisory work in Latvia (see 1. Introduction). 114 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Performance Dimensions There are different ways in which performance at higher education institu- tions are discussed. A narrower approach focuses on particular achievements that can be reflected through the award of bonuses or (more permanent) allowan- ces. A broader interpretation includes these particular achievements but goes beyond them by considering a “market bonus”38 (as negotiated in a context of a call or retention) and allowances for specific institutional functions.39 However, defining the performance aspect of certain functions or the way the market determines what can be considered as performance40 appears more straightforward than defining performance in the context of particular achieve- ments (potentially leading to an allowance or bonus). For the latter, again, the main determining factor is what an HEI (and the higher education system) considers or singles out as rewardable performance, in accordance with its own strategy. While performance considerations generally derive from the key functions of academic staff (teaching, research and development, and service), the emphasis needs to be put across and within these categories in accordance with strategic institutional priorities. This leads to the definition of perfor- mance categories and subsequent “criteria.” As later sections will show, it is not advisable to break down salary models and available funds to the level of indivi- dual departments or other subunits. This means that performance levels defined at the central institutional level need to be broad enough to accommodate different disciplinary cultures. A more general description of performance levels might appear less desirable at first sight. However, (1) PBS models, in principle, need to give everyone a chance to participate. In practice, this means a need to allow for differences across fields (for example, fine arts and natural sciences), organizational units, and disciplines. In addition, (2) a detailed definition of what is considered performance might have counterintuitive effects (leading, for example, to an inflation in “desirable” actions”41; see also Chapter 4.2 “Intrinsic versus Extrinsic Motivation — Basic Questions of Incentivizing Academic Performance” on intrinsic vs. extrinsic motivation) and paralyze the managerial work. The challenge is thus to find a balance between the desire to be specific (flexible and context specific) and to provide broad opportunities to partici- pate in PBS schemes (transparent and equal). The Royal Institute of Techno- logy (KTH) in Sweden provides an interesting example of a resulting compromise (see Box 46). 38 Witte, Schreiterer, and Müller-Böling (2004) stress that the new PBS system in Germany will also reflect differences in the market value of different [disciplinary] areas’ (Witte, Schreiterer, and Müller-Böling 2004, 64). What is meant is that in certain areas, academic staff has (also financially) attractive possibilities for alternative employment — including outside the higher education sector. HEIs thus need to decide to what extent they want to pay some kind of a “market allowance” to attract some highly sought after academics in these particular area (this could concern manage- ment or technical subjects, for example). 39 Or the first combined with any of the latter elements: Dowds (2010), for example, includes recruit- ment and retention, but not explicitly institutional functions, in her discussion of PBS. 40 Though the authors agree with Witte and Schreiterer (2004, 54), who note that all (PBS) systems and HEIs are struggling to combine internal performance justice and consistency of performance- based salaries with an orientation toward the private sector. 41 Rewards for publications are a suitable example: the negative consequences of publication infla- tion have repeatedly been lamented. REPORT 1: Academic Careers: Learning from Good International Practice | 115 Box 46 Performance criteria at the Royal Institute of Technology (KTH), Sweden KTH’s salary policy is designed to ensure “good performance, commitment and job satisfaction.” To achieve this, KTH has opted for salaries to be “individual, differentiated and objective to assist KTH to recruit, retain and develop a first-class workforce.” The Central Level and Benefit Collective Agreement (RALS) together with operational requirements, financial conditions, and “competence planning” sets the framework for local salary levels. “Salary structure and salary setting must work to achieve operational aims and to ensure that operations are run efficiently and rationally” (RALS Section 5). Levels are determined, for example, by factors like responsibilities and the degree of difficulty of the job-related tasks. Special attention is paid to questions of equality, diversity, and equal opportunity in a nondiscrimination context at KTH. Salaries are primarily determined when staff is newly employed and at annual salary reviews. KTH documents highlight the need for managers to start from the same baseline when setting salaries, and that there is full transparency when it comes to the respective criteria. Individual salaries at KTH are based on an assessment of the following overall criteria: (1) responsibilities, (2) job requirements, and (3) skills and results. Responsibilities are assessed using the following aspects, among others: • Management responsibility: This includes, among other aspects, responsibility for leading and coordinating teaching, supervision, project management, work management, and financial and administrative tasks. • Financial responsibility: This refers to the ability to secure and monitor the financial management of operations. Budget and closing of accounts responsibility. • Personnel responsibility: This includes, among other responsibilities, leading and distributing working tasks, conducting performance reviews and salary reviews, and holding workplace meetings (APT). Responsibilities for coordinating systematic work environment activities for the unit. At the unit level, dealing with the physical and psychosocial work environment, rehabilitation, gender issues, and so forth. • Technical responsibility: This refers to responsibilities for technical management. Responsibilities for operations and maintenance of complex and/or expensive equipment. The degree of difficulty of working tasks is assessed using the following aspects, among others: • Qualifications: This refers to educational and experience qualifications, the skills necessary to perform the duties of the position. • Degree of independent working: This refers to the degree of independent work in the position in relation to unit management. The degree to which the employee himself or herself plans, executes, and supervises the work. How much the employee needs support, direction, or detailed instructions. The extent to which the employee is self-sustainable. Areas of responsibility, operational responsibilities, operates and/or works in internal and external networks, represents KTH externally. • Impact: The extent to which the position affects unit performance. • Working environment: The physical and psychosocial work environment factors that surround operations. Requirements concerning mental and physical exertion and concentration/attention abilities. Skills and results are assessed using the following aspects, among others: • Expertise: This refers to knowledge and experience in the relevant subject or field. Development potential, as well as analytical and creative skills. • Flexibility: This includes, among other aspects, the ability to adapt to new conditions and situations. Ability/willingness to take on new tasks and develop new skills. Ability to apply a flexible approach to his or her own role. • Service: This refers to the ability/willingness to provide quality service and to respond to colleagues and managers in a positive and respectful manner. Versatility and initiative. • Ability to cooperate: This refers to the ability to work with people at different levels inside and outside the university, build and maintain relationships and networks. The ability to share knowledge and experience. • Efficiency and effectiveness: This refers to the ability to quickly familiarize themselves with new issues and identify rational solutions. A measure of the employee’s productivity. Does the employee deliver, or do merely planning and discussion take place? • Results: This includes, among other aspects, the ability to achieve agreed work performance within the planned time frame. The ability to focus and refine work based on operational objectives. Achieving results linked to operational objectives. The ability to improve methods and approaches. The ability to take initiatives and be an active driving force at work. • Quality: A person can be efficient and fast, but the quality of the work and its results are of great importance. How skillfully does the employee perform his or her work and what is the quality level of the results. • Communications: This refers to the ability to communicate both verbally and in writing. • Leadership abilities: This refers to the ability and willingness to help colleagues to develop, to respond positively, and to highlight other colleagues’ efforts. • Representation abilities: This refers to the ability to represent KTH as an employer in the proper manner. However, beyond these overarching criteria that apply to all KTH staff, there are specific salary criteria for academic teachers and researchers: 116 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Pedagogical skills are assessed using the following aspects, among others: • Ability to implement, develop, and lead educational operations of high quality. • Ability to create commitment to and interest in the subject. • Ability to successfully carry out pedagogical development activities and teaching material production, and so forth. • Teaching at other universities nationally and internationally. Research activities are assessed using the following aspects, among others: • Amount of national and international publishing, measured as concerns both quality and quantity. • Number of citations in national and international articles or publications, measured as concerns both quality and quantity. • Ability to apply for, and win, external research funding. • Ability to supervise doctoral candidates up to graduation as PhD. • Scope of appointments in external research organizations. • Scope of guest research at other universities, national and international. Administrative activities and liaison with society are assessed using the following aspects, among others: • Scope of management tasks or appointments to bodies within the university. • Ability to communicate research information, popular scientific lectures, and appearances in mass media. • Scope of appointments as expert, faculty opponent, or as member of grading council for theses defense. • Scope of collaboration with external partners. Finally, there are specific criteria for the assessment of managers: • Strategic competence: This includes, among other aspects, the ability to lead operations toward the university’s vision and goals, implemen- ting policy documents and policies, and developing operations based on the KTH Strategic Plan. • Leadership skills: This includes, among other aspects, the ability to delegate, communicate, follow up with constructive feedback to employees, and create opportunities for employee development. • Judgement: This includes, among other aspects, the ability to work, lead, and make decisions in accordance with the KTH value platform. • Loyalty: This includes, among other aspects, the ability to represent their group in a proper manner without compromising their role as employer. • Initiative: This includes, among other aspects, the ability to take initiatives and be an active driving force at work. Ability/willingness to develop operations. • Social competence/creative ability: This includes, among other aspects, the ability to create and maintain good relationships with people at different levels within and outside the university. Proven ability to respect, support, and provide recognition for their employees. Sensitive to others’ views and ideas. • Financial responsibility: This refers to the ability to secure and monitor the financial management of operations. Budget and closing of accounts responsibility. • Administrative ability: This refers to the ability to understand, communicate, and apply governing documents and policies within admini- strative matters (finance, personnel, and so forth). Ensuring structured, efficient, and quality-assured internal processes and methods. • Job satisfaction: This includes, among other aspects, the ability to create commitment and a good psychosocial work environment in the group, creating an open, positive atmosphere and equitable work environment. Responsibility for systematic work environment activities which may, for example, involve preventing and/or resolving conflicts. • Results: This includes, among other aspects, the ability to, in a positive manner, create successful results concerning working atmosphere, finances, working environment, and timely delivery. Source: Authors based on KTH 2014. On one hand, the KTH example appears to be clearly structured and transparent. It makes a distinction between overarching performance aspects for the institution and those for teaching and research staff (of particular importance for this chap- ter). Covering details of the teaching, research, and service function of academics, it seems to be rather comprehensive and contrasts with a more straightforward way of describing performance at the University of Oxford. On the other hand, it is detailed and complicated and thus requires certain professional competencies to be properly implemented, managed, and communicated to employees. REPORT 1: Academic Careers: Learning from Good International Practice | 117 The Oxford model puts a clear emphasis on research, and this is reflected in the descriptors used for its five-level, qualitative model. Under this model, Level 5 is foreseen for individuals “whose academic distinction is of the highest quality, with a corresponding quite outstanding worldwide reputation which is universally acknowledged across the broadest subject areas.” Academics at that level “will have made a formative contribution through their research and through their overall role across their general field of study”42 (see also Box 48). Interestingly, there is also a “No award” descriptor: “[T]he University expects all of its professors and readers to be academically distinguished, with an international reputation and research record which is outstanding in comparison with the majority of academic staff in the United Kingdom. It also expects all of its professors and readers to contribute fully and well to all relevant aspects of the academic work of the University. Meeting these baseline expectations does not in itself justify the making of a distinction award.” (University of Oxford n.d., 3) However, Witte and Schreiterer (2004, 55f) summarize that performance allowances in most cases take into account the work of professors in re- search, teaching, and service, based on “soft” (such as the descriptors of the Oxford model) rather than “hard” criteria (such as quantitative indicators) and are rarely linked to defined and exclusive lists (of what is considered performance). At the same time, they confirm that some research universities tend to focus strongly on research and development when defining performance. Assessments The descriptors or criteria discussed in the previous section are needed as a basis for transparent decisions as the KTH’s Regulations and Guidelines for Salary Level setting at KTH point out: “Salary criteria clarify what is to be assessed when setting salary levels. These criteria provide support for managers and employees in their salary dialogue and form a tool for managers to be able to make an objective assessment of employee performance and skills. If individual salary level setting is to achieve the desired effect on operations and not be perceived as arbitrary, it is of great importance that the salary level setting manager makes careful and objective judgements when esta- blishing salaries.” (KTH 2014, 7, see also Box 46). When assessing performance, one important decision is whether to rely more on quantitative or qualitative criteria. Both have distinct advantages and disadvantages. “Hard factors” mean that (ideally quantifiable) aspects of perfor- mance are linked to points or amounts (see Witte and Schreiterer 2004). They seem to display greater simplicity, transparency, and objectivity (at least at first sight). However, it is difficult to find a set of “hard criteria” that are suitable for comprehensive universities or even systems, given that many of these criteria 42 https://www.admin.ox.ac.uk/media/global/wwwadminoxacuk/localsites/personnel/documents/ academicemployment/Call_for_Applications_and_Procedures_2016.pdf. 118 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers do not apply equally to all subject areas or that more comprehensive criteria are not directly quantifiable. “Soft factors” at first sight appear less transparent; however, they leave a greater latitude for decision makers to account for specific cases, and thus seem more adequate in an academic environment. Leaning toward “soft factors” (or potentially a mix favoring “soft factors”) already excludes a formula-based distribution system (see next section). Much of the perception of fairness and transparency of a PBS model de- pends on a clearly structured assessment approach with clear responsibili- ties and timelines. This normally corresponds to annual or multiannual perfor- mance reviews; however, there are also exceptions to this model (see Box 47). As the example of the TU Munich, shows that even highly research-active techni- cal universities might want to reflect a variety of performance factors and assess them though a mix of approaches — in contrast to focusing on research and development only and basing any assessment exclusively on hard factors. Box 47 Post-tenure performance monitoring of associate/full professors at the TU Munich In order to validate and substantiate its claim to excellence, TUM is introducing ad-hoc monitoring of the performance of its associate and full professors. This review will not, however, compromise the academic freedom of its scientific staff. These quality reviews will document the candidate’s performance over the previous five years and examine specific projects (Research & Develop- ment and Academic Teaching) to assess the candidate’s prospects for developing the professorship, using international benchmarks. The outcome of these reviews can influence decisions on whether to continue or grant new supplemental packages from TUM’s central budget, which were initially granted for a period of five years when the professor was first appointed. The findings may also have a bearing on perfor- mance-related bonuses. Prerequisites for a positive post-tenure performance monitoring assessment: • Excellent performance in Research & Development benchmarked against elite international researchers, and very good performance in Academic Teaching – clearly exceeding the norm, or • Excellent performance in Academic Teaching and very good performance in Research & Development – clearly exceeding the international norm. In addition to the criteria outlined under […], the international reputation and visibility of the professor in Research & Development and Academic Teaching (leadership in the scientific community) are weighted highly in this assessment. Other criteria taken into consideration are Academic Engagement – supporting TUM, TUM’s young scientists, and the academic community – and leadership skills. Source: Authors based on https://www.tum.de/en/about-tum/working-at-tum/faculty-recruiting/tum-faculty-tenure-track/resources/. 4.5 Linking Performance to Remuneration Models and Procedures While previous sections have discussed the background and nature of PBS systems, the following section will focus on the technicalities of designing PBS systems in practice.43 43 The focus of this chapter is on incentives and related mechanisms with regard to salaries, not on levels of salaries, which vary significantly across Europe and beyond. A discussion on this topic is included in Eurydice (2017, 75–76). See also, for example, http://www.eui.eu/ProgrammesAndFellowships/AcademicCareersObservatory/CareerComparisons/ SalaryComparisons.aspx). REPORT 1: Academic Careers: Learning from Good International Practice | 119 Designing PBS systems poses a list of challenges. The key question is what has been agreed as a “particular achievement” and (a) can, and (b) should, be translated into a monetary reward. The reward system provides one option for increasing motivation and organizational performance. It should not be the primary source of motivation in professional work. Thus, a careful cost-benefit analysis needs to be done taking into account the externalities of such a system. Externa- lities include the impact on the organizational culture as well as quality of work. It is key in this context that a range of aftereffects are taken into account. These aftereffects can be financial or motivational in nature. For example, while it is perfectly appropriate to reward single, time-limited activities with a one-time bonus, the withdrawal of a once granted allowance (while performance levels are stable or increase) could be counterproductive and likely to decrease the motiva- tion of the individual. Financial repercussions go beyond direct aspects of the model (for example, the need to plan for future increases) and may, for example, affect future pensions (and thus in many cases the realm of the Ministry of Finance). Some of these aspects will be discussed in the following section. Beyond how to define and assess performance, aspects to be decided include responsibilities and decision-making procedures (including a potential role for external evaluators), and the amount and frequency of the distribution of alloca- tions (Witte and Schreiterer 2004, 65).44 Types of Monetary Rewards Performance can be monetarily rewarded in a variety of ways, including through: • Bonuses, which are a suitable instrument to reward a one-time (or temporary) achievement or particular temporary challenge that has been mastered. • Open-ended allowances, which are used to reward “permanent exceptional45 performances or a [significant] increase in experience to the extent that they have not been reflected in salary increases in the context of a call or retention” (Witte and Schreiterer 2004, 71). This type of allowance requires particular plan- ning capacity at HEIs. Moreover, it needs to be checked if these allowances are pensionable (depending on the specific national and employment context). • Temporary allowances, which can either be used to provide an incentive at a particular point in time or if it is not clear whether the observed performance is of a permanent nature. Therefore, they might well be used in the context of call or retention negotiations. Their temporary nature makes them attractive from a financial management perspective; however, motivational aspects (as discus- sed above) need to be kept in mind. • Other forms (variable salary components or the combination of different moneta- ry rewards). 44The following section is based on Witte and Schreiterer (2004). 45While the term “exceptional” can be found in the literature and also in legislation, it has to be taken with a pinch of salt. Truly “exceptional” models would exclude the vast majority of academic staff at an institution, which can hardly be the intention of policy makers and leadership. 120 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Box 48 shows how different types of rewards are applied for different staff catego- ries and areas of activity at the University of Oxford. Box 48 University of Oxford – Balancing permanent increases and bonuses The University of Oxford, United Kingdom, established an elaborate system for financially rewarding the performance of its acade- mic staff members. The system consists of two parts: the “Professorial Distinction Awards” for professors and readers, and the “Reward and Recognition Scheme for Academic-Related and Support Staff” for the other academic staff categories (and for support staff members). That system forms a part of the overall remuneration system of the university, which is based on individual salary negotiations in the case of profes- sors and readers, and a salary grade structure for the other academic staff categories. The overall system also includes possibilities for salary increases for recruitment and retention purposes. The “Professorial Distinction Awards” reward exceptional performance with a permanent salary increase. The award procedure re- volves around five levels of awards.a A fixed amount of money is attached to each of the levels. In 2016, those amounts ranged from GBP 3,428 for level 1 to GBP 28,139 for level 5. Receiving an award translates into a permanent, pensionable salary increase in accordance with the res- pective level. The overall amount of funding that can be disbursed via the awards is capped. For that reason, the awards are usually restricted to an advancement by one level only. In addition, the procedure’s regulations stipulate that the current salary level of an applicant and those of his or her colleagues within the university are taken into account. The granting of awards follows a multistage procedure based on predefined criteria. The procedure begins with the application by eligible candidates. The application documents must include, among others, the names of three persons from outside of the university, who must provide an evaluation of the applicant. A Professorial Distinction Awards Committee, which exists in every academic division, assesses the applications based on criteria defined by the university’s Personal Committee. Those criteria put a focus on research, but take into account other activities as well. That includes minimum requirements related to teaching and to the involvement in the administration of the university. A level-5 award, for example, is available only to individuals “whose academic distinction is of the highest quality, with a corresponding quite outstanding worldwide reputation which is universally acknowledged across the broadest subject areas.” Academics at that level “will have made a formative contribution through their research and through their overall role across their general field of study.”b The Distinction Awards Committee then forwards a recommendation to the Senior Appointments Panel of the University’s Personnel Committee. The panel consists of the Vice-Chancellor, the Pro-Vice-Chancellors for Personnel and Equality, for Education, and for Research and Innovation, and the Registrar. It assesses whether the award procedure was followed properly and whether the requirements were applied consistently. If that is the case, it ratifies the recommendation. There are no possibilities to appeal the panel’s decisions or to receive feedback on them. The “Reward and Recognition Scheme for Academic-Related and Support Staff” rewards academics’ performance with one-off bonuses and permanent salary increases. The scheme consists of two parts. One part is the “Awards for Excellence Scheme” under which all eligible academic staff members are assessed by their line manager on an annual basis. Line managers then nominate candidates whose per- formance they consider exceptional.c A panel at the department level reviews the nominations based on evidence provided by the line managers. Two criteria must be fulfilled to receive an award. Academics must “have performed well in all the key areas of their jobs” and “have consistently demonstrated exceptional performance, significantly above that which might reasonably have been expected for their grade.”d The award can translate into (a) a pensionable advancement within the respective pay grade of the academic,e or (b) a one-time payment equaling the annual increase of an advancement within the respective pay grade. The university policy on the awards stipulates that the majority of awards should be one-time payments.f It is expected that, per year, around 10 percent of eligible staff members receive an award. The second part of the overall scheme is the “Recognition Scheme,” under which a GBP 200 one-off bonus can be awarded for outstanding contributions at any time of the year. Source: Authors based on the website of the University of Oxford; http://www.ox.ac.uk/. Note: a. In principle, there are 12 award levels. However, levels 6 to 12 are reserved for exceptional cases. b. https://www.admin.ox.ac.uk/media/global/wwwadminoxacuk/localsites/personnel/documents/academicemployment/ Call_for_Applications_and_Procedures_2016.pdf. c. If there is a disagreement between line manager and academic, academics can also nominate themselves. d. http://www.admin.ox.ac.uk/personnel/reward/rewardandrecognitionscheme/awardsexcell/. e. Each pay grade consists of several scale points. Academics progress automatically to the next scale point each year until reaching the maximum point of the grade. Above that maximum point, there is the so-called “discretionary range,” consisting of additional scale points. The scale points of the discretionary range cannot be reached via the automatic progression, but, among others, via the “Awards for Excellence Scheme.” f. The permanent increases are reserved mainly for those academics who have reached the maximum point of their grade. They cannot be awarded to individuals who reached the top of the discretionary range. REPORT 1: Academic Careers: Learning from Good International Practice | 121 Like with other aspects of remuneration schemes, the type of monetary reward needs to fit the specific purpose of the award and motivational and financial implications need to be thought through. Aspects of Performance-Based Salary Model Development While bonuses, as mentioned above, are easy to handle from a financial management perspective, temporary and/or permanent allowances raise a wider set of issues. The first question is whether these allowances should be freely negotiated or whether there should be a more structured approach. While the former seems to be the approach chosen by some universities in the UK, freely negotiating all allowances at an HEI with a PBS approach seems to be a particularly challenging undertaking from an administrative perspective. From a financial management point of view, this might cause a nonpredictive and ever increasing cost item and make HR budgeting very difficult. However, Witte and Schreiterer (2004, 77) define aspects under which such an approach might be possible. In the context of the German PBS reforms, universities opted for a struc- tures approach in the form of a multistep model for allowances connecting perfor- mance descriptors with euro amounts (see Box 50). Allowances in the context of calls or retention negotiations were frequently connected to such a model, allowing for more transparency and better planning. In the Finnish case, the multi- stage model is determined by two dimensions, resulting in a matrix structure: job responsibilities and actual performance. This is illustrated in Box 49. Box 49 Finland – Example of a matrix model determined at the system Level In both, Finland and the Netherlands, academic staff is remunerated in accordance with a multistage model, which is established at the system level. In Finland, as of 2008, all universities (except Aalto University, for which special arrangements are in place), have adopted a performance-based salary system (“YPJ”) under general collective agreements. The salary system has the following components: (a) a job-related salary element (requirement level plus any job requirement bonus), (b) a personal salary element (performance level plus any performance bonus), and (c) possible bonuses. Figure 15 The Finnish performance-based salary system (“YPJ”) Source: https://yll.fi/en/about-employment/salary-system/. While this model applies to the system overall, there are variations of how the system is applied (that is, median salaries for all positions differ significantly across universities). Only a few universities pay bonuses in addition to the YPJ-based salaries. The median salary of academic staff is about 3,900 euro per month (as a comparison, the state administration median salary is about 3,500 euro per month). Level of task require- ments are thus combined with levels of individual performance. An example of levels of task requirements (YPJ requirement levels 8–10 of teaching and research staff) is presented in Table 11. 122 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Table 11 Example for levels of task requirements Level Nature of work Interaction skills and responsibility Knowledge and skills 8 Teaching and research Creating and maintaining an academic cooperation network – also Eligibility to serve as a professor work highly valued by internationally Diversified teaching experience the academic Extensive responsibility for the discipline and its development in both undergraduate community and postgraduate education Planning, organizing, and coordinating research projects and networks Responsibility for using research resources Extensive responsibility for the educational program or responsibility for leading and improving research Extensive responsibility for postgraduate education Extensive academic and social specialist duties Principal difference from the preceding level: Diversity of duties, broad scope of duties and responsibilities, in-depth ability and emphasis on academic appreciation, international dimension, eligibility to serve as a professor 9 Teaching and research Creating and maintaining an extensive academic cooperation Eligibility to serve as a professor work highly valued by network – especially internationally Diversified teaching experience the academic Extensive responsibility for the discipline and its development in both undergraduate community and postgraduate education Strategic planning, organizing and coordination of research projects and networks Extensive responsibility for using research resources Extensive responsibility for the educational program or extensive responsibility for leading and improving research Extensive responsibility for postgraduate education Demanding academic and social specialist duties Principal difference from the preceding level: Emphasis on the diversity and extent of academic esteem, duties, responsibilities, and cooperation networks 10 Teaching and research Extensive creation and maintenance of an academic cooperation Eligibility to serve as a professor work very highly network – especially internationally Diversified teaching experience valued by the Extensive responsibility for the discipline and its development in both undergraduate academic community and postgraduate education Strategic planning, organizing and coordination of major research projects and networks Extensive responsibility for using research resources Extensive responsibility for the educational program or extensive responsibility for leading and improving research Extensive responsibility for postgraduate education, including directing a postgraduate education organization Highly demanding academic and social specialist duties Principal difference from the preceding level: Highly demanding level, advancement to this level requires very broad responsibilities and job demands Source: Authors adapted from http://www.sivistystyonantajat.fi/tiedostopankki/684/University_CA_period_2017___2018.pdf, p. 99. Examples of levels of individual performance are: • Level 9: The employee’s performance is excellent and clearly exceeds all job requirements and the quantitative and qualitative objectives assigned to the employee. • Level 7 & 8: The employee’s performance satisfies all job requirements very well. The performance exceeds the quantitative and qualitative objectives assigned to the employee in many respects. REPORT 1: Academic Careers: Learning from Good International Practice | 123 • Level 5 & 6: The employee’s performance satisfies the job requirements and the objectives assigned to the employee well. Performance attains a high-quality standard in key fields of duty. • Level 3 & 4: The employee’s performance satisfies the basic job requirements and the principal objectives assigned to the employee. Some aspects of performance are nevertheless in need of improvement. • Level 1 & 2: There is a substantial need for improvement in the employee’s performance. The resulting model is an 11 by 9 matrix in which staff can be mapped according to requirement and performance level, as in Table 12. Table 12 Salary scales for teaching and research staff, valid as of February 1, 2016 (in EUR) Personal performance level Requirement level 1 2 3 4 5 6 7 8 9 1 1,808.42 1,880.76 1,991.07 2,099.58 2,208.08 2,318.39 2,426.90 2,537.21 2,645.72 2 1,985.85 2,065.28 2,186.42 2,305.57 2,424.72 2,545.86 2,665.01 2,786.15 2,905.30 3 2,181.44 2,268.70 2,401.77 2,532.65 2,663.54 2,796.61 2,927.49 3,060.56 3,191.45 4 2,475.31 2,574.32 2,725.32 2,873.83 3,022.35 3,173.35 3,321.87 3,472.86 3,621.38 5 2,865.30 2,979.91 3,154.70 3,326.61 3,498.53 3,673.31 3,845.23 4,020.02 4,191.93 6 3,340.77 3,474.40 3,678.19 3,878.63 4,079.08 4,282.87 4,483.31 4,687.10 4,887.55 7 3,851.33 4,005.38 4,240.31 4,471.39 4,702.47 4,937.41 5,168.48 5,403.42 5,634.50 8 4,656.16 4,842.41 5,126.43 5,405.80 5,685.17 5,969.20 6,248.57 6,532.59 6,811.96 9 5,244.48 5,454.26 5,774.17 6,088.84 6,403.51 6,723.42 7,038.09 7,358.01 7,672.67 10 5,934.94 6,172.34 6,534.37 6,890.47 7,246.56 7,608.59 7,964.69 8,326.72 8,682.82 11 6,860.10 7,134.50 7,552.97 7,964.58 8,376.18 8,794.65 9,206.25 9,624.72 10,036.33 Source: Authors adapted from http://www.sivistystyonantajat.fi/tiedostopankki/684/University_CA_period_2017___2018.pdf, p. 121. Sources: Authors based on https://yll.fi/en/about-employment/salary-system/; Kivistö 2017. If the HEI decides in favor of a structured approach, the suitable amounts and the maximum increase need to be defined. The allowance can either be defined in absolute (euro) terms or as a percentage of the salary. There can be fixed amounts or levels that then can or cannot be index-linked. Predefined levels restrict the latitude; however, they help simplify processes, increase comparabi- lity, facilitate planning, and allow for connecting different remuneration elements. While more levels for allowances might lead to lower thresholds (and thus, more possibilities), increases between levels need to be sufficiently signifi- cant as a factor to enhance motivation. In the context of multistage PBS sys- tems, a mix between temporary and permanent might be advisable, for example, with initial allocations, particularly when awarded in the context of negotiations later being transformed into permanent allowances. In any case, the model development needs to include considerations of regular inflation adjustments and the link to pensions. In Germany, state legislation deter- mined the percentage of maximum allowances compared to the basic salary, with a view to pension implications. 124 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Box 50 Performance-based salary model of the University of Bremen, Germany Following the federal framework legislation, the State of Bremen had advanced comparatively liberal state legislation delegating most decisions concerning the new salary model to its HEIs. The state had confirmed that in Bremen professors would either be in the W2 or W3 category and that key functions, like the rector, vice-rector, and head of administration would be W3 positions. It was also decided that special performance allowances will be initially awarded on a term base, but can in following rounds be awarded on a term or open-ended basis. The state legislation proposed perfor- mance criteria which, however, were neither mandatory nor exclusive. It was also decided that the rector would decide on the performance allowance based on the proposal of the dean. The decision of whether performance allowances would be pensionable remained with the respective ministry for those related to a call, and with the rector for special performance allowances (performance allowances in the narrower sense). In the years before the introduction of the W salary scheme, Bremen and its university had seen remarkable development. This was reflected in the university’s position in research rankings and the award of the title “City of Science” to the town of Bremen. In the early 2000s, the university was not only busy with the introduction of the new salary scheme, but also with the establishment of Junior Professorships and the Bologna Process. Most importantly for the smooth introduction of the W salary scheme was previous work on strategic management of personnel. The Uni- versity of Bremen had devoted considerable time and energy to rethink, for example, the process leading to an appointment of professors and related selection criteria. For them, not only teaching and scientific expertise were relevant, but also certain managerial capabilities and skills going beyond narrow subject expertise. Professors were increasingly expected to be able to manage resources allocated to them in an efficient manner and to contribute to the university as a corporation. Besides these new approaches related to calls, there were three additional questions that guided the work on the new salary model: • Profile of the University of Bremen and its consequences for human resource policies: Does the personnel portfolio correspond to the inten- ded profile “light-towers”? • How should we go about nonmonetary incentives? • How are positions equipped and financed and how can these two aspects be linked to performance agreements? During and initial workshop, the W salary working group considered the legal framework for its work (federal and state level), resulting model and procedural options, and some initial financial implications. This specifically related to the professorial positions (number of W2 compared to number of W3 positions, the latter with higher basic salaries), and their implications for the distribution frame, that is, the amount available for performance allowances. If the University of Bremen had decided to have only W2 professor positions (with a basic salary of 3,724 euro, as initially stipulated by federal legislation), the theoretical distribution frame per professor would have been 1855.84 euro. In the case of only W3 positions (with a basic salary of 4,522 euro, as initially stipulated by federal legislation), the distribution frame per person would have been 1,057.84 euro, and thus significantly lower. The University of Bremen decided to use the historic split between C3 and C4 professorships as guidance concerning the new W2–W3 split, leading to a distribution frame of 1,407.11 euro. In a next step, the university decided on the allowances for certain functions. The functions under discussion were exclusively part-time functions, since the state law already stipulated the full-time functions for which allowances would be provided. The amount foreseen for the full-time functions like rector were determined by external boards where those bodies already existed in Germany. Part-time functions include (in some cases) vice-rectors and in most cases deans. The University of Bremen decided on differentiated amounts not only for vice-rectors and deans but also for the equal opportunities commissioner, vice-deans, and study deans (for study deans, this was differentiated on the basis of department size, measured by the number of disciplines covered). Concerning the type of allowances awarded in the context of negotiations around a call or extension of employment, the key point is that univer- sities need to strike a compromise between what might appear desirable and what can reasonably be financed. There is only one “pot” for all three types of allowances: Spending more on calls thus means that there is less available to reward functions and for the performance allowances in the narrower sense. Here, the university needs to answer the following questions: • Which positions are supposed to be filled in the coming years; • In which areas the university wants to see “‘light towers’ of achievement” (it would be unrealistic to expect this in all areas to the same extent and at the same time); • To what extent professors are expected to join from other spheres of employment (industry, the public sector); • Whether the university expects to recruit younger or older professors. The answer to these questions depends on the individual higher education strategy. However, there are two aspects to keep in mind: Especially those institutions that recruit younger professors need to set up accruals (see Section 4.6 on Remuneration and Financial Management). Finally, institutions that opt for a staged model that integrates negotiations (that is, the amounts that can be negotiated correspond to stages of the model) circumvent some of the risks and imponderables associated with the financial implications of negotiations. The most important aspect of the W reforms, however, relates to the “special performance allowances,” awarded for achievements on the job. Based on the analysis of international experience, the Center for Higher Education propagated a stage model for German universities, and this was also discussed at the University of Bremen. In principle, performance allowances can be awarded as a monthly allowance of a one-time bonus. The University of Bremen decided to allow both options, particularly since some types of performance might relate to activities restricted in time. Once the university had decided on the multistage model, discussions focused on the number and (euro-) level of the steps. This resulted in the following multistage model for the University of Bremen (depicted is the state in 2002, which was based on the distribution frame resulting from the 2001 average salary). Figure 17 shows the euro amounts on the y-axis and the percentage of professors expected to reach this stage on the x-axis). REPORT 1: Academic Careers: Learning from Good International Practice | 125 Figure 16 The multistage model for the University of Bremen Source: Authors adapted from Arnhold and Handel 2004, 18. The University of Bremen planned for a zero level (initial performance level) followed by five steps. The increase for the W2 category is parallel to the W3 category, and for both categories equal shares of the distribution frame are foreseen. The amount allocated per level increases from Level 1 (300 euro) step-by-step up to Level 5 (700 euro); there is a written description of achievement for each level. For example, Level 7 is allocated for “achievements which help form the international reputation of the university in a decisive manner. Procedural questions were to some extent already determined by the state legislation (for example, role of the rector and the deans). As with other remuneration models, not all implications can be anticipated at the introduction stage. An evaluation of the new model after a few years is thus highly advisable. Source: Authors based on Arnhold and Handel (2004). Procedural Considerations To keep administrative efforts manageable but also to increase predictability of the process, it is recommended to have a determined and regular process for the evaluation of existing, or the allocation of new, performance allowances. The model “allocation at any point in time” would mean flexibility, but again poses challenges from an administrative and financial management perspective. There- fore, most institutions opt for a regular process. The process could be initiated by application or proposal, and can potentially be connected to performance agree- ments between the HEI and the individual.46 An alternative option is to link the pro- cess to an already existing review process. 46This is, for example, possible in tenure track systems; however, individual performance agreements need to be considered carefully where performance of (for example, research) teams is rewarded. The use of individual performance agreements thus needs to be considered carefully and should not be used as a standard option in all cases. 126 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Again, the University of Bremen provides a good example of how the process can work in practice: “The process is at least partially already determined through [state legisla- tion] (role of rectors and deans). It is supposed to take place once per year; after an allocation, a professor can apply again after three years. This is supposed to reduce [administrative] effort and, on the other hand, allow for the individual to produce awardable achievements between two assess- ments. There are clear deadlines for individual parts of the process: By 31 July, the rectorate informs in an anonymized form about the current distribution of professors on achievement levels and communicates possible increases. If a professor wants to apply for an allowance, he or she needs to hand in an application for which a clear format exists. The application goes via the Dean to the Rector and needs to be reach the Dean by 31 August. The Dean after consultation at the Dean’s Office provides a statement on the application. This statement needs to reach the Rector by 30 September. The Rector decides on the application by 30 November.” (Arnhold and Han- del 2004, 195f) Responsibilities at the Institutional Level A key role in the development and execution of PBS models rests with the institutional leadership. This does not mean that the rectorate needs to be involved in every single detail of the process that might better rest with commis- sions, internal bodies, of external reviewers. However, the institutional leadership has the final responsibility for the functioning of the model. The involvement of other players depends on various factors, including the profile and size of the institution and the role and responsibilities of deans. Deans can be involved in the process in different ways, such as through pro- posals or by providing statements as in the case of the University of Bremen, provided in the previous section. If performance agreements are used, it would normally be the dean who leads the negotiations with the individual professor (Arnhold and Handel 2004). Commissions can be helpful in terms of increasing transparency, quality, and acceptance of decision-making processes and can serve as a “clearing house” (Witte and Schreiterer 2004, 66), potentially with a veto function. It is important, however, that such commissions also include members who are able to oversee the budgetary consequences of proposed options. In summary, clearly defined processes and criteria accessible and compre- hensible to all institutional members are key for the transparency and accep- tance of performance-based remuneration models. REPORT 1: Academic Careers: Learning from Good International Practice | 127 4.6 Remuneration and Financial Management Remuneration models cannot be developed in isolation from financial management considerations, and financial management should not be done without careful analysis of HR issues. Typically, most of the nonfixed cost of an HEI are personnel related. This applies to reform attempts at the state level as well as to model development on the institutional level. Key questions here include what is the overall available amount for performance allowances, and how is it distributed (from the state to HEIs and potentially within HEIs if contingents are foreseen). Another question is whether certain quotas are foreseen for types of performance (allowance for functions vs. particular achievements), future implica- tions of budget models, staff retirement plans, and considerations related to staff mobility. Besides these model-related questions, states and HEIs need clarity on pen- sion implications and need to be closely coordinated, where needed, with the Ministry of Finance and relevant line ministries likes those in charge of health and social protection. Further, institutional leadership needs to have not only a strategic but also a budgetary vision on how the PBS model is going to develop. A major consequence of these considerations is a considerate and prudent approach to reserve-building, which keeps the HEI out of troubled waters. As mentioned, there are two preconditions that should be fulfilled before a PBS approach is implemented on the institutional level. One concerns lump-sum budgets allowing for flexibility and reserve-building. The other one is that, ideally, HEIs should become the employers of academics and handle the consequences of salary and other budgetary decisions made on the institutional level. Box 51 shows some of the financial management implications and related conside- rations on the state and HEI level in the context of the introduction of the W salary scheme in Germany. Box 51 Financial management issues and the introduction of the W salary scheme in Germany As mentioned, the introduction of the W salary scheme in Germany in the early 2000s was influenced by three important framework conditions: (a) the German federal structure led to three determining levels of the new scheme (federal, state, and HEI); (b) the reform was not used to level the playing field and there were thus two new types of professors beyond the Junior Professor, namely, W2 and W3; and (c) performance in the more narrow sense was accompanied by two more types of “performance” as determined by federal legislation: interinstitutional functions (like rector, vice-rector, and dean) and salary increases in the context of call-related negotiations. While these aspects provided the frame for salary models, another important determining factor – besides principles and procedures determined at the institutional level – was the amount of funds to be distributed. The federal government via the framework legislation made sure that the reform was not used for savings, that is, decreases of the overall amount available for professors’ salaries at the state level, or that there would be “too much of a spread” (Witte, Schreiterer, and Müller-Böling 2004, 18) across states, though one could argue that such a spread was already a reality and was difficult to counteract with the means proposed by federal legislation. The average annual salary of professors in the State of Baden-Wurttemberg, for example, was 74,000 euro, compared to Sachsen Anhalt, with an average salary of 49,000 euro, according to initial calculations for 2001. The federal law stipulated that the distribution frame of a state would be determined in such a way that the average salary expenses for C2, C3, and C4 professors (that is, for professors remaining in the old system) and for W2 and W3 professors would correspond to the overall salary expenses for the respective group of indi- viduals in 2001. This means that the so-called distribution frame, that is, the amount available for performance-related expenses in the categories described above (A–C) equaled the delta between the average salary expenses in 2001 minus the actuals for the remaining C professors, and the basic salaries for the W professors in a given year as the following formula (for the example of 2003) showsa: 128 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Distribution frame =C–/ O(2001) x n(2003)–( å C and W basic salaries (2003)) Further, the federal legislation stipulated the following: • The salary average was established separately for universities and Fachhochschulen (UASs) for 2001 according to a standardized calculation that was applied to all states. • Entering the new system, states were allowed to raise the average salary once to the level of the highest-ranking state (Baden-Wurttemberg). • Afterward, states were allowed to exceed the established average salary annually by 2 percent up to a maximum of 10 percent. • In addition, the established average salary was subject to annual salary adjustments. Within this frame, there were now financial management questions to be answered on the state and institutional level, primarily related to the final amount available and to the distribution of these funds. State level: States had to decide if they want to make use of the opportunities regarding raising the average salary through the means listed above. This required close consultations, not only between Ministries of (Higher) Education and HEIs, but also between these players and Mini- stries of Finance. The questions of state- and institutional-level competitiveness and fiscal prudence were at the center of discussion. Another question was how the established average salary should be interpreted for HEIs, which did not have line-item budgets but lump-sum budgets. It soon became clear that more financial autonomy, also in the form of institutional lump-sum budgets, made working with the average salary easier. In these cases, the average salary could simply be used as a theoretical operand (parameter), while in the case of line-item budgets, the distribution frame could only be calculated ex post, since it actually depended on the retirement of C (and later W) professors. Concerning the distribution of funds available for the distribution frame for performance, states had to decide whether to allocate the actual delta that was theoretically available for every institution or whether they wanted to withhold some of the funds to support some redistribution. While it made perfect sense to disconnect funds available for performance-related pay from a historically grown (and thus to some extent arbitrary) age struc- ture, this, proved to be a consideration difficult to justify in practice, since universities would have considered that the state was ‘taking money back which actually belonged to them.’ Institutional level: Driven by considerations of university autonomy and subsidiarity, most states allowed for considerable scope so that univer- sities could not only determine criteria and procedures of performance pay, but also had flexibility concerning amounts, as long as institutions and states complied with the established average salary. Also, here, the situation was different for institutions with global or lump-sum budgets, which in principle were able to cross-subsidize with funds from other sources, and for institutions with line-item budgets. The introduction of the W salary scheme demanded considerable attention from the university administration (particularly heads of administration and budget personnel). While the overall discussion at institutions often focused on what is desirable in terms of performance pay, heads of administration had to translate this into “budgetary reality.” This meant careful consideration of future implications of budget models in terms of future salary increases, and so on. Especially “young” universities saw the need to transform these considerations into accruals and deferrals, which, sub- sequently, reinforced the need for global budgets at HEIs and showed how closely salary reforms are connected to other key reforms of higher education. Source: Authors based on Witte, Schreiterer, and Müller-Böling 2004. Note: a. https://www.che.de/downloads/Folien_DienstrechtsreformI_44.ppt. 4.7 Reform Process Toward New Models and Procedures A key learning from salary reforms in Europe is that it is difficult to get every- thing right on the first attempt. Often introduction of a new salary system also requires introduction of other changes in personnel management such as time management, performance reporting, and performance management, as well as potential organizational changes like establishment of salary/reward committees. In addition, it requires close coordination among social partners and considera- tion of legislative issues related to fair treatment, pensions, status of employees, and so forth. It is therefore crucial for governments and HEIs to allow for a learning and adjustment period and not to set everything immediately in stone. States and HEIs are well advised to revisit new models after a period of time (for example, REPORT 1: Academic Careers: Learning from Good International Practice | 129 three years or possibly the time span normally used for performance contracts) to reassess the new model and jointly reflect on the learning experience. However, in the same way that assessment demands an inclusive process, the initial model development should take experience in other systems into account and reflect on its importance in the national and institutional setting in a structured and inclusive manner. Policy makers and institutional leaders might want to keep in mind that salary reforms often cause concerns with potentially affected staff. Clarity, transparency, and frequent communication are thus essential for a successful process. An example for the process leading to the introduction of a PBS system at the University of Hannover can be found in Box 52. Finally, everyone involved needs to remember that salary reform is not an end in itself. Salary reforms need to be linked to wider and agreed system-level and institutional goals, otherwise change attempts are futile. A joint and agreed strategy thus provides the necessary starting point for related reforms. Box 52 How to develop a PBS model at an HEI? Procedural options at the University of Bremen and the University of Hannover When the W salary scheme was introduced in Germany in the early 2000s, universities were tasked with developing or refining aspects of their institutional salary models (within the respective frame provided by state legislation). It soon became clear that transparency had to be a key aspect, not only of the models themselves but also of the process leading to their development. As mentioned, the University of Bremen was an early mover and started developing its institutional model in 2002. It sought the expertise and support of the Center for Higher Education, a think tank that had already collected experience with the W salary scheme in terms of both policy questions and aspects of model development. The CHE had also collected and analyzed examples of performance-based salary models in other European and non-European countries (see Witte and Schreiterer 2004), and the University of Bremen was thus able to profit from experience beyond its immediate environment. To develop a PBS model for the university, including criteria for performance that would be rewarded under this scheme, the institution set up a working group consisting of 16 members plus the representative of the CHE. Besides members of the rectorate (rector, head of administration, vice rectors for research, teaching, and internationalization), the working group included deans and members of the academic senate. As Arnhold and Handel (2004, 176) highlight, the involvement of these actors led to a broad discussion on the topic within the institution and thereby paved the way for a later broad acceptance of the new salary model. Other universities went for different procedural options. The University of Hannover, for example, developed the model in a multistage process. There, the model development was initially the task of a small group coordinated by the Vice President for Administration and Finances. The group received advice from the Office of the Rectors Conference of the State of Lower Saxony (the state in which Hannover is located). The group deve- loped a model and procedure that was subsequently discussed by the Praesidium of the University and later passed by the Senate. As the examples show, German institutions chose different approaches; however, in all cases, successful model development was based on clear administrative procedures and constructive communication with the wider institutional public. Source: Authors based on Arnhold and Handel 2004. Also in this example, an inclusive but also “actionable” approach and clear com- munication, including via workshops, were essential for the later acceptance of the new PBS model. 130 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers 4.8 Key Learnings and Good Practice Criteria Regulation at the system level • C.1 – System level – The question as to how remuneration should be regulated at the system level and what should be regulated on the institutional level depends on the national setting (for example, the size of the system, the political structure, and the status of academics). It is advisable to regulate key questions like types of professorships and, possibly, basic principles of remuneration on the system level, while more detailed questions like procedures and institu- tion-internal responsibilities are delegated to HEIs in accordance with the prin- ciples of institutional autonomy and subsidiarity. • C.2 – System level – Unions can play an important role when questions like overall salary increases are addressed. Like with other stakeholders, it pays off to involve them early on in questions of future salary models. Concept and measurement of (good) performance • C.3 – System and institutional level – The concept of performance has to be open and reflect diversity, that is, it needs to be open to different kinds of academic performance (including, for example, artistic performance) and functions fulfilled in an academic context. • C.4 – System and institutional level – The concept of performance relates to different types of activities and functions: (a) what can be considered as perfor- mance in the narrower sense (related primarily to teaching and research), and (b) the takeover of certain functions or fulfillment of certain roles (like vice-rector or dean). Further, (c) performance-based remuneration systems tend to provide for a market allowance, awarded in the context of negotiation (which might not relate to performance in the narrower sense but is also covered by respective models). Along these lines, good PBS models take different performance cate- gories into account. • C.5 – System level – Countries need to have a clear approach to handling those three categories (that is, academic performance, takeover of functions and roles, and market allowance) – either as part of one PBS model or as three separate ones. As usual, the simpler, the better. • C.6 – System and institutional level – Diverse higher education systems need to mirror diversity in their approaches to performance and remuneration. Some HEIs that focus strongly on research are likely to reward related individual (or collective) performance through their PBS systems. Other countries and institutions might want to use the opportunities PBS provides to counteract undesirable tendencies (for example, the neglect of teaching and service). Further, PBS models can be combined with other instruments such as perfor- mance contracts. REPORT 1: Academic Careers: Learning from Good International Practice | 131 Aspects of model development – linking performance to models and procedures • C.7 – System and institutional level – PBS systems combine fixed salary compo- nents (ensuring academic freedom and providing stability) with performance rewards. The basic architecture needs to be anchored at the system level while HEIs form related models according to their strategic priorities. • C.8 – Institutional level – PBS systems reflect institutional strategies. While per- formance considerations generally derive from the key functions of academic staff (teaching, research and development, and service), the emphasis needs to be put across and within these categories in accordance with strategic institu- tional priorities. This has to translate into the definition of performance catego- ries and subsequent “criteria.” • C.9 – Institutional level – Further, PBS systems avoid crowding-out effects (that is, when intrinsic motivation is supplanted by extrinsic motivation) and support (or, at least, do not negatively impact) intrinsic motivation through the incentives they set. In particular, incentive systems should not be directly linked to (every) single activity, which would support the perception of the incentive as a control- ling intervention and thus endanger intrinsic motivation. However, rewarding single activities on a temporary basis that can be considered as “extra” rather than a “normal” part of academic work, is less likely to lead to crowding-out effects. Also, institutional models that accommodate different types of individual performance enhance motivation and avoid crowding-out effects. • C.10 – System and institutional level – Performance criteria, assessment, and the related award process need to be considered fair, transparent, and clearly structured. This also applies to the use of different instruments like bonuses and temporary and permanent allowances. • C.11 – (System and) institutional level – While PBS models are supposed to reflect institutional priorities, they should also be “actionable,” that is, their design and implementation should reflect constraints with regard to administra- tive processes and financial management. In practice, this favors more structu- red approaches (for example, multistage salary systems with a suitable number of level and descriptors). • C.12 – Institutional level – Decision-making processes related to the institutional framework for remuneration need to combine adequately top-down and bottom- up elements to mediate among interests and reach adequate decisions, while at the same time ensure efficiency. HEI leadership plays a key role in the deve- lopment and implementation of PBS models; however, deans are likely to fulfill routine functions like proposing staff members for awards or providing written statements for applications. Remuneration and financial management • C.13 – System and institutional level – Financial management considerations are an integral part of the development and implementation of PBS systems. These concern, among others, a clear understanding of the available funds, 132 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers the development of financial scenarios of how the PBS system (and related reserves) is likely to develop in future, and considerations regarding the pension implications of allowances. The development and implementation of PBS sys- tems furthermore requires managerial and administrative staff members with the right competencies. On the system level, financial management considera- tions need to involve the Ministry of Finance. Reform process toward new models and procedures • C.14 – System and institutional level – Model development, consultations, and subsequent model evaluations should guarantee a transparent and inclusive approach. Excellent communication on principles and procedures is key to the success and acceptance of the model. HEIs’ leadership needs to ensure that institutional stakeholders are appropriately involved and consulted. • C.15 – System and institutional level – Governments and HEIs need to allow for a learning and adjustment period; at a time of reform, not everything should immediately be set in stone. States and HEIs are well advised to revisit new models after a period of time (for example, three years or possibly the time-span normally used for performance contracts) to reassess the new model and jointly reflect on the learning experience. • C.16 – System and institutional level – A salary reform is not an end in itself. Salary reforms need to be linked to wider and agreed system-level and institu- tional goals, otherwise, change attempts are futile. A joint and agreed strategy thus provides the necessary starting point for related reforms. REPORT 1: Academic Careers: Learning from Good International Practice | 133 5 Outlook 5.1 Toward Strategic Human Resource Management HEIs across the world have witnessed significant shifts in HR management over the last 30 years. Personnel matters used to be perceived primarily as an administrative function consisting of providing legal and administrative sup- port and oversight (Guest and Clinton 2007). However, in the 1990s, there were already the first attempts to modernize “staffing” (as it was called) in higher edu- cation. Kogan, Moses, and El-Khawas (1994) — summarizing the results of a project under the OECD Programme on Institutional Management in Higher Education (IMHE) — highlight that HR policies should be aligned with strategic planning and the overall management of a HEI. First, institutions should have explicit HR plans that are linked to their institutional strategy. Second, institutions should develop integrated policies for the selection and development of staff. Third, also with a view to the stronger incentives for individuals to conduct research, there should be a clear decision on the division of labor. Fourth, institutions should clarify how resources (and time in particular) are allocated. Fifth, temporary and part- time staff should be accommodated better into an equitable and effective staffing structure. Sixth, institutions should consider possibilities to remove obstacles to effective HR policies (Kogan, Moses, and El-Khawas 1994, 121–122). Those recommendations can be considered as sound guiding principles for the revision of HR management in many higher education systems, in particular, in those where (“modern”) personnel management is still in its infancy. As a general trend, however, personnel administration in higher education has been evolving slowly toward a more strategic management of human resources during the last decades. Recent literature underlines the importance of an alignment of HR management with organizational strategies, and the importance of managing human resources as part of an integrated management approach and not as a separate process (see, for example, AON Hewitt 2012; Arslan, Akdemir and Karsli 2013; Mansour, Heath, and Brannan 2015; Guest and Clinton 2007; Hall 2009; Waring 2013). A suitable starting point for strategic HR management is to analyze and strengthen the alignment of national higher education policies, institutional strategies, and HR policies in everyday management practices related to HR tasks. In Box 53, a suitable framework for analyzing HR management is described. It can be used as a basis for developing strategic HR management practices in an HEI. 134 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Box 53 Human resource management in higher education institutions – A functional approach One way of analyzing the status of HR management in HEIs is a function-based approach (see Figure 17). That approach was proposed by an international research team as part of a EC-funded project on the development of HR management in European HEIs.a It assumes that higher education and academic work are anchored in governments’ higher education policies, which are reflected in institutional strategies. 1) Thus, HR strategies and planning need to be developed in that context and aligned with institutional strategies. Concerning HR strategies and their implementation, institutions need to take into account the following HR-related aspects: 2) Job demands: translating the strategic directions of the HEI into specific academic and administrative positions with certain qualifica- tion requirements; 3) Recruitment and selection: selecting transparently and in a fair manner the personnel that support the strategic aims and priorities of the HEI; 4) Performance evaluation: steering and rewarding the work that is aligned with the mission and vision of the HEI; 5) Training and development: supporting the skills and capacity-building relevant for the achievement of strategic aims; 6) Career progression: building attractive career trajectories to compete in international academic labor markets and to motivate staff, and ensuring the transparency of promotions; 7) Pay and benefits: creating a remuneration system that supports academic development, is fair, and supports the institutional goals; 8) HR analyzing and reporting: building a system that enables strategic decision making in HR matters and a follow-up of the HR strategy; 9) HR special issues: taking into account higher education-specific aspects of work such as national legislation on retirement, specificities of academic work, and academic freedom. 10) Information system and personnel administration: actively apply and use information systems in a way that is directly beneficial to functional areas of HR. Figure 17 A function-based approach to human resource management in higher education Source: Pausits and others 2017, 12. Note: a. http://hrminhei.azvo.hr/. REPORT 1: Academic Careers: Learning from Good International Practice | 135 5.2 Summary of Criteria Table 13 provides an overview on the criteria for good system- and institu- tion-level HR policies. Table 13 Overview of the criteria for good system- and institution-level human resource policies A. Early-stage researchers: doctoral candidates and postdoctoral fellows System-level A.1 The system-level framework for doctoral training finds an appropriate balance between System level framework regulation and flexibility. While regulations and quality criteria need to be applied rigorously and consistently, doctoral training also requires room to accommodate personalized paths, and room for a reasonable level of institutional and disciplinary differences. This necessitates a national consensus on the essence and standards of the doctorate developed jointly by all relevant stakeholders of the higher education system. A.2 The autonomy of HEIs in the field of doctoral training is complemented by mandatory System level internal accountability mechanisms and appropriate external quality assurance processes of research and doctoral education. This includes regulations on which HEIs have the right to confer the doctorate and the related requirements. The regulations need to reflect that original research is the core component of the doctorate and, therefore, stipulate that institutions provide a suitable research environment. A.3 Doctoral training needs to be incentivized financially to promote efficiency and quality.a System level A.4 Public funding for doctoral training is allocated in accordance with national needs System level and competencies required, while ensuring a diversity of doctorates. A.5 Research support programs designed and funded at the system level ensure that doctoral System level candidates are appropriately involved in research projects wherever possible and that suitable co-supervision agreements are in place. Anchoring the doctorate A.6 Admission, progression, and assessment of doctoral candidates are monitored Institutional level in the institution and supported. This includes published criteria and transparent processes for admission, an orientation and the provision of relevant information for newly recruited candidates, contractual agreements between doctoral candidates and supervisors with clear milestones (including any requirements for publications), sound assessment procedures based on clear and transparent criteria and processes, and the monitoring of the students’ progression and completion. A.7 The supervision of doctoral candidates is framed by appropriate institutional policies Institutional level and guidelines (among others, outlining the respective responsibilities and rights of supervisors and doctoral candidates), training and ongoing support for supervisors, and monitoring their performance. Co-supervision is encouraged and continuity of supervision is assured. A.8 HEIs provide a stimulating research environment for doctorates with a critical mass of Institutional level research-active staff; adequate learning and research tools; sufficient physical and financial resources; support for, among others, mobility and conference participation; and an overall environment supportive of research achievements. A.9 There is a policy outlining the balance between course work and research (thesis). Institutional level Such a policy reflects the competencies that a doctoral candidate is supposed to acquire. Courses include research methodology and scientific integrity, and professional competencies such as grant writing, and written and oral communication. A.10 An institution-wide policy and related procedures for establishing an examination Institutional level committee ensure objectivity and fairness. 136 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers A.11 Institutions provide doctoral candidates with a range of academic courses (for example, Institutional level subject-based courses, and courses on research methodology, teaching competencies, and scientific integrity), and soft-skills courses to prepare them for both their academic and nonacademic careers. Furthermore, HEIs provide career support and, where possible, teaching and research assistantships. Career support includes helping students, when appropriate, to find nonacademic jobs (including in the private sector). A.12 Open access to doctoral theses is promoted. Normally, all doctoral theses are available in open Institutional level access, except if there are reasons requiring an embargo for a designated period of time (such as copyright issues, and ethical sensitivities related to, for example, the protection of human subjects). A.13 Formal appeals and complaints mechanisms are available to all doctoral candidates. Institutional level The procedures are clear, fair, safe, comprehensive, and up to date, and are described in an easily accessible document. While respecting confidentiality and anonymity, the complaints and appeals that have been lodged are analyzed periodically to ensure that clusters of problems are addressed. A.14 The quality of all aspects of the doctorate is continuously monitored and assured. Institutional level Internal quality assurance mechanisms are adapted to the specificity of doctoral training and include feedback from doctoral candidates and their supervisors. A.15 Doctoral schools are a particularly effective way of institutionalizing doctoral training Institutional level and promoting its quality. HEIs that establish doctoral schools consider their number and their location within the institution to maximize benefits with respect to critical mass and interdisciplinarity. A.16 Doctoral-granting institutions have a clear mission for their doctoral schools Institutional level (with appropriate attention to disciplinary differences), and a comprehensive and explicit policy on the governance and organization of doctoral training that is published and easily accessible. Managing the doctorate A.17 Partnerships with national and international HEIs, research bodies, and the private sector Institutional level with partners (including industry) can improve the quality of doctoral training. To manage related risks, partnerships are framed by a strategic approach, appropriate governance arrangements, adequate policies and procedures, and a co-tutelle agreement. A.18 Stakeholder involvement in framing and evaluating the doctorate is important, Institutional level among others, because the majority of doctoral holders occupy positions outside academia. The postdoc A.19 The postdoc is framed by appropriate policies and guidelines covering, among others, Institutional level recruitment procedures and the objectives of appointments. The postdoctoral position is considered part of the academic career ladder, and the institution takes responsibility for related HR issues. A.20 Postdocs have access to career support to help them develop career objectives, whether Institutional level within or outside academia. B. Academic selection and promotion The status and role of B.1 System-level regulations are primarily applied to secure academic freedom and academic System level academics quality, and to promote transparency, including for national and international mobility. Defining the role, status, and tasks of academics is mainly an institutional responsibility. System-level policies support healthy competition among individuals, and avoid practices that lead to the marginalization of certain staff groups. B.2 The status and role of academics are considered thoroughly in institutions and are Institutional level reflected against the funding sources of academic work, the system-level policy and regulatory framework, international trends in academic work and careers, and the traditions of academic work and its values. Institutional managers are well-informed on the contractual arrangements (duration and type) and funding of their staff. B.3 Institutional policies aim for equal treatment of staff with project and budget funding, Institutional level and acknowledge the equal importance of research, teaching, and administrative tasks. REPORT 1: Academic Careers: Learning from Good International Practice | 137 General career patterns B.4 On the national level, there is a systematic approach to career stages that allows domestic System level and foreign academics, ministries, and other stakeholders to compare positions among countries and institutions. This framework is flexible enough to allow institutions to engage in strategic HR management. The system-level policy guarantees the mobility between academia and industry and among institutions, and supports attractiveness of careers. It also provides a solid legal framework for career structures such as tenure track or other systematic approaches to career development, and establishes clear entry and exit points for academic careers. B.5 System-level policies may provide resources to HEIs for strategic career initiatives, System level for example, with regard to young academics. B.6 Institutional career patterns are realistic for most of the staff members. They are aligned Institutional level with a systematic approach to career stages at the national level and they are internationally comparable. B.7 Institutional policies ensure transparency and clarity of career patterns and promotion Institutional level criteria, and maintain an appropriate balance among research, teaching, and administrative excellence. Candidates and employees of HEIs are aware of promotion criteria and career progression possibilities. Institutions communicate clearly the qualifications needed for different positions to their employees and persons seeking recruitment. B.8 Institutional policies link key aspects of academic career patterns (recruitment, promotion, Institutional level remuneration) so that these support the implementation of institutional and unit-level strategies. B.9 Data on all staff categories (including academic staff on part-time/ hourly contracts) Institutional level are gathered and analyzed to enable effective human resource development and strategic human resource management. B.10 Organizational structures and HR services support the career patterns within Institutional level an institution. HR policy is important for the development and implementation of strategies. In the context of academic careers, institutions: • Clearly define duties and responsibilities related to HR; • Ensure that sufficient resources are allocated for HR-related tasks; • Support a strategic role of the HR director; • Develop the competencies of HR professionals; • Assure the quality of HR policies and initiatives; • Set indicators for measuring HR success. Selection B.11 Recruitment plays a vital role in the strategic development of institutional profiles. System level and recruitment of Thus, the national framework steering the recruitment practices needs to allow for institutional academic staff development and differentiation. National policies primarily guarantee equal opportunity for, among others, different nationalities, genders, and minorities. B.12 The most important way of assuring the quality of recruitments is to ensure Institutional level the transparency and clarity of processes. That encompasses the clarity and transparency of job definitions, selection processes, and criteria; the provision of clear guidelines (and training) and definitions on the role of different actors involved in the decision-making process; a clear definition of entry points to academic careers; and a clear policy on equity issues/affirmative actions. Applicants are made aware of the practices. B.13 Institutions deliberately balance the selection criteria in the context of their mission, Institutional level acknowledging academic excellence (professional evaluation of teaching and research), organizational commitment, and fit (organizational recruitment). The institutions ensure that academic units have the capacity to select their workforce in a flexible, fair, and transparent manner, to meet the requirements of external funding and to support the overall aims of HR policies. 138 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers B.14 Positions are advertised sufficiently broadly (including, where suitable, Institutional level on the international level). Institutions use tools facilitating the systematic search for candidates, and, where appropriate, headhunting. The selection process is efficient, transparent, and not overly time-consuming. Transparency of the process also extends to the candidate, who is informed about key milestones of the process. There needs to be clarity on the tools used to evaluate the skills of candidates (for example, lectures, evaluations by students, and assessment centers). B.15 Selection processes go hand in hand with the clarity of roles (for example, of academic Institutional level selection committees, including possibly stakeholders from industry, academics from other faculties, and a representative from the institutional leadership). B.16 There is a system of checks and balances that ensures, among others, the strategic fit of Institutional level candidates for the position, and a balance between professional and organizational recruitment. Career advancement B.17 Promotion patterns are important instruments for steering academic work. Institutions Institutional level and promotion patterns have clear, transparent, and well-documented promotion patterns that are aligned with the institution’s mission and profile, and clearly distributed roles and responsibilities during the promotion processes. B.18 Promotion patterns take into account different aspects of academic work (research, Institutional level teaching, administration, and service). The merits in different academic tasks are defined in a transparent and understandable manner. To ensure the fairness and effectiveness of promotion patterns, they are repeatedly communicated to staff members. B.19 Career development and career advancement are part of institutional planning Institutional level and strategic management, and supported by modern HR instruments (for example, target agreements and skills development tools). In this, HEIs support academics in evaluating and developing their competencies required for conducting high-quality scientific work and for succeeding in their careers within their scientific community and within organizations in the higher education sector and beyond. International mobility B.20 International mobility is crucial, particularly for small higher education systems. System level in academic careers National policies support inward and outward mobility. Incoming mobility can be marketed and facilitated on the national level. With respect to outgoing mobility, the return of academics and related mechanisms are taken into account, in addition to the provision of grants for outward mobility. The system-level policies guarantee legal conditions conducive to the recruitment of foreign academics, and ensure the availability of information in English (or, potentially, another major European language) for international staff. Further relevant aspects include support for mobility, dual career services, English-speaking contact points in the administration, support on social security issues, and other aspects of mobility support. B.21 Internationalization is one way of improving the quality of academic work. However, Institutional level that impact cannot be taken for granted. It is important that institutions have defined the aims related to internationalization, planned and organized the career patterns, tasks, and overall working environment (including family life) in a way that a foreigner without local language skills can successfully work, and have organized sufficient support structures for incoming (and outgoing) staff. Alignment of elements B.22 To promote good academic work and careers, job descriptions and tasks, System level of human resource performance appraisal, career progression, reward systems and strategic objectives policies are aligned. B.22 To promote good academic work and careers, job descriptions and tasks, performance Institutional level appraisal, career progression, reward systems, and strategic objectives are aligned. B.23 All higher education policies take into account the HR policy aspect, not least because System level the implementation of all policies and outcomes will be ensured by, or will have an impact on, academics. REPORT 1: Academic Careers: Learning from Good International Practice | 139 C. Remuneration Regulation at C.1 The question as to how remuneration should be regulated at the system level and what System level the system level should be regulated on the institutional level depends on the national setting (for example, the size of the system, the political structure, and the status of academics). It is advisable to regulate key questions like types of professorships and, possibly, basic principles of remuneration on the system level, while more detailed questions like procedures and institution-internal responsibilities are delegated to HEIs in accordance with the principles of institutional autonomy and subsidiarity. C.2 Unions can play an important role when questions like overall salary increases are System level addressed. As with other stakeholders, it pays off to involve them early on in questions of future salary models. Concept C.3 The concept of performance has to be open and reflect diversity, that is, it needs to be open System level and measurement of to different kinds of academic performance (including, for example, artistic performance) (good) performance and functions fulfilled in an academic context. C.3 The concept of performance has to be open and reflect diversity, that is, it needs to be open Institutional level to different kinds of academic performance (including, for example, artistic performance) and functions fulfilled in an academic context. C.4 The concept of performance relates to different types of activities and functions: System level (a) what can be considered as performance in the narrower sense (related primarily to teaching and research), and (b) the takeover of certain functions or fulfillment of certain roles (like vice-rector or dean). Further, (c) performance-based remuneration systems tend to provide for a market allowance, awarded in the context of negotiation (which might not relate to performance in the narrower sense but is also covered by respective models). Along these lines, good PBS models take different performance categories into account. C.4 The concept of performance relates to different types of activities and functions: Institutional level (a) what can be considered as performance in the narrower sense (related primarily to teaching and research), and (b) the takeover of certain functions or fulfillment of certain roles (like vice-rector or dean). Further, (c) performance-based remuneration systems tend to provide for a market allowance, awarded in the context of negotiation (which might not relate to performance in the narrower sense but is also covered by respective models). Along these lines, good PBS models take different performance categories into account. C.5 Countries need to have a clear approach to handling those three categories System level (that is, academic performance, takeover of functions and roles, and market allowance) – either as part of one PBS model or as three separate ones. As usual, the simpler, the better. C.6 Diverse higher education systems need to mirror diversity in their approaches to System level performance and remuneration. Some HEIs that focus strongly on research are likely to reward related individual (or collective) performance through their PBS systems. Other countries and institutions might want to use the opportunities PBS provides to counteract undesirable tendencies (for example, the neglect of teaching and service). Further, PBS models can be combined with other instruments such as performance contracts. C.6 Diverse higher education systems need to mirror diversity in their approaches to Institutional level performance and remuneration. Some HEIs that focus strongly on research are likely to reward related individual (or collective) performance through their PBS systems. Other countries and institutions might want to use the opportunities PBS provides to counteract undesirable tendencies (for example, the neglect of teaching and service). Further, PBS models can be combined with other instruments such as performance contracts. 140 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Aspects of model C.7 PBS systems combine fixed salary components (ensuring academic freedom and providing System level development – linking stability) with performance rewards. The basic architecture needs to be anchored at the system performance to models level while HEIs form related models according to their strategic priorities. and procedures C.7 PBS systems combine fixed salary components (ensuring academic freedom and providing Institutional level stability) with performance rewards. The basic architecture needs to be anchored at the system level while HEIs form related models according to their strategic priorities. C.8 PBS systems reflect institutional strategies. While performance considerations generally Institutional level derive from the key functions of academic staff (teaching, research and development, and service), the emphasis needs to be put across and within these categories in accordance with strategic institutional priorities. This has to translate into the definition of performance categories and subsequent “criteria.” C.9 Further, PBS systems avoid crowding-out effects (that is, when intrinsic motivation is supplanted Institutional level by extrinsic motivation) and support (or, at least, do not negatively impact) intrinsic motivation through the incentives they set. In particular, incentive systems should not be directly linked to (every) single activity, which would support the perception of the incentive as a controlling intervention and thus endanger intrinsic motivation. However, rewarding single activities on a temporary basis that can be considered as “extra” rather than a “normal” part of academic work, is less likely to lead to crowding-out effects. Also, institutional models that accommodate different types of individual performance enhance motivation and avoid crowding-out effects. C.10 Performance criteria, assessment and the related award process need to be considered System level fair, transparent and clearly structured. This also applies to the use of different instruments like bonuses and temporary and permanent allowances. C.10 Performance criteria, assessment, and the related award process need to be considered Institutional level fair, transparent, and clearly structured. This also applies to the use of different instruments like bonuses and temporary and permanent allowances. C.11 While PBS models are supposed to reflect institutional priorities, they should also be Institutional level “actionable,” that is, their design and implementation should reflect constraints with regard to administrative processes and financial management. In practice, this favors more structured approaches (for example, multistage salary systems with a suitable number of levels and descriptors). C.12 Decision-making processes related to the institutional framework for remuneration Institutional level need to combine adequately top-down and bottom-up elements to mediate among interests and reach adequate decisions, while at the same time ensuring efficiency. HEI leadership plays a key role in the development and implementation of PBS models; however, deans are likely to fulfill routine functions like proposing staff members for awards or providing written statements for applications. Remuneration C.13 Financial management considerations are an integral part of the development System level and financial and implementation of PBS systems. This concerns, among others, a clear understanding of management the available funds, the development of financial scenarios of how the PBS system (and related reserves) is likely to develop in future, and considerations regarding the pension implications of allowances. The development and implementation of PBS systems furthermore requires managerial and administrative staff members with the right competencies. On the system level, financial management considerations need to involve the Ministry of Finance. C.13 Financial management considerations are an integral part of the development Institutional level and implementation of PBS systems. This concerns, among others, a clear understanding of the available funds, the development of financial scenarios of how the PBS system (and related reserves) is likely to develop in future, and considerations regarding the pension implications of allowances. The development and implementation of PBS systems furthermore requires managerial and administrative staff members with the right competencies. On the system level, financial management considerations need to involve the Ministry of Finance. `-vis an increase in effectiveness and efficiency, have been the subject of earlier Note: a. Questions of how to provide financial incentives to HEIs, also vis-a World Bank advisory work in Latvia. REPORT 1: Academic Careers: Learning from Good International Practice | 141 Annex 1 The “Supervisory Agreement and Study Plan for Doctoral Studies” of Finland’s University of Tampere School of Management SUPERVISORY AGREEMENT AND STUDY PLAN FOR DOCTORAL STUDIES The purpose of this agreement is to record the content and timetable of each indi- vidual student’s doctoral project and to agree the responsibilities and duties of the student (supervisee) and the supervisor(s). Both the supervisee and supervisor(s) get a copy of the agreement after which it will be archived. The agreement will be mutually revised at least once a year and the revised versions are stored. 1. STUDENT’S BASIC INFORMATION Name Student number Street address Mailing address Telephone E-mail Main subject and doctoral program Target degree Admission to doctoral studies granted (date) 2. THE DISSERTATION Preliminary title and a short description (if needed) Dissertation format * Monograph * Article-based dissertation * To be decided Dissertation language * Finnish * English * Swedish * Other language, what? 142 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers 3. RESOURCES Studying is * Full-time * Part-time Funding of studies * Funding is secured at least for some time. Specify time and source of funding. * No funding is secured, but intending to apply. Specify source. * No external funding will be applied. Short description of the funding of studies: 4. TIMETABLE The purpose of the timetable below is to help the supervisee and the supervisor(s) to concretely perceive the progress and structure of the degree and its main objectives and to support systematic guidance and supervision. The timetable can also be used to help to identify student’s existing researcher and working life skills and to help career planning (to answer to the question: Why do I conduct re- search?). Please, use your doctoral program curriculum as a reference. Degree timetable and objectives Orientation to postgraduate studies (5 ECTS) Orientation studies may comprise teaching offered by the School of Management or other studies orientation postgraduates to research work Year of realization as agreed upon with the supervisor. To add more columns please press button tabulator Methodological studies (15 ECTS) Methodology studies may include studies arranged by the School of Management, the graduate schools or other studies as agreed Year of realization with the supervisor. REPORT 1: Academic Careers: Learning from Good International Practice | 143 Studies supporting the development of the postgraduate student’s scientific professionalism (30 ECTS) Content studies comprise postgraduate studies, studies at graduate schools and possibly advanced studies or subsidiary studies in subjects which support Year of realization the individual’s major subject. Research seminar for postgraduate studies (10 ECTS) Postgraduate students will be required to participate actively Year of realization in the postgraduate seminars of their own subjects and/or graduate schools. The doctoral dissertation (180 ECTS) / Licentiate’s thesis (90 ECTS) Dissertation, studies within the discipline, other studies, studies abroad, Year of realization publications, etc. 5. SUPERVISION Supervisor(s) 1st Supervisor Name Title Discipline Contact information Percentage (%) of supervision 144 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers 2nd Supervisor Name Title Discipline Contact information Percentage (%) of supervision Meetings between supervisee and supervisor Frequency of joint supervising meetings Joint meetings times per year Main means of contacting Revision and updating the plan Time(s) per year Supervisee and supervisor’s responsibilities and duties are in Appendix 1. Revisions to this agreement are to be made in co-operation between the super- visee and the supervisor(s). Possible disagreements are first solved through mutual conversation, second in the doctoral education committee or in some body appointed by the School in question. Date / / Signature of the supervisee Signature of the 1st supervisor Signature of the 2nd supervisor REPORT 1: Academic Careers: Learning from Good International Practice | 145 Appendix 1 Supervisee and supervisor responsibilities and duties The supervisee commits: •To keeping to the agreed working timetable and to informing the supervisor about things that may affect the progress of the work. •To sending the supervisor agreed parts of the manuscript to be commented in due time before agreed meetings. •To bringing in the meetings all potential questions and possible worries concer- ning the work. •To taking notice of the supervisors’ comments on the doctoral work. •To following the rules of good scientific practice in the supervisory relationship and in conducting research and to discussing these with the supervisor if needed. •To discussing possible research funding and career opportunities with the supervisor. The supervisor commits: •To keeping to the agreed working timetable and to informing the supervisee about things that may affect supervising. If the supervisor cannot take care of his/her supervisory duty, (s)he tries to find a new supervisor. •To reading beforehand the texts delivered for supervisory meetings. •To bringing in the meeting’s agenda questions and possible worries concerning the work. •To complying with the rules of good scientific practice in the supervisory rela- tionship and to discussing issues with the supervisee. •To discussing possible research funding and career opportunities with the supervisee. •To forming a mutual agreement on the principles of joint publications well in advance. 146 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Annex 2 The “Agreement on Joint Doctoral Studies and Supervision (Cotutelle)” of the University of Tampere Agreement on Joint Doctoral Studies and Supervision (Cotutelle) between the University of Tampere, hereafter referred to as UTA, represented by , Dean of the School/Faculty of , and the , hereafter referred to as , represented by , , <name of the faculty/school> concerning <name of the doctoral student (date of birth)> (If there is a framework agreement or a joint doctoral program between the univer- sities, please specify the cooperation arrangement here: This agreement is based on an agreement on <cooperation/joint doctoral program> signed by the concer- ned Universities in <place> on <date>.) Preamble This agreement on joint doctoral studies and supervision refers to an arrangement where the doctoral student pursues a doctoral degree at the two concerned universities, satisfying each institution’s admission and degree requirements, and leading to one doctoral thesis with a thesis supervisor at each institution. The doctoral student will receive a degree from both universities, with a notation on the degree certificate stating that the degree was obtained under a joint docto- ral studies and supervision (cotutelle) agreement leading to two doctoral degrees from the respective universities. This agreement is subject to the following regulations: Universities Act 558/2009; Government Decree on University Degrees 794/2004; University of Tampere’s Regulations on Degrees, 1 August 2015; University of Tampere’s Regulations on the Assessment of Studies, 1 August 2015; The School/Faculty of …s at the University of Tampere: Regulations on post- graduate/doctoral degrees. 47The term “university” denotes any institution of higher education which has the power to award doctoral degrees according to current national legislation. REPORT 1: Academic Careers: Learning from Good International Practice | 147 The aims, organizing and good practices of doctoral training at the University of Tampere (Rector’s decision D/1461/401.03/2015). … Article 1 – Purpose This agreement covers the terms according to which the doctoral student <name> will be granted the degrees and diplomas in the area of <field of study/working title of thesis>. A research plan is presented in Annex 1. Article 2 – Co-supervisors and supervisory arrangements At UTA, the doctoral student is supervised by <title> <name of supervisor>, <academic unit>. At the University of <name of university>, the student is super- vised by <title> <name of supervisor>, <academic unit>. The division of labor and responsibilities of each supervisor agreed between the supervisors and preferably specified in the study and supervisory plan (Annex 2). In case there is a need to find a replacement for the supervisor, the academic unit of each university is responsible for finding a replacement in consultation with the doctoral student. Article 3 – Admission to studies leading to a doctoral degree, fees and yearly enrolment A prerequisite for a cotutelle arrangement is that the doctoral student has been granted admission to a doctoral program at both universities, according to the admission criteria at each university. The doctoral student is registered at both universities and completes the yearly enrolment according to the regulations of each university. At the University of Tampere, no fees can be charged for studies leading to a doctoral degree according to Universities Act 558/2009. However, the partner university may charge fees for the studies and supervision given for their part in the cotutelle arrangement. The financial arrangement for fees will be as follows: Article 4 – Insurance The doctoral student is obliged to have sufficient insurance coverage required by the relevant national legislation of either country. The responsibility of being properly insured is with the doctoral student. Insurance packages for internatio- nal students, including doctoral students, coming to Finland have been collec- tively negotiated by higher education institutions in Finland with MARSH/SIP com- pany. 148 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Article 5 – Duration of the doctoral studies (distribution of time between the universities) The doctoral degree consists of 240 ECTS corresponding to four years of full-time study. Therefore, the public oral defense is expected to take place during the aca- demic year [Please specify academic year]. A detailed plan for the doctoral studies is included in the personal study and supervisory plan of the doctoral student. The personal study and supervisory plan is to be updated on a regular basis, at least every academic year. The distribution of time spent at each university has been agreed by the two supervisors as follows: dd/mm/yyy to dd/mm/yyy to be carried out in <name of the appropriate university> dd/mm/yyy to dd/mm/yyy to be carried out in <name of the appropriate university> (etc.) Article 6 – Content of the doctoral studies, grading and assessment The doctoral student must meet the doctoral degree requirements in force at both universities (Annex 3). Details of the content of the doctoral studies are agreed between the supervisors and the doctoral student and are specified in the study and supervisory plan of the doctoral student in Annex 2. The doctoral student’s academic performance is assessed according to the assessment criteria and regulations of the university responsible for the course or the part of the programme to be assessed. Grading criteria shall be communi- cated to the doctoral student at the beginning of their studies. Article 7 – Doctoral thesis The language in which the doctoral thesis and its summary are written must take into account the requirements of the degree-awarding universities. The doctoral students’ doctoral thesis will be written in [Please specify language] and will con- sist of [Please specify: an abstract in [please specify language], monograph, pub- lications, manuscripts, a written summary in [please specify language]…]. [Please also specify, for example, in the case of an article-based thesis, how many articles are requested, when the articles need to be published, can the articles be confe- rence publications, if the doctoral student must be the first author, etc.] At UTA, open access and data policy must be followed. The modalities of deposit and reproduction of the thesis are governed by the regulations in force in both universities. Article 8 – Doctoral thesis pre-examination and public defense If the requirements for a doctoral thesis are very similar at both universities, the doctoral student can submit his/her thesis and undergo oral defense either at both universities or at one university to be specified in this agreement. REPORT 1: Academic Careers: Learning from Good International Practice | 149 The pre-examination, granting the permission to defend the thesis as well as the public defence will comprise a combination of processes satisfying regulations and practices of both institutions. The following must be determined in writing at the outset: Format of defence (whether oral defence is required, number and role of opponents and custos) The division of costs of the public defense Place of the defense Pre-examination Assessment Article 9 – Graduation and awarding the doctoral degree After completing successfully the requirements for the doctoral degree in confor- mity with the regulations in force within each university, the universities agree to award the following degrees to the doctoral student: the <name of University>: the degree of <name of degree> and the <name of University>: the degree of <name of degree> The student will be awarded a certificate/diploma for both degrees from both universities. (Where appropriate it may carry the seal/stamp and representative signatures of both universities.) The text of the degree certificate must specify that the supervision of the thesis has been jointly conducted at the two universities. The decision to award the degree by one of the universities is not binding upon the other. Article 10 – Intellectual property rights The cotutelle doctoral student owns the copyright to his/her thesis. Concerning potential patentable inventions or using the joint ownership generated as a result of this agreement, arrangements to safeguard and divide any intellec- tual property must be determined in writing at the outset and will be as follows: – for example, affiliation of articles, patents, and inventions Article 11 – Settlement of disputes and applicable law This agreement shall be construed in accordance with and governed by the laws of Finland excluding its conflict of law provisions. The universities shall endeavor to settle their disputes amicably through nego- tiations within a reasonable period of time not to exceed thirty (30) days after the date of a notice from either university to the other describing such claim or controversy. If the universities fail to reach agreement, the matter shall be for- warded to Pirkanmaa District Court for resolution. 150 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Nothing in this Agreement shall be deemed to require the university to breach any mandatory statutory law under which the university is operating. Article 12 – Entry into effect and termination The present agreement will take effect upon signature by the representatives of the two universities and by the doctoral student. It will be valid until the comple- tion of the doctoral studies and thesis according to the personal study and super- visory plan. This agreement can be terminated should the student renounce writing the joint thesis. Should the supervisors jointly decide not to allow the student to continue writing the thesis because of inadequate academic progress (about which the student should have been be given suitable warning), the matter must be brought to the attention and consideration of the doctoral education committee. After hearing the doctoral student and the supervisors, the committee will give recom- mendations for further actions and a statement whether the agreement can be fulfilled. This agreement can also be terminated by the mutual consent of all parties. In case a university/doctoral student fundamentally violates the terms of this agreement, the other university/doctoral student shall be entitled to terminate the agreement by a written notice. Before termination of the agreement is con- templated, there must be consultation between the universities and the doctoral student. This agreement is drawn up in [specify number] original copies in English. Article 13 – Signatures For the University of Tampere: For [university 2]: Title: Title: Name: Name: Position: Dean of the School/Faculty Position: Signature: Signature: Date: Date: Co-supervisors of the doctoral student Title: Title: Name: Name: Signature: Signature: Date: Date: The doctoral student Title: Name: Signature: Date: REPORT 1: Academic Careers: Learning from Good International Practice | 151 References A3ES. 2012. “Criteria for the Accreditation of Study Programmes: Supervisory Culture.” EUA-CDE Doctoral Education Bulletin Qualifications of Teaching Staff.” Agency for Assessment and Spring. European University Association, Brussels. Accreditation of Higher Education, Lisbon. Bright, D., and B. Williamson. 1995. “Managing and Rewarding Aarna, O. 2017. “Academic Career Model at Tallinn University of Performance.” In Human Resource Management in Higher and Technology (TUT). ” http://www.rise-jo.eu/ Further Education, edited by D. Warner and E. Crosthwaite. download.php?file=1491991045.pdf&type=application/pdf. London: Open University Press. Aarrevaara, T., and P. Hölttä. 2007. Massification, Steering-by- Bryne, J., T. Jorgensen, / and T. Loukkola. 2013. Quality Assurance Results and New Division of Labor. In The Changing Conditions in Doctoral Education — Results of the ARDE Project. Brussels: for Academic Work and Careers in Select Countries, edited by European University Association. William Locke and Ulrich Teichler. Kassel: International Center http://www.eua.be/Libraries/publications-homepage-list/ for Higher education Research Kassel. EUA_ARDE_Publication.pdf?sfvrsn=4. Abbot, A. 1988. The System of Professions. An Essay on the Divi- ` se.” Paris: Campus France. n.d. “Les cotutelles internationales de the sion of Expert Labor. Chicago: The University of Chicago Press. Campus France. http://ressources.campusfrance.org/catalogues_recherche/ American Association of University Professors. 1940. “Statement of diplomes/fr/cotutelle_fr.pdf. Principles on Academic Freedom and Tenure.” American Asso- ciation of University Professors, Washington, DC. CRAC (Careers Research and Advisory Centre). 2016. Provision of Professional Doctorates in English HE Institutions. Report for AON Hewitt. 2012. 2012 Higher Education Survey: The state of Higher Education Funding Council for England by the Careers HR effectiveness. AON Hewitt. Research and Advisory Centre. Higher Education Funding https://thinkmissionexcellence.maine.edu/wp-content/uploads/ Council, Cambridge. 2013/06/2012_AHHigherEd_Survey_HRe.pdf. Davidova, S. 2010. “Level and requirements for a PhD thesis.” Arnhold, N. 2006. “The Academic Profession in Germany: Some EUA-CDE New, May (8). Remarks about the Employment Conditions of Professors in the Context of the Dienstrechtsreform.” In Cross-national Attraction de Wit, H. 2010. Internationalisation of Higher Education in Europe in Education. Accounts from England and Germany, edited by and its assessment, trends and issues. The Hague: Accredita- H. Ertl. Oxford: Symposium Books, pp. 169–181. tion Organisation of the Netherlands and Flanders. http://www.cinda.cl/wp-content/uploads/2014/09/ Arnhold, N., and K. Handel 2004. “Modellentwichlung für die De-Wit-Internationalisation-of-Higher-Education-in-Europe.pdf. W-Besoldung am Beispiel der Universität Bremen.” In Leistung- sorientierte Professorenbesoldung. Grundlagen — Weichen- de Wit, H., F. Hunter, L. Howard, and E. Egron-Polak. 2015. Interna- stellungen — Optionen, edited by D. Müller-Böling. Gütersloh: tionalisation of Higher Education. Study. Brussels: European Verlag Bertelsmann Stiftung. Union. Arnhold, N., and U. Schreiter. 2004. “Entscheidungsoptionen Denicolo, P. 2017. “Team Supervision — Characteristics of good für die Hochschulen bei der Umsetzung des Professorenbesol- practice.” EUA-CDE Doctoral Education Bulletin Spring. Euro- dungsreformgesetzes.” In Leistungsorientierte Professorenbe- pean University Association, Brussels. soldung. Grundlagen — Weichenstellungen — Optionen, edited by D. Müller-Böling. Gütersloh: Verlag Bertelsmann Stiftung. Dowds, N. 2010. “International Experiences of Human Resource Management in Higher Education. A Report to Higher Education Barfoed, M. G. 2013. “Doctoral admissions at the Technical Univer- Funding Council for England.” sity of Denmark.” EUA-CDE Bulletin Autumn (2). http://www.hefce.ac.uk/media/hefce/content/pubs/2010/ rd0110/rd01_10.pdf BMBF (Bundesministerium für Bildung und Forschung). 2002. Hochschulrahmengesetz (HRG). EC (European Commission). 2005. “The European Charter for Researchers — The Code of Conduct for the Recruitment of Borrell-Damian, L., R. Morais, and J. H. Smith. 2015. Collaborative Researchers.” Doctoral Education in Europe: Research Partnerships and https://euraxess.ec.europa.eu/sites/default/files/ Employability for Researchers — Report on DOC-CAREERS II am509774cee_en_e4.pdf. Project. Brussels: European University Association. http://www.eua.be/activities-services/publications/ ECU (Edith Cowan University). 2013. “Higher Degree Research eua-reports-studies-and-occasional-papers.aspx. Training Excellence: A Good Practice Framework.” Edith Cowan University, Australia. Braidt, A. B. 2016. “Re-positioning doctoral studies in Austria.” EUA-CDE Doctoral Education Bulletin Spring. European Univer- Enders, J. 2006. “The Academic Profession.” In International Hand- sity Association, Brussels. book of Higher Education, edited by J. F. Forest James and Phillip G. Altbach. Dordrecht: Springer, pp. 5–21. Brante T. 2010. State Formation and the Historical Take-off of Con- tinental Professional Types: the Case of Sweden. Teoksessa ESF (European Science Foundation). 2015. “Career Tracking of Svensson Lennart ja Evetts Julia (toim.). Sociology of profes- Doctorate Holders. Pilot Project.” European Science Founda- sions: Continental and Anglo-Saxon traditions. Göteborg: tion, Strasbourg. Bokförlaget Daidalos. http://www.esf.org/fileadmin/user_upload/esf/ Career_Tracking_Pilot_Report_2015-05-28.pdf. Brennan, John. 2008. “The Academic Profession and Increasing Expectations of Relevance.” In Key Challenges to the Academic EUA (European University Association). 2005. Bologna Seminar on Profession, edited by M. Kogan and U. Teichler. Paris and “Doctoral Programmes for the European Knowledge Society: Kassel: UNESCO Forum on Higher Education Research and Conclusions and Recommendations,” Salzburg, February 3–5. Knowledge and International Center for Higher Education http://www.eua.be/Libraries/newsletter/ Research Kassel, pp. 19–28. Salzburg_Conclusions.pdf?sfvrsn=0. Brentel, H. 2017. “Success and Challenge of Doctoral Supervisor EUA (European University Association). 2007. Doctoral Program- Training: Developing an Outermost Productive and Supportive mes in Europe’s Universities: Achievements and Challenges. 152 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Report prepared for European Universities and Ministers of Jaudzims, A. 2004. “Ein Stufenmodell zur Professorenbesoldung Higher Education. Brussels: European University Association. an Fachhochschulen: Das Beispiel der Fachhochschule Hanno- ver.” In Leistungsorientierte Professorenbesoldung. Grundlagen EUA (European University Association). 2010. Salzburg II Recom- — Weichenstellungen — Optionen, edited by D. Müller-Böling. mendations. Brussels: European University Association. Gütersloh: Verlag Bertelsmann Stiftung. http://www.eua.be/Libraries/publications-homepage-list/ Salzburg_II_Recommendations. Jorgensen, / T. E. 2014. “Doctoral education in the European Re- search Area — Results for the EUA survey.” EUA-CDE Bulletin EUA (European University Association). 2015. Principles and Practi- Spring. ces for International Doctoral Education. Brussels: European University Association. Kezar, Adrianna. 2012. “Needed policies, practices and values. Creating a culture to support and professionalize non-tenure European Commission. 2011. Towards a European Framework for track faculty.” In Embracing non-tenure track faculty. Changing Research Careers. Brussels: European Commission. campuses for the new faculty majority, edited by Kezar Andrian- na. New York and London: Routledge, pp. 2–28. Eurydice. 2017. Modernisation of Higher Education: Academic Staff. Brussels: European Commission. Kivistö, J. 2017. “Academic Careers in Finland.” Presentation at the Workshop on “Focus on Performance: Institutional Financing Evans, A., and E. Chun. 2012. ”Strategic Human Resources and Academic Careers,” in Riga, Latvia, June 14. in Higher Education.” [Wiley Online Library] Kivistö, J., and E. Pekkola. 2017. Quality of Administration in Higher Evetts, J. 2013. “Professionalism: Value and ideology.” Current So- Education Institutions. Stocholm: Sveriges universitets- och ciology 61 (5–6) (September): 778–796. högskoleförbund (SUHF). Flottum, / K. 2009. “Internationalisation — more than a buzzword at Kivistö, J., E. Pekkola, and T. Siekkinen. 2017. “Latest reforms in Fin- the University of Bergen.” EUA-CDE News (3) (March). nish doctoral education in light of recent European develop- Frankenberg, P. 1999. “Überlegungen zur Reform des Dienstrechts ments.” European Journal of Higher Education 7 (3): 291–308. und der Vergütungsstrukturen aus der Sicht der Hochschul- Kogan, M., and U. Teichler. 2007. “Key Challenges to the Academic rektorenkonferenz.” In Leistungsorientierte Professorenbesol- Profession and its Interface with Management: Some Introduc- dung. Grundlagen — Weichenstellungen — Optionen, edited by tory Thoughts.” In Key Challenges to the Academic Profession, D. Müller-Böling. Gütersloh: Verlag Bertelsmann Stiftung. edited by M. Kogan and U. Teichler. Kassel: Verlag Jenior, Fuller, M. 2016. “How to set up a doctoral school. Doctoral Edu- pp. 9–15. cation: A Dilemma of Quality and Quantity.” Presented at the Kogan, M., I. Moses, and E. El-Khawas. 1994. Staffing Higher EUA-CDE 9th Annual meeting, Tarragona 16 June 2016. Education. Meeting new challenges. London: Jessica Kingsley Gibbons, Michael, Camille Limoges, Helga Nowotny, Simon Publishers. Schwartzman, Peter Scott, and Martin Trow. 1994. The New KTH. 2014. “Regulations and guidelines for salary level setting at Production of Knowledge: The Dynamics of Science and Re- KTH.” https://intra.kth.se/polopoly_fs/1.737185!/ search in Contemporary Societies. Sage: Los Angeles. KTH%20Regulations%20and%20guidelines%20for%20salary Gläser, J., and G. Laudel. 2015. The Three Careers of an Academic. %20level%20setting%20at%20KTH.pdf. Berlin: Zentrum Technik und Gesellschaft. Kuoppala K., and E. Pekkola. 2015. Yliopistojen henkilöstöpolitiikka Gröckel, U., A. Schönberg, and B. Walther. 2015. “Abgestimmte uuden yliopistolain aikana, edited by K. Teoksessa Kuoppala, Kompetenzentwicklung auf der Ebene der Lehrbeauftragten. E. Pekkola, J. Kivistö, T. Siekkinen, and S. Hölttä. Tietoyhtei- Organisatorische und didaktische Einbindung der Lehrbeauf- skunnan työläinen: suomalaisen akateemisen projektitutkijan tragten in den dualen Studienprozess, dargestellt am Beispiel työ- ja toimintaympäristö. Tampere: Tampere University Press, der Berufsakademie Sachsen.” 279–329. http://www.stifterverband.de/pdf/hds-sachsen- LERU (League of European Research Universities). 2010. Harvest- lehrbeauftragte.pdf. ing Talent: Strengthening Research Careers in Europe. Belgium: Guest, D. E., and M. Clinton. 2007. Human resource management League of European Research Universities. and university performance: Report in the Research and Deve- LERU (League of European Research Universities). 2014. Good Prac- lopment series. London: Leadership Foundation for Higher tice Elements in Doctoral Training. Belgium: League of European Education. Research Universities. Hall, A. 2009. Getting to grips with human resource management: LERU (League of European Research Universities). 2016. “Maintaining Resources for governors of UK universities and HE colleges. a quality culture in doctoral education at research-intensive univer- London: Leadership Foundation for Higher Education. sities.” League of European Research Universities Advice Paper N°19, March. Heneman, R. L. 2007. “Implementing Total Rewards Strategies. A Guide to Successfully Planning and Implementing a Total Maltauro, F. 2016. “Workshop report, 9th EUA-CDE Thematic Work- Rewards System.” SHRM Foundation, Alexandria, Virginia, shop ‘Doctoral Supervision — Practices and Responsibilities.’” United States. EUA-CDE Doctoral Education Bulletin Spring. Brussels: Euro- pean University Association. Hoffman, D., T. B. Sama, A. El-Massri, M. Raunio, and M. Korhonen. 2013. “The Best Science, The Best Science in Finnish — and Mansour, H. F., G. Heath, and M. J. Brannan. 2015. “Exploring the English — or The Best Finnish Scientists?.” Recherches en Edu- role of HR practitioners in pursuit of organizational effec- cation (Research in Education) (16): 48–62. tiveness in higher education institutions.” Journal of Change http://www.recherches-en-education.net/IMG/pdf/ Management 15 (3): 210–230. REE-no16.pdf. doi:10.1080/14697017.2015.1045539. Humphrey, R. 2010. “The thesis in the social sciences.” EUA-CDE McFarlane, B. 2011. ”The Morphing of Academic Practice: Unbund- News May (8). ling and the Rise of the Para-academic.” Higher Education Quarterly 65 (1): 59–73. IAU (International Association of Universities). 2014. “Internatio- nalization of Higher Education: Growing Expectations, Funda- Meyer-Guckel, V., S. Nickel, V. Püttmann, and A.-K. Schröder- mental Values.” IAU 4th Global Survey, by E. Egron-Polak and Kralemann, eds. 2015. Qualitätsentwicklung im dualen Studium. R. Hudson. International Association of Universities, Paris. Ein Handbuch für die Praxis. Essen: Edition Stifterverband. REPORT 1: Academic Careers: Learning from Good International Practice | 153 Mugabi, H., K. Laine, E. Pekkola, J. Kivistö, and J. Stenvall. 2017 QAA Scotland. 2017b. Building a Research Community — Examples (in review). ”HRM in Higher education. From tasks to roles?” of Policy and Practice. The Quality Assurance Agency for Scot- land, Glasgow, Scotland, UK. Müller-Böling, D., N. Arnhold, and M. Langer. 2004. “Reform der http://www.enhancementthemes.ac.uk/focus-on/ Professorenbesoldung in Deutschland.” In Personalentwicklung the-postgraduate-research-student-experience. und universitärer Wandel. Programm — Aufgaben — Gestaltung, edited by S. Laske, T. Scheytt, and C. Meister-Scheytt. QAA Scotland. 2017c. Building a Research Community — Students München and Mering: Rainer Hampp Verlag, pp. 231–251. and Staff Views. The Quality Assurance Agency for Scotland, Glasgow, Scotland, UK. NAIRTL (National Academy for Integration of Research, Teaching http://www.enhancementthemes.ac.uk/focus-on/ and Learning). 2012. Developing an Institutional Framework for the-postgraduate-research-student-experience. Supporting Supervisors of Research students: A Practical Guide. National Academy for Integration of Research, Teaching Reisz, M. 2017. “The Australian Approach to Improving Ph.D. Com- and Learning, Dublin. pletion Rates.” For Time Higher Education, published in Inside Higher Ed, April 13. Nicolau i Vila, M. 2010. “Designing and Implementing Multidiscipli- nary Doctoral Studies at the University of Andorra.” EUA-CDE Ritter, M. 2017. “Open Science and EU Research.” Presentation News March (7). in Brussels, Belgium, March 9. https://ec.europa.eu/jrc/communities/sites/jrccties/files/ Niedersächsische Verordnung über Leistungsbezüge sowie For- open_science_and_eu_research_mary_ritter_0.pdf. schungs — und Lehrzulagen für Hochschulbedienstete (Hoch- schul-Leistungsbezügeverordnung — NHLeistBVO). 2002. Salmi, J. 2009. The Challenge of Establishing World-Class Universi- ties. Washington, DC: World Bank. Olschewski, A. 2010. “Doctoral education and thesis in biomedi- cine and health sciences.” EUA-CDE News May (8). Schwald, R. 2017. The Impact of Open Science on Research Careers: How to integrate Open Science into Higher Education Parker, J. 2008. “Comparing Research and Teaching in University Policy? Conference Report. Bern: swissuniversities. Promotion Criteria.” Higher Education Quarterly 62 (3): https://www.swissuniversities.ch/fileadmin/swissuniversities/ 237–251. Dokumente/Internationales/Euraxess/Euraxess_conference_5.9.17/ 20171002_swissuniversities-Conference_Report.pdf. Pausits A., F. Reisky, Z. Sušanj, J. Lediæ, M. Turk, A. Jakopec, M. Balkoviæ., N. Trojak, J. Tofant, M. Ðorðeviæ, S. Bezjak, Science Europe. 2016. “Postdoctoral Funding Schemes in Europe: M. Gopiæ, . Plu ariæ, E. Pekkola, H. Mugabi, J. Kivistö, and Survey Report.” J. Liljeroos. 2017. Overview of recent European and national http://www.scienceeurope.org/wp-content/uploads/2016/10/ policies in regard to human resources management in higher 20160922-Survey-Postdocs-Final.pdf. education institutions within European Higher Education Area. Zagreb: Agency for Science and Higher Education. Siekkinen T., E. Pekkola, and K. Kuoppala. 2015. “The EU Human Resource Strategy for Researchers and the working conditions Pekkola, E. 2009. “Akateeminen professio Suomessa — valtakes- of Finnish fixed-term researchers.” Journal of the European kittymä vai kolmen luokan työntekijöitä?” Politiikka 51 (4): Higher Education Area 5 (3): 111–142. 268–290. Siekkinen, T., E. Pekkola, and J. Kivistö. 2016. “Recruitments Pekkola, E. 2014. Akateeminen professio ja akateeminen työ, in Finnish universities: practicing strategic or pathetic HRM?” edited by Teoksessa Pekkola, J. Kirvistö, and V. Kohtamäki. Nordic Journal of Studies in Educational Policy 2 (2–3). Korkeakouluhallinto: johtaminen, talous ja politiikka. Helsinki: Gaudeamus, 94–125. Siekkinen T., K. Kuoppala, E. Pekkola, and J. Välimaa. 2016. “Reciprocal Commitment in Academic Careers? Finnish impli- Pekkola E., and J. Kivistö. 2016. “Higher Education Governance cation and international trends.” European Journal of Higher and Reforms.” In Encyclopedia of Public Administration and Education 7 (2): 120–135. Reforms. Dordrecht: Springer. Subbaye, R., and R. Vithal. 2017. “Teaching criteria that matter Pekkola, Elias, Siekkinen Taru, Kivistö Jussi, and Lyytinen Anu. in university academic promotions.” Assessment and Evaluation 2017. “Management and academic profession: comparing the in Higher Education 42 (1): 37–60. Finnish professors with and without management positions.” Studies in Higher Education. Teichler, U. 2015. “Higher Education Research in Europe.” In The ~ European Higher Education Area. Between Critical Reflections Pinheiro R., L. Geschwind, H. Foss Hansen, and E. Pekkola. 2015. and Future Policies, edited by A. Curaj, L. Matei, R. Pricopie, “Academic Leadership in the Nordic Countries: Patterns of J. Salmi and P. Scott. Heidelberg: Springer, pp. 815–847. Gender Equality.” In Women’s Voices in Management: Identifying Innovative and Responsible Solutions, edited by H. Teoksessa Trower, C. A. 2012. Success on the Tenure Track: Five Keys to Faculty Desivilya Syna and C.-E. Costea. London: Palgrave Macmillan. Job Satisfaction. Baltimore: The Johns Hopkins University Press. Powell, K. 2015. “The future of the postdoc.” Nature 520: 144–47. University of Oxford. N.d. “Professorial Distinction Awards 2016. http://www.nature.com/news/the-future-of-the-postdoc-1.17253, Call for Applications and Procedures.” accessed 23 July 2017. https://www.admin.ox.ac.uk/media/global/wwwadminoxacuk/ localsites/personnel/documents/academicemployment/ QAA (Quality Assurance Agency for Higher Education). 2015a. Call_for_Applications_and_Procedures_2016.pdf. “Characteristics Statement: Doctoral Degree.” The Quality Assurance Agency, Gloucester, England, UK, September. Uribe, Oliva D. 2017. “The EUA Council for Doctoral Education.” Presentation in Stratford-upon-Avon, UK, April 4. QAA (Quality Assurance Agency for Higher Education). 2015b. UK Quality Code for Higher Education; Part B: Assuring and Välimaa, Jussi, Stenvall Jari, Siekkinen Taru, Pekkola Elias, Kivistö Enhancing Academic Quality, “Chapter B10: Managing Higher Jussi, Kuoppala Kari, Nokkala Terhi, Aittola Helena, and Education Provision with Others.” The Quality Assurance Agen- Ursin Jani. 2016. Neliportaisen tutkijanuramallin arviointihanke. cy for Higher Education, Gloucester, England, UK. Loppuraportti. Helsinki: Opetus- ja kulttuuriministeriö. Opetus- ja kulttuuriministeriön julkaisuja 2016: 15. QAA Scotland. 2017a. Building a Research Community — Key Issues for discussion. The Quality Assurance Agency for Scotland, Vossensteyn, J. J., H. F. de Boer, and B. W. A. Jongbloed. 2017. Glasgow, Scotland, UK. Chronologisch overzicht van ontwikkelingen in de bekostigings- http://www.enhancementthemes.ac.uk/focus-on/ systematiek voor het Nederlandse hoger onderwijs. Rapport voor the-postgraduate-research-student-experience. de Evaluatiecommissie prestatiebekostiging hoger onderwijs. Enschede: Center for Higher Education Policy. 154 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Waring, M. 2013. “All in this together? HRM and the individualisa- tion of the academic worker.” Higher Education Policy 26 (3): 397–419. doi:10.1057/hep.2013.7 Weber, M. 1994. “Wissenschaft als Beruf.” In Studienausgabe der Max Weber-Gesamtausgabe Band I/17, edited by W. J. Mommsen and W. Schluchter. J. C. B. Mohr: Tübingen, pp. 1–23. Whitchurch, C. 2008. “Shifting Identities and Blurring Boundaries: the Emergence of Third Space Professionals in UK Higher Edu- cation.” Higher Education Quarterly 62 (4): 377–396. Witte, J., and U. Schreiterer. 2004. “Perspektiven für eine leistung- sorientierte Professorenbesoldung im Lichte international Erfahrungen.” In Leistungsorientierte Professorenbesoldung. Grundlagen — Weichenstellungen — Optionen, edited by D. Müller-Böling. Gütersloh: Verlag Bertelsmann Stiftung. Witte, J., U. Schreiterer, and D. Müller-Böling. 2004. “Gestaltungs- fragen bei der Umsetzung des Professorenbesoldungs- reformgesetzes.” In Leistungsorientierte Professorenbesoldung. Grundlagen — Weichenstellungen — Optionen, edited by D. Müller-Böling. Gütersloh: Verlag Bertelsmann Stiftung. Ziegele, F., and K. Handel. 2004. “Anreizsysteme im Hochschulein- satz. Grundlagen — Chancen und Grenzen — Empfehlungen zu Auswahl und Konzeption.” In Handbuch Qualität in Studium und Lehre, edited by W. Benz, J. Kohler, and K. Landfried. Berlin: Raabe Verlag. Report 2 ACADEMIC CAREERS IN LATVIA: STATUS QUO REPORT 31 January 2018 Contents 160 Abbreviations 161 Executive Summary 163 1 Introduction 165 2 Doctorate and Postdoctorate 166 2.1 System-Level Framework of the Doctorate 169 2.2 Institutionalization of Doctoral Education 170 Admission, Progression, and Assessment 172 Supervision 173 Research Environment 174 Taught Component and Skills Development 175 Internal Quality Assurance 176 Doctoral Schools 177 2.3 Collaboration in Doctoral Education 178 2.4 The Postdoctorate 180 3 Academic Careers: Development and Advancement 180 3.1 Academic Work and Careers 180 Status and Role of Academics 184 Career Patterns 187 Internationalization 189 3.2 Institutional Human Resource Management 189 Staffing 191 Selection and Recruitment 195 Promotion Patterns and Career Advancement 196 Staff Development 197 Organization of Human Resource Management and Services 199 4 Remuneration and Performance Evaluation 199 4.1 Academic Salaries in Latvia 199 System-Level Framework 200 Academics’ Income 201 4.2 Institutional Remuneration Practices 201 Remuneration Systems 204 Performance-Oriented Remuneration 204 Performance Evaluation 206 5 Concluding Remarks on Strategic Human Resource Management 208 Annex. Overview of Assessment of Status Quo in Latvia Compared to Criteria for Good System- and Institution-Level Human Resource Policies 219 References Boxes Tables 166 Box 1 The promotion process in Latvia 165 Table 1 Doctoral students by higher education institution, 2014/15–2016/17 (total number) 168 Box 2 Funding for doctoral students 166 Table 2 Completed doctorates by thematic group, 192 Box 3 The Council of Professors 2011–2015 (total number) 193 Table 3 Criteria for the evaluation of the scientific qualifications, pedagogical qualifications, and organizational skills and competence 201 Table 4 Minimum salaries and workloads in the education sector, as of January 1, 2018 160 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Abbreviations AAL Art Academy of Latvia CoHE Council of Higher Education DU Daugavpils University ESF European Structural Funds HEI higher education institution HR human resource LAoS Latvian Academy of Sciences LASE Latvian Academy of Sports Education LIHE Law on Institutions of Higher Education LIZDA Latvian Trade Union of Education and Science Employees LLU Latvia University of Agriculture LSA Law on Scientific Activity MoES Ministry of Education and Science PBS performance-based salary RSU Riga Stradins University RTA Rezekne Academy of Technologies RTU Riga Technical University SSQC State Scientific Qualifications Commission UAS University of Applied Sciences UL University of Latvia ViA Vidzeme University of Applied Sciences VUAS Ventspils University of Applied Sciences REPORT 2: Academic Careers in Latvia: Status Quo Report | 161 Executive Summary port Latvia has a “fragmented” approach to academic careers, aspects of which have developed historically but which are now likely to hamper the develop- ment of a dynamic higher education and research system. A key issue is the division of academic careers into a teaching-focused track and a research- focused track — reflected in two separate sets of legislation. The fragmentation of positions leads, for the individual academic, to a “portfolio” of jobs rather than one integrated post, and is an obstacle to the intended unity of teaching and research. The fragmentation of tasks results in a fragmented approach to various human resource (HR) issues, including the handling of employment contracts and the way academics are remunerated. Higher education institutions (HEIs) in Latvia attribute great value to the docto- rate; however, the field of doctoral education displays a number of features that need to be strengthened and modernized. That applies particularly to the “apprenticeship model,” with a strong master-apprentice relationship between supervisor and doctoral student at the center. Doctoral students are enrolled in pro- grams that display a mix of taught elements and independent research work. While there are some colloquiums, sometimes misleadingly coined “doctoral schools,” doctoral schools in the European and international sense as an “institutional home” for those involved in doctoral education, which enables interdisciplinary doctoral training and realizing synergies, and could promote a systematic approach to skills development, do not exist. Also, strategic approaches to international cooperation and to collaboration with the private sector are currently not sufficiently developed in the context of doctoral education. Funding for doctoral students is insufficient, resulting in many of them working in or outside academia, which can have a nega- tive impact on progression and completion. A main aspect where the Latvian doctorate diverges from European and inter- national practice is the organization of the process leading to the conferral of the doctoral degree. In Latvia, doctoral studies conclude with an exam that allows the doctoral student to become a “doctoral candidate” and to enter the so-called “promotion process,” which is overall distinct from the doctorate and complicated, and contains unnecessary procedural barriers. Postdocs in the European and international sense do not exist in Latvian legislation; however, certain funding sources (the state budget and European funds) trigger the establishment of postdoc positions (albeit on a small scale). Here, it is difficult for Latvian HEIs to integrate in practice the postdoc positions into the common academic career framework determined by the legislation. The fragmentation of academic careers results in complicated HR arrange- ments and processes on the institutional level, and often fragile arrange- 162 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers ments for individuals. While the legislation defines positions, minimum salaries, and a band of working hours for full-time positions, workload and the resulting salaries are established individually and negotiated between academics and insti- tutions. In some institutions, declining student numbers due to the demographic situation make it difficult for academics to arrive at a full teaching workload. In such situations and in the absence of (externally funded) research projects that could compensate that loss in income, academics need to complement their work at an HEI with work outside academia. The risks associated with that “port- folio approach” to academic employment are borne by the individual — even though one more positive effect of this approach is that it creates “academic entrepreneurs” who are able to raise funding, which is an important skill for researchers. Academic careers in Latvia are a succession of individual jobs, which makes planning for such a career difficult and the academic career overall less attractive. The reason for that is that all academic appointments at HEIs are confined to six years. All academics are elected into their (teaching-focused and research-focused) positions. In some cases, where a Council of Professors — the body responsible for electing (associate) professors — does not exist at the hiring HEI, the design of the election process reduces the role of the HEI in the recruitment process and can potentially lead to conflicts of interest. A tenure track model, as is common in Western but also neighboring countries, does not exist in Latvia. While academic careers have a defined starting point in Latvia, they do not have a defined exit point, because there is no mandatory retirement age. Views diverge on that approach; however, the situation makes HR planning and also planning of individual careers for young academics more difficult. While HEIs offer various opportunities for staff development, not all skills required for academic careers, which are particularly relevant in the context of the fragmented academic career system in Latvia, are necessarily covered. An apparent lack of internationalization impacts on various aspects of acade- mia. Inward mobility is not only hampered by salary levels, but also by language requirements and a current lack of concerted efforts and instruments for attracting foreign academics. That is important as internationalization is a major source of “fresh thinking” and potential quality enhancement in higher education. Further- more, it is particularly important for small higher education systems, and fostering internationalization could thus lead to a positive dynamic in Latvia. While there are attempts to reward performance at the institutional level, remuneration as an instrument to incentivize performance is currently under- utilized. That is partially due to the low salary levels in the academic sector; however, there is neither a structural model that foresees performance pay nor a potential “market allowance” (that could compensate the higher salary levels in the private sector in some selected cases) at this stage. Some universities have developed or are in the process of developing bonus systems, often in connection with performance-based funding established on the system and institutional level. REPORT 2: Academic Careers in Latvia: Status Quo Report | 163 1 Introduction This report analyzes how the government and HEIs in Latvia shape key aspects of the career trajectories and employment conditions of academics.48 The analysis consists of an assessment of the status quo in Latvia against a set of normative criteria for good system- and institution-level HR policies. A World Bank team developed those criteria in a second report (World Bank 2017b), based on the relevant research literature, an examination of selected cases of good practice, and the authors’ expertise and experience in the field and their perspective on successful examples. This report covers (a) doctoral training and the postdoc, (b) academic careers with a focus on the selection and promotion of academics, and (c) the remuneration of academics and the evaluation of their performance.49 The three corresponding chapters address system-level regulations and policies, and the policies and practices within HEIs. Building on the status quo assessment and the criteria mentioned, a third report — to be published in spring 2018 — will provide recommendations on how to improve system- and institution-level HR policies in Latvia. The main sources of information of this report are key documents and inter- views with stakeholders of the Latvian higher education system. More specifi- cally, the assessments in this report are based mainly on the analysis of key documents such as laws, regulations, and policies; information and data provided by the Ministry of Education and Science (MoES) and six HEIs that volunteered as case study institutions;50 and interviews with representatives of these HEIs and various system-level stakeholders during site visits in September 2017. All three reports are part of a series of World Bank advisory services on higher education in Latvia. The first World Bank higher education advisory service was carried out in 2013/14, and addressed the Latvian higher education funding model on the system level. It led to the introduction of a new, three-pillar 48 In this report, the terms “academic” and “academic staff” refer to HEIs’ staff members whose main responsibility is teaching and/or research. That definition excludes staff members with primarily admi- nistrative responsibilities, technical staff, and secretarial/support staff. 49 Members of the World Bank team that authored this report are Dr. Nina Arnhold, Senior Education Specialist and Task Team Leader, World Bank; Dr. Elias Pekkola, University of Tampere, Finland; Vitus Puttmann, Consultant, World Bank; and Dr. Andrée Sursock, Senior Adviser at the European University Association (EUA). Adjunct Professor Jussi Kivistö, University of Tampere, Finland; Profes- sor Hans Vossensteyn, Director of the Center for Higher Education Policy (CHEPS), the Netherlands; and Professor Frank Ziegele, Director of the Centre for Higher Education (CHE), Germany, provided substantial input and comments. The team would like to thank the Latvian Ministry of Education and Science (MoES), the six case study institutions, and other sector representatives involved for the strong collaboration that has made the preparation of this report possible. 50 These institutions are the University of Latvia, Riga Technical University, Daugavpils University, Vidzeme University of Applied Sciences, the Art Academy of Latvia, and the Latvian Academy of Sport Education. The different size, profile, and strategies of the case study institutions allowed the World Bank team to obtain an overview on developments in the Latvian higher education sector. 164 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers funding model including a performance-based funding pillar. The second higher education project with World Bank support51 started in 2016. In the first of its two phases, it turned to the internal funding models and governance arrangements of Latvian HEIs. It focused on the effects of the system-level reforms, in particular, on the HEIs’ responses to the introduction of the performance-based funding pillar. The project’s second phase — which comprises the three reports men- tioned — covers strategic HR management, doctoral training and the postdoc, academic careers with a focus on the selection and promotion of academics, and the remuneration of academics and the evaluation of their performance. 51 This report uses the term “project” for this World Bank higher education advisory service. REPORT 2: Academic Careers in Latvia: Status Quo Report | 165 2 Doctorate and Postdoctorate Doctoral education is of significant strategic importance for HEIs and the higher education and science system in Latvia, and features high on the agen- da of most institutions. Many countries increased the attention paid to doctoral education as the initial stage of academic careers and an important element in the education and training process of highly qualified individuals. The demand for individuals with advanced skills in the private sector and the need for young academics in the higher education sector make doctoral education particularly important in Latvia. Latvian HEIs are aware of those demands. Several of them engage intensively in doctoral education (see Table 1) or have made promoting it a strategic objective. State HEIs 2014/15 2015/16 2016/17 Table 1 Doctoral students by higher education institution, Art Academy of Latvia (AAL) 39 42 44 2014/15–2016/17 BA School of Business and Finance 19 32 35 (total number) Source: Authors based on data Daugavpils University (DU) 131 153 149 provided by the MoES. J âzeps Vîtols Latvian Academy of Music 9 9 10 Latvian Academy of Culture 17 17 18 Latvian Academy of Sports Education (LASE) 33 33 34 Latvia University of Agriculture (LLU) 188 185 184 Liepaja University 33 28 27 Rezekne Academy of Technologies (RTA) 26 30 27 Riga Stradins University (RSU) 174 227 214 Riga Teacher Training and Educational 22 24 31 Management Academy Riga Technical University (RTU) 483 532 588 University of Latvia (UL) 804 762 693 Ventspils University of Applied Sciences (VUAS) 39 42 45 Vidzeme University of Applied Sciences (ViA) 2 2 Total 2019 2116 2101 Private HEIs 181 194 190 Grand Total 2200 2310 2291 166 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers 2.1 System-Level Framework of the Doctorate The process of acquiring a doctoral degree in Latvia exhibits unique features compared to the processes in other countries. As in other higher education systems, individuals pursuing a doctorate in Latvia enroll in a doctoral program that lasts three to four years (full-time). In Latvia, a written examination marks the point at which a doctoral student becomes a “doctoral candidate.”52 However, instead of proceeding immediately to the thesis defense, the “doctoral candidate” must complete a “promotion process,” which is implemented in parts outside of the HEI that will confer the doctorate (for details on the promotion process see Box 1; for the number of completed doctorates see Table 2). Box 1 The promotion process in Latvia The doctoral thesis approval procedure in Latvia combines HEI internal and external elements in a complex process. The internal part of the process revolves around the Promotion Council, which all HEIs need to establish to confer the doctorate – or the promotion process is implemented by another HEI. The councils’ members must be vetted by the Latvian Council of Science, which checks whether potential members have published two papers in journals included in certain databases (namely, Scopus and Web of Science) in the last three years. A first function of a Promotion Council is to evaluate doctoral theses, which, if found acceptable, are sent to the State Scientific Qualifications Commission (SSQC), which is part of the Latvian Academy of Sciences. The SSQC then selects an anonymous reviewer, who evaluates the thesis. If that evaluation is positive, the Promotion Council sets up a committee of three reviewers who manage the thesis defense. The HEI appoints those reviewers, but they must be vetted by the Science Council. The final decision on a thesis takes place in the form of a vote after the thesis defense by the reviewers and several members of the respective Promotion Council. After a positive vote, the thesis is sent once more to the SSQC, which has the right to dispute the final decision. The HEI also has the right to dispute the final decision. Students have the right to appeal to the Science Council and, if they are not satisfied with the outcome of the appeal to the Science Council, to the court. Source: World Bank 2016. Table 2 Completed doctorates 2011 2012 2013 2014 2015 by thematic group, 2011–2015 (total number) Education 21 25 26 21 18 Source: Authors based on data Humanities and Arts 36 24 41 24 48 provided by the MoES. Social Sciences, Commerce and Law 59 74 71 61 52 Life Sciences, Math and IT 66 53 68 46 53 Engineering, Manufacturing and Construction 42 51 58 64 55 Agriculture 12 5 10 9 1 Health Care and Social Welfare 34 19 30 30 22 Services 17 16 11 11 14 Total 287 267 315 266 263 52 In principle, obtaining a doctoral degree is also possible without completing a doctoral program. However, that route seems not to be used. REPORT 2: Academic Careers in Latvia: Status Quo Report | 167 A strict classification of doctoral degrees and the related regulations for doctoral programs restrict the flexibility of HEIs in adequately designing doctoral education. High-quality doctoral education requires that HEIs adapt their offerings to the research interests of doctoral students. That necessitates a system-level framework that leaves room for developing cutting-edge research. In Latvia, a detailed classification of doctoral degrees and programs by discipline, field, and subfield restricts HEI flexibility, especially with respect to doctoral work that crosses disciplinary boundaries. Tailoring doctoral programs to individual students’ research interests by selecting appropriate courses is difficult under the current framework. The promotion process can fulfill a quality assurance function, but prevents HEIs from taking full responsibility for the quality of doctoral education. The institution-external elements of the promotion process (see Box 1) add an additional layer of quality assurance to doctoral education. That layer might have served a relevant function in the absence of comprehensive regulations that restrict the right to confer the doctoral degree to certain institutions which fulfill defined requirements, and also before the existence of the national accredi- tation agency. However, the promotion process in its current form limits the capa- city of HEIs to design quality assurance processes autonomously. The Promotion Councils as standing committees with a focus on only one discipline are unsuit- able for the adequate evaluation of interdisciplinary doctoral work. The external influence on their composition prevents HEIs from implementing them appro- priately, for example, by involving foreign experts. It is also questionable what the added value is of the involvement of nonpeers (that is, academics from a discipline entirely unrelated to the field or topic of a doctoral thesis) in evaluating the quality of dissertations outside the scope of their expertise during the internal procedures relating to the promotion process is. In addition, putting actors out- side of HEIs in charge of deciding on the quality of doctoral theses as part of the promotion process conveys the impression that institutions are not capable of assuming responsibility for quality — even though the doctoral education process might already include external quality assurance elements such as those related to peer-reviewed publications. That is highly unusual from an international perspective and could reflect negatively on the standing of the Latvian higher education institutions. The time required for the completion of the promotion process can lead to hardship for those aspiring to obtain a doctorate. Funding a doctoral education is challenging in Latvia (see Box 2). Challenges can be particularly pronounced during the time of the promotion process. The state stipends for doctoral stu- dents, even though low, end with the completion of the doctoral program. At least in some cases, doctoral students have not completed their thesis by then. That requires them to search for additional funding for the remaining period, during which they also must finish their thesis and the promotion process. Moreover, the promotion process can take time and increase noncompletion. For doctoral candidates, the promotion process is free of charge only if it is completed within the official time limit; when doctoral candidates exceed that time frame, HEIs can decide to charge them for the promotion process. That can be seen as a motivating factor, but for doctoral candidates in a challenging financial situation, it can create a major obstacle to graduation. 168 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Box 2 Funding for doctoral students There is hardly any financial support available to doctoral students, wherefore most of them must work in parallel to their studies and thesis work. The monthly state stipend available to doctoral students of EUR 113.8 is not enough to cover living expenses, and some students must also pay tuition fees.a In exceptional cases, there can be additional costs for acquiring the doctorate. If the promotion process cannot be completed within the stipulated two years, about EUR 1,000 has to be paid to complete it. In the absence of other support mechanisms, most doctoral students work during their doctoral education and the promotion process. While several doctoral students work outside the higher education sector, HEIs also employ many of them in teaching and/or research in elected positions and in per-hour contracts (for details on academic positions in Latvia, see Chapter 3.1 ‘Academic Work and Careers’). In a survey of doctorate degree holders in Latvia, 1,240 out of a total of 3,455 respondents (that is, 35.9 percent) stated that a teaching and/or research assistantship was their main source of funding during the phase of doctoral education.b The second largest group (933 respondents) were those who funded their doctoral education (primarily) via “other occupations” (that is, employment other than teaching and research). At the case study institutions, the share of doctoral students employed at the HEI ranged from 25 percent to 100 percent.c Employment in research is considered to be conducive to the doctoral education process when it is related to the topic of the thesis, while other forms of employment might nega- tively impact success if they do not leave doctoral students enough time for their dissertation work. At least one HEI provides additional support for doctoral students enrolled as researchers to cover scholarships, mobility, and publishing. Source: Authors. Note: a. Doctoral candidates also have the option to take a stipend of (at least) EUR 85 per month, which need not be to be paid back unless the candi- date does not graduate in a specific time frame. b. The data were collected under the OECD project “Careers of Doctorate Holders” via a sample survey (online survey, face-to-face interviews and telephone interviews) conducted in September and October 2016. The survey covered residents of Latvia (national and foreign citizens) with a degree at the International Standard Classification of Education (ISCED) 1997 level 6 who were below the age of 70 years at the time of the data collection. c. Authors’ calculations based on data provided by case study institutions. External quality assurance processes of doctoral education are underdeve- loped. The legislative framework contains a definition of the basic requirement for obtaining a doctoral degree, namely, that an individual demonstrates by the thesis “that he or she has independently conducted original scientific research, knows how to independently plan research, has acquired research methodology and the methods necessary for work in the area of specialisation, is capable of independently analysing the acquired results and drawing conclusions corres- ponding thereto” (Law on Scientific Activity (LSA): Section 11 (2)). Apart from that, the national framework for doctoral education loosely defines which institutions can engage in doctoral education. The main quality assurance mechanism is the accreditation of doctoral programs. However, the quality assurance agency’s activities in the area are not yet fully developed. In addition, the accredi- tation criteria are not sufficiently adapted to the specifics of doctoral education, since almost the same criteria are used for programs at different levels and with different orientations (that is, professional and academic programs). Public funding for doctoral education takes into account national needs and promotes quality. HEIs finance their doctoral programs via funding received from state-funded budget places, and in some cases also via tuition fees.53 The alloca- tion of budget places by the MoES is based on the perceived needs for specialists in the different disciplines. The coefficient used within the formula for research base funding allocations to HEIs includes the number of doctoral theses defended by candidates who were supervised at an HEI. In addition, the involvement of doctoral students in research activities, an important factor behind the quality of 53 Some institutions also establish budget places financed from their own budget. REPORT 2: Academic Careers in Latvia: Status Quo Report | 169 doctoral education, is incentivized by the funding allocations under the second, performance-based pillar of the state funding model. The involvement of doctoral students in research projects is also promoted in research projects financed through European Structural Funds (ESF). Applications for those projects receive a bonus during the assessment if the involvement of doctoral students is envisa- ged. There is also direct ESF-financed government support for the involvement of doctoral students in academic work (that is, teaching and research). 2.2 Institutionalization of Doctoral Education Doctoral education in Latvian HEIs has a clear focus on academic careers in most cases, even though a common, elaborated concept within institutions does not exist. Many members of HEIs express the view that doctoral education is a preparation for an academic career and should focus on research. Institutions have designed taught components accordingly. In at least some institutions, that view seems to correspond to the interests of the doctoral students, who want to stay in academia.54 Nevertheless, several institutions also stress the relevance of doctoral studies for work outside of academia. The orientation of doctoral education toward academic careers is also visible with respect to the widespread practice of employing doctoral students as lecturers and researchers, which also serves as an important component of doctoral students’ funding (see Box 2). The common focus of doctoral education on academic careers, however, does not translate into a distinct idea about the definition and standards of doctoral education that would be related to each HEI’s profile and mission. There is no shared understanding within institutions of a detailed concept of the doctorate. In some cases, it is not clear either whether those in doctoral education are considered primarily students or young researchers. Despite the growing importance of structured elements in doctoral education, its main element remains primarily a personal relationship between doctoral student and supervisor. A development common in many European countries is a shift away from an “apprentice model” of the doctorate characterized by the importance of the doctoral student-supervisor relationship toward more structured forms of organization. That shift is, among others, supposed to avoid situations where students are too dependent on an individual supervisor. The introduction of structured approaches comprises adopting a set of processes related to: •Admission, for example, students apply for positions in a program rather than to a specific supervisor; •Co-supervision, which is meant to break the dependence of doctoral students on a single supervisor; •Establishing an overarching structure for doctoral education such as a doctoral school; 54However, according to a survey of doctorate degree holders in Latvia, less than two thirds work in the higher education sector (2,160 respondents out of a total of 3,620), including individuals who are not employed in research (274 respondents). The data were collected under the OECD project “Careers of Doctorate Holders” via a sample survey (online survey, face-to-face interviews and telephone interviews) conducted in September and October 2016. The survey covered residents of Latvia (national and foreign citizens) with a degree at the International Standard Classification of Education (ISCED) 1997 level 6 who were below the age of 70 years at the time of the data collection. 170 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers •Providing students with a peer group and fostering a stimulating intellectual environment, for example, via interdisciplinary seminars and conferences. Even though doctoral education in Latvia is organized mainly in the form of docto- ral programs, and some steps have been taken to establish doctoral schools, the personal relationship between doctoral student and supervisor remains para- mount. The relevance of supervisors for acquiring sufficient funding for one’s doctoral education (for example, via the involvement in research projects) further increases the importance of that relationship. That overall situation might be one reason for the lack of comprehensive and publicly available policies on the gover- nance and organization of doctoral training, and for the fact that the set of pro- cesses listed has mostly not been implemented by Latvian HEIs. Admission, Progression, and Assessment Various procedures, involving many actors, frame the doctoral cycle, but there is no comprehensive system that covers all its steps. An important component of a quality-oriented approach to doctoral education is that students are inducted into the program and provided with good information, and that their progress is monitored and supported, from the point of admission to the assess- ment of their doctoral theses. Even though HEIs introduced a range of measures accompanying the different phases and steps of the doctoral education process, there are gaps (for example, related to orientation and academic policy informa- tion) and a lack of a coherent framework across some of the institutions. The latter reflects the decentralized structure of some HEIs that translates into a decen- tralized approach to doctoral education. The process of entering doctoral education is determined mainly by the rela- tionship between the prospective doctoral students and their supervisors. In most cases, prospective doctoral students start with a research proposal, then contact potential supervisors, and finally enroll in a doctoral program. During the admission process, a faculty committee reviews the application documents and must approve the doctoral student. At one specialized institution, that com- mittee also decides on a doctoral student’s supervisor. Often, the entire process of entering doctoral education depends on the personal connections that docto- ral students established during their previous studies, even though there are also examples of more structured approaches. Many doctoral students know their supervisors already from their Bachelor’s- or Master’s-degree-level studies. The importance of that relationship is reflected in the lack of structured admission and selection systems for doctoral students, which would include published criteria and transparent processes for admission, and provisions for an orientation and relevant information material for newly recruited students. In addition, the monitoring activities related to admission processes that HEIs implemented tend to take place at the unit level, without the systematic and direct involvement of the central level in several cases, while this is an area where a central oversight also seems warranted. HEIs and their subunits have established various processes to monitor the progression of doctoral students. It is a common practice for doctoral students to prepare a work plan together with their supervisor that contains milestones for either the next semester or the entire duration of the doctoral program. Those plans and, in some cases, progress assessments produced by doctoral students REPORT 2: Academic Careers in Latvia: Status Quo Report | 171 or supervisors, serve as the basis for regular progress monitoring procedures. Those procedures are complemented in at least one case by a decision on whether doctoral students can progress to the next year. Some institutions have a formal policy determining specific progression targets for the taught component of doctoral programs and the work on the doctoral thesis. At several institutions, progress assessment and support take place also via regular meetings of groups of doctoral students and supervisors for the presentation and discussion of dissertation projects, potentially complemented with special courses tailored to the thesis. The responsibility for progress monitoring and support usually resides with the unit level, and connections to the central level (for example, an insti- tution-wide monitoring and benchmarking of progression) are rare. The limited oversight from the central level is one reason why not all units might implement the measures stipulated for an institution as a whole. Various bodies and actors serve as contact points for doctoral students who seek advice and assistance, but comprehensive support and counseling structures are rare. Depending on the organization of doctoral education in HEIs, there are certain contact points to whom doctoral students can turn with their problems. That includes the Heads of Doctoral Programs, representatives of (Doctoral) Studies Departments, Vice-Rectors for Studies, and supervisors and colleagues. There are, furthermore, examples of more systematic approaches, such as an institution-wide network of mentors at one HEI, a handbook on the doctorate, and options for professional psychological counseling. However, receiving support depends strongly on the initiative of the individual doctoral student, and in most cases is rather informal. It is questionable whether those forms of support are adequate, especially in the face of the challenging situation of many doctoral students. A specific challenge for some doctoral students is the recognition of learning outcomes from study periods abroad. Some acade- mics are reluctant to accept those learning outcomes as equivalent to the stu- dents’ studies at their HEI, which can be a severe problem for doctoral students and create disincentives for international mobility. The responsibility for the assessment of the doctoral thesis does not lie with HEIs exclusively, but some institutions implemented procedures to support a successful completion of the doctorate. As an important part of the overall process of awarding a doctoral degree, the promotion process, which is regulated by law and includes the involvement of actors outside of HEIs, limits the extent to which HEIs can influence assessment procedures and the related criteria (see Chapter 2.1 ‘System-Level Framework of the Doctorate’). Nevertheless, it is pos- sible that HEIs decide on the format of the doctoral thesis, for example, allowing for an article-based dissertation. Furthermore, some HEIs introduced procedures to support doctoral students during the promotion process, including a seminar on the process. At least one institution has a systematic approach to the promotion process, and provides the possibility to continue to work with the supervisor until the thesis is accepted. Another HEI established a procedure to prepare doctoral students for the promotion process that includes a discussion of the research pro- ject/thesis, a first internal defense, and a second internal defense. The committees for the two defense processes comprise external experts, which doctoral students cite as one reason for feeling well prepared for the promotion process. A systematic approach to the monitoring of doctoral students’ progression that also covers the completion of the promotion process is lacking in institu- tions. In most countries, acquiring a doctoral degree is challenging. That makes 172 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers the monitoring of progression, including the identification of the underlying causes of delays and noncompletion, an important element of a quality-oriented approach to doctoral education. By and large, Latvian HEIs have not imple- mented any monitoring processes yet, including during and after the promotion process. Supervision Supervision arrangements are mainly determined by the personal relation- ship between doctoral student and supervisor. Formal supervisory agreements between doctoral students and supervisors have become common in many countries. They are supposed to improve the quality of doctoral education by ensuring equal and effective supervision practices throughout institutions, and by setting standards for monitoring study and thesis progression for all doc- toral students. Such standardized agreements, which explicitly define the rights and responsibilities of students and supervisors, are rarely used in Latvian HEIs. At least one institution has introduced something comparable to that in the form of an agreement between the institutional leadership and the structural unit to which a doctoral student is attached (with the supervisor and the doctoral student signing that they are aware of the agreement), and a study agreement between the HEI and the doctoral student. Nor do all institutions have clear regu- lations on the maximum number of doctoral students per supervisor, while one has determined a minimum number. Even the requirements for being eligible to supervise doctoral students, as determined on the system level, appear to be more a formality, although one institution introduced the additional requirement that supervisors have a certain number of publications per year. That leaves, overall, the commitment of supervisors as the main determinant of the quality of the supervision process. HEIs have established a range of measures that aim at increasing super- vision quality, even though not all of them might actually be implemented across institutions. Elements of doctoral supervision in different HEIs include: •Regular meetings of supervisors for the exchange of experiences; •Guest lectures and trainings related to “supervision skills” (for example, in peda- gogy and conflict management); •Evaluations of the performance of supervisors (based on the progress of docto- ral students and an examination of their complaints); •Recruitment of external international supervisors/advisors and supervisors from industry; •Development of network doctoral schools. One institution even provides clear incentives for a successful engagement in doctoral supervision by making it a requirement for academics that they super- vised at least two successful doctoral candidates during the last six years. However, not all of those procedures are deployed by all HEIs and each of their subunits. In some cases, they might exist on paper without being implemented properly. Often, measures to promote supervision quality are introduced on an ad-hoc basis, so that the different instruments are not connected to each other under the overarching objective of attaining high-quality supervision. REPORT 2: Academic Careers in Latvia: Status Quo Report | 173 Cases of conflict between doctoral students and their supervisors can be settled by changing the supervisor, but are insufficiently regulated. When doctoral students encounter problems with their supervisor, changing the super- visor is possible, and actually done. However, changing the supervisor is hardly possible in some units, because of their small size and the limited choice of potential supervisors. Changing the supervisor might also create tensions in the unit to which a doctoral student is attached, and lead to a problematic situation for them. In addition, doctoral students themselves bear the brunt of responsibility for that process. Precautionary measures, which could mitigate challenges related to a change of the supervisor, such as a structured, confiden- tial procedure, do not exist at Latvian HEIs. Neither are there designated contact points for cases of conflict, even though various actors might be willing in prin- ciple to support students. Co-supervision of doctoral students is possible and practiced, but in most cases it is ad hoc and understood to apply to the involvement of external experts. The main responsibility for the supervision of doctoral students remains with one supervisor from the HEI at which the student is enrolled. Nevertheless, several doctoral students have a second supervisor — in some cases called “con- sultant”. The second supervisors are mainly experts on the topic of the doctoral thesis from outside HEIs, such as academics from other (in some cases foreign) HEIs or professionals from the private sector. Co-supervision, understood as a coherent team approach to supervision, is not a systematic practice. Research Environment Whether doctoral students benefit from a stimulating research environment depends strongly on their particular circumstances. An overall environment supportive of research achievements is one of the most important preconditions for a successful doctoral education experience. Key characteristics of such an environment include a critical mass of research-active staff, adequate learning resources and research infrastructure, sufficient financial resources, and support for, among others, mobility and conference participation. Latvian HEIs are aware of the need to provide a suitable research environment; however, this is not always provided as a comprehensive package. For instance, attendance at con- ferences is not systematically provided, and suitable library resources are not always available. Key determinants of a stimulating research environment are the size of doctoral programs, intra-institutional cooperation, the research intensity of units, and their financial situation. Whereas smaller HEIs have only one doctoral program, larger institutions have several. Nevertheless, doctoral programs tend to be small, in general. The small size of programs can lead to an inspiring, “family-type” environment for doctoral students, and might further promote inter- disciplinarity within and across institutions since it necessitates collaboration. However, those programs do not reach a critical mass in all cases. Intra-institu- tional cooperation (in larger institutions) is usually not sufficiently developed to compensate for that deficit, even though steps have been taken to promote interdisciplinary doctoral courses and research in some institutions. In a few cases, there are doctoral programs in units that do not engage in research at all. Furthermore, the availability of infrastructure and equipment, and of mobility sup- port, varies in line with the financial situation of units. The most important factor 174 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers in that respect, especially from the perspective of doctoral students, is externally funded research projects. As long as those projects are available and doctoral students are engaged in them, there are favorable conditions for conducting doctoral work. However, given the other potential deficiencies in the research environment mentioned, doctoral students might not enjoy the conditions required for conducting high-quality research. Taught Component and Skills Development HEIs design, in a manner comparable to each other, the balance between course work and research/thesis work. Almost all institutions have a prede- termined ratio of taught component and thesis work per doctoral program, with around 20 to 30 percent of European Credit Transfer and Accumulation System credits (ECTS) foreseen for the taught component and the rest for the thesis work. Institutions tend to divide the taught component into obligatory courses and electives, even though there are units within HEIs that stipulate no mandatory coursework at all. Despite the general framework, there are differences in the implementation of the taught component. Some institutions define a curriculum for their doctoral programs and organize courses in a traditional way, that is, lectures are spread throughout the semester (and not organized as bloc seminars or similar). The organization of doctoral programs is in some cases not sufficiently flexible in terms of the implementation of the taught component, notably with respect to possibilities for accommodating studying and working in parallel. One institution recently increased the length of doctoral programs from three to four years to accommodate the challenges students face. Not all courses stipulated in the (formal) frameworks for doctoral programs are necessarily implemented. A more common practice is to replace taught elements by direct involvement in acade- mic work. That is the case especially in smaller programs, where the (per-capita) costs of offering courses are high and the involvement of doctoral students in research and teaching is comparatively easy. Opinions on the relevance of the taught component differ. In some institutions, it is considered as very valuable for doctoral work, whereas in others it is criticized for its inflexibility and lack of relevance. HEIs provide doctoral students with a range of skills development opportuni- ties, which in some cases also cover soft skills. Some doctoral programs promote the development of scientific skills as part of the taught component of doctoral programs; others consider that the involvement of doctoral students in research work is sufficient to acquire those skills. Such differences can also be observed among doctoral programs within institutions, if these have a decentra- lized approach to doctoral education. In several cases, courses on ethics and academic/scientific integrity are part of the taught component. Other relevant skills are not necessarily covered. That concerns, particularly, soft skills and skills relevant for academic and nonacademic careers such as pedagogical skills; higher education management skills; proposal writing, academic writing, and science communication; conflict management, time management, and project management; and entrepreneurship and other practical skills related to careers in the private sector. There is the possibility, in some cases, for doctoral students to take courses at another institution that are not offered at their own HEI, even though this practice is not in all cases appreciated by those responsible for REPORT 2: Academic Careers in Latvia: Status Quo Report | 175 the doctoral program. Nevertheless, there are some institutions that offer a broad range of courses and other skills development opportunities such as summer schools, including summer schools in international cooperation. Some institutions provide soft-skills courses in collaboration with the private sector and other types of organizations. Skill-development opportunities other than through formal courses play an important role, but their availability depends on the individual circumstan- ces of doctoral students. One possibility for the development of skills available to many doctoral students is the close interaction with their supervisor. Doctoral students whom the World Bank team met report being close to and having easy access to their supervisors and teachers, even though doctoral students working outside HEIs might benefit less from these opportunities. Another important form of skills development is the involvement of doctoral students in academic work and research projects, in elected positions such as lecturer, (teaching) assistant and researcher, on per-hour teaching contracts, or in technical positions such as laboratory work on per-hour contracts. Whether doctoral students can benefit from those opportunities depends on their form of engagement at the HEI and the (financial) situation of the unit to which they are attached, even though some institutions are committed to providing their students with teaching experience. Similarly, opportunities for international mobility and attendance at (international) conferences vary depending on the institution. HEIs lack a framework that relates the skills that doctoral students should acquire to a systematic offering of skills development support. As discussed, there are various opportunities for skills development at HEIs, and it might be possible to avail of additional opportunities upon request. However, there are no comprehensive reflections on the skills profiles of prospective doctoral degree holders, and no policies that could guide the skills development activities of insti- tutions accordingly. In addition, not all institutions have contact points that could offer support when doctoral students have specific requests for skills development opportunities. Internal Quality Assurance There is scope for developing further doctoral education by establishing comprehensive internal quality assurance systems adapted to the specifi- cities of doctoral education. There are several procedures at Latvian HEIs that assess and promote the quality of doctoral education. Doctoral programs are subject to the same external quality assurance procedures as other study programs. Those consist mainly in the accreditation of study directions, that is, the accreditation of Bachelor’s degree, Master’s degree, and doctoral programs in one discipline. That leads to similar processes for all types of programs, including self-evaluation reports prepared at the decentralized level and sub- mitted to the central level of institutions. A common internal quality assurance mechanism is the course evaluation by doctoral students. Other processes tar- get specific facets of the quality of doctoral education, such as the procedures surrounding the supervision of doctoral students discussed (see above). When considering all those different elements from the perspective of an overall approach to quality assurance, the impression is that Latvian HEIs have not yet established continuous quality monitoring and assurance systems that cover all aspects of the doctorate and are adapted to the specific characteristics of 176 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers doctoral education, for example, taking into account the elevated importance of the research environment for doctoral education (in contrast to Bachelor’s- and Master’s-degree-level studies) and the full range of skills development needs of doctoral students. That is linked to two reasons. First, in most institutions the shift from the apprentice model to structured doctoral programs has yet to happen. Second, the large institutions tend to be decentralized, which is not conducive to the implementation of institution-wide internal quality assurance frameworks, while the smaller institutions rely on informal processes to secure feedback. Appeal and complaints mechanisms for doctoral students are insufficiently developed and formalized. A sound approach to the quality of doctoral educa- tion needs to comprise adequate mechanisms for students to lodge complaints and to appeal decisions. In some cases, appeal and complaints mechanisms available to doctoral students in Latvia are the same as those for students at other degree levels, consisting mainly of designated individuals to whom doctoral stu- dents can turn when problems occur. In other cases, HEIs do not provide any procedures (complemented by a systematic process for analyzing complaints to ensure that clusters of problems are addressed). Doctoral Schools The potential of overarching structures for doctoral education such as doc- toral schools is underutilized in Latvia. Doctoral schools have become wide- spread in many higher education systems in Europe. They are a particularly effective way of institutionalizing doctoral education and promoting its quality by, among others, increasing critical mass in doctoral education, promoting inter- disciplinarity, and ensuring the quality of all processes related to that cycle. The common understanding of a doctoral school is that of an organizational unit that fulfills several of the following functions: •Implementing administrative procedures such as the admission of doctoral stu- dents and the recognition of their prior experience; •Providing student support services and information to doctoral students; •Serving as a contact point for doctoral students on matters such as individual wishes for trainings, and personal and career counseling; •Supporting the international mobility of doctoral students; •Monitoring supervision; •Offering (soft) skills development opportunities; •Providing a collaborative workspace for students; •Bringing together professors from different faculties around a joint purpose; •Setting standards, for example, on the basic philosophy of doctoral education and the responsibilities of units; •Ensuring that good practices are shared among units; •Assuming responsibility for quality assurance and improvement processes. Doctoral schools in that sense are not common in Latvia, although at least one HEI has an organizational unit called “doctoral school” that acts as an umbrella for doctoral education, aims at improving the research environment, promotes intra-institutional cooperation, coordinates and organizes courses and programs to support doctoral students in their academic and professional development, communicates with doctoral students, and monitors and promotes the quality of the study process and supervision, including a survey of graduates. Other institu- REPORT 2: Academic Careers in Latvia: Status Quo Report | 177 tions mention having a “doctoral school,” but this refers to what would be con- sidered colloquiums (that is, series of workshops for academic discussions) in other countries. In the face of several of the challenges for doctoral education in Latvia, such as a lack of a critical mass of research-active staff in some discipli- nes and insufficient skills development opportunities (see above), it appears that the absence of doctoral schools is a missed opportunity. 2.3 Collaboration in Doctoral Education Partnerships with domestic and foreign HEIs and with the private sector are a particularly promising approach for promoting the quality of doctoral edu- cation in Latvia. Cooperation in the field of doctoral education is used by many HEIs around the world to improve quality. Benefits of cooperation include the possibilities for developing and increasing critical mass, gaining access to exper- tise not present within institutions, and supporting doctoral students in building professional networks. In the face of the characteristics of the Latvian higher education system such as its small size and the challenges for doctoral education discussed, different types of collaboration could be of great value for a quality- oriented approach to doctoral education in Latvian HEIs. Cooperation among Latvian HEIs in the field of doctoral education is limited. There are a few cases where institutions in Latvia collaborate in doctoral educa- tion, or plan to do so in the near future. However, efforts in that area focus mainly on skills development activities, and more rarely on developing joint programs/ co-tutelle. More comprehensive, strategically embedded approaches that pool resources on a broader scale and systematically broaden the offerings available to doctoral students would be beneficial. In many cases, international cooperation contributes to the quality of docto- ral education in Latvia, even though comprehensive, formalized collabora- tions are rare. Much of the international cooperation in the field of doctoral education takes place via the networks of supervisors and other academics, and collaboration agreements that do not include joint programs or joint degrees. Those networks can play a crucial role for accessing valuable resources such as equipment and expertise. Co-supervision by foreign academics and experts is a particularly important element in that respect. There are also more compre- hensive collaborations in a few cases such as common programs. Nevertheless, there remains great potential for Latvian HEIs to foster international collabora- tions,55 especially via a more strategic approach in this field, even if the process of developing joint doctoral programs can be complicated. At the moment, financial support via ESF funding also targets the development of joint doctoral study programs in an EU language. Systematic links between HEIs and the private sector are insufficiently deve- loped. Comparable to the field of international cooperation, most collaborations of HEIs with the private sector are based on the connections of individual acade- 55 The legislative framework contains a few provisions on these collaborations, including the require- ment that joint study programs and joint doctoral schools comprise a jointly developed quality assurance system (LIHE: Section 551). 178 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers mics. An important link is the co-supervision of doctoral students by external experts, but some are also engaged in research projects in collaboration with the private sector or financed by companies, on the basis of an agreement between the private partner and the HEI. Work in the private sector can be recognized as work toward the thesis if it fulfills certain requirements. Some HEIs have hardly any links with the private sector; others foster them on a broader basis. Although systematic collaborations in the field of doctoral education that go beyond personal ties are rare at the moment, there are attempts to improve collaboration, for example, via the development of doctoral programs in close cooperation with the private sector or efforts to introduce a professional doctorate. One institution tries to incentivize that via its bonus system (without financial involvement of the private sector in this system). The different forms of cooperation in the field of doctoral education are not sufficiently formalized to maximize their benefits. Important issues in that res- pect are a strategic approach to collaborations, which relates them to institutional missions and objectives, appropriate governance arrangements, and adequate poli- cies and procedures (including co-tutelle agreements56). None of those elements have been implemented by Latvian HEIs on a broader scale so far. 2.4 The Postdoctorate The activities of Latvian HEIs with respect to the postdoc reflect the absence of a clear concept of “postdocs” in the Latvian system-level framework (for example, a definition of what a postdoc is, and targeted policies related to that definition). A lack of attention to the postdoc — even though it is not necessarily an obligatory step to advance in an academic career — is a common phenomenon in many countries. It applies also to Latvia. An important reason for that is that the legislation and the (formal) Latvian academic career system do not provide for such a position in the form of a clearly defined potential step to advance in an academic career. That can also be a disadvantage in the inter- national competition for young researchers and for young Latvian researchers looking for a period of mobility abroad. A first “definition” of “postdoc” was only recently introduced in Latvia. That “definition” derives from a government sup- port program for postdocs financed via ESF funding, which has as an eligibility criterion that the postdoc earned his or her doctorate no longer than five years ago. However, that “definition” has no legal significance beyond the government program. In addition, some academics consider themselves postdocs due to their involvement in EU-funded research projects, which use that term in admini- stering programs. ESF-financed postdoc grants, which were introduced recently, provide a new impetus for support measures for young academics. In many countries, support for postdocs aims at enabling them to focus on their research and boost their career progression. Such a form of support for young academics can hardly 56 A co-tutelle agreement is a “bilateral inter-institutional agreement signed by the Rectors, which usually involves two supervisors, one from each university, some periods of study and research at the other university for each participating candidate, and a double diploma issued after the defence of the doctoral thesis” (http://www.eua.be/eua/jsp/en/upload/Doctoral_Programmes_Project_Report.1129278878120.pdf, p. 28). REPORT 2: Academic Careers in Latvia: Status Quo Report | 179 be found in Latvia, even though young academics, who tend to be employed as (senior) researcher or docents, have access to the support that all academics receive (for details on these opportunities, see Chapter 3.2 ‘Institutional Human Resource Management’), and institutions might try to provide them with positions. As of late, postdoc grants financed via ESF funding are one opportunity to sup- port academics at an early stage of their careers. In addition, at least one insti- tution had already introduced support measures for “postdocs” before that by supporting the participation of around 27 of them in projects financed via institu- tional funding that lead to higher salaries and better equipment, and providing them with a manual for academic career progression. That institution now attempts to use the new funding opportunity to systemize its activities in the field. However, Latvian HEIs have not yet developed comprehensive policies and guidelines on postdoc positions, which would be one important element of career support for young academics. 180 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers 3 Academic Careers: Development and Advancement 3.1 Academic Work and Careers Status and Role of Academics System-level provisions on academic work and positions have major direct implications for the status of academics. Regardless of the high staffing auto- nomy of Latvian HEIs on paper, the national framework is substantially steering the recruitments, salaries, positions, and ranks of academics. The system-level framework of academic careers consists of at least four dimensions: 1) The system-level regulations distinguish between “academic” and “research” positions, which primarily focus on teaching and research, respectively — at least in the case of professors and associate professors, this is not an ex- clusive focus according to the legislation, since the task portfolio of position holders is supposed to comprise research (LIHE: Section 28; Section 30).57 a. Academic positions are stipulated in the Law on Institutions of Higher Edu- cation (LIHE). b. Research positions are also determined by the Law on Scientific Activity (LSA). 2) The system-level regulations on academic careers and qualifications a. The academic career track consists of the positions of assistant, lecturer, docent (often translated as assistant professor by academics), associate professor, and professor (LIHE: Section 27 (1)). b. The research track of academic careers consists of the positions of (research) assistant, researcher, and senior researcher. c. The system-level regulations on qualifications for associate professors and professors. 57 In the following, the term “academic” still refers to individuals engaged in teaching and/or research unless used in combination with “position” to refer to the specific position defined in the Latvian legislation. REPORT 2: Academic Careers in Latvia: Status Quo Report | 181 d. The regulations on the share of doctoral degree holders among academic faculty. e. The regulations on the minimum number of doctoral degree holders in branches of science. 3) The system-level regulations on selection and recruitment a. The selection of academics is based on elections. b. All academic positions are based on six-year fixed-term contracts (that is, all positions are reopened every six years). 4) The system-level regulations on salaries and working time a. The workload (teaching hours) for academic positions is defined in the legislation. b. The minimum salaries of academic positions and management positions are defined in the legislation. While some of the regulations in the four dimensions provide flexibility for institutions, they strongly steer the personnel management of HEIs. The per- sonnel policies and HR management were discussed in institutions in the context of the abovementioned national framework. There is some variation among HEIs in how strictly the framework is applied, and what is considered to be the level of institutional autonomy in personnel affairs. However, the national framework has significant impact on institutional policies, thereby restricting the ability of HEIs to decide freely on several key aspects of personnel management. Those impacts are discussed below. Teaching and research tasks are institutionally disconnected. While the LIHE stipulates that academic positions also comprise research activity, in practice, this often does not seem to be the case or takes place only to a limited extent. The clear separation of the two tracks (academic positions and research posi- tions) seems unusual from an international perspective, since academic jobs in most other countries generally comprise both teaching and research tasks. Contractual arrangements of academics are highly complex and consist of changing individual combinations of positions and tasks. Academics in Latvia can hold one position from each track at the same time. In contrast to other higher education systems, most academics in Latvia do not hold one (full-time) position for which a certain, more or less stable task portfolio is defined. Their contractual arrangements with an HEI can comprise several positions with a separate contract for each, and their task portfolios can be subject to frequent change. An important reason for that is the separation of academic and research positions in legislation, since many academics hold one position from each track. In addition, there is a close connection between the different types of positions and HEIs’ income sources, which makes it all but impossible for institutions to offer “integrated” contractual arrangements. Additional posts in the academic self-governance and tasks not covered by the positions mentioned, such as the involvement in externally funded research projects, further increase the complexity of con- tractual arrangements. Holding any position for more than six years requires being reelected in an open competition. The Latvian approach contrasts with an element impor- tant for most other higher education systems, namely, to provide senior-level academics with the stability in employment needed for long-term research pro- 182 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers grams and academic freedom. In addition, the way in which elections must take place restricts HEIs in engaging strategically in matters of staffing (for a detailed discussion see Chapter 3.2 ‘Institutional Human Resource Management’). The workload (that is, the total volume of paid work at one HEI) and the com- position of an individual’s portfolio of positions and tasks seldom remain stable over time. The volume and share of different positions and tasks among the workload of academics can change because of, for example, a shift in student numbers and the related demand for teaching capacities, and the acquisition of a new research project. Such changes can take place from one year or semester to another, or even every second month, and are reflected in an annex to the respective contract. In addition to academic positions and researchers’ positions, another staff category defined in the legislative framework is “visiting academic,” an elec- ted academic (for details on the election process see below) who holds a position at another institution. Visiting academics can hold a professor, associate pro- fessor, docent, or lecturer post, and a senior researcher or researcher post for up to two years. They can be hired directly by the Senate, that is, they do not have to be elected. The framework also allows for academics on per-hour con- tracts (who are not visiting academics).58 In addition to direct implications, the national framework has many indirect implications for academic work and careers, including: • Employment at an HEI is often complemented by side jobs. The salary levels in academia are rather low in Latvia, especially at lower academic ranks (for a detailed discussion of salary levels, see Chapter 4.1 ‘Academic Salaries in Latvia’). Since academics do not necessarily have a full-time position at one HEI, they might have to top up their salaries to make a decent living. That is why many of them have side jobs. That includes giving lectures at other HEIs as visiting academics and/or on per-hour contracts, and working outside of the higher education sector, for example, in industry. • The volatility of contractual arrangements and low salary levels lead to continuous challenges for many academics. Academics need to ensure that they have a sufficient work portfolio by combining positions and tasks at one HEI and, potentially, by taking up multiple jobs. Even though many HEI admini- strations support academics in that respect, the main responsibility remains with the individual academic. Challenges can be particularly great for those who work (primarily) on per-hour contracts. Salaries for per-hour contracts are comparatively low, and HEIs appear to use per-hour contracts to cope with the volatility of institutional income in the Latvian higher education system. • A high workload adds to the strain of academics. The need to combine different positions and tasks can easily lead to high workloads, particularly if there are sudden changes in work portfolios such as when academics acquire an externally funded research project. Insufficiently clear definitions in the legis- lation add to that in some cases. HEIs interpret differently the workload band of 58Some HEIs appear to subsume academics on per-hour contracts under the category of “visiting academics.” REPORT 2: Academic Careers in Latvia: Status Quo Report | 183 600 to 1,000 hours per year for academic positions stipulated by the legislative framework, which serves as the basis for negotiations on the exact workload between an academic and an HEI’s leadership. Whereas some institutions consider those hours to cover the preparation of courses, management activi- ties related to study programs and other tasks, some institutions interpret them as contact hours.59 In some cases, the need to prove to the MoES work in research projects in a very detailed way further increases workloads. • The fragmented character of the work of many academics and the high work- load can lead to unfavorable conditions for academic work and develop- ment, especially related to the connection between teaching and research. The working conditions of academics are often characterized by fragmentation. That raises the question of to what extent a compilation of different positions and tasks provides the same conditions for academic development as one “integrated” full-time job — even though one effect of this system is that it creates “academic entrepreneurs” who are able to raise funding, which is an important skill for researchers. Among the challenges that are particularly pronounced is the need to ensure the link between teaching and research — even though at least one HEI does not consider this a problem (though this might be due to particular institutional circumstances) — since academics need to be research-active for (re-)elections. One strategy is for academics to ensure that they hold parallel positions in the two tracks. Nevertheless, the framework condi- tions are not conducive to that, particularly the separation of teaching and research positions in the legislation. In addition, institutions might foster that separation to increase efficiency. Another challenge for academic development is the scarce time for research, which is a key determinant of successful academic careers. High workloads and heavy engagement in teaching are important factors in that respect. • The working conditions in academia negatively impact the overall attractive- ness of academic careers. Unfavorable conditions for academic work make intrinsic motivation an important factor in choosing to become an academic. Thus, there are many highly motivated individuals in Latvian HEIs. However, in some cases, the effect of the working conditions appears to be a spirit of resignation. Overall, the conditions might restrict the attractiveness of academic careers in Latvia, with a negative impact on the HEIs’ possibilities of recruiting domestic talent and foreign academics. The lack of attractiveness is a problem, especially for young academics who had not committed themselves to an aca- demic career before the financial crisis and are flexible in building their career. The problem is particularly evident for teaching positions, in which the salaries are much lower than in (externally funded) research positions. • The complexity of contractual arrangements affects the management of human resources. Due to the multiple contracts and major differences among individuals in employment, the human resource management is fragmented and complex. Individuals are not seen as “resources”; rather, the hours are resources that are shared among individuals. In the worst case, this makes the personnel management a zero-sum game and a platform for individual optimization. 59 There are also other cases where HEIs lack a clear understanding of government regulations. In some cases, that leads to the assumption that “all that is not explicitly allowed is forbidden,” which might prevent institutions from engaging in certain activities. 184 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Unions are not always systematically involved in the discussions surroun- ding the framework and conditions of academic work. Many of the provisions in the legal framework and in the HEIs’ policies, and their effects on academic work and careers in Latvia concern issues that lie at the heart of the work of Unions. Nevertheless, unions do not systematically participate in the discussions on those issues in all cases. That applies to the national-level trade Union, the Latvian Trade Union of Education and Science Employees (LIZDA), and the HEI-specific unions (some of which are LIZDA members). Considering academic careers in Latvia from the perspective of the “three careers of an academic” highlights the magnitude of challenges for academic development. One way of approaching the complexity of the career development of academics is to distinguish analytically three different academic careers (Gläser and Laudel 2015): 1) A “cognitive career” that refers to the research conducted;60 2) A “community career” that refers to the position within the scientific commu- nity, including an academic’s reputation, status, and role; 3) An “organizational career” (Gläser and Laudel 2015, 13) that refers to the orga- nizational positions. Academics pursue the three careers in parallel, and these are interlinked. When applying the model to the situation in Latvia, it appears that overall the organizational career is highly fragmented and that the conditions for the cogni- tive career are not always supportive, which can make progressing in one’s academic work and career(s) comparatively challenging. Career Patterns Two particular factors of the system-level framework have far-reaching implications for academic career patterns in Latvia: the election system and the six-year rule. As mentioned, academics in Latvia (with only a few excep- tions61) are elected to academic and research positions for a period of six years, and there are no other national policies or recommendations on academic careers. Those elections are conducted by academic peers, and are preceded only by an assessment of candidates according to certain criteria, which are in parts determined by the system-level framework. As a result of the system, there are no contracts for individuals on academic and research positions with a shorter or longer duration than six years, nor are there permanent posi- tions. Even renowned academics who have acquired research grants need to be (re-)elected, despite their obvious value for institutions and the approval via other peer-based procedures such as grant applications. However, in some cases, there appears to be hardly any competition during elections. Even though the elections stipulated by the system-level framework are supposed to be competitive procedures, the actual extent of competition 60The analytical model focuses on research when it comes to the content of academics’ work. 61Exceptions are visiting academics, academics on per-hour contracts (who are not visiting acade- mics), and, under some circumstances (see below), retired academics. In addition, there appears to be a possibility to hire academics who were not reelected for an additional year. REPORT 2: Academic Careers in Latvia: Status Quo Report | 185 appears to be limited in many cases. Due to the small size of the Latvian higher education system and its limited level of internationalization (see also below), there are often only few candidates competing for positions, or maybe even only one suitable candidate. Positions might also be tailored to a particular candidate, restricting the actual possibilities of competitors from the outset. In addition, networks among academics might have a strong influence on the outcomes of election processes, since those who elect academics have themselves to be elec- ted at some point, potentially by the same academics they elected. Nevertheless, the election system and the continuous competition (in some cases) can also have negative effects on the working atmosphere within HEIs and subunits, and on individual academics. Where there is no real competition, the election procedures unnecessarily consume a lot of time of the applicants and the com- mittees involved. Because of the vacancy-based model, the Latvian system-level framework precludes systematic approaches to career progression by HEIs, wherefore academic careers are highly individualized. The sequence of academic posi- tions in Latvia is mostly comparable to those in other countries. However, as is often the case, the middle positions (that is, lecturer, postdoc, and docent) might cause some confusion in an international comparison. A structured and linear progression from one rank to another (that is, a tenure track or similar promotion scheme), which many countries intro- duced, would currently clash with the election system and the six-year rule, regardless of the clear definition (including qualifications) of the academic ranks. The fragmented character of academic work poses additional barriers for structured career patterns. As a result, there are no predictable and transparent career tracks in Latvia, so that career perspectives are opaque — even though some academics consider their possibilities for career advancement to be clear. Each career is quite individual and specific in its successive combinations of different types of positions and tasks in the higher education sector and employ- ment outside of it. The unpredictable workload and the related risk (and stress) are particularly prevalent during the early and middle stages of careers. Even though there appear to be positions at lower academic ranks and in the academic self-gover- nance that are rather easy to get, ensuring a sufficient income and good condi- tions for academic development seem to be major issues for younger academics. Advancement to senior positions is mainly dependent on the availability of posts and — while this might be a more common situation in other countries, as well — this is further impacted by the absence of a mandatory retirement age in Latvia (see below). Personal ties and the opportunities for acquiring certain types of funding play an important role for career progression due to the lack of structured career paths. Thus, securing favorable conditions for academic work (especially for engaging in research) and a good position for obtaining posts are the most important factors for career advancement. A key determinant for possibilities to engage in research is the involvement in externally funded projects, which also leads to comparatively high salaries. Therefore, acquiring those projects or having the possibility to participate in them is imperative for (young) acade- mics. Sufficient research experience and output is also an important factor behind obtaining posts. Another important factor is personal connections. There 186 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers are hardly any possibilities for mobility within Latvia in several disciplines, where- fore connections to a particular unit of an HEI can be necessary to have a realistic chance of entering a higher position. In general, personal ties are important, since election decisions are made for the most part by future colleagues. Again, that may lead to unhealthy academic conformity and prevent new ideas and initiatives from emerging that could challenge the status quo. Another element of the system-level framework that shapes academic careers in Latvia is the absence of a mandatory retirement age in the higher education sector. Most higher education systems stipulate the automatic retirement of academics at a certain age. As the result of a Constitutional Court ruling, however, since 2003, there has been no automatic retirement in Latvia, which took place previously when academics turned 65. The court ruled that the mandatory retirement age contradicted the legal right to freely choose one’s occupation and place of work unless one’s skills and qualifications are not sufficient. Since then, academics can be elected at any age, and might receive their pension in addition to their salary. In addition, HEIs can provide academics with “emeritus” status, the details of which institutions are free to design them- selves. Some academics benefit from additional state support as “state emeritus scientists.”62 Currently, the share of professors over 65 years of age among all professors ranges from 22 to 51 percent at five of the six case study institutions, whereas there is no professor in that age group at one institution.63 The opinions on forced retirement in the higher education sector were mixed at the time of the Constitutional Court ruling and are still mixed today. Those supporting the absence of a mandatory retirement age stress its discriminatory character, the value of older academics for HEIs, and the challenges of filling senior posts in some institutions and fields (especially under the current circum- stances that sometimes make it difficult to attract young academics). The issue of retirement was also linked to the quantitative targets of having a minimum number of professors and doctoral degree holders in an institution and study direction. Those who support a mandatory retirement age point out that its absence hampers the rejuvenation of the academic staff body and the overall development of the higher education system (also because not all older profes- sors might continuously update their knowledge, competences, and teaching style), and restricts the opportunities of young academics (including in some cases the number of teaching hours available to them, which are relevant for their salaries), and that mandatory retirement motivates academics to plan their succession. Even though the six-year rule is responsible for several of the downsides of academic career patterns in Latvia, the interviewed academics and managers where not unanimously against the rule. The absence of a mandatory retire- ment age attaches some value to the six-year rule. That absence poses obstacles 62 The Latvian Academy of Sciences (LAoS) confers the status of “state emeritus scientist” on excep- tional scholars who have reached the overall pension age in Latvia. The conferral requires the opi- nion of the Council of the State Emeritus Scientists, whose composition is approved by the MoES. A state emeritus scientist receives a lifelong allowance of EUR 213.43 per month. The allowance is financed from the state budget and administered by the LAoS. The overall amount allocated that way is EUR 606,994 in 2017, with the number of recipients capped at 237. The entire procedure (from the process for establishing the Council of the State Emeritus Scientists, to the nomination process of state emeritus scientists, to the amount of the allowance) is determined by the Cabinet of Ministers. 63 Data provided by the case study institutions; latest year available. REPORT 2: Academic Careers in Latvia: Status Quo Report | 187 for the rejuvenation of the academic staff body — which is also an objective of the system-level policy framework — and for good career perspectives for young academics. The termed contracts due to the six-year rule and the possibility of evaluating the performance of academics during the election process provide for one possibility to terminate employment in the absence of sufficient perfor- mance, as long as elections actually work as intended. Internationalization Internationalization64 could play an important role in the development of the Latvian higher education system. Incoming and outgoing international mobility is crucial for higher education systems, because of the exchange of highly skilled individuals and the knowledge it enables. That is particularly rele- vant for smaller higher education systems such Latvia’s, where mobility within the country is limited. However, Latvia has a closed and — it seems — to some extent inward-looking higher education system, wherefore the question of how it could open up is imperative. The legal framework and the conditions for academic careers pose major obstacles for internationalization in Latvia. One of the major obstacles is language restrictions. Any individual who wants to become an elected academic must be fluent in Latvian. The only exception is visiting academics. However, at least one HEI introduced a rule stipulating a maximum of two consecutive nominations as visiting academic. In addition, institutions must offer their study programs in Latvian.65 Since those restrictions apply only to the public higher education sector, this sector is at a disadvantage compared to the private sector. Many of the characteristics of academic careers in Latvia are highly unusual from an international perspective and limit the attractiveness of academic work and careers in Latvia (see above). That further restricts the possibilities for inter- nationalization. Low salaries, especially compared to Western countries, and the challenging financial situation of many HEIs add to that. If an HEI were to attract foreign academics and pay them an internationally competitive salary under the current zero-sum approach, that would imply that other staff members would need to earn less than they otherwise would. There appear to be hardly any national policies supporting international mobility that could help HEIs overcome the barriers. Potential options in that direction — beyond establishing conducive legal conditions — include: •Marketing and facilitating incoming mobility at the national level, for example, via ensuring the availability of information in English (or, potentially, another ma- jor European language) 64 Internationalization can be defined as “the process of integrating an international, intercultural or global dimension into the purpose, functions or delivery of higher education” (Knight 2004, 11). As a set of activities, internationalization can be “described as study abroad, curriculum, academic programmes, international students, institutional linkages and networks, development projects, and branch campuses” (Knight 2009, 10). In the context of academic careers, mobility plays a particularly important role, wherefore this section focuses on the mobility aspect of internationalization. 65 Exceptions are programs for foreign students and programs developed under EU programs and interstate agreements, where up to one-fifth of credit points can be offered in an official EU language; language and culture studies and language programs where foreign language teaching is required for achieving the program objectives; and joint study programs, which can be implemented entirely in official EU languages. 188 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers •Ensuring that there are English-speaking contact points in the administration; •Providing dual career66 services; •Offering support on social security issues. With respect to outgoing mobility, options include providing grants, even though it is crucially important to take into account the return of academics and related mechanisms. None of those mechanisms appears to be in place in Latvia (on a broader scale), with the exception of ESF-financed support for the mobility of academics. However, one requirement for applications for ESF-financed support is to demonstrate the mobility of researchers and their collaborations with foreign partners, and ESF-financed support programs target HEIs’ efforts to attract foreign academics. HEIs nevertheless maintain some internationalization, and individual career trajectories of many academics in Latvia exhibit some international mobility. HEIs manage to tackle the challenges for internationalization to some extent, and employ a number of foreign academics, in particular, as visiting academics. With respect to both incoming and outgoing mobility, support instruments such as Erasmus+,67 KUNO,68 and Nordplus69 are important factors. A form of inter- nationalization of greater importance in Latvia is international networks build via, for example, the participation of academics in international conferences and the involvement of foreign academics in the supervision of doctoral students. Those activities seem to be of great value for HEIs to, among other things, access equipment and expertise not available to HEIs. The closed character of the Latvian higher education system makes inter- nationalization an important activity for HEIs, but there appear to be deficien- cies in the HEIs’ approaches in that area. In general, internationalization is one way of improving the quality of academic work, especially if institutions have developed adequate policies and activities. Under the challenging framework conditions in Latvia, devising adequate policies and activities would require institutions to find a realistic interpretation of their internationalization in HR development objectives. At the moment, it appears questionable whether HEIs have such an interpretation, and adequate policies and activities related to it. Nevertheless, institutions have established various international partnerships, including via mobility instruments such as Erasmus+, which are used to also attract visiting academics. 66 This refers to couples where both partners pursue an (academic) career and their specific needs. 67 “Erasmus+ is the EU’s programme to support education, training, youth and sport in Europe. Its budget of €14.7 billion will provide opportunities for over 4 million Europeans to study, train, gain experience, and volunteer abroad. Set to last until 2020, Erasmus+ doesn’t just have opportunities for students. Merging seven prior programmes, it has opportunities for a wide variety of individuals and organisations.” (https://ec.europa.eu/programmes/erasmus-plus/about_en) 68 KUNO is a Nordplus network of 18 Nordic-Baltic fine art academies that promotes cooperation, including financial support for student mobility (https://www.kunonetwork.org/). 69 “Nordplus is the Nordic Council of Ministers’ most important programme in the area of lifelong learning. More than 10,000 people in the Nordic and Baltic region benefit from it every year.” (http://www.nordplusonline.org/) The activities of Nordplus include the Nordplus Higher Education Programme that supports cooperation and mobility among HEIs from the Nordic and Baltic countries. REPORT 2: Academic Careers in Latvia: Status Quo Report | 189 3.2 Institutional Human Resource Management Staffing Requirements concerning the composition of HEI academic staff and the frame- work conditions for contractual arrangements with academics limit the latitude of institutions in managing their academic staff. In principle, Latvian HEIs are autonomous in managing their academic staff, for example, opening and closing positions, defining the task portfolios of academics, and hiring senior academics without needing approval from the government. However, system-level regula- tions and framework conditions limit that autonomy. First, institutions need to secure a sufficiently broad range of teaching and research activities. That includes covering several areas of (sub-)specialization to meet the needs of students and external stakeholders such as the general education sector and industry. Additional requirements in terms of academic staff composition relate to stipulated shares of certain types of academics. That includes defined numbers of pro- fessors for opening programs and getting them accredited, and fulfilling system- level provisions such as a defined share of doctoral degree holders among the academic staff body and of foreign visiting academics.70 Second, institutions do not have the possibility of freely creating positions for which certain task portfolios are designed (for details see Chapter 3.1 ‘Academic Work and Careers’). Due to the legal framework, HEIs must assemble the contractual arrangements with their academics from different positions and tasks. The con- nection of positions and tasks to different funding sources, and the overall complexity of contractual arrangements further restrict the flexibility of institutions in designing employment relations with academics. Continuously reassembling the task portfolios of academics and making use of certain staff categories are the main strategies for HEIs to function under the given circumstances. The magnitude of challenges and the potential solu- tions related to managing the human resources vary among institutions and, in particular, subunits, where many HR-related processes are located. Important factors in that respect are the institutions’ and units’ student numbers, activity profiles, and funding sources, which also have a major influence on the overall financial situation. Nevertheless, all institutions and units need to deal with the challenges mentioned. A first approach followed by institutions and units is to reassemble the contractual arrangements with academics in line with changing circumstances and demands, and the funding available. A second approach consists of using the possibility of hiring visiting academics and/or academics on per-hour contracts (who are not visiting academics) to cover all specialties and to absorb volatility. That includes professionals from outside the higher education sector who have additional advantages such as the professional experience they bring to HEIs. The way in which HEIs and their subunits (have to) approach the manage- ment of their staff has several critical implications. The complexity of contrac- tual arrangements and the need to engage in continuous negotiations require 70 However, there appears to be no systematic enforcement of these requirements by the govern- ment. 190 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers much time from the leadership and administration of institutions. Those conditions make it challenging to deliberately promote a staff structure where appropriate importance is attached to research, teaching, and administrative tasks, since external requirements and the funding available are the main determinants of academics’ activity profiles. That also makes it hardly possible to ensure equal treatment of staff with different funding sources such as project and budget funding. Some HEIs face challenges in providing academic staff members with a sufficient workload and adequate working conditions. That concerns, among others, ensuring that they have a sufficient workload to earn a decent salary. That has become particularly challenging in some institutions, which appear to have protected existing positions during the various funding cuts in recent years via major cuts in the workload attached to the positions and which, in addi- tion, face challenges due to demographic decline affecting student numbers. In addition, it is not clear whether the individual combinations of several positions and tasks is in line with HEI needs, which might benefit from academics working on one “integrated” position. The involvement of external staff members (on per-hour contracts) has impli- cations for sustainable personnel management. While necessary to deal with external requirements and the associated volatility, hiring external staff members might reduce the (teaching) workload of regular staff members. Moreover, a large number of external staff members can create challenges for HR management since they are not working under the same employer’s policies as the regular staff members. HEIs have almost no possibility of steering the secondary employment of their academics, but many consider academics’ side jobs to be an asset for the institution. There are only scant options for institutions to influence whether and to what extent their academics take side jobs, since there are no sector-specific regulations covering side jobs of academics outside the higher education sector. Nevertheless, several HEIs do not consider that problematic. One reason for that is the perceived positive effects of secondary employment outside of the higher education sector on HEI activities. Academics working in the private sector gain professional experience, which some HEIs value, also with respect to the benefits for students. Gender equality appears to be less of an issue in Latvia than in other higher education systems. Whereas many countries make great efforts to increase gender equality in academia, Latvian HEIs perform well in that respect. Women comprise 55 percent of academic staff members at public HEIs.71 Among pro- fessors, that share is 41 percent, which is a comparably high share in Europe. One reason for that might be that salaries are significantly higher in the private sector. However, gender equality might be less advanced when it comes to leadership positions.72 71 Authors’ calculations based on data provided by the MoES; latest data available. 72 However, the World Bank team does not have any statistical data on this issue. REPORT 2: Academic Careers in Latvia: Status Quo Report | 191 Selection and Recruitment HEIs have only limited possibilities to design strategic recruitment procedu- res because of restrictions deriving from the system-level framework. Recruit- ment plays a vital role in the strategic development of institutions. Thus, the natio- nal framework needs to provide HEIs with sufficient latitude in that area. That is not the case in Latvia, in particular, with respect to the recruitment of profes- sors and associate professors. Provisions of the system-level framework such as the separation of two career tracks (which results, among others, in complex contractual arrangements) and the six-year rule determine important characte- ristics of the contracts HEIs can offer academics and, therefore, limit the HEIs’ flexibility in designing the contracts strategically. Furthermore, the legislation pre- scribes several aspects of recruitment procedures — whose implications for stra- tegic selection and recruitment are discussed also in the following paragraphs. That includes criteria for assessing the eligibility of candidates — even though there are possibilities for HEIs to adapt them (see below) — and the bodies responsible for recruitment decisions, including the involvement of external reviewers (even though this provision seems not to be implemented in all cases). Provisions regarding the bodies responsible for recruitment decisions preclude the involvement of the institutional leadership, and, in some cases, lead to undue external influences on recruitment procedures. Recruitment procedures and decisions involve the institutional leadership in many countries, in particular, when it comes to senior academic positions. That involvement is important to, among other things, ensure that recruitment decisions are in line with institutional strategies and to counterbalance internal dynamics within units that might reduce the quality of selection outcomes. The recruitment procedures stipulated by the Latvian system-level framework do not allow for the (formal) involvement of the institutional leadership. The right to make decisions (that is, to vote during the elections for academic and research positions) is ascribed to a “Council of Professors” (for details see Box 3) in the case of professors and associate professors, and to collegial bodies (on the unit level) in other cases. External influences on the Councils of Professors interfere with the principle of institutional autonomy in recruitments. Only academics who received “expert” status from the Latvian Science Council are eligible to be members. Moreover, if units do not have a sufficient number of eligible academics to form their own Council of Professors, the elections in some cases seem to be held in a Council of Professors at another HEI. While the LIHE stipulates the establish- ment of inter-institutional (‘joint’) councils for such cases, in practice, the issue described in this section seems to occur — the authors assume that this might happen in highly specialized (sub-)fields which are only offered by a very limited number of institutions. In those cases, the selection of persons to be recruited is in fact made by other HEIs, which is highly unusual from an international perspective. The institutional leaders can only approve the decision by recruiting the elected candidate. That might lead to a situation where the institution at which with the Council of Professors is located might compete for the same academic. The legislation rules out a system of checks and balances common in many other countries, which could ensure a balance between professional recruitment (which emphasizes the role of the disciplinary community in decision making) and organizational recruitment (where recruitments are made according to the organizational regulation, emphasizing the strategic fit of the recruited person). 192 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Box 3 The Council of Professors A Council of Professors is a field-specific body staffed mainly with senior academics with the responsibility to appoint professors and associate professors. HEIs must establish Councils of Professors in the respective (sub-)field for the election process for professors and associate professors. The Council of Higher Education (CoHE) approves lists of those fields for which councils have to be established.a Each council consists of at least five elected professors. At least one-third of its members shall be external members (professors or represen- tatives of professional associations). A council’s chairperson proposes its composition, which needs to be approved by an institution’s Senate. If an HEI does not have five professors in the relevant field, professors from other institutions can participate in a Council of Professors. That requires the approval of the Senates of all HEIs involved. If three or more professors from other institutions are part of a council, the CoHE must approve the composition. Source: Authors based on the LIHE and information provided by the MoES. Note: a. http://www.aip.lv/prof_saraksts.htm (in Latvian). There are a few elements of selection procedures that HEIs can influence, including the criteria for determining the eligibility of candidates. The compa- ratively greater latitude in implementing selection procedures for lower acade- mic ranks leaves some room for adapting them strategically. However, since the senate of HEIs decides on the design of those election procedures, adaptations appear to be challenging in some cases due to potentially conflicting interests that make any change unlikely. With respect to selection procedures for all posi- tions, HEIs are able to influence the basic requirements for obtaining positions and the criteria used to determine whether an applicant is eligible for a position during the election process.73 The legal framework allows institutions to select criteria from a defined list that covers teaching, research, and administrative tasks (see Table 3), while prescribing a minimum number of criteria that must be chosen from each of the three fields for professor and associate professor posi- tions. The related assessments cover only the last six years. In addition, HEIs appear to be able to adapt the criteria also beyond choosing them from the list, which allows them to adapt the criteria to their profile and strategy. Nevertheless, there seem to be problems with the criteria in some cases. Criteria might not be defined sufficiently clearly, especially those determined by the legislation, which makes it difficult to assess them. There might also be a pro- blem with research-related criteria for those academics who are engaged almost exclusively in teaching. Another challenge can be that criteria are not adapted to disciplinary cultures, for example, when bibliometric indicators common in the sciences are used in the same way in the humanities. 73 There are additional minimum requirements for positions determined in the legislation, for example, the need to have a doctoral degree and three years of work experience as associate professor or pro- fessor for a professor position (LIHE: Section 28). REPORT 2: Academic Careers in Latvia: Status Quo Report | 193 Table 3 Criteria for the evaluation of the scientific qualifications, pedagogical qualifications, and organizational skills and competence Scientific qualifications Professor: at least three criteria; associate professor: at least two criteria 4.1.1. Scientific publications in the editions that are included in the list of generally recognized scientific editionsa 4.1.2. Participation in international scientific conferences (with any kind of reports) in Latvia and abroadb 4.1.3. Management of or participation in the implementation of the Latvian Science Council’s or other national research projects and programs 4.1.4. Management of or participation in the implementation of internationally funded research projects 4.1.5. Management of scientific contract work or participation in its implementation 4.1.6. Expert activity in the Latvian Science Council’s and international projects and programs 4.1.7. Management or participation in the implementation of international artistic creativity and sports projects, as well as participation in exhibitions and competitions 4.1.8. Received patents and licenses Pedagogical qualifications Professor: at least five criteria; associate professor: at least four criteria (two criteria for professional programs) 4.2.1. Supervision of the work of doctoral students 4.2.2. Supervision of the work of master’s students 4.2.3. Management of lectures and seminars 4.2.4. Design of study courses 4.2.5. Design and management of study program 4.2.6. Participation with presentations at academic conferences 4.2.7. Preparation and publication of textbooks and teaching aids (already published works) 4.2.8. Raising of qualification in foreign and Latvian HEIs or research institutionsc 4.2.9. Reading lectures at foreign universities Organizational skills and competence Professor: at least three criteria; associate professor: at least one criterion 4.3.1. The management or participation in the activities of scientific and academic commissions or collegial bodies 4.3.2. The management or participation in the activities of organization commissions of international conferences 4.3.3. The management or participation in the activities of the editorial board of scientific publications 4.3.4. Management of a faculty, institute, professors’ group, chair, laboratory 4.3.5. The management or participation in the activities of international scientific, academic, or artistic associations 4.3.6. Engagement as officially approved consultant of state, local government, or other juridical or nonjuridical companies Note: a. This list is approved by the Council of Science (http://www.lza.lv/ZV/zv991600.htm#10). Professors need to have five publications, associate professors three publications. b. Professors need to have attended five conferences, associate professors three conferences. c. That is, teaching or conducting research in other scientific institutions. 194 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Recruitment procedures are generally transparent. The transparency and cla- rity of processes is one important way of ensuring the quality and reliability of recruitments. In Latvia, that is the case when it comes to the procedures, roles, and responsibilities of the actors involved, and the basic requirements for being eligible to obtain a position. One reason for that are the national-level regulations on the process. Job descriptions, another important element of recruitment procedures, appear to be communicated less transparently. Even though several HEIs develop some sort of job descriptions/specification, they might not be very spe- cific, and are not made publicly available and shared with applicants in all cases. In addition, they might be hardly related to the institutional and unit strategy. Measures to ensure equal treatment appear to consist mainly of compliance with national-level provisions ruling out differential treatment. The recruitment processes are fast compared to many other countries, but their frequency leads to a lot of work for those involved, making the recruit- ments institutionally inefficient. Recruitment procedures for a professor position lasting on average around three months are common in Latvia, which appears to be fast. However, the frequency of recruitment procedures, which take place every six years for each position, leads to a high workload for HEIs and the res- pective councils. There is a lack of procedures preceding the election process. Additional tools facilitating the systematic search for candidates are rarely used by HEIs (besides personal invitations of potential candidates at at least one HEI). That concerns special search committees with the mission to define the job description, search actively for candidates, oversee the recruitment process, and interact with candi- dates. However, some HEIs have introduced a “procedure” to evaluate the skills of academics by hiring them on per-hour contracts for one year before elections for a position take place. Some HEIs have established procedures to facilitate the start of academics in their new jobs. At one institution, new employees receive information material on working at the institution. The heads of departments and colleagues at that HEI provide additional, informal support. At another institution, superiors introduce new academics to their job description and sign them jointly with them. The size of the Latvian higher education system and the extent of mobility have several implications for recruitment processes. Latvia’s higher education system is small with limited in-country mobility and comparatively low levels of foreign academics (see also Chapter 3.1 ‘Academic Work and Careers’). One effect of that situation is that internal recruitments are the norm rather than the exception. As is typical in small systems, HEI academic staff members were in many cases the institutions’ own students, graduates, and doctoral students. Another effect concerns the extent to which HEIs and their subunits are able to fill vacancies and to which they encounter competition during elections. While there are some HEIs that encounter hardly any challenges with respect to filling vacancies, others do. More importantly, many institutions — as stated before — experience hardly any competition for open positions. REPORT 2: Academic Careers in Latvia: Status Quo Report | 195 Promotion Patterns and Career Advancement The system-level framework and the resulting conditions for academic careers in Latvia limit the possibilities for HEIs to design clear institutional promotion patterns. That includes, first, the six-year rule that — as also discussed below — bars HEIs from designing formal career patterns spanning more than six years. Second, the separation of two career tracks stipulated in the law splits many academic careers in two parts pursued in parallel, each of which HEIs need to deal with separately. Third, the formal regulation of the election of professors and associate professors in the LIHE — which was discussed also in earlier sections — prevents HEIs from designing recruitment procedures strategically, for example, when it comes to the involvement of the institutional leadership. The approach to promotions in Latvia clearly diverges from the approach in most Western countries. Promotion in Latvia is based on a vacancy model and dependent on open positions (see also Chapter 3.1 ‘Academic Work and Careers’). While open positions are also important for career advancement in other countries, in Latvia, that system results in a chain of academic and research positions for which academics can apply and reapply, but there are no promotions in the sense of advancement from one career step to another. The main formal policy option for HEIs to promote the transparency and clarity of career patterns are the criteria for academic positions. Even though the criteria are to some extent predetermined by the system-level framework, HEIs have some latitude in adapting them (for details see above). The transparency of those criteria appears to be high, which is one reason why many Latvian academics consider the process of career advancement as clear. Another reason for trans- parency mentioned by some academics is that the framework for careers is discussed openly in the Senate. The limited possibilities for designing career and promotion patterns also restrict the possibilities for linking them to the implementation of institutional and unit-level strategies. Like recruitments, career patterns and promotions are an important strategic tool for HEIs. However, possibilities for strategic steering in that respect do not exist in Latvia, for example, confirming a post holder accor- ding to clearly defined criteria — even though the (re-)election criteria can to some extent promote the alignment of academics’ activities with strategic objec- tives. To the contrary, the six-year rule might lead to an “unreasonable con- tinuation” of the teaching and research focus of academic positions. In addition, the dependence of positions below the level of associate professor on volatile fun- ding sources appears in some cases to restrict the leadership of HEIs in creating more strategically positions for young academics. However, some HEIs engage actively in planning academic careers (as far as this is possible) and discussing them with staff members. In the Latvian context, with its lack of clear career paths, support for aca- demic development emerges as an important activity of HEIs to promote the career progression of academics. Without possibilities for providing academics with clear career paths and promotion patterns, supporting them in their academic development becomes an important field of activity for HEIs. In addition to staff development activities (see below), helping academics organize and manage their workload is key in that respect. There are HEIs that provide their staff members with sufficient flexibility to organize their workload in line with changing conditions. 196 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers When applying for research projects, for example, academics can develop plans for shifting teaching responsibilities to other (newly recruited) academics or doc- toral students in case the application is successful, or the potential acquisition of research projects is already accounted for in workload planning in the form of a reserve. HEIs are not able to strategically approach the issue of retirement. The natio- nal-level framework does not allow institutions to directly influence the retirement of academics. Nevertheless, some institutions have introduced an “emeritus” sta- tus for professors, which allows institutions to hire these academics as professors without them having to be elected. Institutions appear to be able to hire profes- sors under a one-year part-time contract after they have reached the general retirement age in Latvia, if academics initiate a renegotiation of their contracts at that stage. At the end of that contract period, both the HEI and the professors consider whether they want to extend the contract for another year. Staff Development Staff development activities are particularly relevant in Latvia to mitigate the effect of the lack of clear career trajectories. As discussed, possibilities for career advancement relate closely to the success of the activities of academics in certain areas, especially when it comes to attracting externally funded research projects. That makes staff development activities in those (and other) areas one of the most important measures for HEIs to support academics in their careers. In addition, at least two HEIs have made professional development one of the election criteria for academic positions. HEIs offer a range of staff development opportunities, but some fields seem not to be covered. Offerings that can be found at at least one Latvian HEI include monthly seminars that are also used for an exchange of experiences among academics, and courses covering pedagogy, conflict management, foreign languages, online teaching skills, research methodology, proposal writing, leadership skills, and soft skills such as communication and stress management. Academics in some HEIs also benefit from opportunities and support for confe- rence visits and international exchange, and additional development opportuni- ties such as the possibility to enroll in doctoral programs for free. Some insti- tutions appear to also promote the links of academics with the private sector, for example, by supporting the academics in keeping track of industrial trends. In addition, academic staff members can benefit from ESF-financed government support measures for gaining practical experience and for internships in the private sector, and for improving their higher education management skills. Another form of support on the system level are Latvia-wide seminars on funding applications. Other forms of professional development opportunities appear to be lacking. That includes regular talks with more experienced peers (mentoring), and time management training, which seems to be an important topic due to the often complex work arrangements of academics. HEIs have hardly any systematic approaches to HR development. Key charac- teristics of a strategic approach to HR development include that activities: •Are part of institutional planning and strategic management; •Are based on analyzing the skills needed and the skills gaps; REPORT 2: Academic Careers in Latvia: Status Quo Report | 197 •Lead to a regular program of staff development related to a broader frame- work such as plans for skills acquisition, and systematic feedback and career guidance; •Are supported by modern HR instruments, for example, target agreements and skills development tools. Such an approach appears not to exist at Latvian HEIs. Support for skills develop- ment and career guidance appear to be highly individualized in many cases, and furthermore dependent on the commitment of academics in senior positions. Another crucial factor in that respect is the funding available to HEIs and their subunits. Organization of Human Resource Management and Services HR management and services are organized differently by Latvian HEIs, but in most cases lack a clear mandate. Institutions tend to have departments responsible for HR management at the central level, and some also have HR managers within units. In other, especially smaller institutions, many proces- ses are handled informally in direct contact among HEI members, potentially without a (senior) manager who focuses on HR management exclusively. A com- mon characteristic in many cases is that HR departments lack a clear mandate, even though several of them are proactive and generate good ideas. The respon- sibilities of departments and other actors involved (for example, deans and heads of units) are often not sufficiently developed (that is, the importance of these actors for HR management is not reflected fully in their duties) or not sufficiently clear. In addition, institutional members are not always aware of all the services offered, which in some cases relates to a lack of a coherent offering and informa- tion policy on the side of HR departments. Another challenge in the organization of HR management and services is the unclear and underdeveloped relation between the central and the unit level. Relevant issues in that respect include a potential centralization of skills courses, and approaches and instruments developed at the central level are shared with decentralized levels. HR management focuses primarily on administrative and not strategic tasks, even though there are several proactive HR managers who also engage in activities beyond their core duties. The growing importance of a strategic approach to human resources in many higher education systems led to an adap- tation of the work of the units and actors responsible in that field. That includes a shift from a focus on administrative tasks to a more strategic role: HR manage- ment does not consist of processing paperwork anymore, but becomes respon- sible for translating strategies into operative procedures (such as key performance indicators and processes such as recruitment, selection, promotion, and staff development) and their coordination across HEIs. That shift appears to be still ahead in most Latvian HEIs, even though there are HR managers who are aware of their new roles. Relevant factors in that respect are the overall lack of a strategic approach to HR issues (see also Chapter 5 ‘Concluding Remarks on Strategic Human Resource Management’), the administrative workloads related to the com- plex contractual arrangements in Latvia and the various regulations pertaining to academic workloads and salaries via the different funding sources, and the small size of HR departments. Thus, many HR managers must focus on administrative tasks, in particular, the organization of employment contracts and related support for units and academics, and tasks related to election processes such as making 198 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers announcements for vacancies. Another contributing factor is the decentralized structure of many HEIs, which restricts the (direct) influence that central-level HR managers can have on units. In addition, there are questions concerning the qualifications of HR managers, for example, if they command the required skills in higher education management and have developed a robust service- oriented attitude and behavior — which could make higher education management training to develop these skills a relevant task for HEIs. Important activities that seem to be underdeveloped are providing advice for staff members on where to find funding for new activities and a service portfolio to support careers (see also above). The work of HR units and HR managers is complemented by academic staff- related activities performed outside designated departments, for example, assuring academic integrity (see also World Bank 2017a). The LIHE contains the principle of academic freedom and stipulates that the administration of an institution has “a duty to guarantee and respect the rights of students and academic staff” (LIHE 6(5)), while also addressing an institution’s staff members’ duties with respect to their conduct in the context of the proper functioning of institutions, the rights of other persons, and the fulfillment of their duties (LIHE 26(2)). Instruments used by Latvian HEIs to ensure academic integrity comprise an electronic system to prevent and detect plagiarism, joining which is an eligibility requirement for state-funded study places, ethics committees, and codes of ethics. The information base on academic staff members appears to be adequate. Institutions collect a significant amount of data on their academics, but to what extent the data are used for monitoring and strategic steering purposes appears questionable. At least one institution publishes an annual report on its staff body. REPORT 2: Academic Careers in Latvia: Status Quo Report | 199 4 Remuneration and Performance Evaluation 4.1 Academic Salaries in Latvia System-Level Framework There are only a few explicit regulations on the remuneration of academics in the legislation, granting HEIs autonomy in determining salaries. The main provisions on academics’ salaries in the legislation mandate a defined minimum salary for different academic and administrative positions, and a workload band for academic positions. The Cabinet of Ministers determines the minimum salaries for academic positions and for some administrative posts: rector (EUR 1,552 net), professor (EUR 1,293), prorector (EUR 1,035), associate professor (EUR 1,035), dean (EUR 1,035), docent (EUR 828), head of department/chair (EUR 828), pro-dean (EUR 662), lecturer (EUR 662), and assistant (EUR 528).74 In principle, HEIs are free to pay higher salaries. The minimum salaries are also used in the context of funding allocations from the government to HEIs, including the study place funding and the research base funding. The general minimum salary in Latvia applies to the positions that are not covered by the regulation mentioned, including the positions of senior researcher and researcher. In addi- tion to the minimum salary, the regulation of the Cabinet of Ministers contains a defined workload band for (full-time) academic positions, which ranges from 600 to 1,000 hours.75 Despite the few explicit regulations on remuneration, other elements of the system-level framework have far-reaching implications for academics’ salaries. As discussed in greater detail below, the absence of strict regulations of remuneration does not imply that HEIs enjoy full autonomy in that area. Other elements of the legislative framework together with the conditions of the higher education system in Latvia lead to severe restrictions and to problematic effects for HEIs and academics. A first important factor is the scarcity of funds available 74 The regulations also define a gradual year-by-year increase in minimum salaries. Starting in 2017, salaries are increased gradually by 30 percent over three years. From 2019 onward, the salaries are going to be: rector = EUR 1,835 net; professor = EUR 1,530; pro-rector = EUR 1,225; associate professor = EUR 1,225; dean = EUR 1,225; docent = EUR 980; head of department/chair = EUR 980; pro-dean = EUR 785; lecturer = EUR 785; and assistant = EUR 625. 75 As discussed (see Chapter 3.1 ‘Academic Work and Careers’), the workload band appears to be insufficiently defined, wherefore the interpretations of HEIs differ. 200 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers to HEIs, which prevents most of them from freely determining salaries (beyond the minimum levels). Against that backdrop, the structure of contractual arrange- ments between HEIs and academics (particularly the direct connection between specific tasks and contracts) further restricts the institutions’ latitude due to, among other things, the close connections between the institutions’ income sources and their possibilities to remunerate academics. In some cases, the mini- mum salaries are considered as a standard. As with respect to other aspects of the framework and conditions of acade- mic work, unions are not in all cases systematically involved in the discus- sions pertaining to academic salaries. In general, unions can play an important role when questions on remuneration are addressed on the system and/or the institutional level. In Latvia, unions in some cases take part in discussions on academics’ salaries and related matters, especially on the institutional level. However, that involvement in negotiations is not always framed systematically. Academics’ Income The salaries of individual academics mirror their job structure and are charac- terized by a compilation of remuneration components for different positions and tasks. An approach to salaries common in most other higher education systems where, as a rule, academics receive one salary for one position does not exist as an overarching framework in Latvia. Salaries are in most cases com- posed of several components related to the different positions and tasks that an academic’s contractual arrangements with HEIs consist of (see also Chap- ter 3.1 ‘Academic Work and Careers’). Each of the positions and tasks in the fields of teaching, research, administration, and project work tends to be remunerated differently. The main responsibility for combining the different positions and tasks — and, therefore, ensuring a sufficient salary — lies with the individual academics, even though in many cases the HEIs’ administrations support academics with handling their contractual arrangements. The overall salary levels of academics are low, which is why many academics have multiple jobs. Minimum salaries in the academic sector were drastically reduced in the aftermath of the financial crisis, even though they are currently increasing again (see above). Several institutions pay hardly more than the mini- mum salary. Associate professors, for example, earn approximately the median salary in Latvia. In general, whereas individuals in senior academic positions such as associate professor and professor appear to be able to make a living from the salaries related to their position, this appears not to be the case for lower-rank academics (for a comparison of salaries in the higher education sector with sala- ries in other education sectors, see Table 4). The low salary levels, often in combi- nation with reduced workload, are one reason many academics need to top up the salary from their main employment by working at other institutions and/or out- side academia. REPORT 2: Academic Careers in Latvia: Status Quo Report | 201 Monthly rate of pay Workload per year Table 4 Minimum salaries Job title/post (in EUR) (in hours) and workloads in the education sector, as of January 1, 2018 General education, preschool education, and vocational education Source: Authors based on data Teacher of preschool education 680.00 1,760 provided by LIZDA. Teacher 680.00 1,320 Higher education Assistant 576.98 600–1,000 Lecturer 723.96 600–1,000 Docent 904.23 600–1,000 Associate professor 1,130.17 600–1,000 Professor 1,411.76 600–1,000 The income structure of academics leads to flexibility but also major challen- ges, with a potentially negative impact on the attractiveness of academic careers. The compiled and negotiated character of salaries leads to significant flexibility for academics. Incomes can exhibit a direct connection between the out- comes of academics’ work and their salaries, for example, in the case of attracting externally funded research projects. However, it also exhibits severe downsides. The high volatility of incomes that often relates to factors outside the control of academics can all too easily lead to precarious situations. In addition, the system requires constant efforts on the side of academics, which might translate into constant stress. The conditions can be particularly harsh for those who depend on income from per-hour contracts. In general, some academics manage to earn a decent income. However, others struggle to make a living and have hardly any positive prospects, which appears in some cases to lead to resignation. Overall, the current income situation of academics can have a strong negative impact on the attractiveness of academic careers. 4.2 Institutional Remuneration Practices Remuneration Systems The system-level framework strongly influences the HEIs’ approach toward remunerating their academics. In principle, HEIs are autonomous in determi- ning the salaries of their academics as long as they pay the minimum salary. The legislative framework assigns the responsibility for determining the proce- dures related to academics’ remuneration to an institution’s senate. However, the Latvian system-level framework leads to very specific contractual arrange- ments between HEIs and academics (see Chapter 3.1 ‘Academic Work and Careers’), which also impact matters of remuneration. Those arrangements are characterized by a high degree of fragmentation and volatility. Those characteris- tics translate directly into the remuneration practices of institutions. The salaries established and paid by HEIs consist of several components related to the various positions and tasks of academics. Paying academics fixed salaries for one posi- 202 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers tion, as it is common in most other countries, is in effect ruled out by the frame- work conditions under which HEIs act. The close connections of remuneration and funding sources, particularly, makes it difficult for HEIs to implement struc- tured, strategically designed approaches to remuneration. Comprehensive strategies and policies on remuneration seem to be rare. The fragmented character of HEIs’ approaches to remuneration and the restric- tions on institutions’ latitude deriving from the framework conditions might be one reason why institutions lack well-developed strategies and policies in this field. Nevertheless, a few institutions have developed and adopted regulations for academics regarding tasks and payments. Other HEIs have formalized approaches in specific areas, such as a formula/mechanism to define the work- load for teaching hours. In addition, HEIs also have collective agreements covering matters of remuneration (including nonfinancial benefits), which are developed with the involvement of (institution-specific) unions. The latitude that HEIs and their subunits have vis-a ` -vis academic salaries and the challenges they face differ. The overall financial situation and the impor- tance of different income sources strongly influence to what extent institutions and their subunits can design a strategic approach to academic salaries. A good funding base can allow them to remunerate academics beyond the minimum salary and to introduce elements such as performance-based payments — while performance-based payments are already made possible to some extent by funding from the second, performance-based funding pillar of the state funding model. Moreover, the flexibility with which different income sources can be spent varies. Income from tuition fees, for example, can be spent more flexibly than income from state-funded budget places, while also leading to a better overall financial situation. Since there are major differences among HEIs and units in terms of overall income and diversity of funding sources, their room for strategically designing remuneration systems varies. The same holds true for the challenges they face — which are discussed in the following. A challenge shared by all HEIs and units is to provide their academics with a sufficient salary that is as stable as possible. Decent or at least sufficient remuneration is imperative to attract and retain good academics, especially in the face of the higher salary levels in the private sector. In Latvia, that challenge translates into providing academics with a good combination of positions and tasks. Some institutions and units face major challenges in that respect, parti- cularly those that are dependent mainly on income from the state-funded budget places. The dependence on that income source seems to go hand in hand with HEIs and units paying more or less the minimum salary prorated per number of hours, which makes the (teaching) hours allocated to academics the core compo- nent of their salaries. That requires HEIs and units to deal with the volatility in the number of hours they can allocate, which changes in line with factors such as student numbers. Some institutions have established approaches to counter- balance volatility, including administrative procedures to deal with academics who face problems related to the number of (teaching) hours offered to them. Against that backdrop, the practice of connecting student numbers to hourly salary rates appears to be critical. Student numbers can rarely be influenced by academics and do not correlate directly with the workload of academics, and it thus seems problematic to use them as a determinant of (basic) salaries. REPORT 2: Academic Careers in Latvia: Status Quo Report | 203 The inevitable salary differences among academics are tolerated by some institutions, while others try to promote a balance. The different financial situa- tion of institutions and units can lead to major salary differences among acade- mics, and also among those at similar stages of their careers. Those differences appear to be accepted in some institutions, where they tend to be interpreted as the result of academics’ effort and success, or as the result of circumstances that cannot be influenced. In other institutions, a more egalitarian approach to work- load distribution and subsequently to salaries seems to be applied. In some cases, a decentralized organizational structure makes it difficult to promote equal salaries by, for example, cross-subsidization among units. Other institutions have more possibilities in that respect, particularly if most of the financial resources are pooled at the central level. At least one institution uses those possibilities to reduce salary imbalances, including promoting equal remuneration for teaching and research tasks. The often close connection between workload and salaries has several problematic effects that HEIs and units need to deal with. In cases where the actual workload mainly determines the salaries, a remuneration system might be promoted that focuses on quantities instead of quality and performance. In addition, the system promotes the notion that academics are paid for each task performed. Thus, academics might refuse to engage in activities that they are not paid for, which might limit creativity in the system. Another effect of the connection can be that internal synergies are not fully realized, since this could lead to a lack of workload and salary for some academics. Differences in the financial attractiveness among tasks can lead to undesirable incentives for academics. The elements of which academics’ salaries are com- posed differ in terms of stability and attractiveness, while the differences are not necessarily the same for all institutions. Academics’ income from teaching, for example, appears to be comparatively stable in at least some institutions, while being less attractive when it comes to the size of salaries. Income from externally funded research projects, in contrast, is hardly predictable while very attractive in terms of salary levels. Depending on the preferences of academics, that can make it difficult for HEIs and units to engage staff members in those tasks that would be preferential from an institutional perspective. For example, the importance of teaching activities for academics’ salaries in some cases leads professors and other senior academics to engage heavily in teaching, whereas it would be in the interest of institutions that they focus more on other tasks. There might also be restrictions on providing academics with positions they would need for their academic development. For example, if teaching is rewarded better than research, it can be difficult for young academics to get into teaching positions, as established researchers also tend to teach a lot. HEIs offer a range of nonfinancial benefits for academics, but in many cases their actual implementation depends on the financial resources available, as they are also costly for the HEI. Nonfinancial benefits other than days of vacation covered in the legislative framework, which should in principle be available to academics, include paid study leave of three months for drafting a doctoral thesis (LIHE: Section 42 (2)) and six months of paid leave for scientific work every six years (LIHE: Section 42 (1)). Some institutions define additio- nal nonfinancial benefits in their collective agreements. However, the actual implementation of nonfinancial benefits appears to be closely connected to the financial resources available to HEIs and units. A more recent development 204 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers in the higher education sector is that some HEIs have started to pay health insurance for their academics. Performance-Oriented Remuneration At this stage, almost no HEI has developed a comprehensive, long-term approach toward linking salaries to the performance of academics. Systemati- cally linking remuneration to performance is not a common practice in Latvia. Nevertheless, at least one institution considers performance when determining individual salaries. The link between performance and salary at that HEI is established via coefficients attached to the basic salaries for academic tasks. The size of those coefficients is partly based on the performance of academics, which is translated into the coefficients via individual negotiations between academics and their superiors. Bonus systems are a common element of HEI remuneration systems. Several institutions have implemented a bonus system that rewards specific achieve- ments (primarily in the field of research) with a one-time bonus. Those bonus systems are often financed from the HEIs’ income from the second, performance- based pillar of the state funding model, and in some cases, funding is forwarded directly as a bonus to those who contributed to generating this income. One issue ` -vis those bonus systems is that it is not always clear whether institutional vis-a members are sufficiently informed about them. Another issue is whether discipli- nary differences are sufficiently considered. In addition, it is an open question as to what extent the direct link between financial incentives and single activities and achievements leads to unintended consequences, such as too strong a focus of academics on the activities rewarded. Some institutions are deliberating strengthening the link between perfor- mance and remuneration in the future. Currently, several HEIs are considering further developing their performance evaluation and management systems (for details see below), including establishing a connection to salaries. One institution is quite advanced already in introducing a performance management system with a link to remuneration. That system has been discussed within the institution, and is currently in the phase of a “dry run” under which no real money is transfer- red to units. The system contains a points mechanism, which could translate into monetary bonuses for academics in the future. Performance Evaluation Further developing the institutional approach to performance evaluation and management appears to be on the agenda of several HEIs. Most institutions already have some form of performance monitoring. That includes student evalua- tions, evaluations of research work, performance appraisals based on activity reports of academics, and annual evaluation systems. Nevertheless, a systematic connection among different elements to form a coherent system for the evaluation of the performance of individual academics that also includes provisions on follow-up measures appears not to exist in institutions. However, there are efforts at some HEIs to establish something along those lines. That includes bringing together the various performance-evaluation procedures under one staff perfor- mance system. REPORT 2: Academic Careers in Latvia: Status Quo Report | 205 Performance monitoring and management systems encounter several challenges in the context of the Latvian higher education system, which also affect their potential future connection to remuneration. One challenge relates to the underlying concept of performance. Developing such a concept, which reflects diversity in terms of different kinds of academic performance, is a challen- ging task in every country and institution. In Latvia, that challenge is reinforced by particularly pronounced differences in academics’ task portfolios. For example, a performance monitoring and management system with a too strong focus on research would not reflect and adequately reward the performance of academics who are for the most part engaged in teaching. Another challenge could be to develop a system that is capable of actually having an impact. That might be difficult to achieve in Latvia due to a lack of possibilities for rewarding good performance, for example, via remuneration systems (also due to a lack of funding). Relevant issues in that respect are the decentralized structure of some HEIs (which limits the central level’s influence on units and their staff mem- bers), the deep-rooted consensual culture in many HEIs, and the fact that in some cases there might be only one candidate for a position. 206 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers 5 Concluding Remarks on Strategic Human Resource Management Latvian HEIs are aware of the importance of their human resources, but lack a fully developed strategic approach to HR management. The leadership of institutions, their administration, and many academics in senior positions place great emphasis on attracting and developing talent. There are various procedures and instruments to support their efforts. Strategic objectives on human resources are part of several institutions’ strategies, and some institutions have dedicated HR strategies. However, a key challenge that emerges across all areas covered in this report is that connections between the strategic framework and HR management activities appear to be limited and not systematic. That restricts the overall strategic alignment of basic HR elements such as HR objectives, job definitions, recruitment processes, career progression support, performance evaluation, and reward systems. It furthermore limits the extent to which HEIs can promote good academic work and careers. The decentralized structure of some HEIs is a major obstacle to effective implementation of HR objectives. Subunits and/or individual academics are the main budget holders and those responsible for most HR decisions in several (larger) institutions. That restricts the possibilities for the institutions’ leadership and administration to effectively promote implementation of HR objectives and to strategically steer HR development. It also constrains the development of approaches and processes shared across institutions. Complex governance structures and the strong influence of academic self-governance bodies further reduce those possibilities for steering from the central level. The generic character of some institutional strategies poses an additional challenge to effective strategic HR management. Not all strategies of Latvian HEIs are based on an adequate analysis of the institution’s circumstances and profile and sufficient consideration of the framework conditions for academic careers in Latvia. The character of those strategies can lead to a misalignment between HR policy objectives and HR management activities on the one hand, and the actual possibilities for HR management and the working conditions of academics on the other hand. In many cases, the way in which Latvian HEIs approach HR issues can be described as traditional personnel administration. The main reason for that is the contractual nature of academic employment in Latvia (see also Chapter 3.1 REPORT 2: Academic Careers in Latvia: Status Quo Report | 207 ‘Academic Work and Careers’). It is based typically on individual teaching hours and/or externally funded research activities. HEIs frequently renegotiate the con- tracts with their academics — three times per year on average at one institution — which makes HR development difficult, creates multiple motivational structures for employees, narrows the time perspective needed for strategic development and management, and hinders the integration of teaching and research. Further developing strategic HR management could greatly enhance the insti- tutions’ capacities to advance their approaches to academic careers. Improving their activities in the field of academic careers is a challenge that all Latvian HEIs need to face. In light of the various good practices and approaches that institutions have already implemented, and of the differences in circumstances and profiles, the specific tasks ahead differ among HEIs. Determining priorities, focusing resour- ces on them, and ensuring that different reform efforts are aligned, requires a strate- gic framework for the Latvian higher education system developed in cooperation among key actors and the implementation of which is supported effectively. Developing strategic HR management is a major task that lies ahead for the entire Latvian higher education sector, not only institutions. Tackling some of the key issues that need improvement is beyond the capacity and authority of institutions, and requires changes on the system level. In particular, the separa- tion of teaching-focused and research-focused positions reflected in two separate sets of legislation, overly complicated promotion processes leading to the con- ferral of the doctoral degree, the absence of postdoc positions in the system-level framework, the election process for senior academic positions, strict language requirements, and the absence of a mandatory retirement age are major barriers to strategic HR management that need to be changed. 208 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Annex Overview of Assessment of Status Quo in Latvia Compared to Criteria for Good System- and Institution-Level Human Resource Policies The following overview of the assessment of the status quo in Latvia compared to a set of normative criteria for good system- and institution-level HR policies, which were developed by the World Bank team (World Bank 2017b), gives an account of general trends. That implies that a particular HEI could be an exception to those trends. Where a range of assessments is indicated, a general assessment relevant for most HEIs was not possible. The overview contains five assessment categories — not achieved, achieved only to a limited extent, partially achieved, mainly achieved, and achieved — and the category “not applicable.” Despite the differen- tiation of the assessments into five categories, each of them still covers a broad scope of degrees of achievement. Criteria for Good System- and Institution-Level Level Human Resource Policies Status Quo Assessment A. Early-stage researchers: doctoral candidates and postdoctoral fellows System-level framework System level A.1 The system-level framework for doctoral training finds Not achieved. There is a strict classification of doctoral an appropriate balance between regulation and flexibility. degrees and accreditation regulations for doctoral programs, While regulations and quality criteria need to be applied but they restrict the flexibility of HEIs in adequately designing rigorously and consistently, doctoral training also requires doctoral education. room to accommodate personalized paths, and room for a reasonable level of institutional and disciplinary differences. This necessitates a national consensus on the essence and standards of the doctorate developed jointly by all relevant stakeholders of the higher education system. System level A.2 The autonomy of HEIs in the field of doctoral training Achieved only to a limited extent. Internal and external is complemented by mandatory internal accountability quality assurance procedures are still at an incipient stage mechanisms and appropriate external quality assurance and the focus on a suitable research environment as processes of research and doctoral education. This includes a condition for training doctoral students and conferring regulations on which HEIs have the right to confer the doctoral degree is insufficient. the doctorate and the related requirements. The regulations need to reflect that original research is the core component of the doctorate and, therefore, stipulate that institutions provide a suitable research environment. System level A.3 Doctoral training needs to be incentivized financially Achieved only to a limited extent: State funding for higher to promote efficiency and quality.a education incentivizes the doctorate to some extent. However, the state stipend for doctoral students is very low, and access to research project funding is weak. This might lead to low completion rates. System level A.4 Public funding for doctoral training is allocated Achieved only to a limited extent: Public funding for doctoral in accordance with national needs and competencies education to a limited extent considers national needs. required, while ensuring a diversity of doctorates. REPORT 2: Academic Careers in Latvia: Status Quo Report | 209 Criteria for Good System- and Institution-Level Level Human Resource Policies Status Quo Assessment System level A.5 Research support programs designed and funded at Achieved only to a limited extent: Research support programs the system level ensure that doctoral candidates designed and funded at the system level provide very weak are appropriately involved in research projects wherever incentives to ensure that doctoral candidates are possible and that suitable co-supervision agreements appropriately involved in research projects. As a result, are in place. there are students working on their doctorate in units that are not research active. This issue will be tackled in new regulations. Although sometimes students have access to a second supervisor, this cannot be construed as co-supervision, which implies a team effort. Anchoring the doctorate in the institution Institutional level A.6 Admission, progression, and assessment of doctoral Partially achieved in some institutions and not achieved candidates are monitored and supported. This includes in others. Most institutions are still offering the doctorate on published criteria and transparent processes for admission, the apprenticeship model, which means that admission, an orientation and the provision of relevant information for progression, and assessment of doctoral students newly recruited candidates, contractual agreements between are monitored and supported by the individual supervisor doctoral candidates and supervisors with clear milestones without much accountability to the faculty of the institution. (including any requirements for publications), sound A few institutions are developing more systematic processes, assessment procedures based on clear and transparent but their decentralized nature hamper those efforts. criteria and processes, and the monitoring of the students’ progression and completion. Institutional level A.7 The supervision of doctoral candidates is framed by Partially achieved in some institutions and not achieved appropriate institutional policies and guidelines in others. Regulations concerning supervision are evolving (among others, outlining the respective responsibilities in some institutions toward setting appropriate institutional and rights of supervisors and doctoral candidates), training policies and guidelines. Some institutions require signed and ongoing support for supervisors, and monitoring their agreements between supervisors and supervisees. performance. Co-supervision is encouraged and continuity of Training and ongoing support for supervisors, and monitoring supervision is assured. their performance, is not yet a practice. Co-supervision is not a policy but an ad-hoc practice, and continuity of supervision is assured to the extent that the students take the initiative to ensure such supervision. Institutional level A.8 HEIs provide a stimulating research environment for Partially achieved in some institutions and not achieved doctorates with a critical mass of research-active staff; in others. A few institutions have a critical mass of adequate learning and research tools; sufficient physical research-active staff and an overall environment supportive and financial resources; support for, among others, mobility of research achievements. The underfunding of the sector and conference participation; and an overall environment has a negative impact on the learning and research tools supportive of research achievements. applied at the institutional level and available financial support for conference participation and mobility. Institutional level A.9 There is a policy outlining the balance between course Partially achieved in some institutions and not achieved work and research (thesis). Such a policy reflects in others. The policy in large institutions is not always the competencies that a doctoral candidate is supposed applied consistently across the faculties and, in many to acquire. Courses include research methodology institutions, does not always include courses in research and scientific integrity, and professional competencies methodology and scientific integrity, and professional such as grant writing, and written and oral communication. skills such as grant writing, and written and oral communication. Institutional level A.10 An institution-wide policy and related procedures for Not applicable since this is regulated nationally through establishing an examination committee ensure objectivity a complex and opaque process. and fairness. 210 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Criteria for Good System- and Institution-Level Level Human Resource Policies Status Quo Assessment Institutional level A.11 Institutions provide doctoral candidates with a range of Partially achieved in some institutions and not achieved academic courses (for example, subject-based courses, in others. The policy in large institutions is not always and courses on research methodology, teaching competencies, applied consistently across the faculties. The majority of and scientific integrity), and soft-skills courses to prepare institutions prepare students for academic careers them for both their academic and nonacademic careers. and do not offer soft skills courses. There is no formal career Furthermore, HEIs provide career support and, where possible, support, but in some institutions, there are opportunities for teaching and research assistantships. Career support includes teaching and research assistantships to which students helping students, when appropriate, to find nonacademic jobs can apply. (including in the private sector). Institutional level A.12 Open access to doctoral theses is promoted. Normally, Achieved in at least one institution, which has an open access all doctoral theses are available in open access, except if policy mandating that publications and data from research there are reasons requiring an embargo for a designated funded by public funds or the institution itself are deposited period of time (such as copyright issues, and ethical in an open access repository, and which ensures public sensitivities related to, for example, the protection of access to doctoral theses on the institution’s website before human subjects). their presentation. Institutional level A.13 Formal appeals and complaints mechanisms are available Partially achieved. There are formal procedures for appeals to all doctoral candidates. The procedures are clear, fair, safe, and complaints but not all students seem to be informed of comprehensive, and up to date, and are described in an easily those opportunities and the quality mechanisms accessible document. While respecting confidentiality are undeveloped. and anonymity, the complaints and appeals that have been lodged are analyzed periodically to ensure that clusters of problems are addressed. Institutional level A.14 The quality of all aspects of the doctorate Partially achieved in some institutions and not achieved is continuously monitored and assured. Internal quality in others. Some institutions are moving toward more assurance mechanisms are adapted to the specificity of structured doctoral programs and are developing internal doctoral training and include feedback from doctoral quality assurance processes but this is still at an incipient candidates and their supervisors. stage. Institutional level A.15 Doctoral schools are a particularly effective way of Partially achieved in one institution and not achieved institutionalizing doctoral training and promoting its quality. in others. Some institutions have an overarching structure HEIs that establish doctoral schools consider their number that they call “doctoral school,” which is mostly construed and their location within the institution to maximize benefits as providing colloquiums. There is only one example of with respect to critical mass and interdisciplinarity. an institution that has given administrative responsibilities to the doctoral school, including for quality assurance; in all other cases, the doctoral schools are viewed as a place to offer conferences and workshops. Institutional level A.16 Doctoral-granting institutions have a clear mission for Partially achieved in one institution and not achieved their doctoral schools (with appropriate attention to in others. While one institution has a doctoral school disciplinary differences), and a comprehensive and explicit that serves as the starting point for a structured approach policy on the governance and organization of doctoral to the governance and organization of doctoral training, training that is published and easily accessible. others do not have such schools (in the traditional sense of the word) (see A.15). Managing the doctorate with partners Institutional level A.17 Partnerships with national and international HEIs, Partially achieved to the extent that some institutions have research bodies, and the private sector (including industry) relevant partnerships with industry and other partners; can improve the quality of doctoral training. To manage however, they are not necessarily accompanied by related risks, partnerships are framed by a strategic the necessary governance arrangements, policies, approach, appropriate governance arrangements, adequate and procedures. A formalized industrial doctorate policies and procedures, and a co-tutelle agreement. is currently not in place. Institutional level A.18 Stakeholder involvement in framing and evaluating Not achieved as there is no structured and systematic the doctorate is important, among others, because the majority involvement, for example, in governance of the doctorate. of doctoral holders occupy positions outside academia. REPORT 2: Academic Careers in Latvia: Status Quo Report | 211 Criteria for Good System- and Institution-Level Level Human Resource Policies Status Quo Assessment The postdoc Institutional level A.19 The postdoc is framed by appropriate policies Not achieved. The status of postdocs is left rather vague and guidelines covering, among others, recruitment (anyone within five years of obtaining the doctorate); procedures and the objectives of appointments. the explicit nature of the responsibilities attached to this The postdoctoral position is considered part of the academic position are not clearly defined or understood. career ladder, and the institution takes responsibility for related HR issues. Institutional level A.20 Postdocs have access to career support to help them Not achieved. There is no formal support that is extended to develop career objectives, whether within or outside academia. postdocs (besides the support available to all academics). B. Academic selection and promotion The status and role of academics System level B.1 System-level regulations are primarily applied to secure Partially achieved. The current system-level regulations academic freedom and academic quality, and to promote are causing several problems for academic careers and their transparency, including for national and international institutional management. First, they are hindering mobility. Defining the role, status, and tasks of academics the integration of research and teaching. Second, they are is mainly an institutional responsibility. System-level not allowing for the development of tenure systems policies support healthy competition among individuals, (that is, the promotion of academics from one career step to and avoid practices that lead to the marginalization of certain another and permanent employment contracts securing staff groups. academic freedom). Third, they are challenging for strategic recruitments. However, according to the site visits, the current national regulations enable transparency. Institutional level B.2 The status and role of academics are considered thoroughly Partially achieved in some institutions and not achieved in institutions and are reflected against the funding sources of in others. The status and roles of academics are tailored academic work, the system-level policy and regulatory mainly in the context of external factors and funding. framework, international trends in academic work and careers, The management is mainly reactive to the scarce funding, and the traditions of academic work and its values. Institutional changing student numbers and, sometimes, a lack of suitable managers are well-informed on the contractual arrangements candidates. The individual contractual arrangements are (duration and type) and funding of their staff. complex and difficult to manage in relation to academic work. Institutional level B.3 Institutional policies aim for equal treatment of staff Only to a limited extent achieved in some institutions and with project and budget funding, and acknowledge the equal not achieved in others. Institutional policies are considered importance of research, teaching, and administrative tasks. to be fair and equal under the given circumstances (in particular, the financial constraints). However, the separation of research positions and academic positions makes the integration of the tasks difficult. In monetary terms, the externally funded research work and budget-funded academic work are valued in a highly unequal way. General career patterns System level B.4 On the national level, there is a systematic approach Not achieved. The system-level approach provides to career stages that allows domestic and foreign academics, a well-recognized and widely accepted framework for ministries, and other stakeholders to compare positions among academic and research positions, and for recruitment countries and institutions. This framework is flexible enough and selection procedures. The requirements (in terms of to allow institutions to engage in strategic HR management. qualifications) for different career positions are commonly The system-level policy guarantees the mobility between known. academia and industry and among institutions, and supports However, the system-level framework prevents attractiveness of careers. It also provides a solid legal the institutions from developing tenure track models framework for career structures such as tenure track or other or other promotion patterns, and there is no defined exit point systematic approaches to career development, and establishes due to the absence of a mandatory retirement age. clear entry and exit points for academic careers. 212 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Criteria for Good System- and Institution-Level Level Human Resource Policies Status Quo Assessment System level B.5 System-level policies may provide resources to HEIs Achieved. Dedicated resources are deployed by the central for strategic career initiatives, for example, with regard to level in support of the doctorate and postdoc positions, young academics. and second pillar funding allows for the design of bonus systems and other means to incentivize staff. However, the current funding system would not provide the scope for more permanent performance-based salary systems on the institutional level. Institutional level B.6 Institutional career patterns are realistic for most of Partially achieved. The career patterns are dependent on the staff members. They are aligned with a systematic open vacancies that are often dependent on retirements approach to career stages at the national level and they are (or the lack of retirements) and national regulations internationally comparable. and recommendations on the number of professors and doctoral degree holders. While positions are comparable from an international perspective, there are no structured and coherent career patterns. Institutional level B.7 Institutional policies ensure transparency and clarity of Partially achieved. The institutional policies are closely career patterns and promotion criteria, and maintain related to national policies and, are therefore, well-known an appropriate balance among research, teaching, and considered to be transparent and clear. However, and administrative excellence. Candidates and employees of the collegial election as a selection method may politicize HEIs are aware of promotion criteria and career progression selection processes and lead to a potential conflict of possibilities. Institutions communicate clearly interest. the qualifications needed for different positions to their employees and persons seeking recruitment. Institutional level B.8 Institutional policies link key aspects of academic career Partially achieved in some institutions and not achieved patterns (recruitment, promotion, remuneration) so that in others. Because of a lack of contractual security these support the implementation of institutional and and the volatility of academic employment unit-level strategies. (and remuneration), and the lack of a retirement age, among other aspects, career management is almost disconnected from institutional strategies in some institutions, while others, nevertheless, try to link career development to institutional strategies. Institutional level B.9 Data on all staff categories (including academic staff on Partially achieved. The data are collected but seldom part-time/ hourly contracts) are gathered and analyzed analyzed. A more detailed analysis of different contracts of to enable effective human resource development individuals could make the remuneration and careers of and strategic human resource management. academics more transparent, and enable institutions to plan personnel costs for a longer time period. Institutional level B.10 Organizational structures and HR services support Achieved only to a limited extent. As in many other countries, the career patterns within an institution. HR policy HR services in Latvia are in their infancy in many institutions. is important for the development and implementation of Personnel management is mostly reactive and deals strategies. In the context of academic careers, institutions: with acute contractual/workload issues. • Clearly define duties and responsibilities related to HR; • Ensure that sufficient resources are allocated for HR-related tasks; • Support a strategic role of the HR director; • Develop the competencies of HR professionals; • Assure the quality of HR policies and initiatives; • Set indicators for measuring HR success. REPORT 2: Academic Careers in Latvia: Status Quo Report | 213 Criteria for Good System- and Institution-Level Level Human Resource Policies Status Quo Assessment Selection and recruitment of academic staff System level B.11 Recruitment plays a vital role in the strategic Mainly achieved. National legislation sets the framework development of institutional profiles. Thus, the national and includes requirements concerning equal treatment. framework steering the recruitment practices needs to However, it also attributes an important role to elections allow for institutional development and differentiation. in the selection process. The election process is typically National policies primarily guarantee equal opportunity for, considered to be fair, but there might be conflict of interest among others, different nationalities, genders, issues and various imponderables. and minorities. Institutional level B.12 The most important way of assuring the quality of Partially achieved. The current system is considered to be recruitments is to ensure the transparency and clarity of transparent and clear, and the national framework for processes. That encompasses the clarity and transparency of required qualifications and its institutional applications job definitions, selection processes, and criteria; are quite well known. However, the election process leads to the provision of clear guidelines (and training) many questions and makes the final decision making and definitions on the role of different actors involved a process with many imponderables. in the decision-making process; a clear definition of entry points to academic careers; and a clear policy on equity issues/affirmative actions. Applicants are made aware of the practices. Institutional level B.13 Institutions deliberately balance the selection criteria Partially achieved in some institutions and not achieved in the context of their mission, acknowledging academic in others. Institutions are allowed to adjust the qualification excellence (professional evaluation of teaching criteria, and some institutions do this strategically. and research), organizational commitment, and fit However, the recruitment of professors and associate (organizational recruitment). The institutions ensure professors is done from a professional (and not from that academic units have the capacity to select their an organizational) perspective, so that it might not be aligned workforce in a flexible, fair, and transparent manner, with institutional missions. to meet the requirements of external funding and to support the overall aims of HR policies. Institutional level B.14 Positions are advertised sufficiently broadly (including, Partially achieved. The Latvian higher education system where suitable, on the international level). Institutions use is small and closed. Thus, the advertisement probably tools facilitating the systematic search for candidates, and, is sufficient, if the search focuses only on candidates where appropriate, headhunting. The selection process in the country. However, in many cases, the real selection is efficient, transparent, and not overly time-consuming. process during early career stages is based on prior Transparency of the process also extends to the candidate, supervisor relations. who is informed about key milestones of the process. The selection process is time-consuming and involves many There needs to be clarity on the tools used to evaluate individuals, who often are already overtly committed to the skills of candidates (for example, lectures, evaluations committee work. by students, and assessment centers). Institutional level B.15 Selection processes go hand in hand with the clarity of Partially achieved. Roles are clear; however, the election roles (for example, of academic selection committees, process is a professional (peer-based) process that does not including possibly stakeholders from industry, academics involve other stakeholders. from other faculties, and a representative from the institutional leadership). Institutional level B.16 There is a system of checks and balances that ensures, Achieved only to a limited extent. The election to lower among others, the strategic fit of candidates for the position, academic positions is made by the faculty council, which may and a balance between professional and organizational take into consideration organizational aspects. However, recruitment. the final decision is by voting. The election of associate professors and professors is a purely professional (peer-based) process (which can take place at an institution which is not the recruiting one). 214 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Criteria for Good System- and Institution-Level Level Human Resource Policies Status Quo Assessment Career advancement and promotion patterns Institutional level B.17 Promotion patterns are important instruments for Not achieved. Promotions are based on open vacancies. steering academic work. Institutions have clear, transparent, There are no promotion patterns for an individual to advance and well-documented promotion patterns that are aligned in his/her own career (position/post). with the institution’s mission and profile, and clearly distributed roles and responsibilities during the promotion processes. Institutional level B.18 Promotion patterns take into account different aspects Partially achieved. While there are no clear promotion of academic work (research, teaching, administration, patterns, election processes take into account the three and service). The merits in different academic tasks aspects of academic work. However, in some cases they are defined in a transparent and understandable manner. are not aligned with the tasks of the position To ensure the fairness and effectiveness of promotion (i.e. the required emphasis on research also for patterns, they are repeatedly communicated to staff teaching-focused positions). members. Institutional level B.19 Career development and career advancement are part Partially achieved in some institutions and not achieved of institutional planning and strategic management, in others. Career advancement is difficult because of and supported by modern HR instruments (for example, the unpredictable conditions of work and the vacancy model. target agreements and skills development tools). There are several attempts to support the career In this, HEIs support academics in evaluating and developing advancement of talented individuals. However, their competencies required for conducting high-quality the management of careers lacks a systematic approach. scientific work and for succeeding in their careers within their scientific community and within organizations in the higher education sector and beyond. International mobility in academic careers System level B.20 International mobility is crucial, particularly for small Not achieved. The Latvian higher education system is small higher education systems. National policies support inward and closed. The language restrictions deriving from the legal and outward mobility. Incoming mobility can be marketed framework and potentially other factors create an obstacle and facilitated on the national level. With respect to outgoing for the internationalization of the academic workforce. mobility, the return of academics and related mechanisms There are no systematic policies for supporting mobility. are taken into account, in addition to the provision of grants for outward mobility. The system-level policies guarantee legal conditions conducive to the recruitment of foreign academics, and ensure the availability of information in English (or, potentially, another major European language) for international staff. Further relevant aspects include support for mobility, dual career services, English-speaking contact points in the administration, support on social security issues, and other aspects of mobility support. Institutional level B.21 Internationalization is one way of improving the quality Partially achieved. Institutions are supporting of academic work. However, that impact cannot be taken the internationalization of their staff and especially young for granted. It is important that institutions have defined researchers. The guest lecturer system creates a mechanism the aims related to internationalization, planned for foreign academics to work in Latvia. However, and organized the career patterns, tasks, and overall working internationalization would require more attention on environment (including family life) in a way that a foreigner the strategic level and would need more resources without local language skills can successfully work, and have and changes in language policies. organized sufficient support structures for incoming (and outgoing) staff. REPORT 2: Academic Careers in Latvia: Status Quo Report | 215 Criteria for Good System- and Institution-Level Level Human Resource Policies Status Quo Assessment Alignment of elements of human resource policies System level B.22 To promote good academic work and careers, Not applicable. Elements are not defined on the system level. job descriptions and tasks, performance appraisal, However, because of various policies impacting career progression, reward systems and strategic objectives and constraining academic work and careers are aligned. (the six-year-rule, the election system, etc.), the national framework does not support the alignment of the different elements. Institutional level B.22 To promote good academic work and careers, Partially achieved in some institutions and not achieved job descriptions and tasks, performance appraisal, in others. Because of the fragmented contractual nature of career progression, reward systems, and strategic objectives academic work and its funding, institutions face difficulties are aligned. in aligning their policies. However, some seem more successful than others in designing coherent career patterns. System level B.23 All higher education policies take into account Partially achieved. While academic positions and key the HR policy aspect, not least because the implementation HR processes are determined by the legislation, there is of all policies and outcomes will be ensured by, or will have no systematic and overarching approach toward academic an impact on, academics. work that is consistently reflected in higher education policies. C. Remuneration Regulation at the system level System level C.1 The question as to how remuneration should be regulated Achieved. Basic positions and minimum salaries at the system level and what should be regulated on are established in the law, and institutions are autonomous the institutional level depends on the national setting in determining the details of remuneration approaches. (for example, the size of the system, the political structure, and the status of academics). It is advisable to regulate key questions like types of professorships and, possibly, basic principles of remuneration on the system level, while more detailed questions like procedures and institution-internal responsibilities are delegated to HEIs in accordance with the principles of institutional autonomy and subsidiarity. System level C.2 Unions can play an important role when questions like Partially achieved. Unions are involved in legislative overall salary increases are addressed. As with other processes but not systematically in all relevant discussions stakeholders, it pays off to involve them early on in questions on the system (and/or institutional) level. of future salary models. Concept and measurement of (good) performance System level C.3 The concept of performance has to be open Achieved. The election criteria reflect different dimensions of and reflect diversity, that is, it needs to be open to different performance, and institutions with a special profile have kinds of academic performance (including, for example, the possibility of adapting the criteria. artistic performance) and functions fulfilled in an academic context. Institutional level C.3 The concept of performance has to be open Partially achieved. While selection criteria covering different and reflect diversity, that is, it needs to be open to different kinds of academic performance are determined by kinds of academic performance (including, for example, the national legislation, some institutions put artistic performance) and functions fulfilled in an academic a particular emphasis on research performance context. (also for teaching-focused positions). 216 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Criteria for Good System- and Institution-Level Level Human Resource Policies Status Quo Assessment System level C.4 The concept of performance relates to different Partially achieved. While there is no framework for types of activities and functions: (a) what can be considered PBS models on the national level, system-level regulations as performance in the narrower sense (related primarily do not prevent institutions from establishing such models to teaching and research), and (b) the takeover of certain (while the financial situation might in fact create a major functions or fulfillment of certain roles (like vice-rector obstacle). Minimum salaries for some functions or dean). Further, (c) performance-based remuneration are determined by the law. systems tend to provide for a market allowance, awarded in the context of negotiation (which might not relate to performance in the narrower sense but is also covered by respective models). Along these lines, good PBS models take different performance categories into account. Institutional level C.4 The concept of performance relates to different Achieved only to a limited extent. Salaries for some functions types of activities and functions: (a) what can be considered are determined by the national framework. While there are as performance in the narrower sense (related primarily no PBS models at the institutional level, there are some to teaching and research), and (b) the takeover of certain initial considerations on introducing monetary rewards for functions or fulfillment of certain roles (like vice-rector performance. or dean). Further, (c) performance-based remuneration systems tend to provide for a market allowance, awarded in the context of negotiation (which might not relate to performance in the narrower sense but is also covered by respective models). Along these lines, good PBS models take different performance categories into account. System level C.5 Countries need to have a clear approach to handling Partially achieved. There is a systematic approach to one of those three categories (that is, academic performance, the categories (namely, academic functions), while there takeover of functions and roles, and market allowance) is no systematic approach to or considerations on the other – either as part of one PBS model or as three separate ones. two categories or a comprehensive framework covering all As usual, the simpler, the better. three categories. However, current legislation does not prevent institutions from developing PBS models. System level C.6 Diverse higher education systems need to mirror Partially achieved. While institutions enjoy autonomy diversity in their approaches to performance in designing incentive systems, performance-based funding and remuneration. Some HEIs that focus strongly on allocations to institutions are geared toward research, research are likely to reward related individual which is likely to reflect on bonus systems at the institutional (or collective) performance through their PBS systems. level. Other countries and institutions might want to use the opportunities PBS provides to counteract undesirable tendencies (for example, the neglect of teaching and service). Further, PBS models can be combined with other instruments such as performance contracts. Institutional level C.6 Diverse higher education systems need to mirror Achieved only to a limited extent. Some institutions have diversity in their approaches to performance started to develop or implement reward systems (mainly and remuneration. Some HEIs that focus strongly on bonus systems); however, these are primarily geared toward research are likely to reward related individual research. Also, criteria might not sufficiently reflect (or collective) performance through their PBS systems. disciplinary differences. Other countries and institutions might want to use the opportunities PBS provides to counteract undesirable tendencies (for example, the neglect of teaching and service). Further, PBS models can be combined with other instruments such as performance contracts. REPORT 2: Academic Careers in Latvia: Status Quo Report | 217 Criteria for Good System- and Institution-Level Level Human Resource Policies Status Quo Assessment Aspects of model development – linking performance to models and procedures System level C.7 PBS systems combine fixed salary components (ensuring Not applicable. There is no framework/architecture for academic freedom and providing stability) with performance PBS systems in place. rewards. The basic architecture needs to be anchored at the system level while HEIs form related models according to their strategic priorities. Institutional level C.7 PBS systems combine fixed salary components (ensuring Not applicable. There are no PBS systems in place. academic freedom and providing stability) with performance While some institutions have developed or are in the process rewards. The basic architecture needs to be anchored at of developing bonus systems, current arrangements the system level while HEIs form related models according to surrounding academic employment and remuneration make their strategic priorities. basic salary components more volatile than in comparator systems (World Bank 2017b). Institutional level C.8 PBS systems reflect institutional strategies. While Not applicable. There are no PBS systems in place. performance considerations generally derive from However, approaches to bonus payments are aligned the key functions of academic staff (teaching, research with institutional strategies (with both of them being geared and development, and service), the emphasis needs to be mainly toward research). put across and within these categories in accordance with strategic institutional priorities. This has to translate into the definition of performance categories and subsequent “criteria.” Institutional level C.9 Further, PBS systems avoid crowding-out effects Not applicable. There are no PBS systems in place. (that is, when intrinsic motivation is supplanted by extrinsic However, some institutions display a tendency to reward motivation) and support (or, at least, do not negatively single activities that can be considered a “normal” part of impact) intrinsic motivation through the incentives they set. academic work in a very detailed way, an approach which In particular, incentive systems should not be directly linked might jeopardize intrinsic motivation. to (every) single activity, which would support the perception of the incentive as a controlling intervention and thus endanger intrinsic motivation. However, rewarding single activities on a temporary basis that can be considered as “extra” rather than a “normal” part of academic work, is less likely to lead to crowding-out effects. Also, institutional models that accommodate different types of individual performance enhance motivation and avoid crowding-out effects. System level C.10 Performance criteria, assessment and the related Not applicable. Performance criteria feeding into PBS award process need to be considered fair, transparent or bonus systems and related processes are not established and clearly structured. This also applies to the use of at the system level. different instruments like bonuses and temporary and permanent allowances. Institutional level C.10 Performance criteria, assessment, and the related Achieved in institutions where a bonus system is in place award process need to be considered fair, transparent, (not applicable to other institutions). and clearly structured. This also applies to the use of different instruments like bonuses and temporary and permanent allowances. Institutional level C.11 While PBS models are supposed to reflect institutional Not applicable. There are no PBS systems in place. priorities, they should also be “actionable,” that is, However, the bonus systems at some institutions do not seem their design and implementation should reflect constraints to pose particular administrative or managerial challenges. with regard to administrative processes and financial Nevertheless, it would be advisable to take these aspects management. In practice, this favors more structured into consideration as the models evolve. approaches (for example, multistage salary systems with a suitable number of levels and descriptors). 218 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Criteria for Good System- and Institution-Level Level Human Resource Policies Status Quo Assessment Institutional level C.12 Decision-making processes related to the institutional Not applicable. There are no PBS systems in place. framework for remuneration need to combine adequately However, criteria of the bonus systems at some institutions top-down and bottom-up elements to mediate among tend to be developed and applied at the central level, interests and reach adequate decisions, while at the same even though the senate plays a role in approving them. time ensuring efficiency. HEI leadership plays a key role in the development and implementation of PBS models; however, deans are likely to fulfill routine functions like proposing staff members for awards or providing written statements for applications. Remuneration and financial management System level C.13 Financial management considerations are an integral Not applicable. There is no framework/architecture for part of the development and implementation of PBS systems. PBS systems in place. This concerns, among others, a clear understanding of the available funds, the development of financial scenarios of how the PBS system (and related reserves) is likely to develop in future, and considerations regarding the pension implications of allowances. The development and implementation of PBS systems furthermore requires managerial and administrative staff members with the right competencies. On the system level, financial management considerations need to involve the Ministry of Finance. Institutional level C.13 Financial management considerations are an integral Not applicable. There are no PBS systems in place. part of the development and implementation of PBS systems. This concerns, among others, a clear understanding of the available funds, the development of financial scenarios of how the PBS system (and related reserves) is likely to develop in future, and considerations regarding the pension implications of allowances. The development and implementation of PBS systems furthermore requires managerial and administrative staff members with the right competencies. On the system level, financial management considerations need to involve the Ministry of Finance. Note: ` -vis an increase in effectiveness and efficiency, have been the subject of earlier a. Questions of how to provide financial incentives to HEIs, also vis-a World Bank advisory work in Latvia. REPORT 2: Academic Careers in Latvia: Status Quo Report | 219 References Gläser, J., and G. Laudel. 2015. The Three Careers of an Academic. Berlin: Zentrum Technik und Gesellschaft. Knight, J. 2004. “Internationalisation remodelled: Definitions, ratio- nales, and approaches.” Journal of Studies in International Edu- cation 8 (1): 5–31. Knight, J. 2009. “Internationalisation: Key concepts and elements.” In Internationalisation Handbook. European University Associa- tion. Stuttgart: RAABE Publishers. LIHE (Law on Institutions of Higher Education) (as amended up to January 1, 2012) LSA (Law on Scientific Activity) (as amended up to January 1, 2011) World Bank. 2016. Latvian doctoral studies and promotion system. Washington, DC: World Bank. World Bank. 2017a. Internal Funding and Governance in Latvian Higher Education Institutions: Status Quo Report. Washington, DC: World Bank. World Bank. 2017b. Academic careers: Learning from good interna- tional practice. Washington, DC: World Bank. Report 3 ACADEMIC CAREERS IN LATVIA: RECOMMENDATIONS 6 April 2018 Contents 224 Abbreviations 225 Executive Summary 228 1 Introduction 230 2 Recommendations on the Doctorate and Postdoctorate 230 2.1 Recommendations for Higher Education Institutions 230 Anchoring the Doctorate in the Institution 236 Managing Partnerships 237 Postdoc 238 2.2 Recommendations for the Government 238 System-Level Framework 240 3 Recommendations on the Development and Advancement in Academic Careers 240 3.1 Recommendations for Higher Education Institutions 240 Status and Role of Academics 241 General Career Patterns 243 Selection and Recruitment of Academic Staff 245 Career Advancement and Promotion Patterns 246 International Mobility in Academic Careers 246 Alignment of Elements of Human Resource Policies 247 3.2 Recommendations for the Government 247 The Status and Role of Academics 247 General Career Patterns 248 Selection and Recruitment of Academic Staff 248 Career Advancement and Promotion Patterns 249 International Mobility in Academic Careers 250 Alignment of Elements of Human Resource Policies 251 4 Recommendations on Remuneration and Performance Evaluation 251 4.1 Recommendations for Higher Education Institutions 251 Regulation at the System Level 252 Concept and Measurement of (Good) Performance 252 Aspects of Model Development — Linking Performance to Models and Procedures 253 Remuneration and Financial Management 254 4.2 Recommendations for the Government 254 Regulation at the System Level 254 Concept and Measurement of (Good) Performance 256 Aspects of Model Development — Linking Performance to Models and Procedures 256 Remuneration and Financial Management 257 5 Considerations on Promoting Strategic Human Resource Management in Latvia 263 Annex. Overview on Recommendations for Academic Careers in Latvia 281 References Table 259 Table 1 Recommendations on human resources functions in relation to the strategic management of higher education institutions Figure 258 Figure 1 Framework for mapping and developing HR management 224 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Abbreviations HEI higher education institution HRs human resources PBS performance-based salary REPORT 3: Academic Careers in Latvia: Recommendations | 225 Executive Summary Recommendations This report covers the career trajectories and employment conditions of academics in Latvia and presents recommendations for higher education institutions (HEIs) and the Latvian government on how to improve academic careers. Increasing the performance of its higher education system is an avowed goal of the Latvian government. Having started to address issues of system-level funding and university-internal funding and governance, the consideration of the field of academic careers has recently moved to the forefront. All those efforts have been supported by World Bank engagement in Latvia. A first World Bank higher education advisory service addressing the Latvian higher education funding model on the system level was carried out in 2013/14. A second higher education project with World Bank support76 started in 2016. In the first of its two phases, it turned to the internal funding models and governance arrangements of Latvian HEIs. This report is part of the project’s second phase, and covers stra- tegic human resources (HR) management, doctoral training and the postdoc, academic careers with a focus on the selection and promotion of academics, and the remuneration of academics and the evaluation of their performance. Based on an examination of good international practices in the area of academic careers and the development of a set of criteria for good system- and institution- level HR policies (World Bank 2017), and an assessment of the related status quo in Latvia (World Bank 2018), this report comprises recommendations on how academic careers could be strengthened in Latvia. Recommendations concerning Doctoral Education and the Postdoc Tasks lying ahead for Latvian HEIs to improve doctoral education — which is a crucial part of any attempt to enhance the approach to academic careers — revolve around further developing its institutionalization and framing it with adequate policies and procedures. That includes designing and implemen- ting clear and consistent processes for the admission, progression, and assess- ment of doctoral students in a transparent and fair way. Similar requirements apply to policies and processes surrounding the doctoral education process, such as appeals and complaints mechanisms for doctoral students. HEIs would be well advised to ensure basic preconditions for high-quality doctoral education, including the supervision of doctoral candidates, a stimulating research environ- ment, and taught elements of doctoral programs and skills development opportu- 76 This report uses the term “project” for this World Bank higher education advisory service. 226 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers nities that prepare students for academic and nonacademic careers. Contributing to a successful future of doctoral students, career support measures and assis- tantships allowing for competence development should likewise be addressed by institutions. Particularly, a promising way of institutionalizing doctoral education are doctoral schools, which would merit being established or developed further by HEIs. All activities mentioned need to be covered by comprehensive internal quality assurance mechanisms that ensure continuous monitoring and improve- ment of all quality facets. In addition, framing the postdoc by suitable policies and providing postdocs with career support would contribute to an overall supportive environment for young researchers. To support HEIs in their efforts to improve the quality of doctoral education, the Latvian government is tasked with adapting framework conditions where necessary and providing direct support for institutions. Initiating an open discussion with the higher education sector on the essence and standards of the doctorate constitutes a starting point for engaging in further reforms. Those reforms should aim at a sufficient degree of regulation where necessary, while providing HEIs with flexibility to implement their own approaches where possible. Based on agreed standards, promoting external quality assurance processes is key, as are institutional funding mechanisms that incentivize quality improve- ments. Tailored system-level funding mechanisms for research priorities and doctoral students should be used to promote national research priorities. Recommendations concerning the Development and Advancement in Academic Careers Providing academics with attractive and conducive working conditions and career opportunities requires that HEIs reconsider their current practices and policies. The overarching objective in that respect should be to reduce the risks, volatility, and fragmentation of employment that many academics face under the current system. To achieve that, HEIs — within the possibilities of the current system-level framework — will need to establish predictable and transparent career structures, and efficient and fair recruitment and promotion procedures. However, HEIs are also tasked with considering HR issues as part of the strategic institutional development, which requires, among others, ensuring a close connection of these two areas, for example, via strategic recruitment procedures and support for the internationalization of the academic staff. HEIs also need to engage more strongly in the strategic planning of human resources and to adopt a more dynamic approach to HR issues, which in turn requires the development of additional HR management capacities. In all areas related to academic careers and working conditions, the efforts of HEIs and the Latvian government need to reinforce each other. Important framework conditions that the government would need to address are the two- track system of teaching-focused and research-focused positions, the overall national academic career framework (in particular, barriers to institutions intro- ducing structured promotion patterns), and regulations that currently hamper the institutions’ internationalization efforts. Furthermore, incentives for institutions to engage in HR development more strategically could provide a new impetus to the entire sector. Generally, HR issues should be considered a crucial part of any reforms in the higher education sector. REPORT 3: Academic Careers in Latvia: Recommendations | 227 Recommendations concerning Remuneration and Performance Evaluation While the development of performance-based salary systems and perfor- mance-supporting measures are still at an incipient stage, considering early on basic preconditions for future activities in this area could prove to be very useful for HEIs. Basic issues worth considering in that respect include deve- loping a concept of performance that accounts for the diversity of academic tasks, and thinking about models that comprise an adequate balance between fixed salary components and performance rewards that are actionable from an admini- strative and financial management perspective. In that respect, it would be parti- cularly important to consider how performance-based forms of remuneration and incentives can be connected to institutional strategies. In the absence of specific system-level regulations on performance-based salary and performance-supporting measures, the key tasks for the Latvian government are to create preconditions for potential future reforms and to avoid a system-level framework that restricts the introduction of such measures. That requires maintaining clarity on basic principles of remuneration and types of positions in the legislation, while at the same time investigating possibilities to make salaries more adequate and performance oriented. A close consultation process with the sector, including unions, would be a basic pre- condition for the success of such an endeavor. With respect to HEI efforts in this area, the government could encourage institutions to further develop their con- cept of performance, incentivize them to promote an orientation toward perfor- mance in matters of remuneration, and engage in capacity building via bringing together institutional leaders and HR managers from different institutions. 228 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers 1 Introduction This report presents recommendations for Latvian HEIs and the Latvian government on how to further develop the career trajectories and employ- ment conditions of academics. Building on an examination of good international practices in the area of academic careers (World Bank 2017), which also included a list of criteria for good system- and institution-level HR policies, and an assess- ment of the related status quo in Latvia (World Bank 2018), the World Bank team has developed recommendations on how academic careers can be improved in Latvia.77 The recommendations cover (a) doctoral training and the postdoc, (b) academic careers with a focus on the selection and promotion of academics, and (c) the remuneration of academics and the evaluation of their performance. Furthermore, system-level framework conditions as well as policies and prac- tices within HEIs are addressed. Additional, detailed information and data under- pinning the recommendations presented below can be found in the two previous reports.78 All three reports mentioned are part of a series of World Bank advisory services on higher education in Latvia. The first World Bank higher education advisory service was carried out in 2013/14, and addressed the Latvian higher education funding model on the system level. It led to the introduction of a new, three-pillar funding model including a performance-based funding pillar. The second higher education project with World Bank support started in 2016. In the first of its two phases, it turned to the internal funding models and gover- nance arrangements of Latvian HEIs. It focused on the effects of the system-level reforms, particularly on the HEIs’ responses to the introduction of the performan- ce-based funding pillar. The project’s second phase — which comprises the three reports mentioned — covers strategic HR management; doctoral training and the postdoc; academic careers with a focus on the selection and promotion of academics; and the remuneration of academics and the evaluation of their per- formance. 77 Members of the World Bank team that authored this report are Dr. Nina Arnhold, Senior Education Specialist and Task Team Leader, World Bank; Dr. Elias Pekkola, University of Tampere, Finland; Vitus Puttmann, Consultant, World Bank; and Dr. Andrée Sursock, Senior Adviser at the European University Association. Adjunct Professor Jussi Kivistö, University of Tampere, Finland; Professor Hans Vossensteyn, Director of the Center for Higher Education Policy (CHEPS), the Netherlands; and Professor Frank Ziegele, Director of the Centre for Higher Education (CHE), Germany, provided substantial input and comments. The team would like to thank the Latvian Ministry of Education and Science, six case study institutions, and other sector representatives involved for the strong collaboration that has made the preparation of this report possible. 78 http://www.izm.gov.lv/images/izglitiba_augst/2_1_LV_Acad_Careers_Intern_Practice_Report_FINAL.PDF; http://www.izm.gov.lv/images/izglitiba_augst/2018/2.2_LV-Acad-Careers-Status-Quo-31Jan18-FINAL.pdf. REPORT 3: Academic Careers in Latvia: Recommendations | 229 The recommendations presented in the following are based on criteria for good system- and institution-level HR policies, and an assessment of the status quo in Latvia. The criteria — which are outlined in detail in the report Aca- demic Careers: Learning from Good International Practice (World Bank 2017) — were derived from the relevant research literature (including scholarly articles, policy reports, and consultative papers), the examination of selected cases of good practice, and the authors’ expertise and experience in the field and their perspectives on successful examples. With the exception of selected references to staff members working in HR management, the criteria — as well as the status quo assessment and recommendations — focus on academic staff members, that is, those whose main responsibility is teaching and/or research (as opposed to staff members with primarily administrative responsibilities, technical staff, and secretarial/support staff). The status quo — which is presented in detail in the report Academic Careers in Latvia: Status Quo Report (World Bank 2018) — was assessed against those criteria. It is based mainly on the analysis of key docu- ments such as laws, regulations, and policies; information and data provided by the Latvian Ministry of Education and Science, and six HEIs that volunteered as case study institutions79; and interviews with representatives of these HEIs and various system-level stakeholders during site visits in September 2017. The recommendations presented in this report are based on both the criteria for good system- and institution-level HR policies and the status quo assessment. The Annex provides an overview of the criteria, of the findings of the status quo assessment, and of the recommendations. 79These institutions are the University of Latvia, Riga Technical University, Daugavpils University, Vidzeme University of Applied Sciences, the Art Academy of Latvia, and the Latvian Academy of Sport Education. The different size, profile, and strategies of the case study institutions allowed the World Bank team to obtain an overview on developments in the Latvian higher education sector. 230 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers 2 Recommendations on the Doctorate and Postdoctorate Doctoral education is a first important element of efforts to further develop academic careers, and is also relevant for sectors outside academia. As a pre- condition for an academic career, acquiring a doctoral degree is a stage that every future academic must pass through. Thus, doctoral education is a key lever for promoting the quality of academic careers, and of the science and higher educa- tion system more generally. In addition, many doctoral degree holders proceed to important positions within society and the economy, making doctoral education also relevant for societal and economic development. To attain high-quality doctoral education in Latvia — and the sound design of the postdoc — HEIs responsible for implementing it and the government responsible for setting framework condi- tions must act in a concerted manner. With respect to a sound institutionalization, for example, the government needs to provide institutions with latitude in designing their structures and programs, and with incentives to continuously improve them. HEIs need to make use of their autonomy and implement doctoral education with a focus on the necessary conditions for successful preparation of doctoral students for academic and nonacademic careers. 2.1 Recommendations for Higher Education Institutions Anchoring the Doctorate in the Institution 1. (A.6) The principles for the admission, progression, and assessment of doctoral students should be defined at the central level of an institution. The admissions process in Latvia is based, with some exceptions, on students getting in touch with a potential supervisor. During the interviews conducted by the World Bank team, it appeared that students did not always know where to find appropriate information on all aspects of doctoral education, because their point of entry was through a potential supervisor. The promotion process in Latvia does not give HEIs full responsibility for the assessment of doctoral theses. REPORT 3: Academic Careers in Latvia: Recommendations | 231 Admission procedures for doctoral students should be clear, fair, and applied consistently on the basis of published criteria and procedures. To ensure fairness, at least two academic members of staff need to be involved in reviewing the qualifications and applications of the candidates. Admission procedures should give consideration to the availability of supervision in a particular program and to issues of discrimination on the basis of gender, ethnicity, and disabilities. Doctoral students should be provided with access to up-to-date information about regulations and processes regarding their program (for example, academic requirements; rules and regulations; availability of funding; time commitment; supervision) and their specific rights and responsibilities (for example, costs; intellectual property rights to the outcomes of their work; appeals and complaints procedures). Such information should be provided as part of an orientation session and be available at all times (for example, via a dedicated web page). Progression should be monitored regularly during the students’ time at an HEI; doctoral students should be advanced to candidacy when they have demonstrated their capacity to undertake original research. The institution should be responsible for organizing the assessment and defense of the theses, which currently is not the case (for details see Recommendation 5 (A.10) below and World Bank 2016). 2. (A.7) As a key condition for the quality of doctoral training, good supervision should be framed by a set of regulations and procedures. In Latvia, regulations concerning the supervision of doctoral students are evolving to the extent that some institutions are setting appropriate institutional policies and guidelines, and require signed agreements between supervisors and super- visees. However, training and ongoing support for supervisors, and the monito- ring of their performance, are rare. Co-supervision is not a policy but an ad-hoc practice, and continuity of supervision is left to the students’ initiative (which can be a challenge in case of disagreement with a supervisor, particularly in small institutions and faculties). Other forms of support, such as access to a general advisor, are informal and rely on the students’ initiative. The supervisor is fundamental to the success of students undertaking research. A good relationship with a supervisor is one of the major conditions for the suc- cessful completion of a thesis. Latvian HEIs should have a supervision policy in place that is public and consistently applied. A good policy specifies the qualifi- cations of academic staff who are allowed to supervise (for example, being active researchers, in the relevant field), how supervision is considered as part of the teaching workload, the maximum number of doctoral students per supervisor, and the supervisors’ responsibilities (for example, expectations regarding regular inter- actions with the doctoral student; requirements about monitoring their progress; the support given to attain the identified learning outcomes). In addition, regula- tions should specify whether co-supervision is required or optional, and any man- datory or optional supervisor training; the formal performance appraisal of super- visors; and the complaints and appeals procedures available to supervisors. Regulations should also explain what would happen in case a supervisor leaves, is removed, or is the subject of a student’s complaint. In an increasing number of countries in Europe, supervisors are trained for their supervisory tasks. Supervisors are generally required to monitor student progres- sion and completion via signed contractual agreements between doctoral stu- 232 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers dents and supervisors. The contracts should include clear milestones (including any requirements for publications) and require doctoral candidates and super- visors to meet regularly. Appropriate procedures should be available to deal with circumstances that have an impact on the duration of studies. Doctoral agree- ments should be reviewed as required if the personal circumstances of the candi- dates change (for example, parental leave, changing status from part-time to full-time or vice versa). Alongside their primary supervisors, doctoral candidates in many European coun- tries have a second supervisor and the two supervisors work together as a team; students also have access to an advisor to discuss their supervision in a safe envi- ronment. Any conflict and issues with the supervisor can be addressed through the advisor. 3. (A.8) All institutions that engage in doctoral education should ensure a stimulating research environment to their doctoral students. In several Latvian HEIs, doctoral education would benefit from a significant num- ber of research-active staff and an adequate research environment. However, the financial situation of some HEIs has a negative impact on those aspects, including on the learning opportunities and research equipment found in institu- tions, and on the available financial support for conference participation and inter- national mobility for doctoral students. In addition, students in Latvia can prepare a doctorate at an HEI that is not a doctoral-conferring institution. Under such an arrangement, it is not ensured that the student is part of a research project or team and has access to appropriate research resources (such as libraries, databases, lab equipment, funding opportu- nities to attend international conferences, and so forth). All institutions that are allowed to confer the doctorate should ensure that students are working in a sti- mulating research environment. Such an environment should be characterized by the availability of qualified supervisors, a collegial community of research- active academic staff who participate in regular discussion of research within and across disciplines, funding opportunities to attend relevant international and natio- nal conferences and to spend short research visits at another institution, and adequate physical resources (such as infrastructure; information technology, including computer access, technical support, specialist software and the possibi- lity to securely store large amounts of data; access to research facilities including high-quality research infrastructure and laboratory; access to adequate library resources; a desk and study space for each doctoral student). 4. (A.9) The taught component of doctoral programs and skills development opportunities should be developed to prepare doctoral students for both academic and nonacademic careers. Almost all Latvian institutions have a predetermined ratio of taught components and thesis work. Institutions tend to divide the taught component into required courses and electives, even though there are faculties that do not stipulate mandatory coursework. Taught components do not always include courses in research methodology and scientific integrity, and professional skills such as grant writing and written and oral communication. Learning outcomes for doctoral programs are generally not identified, and the general understanding of the doc- torate is that it leads to an academic career only. REPORT 3: Academic Careers in Latvia: Recommendations | 233 All HEIs should identify the learning outcomes at the doctoral level, specify the balance between research and coursework, and provide guidance to faculties for a suitable application across different fields. The goal should be to ensure that doctoral students develop a range of skills through their research and coursework in order to prepare them for both academic and nonacademic careers. Course- work includes academic courses in their subject and cognate fields, and soft skills development. The most important learning outcomes at the doctoral level include learning to do research, thinking critically, and producing new knowledge; planning, managing, and delivering research projects; and behaving ethically and professio- nally. To achieve those outcomes, it is necessary to provide doctoral students with formal research training adapted to their discipline and research topic. That includes training in research methods, and discussion of research ethics and scientific integrity. Digital issues, such as open research and data management, are gradually becoming important in the world and are increasingly discussed in the courses on research methods and writing for publication. 5. (A.10) An institution-wide policy and related procedures for establishing an examination committee should ensure objectivity and fairness. The promotion process in Latvia is very complex; therefore, institutions should ensure that their doctoral students are well informed about it, while in the medium term the process needs to be simplified. Importantly, Latvian HEIs are not fully responsible for the promotion process, which includes a very important external judgment on the evaluation of the thesis. The Latvian policy should be changed to be in line with common practice in Europe and the rest of the world, and should entrust HEIs with full respon- sibilities for the promotion process. In this context, the HEIs need to include the following aspects in their institutional policy: •Clear regulations about the format of the thesis should be issued. Students need to be informed about acceptable formats for their thesis. Clear guidelines should be available for each permissible format, including the deadline that students must respect for indicating the format of their thesis. •Assessment of the theses should be based on clear, fair, and published criteria. Those criteria should be benchmarked nationally and internationally, and should be communicated to both doctoral candidates and supervisors. The institution should periodically review the theses that have been accepted to ensure that they are of consistent quality across disciplines. •The examination of the theses should be based on procedures that are applied rigorously and consistently. If there is an oral defense, such regulation should specify whether the session is public or private, its approximate length, and the responsibility for arranging and communicating the time and place of the event. •The theses should be evaluated by an examining committee, which includes at least two external examiners. External examiners are academics who are not affiliated with the institution conferring the degree. A confirmation that no conflict of interest exists with the candidate or his or her supervisors must be signed by 234 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers each examiner. The committee members should write an individual report evaluating the thesis. There should be a formal process for appointing the examiners and for evaluating their reports. The supervisors could be allowed to attend the oral defense as observers. •Doctoral candidates should be informed of possible examiners before they are appointed and should have the right to raise concerns. The institution should consider these concerns and decide whether they warrant changing a proposed nominee. •The examining committee should collectively produce a statement for candi- dates that explains the outcome of their examination and the rationale for the final decision. The institution should specify the basic requirements of that state- ment and should have a procedure in place to deal with situations where exami- ners disagree. 6. (A.11) HEIs should provide career support for doctoral students to move into academic and nonacademic jobs, and grant them access to teaching and research assistantships. In Latvia, there is widespread belief in the academic community that doctoral stu- dents should be prepared only for an academic career. Nevertheless, teaching and research assistantships are not systematically provided to all students, and there is no career service dedicated to doctoral students. Doctoral students should have full access to the institution’s student support services, including advice and guidance on career opportunities. Support services staff should be trained to understand the particular circumstances of doctoral students and, among other tasks, be able to help them find nonacademic jobs. Doctoral students should have access to teaching and research assistantships as opportunities to develop their academic and scholarly skills. 7. (A.12) Open access to doctoral theses should normally be promoted. Currently, in Latvia, at least one institution promotes open access to doctoral theses. The institution mandates that publications and data from research funded by public funds or the institution itself are deposited in an open access repository and ensures public access to doctoral theses on the institution’s website before their presentation. Elsewhere in the world, all theses are being increasingly made available in open access, except if there are reasons requiring an embargo for a designated period of time (for example, due to copyright issues, ethical sensitivities such as pro- tection of human subjects). Latvian HEIs would be well advised to adopt that practice. 8. (A.13) Adequate information about formal appeals and complaints mechanisms should be available to all doctoral students, and institutions should analyze them. Formal appeals and complaints procedures are available in Latvia, but students did not seem well-informed about them. REPORT 3: Academic Careers in Latvia: Recommendations | 235 HEIs should ensure that appeals and complaints procedures are clear, fair, safe, comprehensive, and up-to-date; they should be described in an easily accessible document and should be discussed with new students during the orientation session. While respecting confidentiality and anonymity, the complaints and appeals that have been lodged should be periodically analyzed to ensure that the roots of serious individual problems and clusters of problems are addressed. 9. (A.14) The quality of all aspects of the doctorate should be continuously monitored and assured. In Latvia, some institutions are moving toward more structured doctoral programs and are developing internal quality assurance processes, but this is still at an inci- pient stage. Latvian HEIs should monitor all phases and aspects of the student-life cycle to ensure quality. They should develop an institution-wide framework for internal quality mechanisms that would allow some degree of flexibility in faculty-level implementation. The framework should be evaluated regularly to ensure its fitness and relevance. The framework should include institution-wide data collection (such as completion rates and career tracking), which can be analyzed according to relevant categories (for example, by gender, by faculty, by program, and so forth). Those data collec- tion mechanisms should also be used to monitor the progression of individual students. The framework should include feedback from doctoral students and supervisors, and from internally initiated evaluations of academic and professional courses and research activities (research institutes, research groups, and so forth). As part of the internal quality assurance processes, institutions should monitor the performance of doctoral students’ supervisors. Their department head, or other relevant staff member, should organize a yearly meeting with the supervisors to discuss their students’ progress and any issues arising (for example, an unusual number of students who are not progressing normally, patterns of students’ comp- laints, and so forth). If necessary, the department head should require a supervisor to seek training or should remove a supervisor from his or her role. If more than two institutions are involved in the training and education of doctoral students, a written agreement should describe the division of responsibilities, including with respect to the internal quality management of the degree. Data analyses and the results of the evaluations should be provided to the rele- vant HEI, faculty, and departmental officers and bodies to allow them to monitor quality in a continuous manner. The institution should be able to demonstrate how it uses the results of those quality assurance processes to improve, including how the senior leadership monitors improvement at the levels of the faculties and departments. 10. (A.15) Doctoral schools should institutionalize doctoral training and promote its quality. Some HEIs in Latvia have an overarching structure that is called “doctoral school.” With one exception, the main function of those structures is to deliver colloquiums, conferences, and workshops. At the time of this project, only one 236 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers institution had given administrative responsibilities to the doctoral school, inclu- ding for quality assurance. Doctoral schools are a particularly effective way to institutionalize doctoral training and promote its quality by ensuring standard processes, providing students with an intellectual community, and promoting cooperation and exchange. Typical functions of doctoral schools in Europe include the following aspects: implemen- ting administrative procedures such as the admission of doctoral students and the recognition of their prior experience; providing student support services and information to doctoral students; funding international mobility of doctoral students; training, supporting, and monitoring supervisors; offering (soft) skills development opportunities; providing workspace for students and a place for faculty members to meet; and setting standards and being responsible for quality assurance and improvement processes. Doctoral schools in Latvia should evolve toward this model. HEIs should identify clearly, albeit flexibly, the mission and functions of their doctoral schools. HEIs seeking to establish doctoral schools should determine the optimal number of doctoral schools in relation to their size and the need to promote interdisciplinarity. 11. (A.16) The mission and governance of doctoral schools should be clearly defined. Apart from one HEI, Latvian institutions do not have doctoral schools that have a mission larger than as a provider of conferences and workshops. Therefore, to date, there has been no need to define the governance of those doctoral schools. As Latvian doctoral schools are entrusted with more responsibilities, HEIs should define the governance of their doctoral schools, including their reporting mechanisms to the highest body in the institution. Information about the mission, functions, and governance of doctoral schools should be easily accessible to all interested parties and designed in a way that contributes to the branding of the university. Managing Partnerships 12. (A.17) Doctoral partnerships must be framed by a general policy and specific agreements for each student. Some HEIs in Latvia have relevant partnerships with industry and other partners, which provide opportunities for doctoral students to conduct research in an indus- trial setting; however, these are not necessarily accompanied by the necessary governance arrangements, policies, and procedures to ensure quality. A forma- lized framework for those students interested in a doctorate in cooperation with industry should be in place in all universities that offer these opportunities. Different types of cooperation arrangements, with academic and nonacademic partners, are possible. HEIs should develop a strategy about their partnerships at the doctoral level, that includes identifying strategic industrial partners and stra- tegic HEI partnerships nationally and internationally. Those partnerships should be framed by a general policy that describes their governance and management, the policies and procedures that affect the students, the decision-making process, REPORT 3: Academic Careers in Latvia: Recommendations | 237 and the human and financial resources that are available to support such partner- ships. Specific agreements for each student should ensure good management of those relationships and minimize risks. Doctoral research carried out in partner- ship between an HEI and a company requires an arrangement integrating the industrial supervisor in a supervision team, with the academic supervisor in the lead. HEIs should also develop guidelines for doctorates in cooperation with industry and cotutelles, and faculties should be assisted in preparing contractual agree- ments with external partners and be required to report to a high-level institutional body that is responsible for monitoring those partnerships. 13. (A.18) Stakeholder involvement in doctoral school governance should be encouraged to contribute to preparing doctoral degree holders for nonacademic careers. In Latvia, there was no evidence of a structured and systematic involvement of external stakeholders in the design of doctorates and the governance of doctoral schools. HEIs should encourage faculties to identify appropriate external stakeholders who will update academic staff about professional trends and provide opportunities to doctoral students during their studies or after they earn their doctorate. Quality of partnerships, based on trust and long-term commitment, should be the primary goal, and also cover the evaluation of doctoral programs. Postdoc 14. (A.19) The postdoc should be framed by appropriate policies and guidelines. The status of postdocs in Latvia is left rather vague (that is, it is defined as anyone conducting research in an institutional setting within five years of obtaining the doctorate); the explicit nature of the rights and responsibilities attached to this position are not clearly defined or understood. The postdoc should be seen as an opportunity to strengthen one’s research capacity, and the postdoc position must be framed by appropriate policies and guidelines covering, among others, recruitment procedures and the objectives of appointments. The postdoctoral position should be considered (an optional) part of the academic career ladder, and the institution should take responsibility for related human resource issues. HEIs should clearly define the rights and obliga- tions of postdoctoral fellows and treat them as part of their staff. 15. (A.20) Postdocs should have access to career advising. In Latvia, HEIs do not offer specific career support to their postdocs. Because postdocs are not yet fully-fledged professionals, they need to have access to career counseling in the same way as doctoral students. Therefore, HEIs should provide career advice to postdoctoral fellows to prepare them for academic and nonacademic careers. 238 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers 2.2 Recommendations for the Government System-Level Framework 16. (A.1) Define the standards of the doctorate, in consultation with the higher education sector. Latvia has a strict classification of doctoral degrees and accreditation regulations for doctoral programs, but the regulations restrict the flexibility of HEIs to design doctoral education in emerging fields or in interdisciplinary areas. The national framework for doctoral training should seek to find an appropriate balance between regulation and flexibility. While regulations and quality criteria need to be applied rigorously and consistently, doctoral training also requires room to accommodate personalized paths, and a reasonable level of institutional and discipli- nary differences. That necessitates a national consensus, notably with the academic community, on the essence and standards of the doctorate. Regulations should be focused on quality standards for the doctoral level that are defined in a generic way. 17. (A.2) Define the standards and criteria for conferring the doctorate and the associated quality assurance mechanisms. Internal and external quality assurance procedures are still at an incipient stage in Latvia, and the focus on a suitable research environment and quality super- vision as conditions for training doctoral students and conferring the doctoral degree is insufficient. As a result, it is possible for doctoral students to prepare a doctorate in an institution with very limited research capacity. It is crucial to review the criteria for deciding which HEIs have doctoral degree conferring powers, and to envisage having formal cooperation agreements between those institutions with doctoral awarding powers and those that do not. Those agreements should provide a general framework for dealing with individual students; each student would have a specific agreement in line with the frame- work that has been agreed between the two institutions. The external and internal quality assurance systems must be developed and designed together. HEIs should be required to develop internal quality assurance mechanisms, and the external quality assurance process should take these internal mechanisms into account and design a process specific for the evaluation of the third cycle. Those developments require capacity-building mechanisms to ensure a good understanding of the mechanisms, tools, and procedures that are most effective. At least for the first quality assurance cycle, the external quality assurance agency should accredit each doctoral program separately (and not as part of an accreditation of a cluster of programs). Later quality assurance cycles could then move to the evaluation of the doctorate at the faculty or institutional level. 18. (A.3) Review funding mechanisms for the doctoral level to ensure completion, and to promote efficiency and quality. State funding for higher education incentivizes the doctorate to some extent. However, the state stipend for doctoral students is very low; this may be a con- REPORT 3: Academic Careers in Latvia: Recommendations | 239 tributing factor to the slow progression and low completion rate. In addition, funding ends when the thesis is sent for the external assessment process (“pro- motion process”), which is unfair to the students, while national research project funding is low and on an irregular cycle, which does not provide HEIs with any stability for planning research activities and doctoral recruitment. Doctoral training needs to be incentivized financially to promote efficiency and quality. That should be done through a stable funding source; Structural Funds programs and other sources should be viewed as complements to state funding. Doctoral students should be funded in priority fields at a sufficient level to allow them to be full-time students. An increase in research funding would provide stability and the possibility for long-term institutional planning. 19. (A.4) Set national priorities in broad (inter)disciplinary fields (including arts, humanities, and social sciences) while preserving some funding for blue sky research. Public funding for doctoral education considers, to some extent, national needs based on labor force planning. The allocation of budget places by the Latvian Ministry of Education and Science is based on the perceived need for specialists in the different disciplines. That work needs to be further developed: national priorities in broad disciplinary and interdisciplinary areas should be established, while preserving some funding for blue sky research. That work could be bolstered through labor market observatories tracing gra- duates into the labor market and providing information on career tracks, income patterns, and other relevant factors to help students (including graduate students) and their families to make well-informed choices. 20. (A.5) Ensure that research is at the center of the doctoral experience. The national research support programs provide very weak incentives to ensure that doctoral candidates are appropriately involved in research projects. As a re- sult, there are students working on their doctorate in units that are not research active. That issue will be tackled in new regulations. Research funding should include financial incentives to promote doctoral students’ participation in funded research. Involvement in research should be made a defining criterion and condition for doctoral training. HEIs should be required to provide co-supervision to their students and to frame doctorates in cooperation with industry and cotutelles with framework agreements. 240 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers 3 Recommendations on the Development and Advancement in Academic Careers Academic career patterns are a complex phenomenon, whose design requires system-level regulations and policies and institutional policies and practices that are well coordinated. Working conditions and career opportunities of acade- mics have a direct impact on the motivation and performance of those working in science and higher education, and on the extent to which the right persons advance to the right positions. Their specific shape in Latvia derives from a range of interdependent factors, including the career structures within HEIs and their recruitment and promotion procedures, and key legislation and policies such as the national academic career framework (with its barriers to structured promotion patterns) and the two-track system of teaching-focused and research-focused positions. Thus, to increase the predictability and stability of contractual arrange- ments — currently one of the most pressing challenges with respect to academic careers in Latvia — the efforts of HEIs and the Latvian government need to rein- force each other across several issues. 3.1 Recommendations for Higher Education Institutions Status and Role of Academics 21. (B.2) Increase the predictability and stability of contractual arrangements, and move toward long-term HR planning. As the authors of this report concluded earlier (World Bank 2018), academic careers are fragmented in Latvia. One of the main reasons for the fragmentation is the contractual form of academic work. It is mostly commissioned based on contracts that contain a rather detailed breakdown of tasks. Individual academics have “collections” of contracts (one for each task at an HEI), and are thereby able to combine teaching, research, and administrative duties, even though not all REPORT 3: Academic Careers in Latvia: Recommendations | 241 academics are engaged in all different types of academic duty. That has severe consequences. Individual academics shoulder the risk of changes affecting their working environment, since the content of contracts (for example, the hours of a teaching contract) can be frequently adapted. That might result in significant volatility in individual careers. The level of economic risk and the volatility of contractual arrangements should be reconsidered, especially by taking the perspectives of institutional and indi- vidual planning into account. HEIs need to move toward medium-to-long term planning horizons with a view to HR and financial planning instead of keeping an “ad-hoc” approach, which seems to have developed under the conditions of the financial crisis. Administrative and financial management capacity will need to be strengthened to that end. Responsible HR units will need to have adequate financial resources to carry out their duties regarding personnel and enable longer-term planning. Under an ideal scenario, HEIs will create medium-to-long term HR plans with matters of personnel being firmly anchored in institutional strategies. Plans will need to be developed for how to arrive at a more holistic academic profession — combining teaching and research, as required by law, with other duties — and allowing individuals to focus on performance and meaningful contributions instead of “assembling” a portfolio of contracts with different institutions or units. When transitioning toward a more holistic notion of the academic profession, institutions would be well advised to ensure that all academic activities receive sufficient attention, particularly the academics’ engagement in teaching and learning processes. 22. (B.3) Gradually develop consistent working conditions and resources for budget-funded (teaching-focused) and externally funded (research-focused) staff. The salary level and other working conditions of budget-funded teaching work and externally funded research work differ drastically. That creates a situation in which the same person might have unequal pay for equally important work, or a situation in which another member of the same working unit has a drastically lower or higher salary due to a different funding source. HEIs and their units are tasked to consider how benefits of different funding sources can be distributed more equally within units without hampering related incentives. The institutions should gradually develop a time management system that allows the allocation of working time to different tasks. However, that should be done in such a way that successful applications for external funding are still motivating at an individual level. General Career Patterns 23. (B.6) Ensure that individual career trajectories are predictable and compatible with formal career structures. A range of specific features of the Latvian approach to academic careers, like the six-year rule (that is, that all contracts are fixed-term contracts with a duration of six years), the nonexistence of a mandatory retirement age, and a funding 242 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers model that is based at the program level on the numbers of students enrolled, make career planning for individuals and HR planning for institutions very difficult. In some institutions, it seems nearly impossible for most young (and even older) academics to plan their career. HR planning should be based on the strategic planning of institutions and should create a predictable framework for individuals to plan their future. In many countries this is achieved through tenure track models. Institutions should communicate their personnel plans to faculty members and have a transparent and predictable personnel policy. Individuals should be aware of the (re)opening and closing of positions. Institutional career frameworks need to be anchored in a national career framework to ensure that there are no institu- tional practices that hinder national mobility or restrict the transferability of acade- mic merits between institutions or internationally. 24. (B.7) Maintain the transparency of institutional promotion criteria and develop balanced criteria for promotion. The promotion (election) criteria were overall considered well-known, transparent, and clear. That is an important achievement and should be maintained and further strengthened. The respective criteria in evaluating teaching, research, and other merits should be well defined and transparent. 25. (B.8) Ensure and communicate the alignment between institutional strategy and career framework. The overall institutional career structure should consist of and link the recruitment, promotion, and remuneration processes. To ensure that the institution has the right body of academic (and other) personnel for the tasks at hand, it is of utmost importance that the career structure and personnel policies are aligned with the institutional strategy. After all, the strategy of an institution is implemented by individual academics and other staff. In addition to active leadership, the most important instruments in steering the tasks of HEIs are the recruitment, promotion, and remuneration practices. To ensure the consequent implementation and further development of agreed strategic directions, institutions need to limit staff turnover and have an adequate number of full-time and tenured staff members. In reforming the career structures, the specificities of the institutional strategy should be taken into account, because the career struc- tures should be considered as a tool for implementing the strategy. 26. (B.9) Make sure that the institutional leadership and middle management are aware of the contractual arrangements of their staff. As mentioned, the contractual arrangements of academic staff at Latvian HEIs are fragmented and complex. It seems that in many institutions, human resource planning is done in a rather administrative manner and coordinated by personnel departments, a process that seems largely detached from the strategic manage- ment of the institution or unit. To tackle the issue of the instability of academic work and decrease the related volatility, institutional leadership, deans, and heads of departments will need to REPORT 3: Academic Careers in Latvia: Recommendations | 243 take a more active role in following the contractual arrangements and personnel statistics. A close monitoring of the situation should provide the basis for more consistent and strategic HR planning, allowing for more balanced arrangements at the unit and individual level. 27. (B.10) Prepare a midterm plan for developing HR services. In Latvia, like in many higher education systems, HR services would benefit from being developed further. Institutions should make a midterm plan to develop their HR services to be more compatible with institutional strategies, while also taking into account a changing higher education landscape. A first and crucial step toward more strategic HR services is to align the HR functions (HR planning, recruitment, selection, promotion, staff development, and so forth) (see Box 53 in World Bank 2017) with the institutional strategy and decide on the optimal centralization/decentralization of these services (see Table 9 in World Bank 2017). In addition, the participation of HR managers in matters of institutional strategic management needs to be discussed. The HR plans should include follow-up mechanism related to the development of the respective HR services (see above). Selection and Recruitment of Academic Staff 28. (B.12) Strengthen the efficiency, transparency, and fairness of recruitments. Latvian academic staff selection procedures in recruitment processes are based on a vote by the faculty council or a council of professors. Those elections seem to be widely considered as a fair and acceptable way of selecting academics; however, there are also critical voices who believe that this process opens the door to ambiguity and clientelism. In the short term, it would be advisable to strengthen more formal aspects of the selection process by utilizing HR experts and institutional management in preparation of recruitment meetings to make the election process more efficient and less time-consuming for academics. It is also worth considering giving a stronger role to the institutional and faculty leadership in the selection process, also with a view to a stronger link between HEI strategic priorities and personnel decisions. For example, after consultations in the faculty council, the dean could consolidate the input received until this stage of the process and formally propose a candidate to the rector. In the longer term, however, it would be advisable to consider and promote a more radical overhaul of the system as a way to over- come the inertia and complexity related to the current approach. The envisaged stronger role of the leadership could and should still be balanced by collegial control via responsibilities of the faculty council and the role of external evaluators. 29. (B.13) Communicate the selection criteria of academics to employees and candidates. Each vacant position should be reconsidered and aligned with the institutional strategy. The selection criteria for an open position should reflect the profile of 244 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers the unit and the tasks of the position. Currently, institutions are to some extent allowed to alter and amend the national qualification criteria. Institutions should use that possibility and balance the criteria based on teaching, research, and other merits to respond to the organizational needs. In recruitments, transparency is one of the key success factors. The selection and qualification criteria, and the rationale for their selection, should be communi- cated openly in job descriptions and advertisements. That is one way of avoiding a mismatch between individual ambitions and organizational needs. 30. (B.14) Streamline the selection procedures. The recruitment process in Latvian HEIs is time-consuming and requires a con- siderable amount of time from the academics involved. Many academics seem to be members of several boards, councils and committees (for example, faculty council, promotion council, council of professors), and the same individuals seem overly committed in institutional decision making. For that and other reasons, a more streamlined selection process is advisable. However, while changes to the process can and should be promoted by HEIs, a revised approach will also need to find the endorsement of the government. The advertisement of positions is currently done in a pragmatic way, in accor- dance with what is stipulated in the legislation. While that has some administrative advantage, announcements of positions tend to reach the Latvian scholarly com- munity only within the country. It would be worth considering how to advertise open positions to a broader audience. Institutions should, for example, identify and make use of international outlets for recruitments, including for the adver- tisement of junior positions. However, a comprehensive internationalization of advertisements and recruitments would only make sense in the context of more accommodating arrangements for foreign academics. 31. (B.15) Strengthen the strategic role of HR services alongside institutional leaders, and consider the involvement of stakeholders in recruitment. While it would be advisable to reconsider the recruitment process, particularly with respect to the election of academics, the roles of different parties involved generally seem clear. Under a future model, there also needs to be clarity and the proper articulation of roles and responsibilities will need to be ensured. The role of HR services and institutional leaders should be strengthened in stra- tegic recruitments to ensure a strong link between institutional priorities and profile and personnel decisions. Institutions might also consider involving external stakeholders in the recruitment process, especially in cases where positions have a strong third-mission-related component. 32. (B.16) Build a system of checks and balances in basic units. Recruitment systems need to be based on institutional strategies as well as values of the academic collegial community. An objective, fair, and transparent proce- dure is key for the acceptance of the system. A system of checks and balances should be created to ensure aspects such as an appropriate representation of the collegial community — while not overburdening individuals — in decision making, efficient implementation of decisions, and equal treatment of individuals. REPORT 3: Academic Careers in Latvia: Recommendations | 245 The roles of different players in the process need to be balanced; however, this balance depends on the specific type of recruitment. In professorial recruitments, for example, the academic community tends to play a key role; in organizational recruitments of lower-level academic staff, the unit head has a major role; and in short-term recruitments for projects, the project managers have a significant role. The differences of aims and processes of recruitment in different types of recruitments should be acknowledged (see Table 6 in World Bank 2017). In gene- ral, there should also be room for strategic recruitments, giving the institutional leadership the possibility to reflect major strategic considerations in recruiting professors and other teaching staff. Career Advancement and Promotion Patterns 33. (B.17) Develop predictable, transparent, and clear promotion patterns. Currently, promotions in the Latvian higher education system are based on vacan- cies for which individuals apply. The fact that there is no mandatory retirement makes it difficult to estimate when related vacancies occur. Institutional promotion patterns should be developed in a way that they are aligned with national qualification criteria, are transparent and well documented, and provide predictable and realistic targets for talented and hardworking young scholars, that is, these scholars should be well aware of what they are expected to achieve if they decide to continue with an academic career. In some countries, this is realized via tenure track systems. If such clarity is not achieved, the attrac- tiveness of the academic profession in Latvia is likely to suffer, impacting both the pool of available future academics and, most likely, the migration patterns of academics. 34. (B.18) Continuously improve promotion patterns via balanced, flexible, and transparent promotion criteria. Currently, the Latvian promotion system is based on vacancies and collegial (sometimes labelled “democratic”) evaluations and decision making. The current system takes into account different aspects of academic work. However, if in the future institutions decided to also reflect the reality of more research- or teaching- intensive positions in promotions, the promotion criteria would need to reflect this reality. Institutional and unit leaders will need scope to tailor criteria for promo- tions in accordance with institutional priorities. In all cases, the transparency and fairness of the process should be maintained. In any case, job descriptions should be developed further to reflect a realistic (teaching) load. 35. (B.19) Develop a systematic approach to follow and steer career advancement. Some of the Latvian HEIs have a proactive way of establishing new positions and altering their personnel structure to strengthen institutional capacity while promo- ting individual development. However, several system-level variables are causing inertia (for example, the six-year rule, the lack of mandatory retirement, quotas on qualifications, language requirements) and constrain systematic development of motivating career structures and individual career advancement. Regardless of the system-level restrictions, institutions should explicitly discuss career advance- 246 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers ment as part of their strategic human resource development, while trying to advance much-needed system-level changes through consultations. Career advancement should not be constrained and viewed exclusively as an individual’s application for an open position. The leadership should be aware of the aims and professional ambitions of its faculty. A systemic career dialog between an academic and his or her supervisor should be organized in every academic unit, for example, as part of development discussions. International Mobility in Academic Careers 36. (B.21) Strengthen an organizational culture that supports internationalization. HR departments and institutional leaders responsible for HR management can significantly influence the degree of internationalization of institutions. To develop an organizational culture that provides good working conditions for foreign faculty members, several small steps can be taken. For instance, all important HR docu- ments, regulations, and policies should be made easily accessible in English (or other major European languages, as appropriate) and proactively commu- nicated to foreign staff, and a welcome center might facilitate the introduction phase. In addition, suitable forms of support and services for the families of the foreign faculty members should be considered, as well as dual career issues (that is, the needs of couples where both partners pursue an academic/professional career). Internationalization of faculty should be encouraged by aligning the remuneration and promotion criteria with the agreed internationalization strategy. Faculty mem- bers should be systematically encouraged to apply for international projects, to co-publish internationally, and to take advantage of opportunities of internatio- nal staff exchange as provided, for example, by Nord+, Erasmus+, and other programs. Alignment of Elements of Human Resource Policies 37. (B.22) Align HR practices with the institutional strategy. The institutional strategy development process should be planned in such a way that individuals responsible for HR planning and the implementation of HR management have a voice. HR issues should be one explicit topic of the strategy development process. The institutional strategy should, furthermore, be reflected in job descriptions, performance appraisals, career progression, and approaches to remuneration. REPORT 3: Academic Careers in Latvia: Recommendations | 247 3.2 Recommendations for the Government The Status and Role of Academics 38. (B.1) Initiate a policy dialog on the reform of the two-track system with the aim of overcoming a dichotomy between teaching and research. Integration of research and teaching is a precondition for developing a research- intensive and research-informed public higher education system with diversified institutional profiles. Regardless of the integration of research institutes and the stipulated unity of teaching and research, the Latvian career model is still based on a legislative distinction between research-focused and teaching-focused positions. The varying balance among research and teaching activities, manage- ment, and service tasks should be approached as an institutional matter of divi- sion of labor, not as a distinction enshrined in legislation. A policy dialog on the legislative distinction between research and teaching duties needs to be launched. When the legislation is reformed, all three missions of higher education (that is, teaching and learning, research, and service), should be taken into account within a national career framework. It would be important in that respect to ensure that all academic activities receive adequate attention, in particular, that teaching activities are not sidelined by a focus on research. The national career framework should allow institutions to develop a distinct pro- file of their staff — a step that will require adjustments to the current list of criteria for elections to the extent that they limit the scope of HEIs to select and promote academics in accordance with the institution’s profile and needs. The introduction of a new framework for academic careers would require careful consideration of the transition process and its challenges. While applying a new framework to academics who entered the higher education system after its intro- duction does not pose challenges, potential gains and losses for academics who already were in the system before need to be taken into account. Thus, a condi- tion for a successful transition to a new system is a clear plan for its introduction, comprising distinct successive steps. In addition, it would be expedient to devise incentive and/or compensation mechanisms to facilitate the shift of academics who were hired under the old system to the new system. Legal issues that might arise in connection with the transition also merit to be considered in advance. General Career Patterns 39. (B.4) Develop the national career framework to be compatible with international frameworks and to support mobility among different sectors (industry, public administration, and others) within the Latvian society. The national career framework should be aligned with the (stages of the) career frameworks used by international agencies and foundations and reflected in related programs and instruments (for example, European funding instruments, mobility programs) to improve conditions for attracting funding and supporting international mobility. The national career framework should also allow for mobility 248 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers among sectors. Thus, when developing the national career framework, the entry and exit points of academic careers — including from/to other sectors of society/ the economy — should also be considered. Other points to be considered pertain to mobility and international recognition issues at different career stages. 40. (B.5) Continue developing system-level incentives to ensure a strategic approach to HR development. Providing system-level incentives is an efficient way of developing suitable career structures and research competencies at the institutional level. Policy measures like the recent introduction of postdoc positions have an immediate and stimula- ting impact on the personnel policies. While further qualifications of academic staff should be encouraged, it is not advisable to set rigid quotas for certain types of qualifications, especially for small and innovative institutions, which need flexibility and time to develop their academic staff. Selection and Recruitment of Academic Staff 41. (B.11) Develop further national regulations to ensure equal treatment. National legislation needs to ensure the required openness of the system and equal treatment of its members and potential candidates. Legislative reforms should aim at removing any obstacles to internationalization and ensure equal treatment in term of gender, minorities, and other such status. For instance, narrowly defined language requirements for filling academic positions need to be avoided to make internationalization and an open system a reality. Career Advancement and Promotion Patterns 42. (B.17) The national career framework should allow for predictable career models in institutions, including a tenure track option.80 Currently, promotions in the Latvian higher education system are based on vacan- cies for which candidates can apply. Latvia currently does not have a tenure track option; thus, it is not possible to promote a person “in situ.” Because of the lack of a mandatory retirement age and due to the small size of the system, career pro- gression seems almost impossible to individuals active in some fields. The natio- nal career framework should be designed in such a way to allow institutions to develop career models that include predictable promotion practices and a possibility to eventually obtain tenure. If the sector decided to move in the direction of a tenure track system, the tenure track would need to be anchored in national legislation, that is, a longer probatio- nary period should be regulated, as should permanent positions and the option of “in situ” promotions. However, with regard to a future tenure track model, transpa- rency and clarity will need to be ensured according to the standards of internatio- nal good practices of tenure track models. 80 This recommendation relates to institutional level recommendation B.17 in the matrix in the annex of this document. It was included here, since the realization of the related recommendation would also require system-level changes. REPORT 3: Academic Careers in Latvia: Recommendations | 249 In a first step, a tenure track model could be piloted in such a way that major legislative changes would not be required. The Ministry could work with HEIs (for example, by providing administrative or financial support) with the latter announcing positions leading to professorships in areas of strategic importance. This would mean that persons in these positions could be promoted to the next career step without establishment of a new position. Individuals recruited as a docent/postdoc could, for example, be promoted to associate professor and further to professor on the basis of periodic assessments. The pilot positions could be either newly established or vacant professorial positions. From a finan- cial management perspective, this would allow for savings during the initial phase and ensure a time frame where the financial implications of the new model can be explored. The assessment could be done after six years in the position or earlier, if requested by the academic. It would further be worth considering aligning the type of pilot positions and promotion criteria with Pillar 2 funding criteria or other agreed priorities. In the medium term and following legislative changes, the professorship should be a permanent (tenured) position with a clearly established retirement age. If from a legal perspective this cannot be realized, HEIs will need to find pragmatic solutions, for example, by timing contract duration with the retirement age established for comparable professions. International Mobility in Academic Careers 43. (B.20) Reconsider and revise legislation hindering mobility. Latvia has a small higher education system. Traditionally, the academic labor force has consisted mostly of Latvian nationals. One way of increasing the dyna- mics and adaptability of the system is to ensure international outward and inward mobility of staff. Internationalization of the academic workforce is also important for students, because it supports internationalization at home. As an academic labor market, the Latvian higher education system seems almost closed, and the current approach allowing for visiting lecturers does not provide an adequate framework for internationalization of academic work. Existing language restrictions will need to be reconsidered and revised in a way that allows for scientific dialog (in teaching and research) in major European languages (alongside the national language) that are mastered by the respective academic community. The role of the English language, especially, needs to be strengthened to ensure that academic activity in the country stays internationally connected and relevant. System- and institution-level information should be easily accessible in English to help promote Latvian higher education. These and other steps can be taken by government and institutional actors immediately to promote the internationalization of Latvian higher education. In addition, the government would be well advised to further develop mobility schemes that bring talent from neighboring countries and beyond to Latvia and provide Latvian academics with international experience early in their careers. In addition, academic exchange during the later stages of a career should be supported. Specific attention needs to be devoted to reentrance after a period of mobility and work with the academic diaspora in a way that benefits the Latvian higher education system. 250 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Alignment of Elements of Human Resource Policies 44. (B.23) Take HR issues into consideration when reforming higher education policy, funding, and legislation. According to the European University Association Autonomy Scorecard (EUA 2017), staffing autonomy is high in Latvian HEIs. However, from an institutional perspective, there are many minor regulative norms that as an aggregate determine HR policies. At this stage, Latvia does not have a comprehensive policy on academic work and careers. In future higher education reforms, also pertaining to academic careers, it will be important that the academic community has a voice. In particular, it should be ensured that academics at different career stages are heard in the policy process. The legislation on academic work and careers will need to be well aligned with the aims of national higher education policy. If the system is striving for excellence and internationalization, this will need to be reflected in national HR-related regulations and incentives that ensure a highly attractive and inter- nationally open academic profession. The government would be well advised to provide a vision on the development of the academic profession in the country, which should include the vision with respect to teaching (education export included), research (global knowledge transfer included), and social innovations and technological advancement (mobility among sectors). REPORT 3: Academic Careers in Latvia: Recommendations | 251 4 Recommendations on Remuneration and Performance Evaluation Since the system-level framework and institutional policies and practices cur- rently hardly address performance-oriented forms of remuneration, a key task for Latvian HEIs and the Latvian government is to pave the way for future reforms. System-level funding arrangements and institution-internal allocation mechanisms have both been on the higher education reform agenda in Latvia. One option for further promoting the system’s orientation toward performance would be to translate performance orientation to the level of the individual aca- demic. Currently, there are no specific system-level regulations on performance- based salary systems and performance-supporting measures. Nor do HEIs engage in this area to a broader extent. That creates the possibility for HEIs and the government to conjointly develop ideas on how this matter could be tackled in the future. Basic issues that would merit consideration at this stage include an adequate notion of performance, system-level regulations that incentivize insti- tutions to increase performance orientation while granting sufficient institutional autonomy, and managerial and financial implications of potential reforms. 4.1 Recommendations for Higher Education Institutions Regulation at the System Level There are no specific regulations on the system level pertaining to performance- based salaries (PBS) or bonus systems on the institutional level. That means that institutions are in principle free to develop such models, if their financial situation allows. Minimum salaries for different staff categories are, however, determined at the system level (see World Bank 2018, 39). 252 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Concept and Measurement of (Good) Performance 45. (C.3) Ensure the integration of teaching and research functions, including in individual academic careers, at the institutional level. This recommendation is fueled by the need to maintain an open concept of performance that reflects the diversity of academic tasks. In principle, Latvian academics are supposed to display strong performance in both teaching and research. However, various HEIs put a stronger emphasis on research perfor- mance. The reason might be that research was put “on the back burner” during and after the year of the financial crisis, and is now specifically rewarded through performance-based financing provided by the government under Pillar 2 of the reformed funding system. While the system level needs to define key features of academic tasks, HEIs should have the flexibility to (a) promote an integrated vision of academic duty (comprising of teaching, research, service, and manage- rial activities), while (b) also allowing for a certain amount of specialization within this broad definition of academic duty, to the extent that it fits with the profile and needs of the respective HEI. 46. (C.4) Further develop the concept of, and provide incentives for, performance on the institutional level. To the extent that PBS models are developed in the future, it will be important to take different performance categories into account while striving to ensure an integrated approach to careers with regard to different types of academic duty (teaching, research, service, and management) — see previous paragraph. 47. (C.6) Strive to achieve a more balanced view on performance, particularly by incentivizing excellence in both teaching and research. As mentioned, financial cuts in the context of the financial crisis, in particular, impacted research funding and subsequently research performance. It is thus no surprise that the Ministry and HEIs currently try to compensate for this shortcoming through financial incentives and a strategic emphasis on research. However, the Latvian higher education sector would be well advised to follow the example of neighboring countries (for example, Poland) and put more emphasis on excellence in teaching. Incentives could be set on different levels, including performance-based funding on the system and institutional level, and via future performance-based salary models, if the sector chooses to go in that direction. Thus, this concerns the system overall as well as individual HEIs. Aspects of Model Development — Linking Performance to Models and Procedures The criteria for good system- and institution-level human resource policies list a range of model development aspects to be considered when developing PBS models and performance-supporting measures. Fully-fledged PBS models currently do not exist in Latvia, nor are they being developed. However, there are initial experiences with bonus systems, mainly for research-related perfor- mance. REPORT 3: Academic Careers in Latvia: Recommendations | 253 If Latvian HEIs embarked on the development of PBS models, they would be well advised to: •Combine fixed salary components with performance rewards (and ensure that the fixed part is substantial, as performance is also required as part of normal duty) •Develop PBS systems that reflect institutional strategies •Avoid crowding-out effects by developing incentive systems that do not reward every single (small) activity and that accommodate different types of perfor- mance with a clear goal to enhance individual motivation •Make sure that performance criteria, assessments, and the related award pro- cess are fair, transparent, and clearly structured •Develop models that are “actionable,” that is, that reflect constraints with regard to administrative and financial management •Combine top-down and bottom-up aspects. Detailed guidance on model development and good practice examples are provi- ded in an earlier World Bank publication (World Bank 2017). Remuneration and Financial Management As stated in the criteria for good system- and institution-level human resource policies (see Annex section C.13, pp. 62–63), financial management considera- tions are an integral part of the development and implementation of PBS systems. Such systems need to be developed with the short-, medium-, and long-term funding basis in mind and carefully consider the various financial implications of performance-supporting measures proposed. The bonus systems currently under development in some Latvian HEIs can be implemented without a long-term financial commitment on the part of the HEI. However, all performance-supporting measures lead to an expectation that comparable performance leads to comparable rewards in the future. Neverthe- less, ad-hoc rewards can be steered more easily than comprehensive perfor- mance-based salary models with a medium-to-long-term impact. Besides predic- ting future available funds, model developers also need to consider how perfor- mance of staff is likely to develop (triggering a respective reward), which might be related to increasing experience and thus questions of age cohorts. The latter will also determine when larger amounts of funds become available due to retirement of staff higher up the career ladder. This, of course, is more difficult in a system without a mandatory retirement age and, relatedly, less predictability of the availability of institutional resources. Finally, complex planning processes, for example, in the context of PBS models, require well-trained and experienced administrative and financial management capacity at the institutional level and related capacity-building measures. 254 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers 4.2 Recommendations for the Government Regulation at the System Level As mentioned, there are no specific regulations on the system level in Latvia that define or incentivize the introduction of PBS or other performance-related measures. The following considerations thus mainly pertain to creating precondi- tions for a potential introduction of PBS or other performance-related measures in the future, and to avoiding a system-level framework that would hamper the introduction of such measures. 48. (C.1) Maintain clarity on basic principles of remuneration and types of positions in the legislation while exploring ways to make salaries more adequate and performance oriented. In Latvia, the main types of academic positions and the related minimum salaries are regulated by legislation. The resulting clarity needs to be maintained in the future. However, the Ministry would be encouraged to explore options to make salaries in the higher education sector adequate — also in a competitive Euro- pean environment — and to incentivize performance. The former will be needed to increase the attractiveness of the academic profession, which already faces many imponderabilities (previous sections have discussed the difficulties of career planning in a system that lacks a tenure track option and a mandatory retirement age) and attractive alternative options, and to avoid academic mobility from becoming a one-way street with Latvia losing able young academics. 49. (C.2) Strengthen the role of unions at the institutional level and, where appropriate, the system level, while at the same time seeking measures to enhance the capacity of unions. Feedback collected from the academic community and its representatives, as well as from the representatives of HEIs as employers, could play an important role in articulating and discussing the needs, demands, and policy proposals of aca- demic staff. It is thus important to strengthen the voice of academics, including via unions, and make them an important discussion partner wherever appropriate. If that requires capacity enhancement, this seems to be an agenda in the interest of all partners involved, who might want to discuss and agree on suitable related measures. Concept and Measurement of (Good) Performance 50. (C.3) Maintain transparency and adaptability of election criteria while exploring diverse ways of career advancement. Election criteria need to be considered under two different aspects. The first aspect relates to the criteria that appear to be, overall, perceived as fair and clear. That clarity needs to be maintained. The second aspect is the mechanism of electing academics to their position. That approach raises many questions, as discussed in earlier sections. The mechanisms of elections open the door to matters of personal preferences and can potentially trigger conflict of interest REPORT 3: Academic Careers in Latvia: Recommendations | 255 issues. Election as a key mechanism for career advancement thus needs to be reconsidered. 51. (C.4) Further develop the concept of performance by encouraging HEIs to consider — and provide incentives for — the introduction of performance-supporting measures on the institutional level. Performance pay is a relatively new concept in the Latvian higher education sec- tor. While the scarcity associated with financing higher education at the time of the financial crisis did not leave much room for additional pay, now might be a good time to reconsider the appropriateness and performance orientation of salaries. The national legislation stipulates minimum salaries; in principle, HEIs are free to pay more, based on criteria established on the institutional level. However, in reality, the minimum pay seems to be considered as the defined salary at some HEIs. In combination with hourly contracts, that can lead to a pre- carious situation for some academics. The government might want to signal the importance of performance-related pay by including this topic in its policy dialogue, and start building related capacity at the system and institutional level. Nucleus bonus systems under development at some HEIs can be showcased, and the pros and cons of PBS openly discussed to advance considerations on the institutional level. 52. (C.5) Promote a more diverse approach to performance (beyond incentivizing academic functions). To follow up on the previous point, capacity-building measures should also include a discussion on what is considered performance or, more broadly, an “extra task” worthy of additional pay. It would be suitable to include considera- tions concerning the market value of work in certain areas and skills in that discussion. Is it fair that academics in certain “marketable” fields can achieve higher salaries than those in less “marketable” fields? To what extent should salary models compensate for a lack of alternative income, for example, through consulting or other work with a private clientele? Should staff who generate extra income for HEIs (and the sector) also be rewarded by HEIs? These are some of the questions that need to be answered. Even though — taking into account the personnel and financial autonomy of Latvian HEIs — key decisions will be taken at the institutional level, it will be beneficial to support a joint discussion on these important questions at the system level. Ministry and HEI leadership might want to deepen their knowledge about the pros and cons of models that have been developed elsewhere and related implementation experience. 53. (C.6) Consider broadening the criteria for performance allocations (“Pillar 2”) to HEIs in future to incentivize teaching excellence and third-mission-related activities. Criteria of good (or excellent) performance will also need to be discussed at the institutional level and fit individual institutional profiles. However, public fun- ding will have an important signaling function. Currently, performance allocations by the Ministry largely focus on research performance. That seems to be mirrored by some institutional strategies, which primarily focus on research excellence. 256 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Funding under Pillar 2 (performance-based funding) by the government can trigger a stronger focus on teaching excellence, while institutions might need some guidance on how teaching excellence can be supported and measured. Aspects of Model Development – Linking Performance to Models and Procedures The development of a PBS system at the system level is currently not planned in Latvia. As mentioned, current regulations, however, do not prevent HEIs from developing such models. Related recommendations have been provided in Sec- tion 3.3. General considerations on model development on the system level have been discussed earlier by the authors of this report (World Bank 2017). Remuneration and Financial Management The same applies to financial management considerations at the system level. However, given the importance of administrative and financial management capacity at the institutional level (discussed in Section 3.3), the Ministry might want to organize peer learning events and capacity building for institutional leaders and HR management. REPORT 3: Academic Careers in Latvia: Recommendations | 257 5 Considerations on Promoting Strategic Human Resource Management in Latvia The HR management function of Latvian HEIs is still at an early stage of development. In that respect, the Latvian higher education system is not an exception within Europe. In most HEIs, HR departments are still largely carry- ing out traditional tasks of personnel administration. Within the given context, the development of a more strategic approach toward personnel policies needs to be initiated by institutional leadership with a strong drive from academic departments and faculties, that is, ideally in a combined top-down and bottom-up approach. However, moving to the next stage of strategic HR management will need to be done in a realistic and gradual way. The World Bank’s International Practice report on academic careers (see Box 53 in World Bank 2017) refers to a European project on HR management in HEIs. That project is a practical attempt to map and develop HR management in Euro- pean HEIs (Pausits et al. 2017). The framework developed under that project is also useful when considering the development of strategic HR management in Latvia (Figure 1). Regardless of their degree of autonomy, public HEIs are instruments for natio- nal higher education policy (Pekkola and Kivistö 2016). That provides a starting point for the strategic management of public HEIs and has important implications for policy makers and institutional leaders. That also explains why national higher education policy is an important point of reference for HR management in HEIs. Academic careers and the attractiveness of the academic profession are a shared responsibility of policy makers and HEIs. Autonomous institutions play an important role in the design of academic careers. However, strategic HR management still needs a suitable national framework, and policy makers willing to play an active role in supporting institutional HR management and to ensure a conducive environment for the academic profession. National higher education policies provide a framework or the type of playing field for HEIs to act strategically. With regard to HR-related issues, higher education policies and legislation determine several conditional factors that have an impact on the HR management at HEIs, including the following: •Content of work (research, teaching, management) •Positions and (related) qualifications 258 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Figure 1 Framework for mapping and developing HR management Source: Pausits et al. 2017, 12. •Recruitments and promotions •Payments (minimum salary) •Requirements for professionalization opportunities •Retirement. Latvia is considered one of the leading nations in Europe in terms of staffing auto- nomy (7th position in the EUA Autonomy Scorecard; EUA 2017). However, based on the authors’ observations on academic careers in Latvia (World Bank 2018) and related policies and regulation, there are system-level factors in all above- mentioned areas that have a major impact on HR management in Latvian HEIs. HR management is not only an institutional matter but also highly related to the external environment (Beer et al. 1984). To promote strategic HR manage- ment at HEIs, policy makers in Latvia should consider: 1. Strengthening the dialog between institutions and academic staff (including via unions) 2. Carefully assessing the HR impacts of policies on funding (for example, study places), internationalization, and the ratios and quotas for academic staff, among others 3. Reassessing intentions compared to the reality of a two-track career system (that is, a career system which, in practice, has academics in either a teaching or research track) and how to mitigate undesired effects. However, in addition to a conducive HEI-external environment, strategic HR management calls for proactive leadership of HEIs. While national policies and scarce resources are challenges, institutions need to explore all suitable REPORT 3: Academic Careers in Latvia: Recommendations | 259 options within their environment (while triggering discussions on system-level changes, where needed). This is well illustrated by the fact that some institutions proactively develop reward systems for their academic staff while others have not yet explored such options. The strategic management of public institutions always takes place in a policy environment that sets constraints for institutional management. Within this envi- ronment, however, HEI managers need to provide a vison for their institutions with regard to acquiring resources for their actions and ensuring their operational capacity to carry out their mission (Moore 1995). To strategically manage human resources in HEIs, institutional leaders need to: 1. Actively discuss the role of higher education and academic staff within society 2. Actively promote and support the dialog on HR management with the Ministry and other institutional stakeholder (industry, unions, local authorities, other stakeholders) 3. Approach academic staff as an institutional resource and not primarily as an individual cost item. First and important steps for introducing strategic HR management at Latvian HEIs would be (a) the development of institutional HR strategies, (b) the align- ment of HR activities with the overall institutional strategy, and (c) the inclu- sion of HR managers in the institutional strategy process. This would also imply that deans and other academic leaders and line managers should be involved in the development of the institutional HR strategy and in HR planning, and that HR functions are considered in the light of the institutional strategy. Table 1 summa- rizes the general recommendations on HR functions in relation to the strategic management of HEIs. The following section discusses what this means in detail in Latvia. Table 1 Recommendations on human resources functions in relation to the strategic management of higher education institutions Function Strategic dimension Recommendation for strategic HRM HR strategy and planning Link to institutional strategy and national policies Include HR functions and actors in strategy process Align HR policies with institutional strategy Job demands Consideration of staff as an institutional resource Develop HR planning (either a strategic HR plan, and as individual contributors who can be developed or a HR section in other institutional strategies) Definition of job demands is the most efficient method of division of labor and integration of academic tasks Recruitment and selection The most efficient way of profiling and steering Balance individual (equity considerations), autonomous professional workforce organizational, and professional needs Define the access points of external talents into the system Performance evaluation Alignment of activities, institutional strategy, Clearly define what is considered and rewarded and national performance requirements as performance in institutional context, as well as related criteria and procedures Training and development An effective way of profiling the institutions in teaching, Develop an institutional policy on the training research, and management, as well as internationalization and development of academic staff 260 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Function Strategic dimension Recommendation for strategic HRM Career progression Alignment of performance evaluation, institutional Develop predictable, transparent, and clear promotion missions (tasks), and motivational systems patterns Strengthen work-related well-being and attractiveness, Maintain transparency as well as predictability of careers Pay and benefits Set incentives to reach goals on various levels Develop stable, transparent, and motivating systems (individual, institutional, system) for pay/benefits HR analysis and reporting Provide sufficient level of information for strategic Develop HR reporting to support everyday management and operational decision making and professional of HEIs HR planning HEI-specific issuesa Doctorate Shared understanding of the role of doctoral education HEIs should develop institutional policies on as part of studies and in relation to employment policies the doctorate in HEIs and beyond Strengthened university industry/society linkage Staff development Doctoral schools Cross-disciplinary collaboration HEIs should develop institutional practices for doctoral Interinstitutional collaboration education and its administration and quality assurance Postdocs Strengthened university industry/society link HEIs should have an institutional understanding of Staff development the position and role of postdocs Internationalization Institutional and staff development Support internationalization activities Resource acquisition Note: a. That is, issues pertaining to the specific profile and scope of the HEI. A viable HR strategy and HR planning are essential for creating and imple- menting the institutional strategy. The outcomes of HEIs are mostly produced by academics. Without a shared understanding of profile and directions of the HEI, the strategic management of, and effective support for, individual acade- mics, programs, departments, and faculties is impossible. Institutional strategies and national policies have a direct impact on academic work and its resources at the basic level. Thus, this connection should be made explicit, in order for acade- mics and units to proactively adapt to the changing environment. Job demands should be considered at the departmental and faculty level. A basic unit for HR planning should not be an hourly-based work contract that covers a task and is managed primarily in an administrative fashion, but a group of positions within an organizational structure to meet changing demands. The job demands and descriptions should be explicitly stated so that an individual holding a position knows what he or she is expected to do (and should be capable of doing). This applies to related tasks, as well. While overall strategic questions on the integration of research and teaching will need to be considered by the Ministry and institutional leadership, a suitable division of labor will need to be ensured at the unit level. Recruitment and selection are essential processes for ensuring an adequate institutional profile, professional excellence, and predictability of career steps at the individual level. The strategic dimension should be taken into REPORT 3: Academic Careers in Latvia: Recommendations | 261 account when opening and defining positions, and in determining procedures as well as criteria. The strategic importance of selection and recruitment to senior positions will be even more elevated if Latvia decides to follow international practice in implementing permanent academic positions via a tenure track model. The selection criteria should reflect the institutional strategy (that is, put an emphasis on certain research areas, applied sciences, or teaching excellence) and provide room for strategic decision making, but also be transparent and predictable. Performance evaluation is a way of aligning national demands; institutional strategy; and departmental, group level, and individual activities and ambi- tions. Performance appraisals are a means of establishing a common under- standing of the aims of academic work and its efficiency. Currently, in Latvia, performance is often evaluated in a context of hourly-based agreements, with student numbers serving as an indicator for individual performance. In a context of demographic decline and outward migration, this raises several questions, makes strategic management challenging, and may encourage individuals to act in an opportunistic manner. Training and development should be planned in the context of institutional missions and visions. Depending on the institutional strategy, academic person- nel should have opportunities to develop their skills and competences in teaching, supervision, research, and institutional management. These training and develop- ment activities can be planned in a way to simultaneously increase the produc- tivity of the institution. Examples of areas where competences can be deepened are joint degrees, joint supervision, collaboration in research projects, joint autho- ring, and participation in international exchange programs. Career progression is a practical step allowing an HEI to align aspects of selection and recruitment, promotion, pay and benefits, internationalization, and performance evaluation with the institutional strategy. Career progression criteria should be communicated clearly to the employees so they know how they can advance their career. This advancement should also support the overall goals of the institution. The introduction of a tenure track system should be considered accordingly at the system and, subsequently, the institutional level. Performance-oriented pay and benefits build on performance evaluation and allow the HEI to incentivize desired activities in line with strategic priorities. PBS systems should be kept simple and manageable, and financial management implications need to be carefully considered. It is advisable to start rewarding particular types of performance through bonuses — several Latvian HEIs have some initial experience with this — before embarking on designing and piloting PBS systems. HR analysis and reporting should support strategic and operational decision making in personnel management. It should be organized in such a way that it enables institutional leaders to have a sound overall understanding of the situation of their staff and adequate information on its long-term development, as well as of staff-related expenses. HR reporting should also be tailored toward the needs of departmental and faculty managers. They should have a realistic picture of their staff that increases their operational management capacity. In relation to HR strategy and planning, a set of indicators should be developed for systematic follow-up of the implementation of the strategy and adapting it 262 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers to a changing environment. HR analysis and reporting should be supported by an adequate higher education management and information system. The doctorate, early careers, and the organization of doctoral education are of strategic importance for the future of science and higher education in Lat- via more generally, as well as in HR development in Latvian HEIs, as docu- mented in earlier reports by the authors (World Bank 2017, 2018). Doctoral education needs to be taken into account in strategic HR management as it is an important way of increasing the talent pool in Latvia. Early career positions have a strategic role in knowledge transfer between HEIs and the surrounding society. The early career positions have a decisive role in the attractiveness of academic careers, recruitment of talent and mobility of young talent between HEIs and other organizations. Thus, it is important also from an HR management perspective that the career advancement and counsel- ing system is in place, and that institutions have transparent and well-communica- ted principles in admission, recruitment, and quality assurance of the early career phase. The doctoral schools in HEIs can provide an important platform for inter- disciplinary collaboration and for internationalization and national collaboration, in addition to improved educational quality. Internationalization is a vital condition that should be taken into account in institutional planning. Institutions should explicitly ponder the benefits and risks associated with internationalization and, if selected to be a strategic goal, have a practical HR policy supporting the inward and outward mobility of their staff. In summary, strategic HR management in Latvian higher education calls for: 1. National support and dialog 2. Proactive institutional leadership and stakeholder dialog 3. Strengthened management of HR 4. Alignment of institutional strategy and HR functions 5. Involvement of an HR dimension in the strategy process 6. Shared and well-communicated HR policies 7. Recognition of the importance of the early career stages. REPORT 3: Academic Careers in Latvia: Recommendations | 263 Annex Overview on Recommendations for Academic Careers in Latvia Criteria for Good System- and Institution-Level Human Level Resource Policies Status Quo Assessment Recommendations A. Early-stage researchers: doctoral candidates and postdoctoral fellows System-level framework System level A.1 The system-level framework Not achieved. There is a strict Define the standards of the doctorate, for doctoral training finds classification of doctoral degrees in consultation with the higher an appropriate balance between and accreditation regulations for education sector. regulation and flexibility. doctoral programs, but they restrict Ensure that regulations are focused on While regulations and quality criteria the flexibility of HEIs in adequately quality standards for the doctoral level need to be applied rigorously designing doctoral education. and define those in a generic way. and consistently, doctoral training also requires room to accommodate Consult the academic community personalized paths, and room for during the definition process. a reasonable level of institutional and disciplinary differences. This necessitates a national consensus on the essence and standards of the doctorate developed jointly by all relevant stakeholders of the higher education system. System level A.2 The autonomy of HEIs in the field Achieved only to a limited extent. Define the standards and criteria for of doctoral training is complemented by Internal and external quality assurance conferring the doctorate mandatory internal accountability procedures are still at an incipient and the associated quality assurance mechanisms and appropriate external stage and the focus on a suitable mechanisms. Review the criteria for quality assurance processes of research environment as a condition for deciding which HEIs have doctoral research and doctoral education. training doctoral students degree awarding powers. This includes regulations on which and conferring the doctoral degree Promote internal quality assurance HEIs have the right to confer is insufficient. through capacity-building mechanisms. the doctorate and the related requirements. The regulations need Ensure that the national quality to reflect that original research assurance process for the third cycle is the core component of the doctorate covers the HEIs’ internal quality and, therefore, stipulate that assurance mechanisms. institutions provide a suitable research environment. System level A.3 Doctoral training needs to be Achieved only to a limited extent: Review funding mechanisms for incentivized financially to promote State funding for higher education the doctoral level to ensure completion, efficiency and quality.a incentivizes the doctorate to some and to promote efficiency and quality. extent. However, the state stipend Fund doctoral students in priority fields for doctoral students is very low, at a sufficient level to allow them to be and access to research project funding full-time students. is weak. This might lead to low completion rates. Increase research funding to provide stability and long-term planning. 264 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Criteria for Good System- and Institution-Level Human Level Resource Policies Status Quo Assessment Recommendations System level A.4 Public funding for doctoral Achieved only to a limited extent: Public Set national research priorities in broad training is allocated in accordance funding for doctoral education to (inter)disciplinary fields (including with national needs and competencies a limited extent considers national arts, humanities, and social sciences) required, while ensuring a diversity of needs. while preserving some funding for blue doctorates. sky research. System level A.5 Research support programs Achieved only to a limited extent: Ensure that research is at the center of designed and funded at the system Research support programs designed the doctoral experience. level ensure that doctoral candidates and funded at the system level provide Research funding should include are appropriately involved in research very weak incentives to ensure that financial incentives to promote projects wherever possible and that doctoral candidates are appropriately doctoral students’ participation suitable co-supervision agreements involved in research projects. in funded research. are in place. As a result, there are students working on their doctorate in units that are not Involvement in research should be research active. This issue will be made a defining criterion and condition tackled in new regulations. for doctoral training. Although sometimes students have HEIs should be required to provide access to a second supervisor, co-supervision and to frame doctorates this cannot be construed as in cooperation with industry co-supervision, which implies and cotutelles by formal contractual a team effort. agreements. Anchoring the doctorate in the institution Institutional level A.6 Admission, progression, Partially achieved in some institutions The principles for the admission, and assessment of doctoral candidates and not achieved in others. progression, and assessment of are monitored and supported. Most institutions are still offering doctoral students should be defined at This includes published criteria the doctorate on the apprenticeship the central level of an institution. and transparent processes for model, which means that admission, HEIs should develop, implement, admission, an orientation and progression, and assessment of and monitor an admissions process the provision of relevant information doctoral students are monitored across all faculties. It should involve for newly recruited candidates, and supported by the individual committees in the relevant units contractual agreements between supervisor without much accountability (departments or faculties) and not be doctoral candidates and supervisors to the faculty of the institution. based on individual admission with clear milestones (including any A few institutions are developing more decisions by potential supervisors. requirements for publications), sound systematic processes, but their assessment procedures based on clear decentralized nature hamper[s] those HEIs should develop and publish and transparent criteria and processes, efforts. institution-wide admission criteria and the monitoring of the students’ (while also leaving some discretion progression and completion. for faculty/department-level specificities). HEIs should inform students of their rights and responsibilities and the expected requirements during all phases of their doctoral education. HEIs should develop procedures to monitor students’ progress and completion, and monitor the consistent implementation of procedures in all faculties. REPORT 3: Academic Careers in Latvia: Recommendations | 265 Criteria for Good System- and Institution-Level Human Level Resource Policies Status Quo Assessment Recommendations Institutional level A.7 The supervision of doctoral Partially achieved in some institutions As a key condition for the quality of candidates is framed by appropriate and not achieved in others. Regulations the doctoral training, good supervision institutional policies and guidelines concerning supervision are evolving should be framed by a set of (among others, outlining the respective in some institutions toward setting regulations and procedures. responsibilities and rights of appropriate institutional policies HEIs should put in place a clear process supervisors and doctoral candidates), and guidelines. Some institutions for ensuring continuity of supervision training and ongoing support for require signed agreements between and consider co-supervision as supervisors, and monitoring supervisors and supervisees. Training an effective solution for that. their performance. Co-supervision and ongoing support for supervisors, is encouraged and continuity of and monitoring their performance, HEIs should develop a process to train, supervision is assured. is not yet a practice. Co-supervision support, and monitor supervisors. is not a policy but an ad-hoc practice, Students should have access to an advisor and continuity of supervision is assured to discuss any supervision issue. to the extent that the students take the initiative to ensure such supervision. Institutional level A.8 HEIs provide a stimulating research Partially achieved in some institutions HEIs should provide a stimulating environment for doctorates with and not achieved in others. A few research environment to their doctoral a critical mass of research-active staff; institutions have a critical mass of students. adequate learning and research tools; research-active staff and an overall sufficient physical and financial environment supportive of research resources; support for, among others, achievements. The underfunding of mobility and conference participation; the sector has a negative impact on and an overall environment supportive the learning and research tools applied of research achievements. at the institutional level and available financial support for conference participation and mobility. Institutional level A.9 There is a policy outlining Partially achieved in some institutions The taught component of doctoral the balance between course work and not achieved in others. The policy programs and skills development and research (thesis). Such a policy in large institutions is not always opportunities should be developed reflects the competencies that applied consistently across to prepare doctoral students for both a doctoral candidate is supposed the faculties and, in many institutions, academic and nonacademic careers. to acquire. Courses include research does not always include courses HEIs should define the competencies methodology and scientific integrity, in research methodology and scientific that doctoral students should develop and professional competencies such as integrity, and professional skills such to prepare them for both academic grant writing, and written and oral as grant writing, and written and oral and nonacademic careers. communication. communication. HEIs should specify the balance between research and coursework, and provide guidance to faculties for a suitable application across different fields. Institutional level A.10 An institution-wide policy Not applicable since this is regulated An institution-wide policy and related and related procedures for establishing nationally through a complex procedures for establishing an examination committee ensure and opaque process. an examination committee should objectivity and fairness. ensure objectivity and fairness. If the national promotion process is changed, HEIs should be required to develop an institution-wide policy and related procedures for establishing examination committees that ensure a fair and objective process in line with best international practice. 266 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Criteria for Good System- and Institution-Level Human Level Resource Policies Status Quo Assessment Recommendations Institutional level A.11 Institutions provide doctoral Partially achieved in some institutions HEIs should provide career support candidates with a range of academic and not achieved in others. The policy for doctoral students to move courses (for example, subject-based in large institutions is not always into academic and nonacademic jobs, courses, and courses on research applied consistently across and grant them access to teaching methodology, teaching competencies, the faculties. The majority of and research assistantships. and scientific integrity), and soft-skills institutions prepare students for courses to prepare them for both their academic careers and do not offer soft academic and nonacademic careers. skills courses. There is no formal Furthermore, HEIs provide career career support, but in some support and, where possible, institutions, there are opportunities teaching and research assistantships. for teaching and research Career support includes helping assistantships to which students students, when appropriate, can apply. to find nonacademic jobs (including in the private sector). Institutional level A.12 Open access to doctoral theses Achieved in at least one institution, Open access to doctoral theses should is promoted. Normally, all doctoral which has an open access policy normally be promoted. theses are available in open access, mandating that publications and data except if there are reasons requiring from research funded by public funds an embargo for a designated period of or the institution itself […] [be] time (such as copyright issues, deposited in an open access repository, and ethical sensitivities related to, and which ensures public access to for example, the protection of human doctoral theses on the institution’s subjects). website before their presentation. Institutional level A.13 Formal appeals and complaints Partially achieved. There are formal Adequate information about formal mechanisms are available to all procedures for appeals and complaints appeals and complaints mechanisms doctoral candidates. The procedures but not all students seem to be should be available to all doctoral are clear, fair, safe, comprehensive, informed of those opportunities, students, and institutions should and up to date, and are described and the quality mechanisms are analyze them. in an easily accessible document. undeveloped. HEIs should ensure that students While respecting confidentiality are aware of the formal appeals and anonymity, the complaints and complaints procedures. and appeals that have been lodged are analyzed periodically to ensure HEIs should periodically analyze that clusters of problems the complaints and appeals that have are addressed. been lodged to identify recurring problems. Institutional level A.14 The quality of all aspects of Partially achieved in some institutions The quality of all aspects of the doctorate is continuously monitored and not achieved in others. Some the doctorate should be continuously and assured. Internal quality assurance institutions are moving toward more monitored and assured. mechanisms are adapted to the structured doctoral programs and are HEIs should develop an institution-wide specificity of doctoral training and developing internal quality assurance framework for internal quality include feedback from doctoral processes, but this is still mechanisms that would allow some candidates and their supervisors. at an incipient stage. degree of flexibility in faculty implementation. This framework should include feedback from students and supervisors. The framework should be evaluated regularly to ensure its fitness and relevance. REPORT 3: Academic Careers in Latvia: Recommendations | 267 Criteria for Good System- and Institution-Level Human Level Resource Policies Status Quo Assessment Recommendations Institutional level A.15 Doctoral schools Partially achieved in one institution Doctoral schools should institutionalize are a particularly effective way of and not achieved in others. Some doctoral training and promote its quality. institutionalizing doctoral training institutions have an overarching HEIs should establish doctoral schools and promoting its quality. HEIs that structure that they call “doctoral to achieve three key objectives: raising establish doctoral schools consider school,” which is mostly construed as quality by ensuring standard processes their number and their location within providing colloquiums. There is only across the institutions, providing the institution to maximize benefits one example of an institution that students with an intellectual with respect to critical mass has given administrative community, and promoting cooperation and interdisciplinarity. responsibilities to the doctoral school, and exchange. including for quality assurance; in all other cases, the doctoral schools HEIs should determine the optimal are viewed as a place to offer number of doctoral schools in relation conferences and workshops. to their size and the need to promote interdisciplinarity. Institutional level A.16 Doctora[…][te]-granting Partially achieved in one institution The mission and governance of doctoral institutions have a clear mission and not achieved in others. While one schools should be clearly defined. for their doctoral schools institution has a doctoral school that HEIs should define clearly, albeit (with appropriate attention to serves as the starting point for flexibly, the mission and functions of disciplinary differences), a structured approach to their doctoral schools. and a comprehensive and explicit the governance and organization of policy on the governance and doctoral training, others do not have HEIs should identify the governance of organization of doctoral training that such schools (in the traditional sense the doctoral schools, including their is published and easily accessible. of the word) (see A.15). reporting mechanisms to the highest body in the institution. Information about the mission, functions, and governance of doctoral schools should be easily accessible to all interested parties. Managing the doctorate with partners Institutional level A.17 Partnerships with national Partially achieved to the extent that Doctoral partnerships must be framed and international HEIs, research some institutions have relevant by a general policy and specific bodies, and the private sector partnerships with industry and other agreements for each student. (including industry) can improve partners; however, they are not HEIs should develop a strategy about the quality of doctoral training. necessarily accompanied by their partnerships at the doctoral level To manage related risks, partnerships the necessary governance that includes asking faculties to are framed by a strategic approach, arrangements, policies, identify strategic industrial partners appropriate governance arrangements, and procedures. A formalized industrial and other HEIs. adequate policies and procedures, doctorate is currently not in place. and a cotutelle agreement. HEIs should develop guidelines for doctorates in cooperation with industry and cotutelles, and assist faculties in preparing contractual agreements with external partners. A high-level institutional body should be monitoring those partnerships. Institutional level A.18 Stakeholder involvement Not achieved as there is no structured Stakeholder involvement in doctoral in framing and evaluating the doctorate and systematic involvement, school governance should be encouraged is important, among others, because for example, in governance of to contribute to preparing doctoral degree the majority of doctora[…][te] holders the doctorate. holders for nonacademic careers. occupy positions outside academia. HEIs should require doctoral schools/faculties to involve appropriate external stakeholders in the evaluation of their doctoral programs. 268 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Criteria for Good System- and Institution-Level Human Level Resource Policies Status Quo Assessment Recommendations The postdoc Institutional level A.19 The postdoc is framed by Not achieved. The status of postdocs The postdoc should be framed by appropriate policies and guidelines is left rather vague (anyone within five appropriate policies and guidelines. covering, among others, recruitment years of obtaining the doctorate); HEIs should clearly define the rights procedures and the objectives of the explicit nature of and obligations of postdoctoral fellows appointments. The postdoctoral the responsibilities attached to this and treat them as part of their staff. position is considered part of position are not clearly defined the academic career ladder, or understood. and the institution takes responsibility for related HR issues. Institutional level A.20 Postdocs have access to career Not achieved. There is no formal Postdocs should have access to career support to help them develop career support that is extended to postdocs advising. objectives, whether within or outside (besides the support available to all HEIs should provide career advice to academia. academics). postdoctoral fellows to prepare them for academic and nonacademic careers. B. Academic selection and promotion The status and role of academics System level B.1 System-level regulations Partially achieved. The current Initiate a policy dialog on the reform of are primarily applied to secure system-level regulations are causing the two-track system with the aim of academic freedom and academic several problems for academic careers overcoming a dichotomy between quality, and to promote transparency, and their institutional management. teaching and research. including for national and international First, they are hindering the integration Initiate a system-wide consultation on mobility. Defining the role, status, of research and teaching. how to strengthen the integration of and tasks of academics is mainly Second, they are not allowing for teaching and research. an institutional responsibility. the development of tenure systems System-level policies support healthy (that is, the promotion of academics competition among individuals from one career step to another and avoid practices that lead to and permanent employment contracts the marginalization of certain staff securing academic freedom). groups. Third, they are challenging for strategic recruitments. However, according to the site visits, the current national regulations enable transparency. Institutional level B.2 The status and role of academics Partially achieved in some institutions Increase the predictability and stability are considered thoroughly and not achieved in others. The status of contractual arrangements, and move in institutions and are reflected against and roles of academics are tailored toward long-term HR planning. the funding sources of academic work, mainly in the context of external factors Transform the time/hour-based the system-level policy and regulatory and funding. The management is mainly contracts and aggregation of contracts framework, international trends reactive to the scarce funding, to full-time contracts and allocation of in academic work and careers, changing student numbers and, time. and the traditions of academic work sometimes, a lack of suitable and its values. Institutional managers candidates. The individual contractual Recruit academics who are able to are well-informed on the contractual arrangements are complex and difficult fulfill research, teaching, arrangements (duration and type) to manage in relation to academic and administrative tasks. and funding of their staff. work. REPORT 3: Academic Careers in Latvia: Recommendations | 269 Criteria for Good System- and Institution-Level Human Level Resource Policies Status Quo Assessment Recommendations Institutional level B.3 Institutional policies aim for equal Only to a limited extent achieved Gradually develop consistent working treatment of staff with project in some institutions and not achieved conditions and resources for and budget funding, and acknowledge in others. Institutional policies budget-funded (teaching-focused) the equal importance of research, are considered to be fair and equal and externally funded teaching, and administrative tasks. under the given circumstances (research-focused) staff. (in particular, the financial Maintain the motivation to attract constraints). However, the separation external funding. of research positions and academic positions makes the integration of Ensure that there are entry (and exit) the tasks difficult. In monetary terms, points in academic careers in all career the externally funded research work steps. and budget-funded academic work are valued in a highly unequal way. General career patterns System level B.4 On the national level, there Not achieved. The system-level Develop the national career framework is a systematic approach to career approach provides a well-recognized to be compatible with international stages that allows domestic and foreign and widely accepted framework for frameworks and to support mobility academics, ministries, and other academic and research positions, among different sectors (industry, stakeholders to compare positions and for recruitment and selection public administration, etc.) within among countries and institutions. procedures. The requirements (in terms Latvian society. This framework is flexible enough of qualifications) for different career Anchor the national career framework to allow institutions to engage positions are commonly known. to international frameworks reconciled in strategic HR management. However, the system-level framework by international funding agencies The system-level policy guarantees prevents the institutions from and foundations that are funding the mobility between academia developing tenure track models international mobility and advanced and industry and among institutions, or other promotion patterns, research. and supports attractiveness of careers. and there is no defined exit point It also provides a solid legal framework Develop the career framework to be due to the absence of a mandatory recognized and applicable to other for career structures such as tenure retirement age. track or other systematic approaches sectors of society. to career development, and establishes clear entry and exit points for academic careers. System level B.5 System-level policies may provide Achieved. Dedicated resources are Continue developing system-level resources to HEIs for strategic career deployed by the central level in support incentives to ensure a strategic initiatives, for example, with regard to of the doctorate and postdoc positions, approach to HR development. young academics. and second pillar funding allows for Keep developing system-level policies the design of bonus systems and other and incentive structures that support means to incentivize staff. However, HEIs in developing their personnel. the current funding system would not provide the scope for more permanent performance-based salary systems on the institutional level. 270 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Criteria for Good System- and Institution-Level Human Level Resource Policies Status Quo Assessment Recommendations Institutional level B.6 Institutional career patterns Partially achieved. The career patterns Ensure that individual career trajectories are realistic for most of the staff are dependent on open vacancies that are predictable and compatible members. They are aligned are often dependent on retirements with formal career structures. with a systematic approach to career (or the lack of retirements) Develop the career stages stages at the national level and they are and national regulations and and promotion patterns into internationally comparable. recommendations on the number of transparent and predictable direction, professors and doctoral degree that is, ensure that individuals are holders. While positions are aware of the personnel plans of their comparable from an international department (retirements, (re)opening perspective, there are no structured and closing of positions). and coherent career patterns. Anchor the institutional career model to national career framework to ensure the functionality of academic labor markets. Institutional level B.7 Institutional policies ensure Partially achieved. The institutional Maintain the transparency of transparency and clarity of career policies are closely related to national institutional promotion criteria. patterns and promotion criteria, policies and, are therefore, well-known Maintain and further strengthen and maintain an appropriate balance and considered to be transparent the transparency of criteria among research, teaching, and clear. However, the collegial and evaluation of merits. and administrative excellence. election as a selection method may Candidates and employees of HEIs are politicize selection processes and lead aware of promotion criteria and career to a potential conflict of interest. progression possibilities. Institutions communicate clearly the qualifications needed for different positions to their employees and persons seeking recruitment. Institutional level B.8 Institutional policies link key Partially achieved in some institutions Ensure and communicate the alignment aspects of academic career patterns and not achieved in others. Because of between institutional strategy (recruitment, promotion, a lack of contractual security and and career framework. remuneration) so that these support the volatility of academic employment Develop the recruitment and incentive the implementation of institutional (and remuneration), and the lack of structures (promotions and and unit-level strategies. a retirement age, among other aspects, remunerations) of academics to be career management is almost aligned with institutional strategy. disconnected from institutional strategies in some institutions, Make sure that the institution has while others, nevertheless, try to link an adequate number of core/strategic career development to institutional academic staff who are employed strategies. full-time and whose time allocation can be managed without additional contracting. Take the HR issues explicitly into consideration when renewing the strategy. Institutional level B.9 Data on all staff categories Partially achieved. The data are Make sure that institutional leadership (including academic staff on collected but seldom analyzed. and middle management are aware of the part-time/hourly contracts) are A more detailed analysis of different contractual arrangements of their staff. gathered and analyzed to enable contracts of individuals could make Ensure that the heads of departments effective human resource development the remuneration and careers of and deans (academic middle and strategic human resource academics more transparent, managers) are aware of the contractual management. and enable institutions to plan arrangement of their academic staff personnel costs for a longer time and the actual volatility of full-time period. equivalent employees. REPORT 3: Academic Careers in Latvia: Recommendations | 271 Criteria for Good System- and Institution-Level Human Level Resource Policies Status Quo Assessment Recommendations Institutional level B.10 Organizational structures Achieved only to a limited extent. Prepare a midterm plan for developing and HR services support the career As in many other countries, HR services HR services. patterns within an institution. in Latvia are in their infancy in many Make a midterm strategy/plan HR policy is important for institutions. Personnel management for developing HR services – tasks the development and implementation is mostly reactive and deals with acute and competencies. Take into account the of strategies. In the context of contractual/workload issues. – Resources academic careers, institutions: – Strategic role of HR • Clearly define duties and responsibilities related to HR – Centralization/ decentralization. • Ensure that sufficient resources Follow-up on implementation. are allocated for HR-related tasks • Support a strategic role of the HR director • Develop the competencies of HR professionals • Assure the quality of HR policies and initiatives • Set indicators for measuring HR success. Selection and recruitment of academic staff System level B.11 Recruitment plays a vital role Mainly achieved. National legislation Develop further national regulations in the strategic development of sets the framework and includes to ensure equal treatment. institutional profiles. Thus, the national requirements concerning equal framework steering the recruitment treatment. However, it also attributes practices needs to allow for an important role to elections institutional development in the selection process. The election and differentiation. National policies process is typically considered to be primarily guarantee equal fair, but there might be conflict of opportunity for, among others, interest issues and various different nationalities, genders, imponderables. and minorities. Institutional level B.12 The most important way of Partially achieved. The current system Strengthen the efficiency, assuring the quality of recruitments is considered to be transparent transparency, and fairness of is to ensure the transparency and and clear, and the national framework recruitments. clarity of processes. That encompasses for required qualifications and its Reconsider elections as an only the clarity and transparency of job institutional applications are quite well instrument for selection. definitions, selection processes, known. However, the election process and criteria; the provision of clear leads to many questions and makes Strengthen the role of institutional guidelines (and training) and the final decision making a process leadership in recruitments. definitions on the role of different with many imponderables. Maintain the transparency actors involved in the decision-making and collegiality where possible. process; a clear definition of entry points to academic careers; and a clear policy on equity issues/affirmative actions. Applicants are made aware of the practices. 272 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Criteria for Good System- and Institution-Level Human Level Resource Policies Status Quo Assessment Recommendations Institutional level B.13 Institutions deliberately balance Partially achieved in some institutions Communicate the selection criteria of the selection criteria in the context of and not achieved in others. Institutions academics to employees their mission, acknowledging academic are allowed to adjust the qualification and candidates. excellence (professional evaluation of criteria, and some institutions do this Reconsider all qualification criteria teaching and research), organizational strategically. in the light of the institutional strategy. commitment, and fit (organizational However, the recruitment of professors Make the justifications of qualification recruitment). The institutions ensure and associate professors is done criteria public for employees that academic units have the capacity from a professional (and not from and candidates. to select their workforce in a flexible, an organizational) perspective, fair, and transparent manner, to meet so that it might not be aligned with the requirements of external funding institutional missions. and to support the overall aims of HR policies. Institutional level B.14 Positions are advertised Partially achieved. The Latvian higher Streamline the selection procedures. sufficiently broadly (including, education system is small and closed. Identify national and international where suitable, on the international Thus, the advertisement probably recruitment platforms. level). Institutions use tools facilitating is sufficient, if the search focuses only the systematic search for candidates, on candidates in the country. However, Develop a leaner selection process by and, where appropriate, headhunting. in many cases, the real selection getting rid of unnecessary steps The selection process is efficient, process during early career stages and task assignments. transparent, and not overly is based on prior supervisor relations. time-consuming. Transparency of The selection process the process also extends to is time-consuming and involves many the candidate, who is informed about individuals, who often are already key milestones of the process. over[…]ly committed to committee There needs to be clarity on the tools work. used to evaluate the skills of candidates (for example, lectures, evaluations by students, and assessment centers). Institutional level B.15 Selection processes go hand Partially achieved. Roles are clear; Strengthen the strategic role of in hand with the clarity of roles however, the election process HR services alongside institutional (for example, of academic selection is a professional (peer-based) process leaders and consider involvement of committees, including possibly that does not involve other stakeholders in recruitment. stakeholders from industry, stakeholders. Make sure that the use of (HR) services academics from other faculties, in selection process is adequately and a representative from designed. the institutional leadership). Consider involving external stakeholders in the recruitment process where adequate. Institutional level B.16 There is a system of checks Achieved only to a limited extent. Build a system of check and balances and balances that ensures, among The election to lower academic in basic units. others, the strategic fit of candidates positions is made by the faculty Reconsider the role of institutional for the position, and a balance between council, which may take into leadership, academic community, professional and organizational consideration organizational aspects. and administration in the recruitment recruitment. However, the final decision is by voting. process, accounting for the differences The election of associate professors of aims and processes of recruitment and professors is a purely professional in different types of recruitments. (peer-based) process (which can take place at an institution which is not the recruiting one). REPORT 3: Academic Careers in Latvia: Recommendations | 273 Criteria for Good System- and Institution-Level Human Level Resource Policies Status Quo Assessment Recommendations Career advancement and promotion patterns Institutional level B.17 Promotion patterns are important Not achieved. Promotions are based on Develop predictable, transparent, instruments for steering academic open vacancies. There are and clear promotion patterns, work. Institutions have clear, no promotion patterns for an individual which could potentially include transparent, and well-documented to advance in his/her own career the piloting of a tenure track system. promotion patterns that are aligned (position/post). Develop predictable career patterns with the institution’s mission to the extent that the – reformed and profile, and clearly distributed – national framework allows. roles and responsibilities during the promotion processes. Ensure that career patterns have been communicated to employees and are aligned with realities of the organizational resource environment and individual career trajectories. Institutional level B.18 Promotion patterns take into Partially achieved. While there are Continuously improve promotion account different aspects of academic no clear promotion patterns, election patterns via balanced, flexible, work (research, teaching, processes take into account the three and transparent promotion criteria. administration, and service). The merits aspects of academic work. However, Maintain the transparency of in different academic tasks are defined in some cases they are not aligned the selection criteria and selection in a transparent and understandable with the tasks of the position process. manner. To ensure the fairness and (i.e. the required emphasis on research effectiveness of promotion patterns, also for teaching-focused positions). Job descriptions should be developed they are repeatedly communicated to further to reflect a realistic (teaching) staff members. load. Institutional level B.19 Career development and career Partially achieved in some institutions Develop a systematic approach advancement are part of institutional and not achieved in others. Career to follow and steer career planning and strategic management, advancement is difficult because of advancement. and supported by modern the unpredictable conditions of work Discuss career advancement explicitly HR instruments (for example, target and the vacancy model. There are in institutional HR policies. agreements and skills development several attempts to support the career tools). In this, HEIs support academics advancement of talented individuals. Develop a systematic follow-up in evaluating and developing their However, the management of careers mechanism for the needs competencies required for conducting lacks a systematic approach. and shortcomings, as well as aims high-quality scientific work and and dreams, of staff members. for succeeding in their careers within their scientific community and within organizations in the higher education sector and beyond. 274 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Criteria for Good System- and Institution-Level Human Level Resource Policies Status Quo Assessment Recommendations International mobility in academic careers System level B.20 International mobility is crucial, Not achieved. The Latvian higher Reconsider and revise legislation particularly for small higher education education system is small and closed. hindering mobility. systems. National policies support The language restrictions deriving Develop funding schemes to support inward and outward mobility. from the legal framework inward and outward mobility. Incoming mobility can be marketed and potentially other factors create and facilitated on the national level. an obstacle for the internationalization Support/encourage institutions With respect to outgoing mobility, of the academic workforce. There are in applying funding leading to mobility. the return of academics and related no systematic policies for supporting Strengthen the role of English mechanisms are taken into account, mobility. in academic labor markets (rules in addition to the provision of grants for and regulations as well as institutional outward mobility. The system-level practices and tasks). policies guarantee legal conditions conducive to the recruitment of foreign academics, and ensure the availability of information in English (or, potentially, another major European language) for international staff. Further relevant aspects include support for mobility, dual career services, English-speaking contact points in the administration, support on social security issues, and other aspects of mobility support. Institutional level B.21 Internationalization is one way of Partially achieved. Institutions Strengthen an organizational culture improving the quality of academic are supporting the internationalization that supports internationalization. work. However, that impact cannot be of their staff and especially young Seek resources to support taken for granted. It is important that researchers. The guest lecturer system internationalization. institutions have defined the aims creates a mechanism for foreign related to internationalization, planned academics to work in Latvia. Encourage staff members to engage and organized the career patterns, However, internationalization would in international collaboration by tasks, and overall working environment require more attention on the strategic applying for international projects, (including family life) in a way that level and would need more resources co-publishing, and utilizing a foreigner without local language and changes in language policies. the opportunities of international staff skills can successfully work, exchange (Nord+, Erasmus+, etc.). and have organized sufficient support structures for incoming (and outgoing) staff. Alignment of elements of human resource policies System level B.22 To promote good academic work Not applicable. Elements are not Consider developing a system-level and careers, job descriptions and tasks, defined on the system level. career framework. performance appraisal, career However, because of various policies Take the HR-policy aspect into progression, reward systems, impacting and constraining academic consideration (supply of competent and strategic objectives are aligned. work and careers (the six-year-rule, academic labor, positive competition the election system, etc.), the national and diversification between framework does not support the institutions) when planning funding alignment of the different elements. model, disciplinary structure of institutions, accreditations and qualification frameworks as well as developing research policy. REPORT 3: Academic Careers in Latvia: Recommendations | 275 Criteria for Good System- and Institution-Level Human Level Resource Policies Status Quo Assessment Recommendations Institutional level B.22 To promote good academic work Partially achieved in some institutions Align HR practices with institutional and careers, job descriptions and tasks, and not achieved in others. Because of strategy. performance appraisal, career the fragmented contractual nature of Take HR planning into consideration progression, reward systems, academic work and its funding, in the strategy process of the institution and strategic objectives are aligned. institutions face difficulties in aligning and departments. their policies. However, some seem more successful than others in designing coherent career patterns. System level B.23 All higher education policies Partially achieved. While academic Take HR issues into consideration when take into account the HR policy aspect, positions and key HR processes reforming higher education policy, not least because the implementation are determined by the legislation, funding, and legislation. of all policies and outcomes will be there is no systematic and overarching Take HR policy and statistics into ensured by, or will have an impact on, approach toward academic work consideration in the planning of higher academics. that is consistently reflected in higher education policies. Provide clear aims education policies. for the development of academic labor markets. Ensure that the academics are involved (represented) in the policy formulation considering the HR issues. Make sure that the legislation of academic work and positions support/enables the overall aims of higher education policy. C. Remuneration Regulation at the system level System level C.1 The question as to how Achieved. Basic positions and minimum Maintain clarity on basic principles of remuneration should be regulated at salaries are established in the law, remuneration and types of position the system level and what should be and institutions are autonomous in legislation while exploring ways regulated […] [at] the institutional in determining the details of to make salaries more adequate level depends on the national setting remuneration approaches. and performance oriented. (for example, the size of the system, the political structure, and the status of academics). It is advisable to regulate key questions like types of professorships and, possibly, basic principles of remuneration on the system level, while more detailed questions like procedures and institution-internal responsibilities are delegated to HEIs in accordance with the principles of institutional autonomy and subsidiarity. System level C.2 Unions can play an important role Partially achieved. Unions are Strengthen the role of unions at when questions like overall salary involved in legislative processes but the institutional level and, increases are addressed. As with other not systematically in all relevant where appropriate, the system level, stakeholders, it pays […] to involve discussions on the system while at the same time seeking them early on in questions of future (and/or institutional) level. measures to enhance the capacity of salary models. unions. 276 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Criteria for Good System- and Institution-Level Human Level Resource Policies Status Quo Assessment Recommendations Concept and measurement of (good) performance System level C.3 The concept of performance has Achieved. The election criteria reflect Maintain transparency and adaptability to be open and reflect diversity, that is, different dimensions of performance, of election criteria while exploring it needs to be open to different kinds of and institutions with a special profile diverse ways of career advancement. academic performance (including, have the possibility of adapting for example, artistic performance) the criteria. and functions fulfilled in an academic context. Institutional level C.3 The concept of performance has Partially achieved. While selection Ensure the integration of teaching to be open and reflect diversity, that is, criteria covering different kinds of and research functions, including it needs to be open to different kinds of academic performance are determined in individual academic careers, academic performance (including, by […] national legislation, some at the institutional level. for example, artistic performance) institutions put a particular emphasis and functions fulfilled in an academic on research performance (also for context. teaching-focused positions). System level C.4 The concept of performance relates Partially achieved. While there is no Further develop the concept of to different types of activities framework for PBS models on performance by encouraging HEIs and functions: (a) what can be the national level, system-level to consider – and providing incentives considered as performance regulations do not prevent institutions for – the introduction of in the narrower sense (related from establishing such models performance-supporting measures on primarily to teaching and research), (while the financial situation might the institutional level. and (b) the takeover of certain in fact create a major obstacle). functions or fulfillment of certain roles Minimum salaries for some functions (like vice-rector or dean). Further, are determined by the law. (c) performance-based remuneration systems tend to provide for a market allowance, awarded in the context of negotiation (which might not relate to performance in the narrower sense but is also covered by respective models). Along these lines, good PBS models take different performance categories into account. Institutional level C.4 The concept of performance relates Achieved only to a limited extent. Further develop the concept of, to different types of activities Salaries for some functions are and provide incentives for, and functions: (a) what can be determined by the national framework. performance on the institutional level. considered as performance While there are no PBS models at To the extent that PBS models in the narrower sense (related the institutional level, there are some are developed in the future, take primarily to teaching and research), initial considerations on introducing different performance categories into and (b) the takeover of certain monetary rewards for performance. account while striving to ensure functions or fulfillment of certain roles an integrated approach to careers (like vice-rector or dean). Further, with regard to different types of (c) performance-based remuneration academic duty (teaching, research, systems tend to provide for a market administrative duty, etc.). allowance, awarded in the context of negotiation (which might not relate to performance in the narrower sense but is also covered by respective models). Along these lines, good PBS models take different performance categories into account. REPORT 3: Academic Careers in Latvia: Recommendations | 277 Criteria for Good System- and Institution-Level Human Level Resource Policies Status Quo Assessment Recommendations System level C.5 Countries need to have a clear Partially achieved. There is Promote a more diverse approach to approach to handling those three a systematic approach to one of performance (beyond incentivizing categories (that is, academic the categories (namely, academic academic functions). performance, takeover of functions functions), while there is no systematic This can be communicated through and roles, and market allowance) approach to, or considerations on, sectoral consultations or capacity – either as part of one PBS model the other two categories or building and supported by incentives. or as three separate ones. As usual, a comprehensive framework the simpler, the better. covering all three categories. However, current legislation does not prevent institutions from developing PBS models. System level C.6 Diverse higher education systems Partially achieved. While institutions Consider broadening the criteria for need to mirror diversity in their enjoy autonomy in designing incentive performance allocations (“Pillar 2”) approaches to performance systems, performance-based funding to HEIs in future to incentivize teaching and remuneration. Some HEIs that allocations to institutions are geared excellence and third-mission-related focus strongly on research are likely toward research, which is likely activities. to reward related individual to reflect on bonus systems at This might require a broader discussion (or collective) performance through the institutional level. on measuring and rewarding teaching their PBS systems. Other countries excellence. and institutions might want to use the opportunities PBS provides to counteract undesirable tendencies (for example, the neglect of teaching and service). Further, PBS models can be combined with other instruments such as performance contracts. Institutional level C.6 Diverse higher education systems Achieved only to a limited extent. Some Strive to achieve a more balanced view need to mirror diversity in their institutions have started to develop on performance, particularly by approaches to performance or implement reward systems incentivizing excellence in both and remuneration. Some HEIs that (mainly bonus systems); however, teaching and research. focus strongly on research are likely these are primarily geared toward to reward related individual research. Also, criteria might not (or collective) performance through sufficiently reflect disciplinary their PBS systems. Other countries differences. and institutions might want to use the opportunities PBS provides to counteract undesirable tendencies (for example, the neglect of teaching and service). Further, PBS models can be combined with other instruments such as performance contracts. Aspects of model development – linking performance to models and procedures System level C.7 PBS systems combine fixed salary Not applicable. There is no framework/ The criteria will need to be taken into components (ensuring academic architecture for PBS systems in place. account in case a PBS system is going freedom and providing stability) to be designed in future. with performance rewards. The basic architecture needs to be anchored at the system level while HEIs form related models according to their strategic priorities. 278 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Criteria for Good System- and Institution-Level Human Level Resource Policies Status Quo Assessment Recommendations Institutional level C.7 PBS systems combine fixed salary Not applicable. There are no The criteria will need to be taken into components (ensuring academic PBS systems in place. account in case a PBS system is going freedom and providing stability) While some institutions have developed to be designed in future. with performance rewards. The basic or are in the process of developing architecture needs to be anchored at bonus systems, current arrangements the system level while HEIs form surrounding academic employment related models according to their and remuneration make basic salary strategic priorities. components more volatile than in comparator systems (World Bank 2017). Institutional level C.8 PBS systems reflect institutional Not applicable. There are no The criteria will need to be taken into strategies. While performance PBS systems in place. account in case a PBS system is going considerations generally derive from However, approaches to bonus to be designed in future. the key functions of academic staff payments are aligned with institutional Where nucleus performance-supporting (teaching, research and development, strategies (with both of them being measures are under development, and service), the emphasis needs to be geared mainly toward research). continue to ensure that they are aligned put across and within these categories with institutional strategies. in accordance with strategic institutional priorities. This has to translate into the definition of performance categories and subsequent “criteria.” Institutional level C.9 Further, PBS systems avoid Not applicable. There are no The criteria will need to be taken into crowding-out effects (that is, when PBS systems in place. account in case a PBS system is going intrinsic motivation is supplanted by However, some institutions display to be designed in future. extrinsic motivation) and support a tendency to reward single activities Institutions gathering experience (or, at least, do not negatively impact) that can be considered a “normal” part with bonus systems are encouraged to intrinsic motivation through of academic work in a very detailed focus on major aspects of performance, the incentives they set. In particular, way, an approach which might and not to reward “small,” single incentive systems should not be jeopardize intrinsic motivation. activities, in order to avoid directly linked to (every) single a crowding-out effect. activity, which would support the perception of the incentive as a controlling intervention and thus endanger intrinsic motivation. However, rewarding single activities on a temporary basis that can be considered as “extra” rather than a “normal” part of academic work, is less likely to lead to crowding-out effects. Also, institutional models that accommodate different types of individual performance enhance motivation and avoid crowding-out effects. REPORT 3: Academic Careers in Latvia: Recommendations | 279 Criteria for Good System- and Institution-Level Human Level Resource Policies Status Quo Assessment Recommendations System level C.10 Performance criteria, assessment, Not applicable. Performance criteria The criteria will need to be taken into and the related award process need to feeding into PBS or bonus systems account in case a PBS system is going be considered fair, transparent, and and related processes are not to be designed in future. clearly structured. This also applies to established at the system level. However, the Ministry would be the use of different instruments like encouraged to provide a forum for HEIs bonuses and temporary and permanent who have gathered experience in this allowances. area to showcase their models and trigger a broader discussion on the subject within the sector. Institutional level C.10 Performance criteria, assessment, Achieved in institutions where a bonus HEIs which have gathered experience and the related award process need system is in place (not applicable to with bonus systems should maintain to be considered fair, transparent, other institutions). a transparent approach to criteria, and clearly structured. This also assessment, and the related award applies to the use of different process. instruments like bonuses These HEIs are further encouraged to and temporary and permanent showcase their approaches as part of allowances. peer learning. Institutional level C.11 While PBS models are supposed Not applicable. There are no To the extent that HEIs with initial to reflect institutional priorities, PBS systems in place. experience expand their they should also be “actionable,” However, the bonus systems at some performance-supporting measures, that is, their design and implementation institutions do not seem to pose they will need to closely monitor should reflect constraints with regard particular administrative or managerial administrative challenges. to administrative processes and challenges. Nevertheless, it would be This would apply in particular to financial management. In practice, advisable to take these aspects the point in time when HEIs move from this favors more structured approaches into consideration as the models a more “ad-hoc” type reward system (for example, multistage salary evolve. toward a medium-to-long-term model systems with a suitable number of with longer-term implications for levels and descriptors). financial planning at the HEI. Institutional level C.12 Decision-making processes Not applicable. There are no The criteria will need to be taken into related to the institutional framework PBS systems in place. account in case a PBS system is going for remuneration need to combine However, criteria of the bonus systems to be designed in future. adequately top-down and bottom-up at some institutions tend to be The need to balance top-down elements to mediate among interests developed and applied at the central with bottom-up approaches will already and reach adequate decisions, level, even though the senate plays prove beneficial at the inception stage, while at the same time ensuring a role in approving them. i.e., when HEIs start developing efficiency. HEI leadership plays a key a PBS model or at least develop role in the development and a systematic approach toward implementation of PBS models; performance-supporting measures. however, deans are likely to fulfill routine functions like proposing staff members for awards or providing written statements for applications. 280 | Focus on Performance – World Bank Support to Higher Education in Latvia | VOLUME 3: Academic Careers Criteria for Good System- and Institution-Level Human Level Resource Policies Status Quo Assessment Recommendations Remuneration and financial management System level C.13 Financial management Not applicable. There is no The criteria will need to be taken into considerations are an integral part of framework/architecture for account in case a PBS system is going the development and implementation of PBS systems in place. to be designed in future. PBS systems. This concerns, among others, a clear understanding of the available funds, the development of financial scenarios of how the PBS system (and related reserves) is likely to develop in future, and considerations regarding the pension implications of allowances. The development and implementation of PBS systems furthermore requires managerial and administrative staff members with the right competencies. On the system level, financial management considerations need to involve the Ministry of Finance. Institutional level C.13 Financial management Not applicable. There are no The criteria will need to be taken into considerations are an integral part of PBS systems in place. account in case a PBS system is going the development and implementation of to be designed in future. PBS systems. This concerns, among While this is already of importance at others, a clear understanding of the stage where HEIs work with the available funds, the development of or develop more “ad-hoc”-type bonus financial scenarios of how the systems, this criterion will be PBS system (and related reserves) imperative when HEIs start developing is likely to develop in future, comprehensive medium-to-long-term and considerations regarding PBS systems. the pension implications of allowances. The development and implementation of PBS systems furthermore requires managerial and administrative staff members with the right competencies. On the system level, financial management considerations need to involve the Ministry of Finance. `-vis an increase in effectiveness and efficiency, have been the subject of earlier Note: a. Questions of how to provide financial incentives to HEIs, also vis-a World Bank advisory work in Latvia. REPORT 3: Academic Careers in Latvia: Recommendations | 281 References Beer, M., B. Spector, P. Lawrence, Q. Mills, and R. Walton. 1984. Managing human assets. The ground-breaking Harvard Busi- ness School program. New York: The Free Press. EUA (European University Association). 2017. University Autonomy in Europe III. The Scorecard 2017. Brussels: European Universi- ty Association. http://www.eua.be/Libraries/publications/ University-Autonomy-in-Europe-2017. Moore, M. 1995. Creating Public Value. Strategic Management in Government. Cambridge: Harvard University Press. Pausits A., F. Reisky, Z. Sušanj, J. Lediæ, M. Turk, A. Jakopec, M. Balkoviæ, N. Trojak, J. Tofant, M. Ðorðeviæ, S. Bezjak, M. Gopiæ, . Plu ariæ, E. Pekkola, H. Mugabi, J. Kivistö, and J. Liljeroos. 2017. Overview of recent European and national policies in regard to human resources management in higher education institutions within European Higher Education Area. Zagreb: Agency for Science and Higher Education, Zagreb, Croatia. Pekkola, E., and J. Kivistö. 2016. “Higher Education Governance and Reforms.” In Global Encyclopedia of Public Administra- tion, Public Policy, and Governance, edited by Ali Farazmand. Cham: Springer. World Bank. 2016. Latvian doctoral studies and promotion system. Washington, DC: World Bank. World Bank. 2017. Academic Careers: Learning from Good Interna- tional Practice. Washington, DC: World Bank. World Bank. 2018. Academic Careers in Latvia: Status Quo Report. Washington, DC: World Bank.