The influence of the states/regional HE policies on hiring and promotion practices of universities

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1 The influence of the states/regional HE policies on hiring and promotion practices of universities Alberto Benítez-Amado, Luis Sanz-Menéndez and Laura Cruz-Castro Consejo Superior de Investigaciones Científicas (CSIC) Institute of Public Goods and Policies (IPP), Department of Science and Innovation Eu-SPRI Forum Early Career Researcher Conference (ECC): Science, Innovation and the University: keys to social impact Valencia, Spain (13-15 April 2016) 1

2 1. Introduction Governments and universities: a complex relationship HE should be studied in relation to State, Government and politics. There are very few endogenous dynamics. University Public policies create institutional logics, rules, regulations which shape general patterns of behavior and actions of its involved actors but also they introduce new institutional innovations, frameworks and incentives which orient them or they introduce changes and transformations in them. Does Regional Higher Education Policy matters? We explore the influence of institutional pressures derived from regional policies on hiring and promotion practices of universities. The value of the comparative approach An analysis from a regional perspective provides us with an interesting methodological opportunity for comparative research. The Spanish quasifederal system (Regions as States) provides a remarkable setting to monitor/measure/compare interstate variations. 2

3 2.Theoretical framework Institutions, institutional pressures (North 1990; Scott, 1995/2008) and dynamics of change. Relationship between politic power and universities and public policy change. Federalism (McLendon 2003; Keating, 2005) and devolution effects on HE policy and performance (Gallacher & Rafe 2012) Effects of federalism on policy divergence/convergence (Keating 2005, MacKinnon 2015) Universities as organizations: hollow, state-contracted, state-chartered and private-portfolio universities (Whitley, 2008; 2012). 3

4 HRM in Higher education: towards a transformation of University employment patterns. Human capital constitutes the cornerstone of organizations, and academic staff constitutes the core of universities. In public sphere, employment relationships are moving away from the patterns of relationship associated with the public sector, to a more hybrid form incorporating private sector elements (Weert and Van Vucht Tijssen, 1999). A change of an bureaucratic institutional logic to another market institutional logic. HE specialized literature has highlighted two important transformations within of academic HRM: a) the changing composition of academic staff; and b) changing authority in the management of institutions. The above is allowing to universities a more flexible management of its organizations: This, is narrowly linked to debate of organizational character of universities (strategic capacity, organizational actorhood). 4

5 Model 1: Adaptive Managerialism (market institutional logic) Vision: transforming employment relations in universities Instruments: Incentives for gradual evolution to regular labour relations: from civil servants to contracts, and performance based mechanisms Dominant employment practice: combination of open ended and fixed-term labour contracts Model 2: Bureaucratic Professionalism (bureaucratic institutional logic) Vision: a conservative vision of professorship hiring in the existing authority structures keeping the tenure expectations. Instruments: Labour contracts as part of the promotion process and progress in the academic ladder up to the civil servant position. Dominant employment practice: Civil servant based permanent positions (as a means to provide power and autonomy to the academic). 5

6 3. Contextual framework: some key elements on Spanish Public University System (I) 6

7 3. Contextual framework: some key elements on Spanish Public University System (II) 7

8 Positioning Spanish Universities according ideal types dimensions The two dimensions are: Autonomy (discretion of decision) and Dependence (from others in terms of resources) Characteristics of Four Ideal Types of Research Universities as Strategic Actors (Whitley 2012, table 1) Hollow organisations Employment organisations Characteristics Ideal Type Fragmented Bifurcated State chartered Marketbased Discretion over resource allocation Very Low Limited Some Considerable Discretion over employment Very Low Limited Some, within Considerable decisions and policies state framework Dependence on state funding High Considerable Considerable Varies Discretion over student selection, degree programmes and assessment Discretion over organizational structures, establishing and closing departments Dependence on scientific elites in establishing research priorities and performance standards Low Limited Considerable High Low Limited Considerable, within state framework High Considerable, Considerable High High but shared with state agencies The Spanish case is located between hollow bifurcated Type and state charted Type. 8

9 4. Methodology Because of the recent decentralization/federalization Spain could allow for quasi experimental approaches to comparative analysis (and policy impact analysis). Treated and non treated (control) groups (Gerring & McDermott 2007) Dynamic comparison (space and time) under a quasi experimental design for cases comparison Two o more similar regional university systems (size, regulations and policies) in t 0 with similar types of HHRR practices, one of which is change oriented while the other is not. The employment practices of the universities in each region are compared before (t 0 ) and after (t 1 ) the implementation of the policies (treatment). The National University Law (LOU) 2001 allowed Regions (for the first time) to develop regulations and specific instruments for action in HHRR management and employment in university. This Law created the new employment contract-based positions, it provided the framework. The previous question of why some regions did developed the new frame on HHRR policy trying to change the trajectory while others did not is not addressed here. Expectations (Hypothesis) Interstate differentiation among the employment practices of the regional conglomerate of universities Intrastate homogenization of the employment practices of the regional conglomerate of universities 9

10 5. HRM University regional HE policies: between change and stability Catalonia: a case of Regional University HRM policies oriented to change (I) New regional regulatory environment (Law 2003) A differentiated academic careers system taking as legal basis the academic category of permanent hiring does exist in Spain (PCD): existence of a parallel professional career in University sector different than traditional academic career based on civil service. Development of the new formulas of tenured hiring (with similar working warranties of its homologous academic categories with a civil servant status). New salary schemes for academics equally applicable to civil servants and contracted (all productivity and performance bonus apply to both types). Access to these new academic categories only is possible through an accreditation that offers regional quality evaluation agency AQU- who has established a merits and requisites mainly based on research capabilities and high performance. Policy instruments and institutional incentives A solid structure of institutional incentives to become these new instruments in an attractive way to hire University professors (co-funding programs for universities), and also an interesting way to development a professional career (high quality working conditions). Serra Hunter Plan, used to co-fund recruitment processes of hired professors and/or attraction of external talent following high-level international standards. 10

11 5. HRM University regional HE policies: between change and stability Catalonia: a case of Regional University HRM policies oriented to change (II) Institutional environment A committed institutional strategy with the internationalization and research excellence of Catalan University and Research System, in where different public policy initiatives as ICREA (2001), AQU (2001), Serra Hunter (2003) or CERCA research institutes (2010) have produced a very strong impact over its overall performance system. An adequate selection of HR (and talent management in general) is a strategic process for University organizations: organizational changes induced by academic hiring (based on transparency, excellence or internationalization standards) could lead to an improvement of performance and reputation of public universities and research institutes of Catalonia. Catalan universities have clearly taken off regard to overall of Spanish universities. ( ) Why? There is a differentiation. In Catalonia, we think that it mainly has happened for a differentiated management of University professors which have helped to sustain this general improvement of our universities (Ex General Director of Universities in Catalonia). Hiring allows to universities a bigger flexibility and it facilitates mobility of professors. In developed world hardly is professors with a civil servant status. Moreover, not all professors are permanent (or tenured). The above, creates a rigid structures which are incompatible with dynamism of knowledge which do exists today. ( ) In Catalonia, the regional government has promoted the emergence of dynamic positions as happens in universities more advanced and potent of Europe. ( ) Our model is not new, it is inspired in which happens at international level (Ex General Director of Universities in Catalonia). Selection of professors should be most important thing for an University rector. ( ) It is a discourse that is undeniable. Research capabilities and research grants are ten times more in candidates recruited in an open way than among internal candidates. ( ) This organizational culture is going absorbed by universities (Ex General Director of Universities in Catalonia). 11

12 5. HRM University regional HE policies: between change and stability Andalusia: a case of Regional University HRM policies oriented to stability (I) Regulatory environment Andalusia, as most of Spanish regions, has not developed a differentiated academic careers system, and its government has not stimulated a change of traditional University organizational practices related to academics HRM, and even it could be observed certain signals that show a partial commitment with the historically consolidated civil servant HRM model. The contractual categories are integrated (as lower positions) in an academic career in which the top categories have civil servant status: dualistic structure. Gap salary schemes between civil servants and hired academics: basic compensation is similar but productivity bonuses are not paid to contracted staff. Regional framework law forbids expressly that no hired professor can overcome salary conditions of an associate professor with a civil service status. Policy instruments and institutional incentives Neither universities (non economic support) nor professors (non identical social and professional treatment) have had sufficient institutional incentives from regional authorities to consider attractive the hiring way as an alternative to civil service regime. Non policy instruments in HRM sphere. Some policy signals of support to civil servant model: premio por funcionarización (economic bonus for hired professors which access to similar tenured position but with a civil service status). 12

13 5. HRM University regional HE policies: between change and stability Andalusia: a case of Regional University HRM policies oriented to stability (II) Institutional environment Law and collective agreement have legitimized the principle of collective academic promotion as a quasi fundamental right of University professors that is over the organizational choice of universities to decide individually what professor should be academically stabilised and/or promoted, and under what academic category or recruitment mode. During elaboration of regional University law we debated whether impulse or not hiring, but finally it was decided to promote an academic career centered on civil service status. I believe that it happened mainly by pressures of universities. ( ) However, universities did not see, but neither regional government ( ) There was a general agreement and it continues currently: five stars professorship is that with a civil servant status and not with a labor contract (Ex General Secretary of Universities in Andalusia). In Andalusia, we have a social agreement at regional level that defines academic career and guarantees (internal) academic promotion of a professor when s(he) obtains a higher accreditation in academic ladder. According this regulation, it is a personal right of a professor... It is not a option or choice of University (Vicerrector of an Andalusian University) `Pseudo promotion which we have in Andalusia acknowledges that one candidate who obtains an accreditation which is higher than has it, its University must open a new position in one year. Professor has a right to promotion with independency of its general strategy or real necessities. ( ) As University, we do not have too much space to adopt our University policy (HRM Manager of an Andalusian University) Here, a general trend has been stabilization and internal promotion of those professors which have had obtained a higher accreditation ( ) (Vicerrector of an Andalusian University) 13

14 6. Organizational responses of Catalan and Andalusian public universities to change Vs. stability HRM policies (III) Do these regional HRM public policies have changed behaviour patterns regards to academic HRM of universities? In universities of every region can be observed certain elements that indicate a logic of adherence to institutional pressures, although with some intra-state differences. Distribution of institutional power between hired and civil servants (representation quota to in diverse representative and governing bodies and percentage of weighted vote within of electoral system to elect University rector). Case of Catalonia: reproduction of similar logics of selection of professors in internal procedures do exist in regional hiring University professors (e.g. selection committee, international and open calls, internal rules, etc.). Case of Andalusia: priority for new positions to internal candidates (promotion instead of opening) in the same university. Internal academic queues in where is relevant seniority accreditation. Employment structures of universities (from 1999 to 2009), indicate that most of universities of both regions show a trend in tune with kind of HRM public policy adopted by its regional authorities. A dynamic analysis of a macro indicator of the evolution of the employment structure provides an idea of the dominant model of employment/hhrr management in universities. Interstate differences between it has happened in universities of Andalusia and Catalonia respectively. A convergent behavior pattern in employment structure of intrastate universities of Andalusia and Catalonia. 14

15 Evolution on university employment structure by regions and type of universities. Before and after. 15

16 Comparison of university employment structure and trends by type. Before and after. Treated and non treated region 16

17 Trend in non-treated universities 17

18 Trend in treated universities 18

19 6. Organizational responses of Catalan and Andalusian public universities to change Vs. stability HRM policies (II) What motivations have led to universities to adhere/align to institutional pressures do exist in its regional environment? Catalan case: committed responses of public universities with a change of academic HRM model Existence of a strong institutional structure of incentives in favor of professorship hiring, reducing or revoking negatives effects. Higher environmental pressures as consequence of a high academic-scientific competition between middle-class research universities and research institutes. A real strategic chance for universities to achieve more easily competitive resources (e.g. personnel, infrastructures, research funds/grants, etc.) from regional competitive plans/programs which traditionally have been highly linked to research performance (new academic figures own a profile clearly oriented to research). Hiring processes to select and recruit professors and researchers provide to universities a higher organizational autonomy to introduce its owns selection criteria and they allow to align its with their strategic profiles as universities (civil servant model is more restricted and regulated by state laws). Concomitance of institutional logics between universities and political power. Andalusian case: committed responses of public universities with a consolidation of academic HRM model or non transformation. Lack of institutional incentives oriented to become attractive an academic HRM based on professorship hiring. Regional authorities have had some institutional signals in favor of professorship with civil servant status. Environmental pressures are lower as consequence of a higher homogenization between universities and a lower competence between them. Sociological explanations: ingrained culture in favor of follow a civil servant career. 19

20 7. Concluding remarks Existence of clear institutional incentives in one of the regions with policies oriented to change in University HRM model could explain significant changes happened in behaviour patterns and organizational practices of its universities. It is producing a change of organizational culture of universities? These transformational processes only take place in an institutional context in where does exist a confluence of interests, positions and political willingness between regional governments, universities and other interest groups (e.g. trade unions). Analysis reveals that policies and measures promoted by regional government are highly important and seem to have an influence on strategic and organizational behaviour of public organizations that are clearly dependent of them, as are universities. Our findings support the idea that Policy matters and influences universities practices of Human Resources Management regarding academic careers. Regulations, Resources and Frameworks (sticks, carrots and sermons) could change the trajectory of universities. Policy impacts appears associated to university transformation into the more managerial models and to increase the opportunities for improving performance. HE and research public policies appear as highlighted drivers of organizational change capable to transform strategies, behavior patterns or practices of universities. 20

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