Academy of Social Sciences in Australia

Research Workforce Strategy

Submission from the Academy of the Social Sciences in Australia (ASSA) regarding the Australian Government s Research Workforce Strategy

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17 August 2010

Introduction

The Academy of the Social Sciences in Australia (ASSA) welcomes the opportunity to respond to the consultation paper regarding the development of the Australian Government's Research Workforce Strategy.

A foundational element of ASSA's Constitution is the commitment "to comment where appropriate on national needs and priorities in the area of the Social Sciences". The Academy supports the development of a national research workforce strategy to address concerns regarding Australia's capacity to deliver the required levels of research workforce growth, and the efficacy of Australia's research training system.

ASSA would welcome the opportunity to work constructively with the Department of Innovation, Industry, Science and Research (DIISR) on the development of a sound research workforce strategy. The Academy believes that the consultation paper, whilst serving as a positive step in the direction of developing an effective strategy, would be greatly strengthened by addressing several key issues which will be outlined below.

The key issues discussed below are:

  1. The need for a systematic and evidence-based understanding of the dynamics of the research workforce, as the foundation for an effective and well-targeted research workforce strategy
  2. The importance of improving conditions in the higher education sector to make a research career more attractive
  3. Research career path opportunities are not fully understood by those with the potential to pursue a research career
  4. The research funding process needs to be re-evaluated to reduce the amount of effort and discouragement involved in unsuccessful applications
  5. There needs to be a stronger emphasis on information development and research.

Key issues

1. The need for a systematic and evidence-based understanding of the dynamics of the research workforce, as the foundation for an effective and well-targeted research workforce strategy

From the Academy's point of view, the consultation paper moves too quickly to recommendations for action without first developing a strong understanding of what attracts, retains and develops the capacities of researchers in the full range of disciplines. There is insufficient recognition of the need to base a strategy on a well-developed understanding of the complexities of this particular labour market and related detailed empirical evidence. For example, there is no analysis of the internal labour market that dominates the university sector and the significance of this. Nor is there any discussion regarding rates of pay, security of employment, the expected returns to the long years of postgraduate study, how these compare with the career profiles available elsewhere, and the inflexibility of the deeply specialist human capital that researchers require to be at the research frontiers of a discipline.

This is a specialist area and the relevant expertise lies in this Academy. The development of an Action Plan without the foundation of a proper understanding of what attracts and retains researchers runs the risk of missing the target. That is, the increase in the research workforce will probably not be achieved in the least cost and most effective manner. A number of sensible steps are proposed in the consultation paper, and the Academy supports their implementation in the short term. However, ASSA is firmly of the view that over the next year or two a strong foundation should be built that provides genuine insight into how Australia s research workforce operates, with the detail necessary to understand important differences by discipline, and how to encourage greater participation by significantly under-represented groups, including indigenous Australians.

The United Kingdom and New Zealand, among others, have recently undertaken major reviews of their research and academic workforces. They demonstrate the important knowledge that must be gained prior to the development of a comprehensive and effective research workforce strategy. Annex 1 of the consultation paper identifies some priority areas. In the recommendations to this submission, these have been rephrased as suggested strategies. The requirements of individual disciplines also need to be considered in any such undertaking, however the initial focus should be on the overarching strategy.

2. The importance of improving conditions in the higher education sector to make a research career more attractive

The consultation paper confirms that the higher education sector contains the largest component of the research workforce. It is also the component with the highest growth in demand for a research workforce. Advice provided by Fellows of this Academy confirms that the most significant research workforce shortages are in the higher education sector, and that these are only likely to increase with the impending retirement of the baby boom generation and the expressed intent of the Commonwealth Government to increase the number of Australian undergraduate students. For this reason, the comments in this section focus on the research workforce issues in the higher education sector.

It is important to keep in mind the distinction between the research-only staff in universities and the teaching/research staff. The latter predominate numerically and are a significantly under-utilized potential source of quality research. The fundamental issue is that academic research careers1 in the higher education sector are not sufficiently attractive to recruit and retain the high quality, quantity and range of academics that are likely to be required in the foreseeable future. In most cases at present, there are sufficient numbers of applications for junior academic positions. The main risk however, is that an inadequate number and range of the brightest undergraduate students will be attracted to undertake the long and demanding years of postgraduate study that are required to become a university academic. The junior jobs will be filled, but not necessarily with people of a suitable calibre: quality is the dimension that adjusts to shortages and surpluses of junior scholars.

The demographic profile of researchers in the higher education sector, particularly senior staff, is strongly skewed towards males and older workers. As these senior scholars retire, Australia faces a major challenge in replacing them with researchers of equivalent ability. Unless these fundamental issues are addressed, other actions are unlikely to have the desired impact. It should be noted that the issues facing the higher education sector are also likely to have an impact on the overall research workforce, as this is where non-academic researchers develop their basic training.

Significant impediments to making a research career more attractive include:

  • Projected lifetime earnings not appearing to justify the time and effort needed to obtain a PhD, which is the basic training for a research career in the higher education sector as well as for a research-based career outside this sector. Salaries are significantly higher in other sectors such as the finance industry. As a consequence, the number of people undertaking PhDs is declining in many disciplines. Such issues will be addressed somewhat by the changes to the RTS scheme, but these provide only part of the answer.
  • The very limited number of post-doctoral positions impacts on the number of PhDs remaining in the higher education sector as full-time researchers. Most will have to look for teaching positions, and will struggle to develop a research capacity and profile while undertaking a substantial teaching role. The secular decline in staff/student ratios that has occurred in Australian universities has steadily eroded opportunities for research, and made academic positions less attractive to the most enthusiastic potential researchers.
  • Career opportunities are not fully understood and there is a perception that research career places are limited despite the impending retirements of baby boomers. While this is true for research-only positions, it is not true for teaching/research positions. This is discussed further in the next section.
  • Casualisation of the research workforce in the higher education sector, together with an increasing use of short-term contracts, has created considerable uncertainty in employment expectations. This lack of security is highlighted in surveys of young researchers and PhD students, particularly in relation to those who wish to follow a full-time research career path, as opposed to a teaching/research career. There needs to be substantial numbers of clearly defined continuing research-only positions in universities in order to attract and retain quality researchers. These should complement opportunities for teaching/research staff to have extended periods of relief from teaching and administration, in order to develop their research.
  • Compared with government and business, there is little effort put into systematic training and developing early career researchers. This is also discussed below.
  • The level of research funding, and accessibility to it, is inadequate for the many teaching/research staff who do not obtain competitive research grants. The parametric change which is required will not occur without a significant increase in resources, although there is some potential to make better use of the resources and funding currently available.
  • Excessive administration has detracted from the time available for research and made a research career less attractive. A serious concern for researchers is the increasing cost of duplicative and excessively frequent reporting. Evaluation is important but it should be streamlined and proportional to the benefits from evaluation. A policy is needed which unlocks the research potential which is embodied in the majority of academic staff who have combined teaching/research positions but are unable to fulfil the research part of their position due to heavy administrative loads and the inadequacy of and access to research funding resources.

This list of impediments is not comprehensive, nor integrated: it is based on insights from Academy Fellows. A full understanding, including of the relative importance of different aspects, requires the analysis and evidence that ASSA has referred to earlier in this submission. Understanding then removing these impediments will require important changes in the way governments and universities work.

3. Researcher career path opportunities are not fully understood by those with the potential to pursue a research career

Despite the imminent increase in baby boomer retirements, the perception still exists that research career opportunities are limited. This perception is reinforced by the levels of casualisation and short-term contract employment among the research workforce. This has led to considerable uncertainty in employment. Contrary to such perceptions, as the consultation paper recognises, there is expected to be a strong demand for new researchers needed to replace projected retirements. In view of the major contribution of retirements to the projected demand for researchers, it would be especially useful to gather data on current researchers retirement plans.

Senior researchers may plan to retire at different ages from their predecessors, due to the effects of the removal of compulsory retirement on peoples attitudes to retirement, as well as the views and practices of different generations and their different financial circumstances. This increases the risk to young people of relying on increased rates of retirement in their field of speciality to justify pursuit of a PhD.

A survey of retirement plans of current Australian researchers would address much of the uncertainty in projected future demand for research workers. This survey should also obtain some understanding of the type of work older researchers wish to pursue. An increase in ongoing employment (in contrast to casual and contract-based employment) for young scholars would result in a significant reduction in employment uncertainty.

Another concern is that early career development of researchers continues to receive far less attention than in government agencies, for example. Compared with business and government sectors, there appear to be fewer resources (including administrative/support staff) applied systematically to training and developing early career researchers.

Many of the rewards, incentives and quality measures currently employed lead to self-interested behaviour, with the result that mentoring by senior researchers is nowhere near as strong as it should be, nor as strong as it was 30-40 years ago. This is largely due to the perverse incentives for senior researchers. They are not rewarded for mentoring-type activities and are under intense pressure to focus on other types of activities, such as securing research funding and achieving peer reviewed publications.

A lack of information regarding the potential of research careers on which to base sound policy is also an impediment. Given the nature of those to whom this information might be targeted, this information must be based on proper research and analysis.

4. The research funding process needs to be re-evaluated to reduce the amount of effort and discouragement involved in unsuccessful applications

Increasingly, the ability to receive national competitive research grants is the measure of success for individual academics, their departments and their universities. Considerable effort is devoted by both individual researchers and their organisations to applications for these grants, with a significant failure rate.2 Indeed, a large majority of applications are unsuccessful. This is demoralising and discouraging, and sends a message to the majority of academics not simply that they have failed, but that the research to which they have committed themselves is deemed unworthy of pursuit.

There needs to be a systematic evaluation of the efficiency and effectiveness of the research funding process, as well as on the impact of the process on the overall research workforce and its productivity. ASSA believes that there should be greater emphasis on block funding with those departments, research centres and organisational units with both a good track record in research and its dissemination. A high quality and relevant research agenda should receive an attractive level of block funding. The review should include an examination of the administrative overheads associated with the application and acquittal of research grants with the view to finding a way to reduce them to a more acceptable level.

The lack of adequate funding for research training is a further impediment to expanding and enhancing Australia's research workforce. This funding issue is two-fold. Firstly, the inability to obtain scholarships for part-time PhD studies is a significant impediment and is a particular deterrent to young women. Secondly, given that individuals who might be considering research training and a research career are by definition already highly qualified and likely to secure alterative types of work in other sectors, the level of remuneration which scholarships offer is very unattractive. This becomes increasingly acute for the significant number of PhD students who are mature age.

Some steps to make research careers more attractive are in the hands of the higher education institutions. For example, working conditions in universities are not often conducive to a good work/life balance, especially for those students with caring responsibilities, such as young parents. The ramifications of this are such that a significant part of the research workforce is underutilized, while other potential entrants into the research workforce seek opportunities elsewhere.

5. There needs to be a stronger emphasis on information development and research

Current policy is based on insufficient information, and a renewed emphasis on information development and dissemination is crucial. A means to identify the most important information needs could be achieved by the production of an Information Development Plan, established with the use of an organised working group. ASSA would be pleased to be represented on such a working group if it were created.

The consultation paper suggests a longitudinal survey, an idea which the Academy strongly supports. The Australian Research Council (ARC) conducted a similar longitudinal survey approximately 15 years ago, a review of which may prove to be useful for reviewing methods and results. An examination of research workforce strategy issues is important for impending policy choices, and a research plan should be developed. ASSA could assist with this process, as social research falls well within the Academy's diverse and wide- ranging areas of expertise. ASSA could potentially host a roundtable discussion to help develop a research plan.

Recommendations

The preceding paragraphs imply some adjustment to the considerations being given to the development of the Australian Government's Research Workforce Strategy. Removing the impediments outlined above requires substantial changes to the way in which governments and universities work. The centrepiece of any strategy must be the development of a research workforce from Australian sources, and removing the disincentives to a research workforce career is key to achieving this.

It is also important to include an international component which could be woven into a coherent, interlocking strategy. To assist with the recruitment of international researchers, the Australian immigration program could be assisted by the use of research friendly visas for both temporary and permanent migration, targeting key skills in short supply in Australia. There should also be engagement with the substantial Australian academic diaspora through programs of joint research, temporary and permanent return to Australia, and other programs of engagement. Programs could also be developed whereby Australian-based researchers can undertake their research overseas in world-renowned research institutions. Whilst this is important, it should not however be seen as the main strategy.

ASSA wishes to make the following recommendations:

  • It would be useful to have a vision for the research workforce for a projected 10 year period, for example, and to rephrase the identified priority areas as strategies.
  • Potential strategies could include:
    • Identifying then removing the major disincentives to potential researchers pursuing research careers;
    • Recruiting international researchers to complement the research workforce and removing major impediments to the effectiveness of this process;
    • Enhancing the quality of the research training experience in Australia;
    • Facilitating pathways into and transitions within research careers in Australia;
    • Improving Australia's information and research base regarding the research workforce.
  • ASSA encourages the Department to collaborate with Australia's Learned Academies on the development of a research workforce strategy. ASSA offers the specific expertise of its Fellows in labour force analysis, planning and development to assist in this process.
  • Short-term initiatives should be consistent with the long-term strategy and there should not be too much effort put into short-term initiatives until a research workforce strategy is developed. Having said this, short-term initiatives that may be worth pursuing as outlined in Table 1 in the consultation paper include 2(b) the extension of Australian Postgraduate Awards (APA) to four years to align with RTS support; 2(c) a review of the RTS with a view to enhancing incentives for HDR completions, alignment of research training with areas of identified research strength and/or priority, and research training quality; 2(e) the development of strategies which allow for more flexible pathways to a doctorate and improved alignment with international practice (working with research training providers) and; 4(c) the mapping and promotion of the research workforce program support available.
  • There should be consistency in the strategic plan over time to provide reasonable certainty to key stakeholders. Good strategic planning implies that strategic plans should change infrequently, whereas implementation tactics may change more often.

Contributors

Emeritus Professor Anne Edwards AO, FASSA3 (Chair of ASSA's Research Committee)

Professor Graeme Hugo, FASSA (Professor of Geography and Director of the National Centre for Social Applications of Geographical Information Systems, University of Adelaide)

Professor Sue Richardson, FASSA (Principle Research Fellow, National Institute of Labour Studies, Flinders University)

Mr. Dennis Trewin AO, FASSA (Chair of ASSA's Policy and Advocacy Committee; Director of Dennis Trewin Statistical Consulting)

With the assistance of

Emeritus Professor Russell Lansbury, FASSA (Discipline of Work and Organisational Studies, Faculty of Economics and Business, University of Sydney)

Dr. Gavin Moodie (Principal Policy Advisor, University Secretariat, RMIT University)

The ASSA Secretariat

The Academy of the Social Sciences in Australia

The Academy of the Social Sciences in Australia is an autonomous, non-governmental organisation devoted to the advancement of knowledge and research in the various Social Sciences, and to the representation of Australian Social Sciences and Social Scientists. The Academy is recognised by the Australian Government as one of Australia's four Learned Academies, and consists of an elected Fellowship of approximately 500 of Australia's most prominent Social Science researchers, representing seventeen Social Science disciplines. ASSA'strives to foster excellence in Social Science research; to encourage the advancement of the Social Sciences in Australia; to act as a coordinating group for the promotion of research and teaching in the Social Sciences; to strongly support efforts to encourage and facilitate research collaboration between Australian and overseas researchers; and to consult, advise, and comment where appropriate on national needs and priorities from the perspective of the Social Sciences.

Footnotes
  1. Including both research only and teaching/research roles.
  2. The Australian Research Council's Discovery Projects competitive grants program, for example, has had a success rate of under 25% for the five years from 2006 to 2010.
  3. FASSA - Fellow of the Academy of the Social Sciences in Australia.