Guidelines for appointment of academic staff (VIP) School of Business and Social Sciences Aarhus University (VIP guidelines)

Guidelines for appointment of academic staff (VIP) School of Business and Social Sciences Aarhus University (VIP guidelines) Updated April 2014 Approved at a meeting of the faculty management team on 1 October 2013. Changes made after the approval by the faculty management team on 1 October 2013 will appear in red in the guideline text. Here follows an overview of changes made since 1 October 2013: Changes to section 2.3: For appointments in accordance with section 8 of the Appointment Order, an academic assessment must be composed by one or more relevant experts who are employed at a level that at least corresponds to the position in question; however, they must be at associate level or above. Changes to section 3.4: Henceforth, CVs/links to CVs of the proposed members of the assessment committee must be submitted to the Academic Council. Appendix 5: Aarhus University s guidelines for tenure track employment have been included in the guidelines. 0

Content 1. Scope... 2 2. General information about job posting and appointing assessment committees/other relevant experts... 3 2.1. Job posting... 3 2.2. Composition of assessment committees... 3 2.3. Externally funded employment in accordance with section 8... 4 2.4. Honorary professors... 5 2.5. Fixed-term employment/reappointment... 5 3. The appointment procedure... 6 3.1. Delegation... 6 3.2. Job posting... 6 3.3. Registration of applications and supplementary material... 6 3.4. Appointment of assessment committees... 6 3.5. Assessment...7 3.6. Recommendation for appointment... 8 3.7. Offer of employment... 8 3.8. Fixed-term employment of more than 1 (2) year... 8 3.9. Periods of employment, reappointment and extensions... 8 3.10. Employment without prior advertisement... 9 3.11. Search committee/appointment without prior advertisement... 9 3.12. Externally financed positions... 10 3.13. Fixed-term employment/extension of less than 1 (2) year without prior advertisement... 10 4. Changes in existing terms of employment, etc.... 11 5. Other... 11 Appendices... 12 Appendix 1: Guidelines for appointing honorary professors/associate professors... 12 Appendix 2: Assistant professors (and associate professors) under the job structure for the Bachelor of Engineering programmes and Global Business Engineering/Export Engineering programmes (AU Herning).... 15 Appendix 3: Professorship Policy, School of Business and Social Sciences... 16 Appendix 4: Guidelines for tenure track employment... 19 Appendix 5: Aarhus University s guidelines for tenure track positions... 21 1

Guidelines for appointment of VIP at BSS (VIP guidelines) 1. Scope The VIP guidelines have been prepared in accordance with the applicable legislation and regulations, including: The Agency for the Modernisation of Public Administration s preliminary memorandum of 28 June 2013 on the job structure for academic staff at universities (the Job Structure); the Ministerial Order No. 242 of 13 March 2012 on the appointment of academic staff at universities pursuant to the Ministry of Science, Innovation and Higher Education (the Employment Order); the Consolidation Act No. 907 of 11 September 2008 (the Consolidation Act on Fixed-Term Employment); Circular of 26 June 2013 concerning advertisements for jobs and other positions for which payment is received in the state sector; and guidelines in connection with the appointment of academic staff at Aarhus University (AU s Guidelines of 29 May 2013). These guidelines apply to the appointment of all academic staff in accordance with the job structure (excluding PhD fellows) and include the following: Positions below assistant professor level (research assistant) Positions at assistant professor level (assistant professor/researcher/postdoc) Positions at associate professor level (associate professor/senior researcher) Positions at professorship level (professor/professor with special responsibilities (MSO)/ fixed term professorships) Appointment of academic staff at Aarhus University is covered by the VIP guidelines, regardless of whether the employment is financed by ordinary or external funding. Positions not covered by the VIP guidelines: PhD fellowships Part-time academic staff (student teachers, teaching assistants, part-time lecturers) Technical and administrative staff 2

2. General information about job posting and appointing assessment committees/other relevant experts 2.1. Job posting As a rule, all positions covered by the job structure should be advertised. However, the following exceptions apply: Fixed-term employment/extension of less than 1 (2) year cf. section 9 of the Ministerial Order on the Appointment of Academic Staff at Universities (see segment 3.13 below) Externally funded employment cf. section 8 (see segment 3.12 below) Positions at professorship and associate professor level must be advertised internationally unless special academic circumstances apply cf. section 3. The head of department is authorised to decide how this requirement is fulfilled most appropriately. As a minimum, an English version of the advertisement should be posted on the AU website. 2.2. Composition of assessment committees The Ministerial Order on the Appointment of Academic Staff at Universities 4. The university determines the rules for the academic assessment of applicants for academic positions. (2) The academic assessment committee must decide whether the applicants possess the required academic qualifications within research, teaching, communication, etc., as prescribed by the job structure, and whether they meet any other qualification requirements specified in the job advertisement. A nonprioritised, substantiated, written assessment of the applicants qualifications must be submitted to the rector. If there are any differences of opinion between the assessors, this must be stated in the assessment. Research assistant An assessment committee consisting of two members at associate professor level or higher must be appointed. There is no requirement for the participation of external assessors/experts from outside Aarhus University. Postdoc An assessment committee consisting of 3-5 members at associate professor level or higher must be appointed. As a rule, at least one member of the committee should be from outside Aarhus University. Researcher An assessment committee consisting of 3-5 members at associate professor level or higher must be appointed. As a rule, at least one member of the committee should be from outside Aarhus University. Assistant professor An assessment committee consisting of 3-5 members at associate professor level or higher must be appointed. As a rule, at least one member of the committee should be from outside Aarhus University. 3

Associate professor/senior researcher An assessment committee consisting of 3-5 members at associate professor level or higher must be appointed. The majority of the assessment committee must be external members from outside Aarhus University, and the committee should preferably include one or several international members. The chairman of the assessment committee may be from Aarhus University. Professors/professors with special responsibilities (MSO) An assessment committee consisting of 3-5 members at associate professor level or higher must be appointed. The number of members may vary, depending on the job requirements and the number of applicants. All members of the assessment committee, including the chairman, must be external members from outside Aarhus University, and the committee should preferably include one or several international members. Competency requirements for assessment committees In order to ensure that the assessment of applicants for academic positions is not affected by irrelevant considerations, no member of any assessment committee may be deemed legally incompetent or at risk of having a conflict of interest in relation to individual assessments. Aarhus University bases its decisions on the regulations in the Danish Public Administration Act concerning impartiality, which relates to e.g. family relations, friendships and special personal and financial interests. This may, for example, include co-publication, supervisor relations or other types of cooperation, which cannot be considered compatible with the role as assessment committee member in relation to the advertised position. Furthermore, deans, vice-deans and heads of department must not act as members of an assessment committee, as they are a part of the management and therefore have authority to make decisions regarding employment, etc. General In connection with the composition of the assessment committee, an equal distribution of men and women should be sought. Remuneration of the assessment committee An external chairman of an academic assessment committee may be remunerated with up to DKK 7,500 (in addition to the standard fee). It is up to the head of department, based on the applicable rate, to decide on the size of the remuneration in each specific case. 2.3. Externally funded employment in accordance with 8 The Ministerial Order on the Appointment of Academic Staff at Universities 8 If a foundation, council or non-government funding provider has made at least half of the funding available for the employment of a specific person, who has been appointed by the grant giver in advance, the rector may appoint the person without prior advertisement following a positive academic assessment, cf. 4. If the grant giver has appointed a person in advance, advertisement is not required (Note: AU HR has prepared a form for the appointment of externally financed academic staff, which must be completed by the department and submitted to BSS-HR). For appointments in accordance with section 8, the head of department s recommendation must be supplemented by an academic assessment by one or more relevant experts who are employed at a level that at least corresponds to the position in question; however, they must be at associate level 4

or above. The assessment of candidates for externally financed adhere to the same regulations as advertised positions, see segment 2.2. On fixed-term employment of less than 1 year, the rules in segment 3.13 of this text apply. 2.4. Honorary professors See appendix 1. 2.5. Fixed-term employment/reappointment See segment 3.13 of this text 5

3. The appointment procedure 3.1. Delegation The dean is responsible for appointments at BSS and approves all job postings, appointments of assessment committees as well as recommendations regarding appointments. The dean may choose to delegate his/her authority to the vice-dean. BSS-HR are in charge of obtaining the required approval from the individual concerned. 3.2. Job posting The head of department prepares the academic content of the job advertisement. It should be stated in the advertisement whether it is a fixed-term or permanent position. The advertisement text should be submitted to BSS-HR, including information about where the advertisement should be posted. BSS-HR can provide assistance on the choice of media, time-frame for the appointment process, etc. BSS-HR incorporates the text into the e-recruitment system PeopleXS and submits the text for approval by the head of department and the dean (see segment 3.1). Advertisements for academic positions (except for research assistants) must be approved by the dean. If the dean (see segment 3.1) has not responded to the inquiry within 8 days, the recommendation is deemed to be approved by the dean. When the advertisement text has been approved, BSS-HR is responsible for advertising the position, including posting the position on the university s website. BSS-HR gives the head of department and the department secretary special access to a PeopleXS management portal, through which they gain access to the advertisement(s) and all submitted applications and related supplementary material. 3.3. Registration of applications and enclosures Applications, along with enclosures, are submitted electronically via a link in the advertisement text to an online application form. If the applicant wishes to submit material that is difficult to upload, it can be submitted to BSS-HR in hard copy. An automatic confirmation email is sent to the applicant via PeopleXS. If hard copy material is submitted, BSS-HR will send a manual confirmation to the applicant via PeopleXS upon receiving the material. 3.4. Appointment of assessment committees After the expiry of the deadline for applications, BSS-HR will ask the head of department to submit a proposal through PeopleXS for the composition of the assessment committee (which should include the appointment of a chairman). The Head of Department must submit a CV/link to the CV, on the proposed members for membership of the assessment committee. The assessment work should proceed according to predetermined deadlines. (However, these deadlines may vary, depending on the number of applicants for the position in question). BSS-HR submits the proposal for the composition of the assessment committee for approval with the dean (see segment 3.1 ). If the dean has not responded to the inquiry within 8 days, the proposal is deemed to be approved. BSS-HR will forward the proposal for the composition of the assessment committee (inclusive a 6

CV/link to the CV, on the proposed members), the job advertisement, names of applicants as well as all electronic application material to the Academic Council through PeopleXS for the purpose of having the council declare its approval through written consideration without holding a meeting. If the Academic Council does not submit comments to BSS-HR within 8 days, the proposal is deemed to be approved. Concurrently, BSS-HR will submit information through PeopleXS to the applicants about the composition of the assessment committee, also announcing the deadline for the completion of the assessment committee s work. BSS-HR will set up profiles for the members of the assessment committee in PeopleXS, granting the members temporary, specific online access to the advertisement and to the applications, including all supplementary material that has been submitted. The members will also receive an email giving them online access to the faculty s Guidelines for assessment committees, Guidelines for the use of teaching portfolios as well as the Ministerial Order on the Appointment of Academic Staff at Universities. The chairman is also granted online access to the Memorandum on the Job Structure for Academic Staff at Universities. For the appointment of professorships, the faculty s Professorship Policy is forwarded to the chairman and to members of the assessment committee. If applicable, BSS-HR will also forward hard copy material to the members of the assessment committee. If BSS-HR receives objections to the composition of the assessment committee, cf. the Danish Public Administration Act, BSS-HR will present the objection to the head of department and the dean, who will evaluate the case with relevant assistance. 3.5. Assessment The assessment committee or other relevant experts will prepare an academic assessment of each applicant. The academic assessment of each applicant must be entered through an online form in PeopleXS by the chairman of the committee. The chairman of the assessment committee notifies BSS-HR when the assessment committee has reached a conclusion, after which BSS-HR submits all the assessments for validation with the other members of the assessment committee. As soon as the committee has validated the assessment, BSS-HR submits the assessment to the head of department and the dean (see segment 3.1), informing them that, unless BSS-HR is notified otherwise, the individual assessments will be forwarded to each applicant after 8 days. If the head of department and/or dean has not responded within 8 days, BSS-HR will forward the individual assessments to the applicants. Should BSS-HR receive objections from applicants regarding the nature of the assessment, the assessment committee or other relevant experts will be asked to make a statement. The head of department and the dean will be notified about the matter at hand, and an agreement will be made regarding the procedure to be followed. If the head of department receives objections, cf. the Danish Public Administration Act, including objections regarding the assessment committee s or other relevant experts evaluation of the complainant s qualifications, the objection is forwarded to BSS-HR who will take further measure. Before a decision is made regarding the appointment, the head of department may invite one or 7

more applicants to an interview and/or a test lecture. In the appointment of professorships, interviews must be held. The dean participates in these interviews. BSS-HR is responsible for disbursing fees to the assessment committee members. 3.6. Recommendation for appointment Concurrently with the distribution of the individual assessments to the head of department, BSS- HR asks the head of department to submit a recommendation for appointment. The head of department will receive a recommendation form into which all relevant information must be entered, and the form should be returned to BSS-HR. All recommendations for appointment of academic staff (except research assistants) are presented to the dean (see segment 3.1). For professorships, fixed-term professorships, associate professorships and senior researcher positions, BSS-HR asks the dean for specific approval of the recommendation by email. For other academic staff positions, the recommendation is deemed to be approved if the dean has not responded to the inquiry within 8 days. 3.7. Offer of employment After the head of department has submitted the recommendation for appointment to BSS-HR, BSS-HR notifies the chosen candidate by email, informing him/her that the dean has chosen to offer him/her employment and that the letter of appointment will be issued as soon as possible. BSS-HR provides assistance in salary negotiations. BSS-HR contacts the relevant union representative/senior pay negotiator (in certain cases the trade union) regarding the salary negotiation. BSS-HR then sends the letter of appointment to the chosen candidate. BSS-HR also sends rejection letters through PeopleXS to the applicants who are not offered employment. 3.8. Fixed-term employment of more than 1 (2) year If the period of employment is more than 1 year - 2 years for non-danish professors and associate professors - the same requirements apply as for permanent tenure positions, i.e. guidelines for job posting and the academic assessment procedure, see segment 2 above. 3.9. Periods of employment, reappointment and extensions Research assistant Research assistant positions may be filled for a period of up to 3 years. Re-employment may take place, but the employment must not exceed 3 years in total. Postdoc The postdoc position is a fixed-term employment. As a rule, a postdoc position at BSS is advertised as a three-year fixed-term employment. Appointment as postdoc must not exceed 4 years in total. The position as postdoc does not in itself qualify the employee for an associate professorship. Upon appointment of a postdoc position at BSS, the employee should always be offered additional pedagogical training, as the position entails teaching to a limited extent. 8

Assistant professor The assistant professorship is normally a fixed-term employment. As a rule, an assistant professor position at BSS is advertised as a three-year fixed-term employment. As a rule, employment as assistant professor at BSS must not exceed 4 years. However, assistant professors may also be appointed permanent positions through the so-called tenure track programme, in which the employee, following a positive academic assessment, transitions to an associate professorship before the end of the fifth year of employment. See the separate guidelines for tenure track employment in the appendix. Please note that, as a rule, employment as postdoc and assistant professor at BSS must not exceed 6 years in total. Also note, special rules apply for extensions, cf. the Ministerial Order on the Appointment of Academic Staff at Universities as well as the Act on Fixed-Term Employment. Professor with special responsibilities (MSO) At BSS, the position of professor with special responsibilities (MSO) is normally a five-year fixedterm employment. Appointment of professors with special responsibilities (MSO) at BSS will only be extended under extraordinary circumstances. Therefore, the employee should be encouraged to apply for and achieve permanent tenure as professor within the relevant research area before the position as professor MSO expires. Professor (fixed-term) At BSS, fixed-term employment at professor level is for a period of maximum 5 years, see the Professorship Policy in the appendix. The fixed-term professorship will only be extended under extraordinary circumstances. Therefore, the employee should be encouraged to apply for and achieve permanent tenure as professor within the relevant research area before the position expires. General provisions on extensions An extension is possible on the condition that it does not conflict with the legislation concerning fixed-term employment. Accordingly, renewal of successive fixed-term employment contracts can only take place twice. If the employee is appointed another position (e.g. a postdoc who is appointed a position as assistant professor, or an assistant professor appointed an associate professorship), the employee is not, as such, being re-employed; rather, he/she is appointed a new position. 3.10. Employment without prior advertisement Pursuant to the Ministerial Order on the Appointment of Academic Staff at Universities sections 7, 8 and 9 and the job structure, employment with no prior advertisement may take place in the following instances: Section 7: Search committee/appointment without prior advertisement of professorship or associate professorship Section 8: An external grant giver has specified a recipient in the grant approval Section 9: Fixed-term employment/extension of less than 1 (2) year. 3.11. Search committee/appointment without prior advertisement In the case of appointment without prior advertisement, pursuant to section 7 of the Ministerial 9

Order on the Appointment of Academic Staff at Universities, the head of department may request for the dean to appoint a search committee. Appointment via a search committee/without prior advertisement may only take place under extraordinary circumstances. 3.12. Externally financed positions Employment in accordance with section 8 may be for a period of more than 1 year. In the case of externally financed positions, the recommendation should include a copy of the grant approval stating the name of the specific person who is being appointed. Assessment of candidates for externally financed positions, see segment 2.3. 3.13. Fixed-term employment/extension of less than 1 (2) year without prior advertisement Pursuant to section 9 of the Ministerial Order on the Appointment of Academic Staff at Universities, appointment in all job categories (except professors with special responsibilities) can take place without prior advertisement for periods of employment of less than 1 year - 2 years for non-danish professors and associate professors. For appointments in accordance with section 9, the head of department must enclose an academic assessment by an assessment committee or one or more relevant experts on a level corresponding to the position in question; however, they must be at associate level or above. Pursuant to section 9, employment can be renewed (extended) for a period of up to 1 year without prior advertisement, but following a new academic assessment. If the total period of employment including the extension exceeds 2 years - 3 years for non-danish professors and associate professors - the position must be advertised, and an assessment committee must be appointed pursuant to the rules in segment 2 above. It is always a requirement that the extension be in accordance with the Act on Fixed-Term Employment. 10

4. Changes in existing terms of employment, etc. Applications to changing existing terms of employment (resignation, leave of absence, changes in working hours, etc.) should be submitted to BSS-HR including the recommendation from the head of department. Please note that special rules apply in the case of leave of absence and senior agreements. BSS-HR are authorised to make decisions regarding applications for changing existing terms of employment, provided that this can be done in accordance with the recommendation from the head of department. Recommendations for compulsory changes (including compulsory redundancies) and recommendations to reject applications should likewise be submitted to BSS-HR and presented to the dean. The head of department makes decisions regarding changes in terms of employment, if these do not as such affect the employee s position (e.g. decisions regarding temporary foreign postings and teaching exemptions). Decisions are made in accordance with the University Act and rector s delegation provisions. 5. Other BSS-HR is responsible for registration of the necessary information into the systems AUHRA and HR LØN and for filing the relevant case documents with the personnel case (Captia). Expenses in connection with the appointment (advertisement expenses, fees and official travel expenses) are to be paid by the department. Approved at a meeting of the faculty management team on 1 October 2013. APPENDIX 1 Guidelines for appointing honorary professors/associate professors APPENDIX 2 Other appointments - teaching assistant professor (and teaching associate professor) APPENDIX 3 Professorship Policy, School of Business and Social Sciences APPENDIX 4 Tenure track employment APPENDIX 5 Aarhus University s guidelines for tenure track employment 11

Appendices Appendix 1: Guidelines for appointing honorary professors/associate professors These guidelines apply to AU HR, BSS and may be distributed to the departments at BSS. See also the Guidelines for appointing honorary professors/associate professors at School of Business and Social Sciences (BSS), Aarhus University (in Danish only), which can be viewed on this website: http://medarbejdere.au.dk/hoved-omraader/bs/politikker-og-retningslinjer/ As of October 2013, the authority to award the title of honorary professor/associate professor has been delegated to the dean. Step 1: Exploring the possibilities If a department is seeking to appoint an honorary professor/associate professor, the first step is to contact the vice-dean for research. If the vice-dean is positive towards the suggestion made by the department, proceed to step 2. Step 2: Recommendation The head of department submits the recommendation to the dean. The recommendation must state the grounds for the recommendation and should comprise the following: A description of the responsibilities that the honorary professor/associate professor will take on at the department. The head of department s preliminary assessment (short) stating whether the candidate is eligible for a professorship/associate professorship. The proposed candidate should be a researcher with high academic standing or possess high-level academic qualifications. A proposal for the composition of an assessment committee, which: o for honorary professorship assessment, should consist of 3 professors, at least 2 of whom are external members from outside Aarhus University. o for honorary associate professorship assessment, should consist of at least 3 members (associate professor or higher), 2 of whom should be external members from outside Aarhus University. If the vice-dean deems the forwarded material to be sufficient grounds for a recommendation for appointment, the above recommendation will be submitted to HR-BSS, who will handle the next steps in the process. After the vice-dean has provided his positive assessment of the recommendation, but before appointment of the assessment committee, the head of department must make sure that the candidate is in fact interested in being appointed the title of honorary professor/associate professor. Step 3: Appointment of the assessment committee In connection with appointments of honorary professors/associate professors, it is the dean s request that an assessment committee be established. However, the dean is at liberty to allow an exemption from this. In order for HR-BSS to appoint the assessment committee, AU-HR needs the following documents from the department: A copy of the department s recommendation to the vice-dean Names and contact information of the members of the assessment committee 12

The candidate s CV and list of publications The academic material on which the committee s assessment will be based The candidate s address and date of birth/civil registration number In cooperation with the department, a deadline for the conclusion of the committee s work must be established. The standard evaluation time for expert committees in connection with the appointment of honorary professors/associate professors is 2 months. HR-BSS prepares a cover letter that is sent to the members of the assessment committee along with the academic material and the candidate s CV and list of publications. Step 4: Approval of the expert committee s assessment. The expert committee s assessment is submitted to HR-BSS, who will then forward the statement to the dean for approval (the vice-dean for research as well as the head of department receive a copy). Step 5: The dean s letter of appointment If the dean approves of the committee s assessment, HR-BSS will start preparing the Dean s letter of appointment. Appointment is for a period of maximum 5 years. The date of commencement should be cleared with the head of department. HR-BSS then submits the Dean s letter of appointment to the dean to be signed. The original letter as well as a copy of the original letter with the dean s signature is sent to the candidate (not including the assessment, but the candidate can ask to retrieve a copy of the assessment). The department receives a copy of the Dean s letter of appointment. Step 6: Remuneration Members of the assessment committee, who are not employees at Aarhus University, have the right to a fee corresponding to the fee that applies in the case of professorship assessment. HR-BSS is responsible for disbursing the fee. Step 7: Announcing the appointment 7.1 Website with all honorary professors/associate professors at AU HR-BSS will make sure that all newly appointed honorary professorships/associate professorships are announced on the following website: http://www.au.dk/om/profil/historie/haedersbevisninger/adjungerede-professorer-og-lektorer/ To submit an announcement, send an email to AU University History (currently Palle Lykke, PL@adm.au.dk) with the following information: Title Name of home university Name of candidate Title, honorary professor/associate professor Name of department A link to the candidate s employee profile at his/her home university s website, until a press release has been issued announcing the appointment, which will then be published on AU s website. 7.2 Updating the department s website 13

All departments are encouraged to publish a list of the department s honorary professors/associate professors on the website, which should be updated regularly. If the department is so inclined, a press release may be issued announcing the appointment. AU Communication BSS can help prepare and publish this press release. Step 8 Filing and registering The following material should be filed: The recommendation The expert committee s assessment The dean s letter of appointment The honorary professor/associate professor s CV and list of publications It may be necessary to contact the honorary professor/associate professor to retrieve his/her civil registration number or date of birth, which will be used for filing the personnel case. If the honorary professor/associate professor is a foreigner, a civil registration number will be constructed based on his/her date of birth. The honorary professor/associate professor will be listed in a special spreadsheet, which includes all honorary professors/associate professors at BSS. Step 9: Continuous follow-ups/possibly reappointment 4 months before the honorary professorship expires, HR-BSS will notify the department. The department will then be asked to decide whether they want to reappoint the honorary professor/associate professor. Should the dean approve of the reappointment without involving a new expert committee, the recommendation is forwarded along with an evaluation of the previous appointment period and a brief description of the grounds for the reappointment. The candidate s updated CV and list of publications should be made available. Rules Ministerial Order no. 502 of 20 May 2013 on the Conferment of the Titles of Honorary Professor and Honorary Associate Professor. 14

Appendix 2: Assistant professors (and associate professors) under the job structure for the Bachelor of Engineering programmes and Global Business Engineering/Export Engineering programmes (AU Herning). NOTE: Special terms of employment and qualification requirements have been established for the assistant professorship, which in theory is a permanent position. Before the end of the third year of employment as assistant professor, the assistant professor must be assessed with a view to transferring to tenure as associate professor. An extension of up to 2 years is possible following a new assessment. If the outcome of this assessment is negative, the assistant professor must resign from his/her position with a notice in accordance with the collective agreements. Following a positive assessment, the associate professorship will not have to be advertised, as the assistant professor transitions to tenure as associate professor. Upon advertising the assistant professorship, an agreement is made on the composition of the assessment committee, including whether it should comprise external and possibly international members. An assessment committee in charge of assessing a candidate transferring to tenure as associate professor should, as a rule, consist of two external members from outside Aarhus University. Other appointments as teaching assistant professor (and teaching associate professor) Teaching assistant professorships and teaching associate professorships may only be advertised in exceptional cases, and only following a substantiated recommendation, which must be submitted to the vice-dean. As a rule, the assessment committee in charge of assessing assistant/associate professorships must consist of 3 members, 2 of whom must be from outside Aarhus University. Whether the committee should also include international members depends on the specific job description. Birgitte Langsted Revised 10 January 2013 15

Appendix 3: Professorship Policy, School of Business and Social Sciences Approved by the faculty management team, 11 October 2012 The purpose of the professorship policy is to ensure high standards in the appointment of professors at School of Business and Social Sciences and thereby secure the school s competitiveness against other Danish universities in terms of recruiting talented staff, while at the same time successfully meeting the competition in the labour market in general. The purpose of the policy is therefore not to limit the amount of ordinary professorships. It should, however, be made clear that there is still room for differences between the various departments at School of Business and Social Sciences. At School of Business and Social Sciences each department is responsible for the distribution of the various staff categories within the department in compliance with the budget and with the requirements for researcher-covered teaching activities. At AU Herning, it will also be possible to employ senior professors of engineering (ingeniørdocenter in Danish) (salary range 37). Based on in-depth discussions among the members of the faculty management team, the Joint Consultation Committee, the Academic Council, the department management and the new departmental councils, the faculty management team approved the following professorship policy for School of Business and Social Sciences. Appointment of an assessment committee: All members of the assessment committee, including the chairman, must be external members from outside Aarhus University, and the committee should preferably include one or several international members. For further information regarding the assessment committees, please see the school s guidelines for assessment committees relating to the appointment of professors. Criteria for advertising and appointing professorships 1. As a rule, advertised professorships should cover fairly broad academic fields and include specific requirements as a secondary criterion. The wording advertised professorships in general should cover fairly broad academic fields means that it is largely up to the experts, i.e. the individual departments, to determine what the broad academic field should cover. The wording as a rule implies that some circumstances may call for advertisement of professorships that cover more narrowly defined academic fields. 2. Professorships are advertised at frequent intervals agreed upon in advance, e.g. at one or two-year intervals. It may of course be necessary to advertise professorships outside the adopted plan, e.g. in connection with external funding. 16

3. Advertising professorships according to an agreed plan and at not too long intervals (for example every year or every other year). This means that potential applicants can plan accordingly, that fixed-term employees will have a number of chances of applying for a new appointment, and the department thereby avoids a temporal accumulation of professorship appointments. Accordingly, open calls as an alternative to publicly advertised positions should only be used in very exceptional circumstances. 4. Appointment of professors in fixed-term positions must be deployed with a view to retaining and attracting the most promising researchers. To further such a process, it is important that the assessment committees devote considerable effort to assessing the applicants future potential for advancement. Detailed and thorough evaluations will provide the head of department and the dean with the necessary information for choosing the best candidate for the position. The purpose of advertising and awarding a professorship is not to reward employees for their past efforts, but to encourage future excellence of performance for the benefit of the university and society at large. Appointment of professors must therefore largely be determined by the candidate s future potential. Furthermore, it is of course crucial that the professorships advertised are filled only with applicants who possess sufficient and high qualifications within research and research management as well as teaching and knowledge exchange. In the past, advertisement and appointment of so-called professors with special responsibilities (professor MSO in Danish) was a model used at School of Business and Social Sciences to retain very promising employees, and, in very rare instances, to promote certain academic fields. Before the implementation of fixed-term professorships, professorships with special responsibilities were the school s only means to limit the term of an employment. However, now that appointment of professors in fixed-term positions is possible, departments are advised to refrain from appointing professors with special responsibilities in situations where the real purpose is to appoint promising researchers to fixedterm professorships. School of Business and Social Sciences thus allows the use of two types of fixed-term employment at professor level: fixed-term professors and professors with special responsibilities: a. Fixed-term professor Appointment of professors in fixed-term positions allows the departments to recruit promising candidates with somewhat unclear assessment results; candidates who are deemed by the assessment committee to possess the potential for conducting extraordinary research work, research-based teaching and research-based knowledge exchange. With fixed-term professorships it is possible to take into account the uncertainty inherent in assessing the qualifications of an applicant whose overall research output is low, but who can document high recent and current research productivity (quality-adjusted research output per year). In exceptional cases, it is also possible to appoint fixed-term professorships to candidates who have achieved a professor-level competence at other excellent Danish and international universities. Applicants for fixed-term professorships must be assessed on the basis of the same criteria as full professorships. 17

b: Professor with special responsibilities (MSO) A professor with special responsibilities should only be appointed when the position is linked a specific assignment or project that falls within one of the core areas of the department or is considered a priority at School of Business and Social Sciences. Applicants for a position of professor with special responsibilities must be assessed on the basis of the same criteria as a full professorship. While fixed-term professorships will usually be advertised alongside ordinary full professorships, the advertisements of professorships with special responsibilities will be advertised separately. When advertising professorships with the added opportunity to recruit candidates for fixed-term professorships, the departments may, for the benefit of external candidates, also advertise an associate professorship as a fallback employment option. If a department chooses to recruit an external candidate for a fixed-term professorship, the candidate can be offered fallback employment as associate professor, which takes effect when the fixed-term professorship expires. 18

Appendix 4: Guidelines for tenure track employment Tenure track employment: An assistant professor may be appointed a permanent position through the tenure track programme. The employee will transition to tenure as associate professor after a maximum of 6 years employment. Prerequisite for transitioning to tenure as associate professor is that the employee is deemed academically qualified. At Aarhus University it has been decided that an academic assessment must take place before the end of the fifth year of employment. See Aarhus University s guidelines for tenure track employment in the enclosed appendix. Job posting: When advertising an assistant professorship, if there is an option of tenure track employment, it must be clearly stated in the job advertisement. The advertisement must be approved by the dean. Tenure track employment: Assessment of the applicants for tenure track employment, approval of the assessment, recommendation for appointment, salary negotiation, etc. take place in accordance with the VIP guidelines and ordinary rules for appointment of assistant professorships. Letter of appointment: BSS-HR will prepare a letter of appointment for the chosen candidate, which includes the guidelines for tenure track employment as well as guidelines for transferring to tenure as associate professor. The letter of appointment must also refer to the development plan, which is a requirement for tenure track employment. The development plan is issued by the department and serves as a supplement to the letter of appointment. The development plan must comprise a description of, among other things, objectives, supervision, specification of tasks as well as academic assessment criteria that apply in connection with the transition to tenure as associate professor. The development plan must be approved by the dean (see segment 3.1) before BSS-HR sends the letter of appointment to the chosen candidate. Transfer to tenure as associate professor: The academic assessment in connection with transfer to tenure as associate professor must be carried out well in advance and by the end of the employee s fifth year of employment at the latest. The composition of the assessment committee must take place in accordance with the VIP guidelines and ordinary rules for appointment of associate professors. Assessment takes place following a request from the employee and according to his/her agreement with the head of department. Should the employee neglect to request an assessment of his/her academic qualifications within the first five years of employment, or the academic assessment is negative, dismissal under the collective agreement rules is effected. Special information concerning employees with tenure track employment who have been recruited abroad: Researcher taxation scheme: As a rule, employees who are recruited abroad and are employed as assistant professors on the tenure track programme at Aarhus University are eligible for the special researcher taxation scheme under which salary is taxed at a special lower rate. The Danish Customs and Tax Administration (SKAT) makes decision regarding all applications for the researcher taxation scheme. The current rules for the researcher taxation scheme state that the employee is taxed at a lower rate (26% in 2013) than the normal income tax rate in Denmark. Researchers may participate in the scheme 19

for a maximum of five years, regardless of whether they are permanently employed. Disbursement of pension: Employees recruited abroad, who are permanently employed as assistant professors on the tenure track programme, regardless of whether they are foreign nationals, do not have the option of having their pension disbursed, since they are employed in permanent positions. 20

Appendix 5: Aarhus University s guidelines for tenure track positions Guidelines for tenure track positions Case no.: 62714 14 February 2013 As part of Aarhus University s strategic goals and with a view to increasing the transparency and coherence in the university s research career paths, the senior management team have decided that recruitment and appointment of junior researchers may take place through the so-called tenure track programme. The tenure track programme relates to positions on assistant professor level (assistant professorship/postdoc/researcher) and offers the option of transitioning - without prior advertisement - to tenure as associate professor/senior researcher, provided that the employee meets the goals that have been set in advance and receives a positive assessment before the end of the fifth year of employment. The use of tenure track employment: Positions under the tenure track programme are especially applicable in academic areas in which researcher mobility is very high and where the competition to attract the most promising researchers is/is expected to be particularly tough. The tenure track programme is one among many recruitment tools, and fixed-term junior researcher positions (assistant professorships) will continue to be the most common form of employment. Job posting: Tenure track positions are advertised as positions on assistant professorship level, and in the advertisement it should be made clear that the employee, provided that he/she requests and receives a positive assessment before the end of the fifth year of employment, will transition to tenure as associate professor. Assessment: 1. Assessment in connection with advertised positions. Assessment that takes place in connection with advertised tenure track positions takes place in accordance with the rules of the Ministerial Order on the Appointment of Academic Staff at Universities as well as the university s supplementary rules for assessment, including rules for the composition of the assessment committee. 2. Assessment in connection with transfer to permanent tenure as associate professor. The assessment committee is appointed pursuant to the university s ordinary rules for assessment, including the rules for the composition of the assessment committee. The assessment is based on collected evidence about the employee s research production and teaching experience (including evaluations) and, if applicable, based on other tasks stated in the job advertisement. The future potential of the employee is also a high priority. In the assessment, emphasis is placed on the candidate s fulfilment of the same quality requirements as in other associate professorship assessments, i.e. that the candidate has acquired the necessary pedagogical competencies and can document substantial research results. The academic assessment must be carried out well in advance and by the end of the fifth year of employment at the latest. Following a positive assessment, the head of department submits a recommendation to the dean for approval. 21

In the event of a negative assessment, dismissal under the collective agreement rules is effected. However, the university and the employee may make a mutual agreement that the employee remains employed for another year in order to finish his/her work and conclude the programme. The assessment process in connection with the transfer to tenure as an associate professor may be advanced if such a step is deemed to be required to retain particularly talented staff members. Academic assessment criteria in connection with transfer to permanent tenure as associate professor: Teaching: The employee must document his/her ability to independently undertake teaching assignments at all levels within his/her core area of expertise as well as document broad teaching competencies at bachelor level. Prior to the assessment, the employee must complete the university s pedagogical training programme for assistant professors (or similar courses). Research: The quantity and quality of the employee s research production must meet the standards for tenure at strong European departments within the subject area. The requirements must be communicated clearly in connection with job interviews and the employment contract. Other: Other examples of requirements stated in a job advertisement are: the ability to attract external research funding as well as experiences with environment change of longer duration (stays at other research institutions). 22