Charter & Code and the HR Strategy for Researchers in the European context - CPU meeting, Paris, 24 June 2011

Charter & Code and the Human Resources Strategy for Researchers

in the European context

Dr. Dagmar Meyer, European Commission

“Meeting on the HRS4R”

organised by CPU

Paris, 24 June 2011

Overview

• From the Mobility Strategy to the Charter & Code

• European Partnership for Researchers

• Europe 2020 Strategy, Innovation Union and ERA Framework

• Human Resources Strategy for Researchers – how does it work?

• HR Strategy - State of play

Overview






Policy context (1/4)

• COM Communication (2000) “Towards a European Research Area”

• Lisbon European Summit mandates Commission and Member States to work closely together to take the necessary steps for the removal of persisting obstacles to mobility of researchers.

• COM Communication (2001) “A Mobility Strategy for the European Research Area”

• “This Communication presents a strategy to create a favourable environment for the mobility of researchers in the ERA, in order to develop, attract and retain appropriate human resources in research and to promote innovation.”


• COM Communication (2003) “Researchers in the ERA: One profession, multiple careers”

• The present Communication … aims to analyse the different elements which characterise the profession and defines the various factors which condition the development of researchers’ careers at European level, namely: the role and nature of research training, the differences in recruitment methods, the contractual and budgetary dimension, and, finally, the evaluation mechanisms and the progress perspectives within the career.”

• Implementation of Mobility Strategy / Careers Communication monitored by HLG, then Steering Group HRM as part of the Open Method of Coordination


• COM Recommendation to Member States (2005) on a “European Charter for Researchers and Code of Conduct for their Recruitment”

• based on broad stakeholder consultation process

• follow-up activities focusing on implementation: EU Presidency Conferences London (2005), Vienna (2006), and in a broader context: Rennes (2008), Brussels (2010), Budapest (2011)


• Competitiveness Council (April 2005) invites MS to:

• take into account as appropriate, in accordance with their legal system, the principles laid down in the Charter and the Code when formulating their Human Resources and Mobility strategies and funding programmes, such as institutional quality assurance mechanisms, funding criteria as well as auditing, monitoring and evaluation processes;

• raise awareness of the Charter and the Code within their own country, on a voluntary basis, engage actively with employers, funding organisations and researchers and other relevant parties on their application and where appropriate put in place monitoring mechanisms to accompany the different measures.

Charter & CodeReference framework for rights and obligations of researchers, their employers and funders

Key topics addressed:

• Ethical & professional aspects, incl. research freedom and accountability, non-discrimination, evaluation/appraisal

• Recruitment, incl. transparency of the process, judging merit, recognition of value of mobility and of qualifications

• Working conditions & social security, incl. research environment, stability of employment, gender issues, career development, and representation in governance

• Training, incl. supervision, continued professional development and access to training

State of play - Charter & Code

• More than 400 individual endorsements from 33 Member States & Associated Countries, plus various International/European organizations

• Representing more than 1200 individual institutions, including universities, research institutes, funding bodies, umbrella organisations and professional associations

• First endorsement from country outside EU MS/AC (Tomsk Polytechnic University, Russia)

• But still some Member States and Associated Countries without any endorsements…

Endorsements from France

• 37 individual endorsements, including:

• Rectors’ Conference of the French Universities (CPU)

• 22 Universities

• PRES Aix-Marseille Université

• EC Lyon, ENS

• CNRS, CEA

• INSERM, INRA, INRIA

• Institut Pasteur, Agreenium

• etc.

Overview






ERA Expert Group• Green paper (2007) “The European Research Area: New

Perspectives”

• Expert Group report (2008) on “Realising a single labour market for researchers”:

• “Any organisation in receipt of public funds for research which signed the C&C is required:

• to promote knowledge and awareness of C&C; (…)

• to define and advertise a Human Resources Mission Statement, in line with the C&C spirit, focusing on the recruitment, career development and retirement procedures of their respective researchers; (…)”

• Expert Group recommends creation of a ‘ERA – Researchers’ Human Resources Label’

European Partnership for Researchers

• COM Communication (2008) “Better careers and more mobility: a European partnership for researchers” Four main themes:

Open recruitment and portability of grants

Meeting the social security and supplementary pension needs of mobile researchers

Providing attractive employment and working conditions

Enhancing the training, skills and experience of researchers

EPR monitoring

• EPR implementation monitored by the Steering Group Human Resources and Mobility (SGHRM)

• MS to develop National Action Plans demonstrating implementation of the EPR. 5 MS & 3 AC submitted NAPs (FR did not).

• Work in dedicated subgroups on concrete topics

Open Method of Coordination successful tool to reach consensus and a common approach on concrete (soft) measures (examples: European Framework for Research Careers, Principles for Innovative Doctoral Training)…

New working group on HR in research, Charter & Code and related issues about to be launched

Overview






Europe 2020 and the Innovation Union• COM Communication (03/2010) “Europe 2020 - A strategy for

smart, sustainable and inclusive growth”

Big Societal Challenges - Climate, Energy, Health, Security, Resource Efficiency…

Need an integrated and strategic approach

7 Flagship Initiatives: Innovation Union, Agenda for New Skills and Jobs, Digital Agenda, Youth on the Move, etc.

• COM Communication (10/2010) “Europe 2020 Flagship Initiative - Innovation Union”

Innovation overarching policy objective

Main obstacles: unfavorable framework conditions & fragmentation of effort

Innovation Union Commitments (1/3)

• Over 30 Action Points (“Commitments”) proposing initiatives in key areas, including:

#1: By the end of 2011, MS should have strategies in place to train enough researchers to meet their national R&D targets and to promote attractive employment conditions in public research institutions. Gender and dual career considerations should be fully taken into account in these strategies.


#30: By 2012, EU and MS to put into place integrated policies

- to ensure that leading academics, researchers and innovators reside and work in Europe and

- to attract a sufficient number of highly skilled third country nationals to stay in Europe.


#4: Completing the ERA: In 2012, COM will propose an ERA framework and supporting measures to remove obstacles to mobility and cross-border cooperation (to be in force by end 2014), addressing among others:

- quality of doctoral training, attractive employment conditions and gender balance in research careers;

- mobility of researchers across countries and sectors, including through open recruitment in public research institutions and comparable research career structures and by facilitating the creation of European supplementary pension funds.

ERA Framework

• Lisbon Treaty makes reference to the ERA as the way to achieve the objective of strengthening the scientific and technological bases of the Union.

• Article 182(5) TFEU entitles the Union to adopt all measures that it deems necessary to achieve the ERA.

• Preparatory work ongoing, including a thorough Impact Assessment.

• Broad Stakeholder Consultation has been launched – open until end of November

Ongoing policy initiatives

• “Principles for Innovative Doctoral Training” (including adherence to principles of Charter & Code, “triple i”: international, innovative, intersectoral)

• “European Framework for Research Careers” to provide researcher competency classification independent of a particular career path or sector

• Support for the creation of “Pan-European Pension Funds for Researchers” (pilot schemes) by employers of researchers (e.g. universities, research centres)

• Assessment of implementation and impact of the “Scientific Visa Package” (report to be published soon)

Overview






HR Strategy for Researchers• Tool to support the implementation of Charter & Code: “HR

Strategy for Researchers”

Voluntary, based on self-assessment and mutual learning

Open to all research organisations and funders - more than 150 institutions taking part. France:

1st cohort: INRA, Institut Pasteur, Université de Compiègne, Université Lille 2;

2nd cohort: INSERM, Université Pierre et Marie Curie;

3rd cohort: Institut Curie (Research Centre), Université de Strasbourg, plus…???)

Aim: include all major public employers and funders of researchers in Europe in the process (critical mass, spill-over effects)

Key aspects of the HR Strategy Process

• This mechanism is a support tool.

• It is thus voluntary.

• It is also light to apply and flexible in its validation and verification approach.

• It recognizes the variety of situations across institutions and organisations.

• The result should be meaningful and reliable information on the actions to implement the Charter and Code principles, which is easily available to the public at large.

How does the HR Strategy for Researchers work?

Implemented via 5-step voluntary programme:

• Internal gap analysis by the individual institution/ organisation, involving key institutional stakeholders, in particular also researchers

• Development and publication of institutional HR strategy for researchers and action plan (what, by when, by whom) in response to gaps identified

• Acknowledgement of progress by Commission (Logo “HR Excellence in Research”)

• Self-assessment of progress after at most two years

• External analysis after at most four years

“HR Excellence in Research” Logo

• To be used exclusively by institutions that have received the acknowledgement (listed on EURAXESS website)

• Now also displayed on EURAXESS Jobs Portal with adverts by acknowledged institutions!

Gap analysis and strategy/ action plan development – how to do it? (1/2)

• Communication with all parties involved is essential, support from top management indispensible!

• Although the process is as light as possible, it does require the allocation of dedicated resources.

• Institutional cross-cutting working group could be very helpful to get buy-in from all departments involved.

• Use staff survey, workshops / focus groups or similar to find out more about the views of both junior and senior researchers.

Gap analysis and strategy/ action plan development – how to do it? (2/2)

• You are not alone! Talk to your peers to see how they do/did it.

• Template available on EURAXESS Rights – helpful to get initial overview and understand legal / institutional constraints.

• Relevant umbrella organisations (Rectors Conferences etc.) could facilitate the coordination of institutional efforts at national or regional level (e.g. analysis of legal framework for all institutions governed by it, etc.)

• Remember that small changes (that do not cost the world) can have a huge impact.

Action plan/HR Strategy – what should it contain? (1/2)

• A short description of the process at institutional level, including who/which groups were consulted for the gap analysis.

• Main gaps identified and their allocated priority/ importance in the institutional/national context (full gap analysis does NOT need to be published).

• Actions planned to address the issues, including who/which department is responsible and who else needs to be involved/consulted; what is the timeline. Try to be concrete to facilitate monitoring!

• Don’t forget low-hanging fruit!

Action plan/HR Strategy – what should it contain? (2/2)

• Where applicable: Some explanations why certain issues will not be tackled or have to be postponed (legal constraints, shortage of resources, …); longer term approach for these issues.

• Indicate your approach to monitoring; what is your long-term vision?

• The final action plan/strategy must be available (also) in English, in order to fulfil the requirement “easily accessible” for foreign researchers and to allow the Commission to check its content for the acknowledgement .

Special case: Funding bodies

• HR Strategy process for funding bodies requires a slight re-interpretation (not directly acting as employers)

• Role of funding bodies: to integrate the C&C principles in their own funding criteria, requiring host institutions to apply them (multiplier role / greater impact!)

• Gap analysis to be carried out in this light (involvement of stakeholders still essential)

• Often role also at national level in policy making => can impact national policy processes

• Evaluation will be flexible, keeping in mind the broader aims of the process

Acknowledgement – why bother?

No obligation to ask for the acknowledgement, but:

• Acknowledgement provides added visibility:

listing on the EURAXESS Rights website;

exclusive right to use the logo on institutional website, promotional material…. use of logo on EURAXESS Jobs;

• Acknowledgement adds credibility – internally and externally, towards researchers, national authorities, funders etc..

• Acknowledgement means becoming part of a growing group of institutions, many of very high international standing, adding to your institution’s status.

Acknowledgement – what is it (not)?

• It is NOT an evaluation of the strategy put forward.

• It is NOT a judgement of the current state of affairs.

• It IS an acknowledgement that steps 1 & 2 of the HR strategy process have been fulfilled and that the prescribed procedure has been respected.

Overview






HR Strategy – state of play• “Institutional HR Strategy Group” set up in 2009, 2nd

cohort started in January, 3rd has just been launched

• 150 members: universities, research institutions, funding bodies, multipliers, etc.,

• 18 group members from 1st cohort (and 1 from 2nd) acknowledged, including INRA as only institution from FR

• Plus 38 UK institutions carrying out process on basis of the UK Concordat under coordination by VITAE

• Plus first 8 “external” institutions (3 from BE, 5 from HR) – process not restricted to members of WG

More information:

visit the EURAXESS portal, section “Rights”, at

http://ec.europa.eu/euraxess/rights

Thank you for your attention!

[email protected]

Dr. Dagmar Meyer

European Commission - DG Research and Innovation

Unit B2 - “Skills”

Science

Charter & Code and the HR Strategy for Researchers in the European context - CPU meeting, Paris, 24 June 2011