1. Research and Innovation Charter & Code and the HR Strategy for Researchers – creating an excellent environment for excellent researchers Dr. Dagmar Meyer European Commission DG Research and Innovation NUAS Conference on Communication Challenges for Nordic Universities Stockholm, 12-14 August 2012

2. Overview Policy background: from the Careers Communication to the Charter & Code and the European Partnership for Researchers The Human Resources Strategy for Researchers: what it is and why you should be interested in it! State of play – call for 4 th cohort of the Institutional HR Strategy Group Links to Innovation Union and ERA Framework Related on-going policy initiatives and links to "Horizon 2020"

3. Careers Communication 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.”

4. Charter & Code COM Recommendation to Member States (March 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 Competitiveness Council (April 2005) invites Member States to: “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…”

5. Charter & Code – what is it? Reference framework for rights and obligations of researchers, their employers and funders:  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

6. Charter & Code – state of play More than 450 individual endorsements from 35 countries, plus various International/European organizations Representing more than 1200 individual institutions, including universities, research institutes, funding bodies, umbrella organisations and professional associations Nordic Region:  Iceland, Norway: good number of individual endorsements  Denmark, Finland, Sweden: only Rectors' Conferences and very few other organisations, if any  Greenland, Faroe I., Åland I.: none

7. ERA Expert Group recommendations 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 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’

8. 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 implementation monitored by the Steering Group Human Resources and Mobility (SGHRM)

9. HR Strategy for Researchers (HRS4R) Tool to support the implementation of Charter & Code – launched 2008  Voluntary, based on self-assessment and mutual learning  Open to all research organisations and funders  Flexible validation approach, recognizes the variety of situations across institutions  More than 200 institutions already taking part  Aim: include all major public employers and funders of researchers in Europe (critical mass, spill-over effects)

10. HRS4R – how does it work? Implemented via 5-step voluntary programme: Internal gap analysis by institution, involving key institutional stakeholders including researchers Development and publication of institutional HR strategy for researchers and action plan in response to gaps identified Acknowledgement of progress by Commission (logo) Self-assessment of implementation after at most two years External analysis after at most four years

11. Key success factors and benefits HR Strategy process should be firmly integrated in overall institutional strategy Support by institutional leadership crucial Support by national and sectoral organisations (e.g. national HRS4R working group coordinated by RCN) Process should help institutions to do what they should do anyway, just better:  more efficiently  more effectively  with more impact Evidence suggests: better HR management leads to better results

12. Example: UK implementation via Concordat UK-wide process coordinated by VITAE, based on the "UK Concordat to Support the Career Development of Researchers" Includes on-going national evaluation and benchmarking Initial review of perceived benefits to UK organisations of the HR Excellence in Research Award in April 2012 - six major themes emerged (19 responses in total) Contribution to strategic goals (84%) Impetus for change (90%) Supporting internal processes (84%) Raising the status of researcher development (63%) Meeting researchers’ needs (74%) Attracting funding (37%)

13. HRS4R – state of play “Institutional HR Strategy Group” set up in 2009, 3 cohorts operational so far Call for 4 th cohort has been launched 150 members: universities, research institutions, funding bodies,… Various multipliers and stakeholder representatives as members or observers 101 logos awarded so far (including 58 (!!) UK institutions) NB: HR Strategy process not restricted to members of HR Strategy Group

14. Organisations from Nordic Region already involved Denmark: Univ. of Aarhus Copenhagen Business School Finland: Aalto University Univ. of Eastern Finland Univ. of Jyväskylä Univ. of Turku Iceland: Univ. of Reykjavik Rannís – The Icelandic Centre for Research Norway: Univ. of Bergen Univ. of Oslo Univ. of Stavanger Univ. of Tromsø Norwegian Univ. of Science and Technology (NTNU) Research Council Norway Peace Research Institute Oslo (PRIO) SINTEF Sweden, Greenland, Faroe I., Åland I.: none so far

15. Call for 4 th cohort of HR Strategy Group Open to organisations that employ or fund researchers; also umbrella organisations or multipliers Deadline for expressions of interest: 28 September 2012 Selection of approximately 50 new members: early October First information meeting in Brussels: 29 October 2012 First Mutual Learning Seminar (1½ days) March/April 2013 (travel & accommodation covered by Commission) Documentation available on EURAXESS Rights – section on "HR Strategy for Researchers"

16. Innovation Union COM Communication (2010) “Europe 2020 Flagship Initiative - Innovation Union” IU commitment #4: In 2012, COM will propose an ERA framework and supporting measures to remove obstacles to mobility and cross-border cooperation, 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.

17. ERA Framework Article 182(5) TFEU entitles the Union to adopt all measures that it deems necessary to achieve the ERA, including legislative option Broad Stakeholder Consultation confirmed urgent need for action in key areas such as open recruitment, portability of grants, training and career development (including working conditions) ERA Communication adopted 17 July 2012, proposing a basket of concrete measures Close cooperation with stakeholder organisations (e.g. NordForsk) and Member States Systematic and transparent monitoring and follow-up – possibly legislation if insufficient progress

18. ERA Communication of 17 July 2012 Numerous references to Charter & Code and HRS4R:  Member States invited to create an enabling framework for the implementation of the HRS4R as described in final report by the SGHRM WG on HR issues  Research stakeholders invited to implement open, transparent and merit based recruitment in line with Charter & Code, and to develop strategies to support the career development of researchers in line with the HRS4R  Commission will support the setting up of a European accreditation mechanism for Charter & Code-based HR management in universities and publicly-funded research institutions

19. Related on-going policy initiatives “Principles for Innovative Doctoral Training” (including adherence to principles of Charter & Code) “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 Assessment of implementation and impact of the “Scientific Visa Package” (cooperation with DG HOME) Euraxess – Researchers in Motion initiative

20. Links to "Horizon 2020" Horizon 2020 will enhance attractiveness of the research profession and facilitate mobility in a cross-cutting way Charter & Code references in Marie Curie Actions in FP7 exemplary => continue good practice New: Specific action to support institutions implementing ERA principles in innovative ways => including Charter & Code New: ERA Chairs to attract outstanding academics to institutions with high potential => including support for creating supportive and competitive research environment

21. More information: Visit the EURAXESS portal, section “Rights”, at http://ec.europa.eu/euraxess/rights or contact us at RTD-CHARTER@ec.europa.eu