An Update on European Policy Development Relevant to Doctoral Education & Training Iain Cameron Head, Research Careers and Diversity RCUK UK Delegate to SGHRM Chair Science Europe WG Research Careers

My Credentials Current Head, Research Careers and Diversity – Research Councils UK Chair of Research Careers WG – Science Europe UK Delegate ERA-Steering Group for Human Resources and Mobility Previously Chair of ESF MO-Forum Research Careers 2010-2012 Publications on career structures, professional development and mobility

A view on research policy in Europe Research Funders Policy ERAC SGHRM Advice DG R&I National Research Councils etc. Policy and Delivery EU Research Delivery Other players DG EAC

Steering Group for Human Resources and Mobility - A little bit of history European Charter and Code (C&C), (EC Recommendation 2005): A comprehensive list of 40 principles researchers, their employers and their funders should comply with. 300 endorsements representing >1000 organisations European Partnership for Researchers (EPR), (Council of the EU 2008) ‘simplified’ version of the C&C, focusing on 4 key priority areas: systematically open recruitment; meet the social security and supplementary pensions needs of mobile researchers; provide attractive employment and working conditions; enhance the training, skills and experience of researchers. Innovation Union (2012), three key Commitments [See next slide] FROM informal, goodwill-based approach TO a more formal, systemic, structured approach:

Innovation Union Commitments – an open labour market for researchers #1 In section 2.1. Promoting Excellence in Education and Skills Development Expects National Strategies for sufficient researchers, promote attractive employment conditions (including gender and dual career considerations). #4 In section 2.2 Delivering the European Research Area EC will seek common approaches to: 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 careers #30 In Section 6. Leveraging our Policies Externally Integrated policies to ensure the attractiveness of Europe to attract and retain excellent researchers

Make up and current mandate of SGHRM Origins in 2002, revised mandates in 2004 and 2008 Member States, Associated Countries and Commission Chaired by an MS representative (elected) Current focus on Innovation Union commitments Mandate covers: Mutual learning National  European Define and use indicators of progress Develop common guidelines and new/better actions Help define community actions within ERA Liaise with other groups e.g. EURAXESS BHOs Reports to/advises ERAC or Competitiveness Council

Working Groups – outputs Completed: Mapping Doctoral Training in Europe (2011) European Framework for Research Careers (2011) The HR Strategy for Researchers - HRS4R HR issues for Researchers (2012) Professional Development of Researchers (2012) Access to and Portability of Grants (2012) Recent/In progress: Innovative Doctoral Training (2014) Tools to support Professional Development of Researchers (2014) ERAC Open Recruitment and Intersectoral Mobility (2014) Planned Open Recruitment http://ec.europa.eu/euraxess/index.cfm/services/researchPolicies New WGs: IDT - Outcome: Measures to ensure the widest possible uptake of the Principles for Innovative Doctoral Training across Europe.   Operational Objective: A short report (10 pages and annexes), identifying measures and a roadmap for widening the uptake of the principles across Europe. Measures may include the following: Prof Dev - Outcome: A map of existing (online) tools for individual researchers' career development guidance with examples in Europe and worldwide.

The overview

Inter-sectoral Mobility     Professional Development of Researchers    Open Recruitment Innovative Doctoral Training European Framework for Research Careers R1 R2 R3 R4 The Royal Society – The Scientific Century: securing our future prosperity (2010)

The quick tour

European Framework for Research Careers* The Framework describes four broad profiles, with the following working titles: R1 First Stage Researcher (up to the point of PhD) R2 Recognised Researcher (PhD holders or equivalent who are not yet fully independent) R3 Established Researcher (researchers who have developed a level of independence.) R4 Leading Researcher (researchers leading their research area or field) Benefits to researchers: identify job offers in diverse sectors present themselves in a common language understand what - in general terms - is expected of them throughout their career. Help employers: identify candidates close to the job profile on offer identify candidates from different employment sectors set priorities for staff training organise career guidance inform their overall institutional human resources strategies Help potential researchers: develop a better idea of a career in research. Help society: appreciate researchers’ capacities. Help the European Research Area: promote mobility and attract talent *Supported by ESF and recognised by Science Europe

Open Recruitment – The More2 Survey The levels of satisfaction were found to be country specific. This is a result concerning open recruitment but the results on merit-based and transparent recruitment mirror the one above

Researchers per thousand labour force The number of researchers, as a share of the labour force, is nearly 50% higher in the US and 60% more in Japan, with respect to Europe, where the spread among countries is exceedingly wide. To improve the European positioning in R&I on the global scale, an increase in the volume of research positions is needed (see the EC Communication on the Innovation Union).

Intersectoral mobility – Researchers by sector Source: Researchers’ Report 2013 – Deloitte for DG Research and Innovation

Internships at PhD level -

1) Innovative Doctoral Training The close up guide 1) Innovative Doctoral Training 1) Innovative Doctoral Training

Background to Innovative Doctoral Training Originally published in 2011 - report of an SGHRM WG and reflecting the Salzburg principles and Recommendation from EUA European Council has also emphasised the need to "further promote innovative doctoral training“ Since then: Commitments to action on doctoral training in line with the principles by the EUA, LERU, EARTO and NordForsk in their Memoranda of Understanding on ERA (signed with the Commission on 17 July 2012). Under Horizon 2020, the Marie Skłodowska-Curie Actions has widened their CO-FUND action to cover doctoral candidates. EU Member States are developing strategies to train enough researchers to meet their national R&D targets.

7 Principles for Innovative Doctoral Training Research Excellence Attractive Institutional Environment Interdisciplinary Research Options Exposure to industry and other relevant employment sectors International networking Transferable skills training Quality Assurance

IDEAS Consult/CHEPS study – implementation of IDT principles Findings based on interviews/visits with 40 institutions The principles have a strong ‘mobilizing’ effect The principles are fully ‘embraced’ Research excellence seems to be the ‘leading’ principle There is a strong interrelation between the principles Academic ‘culture’ influences the ‘pace of change’ The socio-economic ‘context’ is also influential A richness of ‘good practice’ http://ec.europa.eu/euraxess/pdf/research_policies/IDT%20Final%20Report%20FINAL.pdf

Recommendations Keep raising awareness of the principles Hands-off approach for the ‘basic’ principles research excellence, quality assurance and attractive institutional environment, receive primary attention from institutions. Hands-on approach for the ‘surrounding’ principles’ international networking, interdisciplinary research options, exposure to industry+ and transferable skills training are implemented less structurally. Take a global perspective Help Member States to create an adequate regulatory framework

Innovative Doctoral Training – 2013-14 Measures to ensure the widest possible uptake of the Principles for Innovative Doctoral Training across Europe. Report identifying measures and a roadmap for widening the uptake of the principles across Europe. Addressing: Funding - application and support of the principles at national and EU level and cross-border pooling or alignment National uptake - Member States/Regions applying the principles (including via Structural Funds); putting principles into practice, e.g. involving industry and other sectors. Branding and international attractiveness: Universities /RPOs that apply the principles; characteristics of the concept of 'Doctorate in Europe' as an attractive quality brand

IDT report recommendations ERA SGHRM and EC should: spread this report widely, list European, national and regional structures for exchange of experience on doctoral training and make proposals to stimulate this exchange at all levels jointly devise a communication strategy for explaining the advantages of doing a doctorate in Europe by spring 2015. MS, EC and funders should Assure sustainable funding (special reference to structural funds), assure funded doctoral candidates are supported for whole period (3 to 4 years) – test by random survey (2015), check for legislative/administrative barriers to flexible use of IDT principles. MS, EC and Stakeholders discuss development of an inspiring web-based tool kit on European Practice of implementing the IDT principles based on criteria formulated in this report jointly examine the feasibility of the concept of a doctoral supplement with conclusions by summer 2015. Questions: Did the report aim at the right target Has this report been ambitious enough Is it likely to support the implementation of the principles http://ec.europa.eu/euraxess/pdf/research_policies/SGHRM-Report-IDTP.pdf

1) Innovative Doctoral Training The close up guide 2) Professional Development of Researchers 1) Innovative Doctoral Training

Professional Development of Researchers – WG 2013-14 Mapping of existing (online) tools for individual researchers' career development guidance with examples in Europe and worldwide. Report focusing on existing practical examples of (online) tools for individual researchers' career development guidance. These examples may come from Europe and beyond and may cover a variety of disciplines. The report could usefully address the practical interface between such tools and the training and development support available from Research Organisations and Research Performing Organisations

Background to the Working Group on Professional Development for Researchers In many countries more than 50% of PhD graduates find employment in the private and public sector. EU target: one million extra researcher jobs to enhance the research intensity of our economies. Professional development for researchers was, until recently, focussed primarily on the academic career path. Career development can further enhance the employability of researchers thus helping to achieve this goal. Previous reports and EU policy documents emphasise the role of organisations (RPOs) in developing the skills of their researchers The nature of working conditions in Europe and the multiple career options for researchers today make guidance on career and professional development essential.

WG - methodology Short questionnaire on the extent researchers working in European institutions: are aware of the competencies needed to be an effective researcher; have structured Professional Development Frameworks made available to them; and are equipped to review and evaluate their competencies and career development. Aimed for a wide range of recipients with interests in Researcher Development. 61 responses: 40 RPOs, 11 Research Funders, 7 Ministries and 3 others in 21 Countries.

Some results 41countries say they define competencies for researchers BUT only 13 of described a programme aimed at career and competence development Where frameworks exist they often focus on the doctoral (R1) stage Networking between organisation may be very important: GUAT/UniWiND (DE) and Vitae (UK) Interaction between organisation and national level may be important - most professional development tools are at organisation level - many backed-up by the national level. Many HEIs don’t have a system for professional development of researchers in place - national or European initiatives could pave the way to broader acceptance.

International context more examples of competencies of researchers than professional development tools examples more likely to focus on the doctoral (R1 stage) - particularly in Europe North American examples mostly at post-doctoral (R2 stage), and most likely in health Australian examples most likely to include progression from undergraduate few comprehensive examples of professional development tools for researchers.

Summary of the results of the survey A PD framework is needed - many Countries appear to have nothing in place. should include employability, self-reflection by researchers and be rooted in systematic approaches within RPOs. There are few systematic frameworks in place – but rising awareness of professional development Vitae RDF was the most comprehensive framework but others such exist AAAS My IDP (USA) and ABG Intelli’agence (France) More examples of competencies are used in job descriptions than references to frameworks. R1 stage best supported - many references to the use of frameworks across all stages R1 to R4.

The suggested recommendations 1 A framework for the Professional Development of Researchers should be made available by the European Commission. For use by the EC, MS, RPOs and Researchers  A clear vision for implementation and sustainable use of such a framework is needed. Funding Organisations, RPOs and researchers must understand how to use it effectively and understand the benefits to be gained. The aim is to initiate a change of culture with respect to Professional Development for Researchers. Indicators of this change should assess the extent of ownership by RFOs, RPOs and researchers. Measures could include researchers with clear career plans and measures of employability

The suggested recommendations 2 Guidelines for the use of a framework and any associated personal planning tools and linkage to associated training should be made available. This should describe a number of options for use ranging from simple to more comprehensive. The adoption of a Professional Development Framework should be part of a well-functioning HR process it would be expected to feature in an institutions plans for gaining and retaining the HR Excellence in Research Award. The report of this working group is intended to be read by all stakeholders and it should be placed visibly in the rights section of the EURAXESS web pages.

Inter-sectoral Mobility     Professional Development of Researchers    Open Recruitment Innovative Doctoral Training European Framework for Research Careers R1 R2 R3 R4 The Royal Society – The Scientific Century: securing our future prosperity (2010)

Thank you for your attention!