HR EXCELLENCE IN RESEARCH & Open, Transparent, Merit-Based Recruitment

What does the EC expect?

What do we do at Ghent University?

Karen Vandevelde, Policy Advisor Research, Ghent University

Liège 22/4/2016

All slides are my own, except those with European Commission logo in the top banner – courtesy of DG RTD

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Who am I?

Senior policy Advisor Research Focus: Link Human Resources & Research (Researcher mobility,

HR strategy, career development & open recruitment) Quality Assurance in Research (doctoral training, research

evaluation, institutional monitoring, rankings) Data, statistics, analyses (ECOOM UGent)

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How good is your EC abbreviation dictionary?

0. Introduction: European Commission measures & policies

1. C&C

2. HRS4R

3. OTM-R

4. H2020 MGA art. 32 *

5. Ghent University initiatives

European Charter for Researchers & Code of Conduct for the Recruitment of Researchers

Human Resources Strategy for Researchers: process to obtain HR Excellence in Research award

Open, transparent, merit-based recruitment

Horizon 2020 Model Grant Agreement – article 32

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European Research

Area (2000)

Strategic agenda: dynamic knowledge economy

Focus: Open labour market for researchers

Charter & Code for

Researchers (2005)

General recommenda-tions for researchers & institutions

= Signed 1200 times

HRS4R (2008, revised 2016)

Implementation of Charter & Code in institutional HR-action plan

= badges awarded

OTM-R (2015)

Focus on Recruitment: Open, transparent & Merit-Based

Working Group Recommenda-tions

Context

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Why focus on researchers’ careers?

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1. European Charter for Researchers & Code of Conduct for the recruitment of researchers

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European Charter for Researchers & Code of Conduct for the recruitment of researchers

WHAT? general principles and requirements HOW? roles, responsibilities and entitlements WHO? researchers, employers, funders of researchers Research Freedom Ethical principles Professional responsibility Professional attitude Contractual and legal obligations Principles targeted Accountability at employers Good practice in research & funders Dissemination, exploitation of results Public engagement Relation with supervisors Supervision and managerial duties Continuing Professional Development

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European Charter for Researchers & Code of Conduct for the recruitment of researchers

Recognition of the profession Evaluation/appraisal systems Non-discrimination Complaints/appeals Research environment Participation in decision-making bodies Working conditions Recruitment Stability and permanence of employment Funding and salaries Gender balance Career development Value of mobility Access to research training and continuous development Access to career advice Intellectual Property Rights Co-authorship Supervision Teaching

Principles targeted at researchers

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2. HR Excellence in Research Award

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2008: launch Easy, 5-step procedure

Mutual Learning Seminars

4-year process: internal review (2nd year), external

review (4th year)

2015: preparation updated procedure Focus on progress, quality and measurable outcomes

2016: implementation updated procedure New tender for processing applications, providing

support, mutual learning & evaluations by peers

• adds CREDIBILITY – internally and externally, towards

researchers, national authorities, funders etc..

• adds to the institution’s REPUTATION by becoming part of a

growing group of institutions, many of very high international

standing

• contributes to the VISIBILITY of the institutions

• gives the exclusive right to use the 'HR award' icon

The 'HR award' icon is displayed on the

adverts published on:

• EURAXESS Jobs

• the institution's websites

• promotional material …

along with information about the HR strategy.

WHY ???

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Step 1: GAP-analysis

• Legislation, regulation

• Researchers’ experiences

Step 2: HR strategy & action plan

• foundation: Charter & Code

• representatives, timing

Step 3: recognition EC

• Condition: webpublication of HR strategy

• Award HR excellence label

Step 4: Self evaluation

• Every 2 years

• Internal organisation

Step 5: External evaluation

• After 4 years

• By EC & external experts

“old” HRS4R: 5 steps

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What’s changing in 2016? 1. Endorsing “Charter & Code” = formal start of the procedure 2. Timelines are stricter & risk of losing the award

• Initial phase = 1 year from letter of endorsement

• First implementation phase = 2 years + external assessment

• Second + following implementation phases = 3-year cycles +

external assessment + site visit

3. Templates for gap analysis, HR strategy, internal review & external assessment

• Formalisation to ensure quality process & continuing commitment

• OTM-R: obligation to address specifically

4. Focus on quality • Evidence of involving wide range of stakeholders

• Measurable outcomes

• Embedded in institutional strategy

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More details available later this year:

http://ec.europa.eu/euraxess/index.cfm/rights/strategy4Researcher

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Report of working group = recommendations on implementing principles of

Charter & Code regarding recruitment of researchers

OPEN = reach the widest possible range of candidates

TRANSPARENT = use clear criteria, use clear procedures

MERIT-BASED = judge candidates objectively and adequately: fair

criteria, fair selection committee, fair procedure

>< nepotism, obscure procedures, unfair treatment

Checklist for institutions: “do we do what we say we do?”

detailed recommendations on how to implement these principles

good practices from across Europe

DID YOU KNOW? OTM-R = less than 1 year old, but already featured in

European Roadmap & revised HRS4R strategy!

3. OTM-R report

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4. H2020: Article 32 in Model Grant Agreement

Applies to all multi-beneficiary projects except: MSC Cofund, SME Instrument, ERA-Net Cofund, PCP-PPI Cofund, EJP Cofund

Linking Policies and Practices

C & C: a vision for research support and development

HRS4R: a mechanism to agree objectives to reach that

vision

article 32: a (supporting & helpful) instruction to implement

the above via a best effort obligation

Horizon 2020 - Multi-beneficiary Grant Agreement (*)

SECTION 4 - other rights and obligations (ALL beneficiaries)

Article 32:

RECRUITMENT & WORKING CONDITIONS for researchers

32.1 OBLIGATION to take all measures to implement C&C

32.2 CONSEQUENCES of non-compliance

* AGA- annotated model grant agreement, version 2.0.1 of 12 May 2015

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What’s in Article 32? = Obligation to take measures to implement C&C - Working conditions - Open, Transparent, Merit-based recruitment - Career development = “BEST EFFORT OBLIGATION” Be proactive Take specific steps to implement C&C, to address

conflicts between theory & practice Document these efforts

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• Endorsement Charter & Code 2006

• Start involvement in HR Strategy 2012

• HR Excellence in Research Award 2014

• Awareness campaign H2020 art. 32 2015-2016

• Implementation OTM-R 2016-2017

5. Ghent University Initiatives

Embedded in HR strategy

Step 1: GAP-analysis

• Legislation, regulation

• Researchers’ experiences

Step 2: HR strategy & action plan

• foundation: Charter & Code

• representatives, timing

Step 3: recognition EC

• Condition: webpublication of HR strategy

• Award HR excellence label

Step 4: Self evaluation

• Every 2 years

• Internal organisation

Step 5: External evaluation

• After 4 years

• By EC & external experts 21

HRS4R: 5 steps

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Combining actions and concerns that are « desirable » and « feasible » and can be « broadly accepted » in the research community

Example: « Action 20: Ghent University develops a policy with appropriate conditions and circumstances in which research autonomy, budget management and a co-supervising role for postdoctoral researchers can be formally recognised. »

Steps 1 & 2: major challenge

Policy experts

National legislation & institutional regulations

ECOOM

Staff surveys

Focus groups academic staff

Researchers

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Flemish government: overview of relevant legislation

Ghent University staff members with expertise in:

- Research affairs

- Education affairs

- Personnel regulations

- Gender, access & equality

What are the university’s major concerns & plans?

How much room for change do we see / do we need ?

Policy experts

National legislation & institutional regulations

ECOOM

Staff surveys

Focus groups academic staff

Researchers

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ECOOM = research centre commissioned

by the Flemish Government, monitoring

Human Resources in Research

Policy experts

National legislation & institutional regulations

ECOOM

Staff surveys

Focus groups academic staff

Researchers

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Representatives from research community: - Professors

- Doctoral School Directors

- Postdoctoral Researchers

- Doctoral Researchers

All faculties

Male & female

Focus: « early stage career »

Policy experts

National legislation & institutional regulations

ECOOM

Staff surveys

Focus groups academic staff

Researchers

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Step 1: GAP-analysis

Step 2: HR strategy & action plan

Policy experts

National legislation & institutional regulations

ECOOM

Staff surveys

Focus groups academic staff

Researchers

Board of Governors

Research Council

Personnel Negotiation Committee

Focus Group

feedback

Draft (HR + Research

Dept)

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Step 3: recognition EC – May 2014

Steering Committee

• Academic Registrar

• Head of Personnel

• Head of Research

• 2 project managers

Monitoring Committee

• 2 project managers

• Those responsible for all 29 actions

Communication Strategy

• Faculty & admin mailing

• Research newsletter

• Website

• Logo display

• Presentations

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Step 4: Self evaluation

Steering Committee

• Academic Registrar

• Head of Personnel

• Head of Research

• 2 project managers

Monitoring Committee

• 2 project managers

• Those responsible for all 29 actions

Updates Timing

Scope

Additions New actions (inspired through communication strategy & bottom-up initiatives)

Streamlining Further integration with other policy initiatives

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OTM-R

1. Awareness raising: internal

recruitment traditions

2. Campaign to promote OTM-R in

H2020 & other projects

3. Reflection on recruitment practices

of professorial staff action plan

being prepared at this very moment

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How to implement an HR strategy with success?

6 tips in 6 images

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Tip 1. Work top-down ánd bottom-up

- Get support from the top of your organisation - Demand a « mandate »

- Hold people responsible

- Involve your research community - Demonstrate you take this seriously

- Listen, discuss, debate

- Involve your colleagues in administrative / managerial units - Establish support

- Find room to grow

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Tip 2. You need people ánd numbers

Listen to personal insights

Hold these against objective data & policy analysis

Not every person’s wish will be fulfilled. Define the rules: are the proposed actions:

• Desirable?

• Feasible?

• Broadly accepted?

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Tip 3. Keep the decision-making process transparent

Universities are complex organisations…

• Identify all individuals, all departments, all advisory agencies that need to be consulted

• Share the process with all those involved • At some point, you will have to explain why it’s

taking so long

• At the approval-stage, you will have to demonstrate you have a solid basis for your strategy

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Tip 4. You’d better be a workhorse

Someone will have to pull the cart.

Someone will have to organisate meetings.

Someone will have to write.

Someone will have to coordinate.

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I didn’t say you can’t be a happy horse!

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Tip 5. Follow it through

The « HR Excellence award » is not the end point.

Organise the follow-up

- Internal communication strategy

- Responsible people/units for every action

- Steering committee (step in when things go wrong)

- Monitoring committee (tell what progress is being made)

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Tip 6. Don’t understimate your power

Support might come from people you hadn’t expected.

Bringing people together can generate a surprising amount of energy.

There’s nothing wrong with shining light on what you have achieved.

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Karen Vandevelde

Policy Advisor Research

Ghent University

Karen.Vandevelde@UGent.be

http://www.ugent.be/en/work/hr-excellence