Presentation given at the NUAS Conference on Communication Challenges for Nordic Universities which took place in Stockholm on 12-14 August 2012. For more details see http://www.webforum.com/nuasconference/web/page.aspx.

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 4th 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 4th 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 4th 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