CHARTER & CODE ACTION PLAN 2016-2018 HR STRATEGY FOR RESEARCHERS (HRS4R) University of Stavanger, (UiS), Norway 24. October 2016
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Introduction The University of Stavanger (UiS) is located in the southwestern part of Norway. It is a young university and got its status in 2005 after a merger of a number of colleges in the area in 1994. The area has historically been very important when it comes to new and major industries in Norway. Stavanger has historically been an important city and hub for maritime trade with the outside world. Shipbuilding and shipyard industries, herring and the canning industry have all been major industries based in the same area where the university is located. Since the late 60s, the oil and gas industry has been Norway's most important export industry and Stavanger is the capital city of this industry. The fact that Stavanger has been important for Norwegian exports has also made it an international community characterized by the contact with the outside world, with many foreigners from around the world mainly working in oil industry. The university’s vision is to be a driving force in developing knowledge in the region and an international research university with a focus on new thinking and innovation. Our values are based on a fundamental mission statement: We will challenge established facts and explore those that are unknown. UiS has three faculties, The Faculty of Social Sciences, The Faculty of Arts and The Faculty of Science and Technology, comprising a total of 14 departments/schools and two National Research Centres, as well as the Museum of Archaeology. The university also has a unit for lifelong learning called UiS EVU. Many of the externally financed research activities are performed in cooperation with our research institute - International Research Institute of Stavanger (IRIS). Several other research centres are organised as consortiums of UiS, IRIS and other actors. The university is mostly located on one campus. The Faculty of Science and Technology is the largest faculty, with a focus on research and education in Engineering, which is related to Stavanger’s strong positon within the oil and gas sector. The University has 10.700 students and about 1.600 employees, included academic staff, service and administration staff. UiS was also admitted as a member of European Consortium of Innovative Universities (ECIU) in 2012. ECIU is the leading international consortium of research intensive universities, with a collective focus on innovation, creativity and societal impact which drives the development of a knowledge-based economy. The University is also strongly participating in the Norwegian EURAXESS network. International recruitment and staff mobility is crucial; recruiting talented scientists, to develop research talents and most important to ensure UiS quality in research. UiS, as well as other universities in the Nordic countries, struggle to attract skilled researchers within several disciplines, both on a national and international level. Back in 2011, UiS signed the Declaration of commitment to the Recommendation of the European Commission on the European Charter for researchers and Code of Conduct for the recruitment of Researchers. When signing both the “Charter and Code”, UiS committed to ensuring transparent recruitment processes and equal treatment of all applicants. The aim is to ensure fair conditions for researchers, with the clear intention to contribute to the advancement of the European Research Area. Although it has taken time to finalise the action plan, UiS has tried to live up to many of the principles in the Charter and Code, and these are already part of our effort to be a professional and good employer for the academic staff. The two documents, Charter and Code, are the most important in the EU's policymaking. The two documents are the key elements in the European Union's policy to make research an attractive career and to identify challenges linked to the recruitment of researchers and national and international mobility. The principles specify the roles, responsibilities and entitlements of researchers. They are intended to ensure that employers succeed in generating, transferring, sharing and communicating knowledge and developing technology, as well as ensuring career development and mobility for researchers. The Norwegian working environment and legislation is good in general, yet there is still much that can be better. This applies specifically for research mobility and there are also several legislative changes required to ensure that international mobility researchers can smoothly introduce Resaver, to name one example. Working with Gap analysis has been very useful to highlight our own weaknesses and become a better workplace. 2
While preparing this document, it became apparent that many of the required principles are already implemented trough national legislation, which the Norwegian Association of Higher Education Institutions (UHR) was strongly involved in drafting in 2008. The act relating to Universities and University Colleges from 2005 encompasses many of the principles regarding the responsibility of UiS towards its employees. However, much can be done better, and a review of the 40 principles in the EU's best practice in Gap analysis has been important for us to find areas for improvement that we can implement through an action plan. The key areas concerning the responsibilities and obligations of researches and their employers in relation to four main areas: 1. Ethical and professional aspects 2. Selections and recruitment 3. Working conditions 4. Research training and career development
The Gap analysis The analysis has been conducted by a multidisciplinary team composed of members from The HR department (HR), The Research and Innovation department (FIA) and The Education unit / International office (UA). The team has worked closely with different members of the academic staff, Vice rector and other members of the governing body at UiS. They have looked at UiS’s practice today and together tried to find a best practice for the future. At the same time, members of the same departments have worked on an International plan for mobility and the university goals for the horizon 2020, where conclusions from the gap analysis are a fundament for a best practice for incoming and outgoing researchers. This has also been of importance for the intensive work with the gap analysis and the findings of the specific actions then chosen for the action plan.
The Action plan Achieving university accreditation is key to realising UiS’s high academic ambitions and improving the quality of both education and research as well as being means of gaining more academic independence and developing UiS as an attractive place to work for mobile researchers and other academics. The first action has already been identified when gathering the information on UiS’s guidelines and instructions. Many documents are not in English and, consequently, they will be translated. The second is to develop a better and appropriate information platform on our webpages, from which information in English can be easily accessed and updated. One of the main positive outcomes of the internal analysis is that most of the required principles described in the Charter and Code are already practiced at UiS and also implemented in Norwegian legislation. However, there are several important areas for improvement which are the basis for the action plan:
Actions to be implemented The action plan includes improvement measures, responsibility and deadlines.
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Ethical and Professional aspects
The declaration about researchers in the Charter and Code describes the scientists' ethical and professional responsibility in further detail. Researchers must follow laws, regulations and established ethical standards of research. They must maintain data security and respect intellectual property rights. Moreover, the researchers must respect contractual and legal obligations in relation to employers and clients, and cooperate with them in the research evaluation process. Employers shall help facilitate their research and provide quality assurance. Openness and high ethical awareness should characterise all research at the individual institution. Section 1-5 of the Act relating to universities and university colleges builds on the same principles as the Charter and Code of Academic freedom and responsibility. Openness and high ethical awareness should characterise all UiS activities. Researchers might face difficult ethical dilemmas in their research. UiS organises an annual research ethics seminar for all employees, where relevant ethical topics such as integrity in research are discussed. Comprehensive regulations and guidelines are in place to ensure good ethical research practices. These are available on the university’s employee website. In addition to the guidance provided by senior researchers, research group discussions will be important. For certain types of research, pre-approval from the data protection officer, the Norwegian Data Protection Authority or the research ethical committee for medical and health sciences research (REC) is required. Methods have to be verifiable and data must be stored securely for future use or control. There are institutional and national procedures for dealing with breaches of ethical standards and regulations for research. Since 2007, the university has had a committee for research ethics led by an external person. The role of the committee is to be prepared and proactive, and to help ensure that research at UiS is conducted in accordance with recognised norms. UiS considers extending the Research Ethics Committee’s mandate to improve institutional practices and framework. As proposed by the committee, the university is now considering employing a Research Ethics ombudsman. Researchers are personally responsible for conducting their research in accordance with current laws, guidelines and contractual obligations. Quality assurance and non-conformity handling is part of a manager's responsibility at UiS. For externally funded research projects, the project manager will have a particular responsibility for ensuring compliance with current regulations and terms of contract. Large externally funded research projects can involve many challenges, such as research management capacity and various forms of project support. Researchers might also need competence training for the project manager role. The university’s corporate social responsibility is reflected in the strategy for UiS 2013–2020. UiS communicates research results through education, external research work, publishing and innovation. Although the main focus is on publishing research results in international and national journals with a referee scheme, communicating research to the general public is also valued. Students often participate in publications, for example as co-authors together with their supervisors. The university has a long tradition of innovation. Following the 2003 legislative amendment, it assumed the proprietary rights for research-based inventions. It is UiS policy that IPRs are obtained for further research to ensure that research results benefit society in the best possible way. The university TTO (Validè) supports the researchers in commercialising their ideas and inventions. Action points: Start a process where the aim is to appoint a Research Ethics ombudsman, cf. pt. 2. Internal regulations and practice regarding project management at UiS shall be part of the introductory program for newly appointed researchers, cf. section 4. Launch a series of internal seminars aiming at better knowledge transfer and best practice with respect to project management of external funded projects. The target group will be support staff at all levels of the organization, cf. pt. 6.
Person responsible: Research director
Target dates: End 2018
Research director
End 2017
Research director
July 2017
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Selections and recruitment
The Code of Conduct for recruitment of researchers emphasises a consolidated approach and quality in the recruitment process, with clear and well-defined job advertisements. The process shall be open and efficient with ongoing information provided to the applicants, thorough evaluation and clear requirements for the position. Various qualifications are to be valued, such as mobility experience and other relevant experience. UiS is committed to recruiting talented employees and managers. This is important for reaching the goals within the core areas of education and learning environment, research and innovation, communication and public relations and museum activity. To reach its strategic objectives for 2020, UiS has decided on the following priorities: • recruitment of research talent and research entrepreneurs • recruitment of skilled and dedicated teachers with an interest in the development of modern teaching methods • increasing the number of PhD students • more international exchange of researchers The university's personnel regulations state the procedures for announcement, recommendation and appointment in accordance with the Code of Conduct. A thorough job analysis, where required qualifications are determined, must be conducted prior to the announcement. This forms the basis for the recruitment process right up to the appointment. After the electronic recruitment system was introduced, the recruitment processes has become more efficient, and it has become easier to keep applicants continuously updated. As a main rule, all positions are advertised publicly. In addition to expert assessment of scientific qualifications, a trial lecture, an interview and reference checks will form the basis for recommendation and appointment. The HR department has initiated an HR transformation process with focus on development, simplification and improvement of the entire recruitment process. In the future, UiS will market the university more actively as a workplace, both nationally and internationally, and ensure that all recruitment positions and permanent scientific positions are announced internationally. To achieve increased international recruitment, we will review the recruitment processes with the aim of becoming more professional and efficient. Researcher mobility is valued in recruitment to UiS, but foreign researchers might experience many practical and social barriers. Language proficiency can be a challenge for incoming researchers. Certain courses are lectured in English, but scientific staff in permanent positions must be fluent in one of the Scandinavian languages within a period of two years following their appointment. UiS offers language training for foreign researchers. With respect to international recruitment, UiS is committed to act in accordance with ”The European Charter for Researchers and The Code of Conduct for the Recruitment of Researchers”. Action points:
Person responsible:
UiS must be marketed better as workplace. Develop career pages where employees can easily read about opportunities. Review announcement templates with the aim of promoting working conditions and career opportunities better, cf. pt. 15. International recruitment is to be prioritised. Make sure that all the recruitment positions and permanent scientific positions are announced internationally and that the competence requirements do not prevent foreign applicants, cf. pt. 13 Make the recruitment processes more professional and efficient with the aim of increased international recruitment, cf. pt. 14.
HR director
Target dates: End 2017
HR director
End 2017
HR director
End 2018
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Working conditions
The Charter for Researchers provides recommendations for how the institutions can create attractive working conditions for researchers. It advocates a stimulating research environment with a good research infrastructure. Funders of research must ensure that sufficient resources are made available for the research project to be carried out. Furthermore, institutions should offer researchers a good working environment with flexible working arrangements adapted to personal needs. The work site should be characterised by non-discrimination and equality. Researchers should be able engage in participation and decision-making processes at the institutions. UiS is committed to offer employees good wages and working conditions. Strategy 2020 states that the university leaders should be result-orientated and committed to creating a good working environment, gender balance and good working conditions for the employees. We will strive to provide good and relevant information and communication internally on different arenas and through the right channels. Infrastructure, administrative and technical services, and general conditions are to support professional activities and the learning environment. To reach its strategic objectives for 2020, UiS has decided on the following priorities: • Active personnel management • Access to advanced scientific equipment to attract top international competence • Incentive schemes for outstanding young researchers • Competitive salaries to be able to recruit and keep skilled employees • Personnel policy initiatives that ensure employees a challenging, demanding and stimulating work situation throughout their careers and adapted to their stage of life UiS aims to be a workplace where employees may enjoy an environment free of health and safety hazards. We shall welcome individual, cultural and social differences and stimulate diversity and equality. The work community will be characterised by openness, respect and integrity both internally and externally. Along with challenging and stimulating work tasks, this should help make UiS a good and attractive workplace that promotes health. An employee survey of the psychosocial work environment is carried out every two years. The result of the survey forms the basis for further improvement of the work environment/conditions. In accordance with the Working Environment Act, all researchers at UiS have a written contract of employment. Research fellows and post-doctoral research fellows are employed on fixed-term contracts. According to the contract of employment, research fellows are expected to complete a relevant stay abroad during their period of employment. However, this has proved to be difficult in some cases. To promote researcher mobility and ensure that the contractual expectations are met, UiS will in the future facilitate this for the research fellows. Researchers can be employed temporarily on projects with external funding, but UiS aims to reduce the use of temporary employment of researchers. Researcher's salaries are regulated by contract. As public employees in Norway they are also entitled to generous social benefits. The Charter for Researchers involves a reward system that is based on periodic evaluation of the researcher’s work by the employer. Independent evaluation committees are normally used in Norway only for employment in position or by application for promotion. All employees have the right to a development and salary review with their managers. Researcher assessment and reward is normally carried out through local negotiations between workers’ and employers’ organisations. UiS opens for a differentiated salary policy both on appointment and throughout the career. As an institution built on democratic values, we will maintain our academic tradition, ethical integrity and ideals of freedom of speech and equality across groups, cultures and genders. Norwegian working life is characterized by flexible working hour schemes adapted to the individual’s functional ability and stage of life. There are good leave schemes for childbirth and care of small children. Employees can also be granted compassionate leave for taking care of their next of kin. Senior employees are entitled to an extra week of holiday. After the age of 70 one may be affiliated with UiS as professor emeritus. UiS is an inclusive workplace that focuses on reducing sickness absence. The university aims to achieve a good gender balance in scientific, technical and administrative positions. Specific objectives for improving the gender balance are included in the staffing plans of the units. Increasing the number of women in scientific top positions in the male-dominated areas is 6
an active priority. In the project «Women towards the top – UiS in movement and balance»(Til Topps), UiS has adopted a number of measures for increasing the female share in the professor positions from 21 to 28 percent towards 2018. UiS has also set targets to increase the proportion of women in scientific and managerial positions, and units have set goals for improving gender balance in internal staffing plans. Temporary and permanent employees in scientific positions are represented in the governing bodies on all level at UiS. Ensuring openness and good internal communication between employees and management is part of a manager’s responsibility. UiS can offer researchers a good research infrastructure in general with a number of laboratories that are vital for research and education. There are systematic measures in place for maintaining health, environment and safety in all laboratory activities. Developmental reviews and employee surveys are among the instruments that are used to create a good working environment for the individual and for the academic community. UiS has procedures for conflict management. The principle of proximity is emphasised in conflict resolution, but UiS has notification procedures in case local conflict resolution does not succeed. Action points: All research fellows are expected to have a stay abroad during their time at UiS. This must be communicated to the employee and facilitated through financial support, cf. pt. 24. Carry out measures in connection with “Women towards the top – UiS in movement and balance” (Til Topps) and thereby increase the proportion of women in professor positions: 1. Change management: by focusing on anchoring of Til Topps, and awareness and accountability of line management. A qualitative study at the Faculty of Science and Technology, performed by the Network for gender research, identifying barriers and will provide basis for organisational measures. 2. The promotion programme: includes a mock evaluation for women close to professorship, identifying possible areas of improvement. The programme includes writing courses, funding for networking, internationalisation, mobility or publication support, based on the individual candidates' needs. 3. Recruitment: a task force consisting of scientific personnel, members of HR staff units and managers, identifying and implementing new methods for recruitment, so that the applications to advertised vacancies become larger and more gender balanced. This is because we have received feedback that labour market pressure in our region is so large that it hampers efforts to improve the gender balance. Implement additional measures to reduce the use of temporary appointments in regular teaching and research positions. This is also done to increase international recruitment.
Person responsible: Dean
Target dates:
HR-director
End 2018.
HR-director
Ongoing
End 2018
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Research training and career development
To make the research career more attractive, the Charter and Code recommends that institutions facilitate organised research training, that post-doctoral positions are used for professional development, and that career development is included in the HR strategy for researchers. It is recommended that researchers continuously keep themselves up to date within their field. Supervision and educational tasks should take priority and be valued in researchers’ career development. Employee competence is crucial for the university’s development and achievement of results. Various competence development measures are carried out based on the university strategy. Competence and career development should be a natural theme in the annual employee development review with the immediate superior. According to the Norwegian promotion scheme, one may rise in academic rank without having to apply for an advertised position. Associate professors can apply for promotion to professor and have their competence reviewed by Norwegian and international peers. If deemed competent, the applicant is entitled to be called professor and will receive a corresponding salary. UiS is committed to facilitate qualification of scientific employees for higher scientific positions. Permanent employees in scientific positions may apply for a sabbatical. This is an important way of ensuring a high professional/scientific level within education, research and communication. Sabbaticals are used for freeing up employees from teaching for up to two semesters and thereby give them uninterrupted time for research. Sabbaticals are announced and granted by the individual faculty and museum. Permanent employees in combined teaching and research positions must document basic pedagogical skills or complete courses that give such competence. All new employees who will be carrying out teaching must participate in a colleague based guidance programme in their first year of employment. Strengthening the quality of teaching, including introduction of new teaching methods, is a strategic focus area that will be followed up with competence development measures for scientific employees. The university leaders are important contributors in employee development and achievement of results. Management development is therefore a prioritised personnel policy measure. UiS has its own a management platform that specifies what we mean by good management and employee responsibility. UiS offers research training that leads up to a PhD degree. The purpose of the PhD programme is to educate independent researchers at international level in cooperation with national and international research environments. The university’s research training aims to meet current and future needs for high competence in academia and society. Research training consists of active research work under supervision and includes planning and implementation of an individual PhD project that will result in a thesis, as well as a minor course part. The faculties are responsible for the PhD education within their subjects, and they have the technical and administrative responsibility for their own PhD programmes. Quality in research training is based on selecting the best candidates and providing good supervision and follow-up in the fellowship period. Concern notifications and deviations must be addressed, and high quality should characterise the doctoral courses, assessment and disputations. UiS will develop and strengthen the quality in all stages of the PhD course. Strengthening the supervisor role and ensuring that all supervisors receive the necessary training will be a priority. Candidates carrying out research training at UiS are mainly employed as fellows at the university. Research training is a three year programme, but many fellows are offered compulsory duties for one year to obtain varied and relevant experience for a future academic career. Salary and working conditions are relatively good in an international context, and they are entitled to social security benefits in line with other public employees in Norway.
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Action points:
Person responsible:
All employees should be encouraged to develop their competence. Department and centre managers should be able to exercise active personnel management for all employees, including research fellows, cf. pt. 36. Ensure the quality of developmental reviews as a tool in work on employee development, cf. pt. 36. Employees in recruitment positions at UiS should receive good and regular professional supervision in their competence development. Stipulate clear expectations for the supervisor role and ensure that all supervisors complete the necessary training, cf. pt. 36.
HR director
Target dates: ongoing
HR director
End 2018
FIA-director
End 2017
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Conclusions The action plan has been conducted by the same multidisciplinary team working with the GAP analysis, composed by members from the HR department (HR), The Research and Innovation department (FIA) and The Education Unit / International office (UA). The team has worked closely with different members of the academic staff, vice rector and other members of the governing body at UiS. The goal has been to reveal UiS’s weaknesses, UiS's practice today and to find a best practice. The same members have also worked on an International Plan for Mobility. Conclusions from the gap analysis are a foundation for establishing best practice for incoming and outgoing researchers and for identifying actions. In the review of the Gap analysis, concrete challenges have been turned into actions, based on objectives and strategic guidelines embodied in the University Strategy 2009-2020 in the areas of: • Education and learning environment • Research and Innovation • Dissemination and communication • Organisation and resources • Strategic alliances and internationalisation Emphasis is placed on developing an action-oriented plan with specific actions that can be complied with, measured and according to UiS obligations by having signed the Charter for Researchers and adopted the Code of Conduct for Recruitment. This action plan will be the key document to start the necessary internal processes and thereby reach the set targets, according to the estimated deadlines set in this document.
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