BULGARIAN ACADEMY OF SCIENCES INSTITUTE OF MECHANICS

Transcription

1 BULGARIAN ACADEMY OF SCIENCES INSTITUTE OF MECHANICS Sofia 1113, Acad. G. Bonchev, Str., Bl. 4, Phone: , FAX: , director@imbm.bas.bg Strategy for Researchers Working group: Assoc. Prof. Rumen Krastev, (Coordinator and Contact Person for Human Resources Strategy for Researchers); Prof. Nikolay Vitanov (Deputy Director of IMech-BAS); Assoc. Prof. Svetoslav Nikolov (Chairman of the Academic Ethics Commission at IMech-BAS); Mrs. Vera Boyadjieva (Head of Human Resources Dept.); Mrs. Lyudmila Vesselinova (Chief Accounting Officer of IMech-BAS) and Assoc. Prof. Emilia Abadjieva (Researcher) Introduction The Institute of Mechanics is part of the Bulgarian Academy of Sciences (IMech-BAS), where researchers perform fundamental and applied research in mechanics and treat and solve problems posed by industry and society [1]. The IMech employees are 137 persons by the end of 2014 comprising 97 researchers and 40 members of technical and auxiliary personnel [2]. The IMech researchers published 139 papers in 2014, including 67 of them in journals with Impact factor and/or SJR ranking [2]. In March 2015 The European Commission adopted a European Charter for Researchers and a Code of Conduct for the Recruitment of Researchers, [3]. The European Charter for Researches is addressed to researchers as well as to employers and funders in both the public and private sectors. These are the key elements in the European Union's policy to make research an attractive career, which is a vital feature of its strategy to stimulate economic and employment growth... The European Charter for Researchers addresses the roles, responsibilities and entitlements of researchers and their employers or funding organisations. It aims at ensuring the relationship between these parties and contributes to successful generation, transfer and sharing of knowledge, and career development of researchers. The Code of Conduct for the Recruitment of Researchers aims to improve recruitment, to make selection procedures fairer and more transparent and proposes different means of judging merit: Merit should not just be measured on the number of publications but on a wider range of evaluation criteria, such as teaching, supervision, teamwork, knowledge transfer, management and public awareness activities. Note that useful information on these issues can be found in [4]. In the summer of 2014 the Managing Board of BAS undertook an initiative to popularize those principles among the institutes. The development of a Human Resource Strategy for Researchers" is an important step in support of research institutions and funding organisations to implement the Charter & Code principles in their policies and practices. The related EC award "HR Excellence in Research" would identify IMech as providing and supporting a stimulating and favourable working environment. Being eventually awarded, the IMech-BAS may add the "HR Excellence in Research" icon to its logo using it to highlight its commitment of implementing fair and transparent recruitment and evaluation/appraisal procedures for researchers, [4]. 1

2 Methodology Having discussed the necessity and advantages of the initiative, the IMech Governing body addressed the EC in 2014 with its approval of the Chapter & Code principles and an engagement to adopt a procedure of their implementation, [5]. The procedure comprises the following steps, [4]: 1. Internal gap analysis performed within the institute involving all key participants and juxtaposing the existing IMech policies and practices to the Charter & Code principles; 2. Development of an original IMech strategy based on the results of the analysis, including a specific action plan. Official publication of the document in Bulgarian and English. 3. Uploading the document to the IMech website. Approaching the EC with a request for its consideration and recognition. As said above, upon approval IMech-BAS may add the HR Excellence in Research icon to its logo. 4. Self-assessment in two years time of the progress of strategy and action plan implementation; 5. Performance of an external audit once in every four years. Results A 6-member working group (WGCC) was formed in the IMech in December 2015 with a task to carry out work following those steps necessary to align the professional behavior of the institute and its employees with the principles of the Charter & Code. To summarize the results of the internal analysis and those of the implementation of the strategy for researchers, the WGCC adopted a specific form containing an introductory explanatory part and a 4-column table with all 40 principles of the Charter & Code. The first column contains the external legislation, which treats or blocks the implementation of the respective principle. The second one sets forth the IMech rules and practices following that principle. Note the brief formulation of the principles, rules and practices. The third column outlines the actions taken and forthcoming, while the forth one by whom and when. The last two columns present our action plan. Hence, an internal analysis of the conformity between IMech operation and the Charter & Code principles was performed and a two-question enquiry was spread among researchers. The questions were Do you approve the current principle? and To what extent is the principle observed in IMech-BAS?. The individual answers were graded as follows: 5- Yes, definitely; 4- Yes, more or less; 3- abstain; 2- No, more or less; 1- No, definitely. The mean grades are given in the table below- in the field where the principle is formulated. All Charter&Code principles were highly approved by the participants, where the grade of Principle 11 is 4.3 while that of the other ones is 4.5 or higher. Grades of the second questions vary within wide ranges. The lowest grade (2.7) is that of Principle 26 (Funding and salaries), i.e. participants considered its observation to be incomplete. There is a group of principles ( 3, 8, 9, 11, 14, 16, 22, 23, 25, 28 и 31), with grades ranging between 3 and 3.9, i.e. the principles have been satisfactorily observed but there is more to be done. The standard deviation of that group is about 1.1. The largest group of principles ( 2, 4, 5, 6, 7, 10, 12, 15, 18, 19, 20, 24, 27, 29, 30, 33, 34, 37, 39 и 40) is specific with grades between 4 and 4.4, i.e. those principles are observed but improvement is possible. The grades of the last group (principles 1, 13, 17, 21, 32, 35, 36 и 38) are 4.5 or higher, i.e. the principles are completely observed. The standard deviation of the grades is about 0.7 for this group. The Internal Analysis and the Strategy for Researchers were discussed and approved at a meeting of WGCC held on December The Strategy for Researchers was discussed and approved at a meeting of the SC of IMech-BAS held on January

3 Conclusion based on the results of the internal analysis of the IMech-BAS conformity The analysis performed proves that measures mainly concerning Principle 26 should be taken and incorporated in the IMech Strategy for Researchers. This also concerns principles with grades of the second question lower than 4.0. Participants find the IMech-BAS practices to be in fairly good conformity with the other principles of the Charter & Code, and the respective activities should proceed accordingly. Yet, any perfection is always welcome. References [1] Statute of IMech-BAS since January [2] IMech-BAS report for [3] Enhancing the HR strategies for researchers: the European strategy. Information note, EC, 2013 (available at EURAXESS Rights site, [4] EURAXESS Rights site, [5] Declaration of commitment by IMech-BAS approving the Charter & Code principles, 3

4 Abbreviations AEC Academic Ethics Commission BAS Bulgarian Academy of Sciences BM-BAS Board of managers-bas C&C European Charter for Researchers and a Code of Conduct for the Recruitment of Researchers ECR-IMech Ethical code of researchers-imech ECE-BAS Ethical code of employees- BAS ERACM-BAS Election regulations for academicians and corresponding members -BAS GAS General assembly of scientists HR Human resources IMech Institute of Mechanics LACD-RB Law of academic career development in Republic of Bulgaria Law of BAS LC Labor code - Republic of Bulgaria LCR&RR Law of copyright and related rights LDR-IMech Labor discipline regulations in IMech LPUI Law of patents for useful inventions LRS Law of research stimulation LTM&T Law of trademarks and toponymy NRS National research strategy PI-APA Package of instructions for academic post application RE-LCDAS-RB Regulations concerning enforcement of the Law of academic career development in Republic of Bulgaria RGPUIP-BAS Regulations concerning the registration, protection and use of the intellectual property in BAS Statute of BAS SC Scientific council SRD Specialized research department RID-IMech Regulations concerning the internal discipline - IMech ROAID-IMech Regulations concerning the organization, activities and internal discipline IMech RRO-GSD-HAP-BAS Regulations concerning the requirements and order of getting scientific degrees and holding academic posts - BAS RRO-GSD-HAP-IMech Regulations concerning the requirements and order of getting scientific degrees and holding academic posts - IMech WGCC Working Group for carrying out the work needed for the alignment of the professional behavior of IMech and its employees with the principles of C&C 4

5 Action plan I. Ethical and professional aspects 1. Research freedom Grades: Question 1-4.9; Question Legislation (admitting or obstructing the principle) Law of research stimulation (LRS) Law of BAS () Law of copyright and related rights (LCR&RR) Law of patents for useful inventions (LPUI) Law of trademarks and toponymy (LTM&T) Statute of BAS () RGPY Regulations concerning the registration, protection and use of the intellectual property in BAS (RGPUIP-BAS) 2 Existing regulations (statute, regulations etc.) and/or practices at an institutional level Regulations concerning the organization, activities and internal discipline IMech (ROAID-IMech) Regulations concerning the internal discipline IMech (RID-IMech) Ethical code of researchers- IMech (EC-IMech) 3 Actions which are or should be taken Performing an internal analysis of the conformity between those principles and the regulations and practices of IMech Development of strategy for researchers Development of ethical code of IMech Complete actualization of RID-IMech 4 By whom? (When?) (Current state) o WGCC ( ) (Completed, ) o WGCC ( ) o Academic ethics commission (AEC) o GAS ( ) (Elaborated and approved by GAS, ) o Scientific council (SC), ( ) 5

6 2. Ethical principles Grades: Question 1-4.9; Question Regulations Current actualization of o AEC concerning the internal ECR-IMech (if necessary) o GAS discipline in IMech Ethical code of employees- BAS (RID-IMech) (If necessary) (ECE-BAS) Ethical code of researchers-imech (ECR-IMech) 3. Professional responsibility Grades: Question 1-4.7; Question EC-IMech Responsible conduct of research: RID-IMech - Work on novel but useful tasks, - Without useless repetition and plagiarism, - Competent planning and performance; Labor code of Republic of Bulgaria (LC) Law of research stimulation (LRS) National research strategy (NRS) LCR&RR LPUI LTM&T RGPUIP-BAS AEC (Treating cases of violation of the ethical principles and offering appropriate measures to be taken) Ethics commission control of researchers ethical behavior. o Researchers, o Project coordinators, o Heads of departments (Current) o AEC (If necessary) 6

7 4. Professional attitude Grades: Question 1-4.9; Question Fund Scientific research at the Ministry of Education and Science of Republic of Bulgaria NRS LC LRS Regulations of granting funds in compliance with account Development fund - co-financing and turnover for projects of BAS independent units. ROAID-IMech Doing research in conformity with regulations and laws; Exploitation of respective research equipment; The work is to be done in conformity with the time schedule of the approved internal and external contracts. Researchers should duly inform employers, funders or supervisors when the project is delayed, redefined, completed or terminated earlier/suspended. o Heads of departments, o Researchers (Current) o Researchers (If necessary) o Project coordinators (Current) 5. Contractual and legal obligations Grades: Question 1-4.9; Question LC LACD-RB Law of higher education LCR&RR LPUI LTM&T ROAID-IMech RID-IMech Regulations concerning the requirements and order of getting scientific degrees and holding academic posts - IMech (RRO-GSD-HAP-IMech) Researchers at all levels should be familiar with the national, sectoral or institutional regulations governing training and/or working conditions. o Director, o HR officer (If necessary) 7

8 Election regulations for academicians and corresponding members -BAS (ERACM-BAS) Regulations concerning the requirements and order of getting scientific degrees and holding academic posts in BAS (RRO-GSD-HAP-BAS) Package of instructions for academic post application (PI-APA) IMech Internet site Recruitment contractspecification of the main laws and regulations to be observed by the employee. IMech Internet site- availability and actualization of national laws, research trends and local regulations treating education and work. o Director, o HR officer o Scientific secretary o Internet site administrator (If necessary) Actualization of ROAID-IMech and RID-IMech regarding the rights and obligations of employees. o IMech governing body 6. Accountability Grades: Question 1-4.9; Question Law of financial control and control of the public sector Department s planning forms and reports on the execution of internal projects (funded by the IMech budget). Following the established practices (preparation of annual report and evaluation/appraisal forms) o Researchers (Repeatedly) Current record (protocols, reports etc.) of the work done and results obtained; keeping copies to be used in the preparation of current or final reports. o Project coordinators, o Researchers (Regularly) 8

9 Execution of external projectsreports preparation and timely submission. o Project coordinators (In due time) Grades: Question 1-4.9; Question Good practices in research RID-IMech Use of appropriate equipment LC Occupational safety and health law o Researchers, o Project coordinators Keeping confidentiality (of reviews etc.) o Researchers, o Project coordinators 8. Dissemination, exploitation of results Grades: Question 1-4.9; Question LCR&RR LPUI LTM&T RGPUIP-BAS Regulations concerning BAS publication practice Reports at seminars Reports at conferences Publications in scientific journals Publication of books Patenting 9 Planning and execution of potentially useful research tasks Results description, dissemination and exploitation o Project coordinators o Senior researchers (For task planning) o Project coordinators, o Senior researchers (In the course of task

10 Council of experts on BAS publication policy at BAS Governing Board. Joint work with researchers from other organizations Recruitment contracts should set forth regulations of results description and reporting. execution) o Director, o HR officer (Regarding each contract) 9. Public engagement Grades: Question 1-4.9; Question Annual report on general BAS activities and on the activities of BAS institutes BAS annual activities should be reported on the BAS Internet site. BAS participation in the initiative European Researchers Night. Publication of IMech information on its Internet site. Open doors day-once a year. Regular actualization of the IMech Internet site. Participation in the European Researchers Night (ERN) and organization of an Open doors day (ODD). Public contributions (publications in popular sites, interviews etc.) popularizing the tasks executed. o Heads of departments, o Project coordinators, o Internet site administrator. (Upon submission of new information) o Director (Once a year at ERN and on ODD). o Project and task coordinators (Whenever possible) 10

11 10. Non discrimination Grades: Question 1-5.0; Question Anti-discrimination act EC-IMech Employers and/or funders of o Director, researchers will not o Scientific council, Ethical commission discriminate against o HR officer, researchers in any way on o Heads of departments the basis of gender, age, (Taking personal decisions) ethnic, national or social origin, religion or belief, sexual orientation, language, disability, political opinion, social or economic condition. 11. Evaluation/appraisal systems Grades: Question 1-4.3; Question LRS LACD-RB Regulations issued by the Ministry of education and sciences concerning evaluation/appraisal procedures. National agency for evaluation and accreditation (NAEA) IMech evaluation/appraisal criteria and regulations Evaluation/appraisal commission Commission of appeal Periodical evaluation/appraisal of employees o Evaluation/appraisal commission, o Director, o Commission of appeal (In compliance with the evaluation/appraisal criteria and regulations ) (Running) 11

12 II. Recruitment 12. Recruitment Grades: Question 1-4.9; Question ROAID-IMech Clearly formulated public conditions of - recruitment of young RRO-GSD-HAP researchers IMech - recruitment of experienced researchers. LC LACD-RB Regulations concerning enforcement of the Law of academic career development in Republic of Bulgaria (RLACD- RB) ERACM-BAS RRO-GSD-HAP-BAS PI-APA o Scientific council, o Heads of departments, o Chief accounting officer, o Project managers (For each appointment) 13. Recruitment (conforming to Code) Grades: Question 1-5.0; Question ROAID-IMech Open recruitment procedures with a detailed description of RRO-GSD-HAP applicant s knowledge and skills IMech needed, as well as perspectives of career development. LC LACD-RB RLCDAS-RB ERACM-BAS RRO-GSD-HAP-BAS PI-APA o Heads of departments o Project managers (For each appointment) 12

13 14. Selection (conforming to Code) Grades: Question 1-4.6; Question RRO-GSD-HAP - Competence of scientific IMech evaluation committees LACD-RB ERACM-BAS RRO-GSD-HAP -BAS o Heads of departments, o Scientific council (For each vote) 15. Transparency (conforming to Code) Grades: Question 1-4.9; Question ERACM-BAS RRO-GSD-HAP IMech Improving transparency by o Heads of departments, RRO-GSD-HAP -BAS announcing vacancies on o HR officer The Internet site of external Internet sites, for (Declaring a vacancy) IMech instance Informing the applicants about their weak and strong points when the procedure is concluded. o Chair of the respective scientific evaluation committee, o Director (When the procedure is concluded) 13

14 16. Judging merit (conforming to Code) Grades: Question 1-4.5; Question LACD-RB ERACM-BAS RRO-GSD-HAP -BAS RRO-GSD-HAP -IMech PI-APA The application documents comprise applicant s claims on achievements not related to previous successfully passed election as well as other information confirming his/her research skills Complex evaluation of applicant s skills o Related scientific evaluation committees (During evaluation) 17. Variations in the chronological order or CVs (conforming to Code) Grades: Question 1-4.7; Question LACD-RB ERACM-BAS RRO-GSD-HAP -BAS RRO-GSD-HAP -IMech PI-APA The documents comprise applicant s claims on achievements not related to previously approved application as well as other information confirming his/her research skills Evaluation of applicant s achievements and other skills by the scientific evaluation committees o Scientific evaluation committees (During evaluation) 14

15 18. Recognition of mobility experience (conforming to Code) Grades: Question 1-4.5; Question LACD-RB ERACM-BAS RRO-GSD-HAP -BAS RRO-GSD-HAP -IMech PI-APA The documents comprise applicant s claims on achievements not related to previously approved application as well as other information confirming his/her research skills Evaluation of applicant s experience gained during his/her stay at other local or foreign institutions, even experience gained in another scientific area o Scientific evaluation committees (During evaluation) 19. Recognition of qualifications (conforming to Code) Grades: Question 1-4.9; Question LACD-RB, ERACM-BAS RRO-GSD-HAP -BAS Conforming to RRO-GSD- HAP -IMech, a researcher may move to the IMech, occupying an academic post equivalent to that occupied by him at another research institution upon approval by the IMech Scientific council (SC), which appoints a three-member commission to evaluate applicant s skills. Consideration of recruitment regulations and procedures recognizing applicant s qualification. o Scientific council (By June.2017) 15

16 20. Seniority (Code) Grades: Question 1-5.0; Question LACD-RB ERACM-BAS RRO-GSD-HAP -BAS RRO-GSD-HAP -IMech The levels of qualifications required should be in line with the needs of the position and not be set as a barrier to entry. o Heads of departments, o Scientific council (When requirements concerning the occupation of an academic post are formulated) 21. Postdoctoral appointments (pursuant to Code) Grades: Question 1-5.0; Question LACD-RB ERACM-BAS RRO-GSD-HAP -BAS RRO-GSD-HAP -IMech sets forth the specific additional requirements for occupying a research fellow or higher vacancy. See notes to No 12 and No 13. Observation of procedures for application and employment pursuant to RRO-GSD-HAP - IMech o Scientific election committees o other. Pursuant to RRO-GSD-HAP IMech. (If necessary and possible) (In effect) 16

17 III. Working conditions and social security provisions 22. Recognition of the profession Grades: Question ; Question ROAID-IMech RID-IMech Fair treatment of researchers EC-IMech LC, LACD-RB, ERACM-BAS RRO-GSD-HAP -BAS ECE-BAS. o Director, o Administrative personnel, o Service personnel, o Researchers (repeatedly) 23. Research environment Grades: Question ; Question LC LRS RID-IMech Environment stimulating o Director, research o Scientific council, o Heads of departments (repeatedly) 17

18 24. Working conditions Grades: Question ; Question LC Providing flexible working conditions (part time working, leave etc.) o Director, o Head of departments o HR officer (repeatedly) 25. Stability and permanence of employment Grades: Question ; Question RRO-GSD-HAP-IMech Scientific council LC LACD-RB RE-LCDAS-RB,, RRO-GSD-HAP-BAS As far as possible, the policy of permanent or temporary employment should be in conformity with the principles and conditions of the EC Directive 1999/70/ЕО. o Director, o Heads of departments o HR officer (specifying recruitment conditions) 18

19 26. Funding and salaries Grades: Question ; Question LC Internal regulations of Fair and attractive (as far as o Chief accounting officer salaries formation possible) financial and social o Director, working conditions. o Scientific council o HR officer (repeatedly) 27. Gender balance Grades: Question ; Question law Anti-discrimination EC-IMech Equal opportunities for o Heads of departments women and men yet o Scientific election depending on applicant s committees, individual competence and o Scientific council skills. (for each application) 19

20 28. Career development Grades: Question ; Question LC RRO-GSD-HAP -IMech Preparation of a strategy for o HR officer, career development of IMech o Scientific council researchers. o Heads of departments (by June 2016, and then once in two years). 29. Value of mobility Grades: Question ; Question National strategy for scientific research 2020 IMech should recognize the value of geographical, inter-sectoral and interdisciplinary mobility as well as mobility between the private and public sector. This can be an important means of enhancing scientific knowledge and researchers career within the frames of the European strategy for smart, sustainable and inclusive growth. o HR officer, (by June.2016) 20

21 30. Access to career advice Grades: Question ; Question Consultations provided by the HR office. Career advice and job placement assistance. o HR office (upon request) (running) 31. Intellectual property rights Grades: Question ; Question BAS ROAID-IMech IMech policy concerning (Par. 3 Sub-par. 4; Subpar.10 Sub-sub-par. 1, 17.; intellectual property rights Par. 15 Sub-par. 2, 5, 6) LCR&RR LPUI LTM&T RGPUIP-BAS Editorial regulations- Scientific council Director o Scientific council o Director (on specific occasions) (running) 21

22 32. Co-authorship Grades: Question ; Question LCR&RR EC-IMechИМех Co-authorship between young and o Project coordinators, experienced scientists should be o Researchers viewed positively by the IMech (during research planning administration in the evaluation and results reporting) process. Providing possibilities for young authors to publish their own results independently. 33. Teaching LC Grades: Question ; Question IMech criteria and regulations for staff evaluation/appraisal Teaching is not researchers basic activity within IMech. Teaching and PhD students supervisions should be taken into account in the evaluation/appraisal systems. Evaluation/Appraisal o Director, o Evaluation/Appraisal commission, o Researchers (periodically-once in 1-3 years) (running) 22

23 34. Complaints/appeals Grades: Question ; Question LC EC-IMech Violations of the academic o Academic ethics Academic ethics ethics principles are considered commission commission (AEC), by the AEC-IMech. (upon complaint submission) Regulations concerning Contests of the AC decisions are the AEC activities (a currently operating considered by the Commission Commissions of appeals commission) considers appeals contesting of appeals. o Commission of appeals the evaluation/appraisal (upon appeal submission) commission decisions. (upon evaluation/appraisal decisions) 35. Participation in decision- making bodies Grades: Question ; Question ROAID-IMech General assembly of scientists (Researchers) (GAS) Scientific council (SC) Director. IMech members of the BAS General assembly. Heads of departments The General assembly of scientists (researchers) is the IMech governing body, electing Scientific council and members of the BAS General assembly. The Scientific council elects heads of departments, nominated by department members. o Researchers (upon elections etc.) (running) 23

24 IV. Teaching 36. Relations with supervisors Grades: Question ; Question EC of BAS employees ROAID-IMech RRO-GSD-HAP -IMech EC-IMech Structured and regular relationship between PhD students and their supervisors, as well as keeping records of the work progress and research findings; obtaining feedback via seminars and records and working in accordance with schedules, deliverables and/or research outputs. o PhD students supervisors o PhD students o Heads of departments (during PhD thesis preparation) 37. Supervision and managerial duties Grades: Question ; Question EC-IMech Senior researchers should devote particular attention to their role as supervisors, mentors, career advisors of early staged researchers etc., in order to set the conditions for efficient transfer of knowledge and for further successful development of researcher s career. Ethical code of BAS employees o Project coordinators o Researchers (during work on a project) 24

25 38. Continuing professional development Grades: Question ; Question Labor code National Congress on Theoretical and Applied Mechanics General IMech seminar Librariy Internet access. Researchers should seek continuous improvement by regularly updating and expanding their skills. They should report at seminars, conferences, workshops etc. and should publish their results in journals and conference proceedings. o Researchers (repeatedly) 39. Access to research training and continuous development Grades: Question ; Question Labor code Law of research stimulation National strategy for scientific research Fund Scientific Research BAS Center of Education National Congress on Theoretical and Applied Mechanics General IMech seminar Librariy Internet access. Employers should provide access to measures of researchers continuous career development. (teaching courses, seminars, conferences, scientific publications etc.) o Scientific council, o Heads of departments, o Supervisors of PhD students (periodically) 25

26 40. Supervision Grades: Question ; Question Statute of BAS ROAID-IMech RID-IMech EC-IMech Heads of departments Supervisors of PhD students Consultations for PhD students Employers should ensure that a person is clearly identified to whom early-stage researcher can refer for the performance of their professional duties. o Heads of departments o Supervisors of PhD students (to each young researcher) 26