Application for acknowledgement of Excellence in Research, incorporating the Principles of The European Charter of Researchers and The Code of Conduct for the Recruitment of Researchers INTERNAL GAP ANALYSIS AND ACTION PLAN (Q4 2016 Q4 2020) 1
1. INTRODUCTION ABOUT IREC The Catalonia Institute for Energy Research, IREC (Fundació Institut de Recerca en Energia de Catalunya), was funded in July 2008 and began its R+D activities in January 2009. IREC is located at Barcelona and Tarragona (Spain). After finishing the organization of the laboratories and infrastructures in 2011-2012, the Catalonia Institute for Energy Research was able to achieve consolidation in both European and industrial projects in 2013. Since 2011 IREC has built a stable team of valuable individuals who are committed to the scientific and technological growth of the centre, resulting in cutting-edge research and a constantly increasing flow of income. IREC s mission is to contribute to the sustainable development of society and to a greater industrial competitiveness, by generating science and building technology around energy related topics. IREC is developing its activities covering energy topics at short medium and long term including different aspects: Technological research and Technical development; which are focused on collaboration with Industry to create new products and new technical solutions, in the short and medium-term. Applied and technological research, which is aimed at generating knowledge within groups of the Institute, with a medium or long-term application in mind. IREC s position is defined by the balance and interaction between these two approaches. IREC collaborates with the Government, different Universities and the Industry, and this is reflected in the structure of its Board of Trustees. 2. HUMAN RESOURCES STRATEGY On June 12, 2012, the Catalonia Institute for Energy Research (IREC), signed its accession as a member to the AGAUR s Node of support to the Mobility of researchers. On July 22, 2016, the Catalonia Institute for Energy Research (IREC), signed the European Charter for Researchers (the Charter ) and the Code of Conduct for the recruitment of researchers (the Code ), thereby emphasising its commitment and determination to support the European Commission initiative, with a view to promote and improve the recruitment, the working the careers of researchers while contributing to the development of the European Research Area. 3. STRATEGY AND IMPLEMENTATION Following the recommendations of the European Commission, and in order to define its "human resources strategy for researchers "HRS4R", IREC is committed to follow the following steps with the aim of achieving the award HR Excellence in Research: 1. Institution s HR Policy Internal Analysis in relation to the Charter and Code principles. 2. Publication of the Strategy/Action Plan. 3. Communication of the European Commission approval and Excellence Logo concession. 4. Strategy Implementation and Self- evaluation (at least every two years). 5. External evaluation (at least every four years). Also, following the recommendations of the European Commission, an internal IREC Work Group (WG in this document) was formed in September 2016 to carry out the Internal Analysis (step 1 of the Strategy) in terms of assessing the compliance to autonomic, national and European legislation. This 2
internal working group was set up as a joint initiative from the Governing Body of the Institute, the Heads of R+D Groups, and the Workers Representatives. The objective was to define an action plan in an inclusive and open process with the participation of representatives from all categories of R+D. This WG finally was formed by: - the Chief Financial Officer, - the Head of, - a Senior Researcher from the Energy Efficiency: Systems, Buildings and Communities Area, - a PhD Research Support Technician from Advanced Materials for Energy, - a Project Engineer from the Energy Efficiency: Systems, Buildings and Communities Area, - a PhD Researcher from Advanced Materials for Energy, - a PhD Student from Advanced Materials for Energy. The Internal WG is working in close collaboration with IREC s managers of different Units, Services or R+D Groups. Prior to this analysis, an Assessment Survey aimed to the whole community of IREC s researchers was carried out to evaluate the current institutional procedures, concerning the 40 Principles of the Charter and the Code. The goal was to know the current state of IREC regarding the HRS4R principles and detect the strengths and weaknesses of our Institution. This Internal Analysis was based in the template proposed by the European Commission. See attached Annex 1 with data concerning the participation level, analysis of the answers given to the 40 questions about the principles including a graphical representation of the answers. After reading every principle from the Charter and Code, the researchers had to choose with an X one of the five options available, where Disagree showed that IREC is far from what is stated in the principle, and Agree showed that IREC is near or performs according to what is stated in the principle. Afterwards, the researchers were invited to make Comments or Suggestions where they considered it being necessary. All comments and suggestions were helpful to the subsequent analysis carried out by the WG. Each possibility available in every principle of the assessment survey, was allocated with a score: 1 to Disagree, 2 to Moderately disagree, 3 to Moderately agree, 4 to Fully agree, and 0 to the I do not know option. With the results from the 56 assessment surveys received (which accounts for a representative 60% of IREC s R+D community), the WG was able to analyse the average result for every principle assessed and accordingly concluded in which principles our Institute was evaluated more negatively, and hence, where the WG had and will have to put special attention and focus. Therefore, the analysis showed that most of the principles stated in the Charter and the Code have already been largely put into practice in IREC. The main conclusion from the analysis of the results is that IREC s score in every principle is above 2,5 points. Furthermore, only 2 of the principles were assessed under the 3 points which proves the agreement with the accomplishment of the principles. Nevertheless, their score was very near to the 3 ( 2,87 regarding the Stability and permanence of employment and 2,90 regarding the Career Development ). In spite of these positive results, the WG decided to focus in some more principles, in addition to the two worse assessed. Thus, the WG identified a number of aspects in which there is room for improvement and produced an Action Plan to reduce the detected gaps based on these criteria. Regarding the rest of the principles, they had been well assessed and general conclusion was that many actions had been implemented in the past and there already were plenty of working protocols and documents in force. 3
Regarding the rest of the principles, they had been well assessed. It was concluded that the main reason for this was that many actions were implemented in the past and that there are already plenty of working protocols and documents in force that cover some of the main issues stated in the Charter and the Code. 4. ACTION PLAN FOR THE HRS4R OBJECTIVES All the measures and improvements listed in the Action Plan will be set up and in progress throughout the years Q4 2016-Q4 2020 being our primary objective to have all of them completely implemented in 2020. As we understand the whole process of the application of the HR Strategy, IREC commits itself not only to act specifically to solve the aspects described in the Action Plan, in order to overcome the deficiencies that have been detected, but also to have in place the internal revision protocols necessary to guarantee that all these HR policies are effectively translated into best practices in the next 4 years (2016 2020). We expect to have these practices embedded in our daily-based tasks in a way that the WG may make the regular follow-up revisions and be prepared to succeed in when the self-assessment gathered in the Step 4 of the HR Strategy will be performed. The following strategic objectives were defined, including the identified key actions which will be addressed with the aim of guiding future improvements in the scope of the HRS4R at IREC: Continuous enhancement of the Recruiting & Hiring Life-Cycle, aiming to attract an increasing number of competitive and outstanding candidates for IREC research and PhD student positions, as well as to improve the hiring and joining experience of the selected candidates. Continuous enhancement of the Career Development Plan for IREC researchers, with the aim of offering the best opportunities for personal and growth and for boosting future careers both in the industrial and academic worlds. The WG will always take into account in its proposals, its monitoring and control that this particular objective is compelled to the availability of own resources of the Institute. Continuous enhancement of the yearly evaluation and appraisal process for researchers and PhD students, aiming to standardize templates and criteria and to schedule every step of the process, such that the researchers to know about the development of their career and to guide their next steps. Continuous enhancement of the Research Environment with the aim of providing the maximum level of health and safety in the workplace, and also providing the most supportive, respectful, equitable, inclusive, stable, competitive and stimulating environment. Thus, providing the best possible conditions for top world-renowned research. Ending and implementing policies and procedures, like the Gender Equality Plan or the Welcome Package and Manual for new hires. Ending the implementation of the workflow and the launch of international data repositories for scientific production and for the metadata support of the scientific papers. Continuous improvement of the procedures for access to international libraries of scientific papers. 4
5. WORK-PACKAGES OF THE ACTION PLAN AND WORKPLAN GOALS Dissemination Plan and access to international repositories CHARTER AND CODE PRINCIPLE COVERED BY THE ACTION aspects # 1, 2, 3, 5, 8, 9 social security # 28, 30, 31 MEASURES OF THE ACTION WHO? WHEN? - IREC has a policy to foster participation in national and international conferences and seminars for both senior and junior researchers, including pre and post-doctoral fellows. - IREC provides own resources to participate in some conferences and seminars. - IREC adopted a regulation on Intellectual and Industrial Property since 2010. Publications manager and General Manager Enhancement of the Welcome Plan aspects # 7, 8, 9 social security # 23, 24, 26, 28 - Gather different manuals now available, and launch an integrated plan for dissemination policy. - Promote open access publications and outreach with access to International repositories. - Implementation of access to repositories for our own scientific production and for the metadata support of the IREC s scientific papers. - Improvement of the procedures for access to international libraries of scientific papers. - IREC has a physical book with welcome information which is delivered to every new hiring. It gathers too few policies, manuals and other information about the Institute. - IREC offers information, advice and support to all foreign researcher or PhD student regarding administrative matters related to visas, accommodation and other issues. Manager and Laboratories Technicians or responsible per Research Line - Prepare a Welcome up-to-date and digital document available in the intranet and acknowledged during the joining process. - Within this Welcome Time devoted to every new researcher, improve their general knowledge of the Institute, about the mission, the R+D groups and their research lines, facilities and technological capacities, and finally main management rules or procedures. - Improve the hosting process for new hiring, analysing new possibilities available in the market with agencies devoted to host services and support to students and researchers who come to Catalonia. - Concrete persons to carry out the hosting process in our facilities will be designed in the hosting process. Those should be aware about all the information to be transferred to the new researchers/students. 5
Action Plan for the Equality Enhancement of the Recruitment Policy aspects # 10 Area II. Recruitment #12, 16, 17, 21 social security # 24, 26, 27, 28 Area II. Recruitment # 13, 14, 15, 16 social security # 22, 25, 28 - IREC produced a draft document for gender equality during 2016. - Ending and implementing the plan for gender equality, now in draft analysis. - Develop guideline document against work place sexual harassment. - IREC uses the public national, regional and international calls to recruit its pre and post-doctoral personnel. - IREC has a Talent Recruitment Policy in force since 2011, to ensure the openness and transparency of the appointment of new researchers, following the European Charter for Researchers and the Code of Conduct for the Recruitment of Researchers. - IREC fosters international mobility and exchange among its researchers, accordingly to the opportunities arisen from the international R+D projects and always subject to own resources availability. Manager and specific commission General Manager, Manager and Heads of Research Lines Launching Second - To enhance the Talent Recruitment Policy already in force to ensure that application, selection, communication, acceptance and hiring processes meet the requirements of the European calls for R+D projects, the European Charter for Researchers and the Code of Conduct for the Recruitment of Researchers. - To increase awareness on any new temporary or permanent call, promoting stability and continuity of the researcher at the Institute when possible. Selection process rules for candidate assessment will add criteria to prioritize candidates from inside the organization than external candidates, provided that same requirements and evaluation. Enhancement of the Pre- Doctoral Policy aspects # 11 Area II. Recruitment # 12, 14, 15, 16, 19 social security # 22, 24, 25, 26, 28, 30 Area IV. Training # 36, 38, 39, 40 - Policy for PhD students in force since 2010: Rules on Pre-doctoral positions. - Enhancement of the Pre-Doctoral Policy Rules on Predoctoral positions and research stays of Master students. - Improve the evaluation and appraisal system, fostering the career advice for PhD students, by scheduling yearly the PhD Students Day, in front of an internal assessment committee. Manager, Heads of Research Lines and Director Second 6
Enhancement of the Career Plan Area II. Recruitment # 13, 15, 16 social security # 22, 25, 26, 28, 30 - There is a Career Plan in force at IREC since 2012, which has been updated twice. - IREC s job offers are published on its web page, the web of R+D projects if available, and disseminated through international channels as Euraxess (such as organizations). Director, General Manager, Manager and Works Council Deepen in the health and safety policy in the laboratories Communication to researchers and PhD students of the package of policies and procedures regarding aspects # 7 social security # 23, 24 aspects Area II. Recruitment social security # 30 Area IV. Training - Enhancement of the Career Development Plan for researchers, with the aim of offering the best opportunities for personal and growth and for boosting future careers. - Enhancement of the yearly evaluation and appraisal process for researchers and PhD students, aiming to standardize templates and criteria and to schedule every step of the process. Evaluate the success in achieving IREC s goals in the assessment process for groups and researchers performance. - Social media will be introduced as a new channel to disseminate job vacancies. For instance Research Gate, LinkedIn, Twitter could be used. A protocol will be defined to stablish a protocol for dissemination through IREC s profile but also assessing the use of personal profiles of recruitment managers. - - IREC has a health and safety plan for occupational risks prevention, which covers evaluation of workplaces, health surveillance and emergency plan, plus all policies and protocols arising from them. - Training by the Laboratories Technicians within the incorporation of new researchers about good practices and management on the use of consumables, equipment, waste materials and safety in the laboratories and working areas. - Regarding human resources aspects, IREC has already implemented several policies, procedures, codes and manuals since 2010-2016. - Implement a Welcome Time the first day of every new joining to the organization, to improve the awareness about all rules, procedures, manuals in force. - Enhance the knowledge and access of all the policies, procedures, codes and rules available and in force in the organization, since the surveys showed unawareness about some internal policies and procedures already in force. Improve dissemination and publicity, and training when necessary, about policies, procedures, codes and rules in force. Laboratories Technicians Manager Second 7
1. Research freedom 2. Ethical principles 3. Professional responsibility 4. Professional attitude 5. Contractual and legal obligations 6. Accountability 7. Good practice in research 8. Dissemination, exploitation of results 9. Public engagement 10. Non discrimination 11. Evaluation/ appraisal systems 12. Recruitment 13. Recruitment (Code) 14. Selection (Code) 15. Transparency (Code) 16. Judging merit (Code) 17. Variations in the chronological order of 18. Recognition of mobility experience 19. Recognition of qualifications (Code) 20. Seniority (Code) 21. Postdoctoral appointments (Code) 22. Recognition of the profession 23. Research environment 24. Working conditions 25. Stability and permanence of 26. Funding and salaries 27. Gender balance 28. Career development 29. Value of mobility 30. Access to career advice 31. Intellectual Property Rights 32. Co-authorship 33. Teaching 34. Complains/ appeals 35. Participation in decision-making bodies 36. Relation with supervisors 37. Supervision and managerial duties 38. Continuing Professional Development 39. Access to research training and 40. Supervision Average punctuation ANNEX 1.- SUMMARY OF THE ASSESSMENT SURVEY RESULTS Data concerning the participation level (sample of 56 researchers), analysis of the answers given to the 40 questions about the principles with a graphical representation of the answers. 4,00 4 Fully agree 3,50 3,00 3 Moderately agree 2,50 2,00 2 Moderately disagree 1,50 1,00 1 Disagree 40 Principles of the Charter and Code The analysis showed that most of the principles put forward in the Charter and the Code have already been largely put into practice within the IREC. The analysis of the results showed that IREC scored over the 2,5 points in all the principles evaluated. Only 2 of the principles were assessed under the 3 points, which show the agreement with the accomplishment of the principles, with a punctuation close to the 3 points ( 2,87 regarding the Stability and permanence of employment and 2,90 regarding the Career Development ). Following we may see the foreseen calendar of the process: Dissemination Plan and access to international repositories Enhancement of the Welcome Plan Action Plan for the Equality Enhancement of the Recruitment Policy Enhancement of the Pre-Doctoral Policy Enhancement of the Career Plan Deepen in the health and safety policy in the laboratories Communication of the package of policies and procedures regarding HR 1st Semester 2nd Semester 1st Semester 2nd Semester 8