Presentation given at the Berlin Workshop of the project IREER – Industrial Relations for EU Excellence in Research Sectors which took place on 15-16 May 2012. For more details on the IREER project, please see http://ec.europa.eu/employment_social/defis/publigrant/public/publications/127/frame.

1. Research and
Innovation
Charter & Code,
the Human Resources Strategy for
Researchers
and related EU policy initiatives
Dr. Dagmar Meyer
European Commission
DG Research and Innovation
IREER Workshop
Berlin, 15-16 May 2012

2. Overview
• From the Careers Communication to the
Charter & Code and the European Partnership for
Researchers
• The Human Resources Strategy for Researchers
• State of play
• Europe 2020, 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. 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’

7. 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)

8. 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)

9. 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

10. 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
• 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

11. 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
• First endorsement from country outside EU
MS/AC (Tomsk Polytechnic University, Russia)
• But still some Member States and Associated
Countries without any endorsements…

12. HRS4R – state of play
• “Institutional HR Strategy Group” set up in
2009, 3 cohorts operational so far
• 4th
cohort to be launched shortly
• 150 members: universities, research
institutions, funding bodies,…
• Various multipliers and stakeholder
representatives as observers
• 84 logos awarded so far (including 50 (!!) UK
institutions)
• NB: HR Strategy process not restricted to
members of HR Strategy Group

13. Europe 2020 and Innovation Union
• COM Communication (2010) “Europe 2020 - A
strategy for smart, sustainable and inclusive
growth”
 Big Societal Challenges - Climate, Energy, Health,
Security, Resource Efficiency…
 7 Flagship Initiatives: Innovation Union, Agenda for New
Skills and Jobs, Digital Agenda, Youth on the Move, etc.
• COM Communication (2010) “Europe 2020
Flagship Initiative - Innovation Union”
 Innovation overarching policy objective
 Main obstacles: unfavorable framework conditions &
fragmentation of effort

14. Innovation Union Commitments
• #4: Completing the ERA: In 2012, COM will propose an
ERA framework and supporting measures to remove
obstacles to mobility and cross-border
cooperation (to be in force by end 2014), 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.

15. European Research Area Framework
• Article 182(5) TFEU entitles the Union to adopt all
measures that it deems necessary to achieve the
ERA.
• 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).
• Communication in June 2012, proposing a basket of
concrete measures
• Close cooperation with stakeholder organisations
and Member States

16. 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

17. 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

18. More information:
Visit the EURAXESS portal,
section “Rights”, at
http://ec.europa.eu/euraxess/rights
or contact us at
RTD-CHARTER@ec.europa.eu