Appreciation and Support for Researchers

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1 Appreciation and Support for Researchers ACTION PLAN Human Resources Strategy for Researchers (HRS4R) Project Endorsed on 7 May 2013 Kalervo Väänänen Rector

2 Contents Introduction... 3 Background and Starting Point... 3 About the University of Turku... 4 Commitment to Continuous Development in the HRS4R Project... 5 A Participative Process... 5 Action Plan Main Areas of Development... 8 I ETHICAL AND PROFESSIONAL ASPECTS II RECRUITMENT III WORKING CONDITIONS AND SOCIAL SECURITY IV TRAINING... 18

3 Introduction Background and Starting Point The European Charter for Researchers and the Code of Conduct for the Recruitment of Researchers (Charter & Code) provide recommendations and good practice guidelines for the employment and recruitment of researchers. The Finnish Council of University Rectors endorsed the Charter & Code in 2009, speaking on behalf of its member Universities Letter of Endorsement/ Finland/The Finnish Council of University Rectors. The Human Resources Strategy for Researchers (HRS4R) project is designed by the European Commission to facilitate the implementation of the Charter & Code. As a token of made progress and commitment to continuous development, the European Commission awards the HR Excellence in Research logo. In 2012, the University of Turku joined the 3 rd cohort of the project, as one of the first 4 universities from Finland. The implementation process leading to the award involves conducting an internal Gap Analysis of how the university is performing against the four areas outlined in the Charter & Code: Ethical and Professional Aspects Recruitment Working Conditions & Social Security Training Once the analysis is complete and the gaps are identified, the university develops an Action Plan, consisting of the concrete actions the university is committed to take in the next two years. The Action Plan is submitted to the European Commission (EC) and published on the university website. Following a successful evaluation of the process and the resulting plan, the EC will approve the use of the HR Excellence in Research logo. The Action Plan is implemented and a follow-up is conducted as self-assessment in two years. An external evaluation will occur every four years. The Finnish Ministry of Education and Culture follows closely and supports the work and cooperation of Finnish universities in the implementation process. The starting point in Finland was rewarding, as most of the issues included in the Charter & Code guidelines are already implemented in the Finnish legislation and in the policies and practices of Finnish universities. In the context of continuous development, there is constantly room for further improvement. Human Resources Strategy for Researchers (HRS4R) Project Action Plan Introduction 3

4 About the University of Turku The University of Turku (UTU) is an international research university and a leading, trendsetting provider and developer of higher education in Finland. It is a diverse university community of more than students and employees. The University is part of the international academic community and works in collaboration with society. After the merger of the University of Turku and the Turku School of Economics, the new UTU started operations in the beginning of With the resources and expertise of these two universities combined, business knowledge can now be closely integrated to education and research. UTU is located in the city of Turku, southwestern Finland. Turku is an active hub of business and education (pop ). The university campus is in the historical city centre by the river Aurajoki, close to the city s other higher education institutions, the Turku Science Park and the Turku University Hospital. Key data Total number of students 20000, of which 1800 doctoral candidates Yearly over 1800 visiting students from over 85 countries Bachelor s and Master s degrees per year 2900 Doctoral degrees per year 180 Employees 3300 Publications 4700, international referee articles 2400 Turku was the capital of Finland until 1812, and the first university in Finland, the Academy of Turku (Academia Aboensis), was founded in the city in The University of Turku was founded in It was the first Finnish-language university in Finland and established with nationwide donations as a Gift from a Free People to Free Science. The University of Turku will cherish this unique legacy in the future as well. Human Resources Strategy for Researchers (HRS4R) Project Action Plan Introduction 4

5 Commitment to Continuous Development in the HRS4R Project Although most of the 40 recommendations included in the Charter & Code are already to a large extent implemented in the Finnish legislation and in the guidelines and processes of UTU, further advancement of these principles is also fully in line with the on-going development plans of the university. In its Strategy for , UTU is committed to actions aimed at offering a predictable and attractive career for researchers and at taking internationality increasingly into account in all its activities. By joining the 3rd cohort of the HRS4R implementation project in 2012, UTU expressed and underlined its intention to align its strategic aims with the transnational initiative of the European Commission to improve the conditions for researchers and to enhance the quality of research and innovation in Europe. Letter of Endorsement/Finland/University of Turku. The commitment of UTU to implement Charter & Code is included in the UTU Strategy for and in the UTU Human Resources Policy, issued in Feb and March 201 A Participative Process For the 3 rd cohort, introduction into the HRS4R process took place in the Mutual Learning Seminar (MLS) in Barcelona on Jan 2012, where the previous cohorts shared their experiences. UTU built its approach on three central principles stressed in the MLS: commitment of university leadership involvement of all institutional stakeholders relating the process with existing strategies and processes. The timing of the UTU implementation process was affected by the fact that a new Rector and new Vice-Rectors began their term in Aug 201 The former Rector Keijo Virtanen signed the Letter of Endorsement in spring 201 Since commitment of the university leadership was essential for the project, the actual starting point for the Gap Analysis was delayed until autumn 201 The delay was also motivated by the fact that new members were appointed to most of the existing university-level working groups and committees in autumn 201 Human Resources Strategy for Researchers (HRS4R) Project Action Plan Introduction 5

6 In Spring 2012 A Pilot Phase An operational working group of the University Services started preparatory work for the process, piloted the approach in some working groups and distributed preliminary information on the forthcoming project to the faculties. In Autumn 2012 A Steering Committee chaired by Vice-Rector Riitta Pyykkö was appointed for the project. Members of the Committee include 6 researchers of different career stages three professors, an established researcher currently at an administrative post and two doctoral candidates a union representative and 4 members of the administrative staff. The point of view of post-doctoral and later career stages was also represented by professor Marja Vauras, chair of the board for UTU research collegium TIAS. Like the Steering Committee, all other working groups involved in the HRS4R process, include representatives of researchers from different career stages, as well as members of teaching and other personnel. Vice-Rector, professor Riitta Pyykkö, Chair Doctoral Programme Coordinator, Doctoral Candidate Tuomas Karskela, Department of Chemistry Lecturer Eero Kuparinen, Public Sector Negotiation Commission JUKO Quality Manager Anu Mäkelä HRD Specialist Johanna Mäkinen, Secretary HR Director Tom Riski International Liaison Officer Eeva Schoultz, International Welcome Services Professor Baoru Yang, Department of Biochemistry and Food Chemistry Coordinator Eeva Sievi, University of Turku Graduate School (UTUGS) Dean, professor Marja Vauras, Department of Teacher Education, chair of Turku Institute of Advanced Studies (TIAS) Doctoral Candidate Jarkko Rasinkangas, Social Policy and Social Work In its first meeting, the Steering Committee outlined the UTU approach. On the basis of the preparatory work it became apparent that UTU guidelines and instructions were generally in line with the Charter & Code recommendations, but there were gaps to be identified between the guidelines and the actual practices. For the voice of the individual members of the university community to be heard, a participative approach was designed. The Gap Analysis process collected information on existing gaps and suggestions for improvements through several channels of information: Human Resources Strategy for Researchers (HRS4R) Project Action Plan Introduction 6

7 EuropE MLS Barcelona MLS Leuven Approved by EC FInland 3rd cohort meeting at Ministry 3rd cohort meeting at Ministry 4th cohort meeting at Ministry utu leadership utu Strategy utu HR Policy Letter of Endorsement by Rector New Rector & Vice-Rectors New working groups appointed Approved by Rector project management Preparatory work in operational working group lead by the HR office Steering Committee, chaired by Vice-Rector Riitta Pyykkö overall planning of the process priority and realizability of suggested actions From GAP ANALYSIS to ACtION PLAN through a Participative Process Identification of gaps and suggestions for improvements related working groups and committees Intranet Inquiry in Finnish and English other sources: , surveys, reports main areas of improvement participative Workshop draft action plan action plan Published in CommunICaTIon Preliminary Information Intranet site Workshop results published in the intranet Article on national academic magazine Article on utu magazine for interest groups Published in the intranet for comments Jan Feb March April May June July Aug Sept Oct Nov Dec Jan Feb March April May June

8 university-level committees & working groups (on aspects related to their work. e.g. Ethics Committee, Equality Committee, Research Council, Steering Group for International Affairs). open intranet inquiry (in Finnish and English). Of the 48 responses received, 39 were from researchers at different career stages (16 from R1, 9 from R2, 10 from R3, and 4 from R4 researchers) and 9 from other personnel groups (including researchers with a teaching post). a bilingual participative Workshop. Of the 26 participants 21 were researchers at different career stages (5 R1, 6 R2, 7 R3 and 2 R4 researchers), and 6 represented other personnel groups (including researchers with a teaching post). to the operational working group existing reports, surveys, other sources of information. The operational working group prepared a summary of all made suggestions for the Steering Committee and examined their feasibility. The Steering Group prioritized the suggestions and selected actions to be included in the Action Plan. All made suggestions were entered in an internal document which will be used for follow-up and continuous development. In Spring 2013 A few committees and working groups gave their input into the process still in January and February 201 The Steering Committee drafted a proposal for an Action Plan, which was published on the intranet for the university community to comment on from 15 March to 5 April 201 After the comments were dealt with, the Steering Committee submitted the finalized Action Plan for the UTU leadership for information and the Rector for approval. The approved Action Plan was submitted to the European Commission. Action Plan Main Areas of Development The main areas and goals for improvement are summarized here. The concrete actions, responsible units and timeline for the actions are presented in the appended table. Ethical and Professional Aspects Ethical principles and good practice in research are consolidated with dissemination of information and training on new instructions and guidelines (5 actions). Accountability, public engagement, interaction with society at large and dissemination of research results are enhanced (4 actions) Researchers ability to identify commercially significant innovations as well as the operational prerequisites for exploiting them will be improved by providing instructions, guidance, training, other support services and by cooperating with other regional actors (6 actions) Non-discrimination and equal treatment is further enhanced (4 actions) 5. Evaluation and appraisal systems are developed (2 actions) Human Resources Strategy for Researchers (HRS4R) Project Action Plan Main Areas of Development 8

9 Recruitment International recruitment and the integration of foreign researchers into the university community and the Finnish society are supported (4 actions) International mobility of staff is encouraged and recognition of its value is enhanced (2 actions) As a rule, fixed-term contracts are made for the entire duration of the task (2 actions). A career development model will be developed further to complement the current four-step career structure (1 action). 5. Researchers' participation in decision-making bodies is ensured (3 actions). Working Conditions & Social Security Grant researchers and visiting scholars are given access to services provided for the university employees, when in line with national regulations concerning grants (5 actions). The Principles of doctoral training at UTU will be completed with a recommendation that the responsibilities, duties and entitlements of the doctoral candidate, the thesis supervisor and university are clearly defined as part of the process of granting a doctoral candidate the right to pursue a doctoral degree. The Principles document will include a comprehensive checklist of items to be discussed and agreed upon in this connection. The checklist can also be applied to other researchers without an employment relationship (1 action). Training The University of Turku Graduate School (UTUGS) and the doctoral programmes organize transferable skills training and discipline/fieldspecific training intended for doctoral candidates and other researchers (1 action). Researchers without an employment relationship to UTU also have access to In-House Training organized for the university employees (1 action). Human Resources Strategy for Researchers (HRS4R) Project Action Plan Main Areas of Development 9

10 ACTION PLAN FOR ENHANCING THE POSITION OF RESEARCHERS AT UTU Principles of the European Charter for Researchers & Code of Conduct for the Recruitment of Researchers: I ETHICAL AND PROFESSIONAL ASPECTS Research freedom Ethical principles Professional responsibility Professional attitude Contractual and legal obligations Accountability Good practice in research Dissimination, exploitation of results Public engagement Non-discrimination Evaluation/Appraisal systems ACTION RESPONSIBILITY TIME FRAME Ethical principles and good practice in research are consolidated with dissemination of information and training on new instructions and guidelines: Principles of doctoral training at the University of Turku (1 Aug 2012). Responsible Conduct of Research Guidelines (updated in 2012), Template for researchers s CV, and other services of the Finnish Advisory Board on Reseach Integrity (www.tenk.fi). Since 1 Jan 2013, all licenciate and doctoral theses undergo an electronic originality check using the plagiarism detection system. Guidelines for Misconduct and Fraud at the UTU (19 Dec 2012). 5. A concise wall chart of Ethical Guidelines for UTU is drawn up. University of Turku Graduate School (UTUGS) Faculties UTUGS (website, training) Ethics Committee (misconduct) Academic and student affairs (training) fairutu website (dissemination) UTUGS (dissemination) doctoral thesis supervisors Academic and student affairs (training) fairutu website (dissemination) 5. Teaching and Learning Council Implementation, dissemination of information, follow-up in doctoral programmes In 2013 fairutu training sessions in spring 2013 and later on demand fairutu training sessions in spring 2013 and later on demand 5. Spring 2013 Human Resources Strategy for Researchers (HRS4R) Project Action Plan Main Areas of Development 10

11 Accountability, public engagement, interaction with society at large and dissemination of research results are enhanced by: Training and support for researchers in developing their communication skills (training and practice in written and spoken communication, popularization of science etc. ) Collecting and delivering information on research with societal impact and on cooperation with interest group. In 2013, acquisition of Converis research information system. New media and channels of publication are used (web pages, social media, ipad journal UTU Annual of Science). Popular events for public engagement are continued and developed (Children s University lectures and summer camps, Science Forum, fairs and events, events for the alumni). UTUGS Human Resources Development University Communications Research Collegia Language Centre Vice Rector/Societal interaction group societal interaction network University Communications Research Council Researchers University Communications University Communications in cooperation with other units continuous development new form in 2013: Science Slam the next societal interaction survey: spring 2013, network events annually, Converis in autumn 2013 the first UTU Annual of Science in Feb 2013, in the future annually The Science Forum in Turku in 2013 other current events annually: Turku Book and Science Fair Human Resources Strategy for Researchers (HRS4R) Project Action Plan Main Areas of Development 11

12 Researchers ability to identify commercially significant innovations as well as the operational prerequisites for exploiting them will be improved by providing instructions, guidance, training, other support services and by cooperating with other regional actors: Guidelines for Principal Investigators / Scientists in charge of research projects will be drawn up both in Finnish and in English. Information delivery about guidelines (Guideline for Inventions, Trademark Guideline) and support services provided by Innovation Services will be increased, including presentation tour on campus. Training to raise awareness about exploiting research results will be organized both in Finnish and in English (including items like IPR s, patent databases, business & market databases, entrepreneurship, business skills). Innovation candidates with international growth potential will be evaluated by expert panels in a process twice a year (two closing dates for submitting proposals) including selection of the most promising candidates to apply funding from Tekes (the Finnish Funding Agency for Technology and Innovation) TUTLI funding instrument. Support will be given to find also alternative paths for commercialization. Greip is a database service helping confidential management of IPR s and exploitation agreements. 5. Effective use of resources in the regional innovation operations is enhanced by collaboration between University of Turku and Åbo Akademi University (uniform framework and collaboration in evaluation of candidates, joint projects). 6. Innovation operations of the two universities will be linked into the regional innovation chain (business incubators and accelerators, seed funding etc.) Research and Innovation Services in cooperation with other units UTUGS Innovation Services BID Innovation Innovation Services Innovation Services 5. Research and Innovation Services university leadership (Vice Rectors) 6. Research and Innovation Services university leadership (Vice Rectors) joint projects with Åbo Akademi Trademark Guideline 03/2013, Guideline for Inventions and Guideline for Principal Investigators issued in 2013, tour on campus 2 times a year training organised annually evaluation process for innovation candidates 2 times a year Greip acquired in Jan 2013, accessible for inventors in summer 2013 continuous development continuous development Human Resources Strategy for Researchers (HRS4R) Project Action Plan Main Areas of Development 12

13 Non-discrimination and equal treatment is further enhanced: Availability of services and information in English is improved: important administrative instructions, forms and internal news communication are translated into English and information on the instructions is delivered also in English. Information on the University of Turku Equality Plan in both Finnish and English is made easily available on the Intranet and on the UTU website. Information on the new Guidelines on Special Arrangements for Students with Disabilities and Students with Special Needs is spread in both Finnish and English. The Disability Coordinator monitors the implementation of the special arrangements in cooperation with the Equality Committee. Emeritus/Emerita contracts allow continuation of active research work as a member of the academic community. Evaluation and appraisal systems are developed: Evaluation of research on the Areas of Strength is completed. In 2015, a comprehesive international peer assessment of research is conducted. The procedures for the review discussion and the assessment discussion connected to the University salary system take due account of a wide range of merits. Separate Guidelines for the Evaluation of Merits in Societal Interaction was issued in spring 2013 (9 Jan 2013). University Services/Project Planning Officer in Quality Assurance University Communications faculties and units Equality Committee Disability Coordinator (monitoring, annual reporting) Equality Committee faculties, units in charge of studies Deans, Director of the School of Economics or officers appointed by them Research Council (functions as the steering group) Vice Rector/Societal interaction group societal interaction network supervisors resources available until the end of year 2013 available on Intranet and on UTU website in spring 2013 Update of Equality Plan for follow-up of implementation of guidelines, reporting yearly 1/2014 and 1/2015 model for an Emeritus/Emerita contract provided on 3 Dec 2012 Preparatory phase starts in spring 2013 Peer assessment in autumn 2015 Processing the results in spring 2016 beginning from 2013 Human Resources Strategy for Researchers (HRS4R) Project Action Plan Main Areas of Development 13

14 Principles of the European Charter for Researchers & Code of Conduct for the Recruitment of Researchers: II RECRUITMENT Recruitment Selection Transparency Judging merit Variations in chronology of CVs Recognition of mobility experience Recognistion of qualifications Seniority Postdoctoral appointments ACTION RESPONSIBILITY TIME FRAME International recruitment and the integration of international (doctoral candidates) 2013 researchers into the university community and the Finnish society are supported: The functions of the International Welcome Services (IWS) are developed further and information on them is made readily available. The services of the IWS unit are made use of during the recruitment process. For their part, the Human Resources office and the University of Turku Graduate School UTUGS and the Research Collegia promote the visibility of the IWS. The use of international academic career networks and other international channels for publishing vacancies is increased. Researchers opportunities for social interaction are supported by organising training in the Finnish language (beginners courses, Finnish language clinic for advanced learners), promoting networking (e.g. language learning in tandem pairs, book clubs) and participating also in the future in the joint Friendship Programme of the institutes of higher education in Turku. Assistance is provided in finding furnished flats and accomodation of long duration: functioning of the guest house Villa Hortus is guaranteed in the future; IWS co-ordinates information on accomodation (noticeboard on the Intranet) and examines the possibilities for house swop. International Office/International Welcome Service (IWS) Human Resources (instructions for recruitment) UTUGS (links on UTU website, foreign doctoral candidates to IWS mailing list) Research Collegia Human Resources University Communications faculties and units Human Resources Development (Finnish for Beginners, networking) Language Centre (self-study) School of Language and Translation Studies (the clinic ) IWS (Friendship Programme, networking) Facility Services (guest house Villa Hortus) IWS (information, house swop opportunities) continuous development continuous services new functions piloted in 2013 continuous development Human Resources Strategy for Researchers (HRS4R) Project Action Plan Main Areas of Development 14

15 International mobility of staff is encouraged and recognition of its value is enhanced: A support service website for outgoing mobility is published on the Intranet. The International Office continues to organise an International Week annually and to provide information and guidance on exchange opportunities also to researchers and teachers. University Services Research Services Financial Services Human Resources office International Office UTUGS University Communications International Office 2013 continuous service continuous development Human Resources Strategy for Researchers (HRS4R) Project Action Plan Main Areas of Development 15

16 Principles of the European Charter for Researchers & Code of Conduct for the Recruitment of Researchers: III WORKING CONDITIONS AND SOCIAL SECURITY Recognition of the profession Research environment Working conditions Stability and permanence of employment Funding and salaries Gender balance Career development Value of mobility Access to career advice Intellectual Property Rights Co-authorship Teaching Complaints/Appeals Participation in decisions-making bodies ACTION RESPONSIBILITY TIME FRAME Grant researchers and visiting scholars are given access to services provided for the university employees, when in line with national regulations concerning grants: Obstacles in the flow of information are identified and removed. Beginning from Jan 2013, University Sports services for personnel are also open for grant researchers and visiting scholars. Regardless of their contractual situation, all members of work communities can participate in workplace surveys and well-being at work surveys and in the development work of the community arising from the surveys. Early Support services, such as Work Community Mediation of conflicts, can also be used in situations concerning researchers who are not in an employment realationship with UTU. 5. Research Services and the International Office provide support in research funding issues. The national Funding Database Aurora operates in 3 languages (Finnish, Swedish and English) and is available for all researchers. IT Services University Communications University Sports Human Resources Occupational health care provider occupational safety organisation Human Resources Development Occupational health care provider occupational safety organisation Human Resources Development Early Support contacts 5. Research Services International Office Since Feb 2013 Weekly Post ed also to affiliates with access right Visitor/Teaching and Research Personnel Equivalent Jan 2013 continuous service continuous service continuous service Aurora published in March 2013 Human Resources Strategy for Researchers (HRS4R) Project Action Plan Main Areas of Development 16

17 The Principles of doctoral training at UTU will be completed with a recommendation that the responsibilities, duties and entitlements of the doctoral candidate, the thesis supervisor and university are clearly defined as part of the process of granting a doctoral candidate the right to pursue a doctoral degree. The Principles document will include a comprehensive checklist of items to be discussed and agreed upon in this connection. The checklist can also be applied to other researchers. As a rule, fixed-term contracts are made for the entire duration of the task: In general, a person in a fixed-term employment relationship is recruited for the whole duration of the fixed-term contract (e.g. for the duration of the whole substitution period, project or task). UTU uses fixed-term employment relationships only on the grounds stipulated in the legislation and monitors the use annually. The long-term endeavour of UTU is to limit the number of fixed-term employees by moving staff to on-going contracts on a case-to-case basis through annual human resources planning. A career development model will be developed further to complement the current four-step career structure. UTUGS and Human Resources Policy 2012 Human Resources (instructions, monitoring) faculties, independent units, projects UTUGS, doctoral programmes Research Collegia continous monitoring Human Resources working group appointed 2013 model issued in 2014 Researchers participation in decision-making bodies is ensured: Doctoral candidates are represented in the UTUGS Board, Training Committee and Quality Assurance Committee as well as in the boards of UTUGS doctoral programmes. Participation of international researchers is decision-making bodies, committees and working groups of the university is increased by following the principle of receptive bilingualism and by creating opportunities for learning Finnish at an advanced level. The central documents of the University Services are available also in English. In the faculties and units an increased share of the material is made available in English. When feasible, meetings are held in English. UTUGS (Principles of Doctoral Training) and University Services faculties, departments and units Research Collegia beginning on 2013 continuous development Human Resources Strategy for Researchers (HRS4R) Project Action Plan Main Areas of Development 17

18 Principles of the European Charter for Researchers & Code of Conduct for the Recruitment of Researchers: IV TRAINING Relation with supervisors Supervision and managerial duties Continuing professional development Access to research training Supervision ACTION RESPONSIBILITY TIME FRAME The University of Turku Graduate School (UTUGS) and the doctoral programmes organise transferable skills training and discipline/field-specific training intended for doctoral candidates and other researchers: UTUGS continues to organise and develop piloted training courses and services, such as: a) UTUGS introduction to pedagogics b) training in copyrights c) training in career planning d) article language checking service. In addition, UTUGS plans and develops new training, such as: d) research Supervision training e) training in industrial property rights. UTUGS cooperating e.g. with: Human Resources Development Educational Development International Office Language Centre continuous development based on feedback and anticipated needs Researchers without an employment relationship with UTU also have access to In-House Training organized for the university employees. Some of the training courses and events are specifically targeted for international members of the university community (Welcome to UTU, Finnish for Beginners), including grant researchers and visiting scholars. Researchers not employed by UTU can also attend other in-house training events if there are spaces available. In addition, training materials are available on the Intranet. An increasing number of training sessions are recorded on video and made available via the Intranet. Human Resources/HR Development Educational Development International Office units of the University Services University Communications continuous development based on feedback, expressed and anticipated needs Human Resources Strategy for Researchers (HRS4R) Project Action Plan Main Areas of Development 18

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