The Royal College of Surgeons in Ireland. Human Resources Strategy for Researchers Gap Analysis and Action Plan

Transcription

1 The Royal College of Surgeons in Ireland Human Resources Strategy for Researchers Gap Analysis and Action Plan This document has been submitted to the European Commission for review. For any enquiries please Glossary of Acronyms given in Appendix 3 1

2 Introduction The RCSI aims to be an attractive, supportive and stimulating environment in which to carry out research and recognises the importance of providing its researchers with the training and means to be competitive and mobile. In recent years the RCSI HR Team has been making tangible and measurable advances in its Human Resources Management (HRM) through the delivery of key HR services that are tightly aligned to the overall strategy of RCSI including tailoring initiatives that address research-specific issues. This is done in collaboration with the Research Office Team who have an in-depth understanding of research issues and best practice. The RCSI is using the European Commission s HR Strategy for Researchers (HRS4R) framework as a mechanism to drive these initiatives with efficiency and impact. This document explains the motivation, approach, outcomes and future plans associated with the application of the HRS4R tool and describes how these activities complement and build on the current RCSI HR strategy. Context National & European Context: The Irish research landscape has transformed in the last two decades and continues to change apace to reflect national and European priorities. In the late 1990s the Irish Government launched a strategy to enhance scientific, technological and innovative (STI) capability with the aim of developing Ireland as a knowledge and innovation-based economy. More recently research funding at both national and European level has shifted towards the innovation end of the research spectrum. While it is recognized that the pursuit of excellence must be maintained it is accepted that there must be targeting of areas which are more likely to deliver economic and social benefit. The new EU funding vehicle for the Innovation Union, Horizon 2020, thus aims to deliver results that will address society s greatest challenges and make a difference to the lives of European citizens. In addition, the Irish Government identified 14 priority areas for national research investment which are expected to deliver economic and social benefit for Ireland 1. With the expansion of research and innovation related activities in Europe there has been a fragmentation along national and institutional barriers which undermines Europe s ability to fulfil its research and innovation potential. To counter this the European Research Area aims to give researchers access to the Europe-wide marketplace for knowledge and technologies thereby creating better job opportunities and more rewarding careers for researchers. The adoption by the European Commission of the European Charter for Researchers and Code of Conduct for the Recruitment of Researchers (Charter & Code) and a recent obligation 2 for EU funding beneficiaries to take all measures to implement the Charter & Code with particular regard to working conditions, transparent recruitment processes and career development are welcome developments. They do, however pose HRM challenges which must be addressed. The RCSI Context: The Royal College of Surgeons in Ireland (RCSI) is a private, self-financing, not-forprofit medical and surgical college based in Dublin, Ireland, that has played a leadership role in Irish surgical and medical education since its foundation in Today it incorporates Schools of Medicine, Physiotherapy, Pharmacy, Nursing, Postgraduate Studies and International Healthcare Management and its undergraduate medical school is the largest in Ireland. 1 Report of the Research Prioritisation Steering Group (2012). Forfas. Research_Prioritisation_Exercise_Report.pdf 2 Annotated H2020 Model Grant Agreement

3 Prior to 2000 the level of research activity at the RCSI was relatively modest. A significant shift commenced in response to the investment by the Irish Government in major research and infrastructure initiatives such as the Higher Education Authority (HEA) Programme for Research in Third Level Institutions (PRTLI). In parallel, RCSI commenced a programme of expansion of its research activities, developed a research strategy and made a significant investment in key research appointments and state of the art research infrastructures Table 1. RCSI core research community composition as of December Staff Cohort No. Staff Principal Investigators = Postdoctoral researchers = 104 Research support staff 4 = 85 Registered PhD students = 115 Total = 410 To implement its translational research strategy and to seed-fund research the RCSI has invested 59M of its own non-exchequer funding in research infrastructures, human resources, and projects since It has been able to attract and retain world-class researchers through additional funding support from Science Foundation Ireland, the Health Research Board, the HEA and EU Framework grants among others. These sustained investments have strengthened RCSI s position in leading and securing funding support for large national and international collaborative networks and programmes. The combination of these successes has enabled the enhancement of the research infrastructures at RCSI Stephen s Green and Beaumont Hospital sites and the expansion of the RCSI research community as shown in Table 1 (staff and students with significant research activity only). The RCSI HR Strategy for Researchers The RCSI research-related HR goals: The RCSI aims to offer an attractive, supportive and stimulating environment for all staff including researchers. It recognises that excellence in research is critical to the quality of its educational activities, its credibility, and, overall, to its mission to enhance human health. The RCSI also recognises that research plays a key role in attracting the highest-calibre academic staff and students and that the evidence of its quality (as demonstrated by publications in high-impact journals and large national and international funding awards) has significantly contributed to the granting of independent degree-awarding status to the College in The Institutional Strategic Plan , Growth and Excellence, states the RCSI commitment to research excellence through supporting and nurturing an active research community. It also affirms a strategic goal of investing in and developing its staff through the development of a best in class HR service based on a partnership model, including development of a new Learning and Development programme which includes career coaching opportunities for researchers as well as many varied training programmes specifically targeted at researcher development. The goal of providing a quality working environment for researchers is being achieved in part by the on-going development of communication, interaction, engagement and career development opportunities for researchers as discussed through this document. However, it is recognized that additional activities and initiatives are still required and a number of these mentioned in the following section are already planned or under way which seek to further enhance and strengthen the implementation of these actions. 3 Out of a total of 328 academic staff 4 Technicians, administrators, managers and research assistants 3

4 The RCSI research-related HR Challenges: Researchers comprise a highly-skilled workforce who may over the course of their career work in a variety of organizations and/or sectors. The progression of a researcher s career is thus rarely easy to predict and so it is vital that the RCSI offers access to training and experiences, both within and beyond the confines of their research activities, which will make them competitive in a variety of scenarios and in an ever-changing research landscape. We need to provide the highest quality HRM including enabling pathways for career development and progression for our researchers, thereby helping them to maximise their potential. Since the commencement of the HRS4R initiative the RCSI has expanded its existing Professional Development Plan initiative to include research staff. This now offers a platform to all researchers to plan key goals & targets, receive feedback and to agree any development needs or opportunities to be explored. In addition, but as a longer-term exercise, the need to develop a Researcher Career Framework and associated Career Development Strategy have been identified as priorities and these need to be designed and implemented. The RCSI and the European Charter & Code: The RCSI is committed to aligning its HR policies and practices with the European Charter for Researchers and Code of Conduct for the Recruitment of Researchers (Charter & Code). These two European Commission (EC) documents are addressed to researchers as well as to employers and funders. They set out the roles, responsibilities and entitlements of each and describe a best practice framework for employing and developing researchers with the overarching aim of developing an attractive, open and sustainable European labour market for researchers. To help institutions with the adoption and implementation of the Charter & Code principles, the Commission has developed a tool, the Human Resources Strategy for Researchers (HRS4R). The RCSI recognises the HRS4R as a helpful instrument for optimising the roll-out of our existing HR Strategy, making it more holistic, effective, efficient and impactful, in particular the elements relating to our research community. The RCSI Research Office (RO) and Department of Human Resources (HR) jointly committed to joining the 3 rd cohort of institutions in Europe to participate in the transparent, voluntary HRS4R exercise in order to align our institutional policies and practices with the Charter & Code. To develop its HR resources strategy for researchers the RCSI is following the 5 steps HRS4R programme recommended by the EC: 1. Carry out an internal Gap Analysis to compare current RCSI policies and practices with the Charter & Code principles; 2. Develop a HR Strategy for Researchers including an Action Plan based on the Gap Analysis; 3. HR Strategy & Action Plan reviewed by the EC. Acknowledgement by the Commission bestows the right to use the 'HR Excellence in Research' logo; 4. Progress on the implementation of the HR Strategy and Action Plan self-assessed after two years; 5. External evaluation is carried out at least every four years (process still in development by EC). Steps 1 & 2 were carried out in Q Q using the methodology described in Appendix 1. 4

5 Outcomes of the HRS4R Gap Analysis at RCSI The Gap Analyses from the seven Working Groups incorporating the survey results were collated and refined to identify institutional priorities of relevance to the HRS4R exercise. Existing practice at RCSI across key areas: It was found that the RCSI is compliant with many of the key principles of the Charter & Code. Some examples of current compliant practice include: Recruitment Policy: RCSI is committed to providing all potential candidates with an equal opportunity to compete fairly for positions in the College. The key principle underpinning this policy is to attract quality applicants and to ensure the candidate best suited to a position will be selected. Vacancies as advertised by RCSI are open to all suitably qualified candidates, subject to their satisfying the necessary educational qualifications, skills and experience criteria relevant to each specific post, as specified in the job description. Time spent outside the research environment will be taken into consideration (e.g. time away due to personal reasons such as maternity, paternity, adoption leave or other caring responsibilities; ill-health or working in a non-research environment/role such as industry. Salaries and Social Security: Research appointments are made following a fixed set of salary recommendations ( These salary points are in line with the IUA (Irish University Association) guidelines for contract Researchers. Research staff are also paid fixed salaries as appropriate in the case of the Irish Research Council, Marie Curie etc. The Principal Investigator is responsible for proposing a salary at a point that is compatible with an applicant s skills and experience and competitive with their existing remuneration or that on offer elsewhere for a similar role. When budgeting for studentships in funding proposals RCSI PhD studentship fees are applied which are available at the following link: Research Staff Association: The RCSI actively encourages participation of researchers in fora where they can share information and discuss ideas and issues. There are currently two such groups, the RCSI Research Staff Association and the Researcher Forum. Participation on decision-making bodies: Members of the research community are included on all decision making bodies at RCSI, where appropriate. The Director of Research is a member of the Senior Management Team and sits on the Academic Promotions board alongside other senior research representatives. The RCSI Research Committee, which is chaired by the Director of Research, includes the Head of the School of Postgraduate Studies in addition to appointed representatives from all the major research areas of the college. Further to this, the School of Postgraduate Studies Committee includes both postdoctoral and postgraduate research representatives. Key Actions identified: Whilst it was found that the RCSI is currently compliant with many Charter & Code principles a number of gaps were identified. In many cases what were initially perceived as gaps in policy proved upon examination not to be so. It was merely the case that the policies were not easily accessible. Thus improved communications were identified as one of our key actions which would solve many of the current gaps identified which are perceived rather than actual. Suitable actions to address all recognized gaps or needs were identified. These are shown tabulated in the next section. Each action was assigned a named owner who will have responsibility to deliver the action. Delivery timelines and, in some cases, indicators for tracking progress were agreed with the owners. Other indicators of progress will be developed in the near term but require more detailed planning first. In a small number of instances the stated action does not provide a 5

6 direct solution to a gap or need but rather is a scoping exercise or a required needs analysis that will establish in a concrete way the format that a required action should optimally take. This draft Institutional HR Strategy and Action Plan was presented to senior management for final institutional endorsement. Key actions in the Institutional HR Strategy Action Plan include: Communication: HR and the RO will ensure that all relevant information and policies are communicated effectively via the Researcher s Handbook, staff portal and additional media as required. Also, outcomes from relevant decision making bodies will be communicated via regular Town Hall meetings & Researcher Forum and link on staff portal identifying committee members, roles and meeting outputs. Research Career Framework: Proposed development of an RCSI Research Career Framework and associated career development strategy. This will commence with a study of best practice. The framework will define research career levels in accordance with characteristics such as experience and competence. The career development strategy will ensure that all steps are in place to enable a researcher to progress to the next recognised career level. Learning and Development: As part of the on-going RCSI Learning and Development curriculum carry out a training priorities needs analysis and use it to inform the development of a suite of training interventions for researchers of all career levels to develop appropriate transferable skills. HR will track and report on all researcher training initiatives and will explore leveraging the 3U 5 relationship for training access exchange. Professional Development Planning: Include all Research staff in the RCSI 2014 Professional Development Planning (PDP) process to facilitate discussion of and support for career development thus identifying and supporting the development needs of individual researchers. Tailor the PDP documentation to suit specific needs of research staff, incorporating the appropriate recognition of supervision & teaching duties and a discussion of potential teaching opportunities as appropriate. Career coaching: A needs analysis in relation to career coaching will be carried out. Following that it is expected that one-to-one career coaching will be introduced for the research community. Teaching: HR will work with the RCSI Health Professions Education Centre (HPEC) to ensure that all research staff, including contract staff, can participate in the Educator s Toolkit 6 when the programme commences. Appropriate alignment with Faculty will be pursued to enable practical application. Information Technology: The IT Department will actively engage with research community to carry out a develop plan for improvement in this area Gender: Whilst there are no evident gender gaps identified RCSI wishes to undertake a gender review at the institutional level. RCSI is a member of the Athena SWAN (AS) Irish committee which is working with the AS Equality Challenge Unit to develop the Athena SWAN Charter in Ireland. This is a recognition scheme for the commitment to advancing women s careers in science, technology, engineering, maths and medicine (STEMM) academia. Supervision: Mandatory supervisory skills training to be introduced for all new supervisors U Partnership combines the complementary strengths of Dublin City University, NUI Maynooth and the Royal College of Surgeons in Ireland. Through 3U these three distinctive and leading institutions are working together on shared initiatives to deliver world-class education and research opportunities. See RCSI resource designed to support skills development for Faculty involved in teaching. 6

7 Industry engagement: Funding strategies both national and international are increasingly prioritizing applied research that has societal impact and near-term commercialisation potential. As part of the RCSI s strategy to promote applied research and knowledge transfer and assist its researchers with industry engagement we shall provide training, coaching and mentoring in relation to understanding and interacting with industry and will develop more industry contacts for placements for students. The following series of tables summarise the RCSI gap analysis exercise and itemise the required actions that arose from the gap analysis. Table legends: indicates high priority action; indicates medium priority action; indicates action completed during HRS4R Gap Analysis 7

8 Theme 1: Ethical and Professional Aspects 1. Research freedom: Researchers should focus their research for the good of mankind and for expanding the frontiers of scientific knowledge, while enjoying the freedom of thought and expression, and the freedom to identify methods by which problems are solved, according to recognised ethical principles and practices. Researchers should, however, recognise the limitations to this freedom that could arise as a result of particular research circumstances (including supervision/guidance/management) or operational constraints, e.g. for budgetary or infrastructural reasons or, especially in the industrial sector, for reasons of intellectual property protection. Such limitations should not, however, contravene recognised ethical principles and practices, to which researchers have to adhere. No gap at RCSI. Researchers at RCSI are afforded research freedom respectful of the mission & vision of the organisation 'To educate, nurture and discover for the benefit of human health' while being 'recognised internationally as a leading centre for professional education, research and innovation in healthcare' 7. Also, the Irish Universities Act which refers to Academic Freedom is a statutory instrument that underpins RCSI. Backed up by HRS4R survey findings. None 2. Ethical principles: Researchers should adhere to the recognised ethical practices and fundamental ethical principles appropriate to their discipline(s) as well as to ethical standards as documented in the different national, sectoral or institutional Codes of Ethics. No policy gap at RCSI. Policy on research ethics is None published in the RCSI Researcher Handbook 9. RCSI policy statement on Research Integrity needed Draft & release policy statement on Research Integrity. Add link to Research Integrity policy statement to RCSI Researcher Handbook. Subscribe to IUA facilitated Policy Statement on Ensuring Research Integrity in Ireland 10 (upon its release). This table continued on next page 7 RCSI Strategic Plan , Growth and Excellence 8 See 9 The RCSI Researcher Handbook is available to staff via the internal staff portal: 10 Draft Policy Statement on Ensuring Research Integrity in Ireland: 8

9 While policies & procedures of RCSI Research Ethics Committee are on their website 11, the gap analysis revealed insufficient communication of ethics related information to researchers such as legal regulations & data protection. No formal training provided on Research Ethics and Integrity. Improve the visibility and communication of the essential documents and policies to researchers. Develop a comprehensive training intervention for postgraduate research students. Investigate expansion of above comprehensive training intervention to wider research community. 3. Professional responsibility: Researchers should make every effort to ensure that their research is relevant to society and does not duplicate research previously carried out elsewhere. They must avoid plagiarism of any kind and abide by the principle of intellectual property and joint data ownership in the case of research carried out in collaboration with a supervisor(s) and/or other researchers. The need to validate new observations by showing that experiments are reproducible should not be interpreted as plagiarism, provided that the data to be confirmed are explicitly quoted. Researchers should ensure, if any aspect of their work is delegated, that the person to whom it is delegated has the competence to carry it out. No gap at RCSI. Research integrity is included in None the RCSI Researcher Handbook. There is also the RCSI statement on the Handling of Allegations of Research Misconduct 12. RCSI policy statement on Research Integrity Draft & release policy statement on Research needed. Integrity. Add link to Research Integrity policy statement to RCSI Researcher Handbook. Subscribe to IUA facilitated Policy Statement on Ensuring Research Integrity in Ireland (upon its release). Updated RCSI Research Strategy needed. Develop and publish RCSI Research Strategy RCSI statement on the Handling of Allegations of Research Misconduct: 9

10 4. Professional attitude: Researchers should be familiar with the strategic goals governing their research environment and funding mechanisms, and should seek all necessary approvals before starting their research or accessing the resources provided. They should inform their employers, funders or supervisor when their research project is delayed, redefined or completed, or give notice if it is to be terminated earlier or suspended for whatever reason. Lack of awareness among researchers of researchrelevant Ensure relevant RCSI documents and policies visible institutional policies and documents e.g. Researcher Handbook, Strategic Plan, Research Strategy. No induction programme / checklist for new researchers. Expand induction programme to include researchers. There is no clause in employment contracts indicating that researchers must be familiar with the requirements and conditions of any sponsor or funders, independently of the nature of their contract. Insert clause in research contracts indicating that researchers must be familiar with requirements & conditions of any sponsor or funders, independently of the nature of their contract. Updated RCSI Research Strategy needed Develop and publish RCSI Research Strategy. 5. Contractual and legal obligations: Researchers at all levels must be familiar with the national, sectoral or institutional regulations governing training and/or working conditions. This includes Intellectual Property Rights regulations, and the requirements and conditions of any sponsor or funders, independently of the nature of their contract. Researchers should adhere to such regulations by delivering the required results (e.g. thesis, publications, patents, reports, new products development, etc.) as set out in the terms and conditions of the contract or equivalent document. There is no clause in employment contracts indicating that researchers must be familiar with the requirements and conditions of any sponsor or funders, independently of the nature of their contract. Insert clause in research contracts indicating that researchers must be familiar with requirements and conditions of any sponsor or funders, independently of the nature of their contract. 10

11 6. Accountability: Researchers need to be aware that they are accountable towards their employers, funders or other related public or private bodies as well as, on more ethical grounds, towards society as a whole. In particular, researchers funded by public funds are also accountable for the efficient use of taxpayers' money. Consequently, they should adhere to the principles of sound, transparent and efficient financial management and cooperate with any authorised audits of their research, whether undertaken by their employers/funders or by ethics committees. Methods of collection and analysis, the outputs and, where applicable, details of the data should be open to internal and external scrutiny, whenever necessary and as requested by the appropriate authorities. No gap at RCSI. Research integrity is included in the None RCSI Researcher Handbook along with research-related financial accountability and best practice. RCSI policy statement on Research Integrity needed Draft & release policy statement on Research Integrity. Add link to Research Integrity policy statement to RCSI Researcher Handbook. Subscribe to IUA facilitated Policy Statement on Ensuring Research Integrity in Ireland (upon its release) There is no clause in employment contracts indicating Insert clause in research contracts indicating that researchers must be familiar with the that researchers must be familiar with requirements and conditions of any sponsor or funders, independently of the nature of their contract. requirements and conditions of any sponsor or funders, independently of the nature of their contract. 7. Good practice in research: Researchers should at all times adopt safe working practices, in line with national legislation, including taking the necessary precautions for health and safety and for recovery from information technology disasters, e.g. by preparing proper back-up strategies. They should also be familiar with the current national legal requirements regarding data protection and confidentiality protection requirements, and undertake the necessary steps to fulfil them at all times. No gap. There is a policy for the management of None research records, lab books & data retention published in the RCSI Researcher Handbook. Researchers undergo compulsory health & safety training at regular intervals (every 2 years). RCSI IT Department policies & procedures are on the staff website 13. RCSI Guidelines on Good Research Practice

12 8. Dissemination, exploitation of results: All researchers should ensure, in compliance with their contractual arrangements, that the results of their research are disseminated and exploited, e.g. communicated, transferred into other research settings or, if appropriate, commercialised. Senior researchers, in particular, are expected to take a lead in ensuring that research is fruitful and that results are either exploited commercially or made accessible to the public (or both) whenever the opportunity arises. Increased engagement and continued collaboration with Explore provision of training in relation to industry is needed across RCSI. engaging industry. Examine opportunities for industry contacts for student placements. Increased RCSI Technology Transfer Office (TTO) communications are required. TTO to investigate methods of improving communication. 9. Public engagement: Researchers should ensure that their research activities are made known to society at large in such a way that they can be understood by non-specialists, thereby improving the public's understanding of science. Direct engagement with the public will help researchers to better understand public interest in priorities for science and technology and also the public's concerns. Stronger focus is needed on public engagement by researchers. As part of the RCSI Learning & Development (L&D) curriculum training course to be introduced to aid researchers in presenting their research to the wider public. 10. Non-discrimination: Employers and/or funders of researchers will not discriminate against researchers in any way on the basis of gender, age, ethnic, national or social origin, religion or belief, sexual orientation, language, disability, political opinion, social or economic condition. No evident gender gap. Despite no evident gender gap, RCSI will undertake a gender review at institutional level. Policies in relation to support services for researchers who experience discrimination / disabled researchers require formalisation and increased visibility. Formally communicate the support available for all disabled researchers and those who experience discrimination. Draft policies and procedures relating to disability. 12

13 11. Evaluation/ appraisal systems: Employers and/or funders should introduce for all researchers, including senior researchers, evaluation/appraisal systems for assessing their professional performance on a regular basis and in a transparent manner by an independent (and, in the case of senior researchers, preferably international) committee. A new Professional Development Planning (PDP) process was Carry out performance management introduced to RCSI in However, it was not mandatory needs analysis. for research staff to participate in the PDP process in Include all research staff in the 2014 PDP process to facilitate evaluation/appraisal of their performance. Theme 2: Recruitment 12. Recruitment: Employers and/or funders should ensure that the entry and admission standards for researchers, particularly at the beginning at their careers, are clearly specified and should also facilitate access for disadvantaged groups or for researchers returning to a research career, including teachers (of any level) returning to a research career. Employers and/or funders of researchers should adhere to the principles set out in the Code of Conduct for the Recruitment of Researchers when appointing or recruiting researchers. No Gap. Entry and admission standards for researchers are None clearly specified on all advertised job descriptions. Open Recruitment is practiced at RCSI. However, no publically available policy statement on Open Recruitment exists. While recognition of breaks or variations in the chronological order of CVs is practiced at RCSI during research recruitment, no statement of this recognition is included in advertised job descriptions. Prepare a policy statement on Open Recruitment for Researchers and publish on RCSI website. Add statement of recognition of breaks or variations in the chronological order of CVs to policy statement on Open Recruitment. 13

14 13. Recruitment (Code): Employers and/or funders should establish recruitment procedures which are open, efficient, transparent, supportive and internationally comparable, as well as tailored to the type of positions advertised. Advertisements should give a broad description of knowledge and competencies required, and should not be so specialised as to discourage suitable applicants. Employers should include a description of the working conditions and entitlements, including career development prospects. Moreover, the time allowed between the advertisement of the vacancy or the call for applications and the deadline for reply should be realistic. Open Recruitment is practiced at RCSI. However, no Prepare a policy statement on Open publically available policy statement on Open Recruitment Recruitment for researchers and publish exists. on the RCSI website. 14. Selection (Code): Selection committees should bring together diverse expertise and competences and should have an adequate gender balance and, where appropriate and feasible, include members from different sectors (public and private) and disciplines, including from other countries and with relevant experience to assess the candidate. Whenever possible, a wide range of selection practices should be used, such as external expert assessment and face-to-face interviews. Members of selection panels should be adequately trained should be realistic. Not all staff members have received interview training. As part of the Learning and Development curriculum, interview skills training workshop for all research hiring managers / panel members to be available. Selection committees are routinely used for academic Prepare RCSI Researcher Open appointments at RCSI. These committees include diverse Recruitment policy statement for expertise and competencies, are gender balanced and, where appropriate and feasible, include members from different sectors (public and private) and disciplines, including from other countries and with relevant experience publication on the RCSI website. This document will include the procedures for the composition of selection committees (where used). to assess the candidate. Yet, there is no publically available policy regarding the composition of selection committees. 14

15 15. Transparency (Code): Candidates should be informed, prior to the selection, about the recruitment process and the selection criteria, the number of available positions and the career development prospects. They should also be informed after the selection process about the strengths and weaknesses of their applications. No Gap. Legislation training covered as part of newly None introduced and on-going interview skills workshop. Feedback is not routinely provided for contract research positions. The recruitment and selection policy will be updated to reflect that the Human Resources Recruitment team will facilitate any candidate who requests post interview feedback. This policy will be made available on the RCSI website. 16. Judging merit (Code): The selection process should take into consideration the whole range of experience of the candidates. While focusing on their overall potential as researchers, their creativity and level of independence should also be considered. This means that merit should be judged qualitatively as well as quantitatively, focusing on outstanding results within a diversified career path and not only on the number of publications. Consequently, the importance of bibliometric indices should be properly balanced within a wider range of evaluation criteria, such as teaching, supervision, teamwork, knowledge transfer, management of research and innovation and public awareness activities. For candidates from an industrial background, particular attention should be paid to any contributions to patents, development or inventions. No Gap. At the academic level, all selection is carried None out using competency based criteria. In terms of the contract research selection process, an evaluation template exists but it should be adjusted and made more widely available. Preparation & dissemination of common evaluation template to be used by all PIs/Managers during the contract researcher selection process. Where appropriate, this evaluation template will include a section for: publications, technical experience, teaching, supervision, teamwork, knowledge transfer, management of research, innovation & public awareness activities. 15

16 17. Variations in the chronological order of CVs (Code): Career breaks or variations in the chronological order of CVs should not be penalised, but regarded as an evolution of a career, and consequently, as a potentially valuable contribution to the professional development of researchers towards a multidimensional career track. Candidates should therefore be allowed to submit evidence-based CVs, reflecting a representative array of achievements and qualifications appropriate to the post for which application is being made. No Gap. At the academic level, all selection is None carried out using competency based criteria. In terms of the contract research selection process, Preparation & dissemination of a common an evaluation template exists but it should be evaluation template to be used by all PIs/Managers adjusted and made more widely available. during the contract researcher selection process. Where appropriate, this template will include a section for: publications, technical experience, teaching, supervision, teamwork, knowledge transfer, management of research, innovation & public engagement activities. 18. Recognition of mobility experience (Code): Any mobility experience, e.g. a stay in another country/region or in another research setting (public or private) or a change from one discipline or sector to another, whether as part of the initial research training or at a later stage of the research career, or virtual mobility experience, should be considered as a valuable contribution to the professional development of a researcher. No gap. With the exception of those in academic posts who can avail of the promotion process, there is no formal method of recognising the mobility experience of research staff. Tailor PDP document to suit specific needs of research staff, facilitating a discussion of potential mobility opportunities and experience as appropriate. 16

17 19. Recognition of qualifications (Code): Employers and/or funders should provide for appropriate assessment and evaluation of the academic and professional qualifications, including non-formal qualifications, of all researchers, in particular within the context of international and professional mobility. They should inform themselves and gain a full understanding of rules, procedures and standards governing the recognition of such qualifications and, consequently, explore existing national law, conventions and specific rules on the recognition of these qualifications through all available channels. No gap. As part of our Open Recruitment policy all None qualifications (formal and non-formal) are reference-checked appropriately. Experience in other sectors or locations are appropriately recognised. 20. Seniority (Code): The levels of qualifications required should be in line with the needs of the position and not be set as a barrier to entry. Recognition and evaluation of qualifications should focus on judging the achievements of the person rather than his/her circumstances or the reputation of the institution where the qualifications were gained. As professional qualifications may be gained at an early stage of a long career, the pattern of lifelong professional development should also be recognised. No gap at RCSI None 21. Postdoctoral appointments (Code): Clear rules and explicit guidelines for the recruitment and appointment of postdoctoral researchers, including the maximum duration and the objectives of such appointments, should be established by the institutions appointing postdoctoral researchers. Such guidelines should take into account time spent in prior postdoctoral appointments at other institutions and take into consideration that the postdoctoral status should be transitional, with the primary purpose of providing additional professional development opportunities for a research career in the context of long-term career prospects. In terms of the contract research selection process, an evaluation template exists but it should be updated and made more widely available. Preparation & dissemination of a common evaluation template to be used by all PIs/Managers during the contract researcher selection process. Where appropriate, this evaluation template will include a section for: publications, technical experience, teaching, supervision, teamwork, knowledge transfer, management of research, innovation & public engagement activities. 17

18 Theme 3: Working conditions and social security 22. Recognition of the profession: All researchers engaged in a research career should be recognized as professionals and be treated accordingly. This should commence at the beginning of their careers, namely at postgraduate level, and should include all levels, regardless of their classification at national level (e.g. employee, postgraduate student, doctoral candidate, postdoctoral fellow, civil servants). No gap at RCSI. All research staff are treated as None professionals within RCSI and are afforded the same supports and benefits as all other RCSI Staff. Research postgraduates are treated as professionals in training and they sign RCSI contracts on commencement of their studies. 23. Research environment: Employers and/or funders of researchers should ensure that the most stimulating research or research training environment is created which offers appropriate equipment, facilities and opportunities, including for remote collaboration over research networks, and that the national or sectoral regulations concerning health and safety in research are observed. Funders should ensure that adequate resources are provided in support of the agreed work programme. IT suite of services does not currently fully support the requirements of the research community. Many researchers are not aware of RCSI's core research facilities access policy. IT Department to actively engage with research community and develop plan for improvement in this area. Better communication from the Research Office required to make all researchers aware of this policy and of the equipment that may be used. 18

19 24. Working conditions: Employers and/or funders should ensure that the working conditions for researchers, including for disabled researchers, provide where appropriate the flexibility deemed essential for successful research performance in accordance with existing national legislation and with national or sectoral collective-bargaining agreements. They should aim to provide working conditions which allow both women and men researchers to combine family and work, children and career. Particular attention should be paid, inter alia, to flexible working hours, part-time working, tele-working and sabbatical leave, as well as to the necessary financial and administrative provisions governing such arrangements. No Gap. RCSI has policies for part-time working, None. sabbatical leave etc. Policies in relation to support services for disabled Formally communicate support available for all researchers require formalisation and increased disabled researchers. visibility. Policies and procedures are not communicated in Investigated options for accessible formatting of multiple accessible formats. policies and procedures for disabled researchers. Draft policies and procedures relating to disability Paid Maternity/adoptive/sick leave for contract research staff is dependent on Terms and Conditions of the body funding their salary. Researchers are frequently unclear as to their entitlements. Request formal confirmation from each funding body in relation to their maternity leave and sick leave policy. Place this on the RCSI Staff portal. 25. Stability and permanence of employment: Employers and/or funders should ensure that the performance of researchers is not undermined by instability of employment contracts, and should therefore commit themselves as far as possible to improving the stability of employment conditions for researchers, thus implementing and abiding by the principles and terms laid down in the EU Directive on Fixed-Term Work. RCSI is fully compliant with the Fixed Term Workers None. Act All employees are given written employment contracts. 19

20 26. Funding and salaries: Employers and/or funders of researchers should ensure that researchers enjoy fair and attractive conditions of funding and/or salaries with adequate and equitable social security provisions (including sickness and parental benefits, pension rights and unemployment benefits) in accordance with existing national legislation and with national or sectoral collective bargaining agreements. This must include researchers at all career stages including early-stage researchers, commensurate with their legal status, performance and level of qualifications and/or responsibilities. No Gap. RCSI researcher salaries are awarded None. according to the Irish Universities Association (IUA) researcher scales. Paid Maternity/adoptive/sick leave for contract Request formal confirmation from each funding research staff is dependent on Terms and Conditions body in relation to their maternity leave and sick of the body funding their salary. Researchers are leave policy. Place this on the RCSI Staff portal. frequently unclear as to their entitlements. 27. Gender balance: Employers and/or funders should aim for a representative gender balance at all levels of staff, including at supervisory and managerial level. This should be achieved on the basis of an equal opportunity policy at recruitment and at the subsequent career stages without, however, taking precedence over quality and competence criteria. To ensure equal treatment, selection and evaluation committees should have an adequate gender balance. No evident gender gap. Despite no evident gender gap, RCSI will undertake a gender review at institutional level. Selection committees are routinely used for academic appointments at RCSI. These committees include diverse expertise and competencies, are gender balanced and, where appropriate and feasible, include members from different sectors (public and private) and disciplines, including from other countries and with relevant experience to assess the candidate. Yet, there is no publically available policy regarding the composition of selection committees. Prepare RCSI Researcher Open Recruitment policy statement for publication on the RCSI website. This policy will include the procedures for the composition of selection committees (where used). 20

21 28. Career development: Employers and/or funders of researchers should draw up, preferably within the framework of their human resources management, a specific career development strategy for researchers at all stages of their career, regardless of their contractual situation, including for researchers on fixed-term contracts. It should include the availability of mentors involved in providing support and guidance for the personal and professional development of researchers, thus motivating them and contributing to reducing any insecurity in their professional future. All researchers should be made familiar with such provisions and arrangements. No career development strategy or research career Develop an RCSI Research Career Framework and framework at present associated Career Development Strategy Include all research staff in the 2014 PDP process to facilitate discussion of and support with career development, thus identifying & supporting development needs of individual researchers. Lack of dedicated careers advice for Research Carry out needs analysis in relation to career Staff. coaching Explore options to provide access to career coaching for researchers Explore options to develop a section on researcher development on the staff portal with support materials on CVs, interview skills etc.; relevant links 21

22 29. Value of mobility: Employers and/or funders must recognize the value of geographical, intersectorial, inter- and trans-disciplinary and virtual mobility as well as mobility between the public and private sector as an important means of enhancing scientific knowledge and professional development at any stage of a researcher s career. Consequently, they should build such options into the specific career development strategy and fully value and acknowledge any mobility experience within their career progression/appraisal system. This also requires that the necessary administrative instruments be put in place to allow the portability of both grants and social security provisions, in accordance with national legislation. RCSI Researcher Handbook includes a section on 'managing Update secondment process to 2014 incoming and outgoing mobility' which includes policies and guidelines. procedures for the secondment of research staff, incoming visiting scientists and the mobility of postgraduate students. With the exception of those in academic posts who can avail of the promotion process, there is no formal method of recognising the mobility experience of research staff. No career framework for researchers incorporating research mobility. No Gap. RCSI Postgraduate Researchers are encouraged and supported to part-take in mobility experience. No specific process for supporting incoming researchers from other geographic regions. Tailor PDP document to suit specific needs of research staff, facilitating a discussion of potential mobility opportunities and experience as appropriate. Recognition of mobility should be incorporated into the RCSI Researcher Career Framework. None Agree a process for supporting incoming researchers to assist integration into new location. Tailor the induction pack for researchers to include mobility aspects. Assist new joiners by communicating relevant information available for mobile researchers on the RCSI website (including Euraxess links) 22