Human Resources Excellence in Research And Action Plan

Human Resources Excellence in Research And Action Plan 2015-2018

CONTENTS 1. INTRODUCTION... 2 2. CREAL STRATEGIC PLAN: Strategy to support researchers... 7 3. HRS4R WORKING GROUP... 7 4. INTERNAL ANALYSIS... 8 4.1 Legislation and existing practices analysis... 8 4.2 Survey... 8 4.3 CREAL General Meetings... 13 5. ACTION PLAN... 15 6. ACTION PLAN FOLLOW-UP... 23 ANNEXES Annex 1. European charter for researchers and the code of conduct for recruitment endorsement Annex 2. Mentoring Programme Annex 3. Research Fellow position Annex 4. Tenure-track evaluation policies Annex5. PhD Guidebook Annex 6. Code of good scientific practice Annex 7. Equal opportunity and diversity management plan Annex 8. Legislation and existing practices analysis Annex 9. Questionnaire Annex 10. Survey results Page 1 of 23

1. INTRODUCTION Center for Research in Environmental Epidemiology - CREAL CREAL s mission is to conduct high quality epidemiological research on environment and health and to provide scientific knowledge relevant for public health action. One of CREAL s main interests is to inform health protection policies that will lead to the prevention of diseases and social disabilities that are related to environmental exposures. For this reason, we strive for excellence in research as a sine qua non condition to fulfill CREAL s mission, through rigorous, innovative and competitive research projects. CREAL was established in December 2005 as an initiative of the Generalitat de Catalunya (Departments of: Health; Innovation, University and Enterprise; and Environment) with collaboration of Parc de Salut Barcelona and the Universitat Pompeu Fabra (UPF). CREAL is one of the CERCA-Centers of Research in Catalonia, the Catalan system that encompasses the research centers in Catalonia, and in 2013 it became a UPF Attached Research University Institute. A Board of Trustees and an external Scientific Advisory Committee, chaired by Prof. David A. Savitz and composed by numerous renowned researchers, periodically assesses our research and development to help us to achieve our ambitious goals. Currently, at CREAL we are about 120 people working in 6 different research programs that covers a wide range of environmental exposures (water, radiation and air pollution) and health outcomes (childhood health, cancer and respiratory diseases). Research is led by senior and junior scientists together with the participation of staff scientists, postdoctoral researchers, predoctoral students, statisticians, technicians and administrative staff. We are committed to promote close collaboration among members of CREAL, and team working is one of our preferred labels. Having a nice and friendly environment where confidence and cooperation can prosper is one of our main strengths. Professional development, honesty, integrity and respect in the workplace are among our values. In few years CREAL has evolved as world-leading center in environmental epidemiology. A key requisite for achieving this goal has been attracting and retaining first-class national and international faculty. To a large extend, the above mentioned successful evolution has been the result of a careful strategic planning and implementation process. Since its establishment, CREAL set the research priorities and strategies through its Strategic Plan with the relevant contribution of their external scientific advisory committees. The CREAL HRS4R Action Plan has been developed as a complementary tool of the CREAL Strategic Plan. It is aimed at researchers at all career stages but also to all members of CREAL, regardless of their position or contractual situation. We are also committed to keep a positive work environment and a good work conditions for everyone, including management and research support employees, whose high motivation is key for the good functioning of our center. Page 2 of 23

CREAL endorsed the European Charter for Researchers and the Code of Conduct for Recruitment on January 2013 (see Annex 1). It s important to mention that since 2013, CREAL works in alliance with ISGlobal, Barcelona Institute for Global Health http://www.isglobal.org, towards becoming a world class research & translational center in Global Health. As a result from this alliance both centers plan to integrate in the next future. Because of that, both centers have been methodologically working together the internal analysis and survey and also shared the elaboration of their respective action plan, in order to be lined up as much as possible when converging together. Page 3 of 23

2. CREAL STRATEGIC PLAN: Strategy to support researchers In the first CREAL Strategic Plan (2008-2013), specific actions for supporting the CREAL staff were included and a defined strategy to support researchers was developed. The current CREAL Strategic Plan (2013-2015) keeps its commitment with the strategy to support researchers and CREAL staff. The polices and practices already in place as well as strategic actions to be developed are listed below. POLICIES AND PRACTICES IN PLACE - Mentoring Programme: which has been developed as a tool for improving the career development of researchers at CREAL. Two mentoring schemes are included in the programme: the junior faculty programme and the postdoctoral fellows programme. Approved by the Direction Committee on January 2011 (see Annex 2). - Research Fellow position, which corresponds to a tenure non -track position between postdoctoral fellow and junior faculty and aims to support career progression of young researchers who have completed their postdoctoral phase. Approved by the Direction Committee on June 2011 (see Annex 3). - Tenure-track evaluation policies, which describe the criteria, requirements and process for the evaluation management and tenure-track promotion of researchers at CREAL. One of the key documents for developing these policies was Towards a European Framework for Research Careers published by the European Commission in 2011. Last updated approved by the Direction Committee on September 2012 (see Annex 4). - PhD Guidebook, to provide students with an overview of the organizational structure of their predoctoral training and, to inform students of their position, rights and obligations at CREAL. For its elaboration, PhD students reviewed and made contributions to the guidebook s structure and contents. Approved by the Direction Committee on January 2013 (see Annex 5). - Code of Good Scientific Practices, A PRBB working group on Good Scientific Practice was set up with the aim of actively share learning and good practice in scientific integrity amongst PRBB institutes, to catalyse the development of cross-institute educational initiatives and to act as an independent support and resource for PRBB institutes in cases of serious misconduct. CREAL participates with two members (a Full Research Professor and the Research Manager). Group and Guide approved and updated on September 2013 (see Annex 6). - Equal opportunity and diversity management plan, a working group on Equality was set up to develop an Equal Opportunity Plan. This Plan ended with 21 actions to be developed in the next 2 years and was approved by the Direction Committee on March 2015 (see Annex 7). Page 4 of 23

FURTHER ACTIONS FORSEEN IN THE CREAL STRATEGIC PLAN (2013-2015) TO STRENGH THE POLICIES AND PRACTICES OF THE CENTER Further develop translational actions + Reinforcing the translation of knowledge into innovative public health policies and interventions, and influence the Global Health agenda + Develop a translational and outreach policy, integrating the concept of Barcelona as a lab + Develop a CREAL strategy on knowledge and technology transfer, including specific training in business skills + Develop an intellectual property policy Publication policy + Develop a publication policy aimed at promoting and strengthening the timely publication of high quality research papers in high impact journals To develop an advanced education program, including Global Health, in collaboration with ISGlobal + Develop a high-quality postgraduate and continuing education strategy in Global and Environmental Health by coordinating current initiatives and developing new program + Offer teaching opportunities within UPF to all CREAL (undergraduate and postgraduate education, with particular attention in the Public Health Master) To develop the opportunities as CREAL being a UPF research university institute + Develop the UPF affiliated status of CREAL and to provide structural organization for the educational program development, including a formal procedure for UPF affiliated professorships + Improve the procedures for facilitating and supporting the thesis direction of CREAL collaborators to ensure joint supervision of thesis where appropriate, with the adjunct professors receiving due recognition on their CVs for this activity + Explore the possibilities for participating in the CQUID (CENTRO PARA LA CALIDAD Y LA INNOVACIÓN DOCENTE) educational program of the UPF Knowledge management linked to support data and sample storage, management and protection (quality assurance / assessment). + Keep all CREAL updated on data protection good practices Improve the management and administrative support to the researchers + Clarify the role of the support staff (job / tasks description) and improve their efficiency (training and incentives) Page 5 of 23

Develop a clear definition of professional career development paths for statisticians and technicians + Develop a career development path for statisticians + Develop a career development path for technicians + Maintain a plan of contractual stability + Develop a plan for continuous training / professional development Continue being proactive in coping with rigid and low salaries + Update the current salary table (incl. real salaries and new categories, ie. Research fellow) + Keep monitoring that appropriate re-assessment of progression across the current salary scheme is periodically carried out for each CREAL member + Assess the feasibility and appropriateness, of establishing a salary incentive policy + Influence Catalan/Spanish funding institutions to make evident the need for higher average salaries in research Enhance transparency and communication policies (Internal communication) + Review and update the internal communication strategy (see Communication Plan) + Consider performing a work-place environment survey + Promote the use of icreal (intranet) Improve the strategies for the recruitment of pre-doctoral and post-doctoral researchers PhD + Implement strategies for attracting students: brochure, web, masters, universities + Host students for their final degree / master project Postdoctoral fellows + Implement strategies for attracting researchers : leaflets, web, masters, universities + Host postdoctoral fellows for short stays, establishing an internal budget, inviting candidates to lectures + Identify funding sources Develop a gender equality strategy + Develop a protocol to address gender equality issues + Review and ensure a work-life balance policies at CREAL Page 6 of 23

Play a leading role in developing institutional links with PRBB institutions and collaboration with research groups Sabbaticals: + Develop a sabbaticals program for CREAL staff + Enhance the visibility of the CREAL sabbaticals program (brochure, conferences, mailing to relevant institutions, web (My experience at CREAL ) Make the communication plan more dynamic and innovative (blog, social networks) (External communication) with the collaboration of ISGlobal + Develop a strategy for both internal and external communication, including the implementation of the new ICTs + Communication- web and intranet. Updated internet and intranet on projects. Develop an instrument for monitoring development and implementation of the CREAL Communications Plan + Organize periodic seminars to present and discuss communication strategies Page 7 of 23

3. HRS4R WORKING GROUP CREAL s Direction Committee designated the Managing Director and the Research Manager to lead the coordination and implementation of the HR Strategy and its Action Plan. At the end of 2014 an internal working group, HRS4R-WG was set up in order to carry out the internal analysis and to develop the Action Plan. Researchers at all career stages and other staff categories were invited to join voluntarily the group. To establish the WG we took into account having representatives from all employee categories. Gender balance was also taken into account. This working group was approved by the Direction Committee on October 14th 2014. Faculty Elisabeth Cardis (F) (Research Professor) Juan R González (M) (Associated Research Professor) Mònica Guxens (F) (Assistant Research Professor) Samuel Espinal (M) Alejandro Cáceres (M) (statistician) Albert Ambrós (M) (technician) Gemma Castaño (F) (PM) HHRR Technicians Working Group Coordination Gemma Perelló (F) Joana Porcel (F) Postdocs Predocs Laia Font (F) David Rojas (M) Carles Hernández (M) Cyntia Manzano (F) Administration Montserrat Plazas (F) HRS4R Working Group (F=female; M=male) As mentioned in the introduction, this process has been developed in coordination with the HRS4R working group of ISGlobal. Page 8 of 23

4. INTERNAL ANALISIS From September 2014 to March 2015, we performed an internal analysis to identify the internal policies, procedures and practices in place, the areas to be improved and those to be fully developed. The principles set at the Charter and Code for Researchers were the basis for performing this internal analysis. The internal analysis consisted of the following approaches and methodologies: - Legislation and existing practices analysis - Survey - CREAL general meetings 4.1 Legislation and existing practices analysis The HRS4R Working Group performed an analysis of the national legislation that has an impact in the implementation of the principles described in the Charter and Code. This legislation set the framework on which all the internal analysis would be developed. The working group also analyzed the current existing policies and practices at the center related with the principles outlined. They concluded that CREAL practices were compliant with the Charter and Code (C&C). Existing CREAL practices are summarized according to the C&C principles (See Annex 8). 4.2 Survey To assess the degree to which the principles of the Charter & Code were applied at CREAL, a survey (see annex 8) was designed and sent to all CREAL members, including researchers at all career stages, technicians and administrative staff. The HRS4R WG prepared a proposal based on the template of the European Commission that includes 40 principles. As a result, the survey included 24 statements. This questionnaire was approved by the Direction Committee on 18 February 2015. See the questionnaire in annex 9. The survey was answered anonymously and was launched in two languages (English, and Catalan). The responses were recorded online through the Google Forms tool. The survey included: Brief general introduction in order to explain to the CREAL members the objective of the HRS4R plan. 3 questions to obtain a profile of the person regarding category, seniority and gender. 24 statements based on the principles of the Charter and Code. Each statement was scored from 1 (lower degree) to 5 (higher degree) concerning the: Level of implementation: Grading if a policy/practice or regulation was used or applied in the center. Sometimes answered as Yes/No, instead of the 5 point score. Level of importance: Grading the level of importance of each policy/practice Page 9 of 23

Taking into account these two values, a Priority Index (Pri) was calculated as follows: Pri = Level of importance Level of implementation This index has been used as prioritization criteria (Table 1). PARTICIPATION The participation rate was 55% (n= 65/119). The analysis of the results was made taking into account the whole sample and also stratified by professional category. The distribution of answers per professional category was 33 people from the research area and 32 people from other areas (support and management). Other areas 49% Research area 51% Participation by areas: 70 Total staff 60 50 Total staff 40 30 20 10 participation participation 65% 47% 0 Research area Other areas Page 10 of 23

The distribution of answers among the researchers categories was the following: NA/DK 3% Predoctoral Researchers 40% Principal Investigators 21% Postdoctoral researchers 36% The distribution of answers among the other areas was the following: Management/A dm. 19% Training and translation 3% Projec managers 16% Research suport 62% Page 11 of 23

The distribution of answers according to seniority was the following: The distribution of answers per gender was the following: Gender Male 34% Female 66% Page 12 of 23

RESULTS In summary, the survey allowed to detect key points for improvement, which helped to design the Strategy and Action Plan to be implemented. See all the survey results in annex 10 Pri Results orderer from higher Priority Index (Pri) to lower Pri obtained from the analysis of the whole sample s results. 4.3. CREAL General meetings Communication is essential in making a workplace running as smoothly as possible. Since everyone has their own tasks, but everyone on the team is going towards a common goal, communication is key when you try to work together to reach that goal as soon and efficient as possible. CREAL wants to ensure that the center and its staff communicate effectively and transparently with one another. CREAL celebrates twice a year (on June and December) what we call General meetings. These meetings are a key instrument for guaranteeing the permanent communication and participation among its members, and complements the role of other committees that take place regularly at CREAL. The aim is to have a space where the Direction and staff can interact Page 13 of 23

and have a bottom-up communication, and where people can express their worries, queries, and proposals to improve practices and proceedings at CREAL. These meetings are organized by the Director and the Managing Director with the attendance of the predoctoral researchers, research technicians and all people from support and management. All questions arisen in these meetings are tracked in a minutes that are shared afterwards with the Direction Committee. Page 14 of 23

5. ACTION PLAN 2015-2018 The CREAL HRS4R Working group met to evaluate the answers to the survey, the priorization results and items arisen in CREAL General meetings. List of policies and practices to be improved or fully developed set by the HRS4R Working group: Postdoctoral program development Mentoring program implementation Job description Mobility proceedings Code of Good Practice dissemination Professional Career (technicians and administration) Recruitment proceedings Welcome guide implementation Salary scale transparency Gender and Equal policy Plan Teaching policy development Internal Communication Conflict resolution protocol Training program Based on this list the HRS4R Working proposed an Action Plan composed of 24 actions. The 24 actions proposed in the Action Plan have been approved by the CREAL Direction Committee on May 6th 2015 and will enable to fulfill the HR Vision and HR Strategic Objectives for the period 2015-2018 in alignment with the European Code and Charter. Page 15 of 23

List of actions to be developed: ETHICAL AND PROFESSIONAL ASPECTS 1 2 Disseminate the Code of Good Scientific Practices (GSP) and the procedure to deal with research misconduct. Promote specific training on ethics in research and good scientific practices. Dissemination and inclusion in the welcome package for newcomers. 3 Create mechanisms for ethical and GSP conflict resolution. 4 5 Develop a CREAL strategy on knowledge and technology transfer, including specific training in business skills Develop a publication policy aimed at promoting and strengthening the timely publication of high quality research papers in high impact journals RECRUITMENT 6 Develop the recruitment and selection policy and an interview guide. 7 8 Train Group leaders and in the recruitment and selection process and interviewing skills. Periodic training will be provided. Inform final candidates at senior positions involved in a job interview, who were evaluated by a selection panel, about the strengths and weaknesses of their applications. 9 Prepare and disseminate a PhD brochure to improve PhD recruitment. Define a job description and professional career for technical and administrative 10 staff. WORKING CONDITIONS 11 Create mechanisms for conflict resolution. 12 Create an intranet area for family and work conciliation informing about employee s benefits. 13 Review and improve the benefits for pregnant women at the center. 14 15 16 Develop a mobility policy, promoting networking and internationalization of the faculty. Improve and update the current welcome plan: Initial training, welcome guide and materials. Implement and disseminate measures of CREAL Equal opportunity and diversity management Plan (2015-2017). 17 Develop a Postdoctoral guidebook Page 16 of 23

18 Set-up a data-base in the intranet of former predoctoral and postdoctoral researchers and their current work-place and, to invite these researchers to give informal chats about their current work situation. This strategy aims to advice the current predoctoral and postdoctoral researchers about future career options at the end of the training period. 19 Develop a intellectual property policy TRAINING 20 Set-up a Training Working Group to develop the yearly training Plan. 21 22 23 Develop an Evaluation Questionnaire to be fulfilled by all participants in the CREAL Training Courses and elaborate a yearly Training report. Develop a Continuous Training policy and a yearly Training Plan and publish it at CREAL s intranet. Identify core competencies for PhD and postdoctoral researchers and to provide proper training, if needed. 24 Review the mentoring program (established on 2012). Following each action is provided with the unit or individual responsible for the action, a timeframe for the completion of the action, and the indicators. Action number 1 Disseminate the Code of Good Scientific Practices and the procedure to deal with research misconduct 2 (Ethical principles), 3 (Professional responsibility), 4 (Professional attitude) Responsible CREAL Members of the PRBB Working Group on GSP 2016 2Q Number of actions developed Action number 2 Promote specific training on ethics in research and good scientific practices. Dissemination and inclusion in the welcome package for newcomers. 2 (Ethical principles), 38 (Continuous professional development) Responsible CREAL Members of PRBB Working Group on GSP 2017 2Q Courses and number of participants Page 17 of 23

Action number 3 Responsible Create mechanisms for ethical and GSP conflict resolution. 2 (Ethical principles), 34 (Complains/Appeals), CREAL Members of PRBB Working Group on GSP and HHRR Responsible 2017 3Q Ethical and GSP conflict resolution Policy Action number 4 Responsible Develop a CREAL strategy on knowledge and technology transfer, including specific training in business skills 8 (Dissemination, exploitation of results); 38 (Continuing Professional Development) Direction Committee 2018 3Q Policy, courses developed Action number 5 Develop a publication policy aimed at promoting and strengthening the timely publication of high quality research papers in high impact journals 8 (Dissemination, exploitation of results) Responsible Research Manager and Direction Committee 2015 4Q Policy, including the consideration of the DORA (Declaration of San Francisco Statement) endorsement Action number 6 Develop the recruitment and selection policy and an interview guide. 12 and 13 (Recruitment) Responsible Human Resources Unit and Research Manager 2016 4Q Recruitment and interview guide policy Action number 7 Train Group leaders and in the recruitment and selection process and interviewing skills. Periodic training will be provided. 14 (Selection) Responsible Human Resources Unit 2017 4Q Number of training sessions; Number of participants Page 18 of 23

Action number 8 Responsible Inform final candidates at senior positions involved in a job interview, who were evaluated by a selection panel, about the strengths and weaknesses of their applications. 15 (Transparency) Direction Committee and Research Manager 2017 3Q Recruitment and interview guide policy Action number 9 Prepare and disseminate a PhD brochure. 12 and 13 (Recruitment) Responsible Research Manager and Communications Unit 2016 3Q PhD Brochure Action number 10 Define a job description and professional career for technical and administrative staff. 28 (Career development); 22 (Recognition of the profession) Responsible Managing Director and HHRR Responsible 2016 4Q Job description Action number 11 Create mechanisms for conflict resolution. 34 (Complains/Appeals), 36 (Relationship with supervisors) Responsible Managing Director and HHRR Responsible 2017 1Q Policy Action number 12 Create an intranet area for family and work conciliation informing about employee s benefits. under witch it falls 24 (Working conditions), 27 (Gender Balance) Responsible Managing Director and IT Unit 2016 2Q New intranet area Page 19 of 23

Action number 13 Responsible Review and improve the benefits for pregnant women at the center. 24 (Working conditions), 27 (Gender Balance) Managing Director, HHRR Responsible and Equal Committee 2016 3Q Equal opportunity and diversity management plan updated with targeted actions on these employees Action number 14 Develop a mobility policy, promoting networking and internationalization of the faculty. 18 (Mobility experience), 27 (Gender balance) Responsible Managing Director, HHRR Responsible 2017 1Q Mobility policy Action number 15 Improve and update the current welcome plan: Initial training, welcome guide and materials. 28 (Career development) Responsible Managing Director, HHRR Responsible and Communication Unit 2017 2Q Welcome guide updated Action number 16 Implement and disseminate the measures of CREAL the Equal opportunity and diversity management Plan (2015-2017). 27 (Gender Balance), 10 (Non-discrimination) Responsible Managing Director, HHRR Responsible and Equal Committee 2016 1Q Number of actions implemented Action number 17 Develop a Postdoctoral Guidebook. 21 (Postdoctoral), 22 (Recognition of the profession) Responsible Research Manager 2017 1Q Postdoctoral Guidebook Page 20 of 23

Action number 18 Responsible Set-up a data-base in the intranet of former predoctoral and postdoctoral researchers and their current work-place and, invite these researchers to give informal chats about their current work situation. This strategy aims to advice the current predoctoral and postdoctoral researchers about future career options at the end of the training period. 30 (Access to career advice) Research Manager, Managing Director and HHRR Responsible 2016 4Q Data base and number of seminars done Action number 19 Develop a intellectual property policy 31 (Intellectual property rights) Responsible Direction Committee 2018 2Q Policy Action number 20 Set-up a Training Working Group to develop the yearly Training Plan. 38 (Continuing professional development) Responsible Managing Director and HHRR Responsible 2015 3Q Continuous Training policy and yearly Training plan Action number 21 Develop an Evaluation Questionnaire to be fulfilled by all participants in the CREAL Training Courses and elaborate a yearly Training report. 38 (Continuing professional development) Responsible Managing Director, HHRR Responsible and Training WG 2015 4Q Questionnaire and number of evaluations. Training report Action number 22 Develop a Continuous Training policy and a yearly Training Plan and publish it at CREAL s intranet. 38 (Continuing professional development) Responsible Managing Director, HHRR Responsible and Training WG 2016 1Q Continuous Training policy and yearly training plan Page 21 of 23

Action number 23 Responsible Identify core competencies for PhD and postdoctoral researchers and to provide proper training, if needed. 38 (Continuing professional development), 28 (Career Development) Training WG, Research Manager and predoctoral and postdoctoral representatives 2016 2Q Number of courses done Action number 24 Review the mentoring program (established in 2011). 38 (Continuing professional development), ), 28 (Career Development) Responsible Research Manager and Direction Committee 2016 3Q Number of evaluations ACTIONS TIMETABLE Light grey indicates that an action will be continuously developed; whereas dark grey indicates the time-scale a given action should be achieved Page 22 of 23

6. ACTION PLAN FOLLOW-UP The CREAL HRS4R-Working Group will report on the Action Plan implementation to the Direction Committee twice a year. It will also be responsible of the follow-up of the progress of the Action Plan and will propose re-adjustments, whenever applicable. As stated in steps 4 and 5 of the HRS4R, there will be first a formal internal review at the end of 2017 with a proposal of new actions to be developed in the following years. The working group will also be in charge to prepare and facilitate the external review that will take place at the end of 2018. HRS4R Steps Step 4: After implementation of its human resources strategy, the institution drafts a progress report based on a self-assessment, which should be conducted every two years. An updated action plan is then published. Step 5: An external assessment of progress is carried out at least every four years. The external reviewers can recommend improvements if these are not undertaken, the Commission may withdraw its acknowledgement. This Action Plan summarizes the institutional strategy towards the excellence in the human capital management. It is embedded within the CREAL Strategic Plan meaning that the entire center is aligned with its principles. This strategy will enhance CREAL excellence in research by attracting and retaining world-class researchers and support staff and by creating a work environment that fully develops the CREAL s vision and mission. Page 23 of 23