Cesaer HR-conference 2014

CONFERENCE 2014 Human Resources in Academia 21 & 22 May 2014

Conference Proceedings Human Resources in Academia 21 & 22 May 2014

Conference Proceedings Human Resources in Academia 21 & 22 May 2014

4

Contents I

Foreword by Prof. Karel Luyben – Quality, quality, quality

6

II

The importance of international collaboration of universities

8

III

CESAER HR Conference 2014 – HR in Academia

10

Day 1

11

11

Leadership and Career Development

11

National career structures - international aspirations: the challenge facing universities

13

Creation of an open and attractive European labour market for researchers

Nurturing researcher careers within universities

15

Widening the perspectives of Leadership in Academia

17

Gender Equality

19

Appraisals and Performance Management

23

Human Resource Strategies for Researchers (HRS4R)

25

Day 2

29

29

Attraction, Recruitment, and Selection

29

Equal-opportunities HR development in the context of organizational development

32

Why and how should universities educate the researchers that societies need?

Recruitment

35

Academic Leaders as Facilitators of Change

38

“Onwards & Upwards” – Career Development in Academia

41

IV Conclusions

44

Appendices

46

Profiles of the Plenary Speakers

47

Conference Programme

52

5

I. Foreword Quality, quality, quality

Karel Luyben Rector Magnificus, Delft University of Technology, President of CESAER and Chairman of HR Taskforce The main challenge for universities in the 21st century consists of three elements: quality, quality and quality. An important reason for the emphasis on quality is the increased internationalisation of universities. Good academics can choose their workplace on any continent. In this globalised world, a determining factor for scientists to choose a university as their workplace is whether they are surrounded by other excellent researchers. Excellence attracts excellence.

Quality is important, in the fields of education, research as well as in valorisation. The key factor in improving the quality of the university is to improve the quality of the staff. Therefore, in university strategies, the HR component is (and should be) the determining factor.

How to recruit, select and retain the very best people in the world? In order to answer this question, CESAER has taken the initiative to organise this first HR conference. It is important to stress that we include both academic and support staff in our aim to improve our universities.

TU Delft is honoured that our university hosts the first CESAER HR conference. I am convinced that conferences like these, in which we can share ideas, systems and best practices, and enable us to build networks, will help us to improve the quality of our universities.

In our joint aspiration to enhance our institutions, I would like to share two personal adages: • Never hire someone who is not better than you are • Never hire someone who is below the average quality of the group he/she is going to work in.

I hope this conference will inspire you and your colleagues and will contribute to further improvements of the universities.

6

7

II. Introduction The importance of international collaboration of universities The Conference of European Schools for Advanced Engineering Education and Research (CESAER) is a non-profit international association of leading European universities of science and technology and engineering schools/ faculties at comprehensive universities and university colleges. The network comprises over 50 members from 25 European countries. It was founded in 1990 with the aim of establishing special academic ties and exchanging best practice, to enhance the development of European education and research policies. Nowadays CESAER stands for scientific excellence in engineering education and research, and the promotion of innovation through close cooperation with the private and the public sector in order to ensure the application of cutting-edge knowledge in industry and society.

CESAER universities attract researchers from all over the world. Their Human Resources departments support the university in recruiting, managing, retaining and developing the best possible person for each role or position.

Doing so, they contribute to increasing the university’s performance in teaching quality and research excellence. For the quality of our universities is directly related to the quality of our staff. The role of HR is to provide a service to several academic departments, or to be responsible for a certain category of staff. At universities of science and technology, HR professionals pay specific attention to developing the human resources for research and providing an optimal environment for researchers and research careers.

Being part of the international scene, university managers realize that international impact is related to the institution’s external networks, its partnerships and collaborative links covering teaching or research with a number of prestigious European or global Higher Education Institutions. An institution’s global student and staff community, also forces the university leadership to look at the strategic implications of internationalization and mobility on HRM.

8

Towards the end of 2012, a CESAER Task Force on Human Resources was established in order to identify key operational and strategic issues of common interest, and share best practice in HR. In this task force HR professionals share international challenges of human resource management in higher education, such as competition for talent, recruitment and pension, employability, equality and diversity, learning and development. However, the task force members decided to focus primarily on the following themes: • Attraction, Recruitment, Selection, • Career and Leadership Development, • Performance Management, • Gender Equality • Human Resources Strategies for Researchers at European universities of science and technology.

At the first conference “Human Resources in Academia” organised by the Task Force HR On May 21-22 at Delft University of Technology, HR professionals were encouraged to broaden their experience and enhance their skills. The conference facilitated contacts with peers from different countries, cultures and experiences. Participants gained insights into the HR culture in other countries, and acquired a better understanding of the needs and experience of international research staff who come to work at their own university. It was and is CESAER’s ambition to bring together all those with a stake in HR at universities of science and technology, to connect and reflect and to strengthen their knowledge.

In general, apart from providing a discussion platform to foster a constructive dialogue and establish multilateral contacts between the universities, CESAER is dedicated to develop joint research, educational and other projects and to play a major part in decision-making processes in Europe, be it in the area of HR development or other.

Lieve Coninx Liaison Officer

9

III. C ESAER HR Conference HR in Academia The aim of the conference is to spread the knowledge collected by our HR Task Force and provide with a platform to discuss current Human Resources issues.

The conference was organised around two main topics: ‘Leadership and Career development’ and ‘Attraction, Recruitment, and Selection’.

The sub-topics of the conference were determined by CESAER HR Task Force. Within the task force the working groups are also discovering these subjects. Therefore, workshops of the conference were set up according to the working groups in our HR Task Force.

10

DAY 1 Leadership and Career Development National career structures - international aspirations: the challenge facing universities Lesley Wilson Secretary General, European University Association (EUA) At a time of growing global competition, reduced resources and rapidly changing learning, teaching and research environments universities greatest assets is their staff. Hence the biggest challenge for universities everywhere is that of identifying, being able to employ and to keep highly qualified students and staff.

What does this mean for Europe and Europe’s universities at a time when internationalisation is becoming more and more important, be it within Europe or globally? MOOCs know no boundaries, the number of doctoral candidates continues to grow, in Europe we are striving to ‘finalise the ERA’, and global research challenges can only be addressed by collaboration and working together in partnership.

However, while our environment is increasingly global, to a large degree, the HR structures, recruitment and promotion mechanisms in our universities still remain anchored in national legal frameworks, traditions and practices. This is a major challenge for the success of the European higher education area and the global competitiveness of the European Research Area (ERA).

11

In 2013, a survey was carried out

by EUA, based on the commitments taken to the further development of ERA in the Memorandum of Understanding (MoU) signed with European Commission, DG Research in 2012.

The aim of the research is to improve understanding of the views of member universities on progress with building the ERA in particular in relation to recent developments in doctoral training, research careers and mobility.

The key results are awareness of the Charter for researchers and the Code of Conduct (CC) for recruitment; the HR Excellence in Research Logo; EURAXESS Jobs Portal; institutional policies to promote gender equality; reform in doctoral education; obstacles to the development of institutional policies; International partnerships and mobility in doctoral education.

For further information please visit: • website of European Research Area (ERA): ec.europa.eu/research/ era/index_en.htm • website of the European University Association (EUA) MoU Membership survey: www.eua.be • CESAER website for the presentation & film. This presentation also includes the details of the EUA research results: CESAER.org/en/news-items/news/presentations-from-the-CESAER-conference-hr-in-academia/ • appendices for short CV of Lesley Wilson

12

Creation of an open and attractive European labour market for researchers Fabienne Gautier Head of Unit, ERA Policy and Reform in DG Research and Innovation, European Commission On 17 July 2012, the Commission adopted a Communication on ‘A Reinforced European Research Area Partnership for Excellence and Growth’. With the explicit objective of opening up and connecting EU research systems, the ERA reform agenda focuses on five key priorities: more effective national research systems, optimal transnational co-operation and competition, an open labour market for researchers, gender equality and gender mainstreaming in research, optimal circulation and transfer of scientific knowledge.

European Research Area (ERA) communication aims to create an Open Labour Market where, among others, researchers can circulate freely. For creating the Open Labour Market, next steps are undertaken: EURAXESS- Researchers in Motion: Contains four service types: a portal for European research job vacancies, funding opportunities, grants, a network of 200 service centres in 40 European countries; Information on the Charter and Code, Pensions for Researchers and Entry Conditions; a networking tool for European and nonEuropean researchers outside EU. Charter & Code for Researchers (C&C): Providing a reference framework and an implementation tool. This includes ethical and profession aspects, recruitments, working 13

conditions, social security and training. HR Strategy for Researchers (HRS4R) is a support tool for implementing C&C. Innovative doctoral training: This is important because doctoral training is the primary source of new knowledge for the Research & Innovation in Europe. Seven Innovative Doctoral Training Principles (IDTP) were formulated and are now accepted as a ‘guiding tool’ for further development of Doctoral Training. The seven IDTPs are: ‘Research Excellence’, ‘Attractive Institutional Environment’, ‘Interdisciplinary Research Options’, ‘Exposure to industry and other relevant employment sectors’, ‘International Networking’, ‘Transferable skills training’ and ‘Quality Assurance’.

Open, transparent and merit-based recruitment: We made documents and guidelines available for Europe wide recruitment policy. Further we give adequate feedback to staff involved in the process. Next steps regarding this are setting up a working group to work on a toolkit that strengthens the open, transparent and merit-based recruitment.

Improvement of pensions systems at European level: The European Commission (EC) supports the creation of a single European pension arrangement open to all organisations that employ researchers. The purpose is to remove pension as an obstacle for mobile researchers. First contributions for such a Pan-European Pension Fund for Researchers are expected mid2015. EC supports this financially.

For further information please visit: • European Commission, ERA website, Open Labour Market for Researchers ec.europa.eu/research/era/open-labour-market-forresearchers_en.htm • CESAER website for the presentation & film. This presentation also includes the details of the ERA research. http://CESAER.org/en/ news-items/news/presentations-from-the-CESAER-conference-hr-inacademia/ • Appendices for the short CV of Fabienne Gautier

14

Nurturing researcher careers within universities Ellen Pearce Chief Executive of Careers Research and Advisory Centre (CRAC) and Director of Vitae At policy level in Europe there is increasing focus on the need for better working conditions and career development for researchers. In developing the European Research Area there should be sufficient focus on the human resource aspects as well as the research outputs. Horizon 2020 provides some strong drivers for universities, it focuses on career development, mobility and working conditions for researchers.

Researcher Development Framework (RDF) is initiated by Vitae and is developed by researchers for researchers. The framework articulates the knowledge, behaviour and attributes of successful, world-class researchers.

Also, it can be used as a common framework and universal language for better understanding and communicating researcher competencies internationally.

We already obtained international validation and use in Europe, Australia, Japan and the US. We must take into account the following aspects in order to enhance the development of world-class researchers: • consistency with institutional strategic missions; • achieving an integrated approach for the whole researcher pipeline; • nature of provision to meet diverse individuals and multiple career paths; • levers and drivers for 15

commitment and engagement at all levels; • increased visibility, reach and engagement amongst researchers; and • evaluating the effectiveness of provision

For further information please visit: • website of Vitea for the Researcher Development Framework: www.vitae.ac.uk • CESAER website for the presentation & video of the presentation.

This presentation also includes the results of the PIRLS 2013 research. CESAER.org/en/news-items/news/presentations-from-theCESAER-conference-hr-in-academia/ • Appendices for the short CV of Ellen Pearce

16

Widening the perspectives of Leadership in Academia Dr. Cecilia Hahn Berg Head of Recruitment Unit, Chalmers University of Technology Cecilia Järbur Learning and Development, Chalmers University of Technology Thirza Troost Rapporteur, Delft University of Technology In an attempt to gather the collective competence in the group around the topic “Leadership Development”, and challenge ourselves to view the topic from different perspectives, we used De Bono’s thinking hats in this workshop, aiming at defining “Where we want to be regarding leadership in academia in 10 years from now”.

There is a need for a more specific definition of leadership in academia.

However, in order to be able to define where we want to be regarding leadership in academia in the future, we need to start by defining a strategy for where we want the universities to be, i.e. the role of the universities. Then only can we define what leadership it will take to get us there. In the workshop it also became clear that there is not one common starting point as we face great national differences regarding preconditions for leadership. Nevertheless, all workshop participants agreed that universities need to invest in leadership and leadership development.

Leadership in academia is sometimes a matter of leading independent researchers who do not want to be lead. There is scepticism towards leadership

17

and why money is being spent on leadership development rather than on research.

Leadership roles are sometimes perceived as a burden which needs to be carried by someone, and can be perceived as a threat of ruining a research career. Some leaders express fear to show their weaknesses. This may hamper leadership development.

Expectations on leaders today are increasing throughout the society. In academia students and employees expect more active forms of leadership such as coaching and mentoring. This requires a different type of leadership that is less hierarchical and more team oriented. Still the leader should be the subject expert and role model. Combining the roles of subject expert and leadership in one person, and finding the time balance between these roles seems to be a challenge for many leaders in academia.

For further information please visit: • CESAER website for the presentation: CESAER.org/en/news-items/ news/presentations-from-the-CESAER-conference-hr-in-academia/  

18

Gender Equality Anna Steiger Vice Rector for Human Resources and Gender, Vienna University of Technology Viviane Willis-Mazzichi (VWM) Head of Gender Sector, DG RTD, European Commission Gustav Amberg Vice-President of Faculty Development and Gender Equality, KTH Royal Institute of Technology, Stockholm Dr. Eva Sandmann Gender Equality Officer, Munich University of Technology Dr. Didac Ferrer Balas Head Sustainable Management & Equal Opportunities Office, Polytechnic University of Catalonia, Barcelona Tanja Hilkhuijsen Rapporteur, Delft University of Technology Gender equality in academia is still an issue: the imbalance between female and male researchers increases from the level of starting researchers to more senior positions. How do CESAER partners implement gender equality strategies and initiatives?

The first results of a survey carried out at the 52 CESAER member institutions revealed that gender equality in academia is still an issue. The imbalance between female and male researchers increases from the level of starting researchers to more senior positions - an issue that is 19

even more dramatic at engineering and technology institutions as compared to comprehensive universities. However, the survey also shows the broad spectrum of institutional policies, strategies, structures; procedures and measures applied towards providing equal opportunities for females in academic careers. There is clear evidence of institutional problem awareness as well as widespread support to change the situation.

TU Munich is in an strategic alliance (‘EuroTech Universities Alliance’) with three other European technical universities. Based on exchanges of experiences and best practices, this alliance will create a joint Gender Action Plan. Dr. Sandmann believes that the focus should be on selection and recruitment when it comes to getting more females into science.

The outcomes of the CESAER Gender Equality Survey 2013 from the member institutions are difficult to compare due to different personal structures and HR systems. Therefore, Dr. Sandmann proposes that CESAER members should agree on targets and monitoring schemes as core measures.

The goal of Polytechnic University of Catalonia (UPC) is to avoid losing talent and diversity and therefore tries to create an environment with equal opportunities for both men and women. UPC created a gender equality plan for 2013-2015, and has a committee, vice rector and an office for equal opportunities.

20

Various strategies are used, e.g.: • Showing permanent leadership that stresses the importance of having more women at UPC; • Generating a positive vision on how women enrich UPC; • Searching for alliances with other institutions with the same targets related to gender equality.

The strategy for gender equality at KTH Stockholm is based on three main elements: • Top management must take its responsibility regarding gender equality; • Make use of the knowledge available in gender science; • Work with and through the existing leaders and management.

At KTH, the vice-deans of the schools of KTH are responsible for faculty development and gender equality. Each school has a plan to increase gender equality. Actions that are part of KTH’s development plan 2013-2016 are focusing on: • Leadership and management (e.g. training managers); • Gender balance in the faculty (e.g. further develop tenure track and career support for women); • Improving the handling of discrimination and paying attention to harassment.

Gender equality in research and innovation is a key priority of the European

21

Research Area and pursues three objectives: 1. Equal opportunities and treatment in careers; 2. Gender balance in gender in decision-making; 3. Integration of the gender dimension in research content.

These objectives are also pursued in Horizon 2020 as a cross-cutting issues.

The European Commission offers financial support for setting up gender equality plans. A call for proposals is now open (due October 2014), but there will also be another call in 2015.

Gender equality is a key priority in all CESAER member institutions, and is also a focus for the European Commission and European Research Area.

For further information please visit: • website of TU Wien on the 8th European Conference on Gender Equality in Higher Education from 3 to 5 September 2014 in Vienna, Austria. gender2014.conf.tuwien.ac.at/ • Polytechnic University of Catalonia: Upc.edu • KTH Royal Institute of Technology www.kth.se/en • website of EU commission on gender equality • ec.europa.eu/justice/gender-equality/ • website of EU Commission on gender equality, call for proposals open in Oct 2014: ec.europa.eu/justice/grants1/calls/just_2014_rgen ag_pres_en.htm • CESAER website for the presentations, in which further results of the CESAER Gender Equality Survey 2013 are shown • CESAER.org/en/news-items/news/presentations-from-the-CESAER-conference-hr-in-academia/

22

Appraisals and Performance Management Dr. Willemijn Dicke HR Manager Faculty of 3ME, Delft University of Technology Tanja Hilkhuijsen Rapporteur, Delft University of Technology Appraisals and performance management at universities are challenging.

First, universities are not like cookie factories. Academic ‘production’ is not always easy to measure, count and calculate. There is more to the performance. How to balance the qualitative and quantitative aspects of academic work? Moreover, academics need autonomy in order to excel. On the other hand, some degree of fit between the university strategy and individual goals is necessary. How to increase the quality of academic work while leaving space for the academic autonomy?

As one of the few CESAER universities, TU Delft uses an appraisal system for every employee within the university. One (uniform) form is used all over the university. Part of the appraisal cycle is the Preview & Review session, and feedback including the 360° feedback tool. This online feedback instrument collects feedback from multiple relevant persons regarding the competences of the employee being appraised. The appraisal meeting is intended to support the development of individuals rather than being used as an assessment moment. Therefore, mobility receives a lot of attention, which results in a personal development plan with attention for individual career perspective.

23

For further information please visit: • Information on the TU Delft Result and Development cycle: intranet.tudelft.nl/en/career-and-development/result-anddevelopment-cycle-2014/rd-documents/ • Result and development cycle: intranet.tudelft.nl/en/career-anddevelopment/result-and-development-cycle-2014/short-summary-rand-d-cycle/ • Example of Performance criteria: intranet.tudelft.nl/en/career-anddevelopment/career-development/performance-criteria/ • Information on annual report: intranet.tudelft.nl/en/career-anddevelopment/result-and-development-cycle-2014/annual-report/ • Information on R&D meeting: intranet.tudelft.nl/en/career-anddevelopment/result-and-development-cycle-2014/rd-meeting/ • Information on feedback and finalisation: intranet.tudelft.nl/en/careerand-development/result-and-development-cycle-2014/feedback-andfinalisation/

24

Human Resource Strategies for Researchers (HRS4R) Manfred Horvat Senior Advisor, CESAER Lieve Coninx Liaison Officer, CESAER Fabienne Gautier Head of Unit, B2 ERA Policy & Reform, DG RTD, European Commission Ellen Pearce Chief Executive of CRAC and Director of Vitae, United Kingdom Trond Singsaas Director of Organisation, NTNU Norwegian University of Science and Technology, Trondheim, Norway Laura Montanaro Pro-rector, Politecnico di Torino, Italy Charley van Veen Rapporteur, Delft University of Technology Europe has excellent higher education institutions but is lacking behind regarding human resources for research. Therefore, open and merit based recruitment of researchers attracting the best possible talent to science, research and innovation is a top priority.

The European Charter for Researchers and Code of Conduct for their Recruitment constitutes a framework for researchers, employers and funders, which is conducive to successful performance in generating, transferring, sharing and disseminating knowledge and technological development, and to

25

the career development of researchers. The European Commission proposes a five-step approach towards implementing Human Resource Strategy for Researchers (HRS4R) supporting research universities in implementing the European Charter and Code in their policies and practices. By awarding the HR Excellence in Research Logo the Commission acknowledges the commitment of universities towards meeting the principles of the European Charter and Code.

In 2013, CESAER has launched an initiative promoting the HRS4R to its member institutions and facilitating mutual learning and support between members. During these sessions, university human resource experts from different universities introduce the HRS4R and share their experiences implementing and following up their HR strategy. This should help other universities in the application for the HR Excellence in Research Logo.

HRS4R is a reference framework for rights and obligations of researchers, their employers and funders. Also, it is a Tool to support the implementation of Charter & Code.

Institutions pass through five steps: 1) Internal gap analysis, 2) Action plan, 3) ‘HR Excellence in Research’ Logo, 4) Self-assessment, and 5) External evaluation.

In obtaining the HR Excellence in Research Logo, there is no success without: good cooperation and constant discussion; involvement, discussion and participation to retain enthusiastic seniors in research.

26

Advantages of having the HR Excellence in Research Logo: credibility; standard for quality in HR strategy for researchers; supports internal culture change.

It is worthwhile pursuing the HR Excellence in Research Logo because: • Gives feedback and support and facilitates sharing practice; • Plays a major role in the implementation of the seven principles of the Concordat which is aligned with the European Charter & Code and which is endorsed by the UK research community; • Has conducted a survey about the benefits of the HR Excellence in Research Award ; • Monitors and evaluates and gives support to UK institutions in making an application through the UK process.

For further information please visit: • website of European Charter for Researchers and Code of Conduct: ec.europa.eu/euraxess/index.cfm/rights/whatIsAResearcher • website of EURAXESS about the ‘Human Resources Strategy for Researchers’ (HRS4R) and ‘HR Excellence in Research’ logo: ec.europa.eu/euraxess/index.cfm/rights/strategy4Researcher • CESAER website for the presentations: CESAER.org/en/newsitems/news/presentations-from-the-CESAER-conference-hr-in-academia/

27

DAY 2 Attraction, Recruitment and Selection Equal-opportunities HR development in the context of organisational development Prof. Dr. Doris Klee Vice - Rector for Human Resources Management and Development, RWTH Aachen University The attraction and retention of high potentials is an important source of international competitive advantage in academia. To secure this competitiveness the potential of international and female researchers is no longer to lie fallow. Prof. Klee addressed structures, processes and activities by which universities can attract, develop and retain high potentials in academia.

At RWTH Aachen University talent management is regarded as a leadership task – top management, professors and support units have the responsibility to ensure that appropriate support, free of gender biases, is in place. Furthermore, talent management is embedded in all processes of organizational development including recruitment and appointment processes, career development strategies as well as family-friendly working conditions.

With respect to recruitment, RWTH Aachen University´s “Proactive Recruitment Strategy” aims at building up an attractive employer 29

brand in order to attract high potentials in all scientific fields to further strengthen international competitiveness. Pursuing this goal, the recruitment process chain comprises diverse coordinated measures from marketing to recruiting to onboarding of new professors. To increase the number of female professors, appointment procedures are actively supported through different means of talent sourcing.

With respect to career support, universities have to provide their employees with • well-designed job positions, enabling young researchers’ early independency and the possibility for interdisciplinary research, • transparent and well-structured career perspectives as well as advice for different career pathways • target group specific career development support • and intramural funding opportunities while taking into account equal opportunity as well as gender and diversity aspects.

30

Family-friendly work and research structures are also essential to support the careers of female or family-oriented researchers.

They include framework conditions like flexible workplace arrangements and childcare opportunities.

Furthermore, raising awareness with respect to the employees’ family role of those in leadership positions and in the organization as a whole is another important way to follow.

For further information please visit: • Website of Gender & Diversity at RWTH Aachen: www.rwth-aachen.de • CESAER website for the presentation and film. This presentation also includes further details of the RWTH Aachen organisational development: CESAER.org/en/news-items/news/presentations-from-the-CESAER-conference-hr-in-academia/ • Appendices for the short CV of Prof. Dr. Doris Klee

31

Why and how should universities educate the researchers that societies need?

Prof. Geoffrey Boulton Regius Professor of Geology & Vice Principal Emeritus, Edinburgh University Rigorous and creative researchers are vital to many sectors of modern society. Attracting some of the best minds in each generation from the global pool of talent into research must be a European priority. It is therefore important that research careers offer, and are seen to offer, a supportive environment, responsibility and independence at an early stage and the stimulus and opportunity for ambitious creativity. Career trajectories need to be well-structured with an awareness of the diversity of potential employment, based on recognition that university careers can only cater for a minority.

Universities face increasing pressures to manage and promote themselves as economic actors in ways that impinge on their roles and the ways that they educate and support researchers. Should they adopt a bolder view of their roles and those of their researchers, or will they be increasingly captive to the immediate economic objectives to which governments increasingly point them? How should they balance traditional approaches to academic freedom in research against pressures for strong, directive management - the individual against the corporate - with the different implications that these two modes have for universities’ human resource priorities and procedures?

32

‘What do we educate researchers for?’ and ‘How should universities support the researchers that societies need?’ My answer would be that we want people that can address problems and we want people that are able to define new problems” To support the human resources that research requires, we need to: • Consider the whole HR chain. Including academic staff, early career researchers and bachelors/masters training; • Understand career pathways for trained researchers; • Consider the chain of responsibility, including ERA, national, university, departments, research groups, supervisors; • Consider what is needed from researchers who remain in universities. This depends on what you think universities are for.

We need to be clear about the roles of researchers. And look at bachelor/ master courses, are they able to train young academics? Most of our supervisors have to learn that the students project isn’t theirs.

There are different career pathways for graduates: • 53% obtains a career outside of science • 0.45% becomes a professor So, are we training researchers for the wrong positions? Yesterday we heard that Europe needs a million more researchers. I think we trap ourselves by believing in this European mind-set, European research doesn’t exist.

Moreover, a research market doesn’t exist.

33

Regarding research, subsidiarity is very important. We must get the funding possibilities right.

It is wrong to focus only on the research output, you must focus on the people. Research is not approachable like the machine approach presented in ‘Modern Times’, the movie with Charles Chaplin. Now it is time to step outside the machines and think about: ‘What are the machines for?

Do we need these machines or do we need other machines?’

Science must be first, the economy will follow and is not the objective at first stake.

For further information please visit: • CESAER website for the presentation and film. http://CESAER.org/en/news-items/news/presentations-from-the-CESAER-conference-hr-in-academia/ • Appendices for the short CV of Prof. Geoffrey Boulton

34

Recruitment Dr. Thomas Eichenberger Head of Faculty Affairs ETH Zurich Dr. Greger Linden Senior Adviser Academic Affairs, Aalto University Dr. Hassan R. Sadeghi Head of Faculty Affairs, Ecole Polytechnique Federale de Lausanne (EPFL) Madeleine Luthy Dual Career Advice, ETH Zurich Matthias den Otter Raporteur, Delft University of Technology It’s best to hire people when they’re most productive: in their thirties.

The workshop is aimed at exchanging best practices on how to be interesting for scientific talent. Two successful ways to be attractive to young scientific talent are the tenure track system and Dual Career and Integration Service.

Assistant professorships are an excellent instrument to attract highly talented young researchers who will be offered the option for a permanent position if they perform well. Whereas the Aalto University established this instrument just a few years ago, the Ecole Polytechnique de Lausanne (EPFL) can look back on 15 years of experience with assistant professorships with tenure track. Mobility still is one of the major requirements in the career development of young researchers. By establishing

35

dual career and integration services they can be supported by academic institutions. This is especially true for young female scientists for whom of the mobility and further qualification phase often coincides with crucial private decisions re. family and children.

Aalto University was created in 2010 by merging 3 universities, one oriented on business, one on design and a third on technology. Aalto has the ambition of being a world-class university by 2020, and an important strategy for realising this is recruiting the best. Therefore, the university has developed a tenure track system. In this system, assistant professors are hired for two terms, one of 3-5 and a second of 4 years. After this, they can be promoted to associate professor, for a minimum of 5 years. Finally, they can obtain a position as full professor. The system is quite successful, there’s a clear career path, and the number of appointed professors that are women has raised from 15% to 24%. Challenges for the future are the coming retirement wave, the risk of losing candidates because of the duration and thoroughness of the selection programme, and the decreased funding.

In 2000, EPFL elected a new president, who changed the course of the university from very planning-oriented to somewhat more dynamic. A result of this process was the tenure track system, developed to attract young talent, especially female and non-Swiss. Like Aalto, they have a three stage system (assistant/associate/tenured professor). Academic autonomy for young talents is important: they have their own budget and own research activities, but also

36

clear procedures of evaluation: promotion to a tenured position means that the expectations have been met successfully. The system is successful, of the 68 people that have been evaluated ever since, only seven of them have left for not living up to the expectations. The conclusion was drawn that a tenure track system can help an organisation becoming more dynamic.

One can develop a strategy on recruiting the best people, but they don’t come alone. The families also have to be taken into account. The spouse might want to find a job in their new city and the children need to find a school. The main obstacles in this process are language, cultural differences and social integration. For these reasons, scientists can be slowed down in their scientific career, especially women. ETH Zurich therefore developed a modular programme on dual career and integration service, that helps scientists moving to Zurich with all the integration issues. This includes a special websites with all information about living in Zurich, but also workshops on social integration, lists of schools and day-care.

The major challenge for European universities is to stay attractive for top talent, also when there are limited financial resources. Because of those limited resources, HR services and career paths need to be excellent. A tenure track that provides a perspective for obtaining a tenured professor title and guidance and support for the families of the scientist could be means to become excellent. This second point is especially important in the process of recruiting a larger number of female professors, of which the percentage is about 15% right now.

For further information please visit: • Website of Aalto about the tenure track system http://www.aalto.fi/en/about/careers/tenure_track/ • Website of EPFL http://www.epfl.ch/ • Website of ETH Zurich about Dual Career and Integration Services http://www.facultyaffairs.ethz.ch/dualcareer/index_EN • CESAER website for the presentations. http://CESAER.org/en/news-items/news/presentations-from-the-CESAER-conference-hr-in-academia/

37

Academic Leaders as Facilitators of Change Dr. Christina Reinhardt Vice-President of Economic and HR Management, Bochum University of Applied Sciences Dr. Peter Röhrig Consultant, ConsultControl Dr. Kai Handel Vicepresident of Hochschule Osnabrück Michiel van Dusseldorp Rapporteur, Delft University of Technology “In universities, changes cannot happen without the professors acting as enablers. However, professors need to understand that things must change and that they are not necessarily at the centre of the change.”

From an organisational point of view, academic leaders do not only play a major role in fostering academic talent, but also in initiating, supporting and shaping change processes. This happens during the development of organisational strategies, restructuring processes and the introduction of new controlling tools. An academic leader, an organizational developer and an external change agent show, how leadership has to be practiced, in order to successfully operate change processes; and how academic leaders can be supported in and prepared to the execution of this kind of challenges.

In order to successfully operate change processes an academic leader, an organisational developer and an external change agent responds how leadership has to be practiced.

38

Dr. Reinhardt expressed that change processes fail mainly due to cultural issues, not because of the ideas and quality of the new processes. Academic leaders need a certain mind-set and approach in order to make effective changes. Some pointers are: • Act as an example • Show that you can be trusted, be open and that you take your employees seriously.

• Mind the pace of change • Take different approaches in different stages • Use basic project management tools to facilitate participation The main conclusions to answer the central questions (What makes academic leaders successful in facilitating change processes?) were: • Take the time it needs, do not force change, allow people to reflect at their own pace.

• Create ownership: Let the implementation and the details open to be filled in by the organisation itself. But mind that ‘the devil is in the details’.

• Credibility of leaders: Primus inter pares in behaviour (f.e. show vulnerability), but still taking responsibility as a leader. Listen, talk, reflect, set the mood, decide, create the right conditions and then implement.

• Create a critical mass of followers that support and enable the changes, be open, implement a feedback culture; bring in people into the decision making of the change process. Realise and embrace that change will bring resistance. Resistance is an unusual form of cooperation, because it can 39

contribute by giving critical feedback • External advisors can help as leavers (or scapegoats in case of failure). They can bring experienced and credible advise to the table.

Next to that, commitment of internal leaders is of utmost importance.

Probably the most challenging aspect of creating successful change is that the change itself sometimes is necessary, but not always welcomed.

Dealing with this resistance and finding enablers at key positions, that will and can advocate your cause is key to making the change successful.

For further information please visit: • CESAER website for the presentations. http://CESAER.org/en/news-items/news/presentations-from-the-CESAER-conference-hr-in-academia/

40

‘Onwards & Upwards’ – Career Development in Academia Barbara Schray International HR Marketing, RWTH Aachen University Barbara Bertges Head of Career Development, RWTH Aachen University Thorana Grether PhD Student at the Chair for Personnel and Organizational Psychology, RWTH Aachen University Prof Bettina Wiese Professor of Personnel & Organizational Psychology, RWTH Aachen University Dr. Cecilia Hahn Berg Head of Recruitment Unit, Chalmers University of Technology Sébastien Huber Senior Policy Officer, Science Europe Merel Eggens Rapporteur, Delft University of Technology “Career Development in Academia” aimed to provoke discussions on challenges within the three topics “alternative academic career paths”, “mobility between academic and nonacademic sectors (e.g. industry)” as well as “career support”.

Academic staff is expected to be proactive in managing their own careers.

However, academic institutions and senior staff also have a responsibility to ensure that appropriate support is in place. We need to address career advisory and guidance and promote reflection on how academic 41

42

organisations handle the career progress of their scientists. In addition, we aim to provoke discussion of alternative academic career paths and the design of a career development portfolio.�

Across countries the necessity of opening up new academic career paths was acknowledged. All participants agreed that research and education are intertwined, and that this combination is essential for ensuring excellent, high quality teaching. However, a non-scientific career path exclusively focusing on management was regarded as an added value.

Furthermore, the promotion of intersectoral mobility was considered as very positive and beneficial during the PhD phase (e.g. joint doctorates) as well as in later career stages. Individuals’ career self-exploration process should be facilitated by career support mechanisms that assist in finding the right career and support the further development of role-specific skills.

Competing with profit-oriented organisations and other research institutions in the war for talent, universities are facing significant challenges in terms of redesigning career paths and providing opportunities besides the traditional academic track. These developments do not only require adaptions in structures but also imply a change in mindsets. Most importantly, the significance and status of alternative career paths in e.g. science management needs to be enhanced. Universities and also funding and ranking organisations could support this mindset change by taking merits and skills like teaching or leadership qualities into account instead of solely focusing on scientific output. Finally, the current developments should not be perceived as a threat but rather as an opportunity to increase attractiveness for high potentials.

For further information please visit: • CESAER website for the presentations. http://CESAER.org/en/news-items/news/presentations-from-the-CESAER-conference-hr-in-academia/

43

IV. Conclusions All members of the CESAER HR Taskforce agreed that this conference was a success in terms of inspiration, of building inter-organisational networks and identifying major themes for universities of technology and engineering.

The conference underlined the importance of exchanging knowledge and experience. Member universities face similar challenges and we can learn from each other. The vivid discussions showed that participants were motivated to learn, but, equally important: they are willing to share practices, systems and experiences.

The CESEAR HR Taskforce is relatively new and we are still in the process of strengthening our CESEAR network. For an institution like this to survive and to bring something about, it is absolutely necessary that, besides the institutional structure, we know each other personally so that we can reach out easily when we have a challenge or question at hand. We have seen several good examples of this already: hands on practices with regard to attracting and retaining good staff have been shared; systems of performance management and appraisal talks are distributed and CESAER colleagues have visited each other for further information on dual careers, tenure tracks and gender policies.

Although CESAER members face similar challenges and opportunities, all individual organisations function within different (national and regional) institutions; are placed within typical historical traditions; have developed different governance models and have different resources at their disposal.

For these reasons, CESAER HR Taskforce will not and cannot develop one size fits all solutions. We can, however, learn from each other. This conference was yet another step in that direction.

The members of the Taskforce have agreed that another HR conference is most useful and we have the firm intention to organise a new edition.

44

45

Appendices

46

Profiles of the plenary speakers Lesley Wilson Secretary General, European University Association Lesley Wilson was educated at the Universities of Glasgow and Strasbourg and also has an honorary doctorate from the UniversitĂŠ Pierre et Marie Curie in Paris. She joined the EUA at its creation in 2001 and took over as Secretary General in 2002. Prior to joining the EUA she held a number of senior posts in higher education and research management in various European and international organisations including the European Commission, where she was Director of Strategic Planning, Monitoring and Evaluation at the European Training Foundation in Turin (1999-2001), and UNESCO where she was Director of their European Centre for Higher Education, based in Bucharest, from 1995 - 1999. Before that she was Head of Policy at the European Science Foundation and also contributed to the development of EU education programmes through involvement in the launch phase of ERASMUS and as of 1990 as the Director of the newly established EC TEMPUS Office in Brussels. Her early career was spent in the German Science Council in Cologne.

Fabienne Gautier Head of Unit, ERA Policy and Reform in DG Research and Innovation, European Commission Fabienne Gautier has been Acting Head of the European Research Area (ERA) Policy and Reform Unit in the European Commission (DG Research and Innovation) since September 2012, and before that was Deputy Head of Unit since April 2011. She supports the coordination and development of an ERA policy Framework as part of the Innovation Union Flagship Initiative of the EU’s Europe 2020 Strategy.

From 2008 to 2011 she was Deputy Head of the Administration and Finance Unit of the Directorate in charge of Science, Economy and Society. Besides

47

the overall planning and monitoring tasks of the Unit, she supervised the negotiation and follow up of the Directorate’s grants and public procurements, developing concrete actions to reduce the time to grant.

From 2006 to 2008 she worked as a policy and legal officer in charge of the implementation of Article 185 of the Treaty for the 7th Framework Programme in the Directorate in charge of the Coordination of National Research Programmes. From the identification of the potential candidates, to the preparation and adoption of the first proposals in co-decision, she actively contributed to the realisation of the Commission’s Work Programme on this strategic issue.

From 2003 to 2006 she was a project officer responsible for several ERA-NET projects for the 7th Framework Programme and contributed to the definition of the legal framework of ERA-NET and ERA-NET Plus activities.

From 1995 to 2003, she worked as legal officer in the Legal Unit of the Directorate General for Research and contributed to the drafting of the regulatory decisions and contracts related to the Framework Programmes.

She has a Master degree in Law (France), a certificate in European Law from the European Institute in Saarbrücken (Germany) and Advanced Master in Law of Information and Communication Technologies from the University of Namur (Belgium).

Ellen Pearce Chief Executive of CRAC and Director of Vitae Ellen Pearce is Director of Vitae and CEO of CRAC: the Career Development Organisation which manages Vitae.

She is responsible for the strategy, work and activities of Vitae which aims to enhance the quality and output of the research base, through supporting the training and development of world-class researchers.

Working in the area of personal, professional and career development for researchers since 2002, Ellen has led several key initiatives in the last few years. Currently, she is a member of the NERC Training Advisory Group and the EURAXESS steering group; and leads the process for UK institutions to gain the European HR Excellence in Research Award, now held by over 80 UK organisations.

48

She has worked on the ‘What do researchers do?’ publication series, co-authored the ‘HR strategies for Researchers: A review of the HR Excellence in Research Award implementation activities across Europe’, ‘Enterprise at work: exploring intrapreneurship in researcher development’ and ‘The visibility of researcher development in UK higher education institutions’ strategies’.

She has led work funded by the EC Lifelong learning programme to enhance doctoral employability through internationally applicable training and development support and university careers services and EURAXESS funded work to explore the experiences and training needs of internationally mobile researchers.

Prof. Dr. Doris Klee Vice - Rector for Human Resources Management and Development, RWTH Aachen University Professor Doris Klee was born in 1955, studied Chemistry at RWTH Aachen University and obtained her doctorate in 1983 at the since-renamed DWI Leibniz Institute for Interactive Materials. She completed her habilitation in 1997 at the Institute of Technical and Macromolecular Chemistry and has been as a professor of macromolecular chemistry at RWTH Aachen University since 2004. Prof. Klee’s research focuses on the improvement of membrane tolerability of biomaterial surfaces and the development of so-called drug delivery systems. In 2010, Prof. Klee became the Equal Opportunities Officer of RWTH Aachen University, a position which she held for 19 months.

Prof. Klee currently serves as chairman of the supervisory board of the Aachen Centre of Technology Transfer in Ophthalmology (ACTO e.V.) as well as a board member of the Macromolecular Division of the German Chemical Society (GDCh). Since October 2011, Doris Klee has been the Vice-Rector for Human Resources Management and Development at RWTH Aachen University.

Prof. Geoffrey Boulton Regius Professor of Geology & Vice Principal Emeritus, Edinburgh University Professor Geoffrey Boulton OBE FRS FRSE is Regius Professor of Geology and Vice Principal Emeritus at the

49

University of Edinburgh. He is a member of the Council of the Royal Society, chairs its Science Policy Centre and was principal author of the recent Royal Society Report on Open Science. He is chair of the Academic Advisory Council of the University of Heidelberg and a member of the Strategic Council of the University of Geneva. He is a member of the UK Government’s Transparency Board and is President of the Scottish Association for Marine Science. Until recently he was a member of the UK Prime Minister’s Council for Science and Technology, the UK’s top-level science policy body, and has been a member of the Royal Commission on Environmental Pollution, the Natural Environment Research Council for which he chaired its Earth Science and Polar Science Boards, Chair of the Research Committee of the League of European Research Universities and member of the Scottish Universities Funding Council. His research is in the fields of environmental geology and glaciology.

He currently leads a major project on the Antarctic Ice Sheet. He has many national and international awards for his scientific work, and honorary degrees from British and European universities.

50

51

Conference Programme

52

53