Discussing Open, merit-based, transparent recruitment in Europe Hugo Horta Center for Innovation, Technology and Policy Research IN+/IST.

Discussing Open, merit-based, transparent recruitment in Europe

Hugo HortaCenter for Innovation, Technology

and Policy Research IN+/IST

Presentation contents

• What is open, merit-based, transparent recruitment?

• A challenging issue: discrepancy of “perceived understandings” of the same phenomena

• A complex social phenomena full of nuances• Results of a questionnaire: good practices and

recent initiatives to foster open, merit-based, transparent recruitment

• Open the floor: specific cases

Recruitment issues a key policy

Recruitment procedures at European universities characterized as open, transparent, and merit-based are understood as a prerequisite for the realization of the European Research Area (ERA)

Funders or employers of researchers in their role as

recruiters should be responsible for providing researchers with open,

transparent and internationally comparable selection and recruitment

procedures. (pg 5)

European Charter for Researchers and the Code of Conduct for the Recruitment of Researchers

What is it?

incorporates the principles of equal opportunity to ensure that the most capable person is selected for a position on the basis of merit, and refers to the right of every individual to be given scrupulously fair consideration for any job for which they are skilled and qualified

University of Technology of Sidney: http://www.equity.uts.edu.au/equal-opportunity/employment/recruitment/what.html

Open, merit-based, recruitment

• Open – wide - advertisement of positions tailored to the type of positions advertised

• Streamlined applications (avoiding overburdening of the application process)

• Transparency in application (# vacancies, career prospects)

• Fairness in selection (diversity of expertise in selection committees, multi-evaluation methods)

• Merit (take into account experience of the candidate, judged quantitatively/qualitatively, life constraints)

A challenge: a perception issue, yet a relevant issue

Gap of perception Gap between policymakers and researchers on open, merit-based, transparent recruitment.

•The vast majority of national policymakers understand the recruitment systems in place to be fair and transparent; •A substantial share of researchers do not perceive it as such. They perceive recruitment rules and procedures as:

- not open, fair, and transparent. - tend to mention lack of open access to vacancies and job opportunities as a major disincentive to start or remain in the research career track in Europe.

More 2 surveyAround 34% to 40% of European Union researchers “dissatisfied” with the levels of openness, transparency and the existence of merit-based recruitment at their institution

But we can also understand this from other perspective: 60% to 65% reported to be satisfied. Is the glass half full, half empty dilemma…

More 2 survey

The levels of satisfaction were found to be country specific. This is a result concerning open recruitment but the results on merit-based and transparent

recruitment mirror the one above

More 2 survey

R1 R2 R3 R4

% satisfied

Open recruitment 56.1% 58.6% 60.1% 63.3% 60.0%Transparent recruitment 62.3% 60.6% 65.0% 68.8% 64.6%Merit-based recruitment 67.3% 60.1% 66.9% 67.9% 65.7%

Table 1: Satisfaction with recruitment process at home research institution (EU27)Note: % of researchers that were satisfied (vs. not satisfied) with the researcher recruitment process (n=9,016); Source: MORE2 Higher Education Survey (2012)

Those in the early career researcher stages that are most dissatisfied with their recruitment experiences:

•R1 researchers are the least satisfied with the levels of openness in recruitment •R2 researchers show the lowest levels of satisfaction concerning transparency and merit-based recruitment.

Also:

•females show lower levels of satisfaction with recruitment processes when compared to males.

What these results hint at?Perception discrepancy may be related to the evolution of scientific and higher education systems themselves and national traditions

And the knowledge that change takes time at all levels and that universities are amongst the most resilient institutions in the world

Hiring Women Faculty in the Schools of Science and Engineering at MIT

What these results hint at?Perception discrepancies may be sometimes more associated with the dynamics of scientific and academic institutions than to the norms in place established at national level.

One finds close recruitment practices in research universities of countries with more developed scientific and higher education systems (Japanese research universities).

But, not unheard of to find more research oriented universities in countries developing their knowledge base fashioning open recruitment dynamics (Lisbon MBA: collaboration between the Nova University of Lisbon and Catholic university ).

A lot seems to depend on the institutions “competitive horizons” (Hoffman et al., 2008)

What these results hint at?Some disciplinary fields tend to be more linked to open recruitment processes (science and engineering) while others to close recruitment processes. This is related to the ethos and disciplinary traditions, as well as the variability of their international scope.

This is something that cannot be perceived as a black box:

Variability in the adoption of open and close recruitment processes can happen within countries by institutions, and within the institutions by disciplinary field

Question 1

To what extent can national level policies influence the effective implementation of open, merit-based, transparent recruitment practices in universities and research institutes?

Complex picture: food for thoughtStaffing options Benefits Drawbacks

Open Recruitment is a competitive process that seeks a broad pool of qualified, diverse applicants and normally utilizes a search committee to screen, interview and identify a candidate for hire.

• Assures greatest access to available pool of qualified candidates • Allows greatest opportunity for interested parties to compete • Invigorates and brings new skills and perspectives to unit workforce • Provides an opportunity to address underutilization within the classification and/or job group • Recruiting the most qualified candidates is critical to campus succession planning

• Requires allocation of resources for outreach and advertising • Process can take several months

Close/internal Recruitment is a competitive process that normally utilizes a search committee to screen, interview and identify a candidate for hire. Advertising and outreach focused on the institutional community (but not only limited to it)-Problematic if Advertising and outreach limited to the institutional community

• Allows all campus employees access to a promotional opportunity • Provides an opportunity to hire most qualified internal applicant • Reduces perceptions of inequity or unfairness that can result from reorganizations or non-recruitments •Decreases hiring risks

• It may limit the pool of applicants impacting the diversity of the pool of applicants • If effectively closed it does not allow other qualified applicants to apply

Adapted from UCSC - Comparison of Staffing Options

A scenario for reflection• Is close/internal recruitment always a “no-no” option? • What if the advertizement is not only focused on the

institutional community and the selection is based on merit?

• What if there is no nepotism, parochialism and particularism involved in the recruitment process?

An example: Studies show that academic inbreeding is detrimental to academic endevours but this practice is also seen as “valid” as a means to retain the “best” and to maintain teaching activities fluid

Question 2 and 3

Are close/internal recruitment practices necessarily at odds with open/external recruitment practices? Can these explain patterns of greater dissatisfaction concerning recruitment procedures among R2 researchers?

Can public policies contribute to diminish recruitment practices

such as academic inbreeding, and others associated to nepotism

and parochialism? Are competitive research funding and

internationalization policies a possible solution?

Advance our knowledge through mutual learning: a questionnaire

1) assessment of open, merit-based, transparent recruitment in the various countries as perceived by the respondents

2) identification of good practices and recent changes in terms of policy and incentives to facilitate or encourage open recruitment

Findings on challengesThere is an overall agreement that:

•universities have a publicly available and open recruitment policy in place •the job specificities are included in the job ads, and that these include clearly defined working arrangements, standards, and transparent procedures for appointment. •appointment decisions are primarily based on excellence and merit.

Findings on challengesMajor barriers to the establishment of an open, merit-based, transparent recruitment were also identified:

•Language seems to be problematic in terms of the selection and appointment of the best applicants. •Although most countries stated that the application procedures should not be considered as burdensome for the applicants, a few countries suggested that this occurs sometimes, while in others this was deemed to be a challenge. •Most respondent countries believe the advertisements are reaching the best possible applicants to the job, although a few countries consider that this happens only in some cases.

Findings on challengesLesser issues related to the establishment of an open, merit-based, transparent recruitment were the following:

•Most respondent countries state that the recruitment procedures are transparent from application to selection, although few countries suggest that this only happens in some cases or regarding some positions. •The composition of the jury/evaluating committee/hiring committee is made available to the applicant, either systematically or upon request in the majority of the countries, but some other countries report that this is only done in some cases.

How would the application procedure of your country universities compare to the

example below?Application Procedure Please send the completed application form and/or full

curriculum vitae, together with copies of qualification documents, a publication list and/or abstracts of selected published papers, and names, addresses and fax numbers/e-mail addresses of three referees to whom the applicants’ consent has been given for their providing references (unless otherwise specified), to the Personnel Office by post or by fax to (852) 3943 1462 by the closing date.

Please quote the reference number and mark 'Application - Confidential' on cover. ThePersonal Information Collection Statement will be provided upon request.

Question 4

Language and administrative issues were identified in the questionnaire as barriers to open, merit-based, transparent recruitment. To what extent solving these issues represent a major step towards an effective open recruitment system for researchers in your country?

Findings on good practices adressing open, merit-based, transparent recruitment

Most countries reported having good practices implemented concerning:• an easier accessibility to information and procedures of recruitment for international researchers, •transparency of selection process/evaluation criteria, •setting or introducing national and/or international guidelines concerning open, merit-based, transparent recruitment.

Findings on good practices adressing open, merit-based, transparent recruitment

• Very few countries identified good practices regarding the transparency of job information (opening of vacancies).

• The same is true regarding features associated with the efficiency of job information posting or the selection process. (This may be explained by the fact that these are

matters more of the realm of universities and other hiring institutions). • Few good practices seem to have been recognized or

implemented concerning the use of recruitment mechanisms/tools (such as job portals) to foster intersectoral mobility.

Findings on good practices adressing open, merit-based, transparent recruitment

Country

Setting or introducing national or

international guidelines

Funding to attract and

recruit researchers

Transparency of Efficiency of Easy

accessibility to

information and

procedures of recruitment

for international researchers

Attracting internationa

l (foreign) researchers

Using recruitment

tool to bridge

academic and business

Selection process /

evaluation criteria

Job information

(opening)

Selection process /

evaluation criteria

speeding job information

Austria √ √ Belgium √ √ √ √ √? √ √ Czech Republic

√ √ √ √

Estonia √ √ Finland √ √ France Greece √ √? √?Ireland √ √ √ √ Moldova √ √ √? √?Slovenia √ √ Spain √ √ √ Switzerland √ √ √ √ Netherlands √ √? √? UK √? √?

Findings on Recent changes in policy or incentives to encourage open recruitment

Recent changes in policy/incentives towards more open, merit-based, transparent recruitment practices has been mainly done at the government or funding agency level, either through changes to the law or by efforts to reform the system at national level (in a top down approach).

Findings on Recent changes in policy or incentives to encourage open recruitment• Fewer countries reported policies/incentives

promoted at the university level. When they are, they tend to be part of reform efforts driven by the universities, or part of their strategic planning.

• Only a few countries reported increases in university autonomy as a means to facilitate or encourage open recruitment.

• Few countries also identified recent changes in advertising job vacancies, mostly internationally (can it be it is not an issue anymore?)

Question 5

To what extent greater or smaller degrees of institutional autonomy can contribute to the implementation of effective open, merit-based, transparent recruitment practices?

Findings on Recent changes in policy or incentives to encourage open recruitment• Fewer countries seemed to have introduced

policies or incentives to increase the transparency of selection processes or contracts (may be derived from a perception that these are not particularly important barriers regarding the establishment of open, merit-based,

transparent recruitment systems). • Only one country identified recent changes in

policy (or incentives) towards encouraging open recruitment that entailed closer cooperation between societal and economic needs

Findings on Recent changes in policy or incentives to encourage open recruitment

CountryGovernment or

agency level University level

Advertising job vacancies

Increasing transparency of

Making easy to

access and guiding for internation

al researchers

Attracting and giving

intensives to doctoral &

postdoctoral level

researchers

Cooperating societal

and economic

needs (public & private

sectors)

Legal policy

or progra

m

Reform of

system

Increasing

autonomy

Reforming or

planning

Nationally

Internationally

selection process /

evaluation criteria

contract

Austria √ √ √ Belgium √ √ √ √ √ Czech Republic

√

Estonia √ √ √ √ √Finland √ √ France √ Greece √ √ √ √ √? √ Ireland √ √ Moldova √ Slovenia √ √? √ √ Spain √ Switzerland √ √ Netherlands √ UK √

Additional insights regarding relevant issues identified in the questionnaire

Dr. Rein Kaarli and Ms. Ursula Tubli, ESTONIA

1) the efforts that institutions in Estonia are making to make the information about vacancies more easily accessed nationally and internationally; 2) the efforts that universities have been undertaking to limit language requirements and other restrictions to the hiring processes.

Dear Dr. Rosa Fernandez, UNITED KINGDOM

1) the monitoring process of the Concordat as an agreement between the funders and employers of researchers in the UK; 2) the recommendations implemented in 2013 and in particular the new recommendation for the institutions to contrast and compare progress across disciplines and departments as a means to identify and share good practices.

Marie-Louise Gächter-Alge, SWITZERLAND

1) how the fact that no national laws regulate the recruitment of professors and other staff, and that universities/faculties provide their own regulations can be considered as an advantage ; 2) Provide more details on the centralized online application platform set up by the Swiss universities , and how this increased transparency and efficiency in facilitating the application process .

Brendan McCormack, IRELAND

1) how the Irish universities recognized and swiftly advanced for the voluntary sign up of the EU Charter and Code; 2) The ongoing implementation of the scientific visa (hosting Agreement) Scheme.

Vasiliki Pletsa, GREECE Explaining in greater detail how the increase in university autonomy as facilitated by Laws 4009/2011 and 4076/2012 on Higher Education is impacting and fostering open, merit-based, transparent recruitment processes at Greek universities.

Ana Mafalda Dourado - PORTUGAL

Explaining how public science policies focusing on research competitiveness and internationalization have impacted on academic inbreeding practices at Portuguese universities.

Let us continue to discuss and learn from one another