GAP Analysis (Charter and Code Checklist)

21. 11. 2018 HRS4R Form | EURAXESS

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GAP Analysis (Charter and Code Checklist)

Case number: 2018CZ353848Name Organisation under review: Tomas Bata University in Zlin, Faculty of Applied InformaticsOrganisation’s contact details: Nad Stráněmi 4511, Zlín 5, Czech Republic, 76005Submission date: 21/11/2018Date endorsement charter and code: 15/11/2018

GAP Analysis overviewThe Charter and Code provides the basis for the Gap analysis. In order to aid cohesion, the 40 articles have beenrenumbered under the following headings. Please provide the outcome of your organisation’s GAP analysis below. Ifyour organisation currently does not fully meet the criteria, please list whether national or organisational legislationmay be limiting the Charter’s implementation, initiatives that have already been taken to improve the situation ornew proposals that could remedy the current situation. In order to help the organisation’s recruitment strategy, aspecific self-assessment checklist is provided for Open, Transparent and Merit-Based Recruitment.

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

Researchers : GAP analysis overview

Status : to what extent does this organisation meet the following principles?

Implementation (++ , +/- , -/+, --) :

++ fully implemented

+/- almost but not fully implemented

-/+ partially implemented

-- insufficiently implemented



StatusImplementation ( ++ , +/- ,-/+, -- ) GAP / Implementation impediments

Initiativesundertaken/newproposals

Ethical and Professional Aspects

GAP : In case of --, -/+, or +/-, please indicate the actual “gap” between the principle and the currentpractice in your organisation.

Implementation impediments : If relevant, please list any national/regional legislation ororganisational regulation currently impeding implementation.

Initiatives undertaken/new proposals : If relevant, please list any initiatives that have already beentaken to improve the situation and/or new proposals that could remedy the current situation.





1. Researchfreedom

Staff accept the boundaries of this freedomassociated in particular to the way researchfunding in which it participates. Theselimitations are never in breach of recognisedethical principles and practices, whoseobservance is self-evident. * PercentageRating of FAI / CEBIA-Tech - current status:63/31/6/0

The numbersstated belowrepresentlegislativestandards thatare attached ingeneralComments toGap Analysis,OTMR & ActionPlan document.Partially resolvedin 1, 2, 3 - it isnecessary toestablish thelimits of researchfreedom with aview to real-liferestrictiveconditions.

2. Ethicalprinciples

The great majority of researchers adhere toethical procedures, principles and standardsconsistent with the ethical values declared inthe Technical Sciences field. * PercentageRating of FAI / CEBIA-Tech - current status:63/31/6/0

Partially resolvedin 1, 2, 3, 4 - it isnecessary toelaborate anEthical Codex forFAI/CEBIA-Techstaff.

+/- almost but not fully i…






3.Professionalresponsibility

All researchers, especially "Junior Staff" andpostdoctoral students in the collective teamsin which they work, are encouraged touphold this principle. This matter is notresolved legislatively in all details. *Percentage Rating of FAI / CEBIA-Tech -current status: 32/43/25/0

Partially resolvedin 2, 3, 5, 6 - it isnecessary toestablishunambiguouscompetencies inresearch teamsand anchor theminto theFAI/CEBIA-TechInternalRegulations.

4.Professionalattitude

It is not clear if mutual information flowsbetween project management andresearchers are fully established - it isnecessary to resolve this mutualcommunication problem. *Percentage of FAI/CEBIA-Tech - current status: 40/42/17/1.

Partially resolvedin 2, 3, 7, 8 - it isnecessary toanchor mutualcommunicationflows in theFAI/CEBIA-TechInternalLegislativeMeasures.







5. Contractualand legalobligations

It is not clear if mutual information flowsbetween project management andresearchers are fully established - it isnecessary to resolve this mutualcommunication problem. * PercentageRating of FAI / CEBIA-Tech - current status:42/41/17/0.

Partially resolvedin 7, 8 - it isnecessary toanchor mutualcommunicationflows in theFAI/CEBIA-TechInternalLegislativeMeasures.

6.Accountability

Not always is the responsibility ofresearchers relative to employers, investors,and management - but also, theresponsibility of the employer andmanagement towards researchers.*Percentage of FAI /CEBIA-Tech - currentstatus: 54/32/14/0.

Partially resolvedin 7, 8, 9 -Breaches of thisprinciple arecaused by 10 -and itsinterpretation inFAI/CEBIA-TechInternalLegislativeMeasures.







7. Goodpractice inresearch

Often, the security features of researchactivities - Physical and Cyber Security -often considered as being lightweightissues. There is a lack of consistentknowledge-dissemination to all researchersabout the potential negative impacts ofdisregarding Good Practices in ResearchActivities Conduct. *Percentage of FAI/CEBIA-Tech - current status: 55/37/6/2.

Partially resolvedin 2, 3, 5, 6, 7, 8,11, 12. It isnecessary toanchor GoodPractices inResearchActivitiesConduct in theFAI/CEBIA-TechInternalLegislativeMeasures.

8.Dissemination,exploitation ofresults

The long-term problem relates to thecommercialisation of achieved results. Thisis due to a complex relationship between theresearch and commercial sphere - whichneeds to address the help of a special team.TBU in Zlín has a "Technology TransferCentre", which only provides for thecommercialisation of partial solutions.*Percentage of FAI /CEBIA-Tech - currentstatus: 26/51/19/4.

Partially resolvedin 1, 2, 3, 5, 6,13 - it isnecessary toanchor GoodPractices inResearchActivityOutcomes for allpotential types ofresults in theFAI/CEBIA-TechInternalLegislativeMeasures.







9. Publicengagement

A major problem that needs to addressinglies in the area of publicly funded researchand the relationship of a professional,deeply interested in resolving the problem -and a layperson having the right toinformation about the results that arise withthe support of public finances, with adistorted view of any research activities.Laypersons need to convince - byappropriate arguments, about themeaningfulness of professional researchactivities. Professionals must be convincedof the appropriate way of submittinginformation so that the nonprofessional isable to accept them. *Percentage of FAI/CEBIA-Tech - current status: 29/43/26/2.

Partially resolvedin 1, 2, 3, 4, 5, 6- it is necessaryto ensure theregular trainingof R&Dresearchers inpresentationpreparation -depending onthe compositionof the students.






10. Nondiscrimination

There is a necessity to resolve afundamental problem in the area of publiclyfunded research, which needs addressing;the relationship of an expert deeplyinterested in resolving the problem, and alayperson with the right to be informed aboutthe results that arise from the support ofpublic finances with a distorted view of anyresearch activity. The layperson needs to beconvinced by means of appropriatearguments about the meaningfulness ofprofessional research activities. Thepractitioner must be convinced of theappropriate way of submitting information sothat laypeople are able to accept them.*Percentage of FAI /CEBIA-Tech - currentstatus: 29/43/26/2.

Partially resolvedin 1, 2, 3, 4 - it isnecessary toensure theregular trainingof researchers inthe preparationof presentations,depending onthe compositionof the students.






11. Evaluation/appraisalsystems

This is a very complex problem due to themulti-level evaluation of researchers. Often,the rating system is only simplified forquantifiable parameters that do not affectthe individual personality assessment in acomprehensive way. It is necessary to makesure that a very individual view is objectiveand widespread. The mode of assessmentis also heavily dependent on the researchfield. *Percentage of FAI /CEBIA-Tech -current status: 31/51/15/3.

Partially resolvedin 2, 3, 14, 15,16 - theevaluatedorganisation will,in the course ofthe coming 12months,actualise Point15, in harmonywith the methodestablished forthe assessmentof creativeactivities to thelevel set by theGovernment ofthe CzechRepublic – TheCzech Scienceand ResearchCouncil.

Recruitment and Selection - please be aware that the items listed here correspond with the Charter and Code. Inaddition, your organisation also needs to complete the checklist on Open, Transparent and Merit-basedRecruitment included in a separate section, which focuses on the operationalization of these principles.






12.Recruitment

Implemented in practice - but is not yetlegislatively anchored. This issue is onlydealt with by the research organisation´smanagement - other workers´ widerawareness is lacking. *Percentage of FAI/CEBIA-Tech - current status: 37/40/22/1.

Partially resolvedin 1, 2, 3, 5, 6,15, 16 - andfurther, isincluded in theCEBIA-TechManagementRegulations.Must beextended to FAIand anchored inthe FAI/CEBIA-Tech internallegislativemeasures.

13.Recruitment(Code)

This is implemented in practice - however, itis only partially resolved in legislativemeasures. National principles need to beextended to the international level. Thisissue is only dealt with by the researchorganisation´s management - other workers´wider awareness is lacking. *Percentage ofFAI /CEBIA-Tech - current status:39/40/20/1.

Partially resolvedin 1, 2, 3, 5, 6,16, 17 - andfurther, isincluded in theCEBIA-TechManagementRegulations.Must beextended to FAIand anchored inthe FAI/CEBIA-Tech internallegislativemeasures.







14. Selection(Code)

The problem for technical disciplines is tomaintain a balanced ratio between men andwomen – the simple reason being the factthat women make up a very smallpercentage of research staff. It is necessaryto look for ways as to how to reasonablymeet this aspect. In the evaluation of theresearch organisation, external expertopinions are not used yet, and selectioncommittee members are not professionallytrained. In practical terms, whileimplemented, it is not yet legislativelyanchored. This issue is only dealt with bythe research organisation´s management -other workers´ wider awareness is lacking. *Percentage of FAI / CEBIA-Tech - currentstatus: 35/40/23/2.

Partially resolvedin 1, 2, 3, 5, 6,16, 17 - andfurther, isincluded in theCEBIA-TechManagementRegulations.Must beextended to FAIand embeddedin theFAI/CEBIA-Techinternallegislativemeasures.






15.Transparency(Code)








16. Judgingmerit (Code)








17. Variationsin thechronologicalorder of CVs(Code)








18.Recognition ofmobilityexperience(Code)

This is implemented in practice - however, itis only partially resolved in legislativemeasures. National principles need to beextended to the international level. Thisissue is only dealt with by the researchorganisation´s management - other workers´wider awareness is lacking. *Percentage ofFAI /CEBIA-Tech - current status: 54/40/6/0.







19.Recognition ofqualifications(Code)








20. Seniority(Code)








21.Postdoctoralappointments(Code)



Working Conditions and Social Security






22.Recognition ofthe profession

This is implemented in practice - however, itis only partially resolved in legislativemeasures. It is necessary to address therelationships of experienced researchersand newly engaged post-doctoral studentswho are at the beginning of their scientificcareer. An appropriate tolerance level needsto be set. *Percentage of FAI /CEBIA-Tech -current status: 51/35/11/3.







23. Researchenvironment

Applied in practice but not legally grounded.Health and Safety – It is necessary toperform regular audits in ordered to meetthis requirement. The research environmentalso involves the purchase of materials,instrumentation, and computer technology.In this area, the Czech National PublicProcurement Act significantly impedes thefulfilment of this principle. Purchasinganything - for example, down to the level ofthe purchase of ordinary pencils) in afinancial volume that does not exceed theso-called "investment" threshold, (i.e. morethan CZK 40,000) is problematic. This ishowever, given by the "National" legislationand its implementation under the terms ofthe evaluated organization (TBU in Zlín).*Percentage of FAI /CEBIA-Tech - currentstatus: 51/31/15/3.

Partially resolvedin 2, 3, 7, 8, 9,11, 12 - this willbe anchored inthe FAI/CEBIA-Tech InternalRegulations.






24. Workingconditions

In case of need, the practical application offlexible working hours is possible with anumber of part-time workers working withinthe CEBIA-Tech RVC. No rules have beenestablished to deal with these requirements.The evaluated organisation rejects theextensive introduction of work options withinthe Home Office environment due to itsnegation of the requirements of Aspect 23 -the research environment. *Percentage ofFAI /CEBIA-Tech - current status:55/26/15/4.

Partially resolvedin 2, 3, 5, 6, 7, 8,9 - this will beanchored in theFAI/CEBIA-TechInternalRegulations.






25. Stabilityandpermanenceof employment

Fulfilling this parameter is a veryproblematical issue related to the "CzechNational and European ResearchEnvironments". Workers - classed as"researchers" are often employed by theevaluated institution for the duration of aproject. The organisation itself is ready toacquire a sufficient number of projects so asto provide researchers with longer and morestable time periods. The problem ishowever, the low activity of national fundingproviders for research, development andinnovation activities in research centres. Inthe context of the current programme periodthere is only a very low number of calls forresearch projects. The Researchorganisation is ready to take part in theproject-related activities field - butunfortunately, at the Czech national level,these come only amount to a minimalvolume. *Percentage of FAI /CEBIA-Tech -current status: 32/43/19/6.

Partially resolvedin 5, 6, 7, 8, 17 -this will beanchored in theFAI/CEBIA-TechInternalRegulations.






26. Fundingand salaries

This issue is very closely related toParameter 25 - Stability and Job Stability,and the possibility of participating incompetitions relating to gaining otherprojects. It is very limited at the Czechnational level; there are very fewopportunities to apply for research anddevelopment projects offered in theFAI/CEBIA-Tech organisations´ researchportfolios. This already small number ofpossibilities to be awarded other projects,financial rewarding of researchers alsomeans significantly reduced financialremuneration for them - which is often a/thereason for their termination of theiremployment relationship. *Percentage ofFAI /CEBIA-Tech staff - current status:12/32/43/13

Partially resolvedin 2, 3, 7, 8, 9,15, 16, 17, 18,19, 20 - giventhe scope ofinternallegislationcontaining thisprinciple, it willbe consolidatedinto a singlelegislativestandard. It willinclude thecontinuity of thisprinciple increative activitiesevaluation andthe newmotivationsystem will alsobe defined.






27. Genderbalance

While implemented in practice - it is notlegally enacted; but, due to the actual limitednumber of women in our organisations´research environments, is not currentlyresolvable in some cases. It is not possibleto dogmatically fulfil this requirement. Theorganisation is covered by a newopportunities policy; without favouringgender policy over quality and capabilitycriteria. It is necessary to define the"adequacy" of the gender balance - whilerespecting the role of women in their rolesas mothers, ensuring the long-termupbringing of the next generation.*Percentage of FAI /CEBIA-Tech - currentstatus: 68/23/8/1.

Partially resolvedin 2, 3, 8, 16 -and in theCEBIA-TechManagementRegulations;which will beupdated andtransposed intothe FAI/CEBIA-Tech InternalLegislationnorms.

28. Careerdevelopment

This principle is implemented in practicalways; and partly resolved by FAI/CEBIA-Tech Internal Legislative norms. There is alack of thorough knowledge dissemination toall FAI/CEBIA-Tech researchers about thisissue. Personnel consultants and staffdevelopment are not provided for.*Percentage of FAI /CEBIA-Tech - currentstatus: 34/37/23/6.

Partially resolvedin 2, 3, 7, 16, 17- this will beupdated andtransposed intothe FAI/CEBIA-Tech InternalLegislationnorms.







29. Value ofmobility

This is realised in a practical way; it is notlegislatively resolved. It is partially resolvedin the of FAI /CEBIA-Tech internal legislationmeasures resolving the career developmentof research staff. *Percentage of FAI/CEBIA-Tech - current status: 45/40/15/0.

Partially resolvedin 5, 6, 21, 22 -this will beupdated andtransposed intothe FAI/CEBIA-Tech InternalLegislationnorms.

30. Access tocareer advice

Not addressed; professional counselling istied to a researcher´s activities that theyperform for their employer. There is noreason to deal with job search counsellingactivities for seeking employment with otheremployers. *Percentage of FAI/CEBIA-Tech- current status: 28/42/25/5.

For the timebeing, this is notresolved in theFAI/CEBIA-Techinternallegislation; alegislative normsstandard will beprepared toaddress thisprinciple bothfrom theemployees andorganisationalpoint-of-view.







31. IntellectualPropertyRights

Problems and issues relate to the realisationof cooperative collaboration with theTechnology Transfer Centre. Theeffectiveness of these activities is, for thetime being, low. *Percentage of FAI /CEBIA-Tech - current status: 40/39/17/4.

Partially resolvedin 13 - theamendment ofthis legislativenorm will beresolvedcentrally at TBUin Zlín - incooperation andcollaborationwith the"TechnologyTransfer Centre".

32. Co-authorship

This principle is a typical case of verifyingthe ethical behaviour of research team staff.In the almost totality of cases - this principleis respected and accepted by the evaluatedorganisations´ staff; but, there are caseswhere this does not hold true. The evaluatedorganisation is not sure whether thisbehaviour can be treated in full - by somelegislative norm - most probably not; andthen the matter is to explain these ethicalprinciples to all researchers. * Percentage ofFAI / CEBIA-Tech - current status:54/32/11/3.

This matter hasyet to belegislativelyaddressed. It willbe included inthe FAI/CEBIA-Tech Code ofEthics.







33. Teaching

Due to the very close interconnectionbetween FAI and the CEBIA-Tech ResearchCentre, there is a regular intertwining of bothresearch and educational activities - in bothdirections. Academics are significantlyinvolved in research activities … and,researchers learn - to a reasonable extent -and are financially remunerated for this.Experienced researchers´ job descriptionsinclude the fact that they have to educatenovice colleagues; this assessment isusually in the form of personal financialremuneration – but; this is not addressed bylegislation. Within the framework of TBU inZlín norms, scientific research workers ineducational activities are required to do so -beyond the scope of their work contracts. *Percentage of FAI / CEBIA-Tech - currentstatus: 19/42/23/16.

Partially resolvedin 2, 3 – thebasic regulationsdescribing theinterests of bothemployees andthe organisationin the solution ofthis principle willbe incorporatedinto theFAI/CEBIA-TechInternalRegulations.






34.Complains/appeals

This very sensitive principle is – currently,successfully resolved by FAI or CEBIA-Techin an ad hoc manner - on a case-by-casebasis, with the aim of finding a suitablesolution for all parties to the dispute.However, no general approaches toaddressing this issue nor organs able todeal with such cases have beenestablished. *Percentage of FAI /CEBIA-Tech - current status: 31/42/20/7.

For the timebeing - this is notlegally anchored,it is alwaysresolved by thedirect superiorwith partialsupport of 7 – itis necessary thatthese generalprocedures beincorporated andanchored inFAI/CEBIA-Techinternallegislation.

35.Participation indecision-making bodies

Currently, all sub-research teams haverepresentation in the “CEBIA-Tech Centre’sBoard of Governors”; in most cases, this isoften the head of the sub-team. Members ofthis council have the task of transferringmutual information-flows between theCentre’s management and all its´ researchstaff. This fact is not - (at the present time),legally enacted. *Percentage of FAI /CEBIA-Tech - current status: 46/35/14/5.

Partially resolvedin CEBIA-Tech'smanagementregulations. Thisinternal norm willbe updated - andits mostimportant partswill be includedin the FAI /CEBIA-Techinternallegislation.







Training and Development

36. Relationwithsupervisors

This principle is resolved on a continuousbasis at the sub-research teams and theseteams´ leaders level - and the annualperiodicity of the CEBIA-Tech Centre’smanagement. Implementation of thisprinciple in the evaluated organisation takesplace in a natural way – this is not legallyanchored in any way. *Percentage of FAI/CEBIA-Tech - current status: 45/35/17/3.

Partially resolvedin 7, 9, 16 - andin the CEBIA-TechManagementRegulations.There is animmediate needfor this to beclearly defined inthe FAI/CEBIA-Tech InternalLegislation.

37.Supervisionandmanagerialduties

This principle is resolved in a continuousmanner at the level of sub-research teamsand the leaders of these teams - and withregard to the annual period with the Centre’smanagement. Implementation of thisprinciple in the evaluated organisation takesplace in a natural way - not legally anchoredin any way. *Percentage of FAI /CEBIA-Tech- current status: 34/45/17/4.

Partially resolvedin 7 - and in theCEBIA-TechManagementRules and mustbe clearlydefined in theFAI/CEBIA TechInternalLegislationnorms.







38. ContinuingProfessionalDevelopment

The evaluated organisation tries toimplement this principle on the one-hand byevaluating sub-research groups´ activities -including achieved results´ evaluation. Allresearchers have the opportunity toparticipate in professional conferences withan adequate professional focus; and theresearchers are sent to expert conferencesgiven in the CEBIA-Tech ManagementRegulations. This must be clearly defined inthe FAI/CEBIA Tech Internal Regulations.Measured by their ability to present theirresults and those of the workplace - and toestablish personal contacts withparticipating workplaces. Of course, ispossible - in the interest of the eventualinterest of staff, to participate in systematicstandard education within the framework ofaccredited study programmes at their AlmaMaters. For the time being, this principle isnot legally anchored. * Percentage of FAI /CEBIA-Tech - current status: 51/35/12/2.

Partially resolvedin 5, 6, 22, 23,24, 25, 26 – thisshall beincorporated intothe FAI/CEBIA-Tech InternalLegislativenorms.






39. Access toresearchtraining andcontinuousdevelopment

The evaluated information enables allresearch staff interested in continuallyeducating themselves to engage in theseactivities. Interested parties in this form ofcareer growth are – as a rule, satisfied. Alimiting condition is the financial cost ofcovering these activities. Such cases arecurrently addressed on an ad-hoc basis;these principles are not embedded inFAI/CEBIA-Tech internal legislation.*Percentage of FAI /CEBIA-Tech - currentstatus: 49/35/12/4.

Partially resolvedin 5, 6, 22, 23,24, 25, 26 - willbe incorporatedinto theFAI/CEBIA-Techinternallegislativenorms.






40.Supervision

This principle is implemented in theworkplaces of the evaluated organisation;but, is not explicitly formulated andembedded in FAI/CEBIA-Tech legislativenorms. *Percentage of FAI/CEBIA-Tech -current status: 34/35/26/5.

Partially resolvedin 2, 3, 5, 6, 7 -and in theCEBIA-TechManagementRules. It isnecessary toestablish aperiodicschedule ofmanagerialcontrol activitiesat all levels ofthe evaluatedorganisation - tobe included inthe FAI / CEBIA-Tech legislativenorms.


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GAP Analysis (Charter and Code Checklist)