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This document, ‘RRING T4.3.4 Codebook’, supports the thematic focus analysis subtask 4.3.4 in Task 4.3 (T4.3) under Work Package (WP) 4 (Global comparative analysis of the RRI State of the Art), in the EU Horizon 2020 project: Responsible Research and Innovation Networking Globally (RRING). The overarching project aim is to bring Responsible Research and Innovation (RRI) into the linked up global world to promote mutual learning and collaboration in RRI. The scope of work in subtask 4.3.4 involves a comparative analysis identifying key RRI players, leaders and networks globally, which are relevant to gender, diversity and inclusion. It also includes policy drivers and focus areas, terminology, and both the short- and medium-term horizon. This comparative analysis includes: In-depth comparative analysis across the 4 key domains focusing specifically on this theme. A theme-specific comparative analysis (high level) across the geographies, for all RPOs and RFOs. Atheme-specific consideration of what the RRING research data show about the “linked up global” extent for RRI policy and practice, role of nation-states and international organizations in this global world of RRI in the context of gender, diversity and inclusion. The development of this codebook (using an inductive approach and supplemented with key concepts deductively developed from the literature to address the scope of this subtask) was specified in the WP4 guideline and T4.3.4 action plan. This document sets out seventeen (17) codes (an integration of codes deductively developed from the literature with those inductively identified from the textual data - reflecting RRI key and AIRR dimensions), their descriptions and examples from the transcripts to illustrate the meanings.

The UNESCO Recommendation on Science and Scientific Researchers (RSSR) sets out a number of globally agreed expectations for national systems of science to anticipate and address the needs for social and institutional change toward sustainable research structures and policies, practices and public engagement. Thesedocuments provideevidence for use in the country-level measurement of progress in implementing the Recommendations at the level of the general public. Here, we present results from different sources, such as the RRING global survey of researchers’ attitudes, experiences and practices, the OECD International Survey of Scientific Authors, the existing high quality public science attitudes survey called the Wellcome Global Monitor, the Special Eurobarometer “Public Perceptions of Science, Research and Innovation”, among others. The RRING Indicators Framework for the UNESCO Recommendation on Science and Scientific Researchers includes five levels of measurement designed to gain complementary vantage points on the same key area. The different levels for indicators proposed in this document are as follows: 1. Member State (National Reporting) This is the traditional focus for UN statistics in general and UNESCO indicators in particular. Representatives for the Member State report objective statistics about the status of a number of variables to give a high-level picture. Here, the focus is on identifying relevant operational policy instruments that cover the dimensions of the RSSR. 2. Research Funding Organisations (RFOs) One important way that Member States can go about implementing their commitment to the RSSR is through the lever of research funding allocations and funding-related policy instruments. The prioritisation of mission-oriented funding, strings that are attached and the criteria that are used for selection of proposals in competitive application processes can all help to align a Member State’s research system with the RSSR principles. 3. Research Performing Organisations (RPOs) Clearly, the institutions that employ scientific research staff and take responsibility for conducting scientific research are central in the scientific research system and play an outsized role in how scientific researchers are treated, supported and maintained in sustainable careers. While research performing organisations often take their cues from governments and research funders to some extent, they can develop their own norms, policies and practices that either run ahead or lag behind progress in the wider research ecosystemsthey participate in. This means that such organisations are important to evaluate directly to understand progress at this crucial institutional level. 4. Research Staff Individual research staff are a key player in the RSSR, whose voice should be included in assessments of progress in RSSR implementation. Here, numerous indicators are proposed for possible use by Member States to keep track of RSSR implementation from the ‘bottom up’ vantage point of individual researchers. 5. General public A number of the RSSR principles have implications for public views on the role of science. It is therefore worth considering including an indicator dimension that focuses on the public aspect of the RSSR priority areas. ----------------- Thesedocument arepart of the International Consortium of Research Staff Associations (ICoRSA) contribution to the RRING research and innovation project (funded by the European Commission). UNESCO is a partner in the RRING project and the leader of the Work Package for which thesedocuments were produced (viz. Work Package 6). ICoRSA (icorsa.org) Brings expertise rooted in a global research staff perspective, with thesedocuments developed by the specialist research unit within ICoRSA with strong expertise in evaluation research methods. The specialised unit is called the ICoRSA Policy Research Unit, and it is led by Dr. Eric A. Jensen. As an umbrella organisation for researchers and research staff associations, ICoRSA conducts policy research and advocacy aimed at advancing the status and treatment of researchers globally. In this way, ICoRSA gives voice to researchers internationally on policies that affect them and their ability to make a positive difference through their work. ICoRSA is a key partner organisation in the RRING project, described below. RRING project (rring.eu) The Responsible Research and Innovation Networking Globally (RRING) project has been funded by the European Commission (Grant Agreement No 788503) to develop an empirically-informed global perspective on responsible research and innovation (RRI), culminating in a linked up global approach to RRI. This project makes numerous contributions to the development of a global framework for socially responsible research, including directly engaging with the monitoring process for the UNESCO Recommendation on Science and Scientific Researchers, with the production of an indicator’s framework and specific survey instruments and items. Learn more about the RRING project’s work relating to the UNESCO Recommendation in this LSE Impact Blog article.

This report presents findings to address the objectives of RRING Work Package 3 by providing an overview on the state of the art of RRI in the five UNESCO world regions. The overall project aim is to bring RRI into the linked up global world to promote mutual learning and collaboration in RRI. This will be achieved by the formation of the global RRING community network and by the development and mobilisation of a global Open Access RRI knowledge base. RRING will align RRI to the Sustainable Development Goals (SDGs) as a global common denominator. The RRING project acknowledges that each region of the world is advancing its own agenda on RRI. Therefore, RRING will not be producing a Global RRI framework or strategy that is meant to be enforced in a top-down manner. Rather, increased coherence and convergence will be achieved via a bottom-up approach, learning from best practices in RRI globally and from linkages, via the new RRING community, to develop the RRI linked-up world. ACKNOWLEDGEMENTS The work described in this publication has received funding from the European Union’s Horizon 2020 research and innovation programme under grant agreement No 788503. The contributing authors would also like to thank other partners for their contribution throughout the development of this deliverable. Professor Alexander Gerber (HSRW) and Dr Gordon Dalton (UCC) for their advice and support, Emmet Fox and Rihab Khalid (ARU) for assistance in writing of the global interview research report sections, Monica Racovita for development of interview protocols, guidance materials and planning, and everyone leading on country-specific interview data collection: Shari Reiss (Technion, Israel), Amr Radwan (ASRT, Egypt), Tharwh Qutaish (RSS, Jordan), René Baptista (CEP, Bolivia), Bryan Mthiko (Bintel Analytics, Malawi), Abdelhak Chaibi (R&D Maroc, Morocco).

This report presents findings to address the objectives of RRING Work Package 3 by providing an overview on the state of the art of RRI in the five UNESCO world regions. The overall project aim is to bring RRI into the linked up global world to promote mutual learning and collaboration in RRI. This will be achieved by the formation of the global RRING community network and by the development and mobilisation of a global Open Access RRI knowledge base. RRING will align RRI to the Sustainable Development Goals (SDGs) as a global common denominator. The RRING project acknowledges that each region of the world is advancing its own agenda on RRI. Therefore, RRING will not be producing a Global RRI framework or strategy that is meant to be enforced in a top-down manner. Rather, increased coherence and convergence will be achieved via a bottom-up approach, learning from best practices in RRI globally and from linkages, via the new RRING community, to develop the RRI linked-up world. ACKNOWLEDGEMENTS The work described in this publication has received funding from the European Union’s Horizon 2020 research and innovation programme under grant agreement No 788503. The contributing authors would also like to thank other partners for their contribution throughout the development of this deliverable. Professor Alexander Gerber (HSRW) and Dr Gordon Dalton (UCC) for their advice and support, Emmet Fox and Rihab Khalid (ARU) for assistance in writing of the global interview research report sections, Monica Racovita for development of interview protocols, guidance materials and planning, and everyone leading on country-specific interview data collection: Shari Reiss (Technion, Israel), Amr Radwan (ASRT, Egypt), Tharwh Qutaish (RSS, Jordan), René Baptista (CEP, Bolivia), Bryan Mthiko (Bintel Analytics, Malawi), Abdelhak Chaibi (R&D Maroc, Morocco).