Realizing the European Research Area

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Realizing the European Research Area
James P Gavigan Head of ERA Policy unit,
Research DG European Commission Presentation to
Irish University Association delegation 26 May
2009, Brussels
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• Outline
• The evolving context
• Where are we now?
• Whats next for ERA?

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ERA a political concept

• Launched in 2000 (part of the Lisbon Strategy)
• Pillar of Euopes knowledge economy ambition
  response to internationalisation
• Original objective
• (overcome) fragmentation, isolation
  compartmentalisation of national research efforts
  systems and the disparity of regulatory and
  administrative systems
• has evolved and continues to do so

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Current context trends

• Globalisation internationalisation of research
• Low research intensity of EU
• Retreat of the private sector rising role of
  Universities PROs
• European paradox discredited?
• New opportunities (grand) challenges
• nanotech, health, energy, climate change, ..
• Changing paradigms
• open science innovation, virtual networks,
  services, ...
• Growing role of regions

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Globalisation of Research

• Over 75 of global research investment is made
  outside the EU
• Our share is decreasing due to new global players
  in ST

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EU RD intensity stagnates while Asias grows
the US maintains higher level
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A low intensity of private sector RD
investments
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linked to the EUs industrial structure
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Number of doctoral graduates in 2005 average
annual growth 2000-2005
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Evolving policy response

• Lisbon Strategy
• Deepening the partnership
• Prioritising knowledge
• A widening RI agenda
• 3 action plan (2003)
• innovation strategy (2006)
• Tackle coordination failures
• governance levels
• different policy areas
• supply and demand-side
• Lisbon Treaty
• Post 2010

Knowledge triangle
European Research Area
Innovation Strategy
European Higher Education Area
investing more, and more effectively, in
research, creativity, innovation and higher
education / Member States and the EU must
remove barriers to the free movement of knowledge
by creating a "fifth freedom. European Council
14 March 2008
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What has been achieved?

• Community instruments
• Framework Programmes instruments, Structural
  Funds, CIP
• Broad-based innovation strategy
• framework conditions, Lead markets, EIT,
  Industry-PRO
• OMC stakeholder involvement
• ... but limited by
• too much focus on Community action
• insufficient Member State commitment

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III. Developing the New ERA Partnership The
Ljubljana Process

• Political governance of ERA
• The research leg of the Lisbon Strategy
• Shared vision indicators
• Specific ERA Initiatives
• Durable partnerships (3 years)
• Indicators, impact progress monitoring,
  reporting
• Stakeholder involvement - Inclusive
  participative
• all MS associated countries including
  regional authorities as well as stakeholders such
  as universities and research organisations, civil
  society and business should be actively engaged
  in ERA governance.

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ERA Vision 2020

• Research in Europe
• Serving society sustainably
• Excellence underpinning competitiveness
• Free flow of knowledge, open to the world
• By 2020, all actors fully benefit from the
  Fifth Freedom across the ERA free circulation
  of researchers, knowledge and technology. The ERA
  provides attractive conditions and effective and
  efficient governance for doing research and
  investing in RD intensive sectors in Europe. It
  creates strong added value by fostering a healthy
  Europe-wide scientific competition whilst
  ensuring the appropriate level of cooperation and
  coordination. It is responsive to the needs and
  ambitions of citizens and effectively contributes
  to the sustainable development and
  competitiveness of Europe.
• (Competitiveness Council 02 Dec 2008)

22/11/2009 2. Ljubljana process ERA
vision
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Main Dimensions of ERA
Strong universities, research institutions and
innovative business
Coherent and efficient research programmes and
priorities
Seamless mobility and attractive careers for
researchers
Joint (access to) world-class research
infrastructures
Partnership27 MS EC
Coherent International ST co-operation strategies
Fully exploited knowledge and intellectual
property
Freedom of movement of knowledge
Appropriate European level initiatives
Coordination of national/ regional progs
policies
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Follow-up ERA Partnership initiatives

• Aims
• leverage national / regional action in selected
  areas
• more consistency, coherence and joint action
• stronger and sustained commitment of MS
• Initiatives
• IP management Recommendation April 08
• A framework to improve research careers
  mobility May 08
• Joint programming initiative to increase pooling
  of public efforts July 08
• Commission Regulation / legal framework for
  European infrastructures July 08
• A European strategy international ST
  co-operation July 08

22/11/2009
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Beyond the five initiatives

• Universities
• Financial management/ sustainability of
  universities
• Assessment of university based research
• Other current initiatives contributing to
  advancement of the ERA
• European Strategic Energy Technology Plan (SET)
• Maritime research strategy
• ERC
• European Institute of Innovation and Technology
  (EIT)
• European Technology Platforms (ETP)
• JTIs, Art. 169s
• Strengthening of synergies between FP7, CIP and
  Structural Funds

22/11/2009 3. The five ERA initiatives
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Thank you for your attention! ec.europa.eu/rese
arch/era
22/11/2009
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European Partnership for Researchers

• Key Challenges
• Ensure quality and availability of researchers
  across Europe and raise the attraction of Europe
  to the best research talents world-wide
• Increasing competition, globally and with other
  economic sectors
• Demographic developments affecting Europe's
  research workforce
• Europe's goal to increase public and private
  investments in RD
• Mainstream mobility between institutions, between
  sectors and across borders, based on the brain
  circulation paradigm

22/11/2009 3. The five ERA initiatives
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European Partnership for Researchers

• Response to challenges
• A partnership between Member States, Associated
  States and the Commission to accelerate progress,
  building on reforms and actions underway
• A common framework to help focus the efforts on
  shared objectives and key areas of common
  interest
• A balanced approach better careers and more
  mobility
• New voluntary measures to promote the Charter
  Code principles at institutional level (HR
  Strategy for Researchers)
• Endorsement of the Partnership by the
  Competitiveness Council
• The Gago/Biltgen report of December 2008 with
  further ideas for implementing the Partnership

22/11/2009 3. The five ERA initiatives
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European Partnership for Researchers

• Focus actions at national and European level in
  four key areas
• Open recruitment and portability of grants
• Meeting social security and supplementary pension
  needs of mobile researchers
• Attractive employment and working conditions
• Enhancing training, skills and experience of
  researchers
• Next steps
• Member States to plan/act at national level based
  on common objectives
• Progress together at European level through the
  ERA Human Resources and Mobility Steering Group
  (adapted mandate), chaired by MS (IT)
• Czech Presidency conference to kick-start the
  implementation and to involve researchers and key
  stakeholders
• Reporting on progress in 2009 and evaluation in
  2010

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Joint Programming in Research

• Key Challenges
• Science and Technology must contribute to solving
  major societal challenges
• Benefits not optimised due to compartmentalisation
  of public research funding in the EU
• National research programmes have their place
  but are not equipped to tackle major European
  societal problems by themselves
• Response to challenges
• Commission Communication on Joint Programming in
  research (July 2008), Council Conclusions adopted
  December 2008
• Member States engaging
• Voluntary and on the basis of variable geometry
• based on a common vision on how to address major
  societal challenges
• in the definition, development and
  implementation of common strategic research
  agendas

22/11/2009 3. The five ERA initiatives
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Joint Programming in Research

• It is a concept which
• Recognises the importance of existing activities
  and initiatives
• Recognises the increasing need for a new and more
  strategic approach
• Calls for the implementation of a Member
  States-led process to step up their RD
  cooperation
• Fully recognises the competence of member States
  and regions over the choice of RD policies and
  the related allocation of resources

22/11/2009 3. The five ERA initiatives
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Joint Programming in Research

• Criteria to identify Joint Programming themes
• Effective commitment of Member States
• The theme is focussed and addresses a
  European/global challenge
• Clear and realistic objectives can be set
• Clear added value to existing situation in
  research financing
• Relevant stakeholders have been consulted and
  involved
• Potential of generating benefits for European
  citizens/ -competitiveness, and of increasing
  efficiency and impact of public RD financing by
  involving the key public initiatives in the area.

22/11/2009 3. The five ERA initiatives
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Joint Programming in Research

• General Timetable
• 13/2, 15/4, 23/6/09 Meetings of Joint
  Programming Group
• Throughout 2009 Consultation of Stakeholders by
  Member States, proposals to GPC
• End 2009- 2010 Identification of Joint
  Programming themes by the group
• Commission prepares proposal for Council
  Recommendation on the basis of themes identified
  by the Joint Programming Group
• 2010 Council adopts Recommendation,
  launching the selected Initiatives
• Setting up of management structures, development
  of visions, drafting of the Strategic Research
  Agendas, pooling the resources, analysis of the
  potential of existing instruments or the need for
  new ones. Commission supports as deemed
  necessary.
• by end 2010 Implementation. Launch of first
  joint activities, first report to Council

P H A S E 1
P H A S E 2

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World-class research infrastructures

• Essential for Europes researchers to stay at the
  forefront of research development
• Key component of Europes competitiveness in both
  basic and applied research
• Key Challenges
• To overcome fragmentation in Europe in the field
  of Research Infrastructures
• To improve the efficiency of services and access
  to European Research Infrastructures
• To cope with their increasing cost and complexity
  
• To further develop and better exploit the
  potential of e-infrastructures

22/11/2009 3. The five ERA initiatives
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World-class research infrastructures

• Response to challenges
• Integration of existing Research Infrastructures
• ESFRI roadmap for new Infrastructures (updated on
  December 9, 2008)
• A new Community legal framework, to ease the
  setting up of new European Research
  Infrastructures (ERIC, July 2008)
• Next steps
• Implement the ESFRI roadmap (national support)
• Continue developing a Research Infrastructures
  policy at EU level
• Clear up the issue of the status of ERIC as an
  international organisation
• ERIC on the agenda of the May Competitiveness
  Council

22/11/2009 3. The five ERA initiatives
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Opening of ERA to the world

• Key Challenges
• Globalisation and global challenges (e.g. climate
  change, energy security)
• Rise of "non-traditional" research partner
  countries and research locations ("new global ST
  players")
• Facilitation of knowledge transfer at global
  level
• The need to ensure equitable and fair access to
  IP generated in international RD collaborations
• The need to avoid duplication of activities
  between the Member States and the European
  Community with third country partners

22/11/2009 3. The five ERA initiatives
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Opening of ERA to the world

• Europe has thousands of links with other parts of
  the world on many levels national and European
  bilateral agreements, inter-institutional
  collaborations and researcher to researcher
  contacts.
• This is a source of great scientific opportunity,
  enrichment and stimulation, as well as a source
  of new markets for European products and
  services.
• However there is currently no strategy at
  European level to exchange information about the
  activities deriving from these contacts, nor to
  permit an adequate level of coordination among
  the activities where or joint actions
  appropriate.

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Opening of ERA to the world

• Commissions response
• A Strategic European Framework for
  International ST Cooperation (endorsed by the
  Competitiveness Council 2/12/08)
• based on a long term partnership between the
  Member States and the European Community
• calls for a more coordinated approach between
  Member States and the European Community
  activities

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Opening of ERA to the world

• Next steps
• Member States and the European Commission to
  collaborate within a Strategic Forum for
  International Cooperation (SFIC) to identify
  common priorities which could lead to coordinated
  or joint initiatives and positions vis-à-vis
  third countries and international fora.
• Questions
• What, in your opinion, are the main issues the
  Forum should address?
• What national implementation activities do you
  foresee to make progress on the European
  partnership for international ST cooperation?

22/11/2009 3. The five ERA initiatives
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Knowledge transfer and IP management

• Key Challenges
• To enhance the impact of public research on
  European socio-economic growth by strengthening
  knowledge transfer between Public Research
  Organisations (PROs) and the private sector at
  national, European and international levels.
• To achieve this, PROs (including universities)
  need to manage more effectively the Intellectual
  Property resulting from their research and
  develop relations with the private sector that
  promote knowledge transfer and use.

22/11/2009 3. The five ERA initiatives
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Knowledge transfer and IP management

• Response to challenges
• Commission Recommendation and Code of Practice
  was adopted in April 2008. Consists of
• Key principles for improving national
  Intellectual Property (IP) and knowledge transfer
  policies.
• Guidance for PROs to set up institutional
  policies and knowledge transfer systems.
• Council Resolution endorsing and supporting
  Recommendation and Code of Practice adopted in
  May 2008.

22/11/2009 3. The five ERA initiatives
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Knowledge transfer and IP management

• Next steps
• Member States and Commission CREST group to
  monitor and evaluate the take-up and impact of
  the Recommendation exchange best practices
  develop guidelines.
• Stakeholders and Commission Knowledge transfer
  forum to discuss implementation of the Code of
  Practice, exchange best practices, and work on
  issues of common interest (e.g. international
  aspects, model contracts).
• Member States and Stakeholder events to discuss
  national implementation of Recommendation and
  Code of Practice, actions to develop national
  policies and guidelines.
• Stakeholder events to disseminate Code of
  Practice
• Commission will monitor progress and report in
  2010, based on indicators and national reports.

22/11/2009 3. The five ERA initiatives
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Research institutions

• Excellent research institutions, including
  universities key players in the knowledge-based
  economy development, at the heart of the
  knowledge triangle
• No separate ERA initiative, but elements firmly
  incorporated in the initiatives, e.g. on
  researchers and on knowledge transfer
• Delivery on COM modernisation agenda for
  universities education, research and
  innovation research excellence, governance,
  funding, partnerships with business, knowledge
  exchange, networking,
• Largely in hands of Member States and research
  instititutions themselves European level and
  national actions politically endorsed by the
  November 2007 Council resolution on the
  modernisation of universities for Europes
  competitiveness

22/11/2009 3. The five ERA initiatives
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Knowledge transfer and IP management
Key Challenges

• The EU is the worlds largest producer of
  scientific output

• but has problems exploiting it through patents,
  licenses and spin-offs

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Effect of the crisis on RD investment

• Overall private investment in RD likely to be
  cut, especially in high-tech SMEs
• Public support to RD has an essential
  counter-cyclical role to play
• European Council, 20 March 2009 called for
   stepping up and improving the quality of
  investment in research, knowledge and education 
  

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EUs response to the crisisRecovery Package /
RD aspects

• Call for Member States to increase investment in
  RD and reduce patent registration and
  maintenance fees for SMEs
• Three Public-Private Partnerships on RD and
  innovation
• Automotive Green cars initiative (1B for RD
  element)
• Construction Energy-efficient buildings
  initiative (1B)
• ManufacturingFactories of the future initiative
  (1.2B)
• ? 50/50 funding from FP7 and private partners
• ? First step Calls for proposals planned for
  mid-2009
• Risk-Sharing Finance Facility (EIB / FP7)
  Frontloading of EC resources in 2009 to support
  access to credit (loans) for RD and innovation
  (220M vs EUR150M)

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• RD expenditure of affiliates of
• US parent companies abroad

• RD expenditure flows between EU-15 and the USA
  (billion PPP),
• 2003 and 2005