Realising the European Research Area (ERA) Key challenges

1. Realising the European Research Area (ERA) Key challenges European Commission Research Directorate-General Anneli Pauli Deputy Director-General

2. Outline • Our global position in numbers • Impact of the Lisbon Treaty on the Research policy • Ljubljana Process and ERA vision 2020 • The five ERA initiatives and other ERA building blocks

3. 1. Our global position in numbers

4. The challenges: Globalisationof Research • Over 75% of global research investment is made outside the EU • While more than a third of S&T publications originate from the EU • Our share is decreasing due to new global players in S&T • Europe must invest more and better while opening up to the world(3% goal renewed in Europe 2020 Strategy)

5. Targets of the EU main partners/competitors US: - Goal of 3% R&D intensity - Funding of three main basic-research agencies increase by 54% from 2010 to 2017 South Korea: - Goal of 5% R&D intensity by 2012 - Public R&D expenditure by 11% in 2009 - Plans to continue increase at 10% rate until 2013 Japan: - Goal of 4% of the GDP by 2020 China: - Goal of 2% R&D intensity in 2010 and 2.5 % by 2020 - Public R&D expenditure increase by 25% in 2008-9

6. Source: DG Research Data: Eurostat, OECD

7. Effect of the crisis on R&D investment European Council, 20 March 2009 called for « stepping up and improving the quality of investmentin research, knowledge and education », which is more important than ever • Overall private investment in R&D has been cut, but it is difficult to say exactly by how much. • Public support to R&D has an essential counter-cyclical role to play.

8. EU’s response to the crisis:Recovery Package / R&D aspects • Call for Member States to increase investment in R&Dand reduce patent registration and maintenance fees for SMEs • Three Public-Private Partnerships on R&D and innovation: • Automotive: Green cars initiative (1B€ for R&D element) • Construction: Energy-efficient buildings initiative (1B€) • Manufacturing: Factories of the future initiative (1.2B€)  50/50 funding from FP7 and private partners • Risk-Sharing Finance Facility (EIB / FP7): Frontloading of EC resources in 2009 to support access to credit (loans) for R&D and innovation (220M€ vs 150M€)

9. Member states responses to the crises - the 2010 ERAC survey • Strong continuity in national public R&D investment trends, with sustained investment rates in some Member States during the crisis • 15 MS increased, 6 decreased, 6 n/a • Increased policy developments aimed at supporting private R&D investment • 21 MS launched special measures • Structural funds considered important to maintain R&D investments

10. € Money innovation research Knowledge

11. 2. Impact of the Lisbon Treaty on the Research policyMain changes and implications for the governance of ERA

12. Research as an Objective of the Union From a means in the EC Treaty to a fully-fledge objective after the Lisbon Treaty The new Lisbon Treaty states "The EU shall promote scientific and technological advance". The old EC Treaty did not quote research as a specific objective of the EU but as a means “of strengthening the scientific and technological bases of Community industry and encouraging it to become more competitive at international level”.

13. The Concept of a European Research Area The Lisbon Treaty introduced for the first time the concept of ERA as a way to achieve: • the objective of strengthening the scientific and technological bases of the Union • the free circulation of researchers, scientific knowledge and technology (= 5th freedom)

14. 3. Ljubljana Process & ERA vision 2020

15. European Research Area (ERA) European “single market" for research and innovation, where researchers, ideas and knowledge freely circulate.

16. Ljubljana Process • We need to develop a well-organised partnership between the Member States, Associated States and the Commission to exchange information and to steer all initiatives in a coherent way. • A common long-term vision for the future of ERA as the basis for our future actions and initiatives • An action plan and the roadmap to implement the vision • Better governance, notably with better political steering at the ministerial level, is needed.

17. Policy ‘cascade’ Coherent positioning of ERA development: Europe 2020 Strategy ↕ Innovation Union Flagship Initiative ↕ Overarching ERA Framework ↕ Specific measures to address the major bottlenecks

18. ERA Vision 2020 ERA Vision 2020 adopted at Competitiveness Council on2 December 2008 “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 R&D 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.”

19. ERA building blocks Single labour market for researchers World-class research infrastructures Excellent research institutions and universities Joint Programming ERA Opening of the ERA to the world Effective knowledge sharing http://ec.europa.eu/research/era/specific-era-initiatives_en.html

20. 4. The five ERA initiatives and other ERA building blocks

21. 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 R&D • Mainstream mobility between institutions, between sectors and across borders, based on the “brain circulation” paradigm

22. 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 (The European Charter for Researchers, the Code of Conduct for the recruitment of Researchers) at institutional level (“HR Strategy for Researchers”) • The Gago/Biltgen report (2008) with further ideas for implementing the Partnership pointing out the importance of education in science.

23. 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 State of Play and Next steps: • Member States developing national action plans based on common objectives (5 MS and 3 AC already done: AT, CH, DE, HR, NO, DK, SE and UK) • Work continues at European level through the ERA Steering Group on Human Resources and Mobility and its three Working Groups (Working Conditions & Recruitment; Training & Skills; Monitoring & Indicators) • Member States reported on progress made and future plans in 2009 and Commission will coordinate global assessment on actions & results achieved until the end of 2010

24. Joint Programming in Research Key Challenges : • Science and Technology must contribute to solving major societal challenges • Benefits not optimised in the EU due to compartmentalisation of public research funding • National research programmes have their place… but are not equipped to tackle major European societal problems by themselves

25. Joint Programming in Research Response to challenges : • Commission Communication on Joint Programming in research adopted by Council Conclusions (2008) • Member States engaging …in the definition, development and implementation of common strategic research agendas • Voluntarily and on the basis of variable geometry • …based on a common vision on how to address major societal challenges

26. Joint Programming in Research The Council defined a set of criteria for identifying JPIs: • Sufficient and effective commitment from Member States • Selected themes address apan European / globalchallenge (where public research is central) • Clear added value to existing national and Community research, with economies of scale and scope • Focussed with clear and realistic objectives (Feasibility) • Potential benefits to citizens and competitiveness, increasing efficiency and impact of public R&D • Stakeholders (regional, national, EU, private, and funding agencies) have been involved in developing the Themes

27. Joint Programming in Research • MS have identified major societal challenges for which they will define common strategic research agendas • Joint Programming Initiatives (JPIs) will combine existing research programmes and instruments, or build new ones

28. Joint Programming in Research Framework Conditions to be adopted by the end of 2010 • A coherent approach on the peer review procedures • A coherent approach for foresight activities • Evaluation of joint programmes • A coherent approach to funding of cross border research by national or regional authorities • Effective measures to ensure optimum dissemination and use of research findings, inter-alia via common practices for Protection, management and sharing of IPR

29. Joint Programming in Research JPIs SELECTED in 2009, LAUNCHED in 2010

30. Joint Programming in Research JPIs SELECTED in 2010 (Council of 26 May)

31. World-class research infrastructures • Essential for Europe’s researchers to stay at the forefront of research development • Key component of Europe’s competitiveness in both basic and applied research Key Challenges: • To overcome fragmentation in Europe in this field • 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

32. World-class research infrastructures Response to challenges: • Integration of existing Research Infrastructures • ESFRI roadmap for new Infrastructures (updated 2008) • A new Community legal framework for a European Research Infrastructure Consortium (ERIC) providing a legal personality to ease the setting up of European Research Infrastructures Next steps: • Implement the ESFRI roadmap (national support) • Continue developing a Research Infrastructures policy at EU level

33. World-class research infrastructures ERIC application process

34. World-class research infrastructures Status ERIC • Practical Guide on ERIC procedures (April 2010) • Initiatives interested in ERIC are e.g. • BBMRI, EATRIS, Infrafrontier, EuroFEL, CLARIN, Lifewatch, EuroArgo, CESSDA, ESS (European Social Survey), SHARE (Survey of Health, Ageing and Retirement in Europe), COPAL, ELI (Extreme Light Infrastructure) – also projects outside the ESFRI process as e.g. the existing JIVE • First application announced for October

35. 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 S&T players") • Facilitation of knowledge transfer at global level • The need to ensure equitable and fair access to IP generated in international R&D collaborations • The need to avoid duplication of activities between the Member States and the European Union with third country partners

36. Opening of ERA to the world Response to challenges: “A Strategic European Framework for International S&T Cooperation“ (2008) • based on a long term partnership between the Member States and the European Community • aiming for a more coordinated approach between Member States and the European Community activities Council Conclusions (2008) “A European Partnership for International Scientific and Technological Cooperation”: • Member States and the European Commission collaborate to identify common priorities which could lead to coordinated or joint initiatives and positions vis-à-vis third countries and international fora • inviting Member States and the Commission to work together in the Strategic Forum for International S&T Cooperation (SFIC)

37. Opening of ERA to the world Strategic Forum for International Cooperation (SFIC) – Main achievements in 2009/2010 • First annual report to the Council and the Commission in April 2010 • the COMP Council of 26 May 2010 re-affirmed its support to the work of SFIC • launch of the 'EU-India pilot initiative' focusing on 'water related challenges’, incl. the preparation of a stakeholders conference in Delhi in November 2010 • work on the 'energy' thematic pilot initiative as a major global challenge linked to the SET-PLAN • SFIC started to develop a strategic approach towards China by ensuring the "phasing in" of different measures to build a knowledge base for decision-making • SFIC started to share more information on the USA with a view to pursue a more coherent European strategy towards the US • SFIC started to hold policy discussions in advance of major Summits/Ministerial Meetings and has sent via the official channels recommendations for consideration to the overall EU-Africa Summit preparatory work • strengthening the network of Science Counsellors in major partner countries

38. 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 improve the management of intellectual property arising from research by PROs (including universities), and the development of relations with the private sector. Response to challenges: • Commission Recommendation and Code of Practice (2008) including key principles for improving national Intellectual Property (IP) and knowledge transfer policies, and guidance for PROs to set up institutional policies and knowledge transfer systems. • Council Resolution endorsing and supporting Recommendation and Code of Practice (2008).

39. Knowledge transfer and IP management Next steps (1): • Member States and Commission: ERAC working group. The group has identified priorities and started working on: • Developing indicators for measuring progress in implementing the Recommendation and Code of Practice; • International knowledge transfer (i.e. beyond the EU) including the development of practical guidelines for stakeholders and Member States; The first report of the group, reviewing initiatives taken at national levels to implement the Recommendation and Code of Practice, was sent to ERAC on the 29 September, to be adopted at the 7 October ERAC meeting.

40. Knowledge transfer and IP management Next steps (2): • Stakeholders and Commission: “Knowledge transfer forum” to discuss implementation of the Code of Practice and exchange best practices. The next event (in Italy on 11-12 November) will look at , inter alia, the professionalisation of knowledge transfer and markets for knowledge transfer. The outcomes feed into the work of the Commission and the ERAC group on future guidelines. • Member States and Stakeholder events to discuss national implementation of Recommendation and Code of Practice, actions to develop national policies and guidelines. Specific information on these events is contained in the report of the ERAC knowledge transfer working group which has just been sent to ERAC for adoption.

41. Knowledge transfer and IP management Next steps (2): • Stakeholder events to disseminate Code of Practice. The Commission is working with the European Patent Office to deliver awareness-raising seminars. Sessions have so far been held in the Czech Republic, Belgium, Spain, and the Netherlands, and have increased awareness and interest in the Code of Practice, and registrations for the knowledge transfer forum. • Commission monitoring and reporting in 2010 progress on the implementation of the Recommendation and Code of Practice, based on indicators, national reports, and a monitoring study which has just been launched.

42. Beyond the five initiatives • The five initiatives and their future implementation mark important milestones in the further development of ERA but there are many other issues to be addressed • Better integration of research and innovation • Other current initiatives contributing to advancement of the ERA: • ERC (external review made, Commission Communication in October) • European Institute of Innovation and Technology (EIT) • European Strategic Energy Technology Plan (SET) • Maritime research strategy • European Technology Platforms (ETP) • JTIs, Art. 169s • Strengthening of synergies between FP7, CIP and Structural Funds • Member States and stakeholders encouraged to identify other challenges and initiatives

43. We need a more research and innovation intensive, integrated and attractive EuropeanResearchArea Excellent Research Attracts http://ec.europa.eu/research/era 43