Green Paper The European Research Area: New Perspectives {SEC(2007) 412}
Date: 2007-04-04
Institutions: European Commission
Subjects: EU research policy, cooperation policy, innovation, investment, research and development, research body, research staff, scientific exchange

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 4.4.2007 
COM(2007) 161 final 

GREEN PAPER 

The European Research Area: New Perspectives 

(Text with EEA relevance) 

{SEC(2007) 412} 

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GREEN PAPER 

The European Research Area: New Perspectives 

(Text with EEA relevance) 

Summary 

As  we  approach  the  review  of  the  first  three-year  cycle  of  the  renewed  Lisbon  Strategy  for 
Growth  and  Jobs  and  the  launch  of  the  second  cycle  in  2008,  it  is  a  good  time  to  assess 
progress  made  and  discuss  future  orientations  on  one  of  its  core  elements  –  the  European 
Research Area (ERA). In a changing world characterised by the accelerating globalisation of 
research  and  technology  and  the  emergence  of  new  scientific  and  technological  powers  – 
notably China and India – the European Research Area is more than ever a cornerstone for a 
European  knowledge  society.  Such  a  society  is  one  where  research,  education,  training  and 
innovation are fully mobilised to fulfil the economic, social and environmental ambitions of 
the EU and the expectations of its citizens. 

The  ERA  concept  combines:  a  European  "internal  market"  for  research,  where  researchers, 
technology and knowledge freely circulate; effective European-level coordination of national 
and  regional  research  activities,  programmes  and  policies;  and  initiatives  implemented  and 
funded  at  European  level.  Some  progress  has  been  made  since  the  concept  was  endorsed  at 
the  Lisbon  European  Council  in  2000.  The  European  Research  Area  has  become  a  key 
reference  for  research  policy  in  Europe.  However,  there  is  still  much  further  to  go  to  build 
ERA,  particularly  to  overcome  the  fragmentation  of  research  activities,  programmes  and 
policies across Europe. The European Research Area that the scientific community, business 
and citizens need should have the following features: 

–  An  adequate  flow  of  competent  researchers  with  high  levels  of  mobility  between 

institutions, disciplines, sectors and countries; 

–  World-class  research  infrastructures,  integrated,  networked  and  accessible  to  research 
teams from across Europe and the world, notably thanks to new generations of electronic 
communication infrastructures; 

–  Excellent  research  institutions  engaged  in  effective  public-private  cooperation  and 
partnerships,  forming  the  core  of  research  and  innovation  'clusters'  including  'virtual 
research communities', mostly specialised in interdisciplinary areas and attracting a critical 
mass of human and financial resources; 

–  Effective  knowledge-sharing  notably  between  public  research  and  industry,  as  well  as 

with the public at large; 

–  Well-coordinated  research  programmes  and  priorities,  including  a  significant  volume 
of  jointly-programmed  public  research  investment  at  European  level  involving  common 
priorities, coordinated implementation and joint evaluation; and 

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–  A wide opening of the European Research Area to the world with special emphasis on 
neighbouring  countries  and  a  strong  commitment  to  addressing  global  challenges  with 
Europe's partners. 

Based on an assessment of the situation in these main areas, this Green Paper raises a number 
of  questions  on  how  to  deepen  and  widen  the  European  Research  Area  so  that  it  fully 
contributes to the renewed Lisbon strategy. It intends to launch a wide institutional and public 
debate with a view to preparing initiatives for 2008. 

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TABLE OF CONTENTS 

1. 

2. 

3. 

3.1. 

3.2. 

3.3. 

3.4. 

3.5. 

3.6. 

4. 

A new look at the European Research Area............................................................ 5 

The European Research Area vision ........................................................................ 8 

Making ERA a reality.............................................................................................. 10 

Realising a single labour market for researchers ....................................................... 10 

Developing world-class research infrastructures ....................................................... 12 

Strengthening research institutions ............................................................................ 14 

Sharing knowledge..................................................................................................... 16 

Optimising research programmes and priorities ........................................................ 17 

Opening to the world: international cooperation in S&T........................................... 20 

Moving ahead: public debate and further steps.................................................... 22 

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1. 

A NEW LOOK AT THE EUROPEAN RESEARCH AREA  

Globalisation 
brings 
opportunities and 
challenges for 
the European 
Research Area 
(ERA) 

Since  the  March  2000  Lisbon  European  Council  endorsed  the  objective  of 
creating  a  European  Research  Area  (ERA),  many  initiatives  have  been 
launched.  It  is  now  time  to  assess  what  has  been  achieved  so  far  and  to 
reflect on what still has to be done to make ERA a reality. 

A sense of urgency in revisiting ERA stems from the fact that globalisation 
of  research  and  technology  is  accelerating  and  new  scientific  and 
technological  powers  –  China,  India  and  other  emerging  economies  –  are 
attracting considerable and increasing amounts of R&D investments1. These 
developments  bring  new  opportunities  for  Europe  and  the  world.  At  the 
same  time,  they  raise  the  question  of  Europe's  ability  to  sustain  a 
competitive edge in knowledge and innovation, which is at the core of the 
renewed Lisbon Strategy for Growth and Jobs. Addressing this question will 
be a major issue for the next three-year cycle of the Strategy, to be initiated 
in 2008.  

The EU and Member States have fully recognised that, together with high-
quality  education  and  lifelong  learning  and  a  supportive  environment  for 
innovation, ERA is essential to making Europe a leading knowledge society 
and thus creating the conditions for long-term prosperity. The ERA concept 
encompasses  three  inter-related  aspects:  a  European  'internal  market'  for 
research, where researchers, technology and knowledge can freely circulate; 
effective  European-level  coordination  of  national  and  regional  research 
activities, programmes and policies; and initiatives implemented and funded 
at European level2. 

Progress has 
been made in 
creating ERA 

As  detailed  in  the  supporting  Commission  services  working  document, 
many actions have been taken to progress on these aspects, notably: 

–  The  EU  Research  Framework  Programme  is  explicitly  designed  to 
support  the  creation  of  ERA  and  its  funding  has  been  substantially 
increased,  although  less  than  initially  proposed  by  the  European 
Commission.  New  initiatives  launched  in  conjunction  with  the  7th 
Framework  Programme  (2007-2013),  such  as  the  European  Research 
Council,  will  have  an  important  impact  on  the  European  research 
landscape.  The  future  European  Institute  of  Technology  also  has  the 
potential to play a substantial role in creating world-class 'knowledge and 
innovation communities'. 

–  Initiatives  have  been  launched  to  improve  the  coordination  of  research 
activities  and  programmes.  They  include  the  European  Technology 
Platforms, through which industry and other stakeholders develop shared 
long-term  visions  and  strategic  research  agendas  in  areas  of  business 
interest,  and  the  bottom-up  'ERA-Net'  scheme  which  supports  the 

1 
2 

Commission staff working document SEC(2007) 412, Section 3.1.1. 
Commission staff working document, Chapter 1. 

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coordination of national and regional programmes3.  

–  Policy  coordination 

the 

through 

is  addressed 

'open  method  of 
coordination' and the use of voluntary guidelines and recommendations. 
This  is  stimulating  a  process  of  debate  and  reforms  at  national  level, 
which has resulted in all Member States setting national R&D investment 
targets  in  the  context  of  the  overall  EU  3%  of  GDP  R&D  investment 
objective  and  taking  measures  to  improve  their  research  and  innovation 
systems4.  

–  The  EU  has  adopted  a  'broad-based  innovation  strategy',  which  will 
improve  the  framework  conditions  for  research  and  innovation5.  In  this 
context,  a  modernised  Community  framework  for  State  aid  for  research 
and  innovation6 and guidance for  a more effective  use of tax incentives 
for R&D7 were adopted in November 2006, a European patent strategy is 
being proposed to overcome the deadlock on the Community patent8, and 
initiatives are being prepared to support the emergence of European 'lead 
markets' in promising technology-intensive sectors. 

–  EU cohesion policy and its financial instruments - the Structural Funds - 
give  strong  priority  to  the  development  of  research  and  innovation 
capacities,  particularly  in  less  developed  regions.  Together  with  the 
priority given in most Member States' internal policies, this can help the 
whole  of  Europe  to  participate  in  and  derive  full  benefit  from  the 
European Research Area. 

…but much 
groundwork 
remains to 
overcome 
fragmentation of 
the public 
research base 
and… 

These initiatives are valuable steps on which further progress can be built. 
But  much  ground  work  remains  to  be  done  to  build  ERA,  particularly  to 
overcome the fragmentation which remains a prevailing characteristic of the 
European  public  research  base.  Fragmentation  prevents  Europe  from 
fulfilling its research and innovation potential, at a huge cost to Europeans 
as taxpayers, consumers, and citizens: 

–  Researchers still see career opportunities curtailed by legal and practical 
barriers  hampering  their  mobility  across  institutions,  sectors  and 
countries. 

–  Businesses often find it difficult to cooperate and enter into partnerships 

with research institutions in Europe, particularly across countries. 

–  National  and  regional  research  funding  (programmes,  infrastructures, 
core funding of research institutions) remains largely uncoordinated. This 
leads  to  dispersion  of  resources,  excessive  duplication,  unrealised 
benefits from potential spillovers, and failure to play the global role that 

3 
4 
5 
6 
7 
8 

Commission staff working document, Chapter 2. 
Commission staff working document, Section 2.2. 
COM(2006) 502, 13.9.2006. 
OJ C 323, 30.12.2006, p. 1. 
COM(2006) 728, 22.11.2006. 
COM(2007) 165, 4.4.2007. 

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…to retain and 
attract more 
business R&D 
investment in 
Europe 

Europe's  R&D  capability  would  otherwise  allow,  notably  in  addressing 
major global challenges. 

–  Reforms  undertaken  at  national  level  often  lack  a  true  European 

perspective and transnational coherence. 

Europeans appear to be aware of these costs. According to a recent survey, 
83%  consider  that  there  should  be  more  coordination  of  research  activities 
between the Member States of the European Union9. 

Fragmentation  of  public  research  diminishes  Europe's  attractiveness  for 
business as a location for R&D investment. The business sector is supposed 
to contribute two-thirds of the 3% of GDP R&D intensity target. Recent data 
suggests  that  EU-based  companies  have  increased  their  global  R&D 
expenditure by more than 5% in 2006, but this is still less than the rate of 
increase of R&D expenditure of their non-EU-based counterparts10. In fact, 
EU-based  companies  invest  more  in  R&D  in  the  US  than  US-based 
companies  do  in  the  EU  and  this  transatlantic  net  outflow  of  R&D 
investments is increasing11. A substantial and sustained increase of business 
R&D investment is essential to break with the current stagnation of the EU's 
overall  R&D  intensity  at  1.9%  of  GDP12  and  to  progress  towards  national 
and EU targets.  

Surveys13 suggest that when investing in R&D, business primarily looks for: 

–  Favourable 

framework  conditions 

for 

the  commercialisation  of 

technologies; 

–  Adequate numbers of well-trained and mobile researchers, responsive to 

the needs of industry; and  

–  An  excellent  public 

(research 
infrastructures) with strong interactions with industry. 

research  base 

institutions  and 

While  the  EU's  single  market  review14  and  initiatives  stemming  from  the 
broad-based innovation strategy such as those mentioned above focus on the 
demand  side  for  innovation,  this  Green  Paper  focuses  on  the  factors 
affecting  the  performance  of  research  systems  in  Europe,  with  a  view  to 
overcoming  the  fragmentation  of  efforts  and  policies,  and  ensuring  that 
Europe makes the most of globalisation in science and technology. 

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12 
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Eurobarometer: Europeans, Science and Technology, June 2005, http://ec.europa.eu/public_opinion. 
2006 EU Industrial R&D Investment Scoreboard, http://iri.jrc.es/research  
Commission staff working document, Section 3.3.1. 
Commission staff working document, Section 3.3.1. 
2005 EU Survey on R&D Investment Business Trends, http://iri.jrc.es/research 
COM(2007) 60, 21.2.2007. 

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2. 

THE EUROPEAN RESEARCH AREA VISION 

The European 
Research Area 
will deeply root 
knowledge in 
society and free 
Europe's 
knowledge 
potential in all its 
dimensions: 
people, 
infrastructures, 
organisations, 
funding, 
knowledge 
circulation and 
global 
cooperation 

To  establish  a  framework  for  discussion,  align  efforts  and  assess  progress 
made, it is important to identify the main features of a fully realised ERA. 
Building  on  the  key  principles  agreed  unanimously  in  2000,  ERA  should 
comprise: 

1. 

2. 

3. 

4. 

An adequate flow of competent researchers. Researchers should 
be  stimulated  by  a  single  labour  market  with  attractive  working 
conditions for both men and women, involving notably the absence 
of  financial  or  administrative  obstacles  to  trans-national  mobility. 
There  should  be  full  opening  of  academic  research  positions  and 
national research programmes across Europe, with a strong drive to 
recruit  researchers  internationally,  and  easy  movement  between 
disciplines  and  between  the  public  and  private  sectors  –  such 
mobility  becoming  a  standard  feature  of  a  successful  research 
career. 

infrastructures.  Major 

World-class  research 
infrastructures 
should  be  built  and  exploited  in  the  form  of  joint  European 
ventures. They should be accessible to research teams from across 
Europe and the world, with researchers working in Europe having 
access to international infrastructures and equipment in other parts 
of  the  world.  These  research  infrastructures  should  be  integrated, 
networked  and  accessed  through  the  concomitant  development  of 
new  generations  of  electronic  communication  infrastructures,  both 
in Europe and globally.  

Excellent research  institutions. Across the entire EU, diversified 
research  institutions  should  be  embedded  in  the  social  and 
economic  life  where  they  are  based,  while  competing  and 
cooperating  across  Europe  and  beyond.  They  should  be  able  to 
interact routinely with the world of business as well as to engage in 
durable public/private partnerships. Such partnerships should be at 
the core of specialised – mostly interdisciplinary – 'clusters' which 
would attract a critical mass of human and financial resources from 
across  the  world.  The  European  Research  Area  should  thus 
progressively  structure  itself  along  the  lines  of  a  powerful  web  of 
research  and  innovation  clusters.  Their  reach  should  be  amplified 
through  'virtual  research  communities'  created  by  pooling  and 
integrating  activities  and  resources  from  different  locations  in 
Europe and beyond, using powerful computing and communication 
tools.  Increasingly,  clusters  should  form  and  expand  through  such 
virtual integration rather than geographical concentration. 

Effective  knowledge  sharing.  This  should  consist  of:  open  and 
easy access to the public knowledge base; a simple and harmonised 
regime  for  Intellectual  Property  Rights,  including  a  cost-efficient 
patenting system and shared principles for knowledge transfer and 
cooperation  between  public  research  and  industry;  innovative 
communication  channels  to  give  the  public  at  large  access  to 

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5. 

6. 

scientific knowledge, the means to discuss research agendas and the 
curiosity to learn more about science. 

the 

include 

Well-coordinated  research  programmes  and  priorities.  This 
implementation  and 
joint  programming, 
should 
evaluation  of  public  research  investments  at  European  level  on 
issues  that  go  beyond  the  capacities  of  individual  countries. 
Common  priorities  should  be  identified  through  joint  foresight, 
involving  the  scientific  community,  society  and  industry,  and 
jointly  decided  and  acted  upon.  In  these  and  other  areas,  national 
and regional research programmes should offer confidence that the 
main  principles  governing  applications  for  research  funding  are 
comparable  across  the  EU  and  ensure  the  highest  level  of  quality. 
They should together constitute a simple, transparent and coherent 
system  of  research  funding  based  on  various  public  sources 
(national,  regional  and  European)  and  associated  with  private 
sources (including philanthropy and civil society organisations). 

A  wide  opening  of  the  European  Research  Area  to  the  world. 
Special  emphasis  should  be  placed  on  the  participation  of 
neighbouring  regions  of  the  EU,  as  well  as  on  developing 
multilateral  initiatives  to  address  global  challenges  with  EU's 
partners. 

In addition, three important concerns cut across all dimensions of the ERA: 

–  European  research  policy  should  be  deeply  rooted  in  European  society. 
Besides  the  pursuit  of  scientific  excellence,  European  research  should 
support knowledge advancement and dissemination and underpin policies 
for  sustainable  development  in  fields  of  major  public  concern  such  as 
health, energy and climate change15. It should experiment with new ways 
of  involving  society  at  large  in  the  definition,  implementation  and 
evaluation  of  research  agendas  and  of  promoting  responsible  scientific 
and technological progress, within a framework of common basic ethical 
principles and on the basis of agreed practices that can inspire the rest of 
the world.  

–  The right balance should be found between competition and cooperation. 
Researchers  and  research  institutions  should  be  stimulated  by  higher 
levels  of  competition  on  a  European  level  to  develop  world-class 
excellence.  At  the  same  time,  they  should  be  engaged  in  stronger 
cooperation  and  partnerships  across  Europe  and  beyond  to  effectively 
address issues of common concern.  

–  Full  benefit  should  be  derived  from  Europe's  diversity  which  has  been 
enriched  with  recent  EU  enlargements.  European  countries  and  regions 
may build on their strengths by progressively developing specialisation in 
certain fields. However, they should be able to maintain or gain access to 

15 

Commission staff working document, Section 3.3.1. 

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Urgent action is 
required 

other specialist knowledge and S&T capacities in the rest of Europe and 
the  world,  notably  through  researcher  mobility,  knowledge  sharing  and 
the development of virtual networks and 'communities'. 

The nature of research means that complex interdependencies exist between 
the  above-mentioned  features  of  ERA  and  with 
the  cross-cutting 
dimensions,  as  will  be  seen  below.  Some  features  will  take  longer  to 
establish  than  others,  so  that  the  ERA  vision  may  not  be  fully  achieved 
before 10 or 15 years – around 2020. However, this systemic nature of ERA 
dictates that urgent action should be taken to progress as quickly as possible 
on all fronts - all the more so given the strong leverage effect this will have 
on increasing private investment in research and innovation and promoting a 
more competitive knowledge-based economy.  

Elements of the European Research Area vision 

1. 

2. 

3. 

Are  these  the  essential  elements  that  the  European  Research  Area  should 
provide? Are there other elements which should be taken into account in the vision? 

What  should  be  the  roles  of  EU,  national  and  regional  policies  to  establish  such  a 
European Research Area and take best advantage of the European dimension in the 
context of globalisation and national and regional specialisation? 

What EU initiatives could best leverage overall public and private efforts to realise 
the vision? 

3. 

MAKING ERA A REALITY 

This  section  analyses  the  situation  of  European  research  with  respect  to  the  six  main 
dimensions  of  the  European  Research  Area.  For  each  of  them,  a  number  of  questions  are 
raised to provoke an open discussion among all those who have a stake in research. 

3.1. 

Realising a single labour market for researchers 

Attractive 
careers and 
seamless mobility 
are essential for 
researchers… 

…but far from 
being a reality 

A  key  challenge  for  Europe  is  to  train,  retain  and  attract  more  competent 
researchers.  Moreover, 
the  seamless  mobility  of  researchers  across 
institutions,  sectors  and  countries  is  even  more  important  than  for  other 
professions: it  is essential to  better balance researcher supply and demand, 
particularly  given  their  high  specialisation  and  relatively  low  numbers;  it 
constitutes  one  of  the  most  efficient  vehicles  for  the  transmission  of 
knowledge;  and  it  is  an  increasingly  important  requirement  for  the 
development  of  skills  and  careers  in  science.  Today,  most  researchers  in 
Europe  still  find  their  opportunities  curtailed  by  institutional  and  national 
boundaries,  poor  working  conditions  and  narrow  career  prospects16.  In 
practice,  academic  positions  still  remain  largely  reserved  for  national  or 
even  internal  staff17.  Transparent  competition  for  recruitment  is  the 

16 
17 

Commission staff working document, Section 3.2.3. 
Despite case law of the European Court of Justice on the access of EU nationals to posts in the public 
sector. 

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exception rather than the rule. Mobility across borders or between academia 
and industry tends to be penalised rather than rewarded. Administrations do 
not  usually  allow  researchers  to  receive  or  carry  research  grants  across 
borders.  

This is why so many European graduates and doctorate holders either move 
away from research careers or pursue research in countries where they find 
better  opportunities  –  mainly  in  the  US.  At  the  same  time,  women  remain 
under-represented,  particularly  in  some  fields  of  science  and  engineering 
and  in  positions  of  responsibility.  Demographics  also  have  a  growing 
negative impact on the European research sector, with potential shortages of 
researchers in some areas due to the retirement of older generations and the 
associated loss of competence.  

It is thus essential to establish a single and open European labour market for 
researchers,  ensuring  effective  "brain  circulation"  within  Europe  and  with 
partner  countries  and  attracting  young  talent  and  women  into  research 
careers.  This  requires  efforts  at  all  levels  in  the  private  and  public  sectors 
and  by  local,  national  and  European  administrations.  The  private  sector 
should be encouraged to develop and expand opportunities for researchers. 
At the same time, public authorities and research institutions need to work to 
remove  the  legal,  administrative  and  practical  (e.g.  linguistic)  barriers  to 
geographical and inter-sectoral mobility, improve employment and working 
conditions  for  researchers,  reconcile  professional,  private  and  family  life, 
and address gender and demographic issues.  

Many specific EU initiatives have also been taken to foster a more attractive 
European area for researchers18, but progress remains very limited due to the 
voluntary  nature  of  most  of  them  and,  in  some  cases,  the  lack  of 
coordination with and between similar national and regional measures. For 
example, the European Charter for Researchers and the Code of Conduct for 
their recruitment are increasingly being supported, but this is a slow process 
and  real  progress  will  only  happen  once  the  endorsement  of  principles  is 
followed by concrete implementation. 

As regards the portability of social security provisions, existing regulations 
to  modernise  and  simplify  the  coordination  of  social  security  schemes  are 
steps in the right direction. The same holds for the Commission proposal for 
a  directive  on  improving  the  portability  of  supplementary  pension  rights. 
But the specific situation of researchers, who increasingly need to be mobile 
for large parts of their careers, typically through medium-term assignments 
or  appointments,  presents  serious  difficulties.  This  calls  for  better 
administrative cooperation between social security institutions19 but also for 
further steps to be taken. 

Work is required 
at all levels in the 
private and 
public sectors  

Voluntary 
approaches 
result in slow 
progress 

Considering 
further steps for 
the portability of 
social security 
provisions  

Improving the 

It is also essential to further improve the education and continuous training 

18 

19 

For  example:  Marie  Curie  grants,  European  Mobility  Portal  (http://ec.europa.eu/eracareers)  and 
European Network of Mobility Centres, ERA-Link pilot initiative to network European researchers in 
the US, the EU 'scientific visa' directive and recommendations, etc. 
See Commission Green Paper on Labour Law - COM(2006) 708, 22.11.2006. 

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education and 
training of 
researchers 

of researchers. Young researchers trained in Europe should be confident that 
their  qualifications  will  be  rewarding  for  their  careers.  European  doctoral 
programmes  and  further  training  should  meet  stringent  quality  standards, 
fulfil  the  needs  of  both  academia  and  business,  and  be  recognised  across 
Europe.  Researchers  at  all  levels  should  be  trained  in  cross-disciplinary 
work  and  S&T  administration,  including  knowledge  transfer  and  dialogue 
with society. 

4. 

5. 

6. 

7. 

8. 

9. 

Realising a single labour market for researchers 

Is there a need for a more effective European framework to improve significantly the 
recruitment,  working  and  geographical  and  intersectoral  mobility  conditions  for 
researchers, including enforceable measures? 

In particular: 

How  could  the  principles  established  in  the  European  Charter  for  Researchers  and 
the  Code  of  Conduct  for  their  Recruitment  be  effectively  implemented,  in  order  to 
develop  fully  the  European  dimension  of  research  careers,  including  the  trans-
national opening of vacancies and funding opportunities for researchers? 

Is  there  a  need  for  a  European  framework  to  ensure  portability  of  social  security 
provisions for researchers across Europe? 

How  could  'flexicurity'  principles  (e.g.  combining  labour  market  flexibility  with 
employment security) be applied to the researcher labour market? 

How  could  we  increase  the  numbers  and  quality  of  researchers  in  Europe  by 
attracting  young  research  talents,  ensuring  real  equal  opportunities  for  men  and 
women and exploiting the experience and expertise of end-of-career researchers, for 
example in advisory and training roles? 

Should  joint  approaches  be  developed  to  increase  the  coherence  and  impact  of  the 
various  schemes  aiming  at  networking  European  researchers  abroad  as  well  as 
foreign researchers in Europe? Similarly, is there scope to increase the coherence and 
impact  of  European  and  national  schemes  for  international  mobility  of  researchers 
(for example by jointly developing international 'Fulbright-like' fellowships)? 

10. 

How could the specific education and training needs of researchers be addressed at 
all stages of their careers, starting with post-graduate and doctoral curricula, building 
on the Bologna process for higher education?  

3.2. 

Developing world-class research infrastructures 

Excellent  research  needs  a  range  of  high-quality  research  infrastructures 
(e.g. radiation sources for new materials, clean rooms for nanotechnologies, 
data  banks  for  genomics  and  social  sciences,  observatories  for  earth 
sciences).  European-level  infrastructure  can  provide  a  service  to  the  whole 
European research community. Due to high building and operating costs, it 
also makes sense to share much of this infrastructure.  

EN 

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Building on the 
Research 
Infrastructures 
Roadmap 

Making the most 
of all sources of 
funding 

A step towards better planning of research infrastructures at European level 
has  been  achieved  with  the  creation  of  the  European  Strategic  Forum  on 
Research  Infrastructures  (ESFRI).  In  2006,  it  established  a  European 
'roadmap'  for  new  and  upgraded  pan-European  research  infrastructures. 
Immediate  priorities  should  be:  to  ensure  that  the  roadmap  effectively 
includes the bulk of planned and foreseen research infrastructures in Europe; 
to complement the roadmap in areas not yet adequately covered; to endorse 
its proposals at political level; and to mobilise the necessary funding. 

Implementing  the  ESFRI  roadmap  would  cost  € 14 bn  over  10  years. 
Despite  the  increase  in  funding  allocated  to  infrastructures  in  the  7th 
research  Framework  Programme  and  the  possibilities  for  infrastructure-
support  in  less  developed  regions  under  cohesion  policy  programmes,  the 
EU budget is not big enough to provide core financing for the construction 
of new pan-European infrastructures, in addition to supporting open access 
to  infrastructures  of  European  interest  and  stimulating  their  coordinated 
development  and  networking.  The  mobilisation  of  national,  private  and 
other sources of funding is essential. Attracting investment from industry is 
particularly  important  given  its  current  low  level  of  involvement,  even  for 
infrastructures of direct interest. 

An appropriate 
legal structure 
may be needed 

Another  difficulty  for  setting  up  new  forms  of  Pan-European  research 
infrastructures  is  the  lack  of  a  legal  structure  allowing  the  creation  of 
appropriate partnerships. 

Further 
developing 
electronic 
infrastructures in 
Europe and the 
world 

Several  infrastructure  projects  proposed  are  of  such  a  scale  and  scope  that 
they would require cooperation at global level. Many of the infrastructures 
envisaged  are  of  a  distributed  nature,  composed  of  various  elements 
integrated via electronic infrastructures including data repositories and high-
speed  networks  such  as  GEANT  and  on  grid  technologies,  which  play  an 
essential  role  by  enabling  these  elements  to  operate  together  in  ways  that 
remove  traditional  constraints  related  to  time,  geography,  discipline  and 
institutions.  It  will  thus  be  necessary  to  ensure  coherent  planning,  parallel 
development  and  integration  between  European  S&T  infrastructures  and 
new  generations  of  electronic  infrastructures,  which  should  be  further 
deployed  across  Europe,  including  peripheral  regions.  Europe  should  also 
continue  with  the  extension  to  other  continents  of  GEANT  and  grid 
instruments  for 
electronic 
international  cooperation  and 
the  establishment  of  global  research 
partnerships.  

infrastructures,  which  constitute  powerful 

Developing world-class research infrastructures 

11. 

How  could  the  EU,  on  the  basis  of  identification  of  needs  by  ESFRI,  effectively 
decide  on  pan-European  research  infrastructures  and  their  funding  –  the  latter 
involving  the  Community  (including  possible  synergies  with  EU  cohesion  policy 
instruments), Member States, industry, the EIB and other financial institutions? 

12. 

Should  a  European  legal  framework  be  developed  to  facilitate,  in  particular,  the 
emergence and operation of new forms of research infrastructures of pan-European 

EN 

13 

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13. 

14. 

15. 

interest, including electronic infrastructures? What other policy and legal changes are 
necessary to encourage the private sector to invest more in research infrastructure? 

Is there a need to define common and transparent principles for the management of, 
and access to, infrastructures of European interest? 

How  can  the  longer-term  continuous  improvement  of  research  infrastructures  be 
ensured,  e.g.  through  S&T  programmes  associated  with  them  and  European 
electronic infrastructures? 

Should  a  global  forum  on  research  infrastructures  be  created,  involving  third 
countries  and  international  organisations,  where  Europeans  could  speak  with  one 
voice (as they did in the ITER project on nuclear fusion research)? 

3.3. 

Strengthening research institutions 

Universities and public research organisations perform more than 35% of all 
research  undertaken  in  Europe.  They  are  the  primary  source  of  both 
fundamental research and research on issues of public interest, as well as an 
important  provider  of  applied  research  that  helps  to  underpin  business 
research  and  innovation.  Strengthening  research  institutions  is  key  to 
stimulating business R&D investment in Europe. 

However, their potential is not fully realised due to significant dispersion of 
resources  and  activities,  insufficient  links  with  business  and  society,  and 
rigidities in their functioning20. To improve their role as research actors in a 
borderless  ERA,  they  have  to  adapt  to  a  changing  and  more  demanding 
environment  where,  for  example,  competition  for  funding  and  talent  is 
intensifying  both  within  Europe  and  with  third  countries.  Universities  in 
particular,  at  the  intersection  of  the  European  Research  Area  and  the 
European  Higher  Education  Area,  face  growing  funding  and  organisational 
challenges. 

Most  European  research  institutions  lack  critical  mass  and,  within  the 
confines  of  sub-optimal  national  systems,  have  difficulties  meeting 
expectations with the resources available to them. While the average quality 
of  European  public  research  is  good,  in  many  institutions  it  is  not  up  to 
leading world standards21. Therefore, some concentration and specialisation 
is necessary to permit the emergence of both European centres of excellence 
competitive on the global scale and a rich network of universities and public 
research  organisations  across  the  entire  EU  which  excel  in  addressing 
research and training needs at national, regional and sectoral levels. 

Research 
institutions face 
growing 
challenges in 
funding and 
organisation 

More 
concentration 
and 
specialisation are 
necessary… 

…which requires 
autonomy, 
professional 
management of 
research and 

Such  changes  can  happen  only  if  research  institutions,  notably  universities, 
are  given  autonomy  to  position  themselves,  cooperate  and  compete  at 
European and international levels, and better link their research activities to 
the needs of industry and society. This must go hand in hand with growing 
professionalism  in  the  management  of  research  and  adherence  to  more 

20 
21 

Commission staff working document, Section 3.2.1. 
Commission staff working document, Section 3.3.2. 

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accountability… 

transparent  standards  of  accountability.  Reforms  under  way  in  many 
countries need to be completed and extended to the whole of Europe. 

…linking public 
funding to output 
and 
performance… 

In particular, the awarding of public funding should encourage these changes 
by  increasingly  taking  into  account  output  and  performance  factors. 
Innovative public-private partnerships also need to be stimulated further and 
a  good  balance  found  between  institutional  and  competitive  funding.  With 
regard  to  the  latter,  the  European  Research  Council  will  play  an  important 
role  by  having  teams  from  universities  and  other  research  organisations 
compete for grants to fund the best 'frontier research' at European level. 

…creating virtual 
research 
communities via 
information and 
communication 
technologies 
(ICTs)… 

… and 
establishing 
virtual centres of 
excellence 
through strong 
and durable 
partnerships 

Research  institutions  should  increasingly  work  in  the  context  of  European 
and  global  'virtual  research  communities'  associating  public  and  private 
organisations.  This  will  require  a  better  collective  exploitation  of  the 
opportunities 
and 
communication infrastructures, which are becoming fundamental for moving 
the frontiers of research. Virtual research communities can also constitute a 
powerful vehicle to ensure the inclusion of researchers and students from all 
around Europe and other countries. 

by  massive 

information 

computing, 

offered 

Research institutions should also be encouraged to create 'virtual centres of 
excellence'  in  the  form  of  strong  and  durable  partnerships  between 
themselves  and  with  industry,  going  beyond  the  usual  project-based 
cooperation.  This  is  the  purpose  of  'networks  of  excellence'  in  the  research 
Framework  Programme.  A 
the  6th  Framework 
Programme  is  that  such  durable  partnerships  are  only  possible  between  a 
very restricted number of partners pooling a significant volume of resources. 
Thus,  they  typically  involve  very  large  research  teams,  or  entire  labs  or 
research units. 

learnt  under 

lesson 

The  'knowledge  and  innovation  communities'  of  the  European  Institute  of 
Technology  (EIT)  will  offer  an  attractive  framework  to  create  such 
partnerships.  Other  instruments  such  as  structures  shared  by  several 
institutions  to  pool  research-management  capabilities  (including  knowledge 
transfer,  fund-raising  and  other  key  functions)  could  help  to  create  virtual 
centres of excellence. 

Strengthening research institutions 

16. 

17. 

How can the resources of European research institutions be strengthened in the most 
cost-effective manner, in order to enable them to achieve excellence and compete on 
a world scale?  

How can research actors be better encouraged to create world-class virtual centres of 
excellence, such as in the context of the proposed European Institute of Technology, 
the  FP7  'networks  of  excellence'  and  national  and  regional  initiatives,  and  to  share 
structures that pool the research management capabilities of several institutions? 

18. 

Is there a need for a European regulatory initiative to facilitate the creation of public-
private partnerships? 

EN 

15 

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19. 

20. 

How can the EU and Member States best stimulate the emergence of European and 
global  virtual  research  communities,  exploiting  fully  the  potential  of  computing, 
information and communication infrastructures? 

Should  action  be  taken  to  develop:  (i)  principles  for  autonomy  and  for  the 
management  of  research  by  research  institutions,  notably  universities;  (ii)  shared 
criteria for the funding and assessment of research institutions, notably universities, 
giving  stronger  weight  to  linkages  beyond  academia,  as  well  as  to  output  and 
performance factors? 

3.4. 

Sharing knowledge 

Generation,  diffusion  and  exploitation  of  knowledge  are  at  the  core  of  the 
research system. In particular, access to knowledge generated by the public 
research base and its use by business and policymakers lie at the heart of the 
European Research Area, where knowledge must circulate without barriers 
throughout the whole society. 

Opening access 
to knowledge 
throughout 
Europe by 
exploiting the 
potential of ICTs 

State-of-the-art knowledge is crucial for successful research in any scientific 
discipline.  Reliable,  affordable  and  permanent  access  to,  and  widespread 
dissemination  of,  scientific  research  results  should  therefore  become 
defining  principles  for  Europe's  research  landscape.  The  digital  era  has 
opened up numerous possibilities in this respect. Opportunities for progress 
can  be  seen,  notably  in  the  development  of  online  libraries,  repositories  of 
scientific  information  and  databases  of  publications  and  publicly  funded 
research  results.  These  should  be  integrated  at  European  level  and 
interlinked with similar databases in third countries. In particular, the system 
by which scientific information is published is pivotal for its validation and 
dissemination,  and  thus  has  a  major  impact  on  the  excellence  of  European 
research22.  Europe  should  stimulate  the  development  of  a  'continuum'  of 
to 
accessible  and 
publications, within and across different communities and countries. 

information  from  raw  data 

interlinked  scientific 

Improving 
knowledge 
transfer between 
public research 
and industry 

Knowledge transfer must improve in order to accelerate the exploitation of 
research  and  the  development  of  new  products  and  services.  To  that  end, 
European universities and other public research institutions should be given 
incentives  to  develop  skills  and  resources  to  collaborate  effectively  with 
business and other stakeholders, both within and across borders23. A major 
hindrance is the inconsistent, and often inadequate, rules and approaches for 
managing  intellectual  property  rights  (IPR)  resulting  from  public  funding. 
The  Commission  has  identified  good  practice  and  models  of  knowledge 
sharing  between  the  public  research  base  and  industry  which  will  serve  to 
inspire further action at both EU and national levels24. 

22 

23 
24 

See  Commission  communication  'Scientific  information  in  the  digital  age:  access,  dissemination  and 
preservation' - COM(2007) 56, 14.2.2007. 
Commission staff working document, Section 3.2.4. 
'Improving  knowledge  transfer  between  research  institutions 
See  Commission  communication 
and  industry  across  Europe:  embracing  open  innovation'  -  COM(2007)  182,  4.4.2007  -  and 
accompanying staff working document SEC(2007) 449. 

EN 

16 

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Breaking the 
deadlock on 
patent systems… 

…and addressing 
R&D-specific 
IPR issues 

Patenting  remains  excessively  complicated  and  costly  in  Europe,  and 
fragmented  litigation  fails  to  provide  sufficient  legal  certainty.  Given  the 
deadlock in negotiations on the Community patent, other options are being 
examined,  including  improving  the  current  European  patent  system.  The 
objective  should  be  to  offer  cost-effective  European  patenting,  mutually 
recognised with the other major patenting systems worldwide and backed by 
a coherent pan-European litigation system25. In addition, a number of R&D-
specific  issues,  such  as  the  grace  period,  joint  ownership  regimes  and  the 
research  exception,  should  also  be  addressed  in  order  to  ensure  consistent 
treatment across the EU. 

Thinking 
differently about 
communicating, 
discussing and 
teaching S&T 
knowledge… 

…and using it for 
policy-making 

Finally,  to  work  efficiently  and  properly  in  full  symbiosis  with  European 
society,  ERA  requires  the  development  of  new  channels  and  innovative 
approaches  for  communicating  and  discussing  science,  research  and 
technology,  as  well  as  a  reinforced  commitment  of  research  actors  to 
education  and  training  activities.  This  would  ensure  that  European  citizens 
are  well  informed  about  all  the  issues  at  stake,  and  result  in  the  spread  of 
research approaches geared towards society's needs and aspirations and of a 
culture  and  spirit  of  innovation  throughout  society  as  a  whole.  Innovative 
approaches  are  also  needed  to  improve  the  availability  and  uptake  of 
relevant S&T expertise for evidence-based policy-making. 

Sharing knowledge 

21. 

22. 

23. 

24. 

Is there a need for EU-level policies and practices to improve and ensure open access 
to  and  dissemination  of  raw  data  and  peer-reviewed  publications  from  publicly 
funded research results?  

What  should  constitute  a  European  Framework  for  knowledge  sharing  between 
research institutions and industry based on identified good practice and models? 

Are  there  specific  R&D-related  issues,  such  as  the  grace  period,  joint  ownership 
regimes  and  the  research  exception  that  need  to  be  looked  at  from  a  European 
perspective? 

What conditions should be created to promote innovative approaches in the way that 
science  and  technology  is  communicated,  taught,  discussed  and  valued  by 
Europeans, and taken up for evidence-based policy-making? 

3.5. 

Optimising research programmes and priorities 

Since  2000,  a  core  objective  of  the  European  Research  Area  has  been  to 
ensure  the  coherence  of  national  and  regional  research  programmes  and 
priorities on issues of European interest. Some progress has been made, but 
it falls far short of the ambition and potential in this regard. 

Promoting 
common 
principles and 

Further progress could take the form of common principles for peer review, 
quality  assurance  and  joint  evaluation  of  European,  national  and  regional 

25 

See Commission Communication 'Enhancing the patent system in Europe' - COM(2007) 165, 4.4.2007.  

EN 

17 

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reciprocal 
opening of 
programmes to 
increase the 
efficiency and 
impact of public 
funding 

Building on 
experience to 
improve 
programme 
coordination 

programmes  and  agencies,  which  would  help  simplify  and  raise  the 
efficiency and impact of research funding in Europe. Another step forward 
could  be  the  reciprocal  opening  of  corresponding  national  and  regional 
programmes  to  participants  from  other  Member  States,  particularly  in  the 
case of investigator-driven research. This would enable researchers to apply 
for  funds  in  another  Member  State,  with  the  aim  to  enhance  excellence 
everywhere  and  increase  the  efficiency  of  funding  allocation  to  the  best 
research  in  Europe,  reinforcing  the  impact  of  the  European  Research 
Council.  

Regarding  society-driven  research,  where  research  funding  is  focused  on 
predetermined  areas  or  topics  of  direct  relevance  to  citizens,  business  or 
policy-makers,  many  issues  are  best  addressed  by  research  programmes  in 
individual  countries  and  regions,  notably  to  build  and  expand  their  S&T 
capacities and respond to local needs. Interaction between such programmes 
may  range  from  simple  exchanges  of  information  to  close  coordination. 
However,  some  issues  can  best,  or  even  only,  be  addressed  effectively 
through  European  and  sometimes  global  research  programmes,  combining 
EU and national support as well as business and philanthropic funding. 

The  principal  value  of  the  actions  undertaken  since  2000  has  been  to 
demonstrate the potential and conditions for success, but also the limits, of 
programme coordination26. 

Since 2003, the bottom-up ERA-Net scheme has been providing support for 
the  coordination  of  national  and  regional  programmes.  Other  schemes 
specifically  support  cooperation  between  regions,  such  as  the  'Regions  of 
Knowledge' under FP7 and the 'Regions for Economic Change' of Cohesion 
Policy. As regards ERA-Net, the 'variable geometry' principle has facilitated 
the  readiness  of  participants  to  embark  on  the  partial  integration  of  their 
respective programmes. However, the first years of the scheme have clearly 
demonstrated  that  a  condition  for  success  is  the  existence  of  well-defined 
and  well-structured  national  and  regional  programmes  and  corresponding 
budgets. 

This  is  also  the  lesson  of  the  only  attempt  made  up  to  now  to  coordinate 
national  research  programmes  on  a  larger  scale  through  Article  169  of  the 
EC  Treaty:  the  'European  and  Developing  Countries  Clinical  Trials 
Partnership'  (EDCTP).  This  case  shows  that  even  when  participating 
Member  States  have  formally  committed  to  pooling  resources  on  a  trans-
national basis, this remains very difficult in practice. 

Jointly identifying 
major societal 
challenges 
beyond national 
capacity  

Efforts  have  also  been  made  to  identify  jointly  major  challenges  or 
opportunities relevant to all or many countries but requiring research efforts 
beyond  individual  national  capacity,  and  on  this  basis  to  define  broad 
research  agendas.  For  example,  the  industry-led  European  Technology 
Platforms  have  defined  European  'visions'  and  research  agendas  in  their 
respective  fields,  and  these  are  taken  into  account  in  the  priorities  of  the 

26 

Commission staff working document, Chapter 2. 

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18 

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European research Framework Programme. In some countries there are also 
plans  to  translate  parts  of  these  European  research  agendas  into  national 
priorities. 

The  visions  and  research  agendas  developed  by  the  Technology  Platforms 
centre  on  topics  arising  from  business  interest.  They  could  contribute  to  a 
wider  and  complementary  process  of  joint  European  and  national  research 
programming  involving  all  stakeholders  –  research  institutions,  business, 
civil  society  organisations,  etc.  Such  a  process  would  allow  European, 
national  and  regional  research  priorities  to  be  based  on  the  systematic 
identification  of  major  societal  challenges.  Common  foresight  and 
technology assessment exercises carried out in close collaboration between 
national  organisations  and  involving  the  participation  of  stakeholders  and 
citizens  could  help  structure  and  enrich  such  an  approach.  The  recently 
launched initiative to develop a European Strategic Energy Technology Plan 
could be an interesting precedent27. 

Establishing joint 
programmes for 
society-driven 
research 

Joint Technology Initiatives based on Article 171 of the EC Treaty represent 
a  new  way  of  establishing  public-private  partnerships  in  research  at 
European  level,  ensuring  the  large-scale  coordination  of  research  efforts. 
Such  initiatives  have  been  proposed  to  implement  research  programmes 
covering  parts  of  the  research  agenda  of  ETPs  in  a  small  number  of  cases 
where their scale and scope justify it. The first such initiatives are expected 
to be launched in the coming months. 

In  the  medium-term  perspective,  a  new  approach  could  be  envisaged  for 
joint  programmes  for  society-driven 
establishing  and 
research, with the following essential features to ensure their desired scale, 
efficiency and impact: 

implementing 

–  Variable  configurations  depending  on  the  priorities,  competences  and 

types of involvement of interested Member States and stakeholders; 

–  Priority  setting  and  joint  programming  based  on  shared  foresight 

exercises; 

–  Flexible  funding  mechanisms  combining,  as  appropriate,  grants  with 
specific  tax  incentives  to  support  business  participation  and  other 
instruments such as pre-commercial procurement of R&D services; 

–  Common  principles  of  implementation,  notably  with  respect  to  peer 
review,  ethical  standards,  exploitation  of  results,  quality  control, 
accountability and evaluation, and where appropriate a joint management 
structure. 

27 

COM(2007) 60, 21.12.2007. 

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19 

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Exploiting the 
potential of 
intergovernmental 
research 
organisations 

By  their  size  and  the  nature  of  their  activities,  intergovernmental  research 
organisations,  such  as  those  represented  in  the  EIRO  forum28,  help  to 
increase the coherence, quality and delivery of European efforts in a number 
of  research  fields.  The  coherence  between 
these 
organisations  and  with  EU  research  and  other  policies  is  very  important, 
both within Europe and in dealing with the rest of the world. In some cases, 
it  could  be  increased  by  the  Community  becoming  a  member  of  these 
organisations,  representing  the  collective  interest  of  all  EU  and  associated 
countries.  In  addition,  inter-governmental  networking  structures  such  as 
EUREKA and COST could further contribute to the coherence of activities 
within the European Research Area. 

the  activities  of 

Optimising research programmes and priorities 

25. 

26. 

27. 

28. 

Should common principles be developed and used for peer review, quality assurance 
and  joint  evaluation  of  European,  national  and  regional  research  programmes? 
Should these programmes be opened to participants from other Member States, and 
how? 

Is there a need for shared principles for the accountability of public research funding, 
which  would  enhance  simplification  of  rules  and  procedures  and  increase  its 
effectiveness and efficiency? 

What  participative  processes  need  to  be put  in  place  to  enable  public  authorities  to 
jointly  identify  and  decide  upon  major  societal  issues  requiring  a  pooling  of 
resources and capacities? 

On such societal issues of European or global dimension, how could principles and 
modalities be established and tested for joint programming of research, involving all 
stakeholders (research institutions, business, civil society etc.) and bringing together 
funding from EU, national, regional, business and philanthropic sources? 

29. 

Should  the  European  Community  seek  membership  of  intergovernmental  research 
organisations? 

3.6. 

Opening to the world: international cooperation in S&T 

Making 
international 
S&T cooperation 
more central to 
the main external 
policy objectives 
of the EU 

Science  knows  no  boundaries  and  the  issues  that  research  is  asked  to  deal 
with are increasingly global. The challenge is to make sure that international 
S&T cooperation contributes effectively to stability, security and prosperity 
in the world. 

The  European  Research  Area  should  therefore  be  open  to  the  world,  and 
also S&T cooperation with partner countries should be steered in a coherent 
and policy-driven manner29. A coherent approach towards international S&T 
cooperation, under the banner of global sustainable development, can assist 

28 

29 

CERN,  EFDA,  EMBL,  ESA,  ESO,  ESRF,  ILL.  See  http://www.eiroforum.org.  The  relationship 
between the EU and ESA is being discussed in the context of the 2003 EC-ESA Framework Agreement 
and the further development of European Space Policy. 
Commission staff working document, Section 3.1.2. 

EN 

20 

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in building bridges between nations and continents. 

Increasing 
coordination 
between the EU 
and Member 
States 

A  success  story  such  as  ITER  shows  that  Europe  can  have  the  will  and 
capacity for leadership to address global challenges with partners around the 
world.  In  other  areas  such  as  the  environment,  Europe  is  increasingly 
involved in global initiatives. But, generally speaking, such involvement is 
at  present  far  from  systematic  and  often  poorly  coordinated  with  that  of 
Member  States.  As  a  result,  both  Europe  as  a  whole  and  Member  States 
individually are losing much of their potential impact on the global scene. 

Designing a 
common 
approach with 
respect to…  

…neighbouring 
countries… 

…developing 
countries… 

…and 
industrialised 
and emerging 
economies 

Closer  coordination  is  necessary  between  the  EU  and  Member  States,  for 
mutual benefit, as well as between S&T cooperation policy and other areas 
of external relations. Such coordination should be sought both in multilateral 
fora and initiatives as well as in bilateral cooperation with partner countries. 

Better  coordination  could  be  achieved  by  adhering  to  a  common  approach 
based  in  particular  on  the  orientations  set  out  below.  The  situations  of 
individual partner countries may often call for a mix of these: 

–  With  neighbouring  countries,  the  objective  should  be  to  establish  a 
borderless 'broader ERA', which would underpin and benefit from other 
elements  of  the  European  Neighbourhood  Policy.  This  should  entail  the 
participation  of  our  neighbours  not  only  in  the  EU  research  Framework 
Programme30,  but  also  with  the  other  dimensions  of  the  European 
Research  Area,  such  as  the  coordination  of  research  programmes  and 
infrastructures,  enforcement  of  knowledge-sharing  principles  and 
seamless mobility of researchers. 

–  With developing countries, cooperation should include a significant focus 
on strengthening their S&T capacity and on supporting their sustainable 
development in close liaison with development policy, while at the same 
time working with them as partners in global initiatives. 

–  With industrialised and emerging economies, priority should be given to 
programmes of mutual benefit, particularly to address global challenges. 
S&T agreements have been concluded with many of these countries. The 
role of such agreements should be critically assessed notably as regards 
reciprocity  and  the  important  issue  of  IPR.  In  some  cases,  more 
specialised  agreements  have  been  concluded  to  foster  cooperation  in 
specific  areas,  for  example  in  nanotechnologies  with  the  US.  These 
should be assessed with respect to their contribution to overall European 
and international research priorities and programmes. More joint calls for 
projects could be promoted in this context. 

Jointly 
addressing 
global issues and 
regional needs… 

Complementary to these broad orientations, the EU and its Member States 
should explore joint approaches to address global issues and regional needs 
specific  to  some  parts  of  the  world.  International  exchanges  of  researchers 
are  a  general  issue  that  should  be  addressed  with  all  partner  countries. 

30 

See  Commission  Communication  COM(2006)  274,  4.12.2006,  on  the  general  approach  to  enable 
European Neighbourhood Countries to participate to Community agencies and programmes. 

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…particularly in 
multilateral 
frameworks 

Finally, multilateral initiatives should be preferred to bilateral initiatives in 
order to promote the coherence of S&T priorities and actions at international 
level. This notably involves work in the context of multilateral organisations 
such as UNESCO, OECD and the G8, in multilateral agreements such as the 
the  Cotonou 
UN  Framework  Convention  on  Climate  Change  and 
Agreement,  and  with  regional  organisations  such  as  the  African  Union, 
ASEAN and Mercosur. 

Opening to the world: international cooperation in S&T 

30. 

31. 

32. 

33. 

34. 

35. 

How can the European Commission and Member States work together to (i) define 
priorities  for  international  S&T  cooperation  in  close  coordination  with  the  other 
dimensions  of  external  relations;  (ii)  ensure  the  coordinated  and  efficient  use  of 
instruments and resources; (iii) speak with one voice in multilateral initiatives? 

How can the European Commission and Member States work together to explore the 
potential  of  initiatives  for  international  research  programmes  on  issues  of  a  global 
dimension, involving the Community, Member States and third countries? 

How should S&T cooperation with various groups of partner countries be modulated 
to  focus  on  specific  objectives?  Should  complementary  regional  approaches  be 
explored? 

How can neighbouring countries be best integrated into the European Research Area 
as part of the European Neighbourhood Policy? 

How  can  the  EU's  bilateral  S&T  agreements  be  made  more  effective?  Are  there 
alternative  or  complementary  instruments  that  can  be  used,  such  as  joint  calls  for 
projects, involving where possible the Member States? 

How  can  common  European  agendas  for  S&T  cooperation  be  promoted  in 
multilateral organisations and agreements as well as with regional organisations? 

4. 

MOVING AHEAD: PUBLIC DEBATE AND FURTHER STEPS 

Europe has an enormous research and development potential, which remains 
to be tapped. The Commission believes that the broad orientations outlined 
above have the potential to considerably strengthen the European Research 
Area,  rendering  it  fit  and  capable  to  address  the  major  challenges  that 
Europe faces in an open world and to achieve the objectives of the Lisbon 
strategy. 

The Commission 
launches a wide 
consultation and 
debate… 

With  this  Green  Paper,  the  Commission  is  launching  a  wide  consultation 
and  debate  to  discuss  and  specify  these  orientations  and  stimulate  other 
ideas. To this end, the Commission: 

–  Invites the European Parliament and the Council, the European Economic 
and Social Committee and the Committee of the Regions to express their 
views on the orientations proposed for debate; 

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–  Invites  Member  States  to  promote  a  wide  debate  at  national  and  at 

regional level; 

–  Invites 

researchers  and 

research  organisations,  higher  education 
establishments,  businesses,  civil  society  organisations  and  citizens 
directly, to engage in the debate and to respond to the public consultation 
launched with this Green Paper31. 

…to help prepare 
future initiatives 

On the basis of the results of the consultation and debate, the Commission 
intends to propose initiatives in 2008. 

To accompany and support the debate, and to contribute to the preparation 
of proposals, the Commission will organise focused events and use external 
expertise to elaborate on the issues presented for debate in the Green Paper. 

The  Commission  will  also  reform  the  European  Research  Advisory  Board 
(EURAB)  in  order  to  enhance  the  role  it  plays  in  the  realisation  of  a 
European Research Area. Part of its mandate should be to help the European 
Commission  convene  a  regular  'assembly'  of  all  stakeholders  in  European 
Research. 

Finally,  the  Commission  will  support  the  development  of  data  collection, 
analysis, monitoring and evaluation in order to strengthen the evidence base 
for  the  development  of  the  European  Research  Area  and  to  be  able  to 
measure the progress towards its realisation32. 

31 
32 

http://ec.europa.eu/research/era. The public consultation will be open until 31 August 2007. 
Building  in  particular  on  the  European  Statistical  System,  which  will  be  addressed  in  a  forthcoming 
Commission  Communication  on  Statistics  on  Science,  Technology  and  Innovation,  as  well  as  on  the 
ERAWATCH  information  system  on  national  research  policies  (http://cordis.europa.eu/erawatch)  and 
on the EU Industrial Research Investment Monitoring (http://iri.jrc.es). 

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