COMMUNICATION FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT, THE COUNCIL, THE EUROPEAN ECONOMIC AND SOCIAL COMMITTEE AND THE COMMITTEE OF THE REGIONS A Reinforced European Research Area Partnership for Excellence and Growth
Date: 2012-07-17
Institutions: European Commission
Subjects: competitiveness, cross-border cooperation, economic growth, gender equality, harmonisation of standards, innovation, job creation, research and development, research budget, research programme

EUROPEAN COMMISSION 

Brussels, 17.7.2012  
COM(2012) 392 final 

COMMUNICATION FROM THE COMMISSION TO THE EUROPEAN 
PARLIAMENT, THE COUNCIL, THE EUROPEAN ECONOMIC AND SOCIAL 
COMMITTEE AND THE COMMITTEE OF THE REGIONS 

A Reinforced European Research Area Partnership for Excellence and Growth 

(Text with EEA relevance) 

{SWD(2012) 211 final} 
{SWD(2012) 212 final} 

EN 

   EN 

 
 
 
 
  
 
COMMUNICATION FROM THE COMMISSION TO THE EUROPEAN 
PARLIAMENT, THE COUNCIL, THE EUROPEAN ECONOMIC AND SOCIAL 
COMMITTEE AND THE COMMITTEE OF THE REGIONS 

A Reinforced European Research Area Partnership for Excellence and Growth 

(Text with EEA relevance) 

1. 

ERA IN A NEW ECONOMIC AND POLITICAL CONTEXT 

Improving Europe's research performance to promote growth and job creation 

Knowledge  is  the  currency  of  the  new  economy.  A  world-leading  research  and  innovation 
capacity,  built  on  a  strong  public  science  base,  is  therefore  critical  to  achieving  lasting 
economic recovery and to securing Europe's position in the emerging global order.  

EU  inward  foreign  direct  investment  (FDI)  in  R&D  is  holding  up,  bucking  the  trend  of  a 
decline  in  overall  inward  FDI1.  But  indicators  of  scientific  quality,  excellence  and  impact 
show a weakening of the EU's global position and an on-going exodus of scientific talent.  

The  Commission  has  proposed  an  increase  in  the  EU  R&D  budget  to  EUR80  billion  for 
Horizon 2020 and  Member States have  committed themselves to the EU target to invest on 
average 3% of EU GDP in research by 2020. But to maximise the return on this investment, 
Europe  must  increase  the  efficiency,  effectiveness  and  excellence  of  its  public  research 
system.  

This is why the European Research Area (ERA) is at the heart of the Europe 2020 strategy 
and its Innovation Union (IU) policy flagship2 and why the European Council has called for 
ERA to be completed by 20143. The IU aims to ensure that new knowledge-intensive products 
and services contribute substantially to growth and jobs, but a genuinely world class science 
base is crucial to achieving this aim. 

A key aim for ERA is also to reduce both brain drain, notably from weaker regions, as well as 
the  wide  regional  variation  in  research  and  innovation  performance,  aiming  at  excellence 
across the Union through smart specialisation.  

As with the Commission's proposal for Horizon 2020, all this must all be achieved using rules 
and procedures which are as simple as possible from the user's point of view.  

1 

2 
3 

'Internationalisation  of  business  investments  in  R&D  and  analysis  of  their  economic  impact', 
forthcoming study for Commission's Research and Innovation DG 
COM(2010)546 
'Europe needs a unified research area to attract talent and investment. Remaining gaps must therefore be 
addressed rapidly and the European Research Area completed by 2014 to create a genuine single market 
for  knowledge,  research  and  innovation'  European  Council  Conclusions  Feb  2011;  European  Council 
Conclusions Mar 2012 

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Defining ERA - opening up and connecting EU research systems 

ERA is based on the 27 national research systems of the Member States funded from national 
tax  revenues.  These  will  remain  distinct  in  so  far  as  this  benefits  the  EU  and  individual 
Member  States,  allowing  Europe  to  capitalize  on  its  scientific,  cultural  and  geographical 
diversity.  It  is  vital  that  Member  States  and  regions  build  up  their  own  research  systems, 
based on their own strengths, in line with smart specialisation. However, to achieve a globally 
competitive  ERA  for  Europe  to  play  a  leading  role  in  addressing  grand  challenges  and  in 
which all Member States participate, national systems must be more open to each other and to 
the world, more inter-connected and more inter-operable.  

This  will  generate  both  more  competition  and  more  cooperation.  Competition  ensures  that 
funding is allocated to the best researchers and research teams, while co-operation enables the 
brightest  minds  to  work  together  to  speed  up  breakthroughs  to  tackle  grand  challenges 
(population  ageing,  energy  security,  mobility,  environmental  degradation  etc)  and  prevents 
unnecessary duplication of national research and infrastructure investment. 

In view of open innovation and the  increasingly collaborative nature of science,  completing 
ERA also means realising the 'fifth freedom’4 - free circulation of researchers and scientific 
knowledge,  including  via  digital  means5.  The  following  definition  of  ERA  is  based  on  the 
Lisbon Treaty6 and European Council Conclusions: a unified research area open to the world 
based  on  the  Internal  Market,  in  which  researchers,  scientific  knowledge  and  technology 
circulate freely and through which the Union and its Member States strengthen their scientific 
and  technological  bases,  their  competitiveness  and  their  capacity  to  collectively  address 
grand challenges. 

The ERA priorities 
Based on analysis of the strengths and weakness of Europe's research systems7 and the overall 
objective of inducing lasting step-changes in Europe's research performance and effectiveness 
by 2014, the ERA priorities are: 

• 

• 

• 

4 
5 
6 
7 

More effective national research systems – including increased competition within 
national borders and sustained or greater investment in research 

Optimal transnational co-operation and competition - defining and implementing 
common research agendas on grand-challenges, raising quality through Europe-wide 
open  competition,  and  constructing  and  running  effectively  key  research 
infrastructures on a pan-European basis 

An  open  labour  market  for  researchers  -  to  ensure  the  removal  of  barriers  to 
researcher mobility, training and attractive careers  

European Council Presidency Conclusions 7652/1/08 March 2008 
i.e. a seamless online space for the circulation of knowledge and technology – 'digital ERA'  
See Article 179 of the Treaty on the Functioning of the European Union 
consultation 
See  The 
http://ec.europa.eu/research/era/  and  the  European  Research  Area  Committee  opinion  1215/11  Dec 
2011  

the  ERA  public 

assessment, 

results  of 

ex-ante 

impact 

the 

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• 

• 

Gender  equality  and  gender  mainstreaming  in  research  –  to  end  the  waste  of 
talent which we cannot afford and to diversify views and approaches in research and 
foster excellence 

Optimal circulation, access to and transfer of scientific knowledge including via 
digital ERA - to guarantee access to and uptake of knowledge by all. 

Completing ERA will bring efficiency, quality and impact gains and new opportunities for all 
Member  States.  It  is  an  opportunity  for  less  well-performing  Member  States  to  take 
responsibility for reforming their research systems, driving a process of smart specialisation, 
and  helping  to  close  the  innovation  divide.  Horizon  2020  and  the  Structural  Funds  will 
support this. 

The external dimension is a vital, cross-cutting and integral part of ERA. It will be addressed 
later in 2012 as part of a separate Communication on a strategic approach to enhancing and 
focussing EU international cooperation in research and innovation.  

State of play 

ERA  is  not  starting  from  scratch.  Since  2000,  the  EU,  Member  States,  other  involved 
countries and stakeholders have made substantial progress.  

Examples of progress in building ERA 

Successive Framework Programmes have contributed to ERA through direct8 and indirect 
action including major Commission initiatives: 

• 

• 

• 

• 

the European Research Council involving European wide competition for excellence 
in frontier research 

ERA-NETs  for  the  coordination  of  European,  national  and  regional  research 
programmes (e.g. E-Rare co-ordinating about half of rare disease research in Europe)  

Article  185  initiatives  which  combine  EU,  national  and  regional  efforts  into  single 
European programmes (e.g. the EMRP metrology initiative pooling 44% of EU-wide 
resources for measurement science) 

Marie Curie Actions which have made mobility possible for over 60,000 researchers 

Member State-led initiatives: 

• 

8 
9 

Moves  towards  a  coordinated  policy  for  research  infrastructures  e.g.  setting  up  the 
European Strategy Forum on Research Infrastructures (ESFRI) which has produced 
the  first  ever  European  Roadmap  for  Research  Infrastructures9  and  two  European 

JRC scientific support to EU policy 
http://ec.europa.eu/research/infrastructures/pdf/esfri-strategy_report_and_roadmap.pdf 

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research  infrastructures  awarded10  European  Research  Infrastructure  Consortium 
(ERIC11) status with many others launched or in the pipeline12 

Joint  Programming13  to  address  grand  challenges  which  is  gaining  momentum  and 
political  commitment  –  e.g.  the  Member  States'  2010  agreement  on  guidelines  on 
framework  conditions  for  joint  programming  in  research14  -  a  separate  case  is  the 
European Energy Research Alliance to conduct pan-European research programmes 
under the SET-Plan15 

The  'European  Partnership  for  Researchers16  leading  to  improved  research  career 
management in a growing number of institutions – this has promoted take-up of the 
Commission-proposed European Charter for Researchers & Code of Conduct for the 
Recruitment of Researchers17 (the Charter & Code) which some Member States have 
transposed  into  their  national  contexts  and  created  enabling  frameworks18  with 
notable results  

Joint work on Knowledge Transfer19 which has helped to ensure that Member States 
have adopted policies on knowledge dissemination 

• 

• 

• 

The Knowledge and Innovation Communities of the European Institute of Innovation and 
Technology  are  helping  to  set  up  pan-European  research,  innovation  and  education 
partnerships - due to be part of Horizon 2020 

However, progress has been uneven across the different ERA dimensions and Member States. 
While research infrastructures, for example, has benefitted from the combination of a strategic 
body, roadmap and regulation, the implementation of joint programming remains sluggish and 
optimal  levels  of  competition  have  not  been  reached.  Also,  the  variability  between  more 
advanced  and  lagging  Member  States  is  particularly  notable  in  knowledge  dissemination 
practices and research career conditions and prospects. 

10 

11 
12 

13 

14 

15 
16 
17 

18 
19 

(ISBE),  and  EU  Microbial  Resource  Research 

Survey  for  Health  Ageing  and  Retirement  in  Europe  http://www.share-project.org/  and  the  Common 
Language Resources and Technology Infrastructure http://www.clarin.eu/external/ [the European Social 
Science Survey applied for ERIC Status in March 2012] 
http://ec.europa.eu/research/infrastructures/index_en.cfm?pg=eric 
Ten of the 48 ESFRI Roadmap 2010 projects are being implemented e.g. the three biological sciences 
RIs  were  launched  last  year  -  Analysis  and  Experimentation  on  Ecosystems  (ANAEE),  Systems 
Biology-Europe 
(MIRRI) 
[http://europa.eu/rapid/pressReleasesAction.do?reference=IP/11/522] and another 16 could start by the 
end of 2012 http://ec.europa.eu/research/infrastructures/index_en.cfm?pg=preparatory_phase_projects 
COM(2008)468; 
http://ec.europa.eu/research/era/areas/programming/joint_programming_en.htm 
http://ec.europa.eu/research/era/docs/en/voluntary_guidelines.pdf  welcomed  by  Council  Conclusions 
17166/10 Nov 2010 
www.eera-set.eu ; COM(2007)723 
COM(2008)317 & Council Conclusions 13671/08 Sept 2008 
European  Commission  Recommendation  to  the  Member  States  C(2005)576  -  the  Charter  provides  a 
framework  for  the  career  management  of  researchers;  the  Code  promotes  open  and  transparent 
recruitment and appraisal procedures  
E.g. the three year implementation review of the UK's Concordat http://www.vitae.ac.uk/ March 2012 
based on the Commission Recommendation on the management of intellectual property in knowledge 
transfer activities and a Code of Practice for universities and public research organisations C(2008)1329 

Infrastructure 

Portal: 

also 

JPI 

see 

the 

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2. 

A  PRAGMATIC  APPROACH  TO  COMPLETING  ERA  BY  2014  –  RESPONSIBILITY  AND 
ACTION  

Given  the  time  constraints,  the  most  effective  and  pragmatic  approach  to  meeting  the  2014 
deadline  is  a  reinforced  ERA  partnership  -  deeper,  wider  and  more  efficient  than  to  date  - 
between Member States, the Commission and research stakeholder organisations20. This 
means  complementing  the  primary  ERA  partnership  between  the  Member  States  and  the 
Commission  by  systematically  involving  stakeholder  organisations,  such  as  Science  Europe 
(which brings together research funding and performing organisations) where appropriate. 

The explicit role for research stakeholder organisations is new and important. It is consistent 
with their wishes, the ERA public consultation response and repeated calls by the Council21. It 
builds  on  previous  stakeholder  initiatives  such  as  the  ERA  roadmap  produced  by  the 
European  Science  Foundation  (ESF)/  European  Association  of  the  Heads  of  Research 
Funding  and  Research  Performing  Organisations  (EUROHORCs)22  and  a  series  of  informal 
tri-lateral symposia23 involving high-level representatives of Member States, research funding 
organisations  and  the  Commission  organised  by  EUROHORCs  and  continued  by  Science 
Europe.  

The  approach  focuses  on  key  priorities  and  is  responsibility-based  and  action-oriented  with 
the onus on all parties to deliver concrete improvements to the EU research system within the 
remit of their competencies.  

The reforms and actions to be implemented by 2014 for each priority are set out below: 

2.1.  More effective national research systems 

Open  national-level  competition  is  crucial  to  deriving  maximum  value  from  public  money 
invested  in  research.  Best-practice  performance  in  this  respect  which  all  Member  States 
should attain involves: 

• 

• 

Allocating funding through open calls for proposals, evaluated by panels of leading 
independent  domestic  and  non-domestic  experts  (peer  review24)  -  this  incites 
researchers to reach internationally-competitive levels of performance 

Assessing  the  quality  of  research-performing  organisations  and  teams  and  their 
outputs as a basis for institutional funding decisions - peer review can form a part of 
such assessment and, in the long-term, lead to organisational change  

While  the  balance  between  these  two  approaches  may  vary,  they  should  be  at  the  core  of 
research  funding  decisions  in  all  Member  States  in  order  to  overcome  divergences  in 
performance across the EU.  

20 

21 

22 
23 
24 

Federative  and  representative  bodies  of  public  and  private  research  actors  (including  researchers, 
universities, funding and performing organisations) and their members  
Council  Conclusions  10231/08  May  2008,  16767/08  Dec  2008,  9956/09  May  2009;  Council 
Resolutions 17159/09 Dec 2009, 10255/10 May 2010  
2009 ESF/EUROHORCs "Vision on a Globally Competitive ERA and their Road Map for Actions" 
Lisbon 2009, Zurich 2010, Tartu 2011, Bled 2012 
Core  principles  set  out  in  "voluntary  guidelines  on  framework  conditions  for  joint  programming  in 
research", ERAC – GPC, 2010 

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Member States are invited to: 

• 

• 

Introduce  or  enhance  competitive  funding  through  calls  for  proposals  and 
institutional  assessments  as  the  main  modes  of  allocating  public  funds  to  research 
and innovation, introducing legislative reforms if necessary 

Ensure that all public bodies responsible for allocating research funds apply the core 
principles of international peer review  

The Commission will: 

• 

• 

• 

Support mutual learning and the exchange of good practice between Member States 
on the removal of national legal and other barriers to ERA for the priorities set out in 
this Communication  

Support  through  the  Smart  Specialisation  Platform  Member  States  and  regions  in 
using  Structural  Funds  to  develop  research  capacity  and  smart  specialisation 
strategies,  including  support  to  joint  research  programmes,  in  line  with  Cohesion 
Policy objectives 

Support ERA Chairs aimed at fostering structural change in institutions to raise their 
research quality to international levels of excellence 

2.2. 

Optimal transnational co-operation and competition 

Jointly addressing grand challenges 

The EU needs to act urgently and coherently to achieve the scale of effort and impact needed 
to  address  grand  challenges  with  the  limited  public  research  funds  available.  Strategic 
Research  Agendas  developed  under  the  Joint  Programming  Initiatives  show  Member  State 
commitment to addressing grand challenges as called for in the 2009 Lund Declaration25 and 
by Council26. Joint Programming also has the potential for better anchoring co-operation with 
international  partners.  But  implementation  to  date  falls  short.  The  crux  is  to  enable 
transnational  research  and  innovation  by  exploiting  synergies  between  national  and 
international programmes, strategically aligning different sources of national and other funds 
at  EU  level  rather  than  cross-border  funding  per se. The level of alignment is presently too 
low  to  make  a  serious  impression  on  big  and  complex  challenges27.  This  is  due  in  part  to 
differences between national funding rules and selection processes, but it is also a question of 
political will. 

Conditions need to be created for all Member States to benefit from strengthened cross-border 
cooperation and competition through: 

– 

25 

26 
27 

Defining  common  priorities  and  joint  research  agendas,  building  on  the  Joint 
Programming Initiatives and input from strategic forward looking activities  

http://www.se2009.eu/polopoly_fs/1.8460!menu/standard/file/lund_declaration_final_version_9_july.pdf 
subscribed to by 350 researchers, funders, business representatives and politicians at the Swedish Presidency's New 
Worlds  New 
the  Council 
http://ue.eu.int/uedocs/cms_data/docs/pressdata/en/intm/110310.pdf  
Council Conclusions 16127/09 Dec 2009 
Transnational funding amounted to only 0.8% of GBAORD in 2010 

acknowledged 

conference 

Solutions 

2009 

July 

and 

by 

in 

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– 

– 

Implementing  joint  research  agendas,  when  possible,  through  joint  or  at  least 
synchronised calls between Member States based on joint international peer reviews 
delivering  comparable  scores  for  all  proposals.  This  would  ensure  pan-European 
competition,  the  benefits  of  which  are  already  widely  acknowledged  by  Member 
States (almost all participate frequently in joint ERA-NET calls and some choose to 
award national funding to researchers on the ERC reserve list for this very reason). It 
would also pinpoint national strengths and weaknesses in each field across the EU, 
so helping Member States to decide where to specialise 

Jointly implementing and/or financing calls and  projects, building  on experience to 
date and the provisions for Public-Public Partnerships in Horizon 2020. This requires 
national funding rules to be made compatible and to converge to common European 
standards. 

Joint  research  agendas  should  be  implemented  in  cooperation  with  non-EU  countries  where 
relevant and appropriate. 

Member States are invited to: 

• 

• 

• 

Step  up  efforts  to  implement  joint  research  agendas  addressing  grand  challenges, 
sharing  information  about activities in agreed priority areas,  ensuring that adequate 
national  funding  is  committed  and  strategically  aligned  at  European  level  in  these 
areas and that common ex post evaluation is conducted 

Ensure  mutual  recognition  of  evaluations  that  conform  to  international  peer-review 
standards as a basis for national funding decisions 

Remove  legal  and  other  barriers  to  the  cross-border  interoperability  of  national 
programmes to permit joint financing of actions including cooperation with non-EU 
countries where relevant 

Research stakeholder organisations are invited to: 

• 

• 

• 

Agree on common funding principles - eligible costs, reporting requirements, etc. to 
make  national  research  programmes  compatible,  interoperable  (cross-border)  and 
simpler for researchers 

Further  develop  and  deploy  the  Lead-Agency,  Money-Follows-Cooperation  Line, 
Money-Follows-Researcher and other models for cross-border cooperation 

Pilot  the  use  of  synchronised  calls  with,  where  possible,  single  joint  international 
peer review evaluation of proposals as a basis for funding decisions 

The Commission will: 

• 

Pursue,  stimulate  and  participate  in  Public-Public  Partnerships  to  address  grand 
challenges  as  set  out  in  the  Communication  on  Partnering  in  Research  and 

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Innovation28 to leverage Member States' contributions and ensure close coordination 
with relevant activities under Horizon 2020 

• 

• 

On the basis of the information supplied by Member States, map activities in agreed 
priority  areas,  with  a  view  to  identifying  strengths,  weaknesses,  gaps  and 
duplications 

Support  Member  States  and  research  funding  organisations  in  implementing  joint 
international  peer  review  evaluations  and  setting  common  funding  standards  -  e.g. 
through  an  ERA  Mark  label  recognising  best  practice  in  cross-border  research 
operations  

Effective investment in and use of research infrastructures  

Excellent  research  depends  upon  world-class  facilities  and  research  infrastructures  (RIs), 
including ICT-based e-infrastructures (eRIs). Such RIs attract talent and stimulate innovation 
and  business  opportunities.  eRIs  in  particular  enable  increasingly  prevalent  data-intensive 
collaborative  research  by  geographically  dispersed  teams  -  eScience.  The  challenges  are  to 
ensure  national  commitments  to  the  implementation  of  the  ESFRI  Roadmap,  achieve 
maximum value-for-money from investment at all levels, overcome obstacles to construction 
and operation and ensure open access for researchers to RIs across Europe. The IU includes a 
commitment  to  complete  or  launch  construction  by  2015  of  60%  of  the  ESFRI  roadmap 
priority  RIs  of  pan-European  interest.  This  requires  investment  beyond  the  means  of 
individual  countries  -  pooling  of  regional,  national  and  European  Union  funds  is  thus 
necessary, particularly for ERIC RIs, including distributed facilities requiring the participation 
of as many countries as possible with world class national and regional capacity.  

Many new European RIs also benefit from international partners or are the European branches 
of worldwide networks. It is crucial to ensure cost control and management of global projects. 
The  group  of  twenty  major  economies  (G20)  is  addressing  these  issues  with  the  active 
participation of the Commission.  

Member States are invited to: 

• 

• 

Confirm financial commitments for the construction and operation of ESFRI, global, 
national  and  regional  RIs  of  pan-European  interest,  particularly  when  developing 
national roadmaps and the next Structural Fund programmes  

Remove legal and other barriers to cross-border access to RIs 

The Commission will: 

• 

• 

Support  through  Horizon  2020  access  to  RIs  as  well  as  the  on-going  overall 
integration of EU RIs particularly those awarded ERIC status  

Encourage  Member  States  to  link  RI  roadmaps  to  the  ESFRI  roadmap  and  smart 
specialisation  strategies  in  Structural  Funds  co-financed  research  and  innovation 
programmes, reinforcing the capacity of less favoured regions to host and participate 
in RIs of pan-European and international interest  

28 

COM(2011)572 

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• 

• 

• 

• 

• 

Support training programmes for the management of such RIs  

Develop  in  cooperation  with  ESFRI,  e-IRG29  and  other  stakeholders  a  Charter  of 
Access setting out common standards and harmonized access rules and conditions for 
the use of RIs 

Work  with  ESFRI  to  set  priorities  for  implementing  the  Roadmap  and  to  provide 
advice  and  guidance  to  Member  States  on  overcoming  legal,  financial  or  technical 
obstacles to implementation  

Define  with  ESFRI,  e-IRG  and  other  stakeholders  common  evaluation  principles, 
impact-assessment  criteria  and  monitoring  tools  which  can  be  applied  in  regional, 
national and European programmes to help combine funds from different sources 

Work  with  e-IRG  to  promote  the  alignment  of  EU  and  national  approaches  to  eRI 
development and use 

2.3. 

An open labour market for researchers  

While researcher mobility30 contributes to excellence, several obstacles stand in the way of a 
genuine  European  research  labour  market31.  One  of  the  most  important  is  the  lack  of 
transparent, open and merit-based recruitment32, which makes research careers less attractive 
and hampers mobility, gender equality and research performance. 

Giving  non-nationals/  non-residents  access  to  national  grants  and  making  them  portable 
across borders would make mobility easier33. In some cases, legal and administrative barriers 
prevent this. Initiatives such as 'Money Follows Researcher'34 show how those barriers can be 
removed  and  how  Member  States  and  research  organisations  can  organise  access  to  and 
portability of national grants, while upholding the interests of all parties.  

Other  obstacles  include  human  resources  policies  which  result  in  poor  career  prospects  for 
young  researchers,  inadequate  gender  equality  practices,  social  security  obstacles  and, 
insufficient academia-business mobility with only one in six researchers in academia having 
experience in the private sector35. Obstacles to the fair recognition of academic diplomas also 
persist. 

Member States are invited to: 

• 

• 

29 
30 

31 
32 
33 
34 
35 

Remove  legal  and  other  barriers  to  the  application  of  open,  transparent  and  merit 
based recruitment of researchers  

Remove legal and other barriers which hamper cross-border access to and portability 

e-Infrastructure Reflection Group www.e-irg.eu 
In the last three years, about 30% of EU researchers have worked abroad for a period of at least three 
months (EC, 2010) 
See also Europe's higher education modernisation agenda COM(2011)567 
Commission Expert Group on the Research Profession 2012 
ERA SGHRM report on Access to and Portability of Grants 2012 
2009 ESF/EUROHORCs Vision on a Globally Competitive ERA and their Road Map for Actions 
ERA SGHRM report on Professional Development of Researchers 2012 

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of national grants 

• 

• 

• 

Support implementation of the Declaration of Commitment36 to provide coordinated 
personalised  information  and  services  to  researchers  through  the  pan-European 
EURAXESS37 network 

Support  the  setting  up  and  running  of  structured  innovative  doctoral  training 
programmes applying the Principles for Innovative Doctoral Training38 

Create  an  enabling  framework39  for  the  implementation  of  the  HR  Strategy  for 
Researchers incorporating the Charter & Code40  

Research stakeholder organisations are invited to:  

• 

• 

• 

• 

• 

• 

• 

• 

• 

36 
37 

38 
39 
40 
41

42 

43 
44 

Advertise  all  vacancies  on  the  EURAXESS  Jobs  portal  using  the  common  profiles 
established in the European Framework for Research Careers41 

Fill  research  positions  according  to  open,  transparent  and  merit  based  recruitment 
procedures proportionate to the level of the position in line with the basic principles 
of the Charter & Code and including non-EU nationals 

Develop strategies to support the career development of researchers in line with the 
HR Strategy for Researchers 

Define and implement principles for accessibility to and portability of national grants 

Provide structured doctoral training based on the Principles for Innovative Doctoral 
Training  

Develop  and  implement  structured  programmes  to  increase  mobility  between 
industry and academia42  

The Commission will: 

Strengthen  collaboration  and  coordination  in  the  EURAXESS  network  so  that  it 
becomes a means for researchers to access tailor-made assistance  

Support the setting up of a European Accreditation Mechanism for Charter & Code-
based  human  resources  management  in  universities  and  publicly-funded  research 

Through this Declaration EURAXESS Network members acknowledge Euraxess objectives 
This interlinks four activities (Jobs, Services, Rights and Links) devoted to the career development and 
mobility of researchers http://ec.europa.eu/euraxess 
COM(2011)567; Council Conclusions 126375 Nov 2011 
ERA SGHRM report on Human Resources issues 2012 
http://ec.europa.eu/euraxess/index.cfm/rights/strategy4Researcher 

http://ec.europa.eu/euraxess/pdf/research_policies/Towards_a_European_Framework_for_Res

earch_Careers_final.pdf 
Akin  to  Marie  Curie  ‘Industry-Academia  Pathways  and  Partnerships’  and  its  future  successor  under 
Horizon 2020  
http://www.ehea.info/Uploads/(1)/Bucharest%20Communique%202012.pdf 
COM(2012)55 

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institutions 

• 

• 

Support  the  work  of  a  'pathfinder  group'  of  countries  for  the  achievement  of 
automatic recognition of comparable degrees43 

Take  initiatives  to  address  social  security  barriers  for  researchers  in  the  EU  and 
further facilitate the entry and stay of third country national researchers by: 

– 

– 

– 

– 

Clarifying  in  a  Communication  EU  rules  on  coordination  of  social  security 
schemes  for  groups  of  workers  with  a  high  level  of  intra-EU  mobility, 
including researchers 
Resuming work on a pension portability Directive setting minimum standards 
for the acquisition and preservation of supplementary pension rights44 
Supporting  stakeholders  in  setting  up  pan-European  supplementary  pension 
fund(s) for researchers  
Reviewing  Directive  2005/71/EC  on  a  specific  procedure  for  admitting  third 
country nationals for the purposes of scientific research. 

2.4. 

Gender equality and gender mainstreaming in research 

In spite of national and EU-level strategies on gender equality, European research still suffers 
from a considerable loss and inefficient use of highly skilled women. The annual increase in 
female researchers is less than half the annual number of female PhD graduates and too few 
women are in leadership positions or involved in decision-making. In 2005 the Council set a 
goal  for  women  to  be  in  25%  of  leading  public  sector  research  positions,  but  in  2009  only 
13% of the heads of higher education institutions were women45. The integration of a gender 
dimension into the design, evaluation and implementation of research is also still too limited.  

The  challenge  is  to  improve  on  all  these  points  to  increase  the  quality  and  relevance  of 
research. The Commission is already committed to ensure 40% of the under-represented sex 
in all its expert groups, panels and committees and will apply this particularly under Horizon 
2020. 

Member States are invited to: 

• 

Create a legal and policy environment and provide incentives to:  

– 

– 
– 

remove  legal  and  other  barriers  to  the  recruitment,  retention  and  career 
progression  of  female  researchers  while  fully  complying  with  EU  law  on 
gender equality46 

address gender imbalances in decision making processes 
strengthen the gender dimension in research programmes  

Engage in partnerships with funding agencies, research organisations and universities 
to  foster  cultural  and  institutional  change  on  gender  -  charters,  performance 
agreements, awards  

Ensure  that  at  least  40%  of  the  under-represented  sex  participate  in  committees 
involved  in  recruitment/career  progression  and  in  establishing  and  evaluating 

SHE Figures 2009 
See Directive 2006/54/EC 

• 

• 

45 
46 

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research programmes 

Research stakeholder organisations are invited to: 

• 

Implement  institutional  change  relating  to  HR  management,  funding,  decision-
making and research programmes through Gender Equality Plans which aim to:  

– 

– 
– 

Conduct  impact  assessment  /  audits  of  procedures  and  practices  to  identify 
gender bias 
Implement innovative strategies to correct any bias  
Set targets and monitor progress via indicators  

The Commission will: 

• 

• 

Foster  gender  equality  and  the  integration  of  a  gender  dimension  in  Horizon  2020 
programmes  and  projects  from  inception,  through  implementation  to  evaluation, 
including through the use of incentives 

Propose  in  2013  a  Recommendation  to  Member  States  with  common  guidelines  on 
institutional  change  to  promote  gender  equality  in  universities  and  research 
institutions. 

2.5. 

Optimal circulation, access to and transfer of scientific knowledge  

Research and innovation benefit from scientists, research institutions, businesses and citizens 
accessing,  sharing  and  using  existing  scientific  knowledge  and  the  possibility  to  express 
timely expectations or concerns on such activities. A major challenge is to broadly implement 
Open  Access  -  i.e.  free  internet  access  to  and  use  of  publicly-funded  scientific  publications 
and data - given the uneven state of advancement of Member State policies in this area. More 
generally,  to  increase  the  economic  impact  of  research,  we  need  to  foster  Open  Innovation, 
links  between  research,  business  and  education  (the  knowledge  triangle)  as  via  EIT  and  in 
particular knowledge transfer between public research institutions and the private sector while 
respecting  intellectual  property  rights.  As  most  knowledge  creation  and  transfer  uses  digital 
means,  all  barriers  preventing  seamless  online  access  to  digital  research  services  for 
collaboration,  computing  and  accessing  scientific  information  (e-Science)  and  to  e-
infrastructures  must  also  be  removed  by  promoting  a  digital  ERA.  The  different  types  of 
knowledge  transfer,  circulation  and  access  should  also  be  judiciously  factored  into  research 
cooperation with non-EU countries. 

Member States are invited to: 

• 

• 

• 

47 

Define  and  coordinate  their  policies  on  access  to  and  preservation  of  scientific 
information47 

Ensure  that  public  research  contributes  to  Open  Innovation  and  foster  knowledge 
transfer  between  public  and  private  sectors  through  national  knowledge  transfer 
strategies  

Harmonise  access  and  usage  policies  for  research  and  education-related  public  e-
infrastructures  and  for  associated  digital  research  services  enabling  consortia  of 

The Commission plans to adopt soon a Communication and a Recommendation on this subject 

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different types of public and private partners 

• 

Adopt and implement national strategies for electronic identity for researchers giving 
them transnational access to digital research services 

Research stakeholder organisations are invited to: 

• 

• 

• 

• 

Adopt and implement open access measures for publications and data resulting from 
publicly funded research 

Implement and promote the uptake of electronic identity and digital research services 

Ensure  optimal  interaction  and  linkages  and  strategic  partnering  between  academia 
and industry and define joint collaborative research agendas to maximize the use of 
research results 

Improve  recognition  and  professionalization  of  knowledge  transfer  activities  and 
strengthen the role of knowledge transfer offices 

The Commission will: 

• 

• 

• 

• 

• 

• 

• 

• 

Establish  open  access  to  scientific  publications  as  a  general  principle  for  all  EU 
funded projects in Horizon 2020. For research data, develop a flexible approach that 
takes into account different scientific areas and business-related interests  

Continue to fund projects related to open access  

Adopt  a  Communication  and  Recommendation  to  Member  States  on  access  to  and 
preservation of scientific information in the digital age  

Propose  a  roadmap  for  e-infrastructure  development  to  support  e-Science  through 
open access to research tools and resources  

Support activities to raise stakeholder awareness of open access and e-Science 

Develop through assessment of existing initiatives a comprehensive policy approach 
to Open innovation and knowledge transfer, and consult stakeholders on it. 

Work with stakeholders to develop a set of model consortium agreements to enhance 
knowledge transfer  

Facilitate  a  Member  State  forum  for  regular  exchange  and  reporting  on  national 
developments on the provision, take-up and use of digital research services  

3. 

CONDITIONS  FOR SUCCESS –  POLITICAL  WILL,  RESPONSIBILITY,  DELIVERY  MODES 
AND TRANSPARENCY  

Member States – the primary actors 

Primarily,  Member  States  must  make  the  necessary  national  reforms  and  put  in  place  the 
conditions needed to complete ERA. They must also support implementation of these reforms 
by  facilitating  actions  which  are  the  responsibility  of  research  funding  and  performing 
organisations.  Optimal  implementation  will  require  both  permanent  and  ad  hoc  working 

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structures and processes and top-level steering by the Council48. This may be partly achieved 
by  adapting  existing  committees  and  ERA  groups  such  as  ERAC,  the  main  ERA  policy 
advisory body to the Council and the Commission, whose mandate is due to be reviewed by 
the  end  of  201249.  Member  States  also  need  to  play  a  role  in  monitoring  and  evaluating 
progress and in supporting political steering in the context of the annual European Semester 
cycle. 

Research stakeholders - speeding up implementation  

Research stakeholder organisations should take responsibility for the ERA actions addressed 
to  them  within  the  limits  of  their  respective  autonomies  and  jurisdictions  as  set  by  national 
authorities.  Relevant  research  stakeholder  organisations  will  be  invited  to  sign  with  the 
Commissioner  a  Joint  Statement  in  general  terms  of  their  willingness  to  work  towards 
completing ERA. They should also set out the specific ERA actions they will take in terms of 
timing,  deliverables,  public  reporting  on  progress,  etc.  in  a  Memorandum  of  Understanding 
co-signed with the Commission or a unilateral declaration, informing their respective national 
authorities and the other Partners. 

The Commission – increased support 

The  Commission  will  undertake  the  actions  above  under  its  responsibility  and  on  the  other 
actions will support Member States and stakeholder organisations. It will ensure that Horizon 
2020  helps  to  consolidate  the  completion  and  functioning  of  ERA  from  2014,  supporting 
ERA-compliant  actions  relating  to  researcher  careers  and  mobility,  gender,  cross-border 
cooperation, open access, knowledge transfer and infrastructures. It will ensure inclusive ERA 
policy development by supporting structured dialogue with research stakeholder organisations 
and relevant civil society bodies - e.g. in the form of a dedicated stakeholder platform.  

Transparent monitoring 

The  reinforced  partnership  approach  outlined  in  this  Communication  does  not  replace 
legislation, nor preclude the Commission's right to bring forward legislative proposals based 
on the new ERA-related provisions in the TFEU. The Commission will therefore develop a 
robust  ERA  monitoring  mechanism  (EMM)  based  on  indicators50  for  all  the  actions  to 
monitor  ERA  policy  reforms  and  their  implementation,  to  provide  transparency  to  Council, 
the  European  Parliament  and  the  scientific  community,  and  a  basis  for  its  own  future 
decisions.  The  Commission  will  determine  the  baseline  situation  in  2012  using  official 
statistics  and  results  from  studies  /  surveys.  The  first  annual  ERA  progress  report  in  2013, 
which  will  be  transmitted  to  the  Council  and  the  European  Parliament,  will  compare  the 
baseline  with  actions  announced  by  Member  States  following  this  Communication.  From 
2014,  a  full  assessment  of  progress  will  be  transmitted  to  the  Council  and  the  European 
Parliament.  If  progress  is  insufficient,  different  options  will  be  considered,  including  the 
legislative  options,  based  on  the  new  provisions  in  the  TFEU,  which  are  set  out  in  the 
accompanying impact assessment. The monitoring will be done in close connection with the 

48 

49 
50 

The Council may also draw on the annual ERA ministerial conferences, involving associated countries 
with input from ERAC and the Commission 
Council Resolution 10255/10 May 2010 
See a tentative list in the Annex to the accompanying Impact Assessment Commission Staff Working 
Paper - e.g. the share of national public R&D budget allocated to competitive project-based funding as 
an  indicator  of  national  research  system  effectiveness,  or  the  share  of  EU-wide  research  vacancies 
advertised on Euraxess as an indicator of open recruitment 

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European  Semester,  maintaining  consistency  with  other  relevant  monitoring  activities  -  e.g. 
for the IU and Horizon 2020 

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