COMMUNICATION FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT, THE COUNCIL, THE EUROPEAN ECONOMIC AND SOCIAL COMMITTEE AND THE COMMITTEE OF THE REGIONS A new ERA for Research and Innovation
Date: 2020-09-30
Institutions: Directorate-General for Research and Innovation, European Commission
Subjects: EU research policy, industry-research relations, innovation, investment, open science, research and development, research infrastructure, research staff, scientific cooperation

EN 

EN 

   EUROPEAN COMMISSION  Brussels, 30.9.2020  COM(2020) 628 final  COMMUNICATION FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT, THE COUNCIL, THE EUROPEAN ECONOMIC AND SOCIAL COMMITTEE AND THE COMMITTEE OF THE REGIONS   A new ERA for Research and Innovation {SWD(2020) 214 final}  
 
 
1.  THE EUROPEAN RESEARCH AREA IN A NEW CONTEXT 

The  European  Research  Area  (ERA)  was  launched  in  2000,  in  the  context  of  the  Lisbon 
strategy, to address the fragmentation of the EU’s research and innovation system, which  at 
the time consisted of the juxtaposition of the national R&I systems and an EU level funding 
programme.  

It aims at building a common scientific and technological area for the EU. Creating a single 
market  for  research  and  innovation  fostering  free  movement  of  researchers,  scientific 
knowledge  and  innovation,  and  encouraging  a  more  competitive  European  industry.  This 
involves  restructuring 
towards  more  cross-border 
cooperation, continent-wide competition, building of critical mass and coordination, and the 
improvement of national research policies and systems.  

the  European  research 

landscape 

Since 2009, achieving the ERA has also become an explicit Treaty objective, as expressed in 
Article 179 TFEU. 

The ERA: 20 years on 

Over the past 20 years, the European Research Area has seen major achievements.  

The work of the European Strategy Forum on Research Infrastructures (ESFRI) resulted in the 
development  of  plans  for  55  European  Research  Infrastructures,  of  which  37  have  already 
been  implemented,  across  all  fields  of  science,  mobilising  close  to  EUR  20  billion  in 
investments1. 

Jointly  addressing  common  challenges  through  coordination  and  pooling  of  resources  has 
resulted  in  more  than  EUR  7  billion  of  national  investments  in  joint  research  programmes 
since 2004, with current annual joint spending of EUR 800 million. 

Significant  progress  has  been  made  in  removing  the  geographical  barriers  to  researchers’ 
mobility and the fragmentation of research careers in Europe, driven by the European Charter 
for Researchers and a Code of Conduct for the Recruitment of  Researchers already adopted 
by 1242 organisations.2 In addition, the EURAXESS3 initiative supports researcher mobility 
and  career  development  by  delivering  information  and  support  services  to  professional 
researchers. 

The  ERA  has  enhanced  access  to  open,  free  of  charge,  re-usable  scientific  information 
through  the    Open  Science  initiative4  and  the  recently  launched      European  Open  Science 
Cloud (EOSC)  creating a cloud area for research data in Europe allowing for better science 
through open and collaborative knowledge sharing. 

At  the  same  time,  the  progress  towards  the  ERA  objectives  has  been  slowing  down  and 
further improvement could be achieved5 in key areas: 

-  The EU R&D investment is at 2.19% of GDP (2018), still far from its 3% target. Public 
R&D  investment  has  stagnated  since  2010.  EU  business  R&D  investment  (1.45%  of 
GDP)  remains  significantly  lower  than  that  of  our  main  competitors6.  In  South  Korea  it 

1 See http://roadmap2018.esfri.eu/  
2 https://euraxess.ec.europa.eu/euraxess/charter-code-researchers 
3 Researchers in Motion is a unique pan-European initiative backed by the EU, member states and associated 
countries. https://euraxess.ec.europa.eu/   
4 https://ec.europa.eu/research/openscience/index.cfm?pg=openaccess 
5 ERA Progress Report 2018 and https://ec.europa.eu/info/research-and-innovation/strategy/support-policy-
making/support-national-research-and-innovation-policy-making/srip-report_en 
6 See Staff Working Document, section 2.1.1.1. 

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stands at 3.64 %, in Japan at 2.59 %, in the United States at 2.05 % and in China at 1.69 
%.  

-  While participation of the less performing Member States in the Framework Programme is 
now  on  the  rise7,  indicators  regarding  science  quality  or  innovation  activity  show 
significant discrepancies within the Union. 

-  Europe  is  also  lagging  behind  in  translating  R&I  results  into  the  economy.  Although 
Europe  is  a  world  leader  in  some  high  tech  sectors  such  as  green  technology,  with  the 
growing  importance  and  diffusion  of  ICT8,  efforts  need  to  be  channelled  towards 
strengthening industrial innovation9, technology transfer and fostering the uptake of R&I 
solutions  and  the  diffusion  of  innovation  through  knowledge  transfer  and  public-private 
cooperation10.  

-  The  EU  is  a  leader  in  science  quality,  including  in  international  scientific  collaboration. 
However,  in  relative  terms  the  EU  scores  below  the  US  on  number  of  high  impact 
publications and has not seen progress since 2012, while China is rising.  

-  Despite the continuous policy attention to gender equality in R&I, progress has been slow 
and remains insufficient. While equality has nearly been reached in PhD graduates, only 
24% of top positions in the higher education sector are occupied by women. 

The  slowing  of  progress  raises  concerns  when  ambitious  national  funding  and  reforms, 
supporting  a  strong  collective  governance  structure,  are  needed  for  Europe  to  engage  in 
stronger action in the economic recovery.  

New challenges for R&I policy 

Europe is currently facing deep societal, ecological and economic challenges, aggravated by 
the coronavirus crisis. Delivering on Europe’s recovery is a pressing priority, while the green 
and digital transitions (twin transition) are more important than ever11.  

The  EU  has  set  itself  ambitious  goals  and  put  in  place  instruments  to  achieve  competitive 
sustainability. It committed to climate neutrality12 by 2050, and the Commission has proposed 
an ambitious target of at least 55% reduction in greenhouse emissions by 2030 compared to 
1990. Accelerating research and innovation and improving the collaboration between private 
and public R&I in the Member States towards early market deployment of clean technology 
solutions is vital for reaching these targets and provides an economic opportunity for the EU. 
It  is  also  important  to  develop  strategic  supply  chains  of  industrial  capabilities  in  clean 
technologies13.  Similarly,  the  COVID-19  pandemic  has  brought  to  the  forefront  the 
vulnerabilities of our relationship with nature and emphasised the need for healthier and more 
sustainable lifestyles. R&I can be instrumental in accelerating a positive change, for example 
in the area of more sustainable farming practices or plant-based diets. 

7 It has increased from 4.4% under FP7 to recently 5.6% under Horizon 2020 
8 "An Analysis of the International Positioning of the EU Using Revealed Comparative Advantages and the 
Control of Key Technologies", European Commission 
9 See e.g. OECD STI Scoreboard 2017, http://dx.doi.org/10.1787/888933616940: Out of the 20 emerging ICT 
technologies identified in the report, none is led by EU27. See also EU Industrial Scoreboard 2019 
10 The share of innovative firms cooperating with knowledge institutes is only 15% (2016). The share of public 
research financed by the private sector is only 7.2% (2017) and has been slowly declining since 2007  
11 IPCC Special Report on the impacts of global warming of 1.5°C (2018) 
12 COM(2019) 640, European Council conclusions of 12 December 2019 and Paris Agreement (2016).  
13 Including photovoltaic, batteries, renewable hydrogen, wind and ocean energy, grid and electronic components 

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As highlighted in the EU wide assessment of National Energy and Climate Plans14, Member 
States need to identify policies and measures to improve preparedness and enhance resilience 
in respect of clean technologies for the next decade.  

The  next  ten  years  are  Europe’s  Digital  Decade.  The  COVID-19  pandemic  has  shown  the 
importance of state-of-art digital technologies, based on European values, for the resilience of 
the economy and the society. Digital transformation is also a key enabler of the Green Deal. 
The Industrial Strategy, the European Skills Agenda for Sustainable Competitiveness, Social 
Fairness and Resilience, the Digital Education Action Plan and the new European Education 
Area, are strategies that will guide the development and roll-out of digital technologies as well 
as the take up of digital skills in the EU. Europe must also focus on enhancing its model of 
open strategic autonomy, economic security and potential for job creation. 

The  COVID-19  pandemic  has  demonstrated  the  importance  of  R&I  cooperation  to  rapidly 
deliver  solutions  to  the  most  demanding  needs.  The  ERAvsCorona  action  plan15  and  the 
International Pledging Conference16 are examples of rapid joint responses to such crises.  

Although  the  EU  is  still  a  global  leader  in  research  and  innovation,  its  performance  has 
stagnated since 2012, and major players, from Asia in particular, are gradually growing and 
occupying a more prominent position on the global R&I and technological landscape. While 
R&I  is  the  engine  of  long-term  productivity  growth17,  Europe  continues  to  lag  behind  in 
turning  the  outcomes  of  its  excellent  research  into  disruptive  innovation  and  fails  to  fully 
mobilise research and technological capacities in less developed regions. In this new context 
of growing global competition and volatile geopolitical interests, what is at stake is not only 
Europe’s  prosperity  and  economic  competitiveness,  but  also  its  ability  to  autonomously 
source and provide crucial  raw materials,  technologies  and services that are safe and secure 
for industry and people. 

Europe’s shared values of democracy, solidarity and equality are assets to build on. To match 
these  generational  challenges,  a  new  level  of  ambition  that  links  better  R&I  with  the 
economy, as well as with education and training is necessary to put EU’s scientific knowledge 
to work. 
Because it is anchored in the principle of excellence18 and because of its ability to bring the 
national and the European level of R&I policies together, the ERA has a key role to play in 
addressing  these  challenges.  Drawing  on  the  lessons  from  the  COVID-19  crisis,  the  ERA 
needs  to  be  strengthened  and  Member  States  need  to  be  incentivised  to  reinforce  R&I  at 
national and regional levels and to deepen cooperation at the European level.  

To  foster  global  leadership,  the  ERA  also  needs  to  better  incentivise  its  high-quality 
researchers and innovators to work together and become a pole of attraction for the world’s 
best talents.  

The EU will need to play its part: facilitate quick and easy access to funding for cooperation 
and sharing of data, develop attractive career frameworks for researchers, equip them with the 

14 COM(2020)564. 
15 https://ec.europa.eu/info/research-and-innovation/strategy/era_en#eravscorona-action-plan 
16 https://global-response.europa.eu/index_en 
17 Two thirds of economic growth in Europe from 2010 to 2016 can be traced back to R&I defined in a broad 
sense (SRIP 2020,p. 101)  
18 In this context, excellence means the commitment to supporting the best possible research teams and projects, 
irrespective of any considerations. 

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skills  they  need  in  a  fast  changing  global  world  and  support  state  of  the  art  research 
infrastructures. 

In  parallel,  a  new  ERA  will  need  to  boost  Europe’s  recovery  and  to  support  its  green  and 
digital transitions by supporting innovation based competitiveness and fostering technological 
sovereignty  in  key  strategic  areas  (e.g.  Artificial  Intelligence  and  data,  microelectronics, 
quantum  computing,  5G,  batteries,  renewable  energy,  hydrogen,  zero-emission  and  smart 
mobility, etc.) in line with the model of open strategic autonomy.  

The  EU’s  long-term  budget  for  2021-2027,  the  large-scale  recovery  plan  “Next  Generation 
EU” will lay the foundations of a modern and more sustainable Europe, while promoting an 
inclusive  recovery  and  social  fairness.  The  Recovery  and  Resilience  Facility,  Cohesion 
policy,  as  well  as  the  Technical  Support  Instrument,  will  contribute  to  more  coordination 
encouraging Member States to invest in new technologies and in a number of flagship areas19.  

This Communication reaffirms the commitment to the ERA and proposes a new approach in 
order to accelerate Europe’s green and digital transformation, strengthen Europe’s resilience 
and preparedness to face future crises, and to support Europe’s competitive edge in the global 
race for knowledge.  

2.  THE VISION: A STRONGER EUROPEAN RESEARCH AREA FOR THE FUTURE 

Member States are keen to engage in EU level initiatives when provided with easy to use and 
accessible  tools  and  incentives  to  act  jointly  or  in  a  coordinated  manner.  This  includes,  in 
particular,  the  benchmarking  of  progress,  guidelines  and  exchange  of  good  practices,  joint 
programming of national programmes and EU funding.  
Member States have strongly reiterated the need for a renewed ERA agenda20. To this end, the 
Commission  organised  a  series  of  discussions  with  national  authorities  and  stakeholders 
through  a  dedicated  ERA  “capitals  tour”  inviting  feedback  and  input  on  the  future  of  the 
ERA.  

In  order  to  increase  the  excellence  and  efficiency  of  the  European  R&I  system,  all  the 
traditional  ‘single  market’  elements  of  the  ERA  (building  of  critical  mass,  mobility,  open 
science, etc.) continue to be highly relevant, but implementation needs to progress in a more 
ambitious manner. The first element of a new concept for  the ERA will therefore consist of 
deepening  existing  priorities  and  initiatives,  where  possible  through  new  and  stronger 
approaches.  

At  the  same  time,  the  challenges  and  opportunities  ahead  require  a  broader  vision  for  the 
ERA.  The  green  and  digital  transitions  and  the  recovery  call  for  cooperation  between  the 
Commission  and  the  Member  States,  which  goes  beyond  the  traditional  single  market 
philosophy. They  require the setting  of new priorities  to  better orienting  funding, launching 
ambitious joint initiatives and developing common approaches between policies.  

In order to ensure that a new ERA is fit for the challenges ahead, the Commission proposes a 
new  vision  based  on  the  following  strategic  objectives,  which  can  only  be  achieved  in 
partnership  with  Member  States.  The  fourth  objective  consist  of  deepening  the  ERA  in 
existing  priorities,  whereas  the  other  three  objectives  will  broaden  the  ERA  towards  new 
priorities: 

19 https://www.consilium.europa.eu/media/45109/210720-euco-final-conclusions-en.pdf 
20 ERAC 1201/20 of 23 January 2020; Informal Research Ministerial meeting of Competitiveness (Research) of 
July 2020 

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i.  Prioritising investments and reforms: to accelerate the green and digital transformation 
and  to  increase  competitiveness  as  well  as  the  speed  and  depth  of  the  recovery.  This 
requires  better  analysis  and  evidence  and  includes  simplifying  and  facilitating  the  inter-
play between national and European R&I systems. The principle of excellence, meaning 
that the best researchers with the best ideas obtain funding, remain the cornerstone for all 
investments under the ERA.  

ii.  Improving  access  to  excellence:  towards  more  excellence  and  stronger  R&I  systems 
across  the  whole  of  the  EU  where  best  practice  is  disseminated  faster  across  Europe. 
Member  States  willing  to  increase  the  performance  of  their  R&I  system  towards 
excellence  should  be  encouraged  and  supported,  building  on  dedicated  Horizon  Europe 
measures  and  complementarities  with  smart  specialisation  strategies  under  Cohesion 
Policy. 

iii.  Translating  R&I  results  into  the  economy:  R&I  policies  should  aim  at  boosting  the 
resilience  and  competitiveness  of  our  economies  and  societies.  This  means  ensuring 
Europe’s  competitive  leadership  in  the  global  race  for  technology  while  improving  the 
environment  for  business  R&I  investment,  deployment  of  new  technologies  and 
enhancing the take up  and visibility of research  results in  the  economy  and society as a 
whole.  

iv.  Deepening  the  ERA:  to  further  progress  on  the  free  circulation  of  knowledge  in  an 
upgraded, efficient and effective R&I system, in particular by moving from an approach 
of  coordination  towards  deeper  integration  between  national  policies.  The  ERA  will 
continue to  promote  adequate framework  conditions and inclusiveness, help  develop  the 
skills  that  researchers  need  for  excellent  science,  and  connect  all  actors  across  Europe, 
including in education, training and the labour market. 

To accomplish the objectives the Commission proposes a set of actions to be implemented in 
collaboration  with  Member  States  and  stakeholders  according  to  an  ERA  Roadmap  (see 
appendix). 

In  response  to  the  Opinion  of  the  European  Research  and  Innovation  Area  Committee 
(ERAC)  of  December  201921  the  Commission  proposes  that  Member  States  reinforce  their 
commitment  to  shared  policies  and  principles,  drawing  on  the  20  years  of  the  ERA,  by 
adopting a Pact for Research and Innovation in Europe.  

With  the  Pact,  the  governance  process  should  be  made  more  effective  and  impactful  with 
regular political dialogue with Member States addressing priorities, implementation strategies 
and progress monitoring towards the realisation of the set objectives.  

2.1 Prioritising investments and reforms 

Facilitating EU and national investments and reforms towards the EU’s priorities  

The  recovery  from  the  COVID-19  pandemic  and  the  need  to  move  towards  a  more 
competitive  and  sustainable  economy  requires  a  better  alignment  of  R&I  investments  and 
reforms  at  national  and  EU  level  to  accelerate  the  green  and  digital  transformation  of 
Europe’s society and economy. This will help to deliver on EU priority areas such as the clean 
energy  transition,  decarbonisation  and  modernisation  of  industry,  smart  and  sustainable 
mobility and the circular economy.  

21 ERAC Opinion, Council document 14989/18 of 30 November 2018, page 6. See Staff Working Document, p. 
93, for the mandate of the European Research Area and Innovation Committee. 

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Financial  support  for  constructing  the  ERA  through  the  EU  Framework  Programmes  has 
evolved  over  time  22.  The  Horizon  Europe  programme  envisages  stepping  up  these  efforts 
through robust and balanced R&I investments. It supports researchers, industry, and citizens 
to throughout the whole R&I cycle. . The first pillar of the programme supports researchers to 
carry  out  fundamental  research.  The  second  pillar  focuses  on  collaboration  between  EU, 
industry and sometimes Member States to deliver research and innovation that has impact on 
the ground in key policy areas from health, accessibility, digital, industrial competitiveness, to 
climate,  energy,  mobility,  natural  resources  and  food  systems.  Essential  for  this  are  joint 
strategic  agendas  with  Member  States  and  industry  through  a  streamlined  set  of  “R&I 
Partnerships”.  Horizon Europe proposes also new forms of collaboration, such as the future 
“R&I Missions23”, which would involve citizens in wide projects, such as plastic in oceans or 
fighting  cancer.  Finally,  the  third  pillar  focuses  on  breakthrough  and  market-creating 
innovation.  The  European  Innovation  Council  (EIC)  and  the  Knowledge  and  Innovation 
Communities (KICs) run by the European Institute of Innovation and Technology (EIT)  will 
support game-changing innovations by EU start-ups and SMEs, including providing regional 
focus.  The  Horizon  Europe  Programme  aims  to  be  ambitious  when  it  comes  to  green  and 
digital  transitions.  The  Commission  proposed  that  Horizon  Europe  includes  a  35%  funding 
target for climate change, and that there is a substantial increase in investment in core digital 
technologies.  Member  States  should  consider  replicating  this  ambition  for  green  and  digital 
investment in their national programmes. 

However, Horizon Europe and other relevant programmes under the EU budget alone, such as 
Cohesion Policy or Next Generation EU, would not be enough to fund the R&I needed for the 
green  and  digital  transitions.  In  order  to  bring  about  a  real  positive  change,  this  must  be 
complemented by investments from Member States. These efforts combined should crowd in 
significant private investment to ensure ownership and quality of results.  

The  3%  R&D  investment  target  has,  since  2002,  provided,  at  times,  a  stimulating  effect  to 
increase investments in the EU and Member States, however not enough to meet this target. 
Business expenditure lags behind the EU’s main competitors and public investment stagnated 
since 2012 and even went down in some countries. This impacts on the capacity of the EU to 
keep up the pace with the speed of innovation at global level. With a current value of 0.81% 
GDP, EU public effort to support R&D is still too low. The pandemic has accelerated the twin 
transition.  Therefore,  the  level  of  investment  must  increase  to  keep  up  with  the  new  pace. 
Member  States  should  commit to  raising  their  public  R&D  efforts  from  0.81%  to  1.25%  of 
GDP. This increase is commensurate with reaching the 3% goal and keeping a high level of 
ambition to deliver on the recovery and the twin transition. Only a small share of revenues are 
currently spent by the private sector on R&I in the sectors where low-carbon technologies are 
needed to be applied on a large scale24. The private sector should be encouraged to increase its 
R&D investment. Furthermore, current annual spending on joint R&D programmes between 
Member States constitutes about 1% of total public R&D funding in Europe. A target of 5% 
can  help  Member  States  focus  and  align  national  public  R&D  efforts,  also  with  Horizon 
Europe  Missions  and  Partnerships.  Similarly,  national  reforms  will  be  needed  to  strengthen 
national  and  regional  R&I  systems,  taking  into  account  the  2019  and  2020  country  specific 

22Horizon 2020 introduced 7 Societal Challenges and Focus Areas cutting across societal challenges (i.e. circular 
economy or digitalisation). Other elements such as policy experimentation are also being tested. 
23 Missions are a novelty under Horizon Europe aiming to tackle complex challenges through an inclusive and 
deliberative approach. 
24 JRC SETIS https://setis.ec.europa.eu/publications/setis-research-innovation-data 

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recommendations  of  the  European  Semester25  and  the  assessments  of  National  Energy  and 
Climate Plans. 

The  Recovery  and  Resilience  Facility  should  also  contribute  to  such  effort  as  it  encourages 
Member States to undertake reforms and investments in new technologies and in a number of 
European flagships initiatives, such as powering up future proof clean technologies or scaling 
up European industrial data cloud capacities and developing the most powerful, cutting edge, 
and  sustainable  processors26.  Possible  investments  include  would  foster  cross  border 
cooperative projects  or important  projects  of common European interest27. The coordination 
of R&I investment and reform efforts should occur: 

-  First,  by  setting  funding  targets,  in  particular  for  supporting  the  twin  transition  and  the 
recovery  priorities,  which  can  have  a  mobilising  effect  over  national  R&I  budgets  and 
leverage private R&I investment.  

-  Second,  by  joint  programming  with  priority  areas  for  action  and  ambitious  budgets  to 
facilitate  the  critical  mass  needed  in  key  areas  supporting  the  twin  transition.    A  strong 
focus  on  deployment  of  new  technologies  and  solutions  throughout  the  economy  and 
public  administration  will  be  essential  to  increasing  the  impact  of  R&I  expenditure. 
Cohesion  Policy,  the  Connecting  Europe  Facility,  the  Common  Agricultural  Policy, 
Digital  Europe  and  the  Recovery  and  Resilience  Facility  will  play  an  essential  role  in 
delivering transition on the ground. 

-  Third,  through  engaging  in  Horizon  Europe  Missions  and  Partnerships  to  support  the 
alignment of national strategies and industrial and business investments towards common 
EU  objectives.  In  addition,  R&I  partnerships  between  the  EU,  its  Member  States  and 
the  Joint  Undertakings  on  Hydrogen  or  on 
industrial  stakeholders,  such  as 
Microelectronics, have become a well-established tool of the Framework Programmes28 to 
pool resources towards common objectives.  

To deliver on the twin transition,  the Commission is ready to support Member States in the 
prioritisation  of  national  funding  between  countries  and  with  the  EU.  The  ERA  Forum  for 
Transition  is  a  Commission-driven  forum  for  discussion  with  Member  States  of  the  four 
priorities  of  the  new  European  Research  Area.  This  would  help  focus  the  new  European 
Research  Area  process  by  working  with  the  Member  States  to  prepare  the  research  and 
innovation angle of the national recovery plans, to maximise the benefit from cohesion funds, 
to  implement  the  industrial  strategy  through  work  on  industrial  ecosystems  and  to  discuss 
regulatory  and  non  regulatory  initiatives  to  create  a  favourable  framework  for  research  and 
innovation in the EU. It will complement the Horizon Europe Strategic Programming process 
and  offer  a  platform  for  the  development  of  ambitious  joint  policy  and  funding  actions  in 
strategic areas and their alignment with other policies.  The forum would also address issues 
linked to implementation of R&I policies at national and regional levels, by bringing together 
the  Commission  and  Member  State  bodies  responsible  for  R&I  funding  –  including 

25 In 2019 all Member States of the EU received a country specific recommendation that called for R&I 
investments 
26 https://ec.europa.eu/commission/presscorner/detail/en/IP_20_1658 
27 Cf Commission staff working document, Commission guidance to Member States, Recovery and resilience 
plans, COM (2020) 205; 17.09.2020. 
28 https://ec.europa.eu/info/horizon-europe-next-research-and-innovation-framework-programme/european-
partnerships-horizon-europe_en 

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authorities  managing  cohesion  policy  –  to  ensure  synergies  across  all  relevant  funding 
sources. 

The Commission: 

1.  Proposes  that  Member  States  re-affirm  the  3%  EU  GDP  R&D  investment  target  and 
update it to reflect new EU priorities, including a new 1.25% EU GDP public effort target 
to be achieved by Member States by 2030 in an EU coordinated manner, to leverage and 
incentivise private investments. 

2.  Support Member States in the coordination and prioritisation of national R&I funding and 
reforms,  between  countries  and  with  the  EU,  through  dialogue  and  a  dedicated  ERA 
Forum  for  Transition.  This  will  focus  Member  States  common  efforts,  to  voluntarily 
commit  5%  of  national  public  R&D  funding  to  joint  programmes  and  European 
partnerships by 203029.  

2.2 Improving access to excellence 

Advancing Europe together 

Member  States’  R&I  investment  remains  uneven  with  important  differences,  from  0.5%  to 
3.3%  of  the  GDP  and  concentrated  in  EU  northern  and  western  parts.  These  differences  in 
investment  translate  into  gaps  in  scientific  excellence  and  innovation  output.  For  example, 
proxy indicators for  science quality  (top cited scientific publications)  show also  a persistent 
divide30. 
The  less  R&I  performing  Member  States31  have  managed  to  progress  but  most  of  these 
countries  still  perform  well  below  the  EU  average32.  Nearly  all  Eastern  European  Member 
States have managed to increase their R&I expenditure, while a number of southern countries 
appear  to  be  falling  behind33.  Most  Member  States  are  engaged  in  improving  their  national 
R&I systems to strengthen their science base, including by stimulating public-private, cross-
sectorial interactions and building an innovative private sector. 

The EU already supports Member States that aim to strengthen their research and innovation 
capacity  through  different  measures.  The  Horizon  Policy  Support  Facility34  and  the  future 
Technical Support Instrument35 provide these Member States with expert advice and a variety 
of  good  practices  to  develop  and  implement  reforms,  as  well  as  tailor  made  support  on  the 
ground. 

The high concentration of R&I activities in Europe and agglomeration effects imply that there 
are regions with more incentives for R&I investments. Increasing concentration of economic 
and innovative activities in  capitals  and metropolitan areas, on the one hand, and decline in 
industrial or peripheral areas on the other lead to negative developments in regions with low 
capacity to exploit innovation. 

29  The  current  average  annual  investment  in  the  period  2015-2018  was  around  EUR  800  mio  (ERA-LEARN 
data) or just below 1% of total public funding for R&I in the EU 
30 SRIP report https://ec.europa.eu/info/publications/science-research-and-innovation-performance-eu-2020_en 
(pp. 368 and 369). 
31 https://ec.europa.eu/growth/industry/policy/innovation/scoreboards_en 
32 See also https://www.eib.org/attachments/efs/innovation_investment_in_cesee_en.pdf 
33 Science, Research and Innovation Performance of the EU 2020, DG R&I 
34 https://rio.jrc.ec.europa.eu/policy-support-facility 
35 https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=COM:2020:0409:FIN  

8 

 
 
 
                                                           
Horizon  Europe  will  support  the  less  performing  Member  States,  through  the  ‘Widening 
participation and strengthening ERA’ package, to valorise and connect existing ecosystems. It 
will support collaborations with more experienced counterparts in order to enhance access to 
excellence. The Widening programme will continue to operate in synergy with the Cohesion 
Policy.  A  smart  and  coherent  use  of  Cohesion  policy  support  should  complement  EU  and 
national  R&I  programmes  in  upgrading  knowledge  infrastructures,  building  capacity  and 
inducing  structural  transformations,  on  the  basis  of  well-designed  smart  specialisation 
strategies. Other EU instruments, as well as investments through the Recovery and Resilience 
Facility should also support reforms in the research and innovation domain.  

The  Commission  will  stimulate  policy  reform  through  regular  dialogue  and  stronger 
interaction  with  Member  States.  Strategic  and  coordinated  support  will  also  be  offered  to 
regions  and  cities  building  on  successful  initiatives  such  as  the  Knowledge  Exchange 
Platform36  (together  with  the  Committee  of  the  Regions)  and  the  Science  meets  Regions 
initiative. These will be upgraded to a strategic level ensuring an effective dialogue for setting 
priorities and promoting synergies between R&I instruments and education and training with 
adequate mobilisation of cohesion policy funds.  

The Commission: 

3.  Proposes that Member States lagging behind the EU average R&D investment over GDP 
direct  their  investment  efforts  to  increase  their  total  investment  in  R&D  by  50%  in  the 
next 5 years. The Commission will support Member States to reform their R&I policies, 
also  by  targeting  technical  assistance  to  this  end.  It  will  facilitate  the  coordination  and 
complementarity of national and EU programmes, and contribute to the deployment of the 
recovery package.  

Nourishing talent for excellence  

Attracting and retaining talented researchers remains key for knowledge diffusion across the 
EU. In general, countries with a higher R&I performance have a greater inflow of researchers. 
It becomes imperative to ensure that all researchers in the EU, regardless of their geographical 
location, can produce and have access to excellent results. 

The  ERA4You  initiative  will  be  launched  to  deepen  the  European  Research  Area  by 
strengthening the mobility opportunities for researchers to access excellence and expand their 
experience  through  dedicated  mobility  schemes  between  industry  and  academia.  It  will 
include,  targeted  mobility  measures  to  support  researchers  in  Member  States  with  low  R&I 
performance to learn and develop excellence, in order to broaden the talent capacity. 

The initiative will monitor indicators of access to excellence of researchers and institutions to 
improve  the  understanding  of  obstacles  and  support  relevant  policy  measures.  It  will  also 
foster a structured collaboration between academia and businesses, and across disciplines and 
borders,  taking  into  account  the  internal  market.  Enabling  framework  conditions  for  this 
initiative will be complemented in a wider context by measures proposed under the action on 
European Framework for Research Careers (see section 2.4 below). 

36 https://cor.europa.eu/en/our-work/Documents/SEDEC/KEP-action-plan-2019-en.pdf 

9 

 
 
 
                                                           
The Commission proposes to: 

4.  Institute  a  dedicated  work  stream  in  the  ERA  Forum  for  Transition    (i)  to  promote  and 
monitor  access  to  excellence  of  researchers  and  institutions  from  Widening  Countries, 
with Cohesion Policy support, (ii) to support Member States to better integrate researchers 
in smart specialisation strategies in cooperation with industry, and (iii) help them design 
measures  to  support  researchers  in  Widening  Countries  to  improve  their  skills  for 
excellence  in  the  labour  market.  This  should  support  low  R&I  performing  countries  to 
increase  the  excellence  of  their  R&I  systems.  Member  States  lagging  behind  the  EU 
average on highly cited publications should reduce the gap to the EU average by at least 
one third in the next 5 years. 

2.3 Translating R&I results into the economy 

Competitiveness of European industry 
The  EU  is  lagging  behind  its  main  global  competitors  in  business  R&D  intensity37,  in 
particular in high-tech sectors, and in scaling-up innovative SMEs38 with negative effects on 
productivity and competitiveness. This is happening at times when entire sectors will undergo 
the  twin  transition  and  when  industrial  leadership  will  rely  more  than  before  on  pushing 
further the frontiers of science, mastering deep technologies, and combining digital, physical 
and biological innovations. Unlocking investment in innovation in business, services as well 
as  in  the  public  sector  is  critical  to  reversing  this  trend,  as  well  as  to  reinforce  Europe’s 
industrial and technological sovereignty. 

The EU needs to make full use of its excellent research and innovation results to support the 
green and digital transition of EU economy.  

Europe needs a framework that is conducive to long-term ambitious investments from the EU 
budget,  Member  States  and  the  private  sector.  Investments  in  research  and  innovation  are 
often risky and require long-term commitments. This may be even more challenging to ensure 
during  crisis  times.  Horizon  Europe  partnerships  between  the  EU  and  the  private  sector,  as 
well  as  the  Member  States,  provide  the  necessary  framework  to  ensure  that  risk  taking  is 
catered for there where there is a market failure, and that private investment is leveraged.  In 
addition, the European Innovation Council, complemented by EU financial instruments, will 
enhance access to debt and equity finance for high growth, R&I driven SMEs, start-ups, and 
small midcaps taking into account the EU taxonomy on sustainable finance39. It will support 
more  entrepreneurship  across  Member  States,  identify  next  generation  technologies  and 
accelerate  their  commercial  application,  thereby  strengthening  European  industrial  and 
technological  presence  in  strategic  parts  of  key  value  chains,  and  fostering  technological 
choice  and  open  strategic  autonomy.  The  European  Institute  of  Innovation  and  Technology 
also has an important role to play. Where they exist, industrial alliances40 should be inclusive 
to  contribute  to  defining  research  agendas  and  to  increasing  the  industrial  impact  of  R&D 
results.  Member  States  can  cooperate  in  case  of  market  failure  in  Important  Projects  of 

37 In 2018, 1,45% GPD in EU, 2.59 % in Japan, 2.05% in United States and 1.69 % in China. SRIP 2020 
38 For each (SRIP 2020) - SRIP 2020, https://ec.europa.eu/info/research-and-innovation/strategy/support-policy-
making/support-national-research-and-innovation-policy-making/srip-report_en 
39 https://ec.europa.eu/info/publications/sustainable-finance-teg-taxonomy_en 
40 Following the recent Battery Alliance, the Industrial Strategy announces the launch of a Clean Hydrogen 
Alliance, followed by alliances on low-carbon industries and on industrial data and cloud, and raw materials. 

10 

 
 
                                                           
Common  European  Interest  (IPCEI)41,  to  bring  R&D  results  towards  industrial  deployment 
for the benefit of business and public sector.  

To  support  the  implementation  of  the  new  Industrial  Strategy  and  speed  up  the  transfer  of 
research  results  into  the  real  economy,  the  Commission  will  guide  the  development  of 
common  technology  roadmaps with  industry to include  R&I  investment  agendas  from basic 
research to deployment. These roadmaps will allow an efficient use of the full set of support 
mechanisms  to  crowd  in  private  investments  in  key  cross-border  projects.  These  roadmaps 
will  be  part  of  the  Strategic  Innovation  Agendas  agreed  with  Member  States  and  industry, 
under the Horizon Europe R&I Partnerships.  Pro-innovation regulatory frameworks are also 
important to foster the development of competitive technologies in key strategic value chains 
while securing a stronger European position.  

The  European  Universities  and  research  and  technology  organisations  (RTO)  and  EU 
Technology  Infrastructures,  as  producers  of  high  quality  knowledge  underpinning  industrial 
innovation, will be key partners in developing these roadmaps.  

The Commission will, in cooperation with Member States and stakeholders: 

5.  Support the implementation of the New Industrial Strategy by jointly developing common 
industrial  technology  roadmaps  by  the  end  of  2022  to  align  and  link  key  partnerships 
under Horizon Europe with industrial ecosystems, so as to ensure that efforts team up and 
that research results are known and rolled out faster in the economy. 

Strengthening innovation ecosystems for knowledge circulation and valorisation 

Knowledge circulation and creation of value from knowledge are important parts of the ERA. 
R&I  Hubs  and  Centres  of  excellence,  spread  across  EU  Member  States  and  regions.  They 
facilitate  the  involvement  of  a  diversity  of  stakeholders  in  multi-disciplinary  and  cross-
sectorial  collaborations.  They  provide  a  valuable  and  still  largely  missing  service  to 
innovative start-ups and SMEs, which face particular market failures or obstacles.  

Over the years, different types of supportive structures were created, ranging from Centres of 
Excellence to advisory services or specialised innovation hubs. There could be great benefit 
from  fostering a stronger interconnection between them across the EU. 

Based  on  a  mapping  of  existing  entities,  and  the  analysis  of  potential  gaps,  an  ERAHubs 
initiative could be developed, building on existing capacities, such as the Digital  Innovation 
Hubs  and  clusters,  and  linking  to  the  Enterprise  Europe  Network  and  StartUpEurope,  to 
provide an interconnected knowledge space. This will facilitate collaboration and exchange of 
best practices, with the incentive to maximise the value of knowledge production, circulation 
and use.  

In  2008,  the  Commission  issued  a  recommendation  on  the  management  of  intellectual 
property  and  knowledge  transfer  and  a  code  of  practice  for  universities  and  other  public 
research  organisations.  In  the  current  dynamic  context,  in  order  to  achieve  stronger  impact, 
the  Commission  in  consultation  with  Member  States  and  stakeholders  will  update  these 
guidance  documents  to  support  a  common  valorisation  strategy  for  research  and  innovation 
based on existing good practices, including with respect to public procurement. As announced 
in  the  March  2020  Industrial  Strategy  for  Europe42,  further  actions  to  improve  the 

41 The ECSEL partnership, behind the launch of the first IPCEI on Microelectronics has shown the way. 
42 COM/2020/102 final 

11 

 
 
                                                           
management  of  intellectual  property  by  the  research  community  will  be  provided  in  the 
upcoming Intellectual Property Action Plan. 

EU business should have access to effective and affordable intellectual property protection 
throughout the continent so that innovation can be valorised and rewarded. In this context, the 
forthcoming launch of the Unitary patent will be an important milestone. Putting an end to 
fragmentation and complexity, the Unitary patent will provide a one-stop shop for businesses, 
reducing costs for up to six times compared to the existing, Member State per Member State-
based system (1). It will also improve transparency and facilitate licensing process It will also 
provide for a centralised litigation system, thanks to the new Unified Patent Court. 

 The Commission will: 

6.  Develop  and  test  a  networking  framework  in  support  of  Europe’s  R&I  ecosystems, 
building on existing capacities, in order to strengthen excellence and maximise the value 
of knowledge creation, circulation and use by 2022.  

7.  Update and develop guiding principles for knowledge valorisation and a code of practice 
for  the  smart  use  of  intellectual  property,  by  the  end  of  2022,  including  facilitating  the 
implementation  of  the  unitary  patent,  to  ensure  access  to  effective  and  affordable 
intellectual property protection. 

2.4 Deepening the ERA 
A European Framework for Research Careers43  

Career  development  conditions  to  attract  and  retain  the  best  researchers  in  Europe  are 
necessary in the global race for talent. Precarious employment, notably for new entrants, has 
not improved adequately over the past years increasing the risk that most talented researchers 
opt for working outside Europe.  

The  imbalances  between  the  number  of  PhD  graduates  and  the  number  of  tenure  track 
positions in the public science systems are an obstacle for retaining talent. Training and career 
development  of  researchers  insufficiently  focusses  on  entrepreneurship  or  opportunities 
outside academia. The increased dependency on short-lived, project-based, research funding, 
has also contributed to this.  

As  part  of  the  existing  European  Research  Area  instruments,  the  charter  and  the  code  for 
researchers  together  with  actions  underpinning  mobility,  including  the  Marie  Sklodowska 
Curie actions, played a role in supporting researchers’ careers, but given the evolution of the 
labour market and the economy, there is a need for a more comprehensive approach – a tool 
box built on tackling the recognition of researchers skills, enhanced mobility and exchanges 
between  academia  and  industry,  targeted  training  opportunities  and  a  one-stop-shop  portal 
that researchers can access for a number of support services.  

The skills mismatches constitute a worrying trend for industry and businesses with negative 
impact on innovation and productivity both in highly innovative industry and services sectors. 
Incentivising researchers to pursue a career outside academia through enhanced inter-sectoral 
circulation schemes involving industry can help improve researchers’ employability and boost 
the permeability of talents across Europe’s economy and society.  

An enhanced European competence framework for research careers will support comparable 
and interoperable research careers identifying a set of core skills and modernising rewarding 

43 See section 2.4.3.2 of the Staff Working Document.  

12 

 
 
                                                           
systems. Defining with Member States a European competence framework and a taxonomy of 
researchers’  skills  will  allow  monitoring  the  trends  in  the  research  labour  market  careers, 
skills  and  talent44.  This  can  be  supported  by  deepened  skills  intelligence,  a  flagship  action 
presented 
for  sustainable 
the  Communication  on  a  European  Skills  Agenda 
competitiveness, social fairness and resilience. 

in 

The  ERA4You  initiative  will  introduce  measures  to  reinforce  inter-sectoral  mobility, 
strengthen  academic-business  cooperation  and  the  involvement  of  the  private  sector  in 
training and skills development of researchers. This will underpin permeability of R&I talents 
to  the  entire  society  and  economy,  thus  boosting  growth  and  jobs.  It  will  encourage 
researchers  towards  entrepreneurship  and  business  creation.  The  ERA4You  will  have  a 
dedicated  pillar  for  Widening  Countries  to  support  researchers  from  these  countries  to 
develop and access excellence. 

The  EURAXESS  services,  network  and  portals  will  be  broadened  into  an  ERA  Talent 
Platform, an online one-stop–shop, with improved structure and governance, exploiting links 
to Europass, the EU platform for people to manage their learning and careers and the EURES 
network of European public employment services45. 

In implementing this toolbox, the Commission will pursue synergies with mobility and career 
development  initiatives  of  the  European  Education  Area,  and  the  European  Pillar  of  Social 
Rights.  In  this  context,  the  pan-European  pension  fund  for  researchers  (RESAVER),  is  an 
important support to researchers cross-border and cross-sectoral mobility. 

The Commission will: 

8.  Deliver,  by  the  end  of  2024,  in  partnership  with  Member  States  and  research 
organisations, a toolbox of support for researchers careers with the following components: 
(i)  a  Researchers  Competence  Framework,  (ii)  a  mobility  scheme  to  support  exchange 
between  industry  and  academia,  (iii)  targeted  training  under  Horizon  Europe  and  (iv)  a 
one-stop shop portal. The toolbox will lead to the creation of a pipeline for talent. 

Open Science 

Open  science  makes  the  R&I  systems  more  efficient  and  creative  and  reinforces  excellence 
and society´s trust in science. This is because opening and sharing research results and data, 
making  them  reusable  and  reproducible,  and  having  access  to  research  infrastructures 
provides  the  basis  for  peer  scrutiny  and  quality,  as  well  as  efficiency  in  taking  research 
reflections, analysis and innovation further. 

First,  the  Commission  has  already  taken  steps  towards  Open  Science.    The  European  Open 
Science Cloud (EOSC) is being built to become a common, federated, European framework 
for openly sharing research data and accessing services. In the medium term, EOSC will grow 
into a trusted research and innovation data space and service platform in Europe that is fully 
articulated  with  sectoral  data  spaces  such  as  the  common  European  health  data  space,  and 
open up and connect with the wider public and private sectors.  

Furthermore,  the  European  Strategy  for  Data  recognised  the  good  experience  with  the 
European Open Science Cloud and set out the way to develop it further, ultimately opening it 
up  beyond  research  communities46,  and 
the  European  COVID-19  Data  Platform47 
demonstrated the importance of such open approaches and infrastructure. 

44 COM(2020)274 final of 1.7.2020 
45 https://euraxess.ec.europa.eu; https://europa.eu/europass/en; https://ec.europa.eu/eures/public/en/homepage.  
46 COM(2020)66 of 19.2.2020 

13 

 
 
                                                           
Second, policies for open access to scientific publications have  also progressed rapidly over 
the last decade, with different business models in place. Ensuring the right for researchers or 
their institutions to share publicly funded peer-reviewed research findings without restrictions 
is  essential  for  knowledge  to  circulate  freely.  Immediate  open  access  to  publicly  funded 
publications has the advantage of sharing research results as early as possible, contributing to 
research  efficiency  and  scientific  excellence  without  compromising  systematic  peer  review. 
Under  Horizon  Europe,  the  Commission  proposes  to  launch  an  Open  Research  Europe 
publishing platform,  by  ensuring that all  publicly  funded  research  is integrated into a single 
seamless European data space. 

Third,  the  current  research  assessment  system  is  largely  based  on  the  impact  factors 
associated  with  specific  journals,  where  the  publication  takes  place,  rather  than  on  the 
individual content and added-value of the publication itself.  

More  should  be  done  to  incentive  to  share  results  and  collaborate,  and  to  encourage  trans-
disciplinary  research.  Improving  the  system  requires  the  collaboration  and  agreement  with 
Member States, research funders, research performing organisations, scientific publishers and 
other  actors  to  coordinate  and  synchronise  reforms  at  institutional,  regional,  national  and 
international level. 

The Commission will:  

9.  Launch,  via  the  Horizon  Europe  Programme,  a  platform  of  peer-reviewed  open  access 
publishing;  analyse  authors’  rights  to  enable  sharing  of  publicly  funded  peer-reviewed 
articles  without  restriction;  ensure  a  European  Open  Science  Cloud  that  is  offering 
findable, accessible, interoperable and reusable research data and services (Web of FAIR); 
and incentivise open science practices by improving the research assessment system. 

Research and technology infrastructures (including e-Infrastructures) 

Large-scale  research  infrastructures  are  a  backbone  of  the  ERA  and  key  to  make  Europe 
attractive  for  the  best  researchers  across  the  world,  contributing  to  knowledge  sharing  and 
innovation.  Research  infrastructures  can foster regional  development  by  concentrating  skills 
and  innovation  talent around  strategic  scientific  assets. E-infrastructures,  in  particular 
connectivity  and  collaboration  services,  will  play  a  fundamental  role  in  exploiting  the  full 
potential of research infrastructures. Ultra-fast connectivity will become a building block for 
the  use  of  digital  twin-like  models  of  reality,  with  near  real-time  decision-making  tools, 
rooted on scientific evidence. 

The European Commission has been working in close partnership with the Member States and 
the  scientific  communities  within  the  European  Strategy  Forum  on  Research  Infrastructures 
(ESFRI)  to  develop  new  pan-European  infrastructures  and  the  effective  networking  of 
existing ones. This is one of the successes of the current European Research Area, leading to 
cutting-edge  structures  across  Europe  and  the  world,  such  as  the  European  Spallation 
Source48, the European Plate Observing System49 or the European Social Survey50. 

However, research infrastructures have greater added value when used both for research and 
technological applications. This unleashes the innovation potential to deliver on EU’s broader 

47 https://www.covid19dataportal.org/ 
48 https://europeanspallationsource.se/  
49  https://www.epos-ip.org/  
50  http://www.europeansocialsurvey.org/  

14 

 
 
                                                                                                                                                                                     
policy  priorities.  This  will  support  industries  and  SMEs,  with  balanced  scientific  resources 
and access for researchers across the EU.  
The recently published ESFRI White Paper51 sets out a new vision in this direction.  

Infrastructures  can  also  make  a  significant  contribution  to  innovation.  In  that  context,  the 
strategic  development  of  European  technology  infrastructures  has  been  identified  as  a  key 
issue52. Industry, and notably SMEs, require access to the right technology infrastructures to 
quickly  develop  and  test  their  innovations  and  successfully  enter  the  market.  This  involves  
establishing a governance structure for Technology Infrastructures, which will bring together 
and  complete  currently  existing  mappings  of  available  facilities,  performing  a  gap  analysis 
and prioritisation at EU level and elaborating recommendations for common access conditions 
and engagement models. 

The Commission will, together with the Member States: 

10. Support ESFRI to work towards a world-class research infrastructures ecosystem focusing 
on the broader range of the EU’s policy priorities and improve its governance to address 
the  broadened  focus  of  its  activity  by  the  end  of  2021,  and  establish  a  new  governance 
structure for Technology Infrastructures. 

Strengthening the public science system through synergies with the European Education Area 

The  public  science  system  is  an  indispensable  part  of  the  overall  R&I  organisation  and  a 
cornerstone of excellence for Europe’s prosperity. It consists of universities and other publicly 
funded research and technology organisations, which base their action on academic freedom 
fully embedded in the scientific culture and processes.  

Freedom of discussion is essential for peer-review and for publishing verifiable results, which 
is a prerequisite for scientific excellence. Without academic freedom, science cannot progress 
and the ERA cannot function.  

The  most  vibrant  and  innovative  ecosystems  in  the  world  have  strong  interactions  with  top 
quality  universities.  While  Europe  has  many  strong  universities,  their  potential  is  not  fully 
exploited.  The  new  ERA  will  strengthen  the  R&I  dimension  of  universities  through  a 
comprehensive  transformation  agenda  to  be  developed  together  with  stakeholders  and 
Member States and in synergy with the European Education Area (including their education, 
research, innovation and service to society missions).  

It  will empower Universities in  Europe to develop  common R&I strategies, creating critical 
mass to deliver on Europe’s challenges, facilitating the sharing of capacity such as digital and 
knowledge  infrastructures  and  resources  through  collaborative  settings.  The  aim  is  also  to 
improve  the  attractiveness  of  researchers’  careers,  facilitate  co-operation  with  surrounding 
R&I ecosystem actors and to play a key role in engaging citizens in science.  

The European Universities initiative, piloted under the Erasmus programme and supported in 
its R&I dimension by Horizon 2020, will help the transformation process offering  a longer-
term  framework  for  transnational  cooperation  between  universities,  allowing  for  stronger 
borderless cooperation and circulation of knowledge and talents. 

Large-scale  concerted  action  in  support  of  the  institutional  transformation  efforts  of 
universities will be based on a roadmap of EU, national and regional actions for better use of 

51 https://www.esfri.eu/esfri-white-paper  
52 SWD(2019) 158 

15 

 
 
                                                           
synergies between Union programmes including Horizon Europe, Erasmus, ESF+ and ERDF 
and private R&I investments, notably through the support of the InvestEU programme.  

The Commission will, together with the Member States through the EEA and ERAC steering 
bodies: 

11. Develop  a  roadmap  of  actions  for  creating  synergies  between  higher  education  and 

research, notably building on the dual role of universities. 

Gender equality to strengthen the European R&I potential  

Despite evidence that balanced teams perform better, gender inequalities persist in Europe’s 
R&I systems. Coordinated action with education policies and research funders will promote a 
gender-inclusive culture.  
The She Figures 201853 report presents overall improvement, but the pace remains too slow. 
Gender balance in PhD graduates (48% women) has nearly been reached. Yet, women remain 
significantly under-represented: only 33.4% of researchers in the EU are women, the share of 
women in Grade A positions  in  the Higher Education Sector (full professor and equivalent) 
reached just 24% for the EU in 2016 and the proportion of women heading higher education 
institutions in Europe was only 22% in 2017. 

The number of women among patent holders, also remain extremely low and only 1.79% of 
scientific publications of the EU integrate a gender analysis. Ambitious targets need to be set 
at  EU  level  to  enact  sustainable  change  in  R&I  institutions  and  foster  a  pipeline  of  female 
talent. 

In concert with the Skills Agenda, the Communication on the European Education Area and 
the new Digital Education Action Plan, the ERA will strengthen the focus on participation of 
women  in  Science,  Technology,  Engineering  and  Mathematics  (STEM)  fields  and  foster 
entrepreneurship. There is also a need to address diversity by opening policy to intersections 
with  other  social  categories,  such  as  ethnicity,  disability  (including  accessibility  and 
inclusion) and sexual orientation, as well as gender-based discrimination and violence in R&I 
organisations54. 

The Commission will:  

12. Propose  as  of  2021,  in  line  with  the  Horizon  Europe  programme  objectives,  the 
development  of  inclusive  gender equality  plans  with  Member States and stakeholders in 
order to promote EU gender equality in R&I.  

3.  CITIZENS’ ENGAGEMENT  

The engagement of citizens, local communities and civil society will be at the core of the new 
ERA to achieve greater societal impact and increased trust in science.  

Building on the key role of science during the COVID-19 pandemic, Member States, research 
organisations  and  industry  should  involve  citizens  in  technology  choices.  To  achieve  this, 
leaders  of  R&I  institutions,  funders  and  policy  makers  need  to  agree  on  principles, 

53 https://ec.europa.eu/info/publications/she-figures-2018_en 
54  Henning,  M.A.,  Zhou,  C.,  Adams,  P.,  Moir,  F.,  Hobson,  J.,  Hallett,  C.  &  Webster,  C.S.  2017.  Workplace 
harassment among staff in higher education: a systematic review. Asia Pacific Education Review, 18: 521–539  

16 

 
 
 
                                                           
recommendations and good practices for incentivising and rewarding citizen participation to 
promote trust and facilitate the uptake of science, technology and innovation. 

The  ERA  will  enhance  the  communication  to  the  wider  public,  and  young  generations  in 
particular,  on  science  addressing  the  twin  transition  and  promote  participatory  actions 
concerning  the  transformation  of  our  economy  and  society.  It  is  also  important  to  include 
representative  organisations  of  groups  at  higher  risk  of  exclusion  such  as  persons  with 
disabilities and older persons in order to address critical issues related to their exclusion in the 
research. 

Underpinning  simplification  and  coherence,  there  is  scope  for  integrating  the  “Capitals  of 
Innovation” award and other relevant EU activities, such as the European Contest of Young 
Scientists (EUCYS) or the Science in the City Festival into a broader policy initiative, which 
would open up science and innovation to Europeans in their own cities, regions and countries.  

Citizens’  engagement  will  build  on  already  existing  initiatives  and  events,  such  as  the 
European  Researchers’  Night,  which  has  become  the  largest  research  communication  and 
promotion  event  in  Europe,  and  could  be  an  appropriate  platform  to  engage  actively  with 
citizens. 

The EU can make use of Horizon Europe Missions to pursue citizen’s involvement. Networks 
such  as  the  European  Youth  Portal,  the  Eurodesk  Network,  the  European  Youth  Forum, 
student  and  alumni  associations,  the  Safer  Internet  Centres  and  the  EU  BIK  portal, 
eTwinning,  the  School  Education  Gateway,  and  EPALE  (Adult  learning)  platforms,  are 
effective multipliers to engage with society.  

The Commission will:  

13. Organise with Member States and stakeholders Europe-wide participatory citizen science 
campaigns  to  raise  awareness  and  networking,  crowdsourcing  platforms  and  pan-
European  hackathons,  in  particular  in  the  context  of  Horizon  Europe  Missions.  The 
Commission  will  develop  with  Member  States  best  practices  to  open  up  science  and 
innovation to citizens and youth.  

4.  GOVERNANCE OF THE NEW ERA 

The  new  ERA  requires  action  at  national  and  EU  levels,  supported  by  a  process  to  set  and 
update the policy priorities, monitor and assess progress and ensure strategic advice towards 
common objectives.  

Action at EU level will be guided by the proposed list of actions according to a timeline (the 
ERA  Roadmap  presented  in  the  appendix)  that  will  be  updated  by  the  Commission  as 
implementation proceeds. Action at national level will be guided by a set  of key values and 
principles,  building  on  the  experience  of  the  past  20  years  in  areas  such  as  open  access, 
gender equality or career conditions for researchers and others.  

A first step will consist  of a European Pact for  Research and Innovation to be proposed by 
first  half  of  2021,  aiming  at  deepening  the  implementation  of  the  new  ERA’s  objectives, 
setting  out  commonly  agreed  values  and  principles  and  indicating  the  areas  where  Member 
States  will  jointly  develop  priority  actions.  It  will  take  the  form  of  a  single  non-binding 
initiative. 

Through  its  coordination  work,  the  ERA  Forum  for  Transition  may  also  contribute  to  the 
identification  of  investments  and  reforms  to  help  Member  States  prepare  their  national 
Recovery  and  Resilience  plans  for  the  implementation  of  the  Recovery  and  Resilience 
Facility. 

17 

 
 
A  transparent  monitoring  system  will  be  essential  through  the  publication  of  a  yearly  ERA 
Scoreboard  which  will  address  the  progress  at  EU  and  national  level,  revise  priorities  and 
actions in the ERA Roadmap and provide evidence and analysis for the European Semester. 

The  ERAC  will  continue  to  provide  strategic  advice  on  priority  setting,  monitoring  and 
assessment, to deliver on the new ERA vision. ERAC should ensure the follow-up at national 
level  and  continue  to  carry  out  its  oversight  role  of  day-to-day  implementation  through 
working  groups.  Lessons  learned  from  the  Horizon  Europe  co-creation  strategic  planning 
process should be taken into account. 

The  Commission  will  assist  the  running  of  the  groups  equipping  them  with  the  necessary 
resources  and  contributing  to  agenda  setting  and  co-chairing.  Countries  associated  to  the 
Framework Programme will be invited to participate as observers, provided this is foreseen in 
the respective association agreements. 

The Commission will: 

14. Building  on  the  lessons  learned  from  the  Horizon  Europe  Strategic  Planning  process, 
develop  with  Member  States  an  approach  to  set  and  implement  strategic  priorities  that 
deliver on the ERA agenda through the European Forum of Transition and by means of a 
Pact for R&I in Europe.  

5.  THE GEOPOLITICAL DIMENSION OF ERA 

International  cooperation  through  ERA  will  take  into  account  the  EU  external  relations 
priorities 55 contributing to the Sustainable Development Goals and and to the implementation 
of the Next Generation EU by supporting a Stronger Europe in the World.  Cooperation will 
be based on multilateralism, reciprocity and purposeful openness, combined with strategically 
targeted actions with partners on the Green Deal, health and the digital transition. In line with 
the  model  of  open  strategic  autonomy,  it  will  protect  and  promote  EU  vital  interests  and 
sovereignty in strategic technology areas and critical infrastructures based on common values 
and supporting a global level playing field.  

Association  to  the  EU  Framework  Programmes  is  the  strongest  form  of  international 
cooperation in the field of R&I. The Associated Countries are an integral part of the ERA and 
are  already  contributing  to  its  goals.  Creating  partnerships  globally,  in  order  to  enhance 
knowledge  sharing  and  skills  as  well  as  research  and  innovation  capacities,  without 
accelerating  brain  drain,  will  be  key,  particularly  for  the  benefit  of  young  people.  The 
European Neighbourhood deserves specific attention. Some of the Western Balkan countries 
are  already  part  of  the  ERA,  while  for  others,  integration  in  ERA  will  help  them  transition 
towards  a  performant  R&I  system,  paving  the  way  to  their  accession  to  the  EU.  For  the 
Horizon  Europe  programme  the  Commission  has  proposed  to  broaden  the  possibility  for 
association  towards  countries  sharing  common  values,  also  beyond  the  EU’s  geographical 
proximity. 

6.  CONCLUSION  

Europe has responded to the tremendous challenges it faces by setting itself ambitious goals. 
The Commission, Member States and R&I stakeholders have an important role to play at this 
crucial  moment  to  ensure  a  recovery  that  responds  to  people’s  needs.  Building  European 
resilience based on a greener, digitally empowered, competitive and more sustainable Union, 

55 Such as the new Comprehensive Strategy with Africa. 

18 

 
 
                                                           
requires joint efforts and global leadership in science and innovation, as well as engaging and 
empowering citizens. 

A new, deeper and broader European Research Area will work with Member States to achieve 
the  four  key  strategic  objectives:  prioritising  investments  in  R&I,  improving  access  to 
excellence, translating R&I results into the economy and deepening policies that promote the 
free circulation of knowledge.  

Furthermore,  the  European  Research  Area  and  the  European  Education  Area  will  work 
together to achieve a new level of ambition in which education, research and innovation are 
steered in the same direction to underpin knowledge as a foundation for democratic, resilient 
and  inclusive  societies.  This  is  essential  if  Europe  is  to  remain  globally  competitive  and 
innovative while, at the same time, true to its common values in creating a more equitable and 
sustainable world. 

Europe  looks  ahead  and  paves  the  way  to  the  next  generation  by  offering  an  excellent 
knowledge-based  society  with  top  institutions  and  talent  while  promoting  inclusiveness  and 
democratic values. 

19 

 
 
 
 
APPENDIX - ERA Roadmap 

Key actions 

Date 

1. 

2. 

3. 

4. 

Re-affirm the 3% GDP EU R&I investment target and propose a new EU 
1.25%  GDP  public  effort  target  to  be  achieved  by  Member  States  by 
2030  

Starting 
in 2021 

Launch of ERA  Forum  for Transition,  to  support Member States in  the 
coordination and prioritisation of national R&I funding, and reforms  

Starting 
in 2021 

Support Member States who are below the EU average R&D investment  
over GDP to increase their total investment in R&D by 50% in the next 5 
years 

Starting 
in 2021 

Set  up  a  dedicated  work  stream  in  the  ERA  Forum  for  Transition  for 
access to excellence and support less performing R&I Member States in 
increasing their number of highly cited publications by one-third over 5 
years 

Starting 
in 2021 

5.  Develop common industrial technology roadmaps  

6.  Develop  and  test  a  networking  framework  in  support  of  Europe’s  R&I 
ecosystems,  building  on  existing  capacities,  in  order  to  strengthen 
excellence  and  maximise  the  value  of  knowledge  creation,  circulation 
and use 

7.  Update and develop guiding principles for knowledge valorisation and a 

code of practice for the smart use of intellectual property 

8.  New toolbox in support of researchers career development 

9. 

Launch,  via  the  Horizon  Europe  Programme,  a  platform  of  peer-
reviewed  open  access  publishing;  analyse  authors’  rights  to  enable 
sharing  of  publicly  funded  peer-reviewed  articles  without  restriction; 
Ensure  a  European  Open  Science  Cloud  that  is  offering  findable, 
accessible, interoperable and reusable research data and services (Web of 
FAIR); and incentivise open science practices by improving the research 
assessment system. 

10. 

Implement the EFSRI White Paper and establish an updated governance 
structure for research and technological infrastructures 

By the 
end of 
2022 

By 2022 

By the 
end of 
2022 

By the 
end of 
2024 

Beginning 
in 2021 

By the 
end of 
2021 

20 

 
 
 
 
 
11.  Develop  a  roadmap  of  actions  for  creating  synergies  between  higher 

2021 

education and research, notably building on the dual role of universities 

12.  Develop inclusive gender equality plans with Member States and 
stakeholders in order to promote EU gender equality in R&I  

13.  Organise  with Member States and stakeholders Europe-wide 
participatory citizen science campaigns to raise awareness and 
networking 

Starting 
in 2021 

Starting 
in 2021 

14  Develop with Member States an approach to set and implement strategic 

2021 

priorities that deliver on the ERA agenda through the ERA Forum for 
Transition and by means of a Pact for R&I in Europe. 

21