Source: EURLEX
Language: en
Format: md

*|*

# 52014DC0575

**COMMUNICATION FROM THE COMMISSION TO THE COUNCIL AND THE EUROPEAN PARLIAMENT European Research Area Progress Report 2014 /\* COM/2014/0575 final \*/**

  

1.
INTRODUCTION

The European Research Area: key
driver of knowledge generation

The
objective of the European Research Area (ERA) was endorsed by the March 2000
European Council and is anchored in the 2007 Treaty of Lisbon. Its aim is to
achieve 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”[1].

In
2011, the European Council called on those involved at EU, Member State and stakeholder level to address the remaining gaps and complete ERA by 2014 in
order to create a genuine single market for knowledge, research and innovation.

The
2012 Communication on 'A Reinforced European Research Area Partnership for
Excellence and Growth' (hereafter ERA Communication)[2] identified
five priorities for action: more effective national research systems, optimal
transnational co-operation and competition, an open labour market for
researchers, gender equality and gender mainstreaming in research, and optimal
circulation, access to and transfer of scientific knowledge including via
digital ERA. Complementing this partnership, in 2012 the Commission also
adopted two further Communications entitled 'Towards better access to
scientific information: Boosting the benefits of public investments in
research'[3]
and 'Enhancing and focusing EU international cooperation in research and innovation:
a strategic approach'[4].

The
ERA principles are fully integrated in the Europe 2020 Innovation Union
flagship initiative to foster Growth and Jobs.

Building
on the 2013 ERA Progress Report, the present report summarises progress made
towards completing ERA and the accompanying staff working document Facts and
Figures (hereafter 'Facts and Figures') provide a more detailed
analysis.

Given
the internal market dimension of ERA and its impact on investments in research
and innovation, the present report also responds to the Strategic Agenda for
the Union in times of Change, agreed by Member States at the June 2014 European
Council meeting, in particular to its priority "A Union of jobs, growth
and competitiveness".

2. KEY
FINDINGS FROM THE SECOND ERA PROGRESS REPORT

The
2014 Progress Report provides an overall picture of progress made in the ERA
priorities in all Member States and some Associated Countries[5]. The
2013 Progress Report presented an overview of the political context, steps
taken and first achievements. The 2014 Progress Report presents the new and
updated measures adopted at national level, and for the first time presents and
compares them with the implementation of ERA actions at national level by
research funding and research performing organisations.

2.1.
More effective national research systems

Improving
the quality of research and innovation strategy development and the
policy-making process is one of the three reform axes identified by the
European Commission in its Communication on “Research and innovation as sources
of renewed growth” [6]
to raise the quality of public spending on research and innovation.
The Facts and Figures show that national
research systems have become more aligned to the ERA priorities. Virtually, all
Member States, have adopted a national strategy on research and innovation.

There
are still big differences between Member States in the way research funding is
being allocated. While competitive project-based funding occurs in all Member
States, the extent of it varies significantly between countries.[7] Peer
review is practiced in all Member States. However, there is an absence of
agreed standards on the core principles of international peer review.

Linking
institutional assessment of performance with institutional funding is also a
powerful tool for promoting competition in research and increasing the
effectiveness of national expenditures. Indeed, while 12 Member States report
they have policies in place to allocate institutional funding on the basis of
performance, this seems to be more widely implemented in practice, namely by
the funding agencies in 16 Member States[8].

2.2.
Optimal transnational cooperation and competition

Jointly
addressing grand challenges

Transnational
cooperation at programme level between Member States is increasing and forms
part of the national strategies of 16 Member States. Joint Programming
Initiatives (JPIs) are increasingly helping to align national programmes and
activities to common agendas at EU level addressing societal challenges.
Several Member States have started to develop national action plans, roadmaps
and strategies in the domain of the JPIs they participate in, with a view to strengthening
their commitment to the Strategic Research Agendas of JPIs.

Strategic
attention to international cooperation is also increasing on the political
agenda. Nine Member States have made specific provision for fostering
scientific international cooperation.

Research
Infrastructures

For
the development and implementation of research infrastructures, 22 Member
States have adopted National Research Infrastructure Roadmaps. Five of them
have been updated since 2013. However, national roadmaps do not consistently
indicate the links with the European Strategy Forum on Research Infrastructures
(ESFRI) Roadmap and the financial commitments to the development of Research
Infrastructures identified by ESFRI and other world-class Research
Infrastructures.

Completion
and launch of the construction of at least 60% of the ESFRI Roadmap Projects by
2015, is within reach[9].
The latest prioritisation of the ESFRI Roadmap Projects was endorsed by the
Competitiveness Council in May 2014 and will allow Member States and the
Commission to give additional support towards reaching this objective.

The
entry into force of the European Research Infrastructure Consortium (ERIC)
Regulation in 2009 allowed for the joint establishment and operation of seven research
infrastructures of European interest. The prospect of reaching about 15 ERICs
by 2015 indicates that momentum is building up.

2.3.
Open Labour Market for Researchers

While
the number of doctoral candidates in the EU continues to grow, evidence
suggests they are not equipped with the right skills to work outside academia.[10] The
implementation of the 2011 principles for innovative doctoral training by Member States and institutions helps researchers acquire new skills and enhances their
employability, particularly outside academia. With 45% of researchers in the EU
in the private sector, only 10% of doctoral candidates report receiving
training in intellectual property rights and entrepreneurship.[11] Some
Member States have made use of available structural funds to co-finance the new
doctoral education structures. Furthermore, open recruitment enables research
institutions to hire the best researchers at all career stages, and fosters
effective geographical mobility. The research impact of mobile researchers is
nearly 20% higher than that of those who never moved abroad[12].

Evidence
shows that openness and innovation go hand in hand, i.e. countries with open
and attractive research systems[13]
are strong performers in terms of innovation.

Source:
DG Research and Innovation calculations based on Innovation Union Scoreboard
2014

Member
States[14]
agreed to set up a working group in cooperation with stakeholders in order to
develop a practitioner's toolkit on open, transparent and merit-based
recruitment based on good practice. Data
shows that a few Member States, such as Austria, Italy and Poland, have introduced national legislation stipulating that any vacancy in a public
research institution must be published on an international research jobs
website, e.g. EURAXESS Jobs[15].
More than 40,000 research jobs in over 7,500 institutions were posted on EURAXESS
Jobs in 2013, with collaborations between leading online research job portals. However,
there continue to be wide disparities in open recruitment practices across
Member States. See chart below.

Share
of university-based researchers satisfied with the extent to which research job
vacancies are publicly advertised and made known by their institution, Europe,
2012 (%)

Source:
MORE2 Study

2.4.
Gender equality and gender mainstreaming in research

Gender
issues in research and innovation have gained increased recognition on policy
agendas at national, European and international levels, as well as within
research organisations. 'Supply side' initiatives, targeting individual women
scientists, are progressively complemented by 'demand side' policies targeting
institutional change in research organisations with longer-term structural
effects. Specific laws and/or national strategies on gender
equality in public research have been adopted in over half of Member States.
The Facts and Figures shows significant correlations between measures
taken at research performing organisation level, including gender equality
plans, and the existence of national laws, strategies and/ or incentives to
foster institutional change[16].

However,
the pace of change is too slow and there are still many disparities among
countries. The persistence of gender bias in careers, of gender imbalance in
decision-making roles, and the lack of a gender dimension in research
programmes remain common challenges. There is a need for more joined efforts and
systemic strategy aiming at longer-term institutional change in the European
research system.

2.5.
Optimal circulation, access to and transfer of scientific knowledge, including via
digital ERA

Open
access to publications and data

Open
access to research results publications and data is backed by a growing number
of universities, research centres and funding agencies across Europe. The
stakeholder organisations have been very active through the ERA Stakeholders Platform
set-up in response to the 2012 Communication. So far 20 Member States have
taken specific measures to support open access to research publications but
only five have specific provisions on open access to research data. Particular attention
has been given by Member States, in the framework of ERAC, to the re-use of
research data, where a number of real and perceived barriers still exist,
including those of a legal, technical, financial, trust-related and
socio-cultural nature.

However,
national policies, initiatives and practices are still fragmented and some of
them do not properly reflect the EU definition of Open Access[17].

Knowledge
transfer and open innovation

Member
States are continuing to develop and render operational national knowledge
transfer strategies. This is done mostly through: improved recognition and
professionalisation of knowledge transfer activities, a strengthened role for
knowledge transfer offices, and through measures to facilitate interaction and
development of strategic partnering and joint research agendas between academia
and industry, including SMEs. This enables a better uptake of research results
in the market. Although there are strong policy support mechanisms for
knowledge transfer in place in most Member States, this is not reflected by
financial backing in half of the Member States.

Digital
ERA

Infrastructures
to guarantee access to and uptake of knowledge by all for Open Access to
publicly funded research results are not appropriately developed across Europe. In the interests of resource efficiency, Member States should accelerate efforts to
join forces and implement joint strategies building on existing work so as to
make the most of the current investments in institutional, national and
disciplinary-based data infrastructures.[18]
This could also include efforts to encourage non-commercial Open Access
publishing options.

2.6.
Cross-cutting issues: mainstreaming of international dimension in all ERA
priorities

It
is important that in ERA's further development an international dimension is
mainstreamed across all of its priorities. This way Europe will cement its
place as a global research powerhouse, attract and retain the best researchers,
maintain its competitiveness and enable future cooperation with global research
partners.

2.7.
ERA Compliance

There
is no single path to achieve ERA. The pace and level of ERA implementation very
much depends on the national context and is fostered by targeted policies at
Member States level.

Implementation
of ERA varies between research performing organisations. The Facts and
Figures show data for organisations that are grouped together according to
their ‘compliance’ with the ERA actions[19]
proposed in the 2012 Communication. Two main clusters have been identified: the
‘ERA compliant’ organisations, having already implemented most of the ERA
actions, and the ‘limited ERA compliant’ organisations, which have not
implement the ERA actions or only in a limited way. The analysis reveals that
ERA compliant institutions predominate in most Member States, with the
exception of seven countries (where the proportions are similar or where
limited ERA compliant organisations predominate). Small organisations[20] appear
to be less ERA compliant than big organisations[21].

Moreover,
the level of implementation of the different ERA actions varies between both
groups. For example, the graph below shows that within the group of ERA
compliant organisations, almost 90% of them frequently include minimum
requirements when they publish their vacancies, while this is done by less than
50% of organisations with limited ERA compliance. The analysis presented in the
Facts and Figures also shows that even ERA compliant organisations
should make more effort. For example, only 50% of the ERA compliant
organisations frequently advertise their vacancies in EURAXESS.

Share
of organisations implementing some of the ERA actions in the two most important
groups of organisations

Source
2014 ERA survey

Finally,
researchers in ERA compliant organisations tend to produce a higher number of
publications and patent applications, which are recognised as contributing
factors to growth and jobs.

2.8.
ERA Completion

The
ERA Communication identified four conditions for the completion of ERA: Member State reforms in all ERA priorities, speedy implementation of the priorities
outlined in the Communication by research stakeholders, increased support from
the Commission to national ERA policies and transparent monitoring.

Member
States are the primary actors to introduce the
ERA reforms at national level and support their implementation by research
funding and research performing organisations. They are gradually introducing the
ERA reforms into their annual National Reform Programmes (NRPs) with 19 NRPs presenting
ERA actions in 2014, compared to only 11 NRPs in 2013. Within the European
Research and Innovation Area Committee (ERAC), Member States have undertaken to
work on a common reporting structure as of 2014 in the context of the European Semester
for the years to come with a view to consistently addressing the ERA priorities.
At the 2014 February Competitiveness Council Member States committed to developing
an ERA Roadmap at European level by mid-2015 that would guide national
implementation of the ERA reforms. Some Member States have started developing
national ERA roadmaps to accelerate the implementation of ERA and ensure a
globally competitive and attractive Europe.[22]

The
stakeholder organisations are key players in
progressing on the ERA priorities based on the Memorandum of Understanding and
Joint Statement as well as through the Stakeholders Platform. They promote ERA among
their members.[23]
An example of endorsement of ERA objectives by stakeholders is the
encouragement given by the Stakeholders Platform to its members to actively
participate in the Human Resources Strategy for Researchers (HRS4R) process.

At
European level, the Framework Programmes have
been mobilised to implement ERA policy as well as to establish the ERA building
blocks. The Commission supports Member States and research stakeholders in
these efforts through numerous actions such as the ERA-Net Cofund scheme, Art.
185 initiatives, Joint Programming, EURAXESS and cross-cutting issues. For
example, the Horizon 2020 Model Grant Agreement puts an obligation on the grant
beneficiary to make every effort to implement the European Charter for
Researchers and Code of Conduct for the Recruitment of Researchers[24]. Additionally,
the grant beneficiaries shall take all measures necessary to promote equal
opportunities between men and women and to ensure gender balance at all levels[25].

The
European Commission, in close collaboration with the Member States and with the
contribution of the Stakeholders Platform, has developed the ERA Monitoring
Mechanism (EMM). The EMM is becoming an essential
component in ERA policy-making. This
enables us to monitor the degree to which Member States, research funders and
institutions are supporting and implementing ERA.

The
efforts of the ERA Partnership actors up to now have proven to be successful
and the conditions for the completion of ERA are now in place. However, the
completion of ERA, much like the internal market, is a gradual process. Commitment
on the part of all ERA Partnership actors will be a key factor in speeding up
the pace of implementation of ERA which currently varies at Member State, research funding and research performing levels. It depends very much on the
quality of actions taken by those actors to effectively deliver on their
commitments with tangible and measurable benefits for society.

3. FUTURE CHALLENGES

Implementation
of ERA

Further
implementation efforts are needed. The ERA Roadmap at European level will be
developed by mid-2015. It will contain guidelines and key measures in order to
address the remaining bottlenecks. It will be instrumental in guiding ERA implementation
nationally, while acknowledging diversity of national research systems. Member
States should pay greater attention to ERA when preparing national research and
innovation strategies, implemented by tailor-made ERA national action plans and
initiatives. Different options might be considered to foster the development of
ERA, including the legislative options if need be, based on the new ERA-related
provisions in the Treaty on the Functioning of the European Union.

In
addition, the Commission will launch a debate with Member States on the best
possible level of coordination and alignment of national research strategies
and pooling of funding in the domains of the societal challenges in order to
increase impact at EU level. Possible outcomes could include defining a level
of national funding to be spent within a coordinated European framework and
measures to increase the number of countries committed to Joint Programming.

In
order to deliver essential sustainable European Research Infrastructures, there
is a need for further synchronisation of national and European roadmaps on
research infrastructures and the related pooling of funding.

Finally,
international cooperation should be enhanced as a cross-cutting priority of the
ERA actions. As stated in the International Cooperation strategy for research
and innovation in its approach towards EFTA countries, EU enlargement countries
and countries covered by the European Neighbourhood policy, the focus will be
on fostering integration into, or alignment with ERA.

Involvement
of new stakeholders

National
and European stakeholders should be properly involved in the development of
national ERA action plans, and hence in the implementation of ERA, in order to
ensure their full commitment to the values and benefits of ERA. The
Stakeholders Platform is a good instrument, contributing to ERA policy-making
and implementation. It could be expanded to include more research players. The
future success of ERA will depend on the buy-in and active mobilisation of researchers
and stakeholders, so that research reflects society's needs and challenges.

Maximising
the benefits of research and innovation activities for society

There
is a need for tighter integration of research and innovation objectives in many
related policies at European and national levels. ERA is focused on maximising
the potential of Europe's open research systems and fostering innovation. By concentrating
on research sectors, Europe can provide the framework for regions to specialise
in their areas of expertise. This pan-European approach to smart specialisation
will lead to a more consolidated research strategy where the best minds are
pooled together to produce excellent research. Cross-border regional approaches
help spread excellence in research and increase ERA compliance.

Achieving
a fully functioning ERA must be a key goal of future research and innovation
policy initiatives. This should acknowledge the need for science to deliver
sustainable solutions to societal challenges, the growing demand for research
integrity and accountability, and the drive towards a new mode of conducting
and sharing research, i.e. Science 2.0.

Continued
support for ERA by the European Commission

The
Commission will continue to support Member States and research stakeholders in
their efforts to strengthen ERA, by providing information on existing good
practices. It will set up a policy support facility under Horizon 2020 and
organise mutual learning seminars. It will ensure that Horizon 2020 supports
the functioning of ERA through both targeted and cross-cutting measures. A
clear example of EU support to ERA is the forthcoming Retirement Savings
Vehicle for European Research Institutions (RESAVER)[26], which,
by removing barriers to researchers’ mobility and ensuring safe and sustainable
pensions for research professionals, will contribute to the establishment of a
European labour market for researchers.

Strengthening
ERA monitoring

The
EMM is based on indicators and data gathering mechanisms, agreed with the
Member States. ERA monitoring has proved useful in measuring progress made on
the ERA policy actions. However, the exercise has its limits, given the
voluntary nature of surveys, which limits the use of results for policy making.
Further work is needed to identify and fine-tune essential indicators of
progress in ERA and potentially expand the scope of EMM.

4.
CONCLUSIONS

The
report confirms that the ERA partnership has made good progress in delivering
ERA. The conditions for the completion of ERA identified in
the 2012 ERA Communication are now in place:

Member States increasingly adopt
measures in support of ERA, and reflect them in their national reform
programmes.
The Stakeholder Organisations
continuously support the ERA agenda.
The EU has embedded ERA in the
European semester, provides substantial funding for ERA measures and
promotes open recruitment, open access to publications and data as well as
gender equality through the Horizon 2020.
A
solid monitoring mechanism has been established and is delivering data on levels
of progress. It is an essential component in ERA policy-making.

The
completion of ERA, like the internal market, remains a gradual process. However,
more efforts are needed to make ERA fully operational and, more than ever, it
is now up to Member States and research stakeholders to implement the necessary
ERA reforms and make ERA work.

Complying
with ERA is associated with increased performance:

Open and attractive research
systems are more innovative

·
ERA compliant institutions produce a
higher number of publications and patent applications per researcher.

There
is no single path to achieve ERA. In particular:

ERA tends to be  more effective
when national measures are in place and supported by research funding and research
performing organisations.
Small research organisations appear
to be less ERA-compliant than big research organisations.

[1]                      COM(2012)392 final

[2]                      idem

[3]                      COM(2012) 401 final

[4]                      COM(2012) 497

[5]                      Namely Switzerland, Norway, Iceland, Serbia, Montenegro and Turkey

[6]                      COM(2014) 339 final

[7]                      Facts and Figures report, Section ‘Competition for public funding’

[8]                      Furthermore, almost 70% of institutions represented in the 2014 ERA
Survey belong to organisations whose funding is subject to an institutional
assessment

[9]                      According to commitment 5 of the Innovation Union Flagship
initiative

[10]                    MORE II study
http://ec.europa.eu/euraxess/pdf/research\_policies/more2/Final%20report.pdf

[11]                    MORE II study. It is increasingly accepted that today’s doctoral
candidates are trained not only for an academic career but will increasingly
build a career outside academia. This requires the ability to adapt to another
environment, the development of new skills as well as receiving the right
training.

[12]                    Facts and Figures, section ‘Open, transparent and merit based
recruitment of researchers’

[13]                    Based on the following three Innovation Union Scoreboard indicators:
international scientific co-publications, scientific publications among top 10%
most cited, non-EU doctorate students.

[14]                    In the course of a European Research Area and Innovation Committee
(ERAC) mutual learning seminar organised in 2014.

[15]                    jobs.euraxess.org

[16]                    Facts and Figures report, Section ‘Gender equality and gender
content in research’

[17]                    Open access can be defined as the practice of providing on-line
access to scientific information that is free of charge to the reader. In the
context of R&D, open access typically focuses on access to 'scientific
information', which refers to two main categories: Peer-reviewed scientific
research articles (published in academic journals); Scientific research data
(data underlying publications and/or raw data).

[18]             COM(2012) 401 final

[19]                    The actions considered are not correlated. Only actions
differentiating the implementation of ERA were included in the analysis.

[20]                    i.e. below 300 researchers for universities and 100 researchers for
research performing institutions

[21]                    Facts and Figures report, Section ‘Why ERA?’

[22]                    The first of these roadmaps has been adopted by the Federal
Government of Germany on 16 July 2014.

[23]             See for example Science Europe Dec 2013 Statement on
ERA: http://www.scienceeurope.org/uploads/PublicDocumentsAndSpeeches/120717\_Science\_Europe\_ERA\_Statement.pdf
and LERU May 2014 briefing paper on ‘An ERA for a change’: http://www.leru.org/files/publications/BP\_ERAOFCHANGE\_FINAL.pdf

[24]                    Article 32 of the General Grant Agreement. http://ec.europa.eu/research/participants/portal/desktop/en/funding/reference\_docs.html#h2020-mga

[25]                    Article 33 the General Grant Agreement

[26]             http://ec.europa.eu/euraxess/index.cfm/rights/resaver

[Top](#document1)