Source: EURLEX
Language: en
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# 52014SC0280R(01)

**COMMISSION STAFF WORKING DOCUMENT EUROPEAN RESEARCH AREA FACTS AND FIGURES 2014 Accompanying the document COMMUNICATION FROM THE COMMISSION TO THE COUNCIL AND THE EUROPEAN PARLIAMENT European Research Area Progress Report 2014 /\* SWD/2014/0280 final/2 \*/**

  

1. 
MORE EFFECTIVE NATIONAL SYSTEMS

  
1.1.   Research and innovation system

In
Austria, research and innovation (R&I) policies are the responsibility of
the federal level and regional strategies, complement research, technological
development and innovation (RTDI) policies and activities on national and EU
levels. Coordination between the federal and regional level is done under the
RTDI platform Austria (‘Plattform FTI-Österreich’) in the form of a semi-annual
conference. The main policy makers in the public research and development
(R&D) domains are: the Ministry of Science, Research and Economy (BMWFW)
and the Ministry of Transport, Innovation and Technology (BMVIT). The BMWFW has
been taking over the tasks of the former Ministry of Science and Research
(BMWF) and the former Ministry of Economy, Family and Youth (BMWFJ) (all
references adapted to the new title). The Council for Research and Technology
Development (Rat für Forschung und Technologieentwicklung) is the federal
government’s strategic independent scientific and technological advisory body
for questions related to R&D policy. It works with the ministries on
recommendations for the medium-to long-term policy orientation.

The
main funding agencies are the Austrian Science Fund (FWF), the Austrian
Research Promotion Agency (FFG) and the Austria Business Service (AWS). The FWF
covers basic research and is under the responsibility of and receives its
funding from the BMWFW. The FFG (under BMVIT and BMWFW) provides funds
dedicated mainly to applied research and thematic oriented R&D programmes.
The FFG partners with regions to complement their funding via Structural Funds.
AWS as a State-owned banking institution (under BMWFW and BMVIT) funds mainly
innovation projects in companies, supports seed financing and start-ups.

The
Austrian Academy of the Sciences (ÖAW) is Austria's largest non-university
R&D organisation.

The
Austrian Federal Government strategy for research, technology and innovation
‘Becoming an Innovation Leader: Realising Potentials, Increasing Dynamics,
Creating the Future’ was published in March 2011. It introduces a coordinated
vision and strategy across all ministries in charge of RTDI and identifies new
challenges. Some thematic priorities can also be extracted: climate change, resources
and quality of life and demographic change. The strategy has clear links to the
European Research Area (ERA) key priorities and plans support measures under
all of them. It also mentions international cooperation among Austria’s
priorities.

In
2011, a Task Force of senior officials was also put in place to coordinate
activities from the strategic perspective and monitor the implementation of
this strategy. Nine inter-ministerial working groups were established, among
those one on European dimension of research agendas, one on research
infrastructure, one on knowledge transfer and one on international cooperation.
An ‘Austrian EU Action Plan’ has been developed in cooperation by BMWFW and
BMVIT. The action plan proposes more than 70 measures to optimise Austria's
research, technology and innovation (RTI) system regarding Horizon 2020, ERA,
the Innovation Union and the overall Europe-2020 strategy. It is formally up to
the government to decide which of the proposal will be implemented.

In
recent months, Austria established an ERA Observatory to bundle strategic
information, advice and coordination under a common roof. A high-level advisory
body on European research and innovation policies, called ‘ERA Council Forum
Austria’ under the chair of former ERC President Helga Nowotny, started its
work in March 2014. With the aim of improving coordination among ministries and
stakeholders, an ‘ERA Policy Forum Austria’ has been created. It should
increase awareness and consistency in the way Austria addresses sectoral
policies with high impact on RTI, in particular from a European perspective.
The Council for Research and Technology Development has the task of monitoring
the progress of the strategy’s implementation and reports to the Parliament
(National Council) on an annual basis.

In
terms of R&I funding, the Government Budget Appropriations or Outlays for
Research and Development (GBAORD) in Austria represented EUR 294 per inhabitant
in 2012 almost twice as much as the EU28 average (EUR 179). In 2013, GBAORD per
inhabitant was EUR302. In 2012, total GBAORD corresponded to 1.6% of total
government expenditures and 0.8 % of Gross Domestic Product (Eurostat).

The
analysis of the evolution of GBAORD in the period during the economic crisis
(2007-2012) shows that in nominal terms, the growth rate of total GBAORD in
Austria has been higher than the rate of growth of total EU GBAORD. Finally,
GBAORD as a share of GDP has evolved positively in Austria even when it
regressed at EU28 level.

  
1.2.   Project-based funding applying the core principles of international peer
review

Project-based
public R&D funding is organised within thematic and open bottom-up
approaches, by both the FWF and the FFG. Competitive structural and thematic
R&D programmes have become increasingly important in the last years.

The
FWF mainly funds academia. Its total grant portfolio was EUR195.2 million for
2011 and EUR196,4 million for 2012. In 2013, the grant budget was EUR202,6
million. The FFG supports business R&D and cooperative research. More than
60 % of competitive public research funds are performed by Austrian businesses.

In
2011, major steps were taken to simplify the implementation of programme
management by Austrian public funding administrations (Ministries, agencies
etc.): calls for proposals were integrated into annual schedules; common
guidelines for similar types of projects have been issued and an agreement was
reached to treat similar projects in the same way (by BMVIT, BMWFW and FFG).

Indicator || Level/cluster || Value || Year || Source

Share of responding funders' total budget allocated as project-based funding || National level || 49 % || 2013 || ERA survey 2014

Share of responding funders' total budget allocated as project-based funding || EU level || 66.2 % || 2013 || ERA survey 2014

The
share of research funders in Austria who responded to the survey and support
project-based funding is lower than the EU average.

For
the two main funding agencies, FWF and FFG, overall principles for the
application, evaluation and selection procedures are detailed in the
FTE-Richtlinien (2007). Specific guidelines for the Austrian Research Promotion
Agency are regulated in the legal base FFG-Richtlinien (2008). International
peer-review principles are not mentioned as such, but results from the
implementation of the guidelines by both agencies. The FWF exclusively uses
international peer-review for the applications. Project selection criteria and
procedures adhere to principles of excellence, impartiality, transparency,
appropriateness for purpose, efficiency and speed, confidentiality, and ethical
and integrity considerations. The FFG applies specifically-tailored evaluation
criteria, according to the needs of the programme. The FFG-law stipulates that
all FFG-funding decisions have to be taken upon the principles of transparency,
impartiality, and fairness.

  
1.3.   Institutional funding based on institutional assessment

Public
funds in Austria are more often distributed via institutional than
project-based modes, roughly accounting for two thirds and a third, respectively,
of total funding. National public funding for the higher education sector is
mostly institutional. It is regulated in the 'Universitätsgesetz 2002' and
based on performance agreements at university level and less so for public
research institutes. A revision of the universities financing legislation (the
University Structural Funds Ordinance) in January 2013 further strengthened the
trend towards institutional funding by allocating additional money to it for
2013-2015. Institutional funds destined for universities are a combination of
three categories: funds for teaching, for research and for infrastructure. A
two-year basis for calculation applies. Funds allocated for research are based
on the number of students, a competitively-oriented research indicator (based
on, for example the number of PhDs, project volume financed by the FWF, project
volume financed by industry or other sources) and a strategic budget depending
on the societal objectives of the universities (for example, the share of women
in PhD programs, participation in outgoing mobility programs, number of foreign
graduate students). Full implementation of the institutional funding model is
foreseen for the performance contract period 2019-2021, for period 2016-2018 up
to 60 % of university funding will be based upon this model.

The
ÖAW, which underwent structural reforms in 2012, has concluded with BMWFW a
multi-annual performance agreement that comprises the period of 2012-2014, with
a total budget of EUR224 million for the three-year period.

Higher
Education Institutions (HEI) have to undergo external quality assurance every
seven years. In March 2012, under the 'Quality Assurance Framework Law' the
Agency for Quality Assurance and Accreditation Austria was established. This
agency is responsible for external quality assurance for all types of
universities. Later in 2012, the Platform Research & Technology Policy
Evaluation (FTEVAL) published its new standards for evaluations in the field of
research, technology and innovation, with impact on future institutional
assessments and general evaluation practice in Austria in medium- and
long-term.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders' total budget allocated as institutional funding based on institutional assessment and/or evaluation || National level || 15.3 % || 2013 || ERA survey 2014

Share of responding funders' total budget allocated as institutional funding based on institutional assessment and/or evaluation || EU level || 24 % || 2013 || ERA survey 2014

The
share of research funders in Austria who responded to the survey and support
institutional assessment for the allocation of institutional funding is lower
than the EU average.

2.  
TRANSNATIONAL COOPERATION

  
2.1.   Implementing joint research agendas

The
country is involved in transnational cooperation. It supports also bilateral
and multilateral initiatives.

Austria’s
trans-national and international priorities are included in the overall Federal
Government strategy for research, technology and innovation 'Becoming an
Innovation Leader: Realising Potentials, Increasing Dynamics, Creating the
Future'.

Austria
is also interested in improving the general standards for cross-border research
coordination.

The
new workprogramme of the Austrian Federal Government for 2013-2018 states under
the research chapter the will to strengthen trans-national and international
cooperation by establishing of RTI-Attachés and additional Offices of Science
and Technology Austria (OSTA) in priority countries in and outside Europe.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders' total budget allocated to transnationally coordinated R&D || National level || 2.1 % || 2013 || ERA survey 2014

Share of responding funders' total budget allocated to transnationally coordinated R&D || EU level || 4.1 % || 2013 || ERA survey 2014

Share of responding funders' research and development budget dedicated to jointly defined research agendas with non-national EU organisations || National level || 1.9 % || 2013 || ERA survey 2014

Share of responding funders' research and development budget dedicated to jointly defined research agendas with non-national EU organisations || EU level || 1.7 % || 2013 || ERA survey 2014

The
share of responding funders’ total budget in Austria allocated to
transnationally coordinated R&D is lower than the EU average.

The
share of responding funders’ research and development budget in Austria
dedicated to jointly defined research agendas with other EU organisations is
higher than the EU average.

Cooperation
between institutions of Member States, Associated Countries and Third Countries
is fostered by the Framework Programme (FP). In the seventh Framework
Programme, Austria's total share of participation is 3 % and the country
received 3 % of total EC contribution. FP funding represents EUR130 per
inhabitant (EU average EUR72 per capita) for the period 2007-2013 and 2,9 % of
the Gross Domestic Expenditures on R&D (GERD) for the period 2007-2011
(last available data) (EU average 3 % of GERD for the same period).

Concerning
joint programming initiatives, the country participates in eight of the ten
on-going initiatives, coordinating one of them. These initiatives are
Neurodegenerative diseases (Alzheimer), Food Security, Agriculture and Climate
Change (FACCE), Cultural Heritage and global change: a new challenge for Europe,
Healthy Diet for Healthy Life, The Demographic change (More Years, Better
Life), Connecting Climate Knowledge for Europe (Clik'EU), Water Challenges for
a Changing World and Urban Europe - Global Challenges, Local Solutions.

In
the National Reform Programme 2014, Austria states that it plans to 'devote
particular effort to the alignment of European and national strategies within
the framework of those initiatives.'

In
terms of programmes undertaken jointly by several Member States (so called
Article 185 initiatives), the country was involved in five programmes. In
Horizon 2020, the country is already involved in all the four existing
initiatives.

ERA-NETs
facilitate the coordination and collaboration of national and regional research
programmes, in particular the preparation and implementation of joint calls for
transnational research proposals between national and/or regional programmes.
The country also participated in a total of 87 ERA-NETs, of which 22 are
currently still running. The country also has participated in 11 ERA-NET Plus
actions - of which seven are still running - in areas with high European added
value and additional EU financial support topping up their joint call for
proposals.

Concerning
research agreements with EU Member States and/or Associated Countries, Austria
has at least 12 bilateral agreements with Albania, Bulgaria, Croatia, Czech
Republic, France, Hungary, Poland, Romania, Slovenia, Slovakia, Spain, FYR of
Macedonia. Bilateral agreements, whether with MS/AC or third countries          do
not only include the federal government level, but also cooperation at
university or public research organisations (for example ÖAW) levels.
Programmes serve to fund bilateral collaborations in cases where the two
national subprojects are so closely connected that they may only be performed
in conjunction with one another.

Austria
participates in the D-A-CH multilateral agreement between Germany, Austria and
Switzerland.

Additionally,
the country participates in the EU Strategy for the Danube Region (EUSDR), a
multilateral (and macro-regional) strategy that has been developed by the
Commission in cooperation with 11 countries in the Danube region (Austria,
Bosnia and Herzegovina, Bulgaria, Croatia, Czech Republic, Germany, Hungary,
Moldova, Montenegro, Romania, Serbia, Slovakia, Slovenia and Ukraine). It
comprises 11 priority areas (PA), PA 7 pertaining to the knowledge society and
PA 2 dealing with sustainable energy issues.

  
2.2.   Openness for international cooperation with third countries and regions

Concerning
international cooperation with third countries and regions, Austria has
recently developed the overall Federal Government strategy for research,
technology and innovation titled 'Becoming an Innovation Leader: Realising
Potentials, Increasing Dynamics, Creating the Future' including the
sub-strategy on international cooperation dubbed 'Beyond Europe'. Based on
these strategy papers, Austria will inter alia expand its cooperation with
innovation front-runners such as the United States, selected Asian nations and
the BRICS countries (Brazil, Russia, India and China and South Africa), as well
as continuing its collaboration with Central, Eastern and South-Eastern
European countries.

Austria
has concluded several intergovernmental bilateral science and technology
(S&T) agreements as well as Memoranda of Understanding on S&T
cooperation including Argentina, China, India, the Republic of Korea,Vietnam,
the Russian Federation and Ukraine.

Additionally,
the Commission for Development Research (KEF) at the Austrian Agency for
International Cooperation in Education and Research (OeAD) supports numerous
research partnerships between Austrian researchers and researchers from
developing countries as well as participating in the EU-funded ERAfrica
Project. Africa, Asia and Latin America.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders' research and development budget allocated to collaboration programmes carried out with third countries || National level || 0.2 % || 2013 || ERA survey 2014

Share of responding funders' research and development budget allocated to collaboration programmes carried out with third countries || EU level || 2.4 % || 2013 || ERA survey 2014

Share of organisations' research and development budget amongst responding research performing organisations originating from third countries || ERA compliant cluster (EU level) || 0.8 % || 2013 || ERA survey 2014

Share of organisations' research and development budget amongst responding research performing organisations originating from third countries || ERA compliant cluster (national level) || 0.7 % || 2013 || ERA survey 2014

Share of organisations' research and development budget amongst responding research performing organisations originating from third countries || Limited compliance to ERA cluster (national level) || 0.4 % || 2013 || ERA survey 2014

The
share of responding funders' research and development budget in Austria
allocated to collaboration programmes carried out with third countries is lower
than the EU average.

Within
the ERA-compliant cluster in Austria, the share of organisations' research and
development budget originating from third countries is lower than the EU
ERA-compliant cluster.

  
2.3.   Interoperability, mutual recognition of evaluation results and other
schemes

Mutual
recognition of evaluations that conform to international peer-review standards
is supported within the D-A-CH multilateral agreement between Germany, Austria
and Switzerland, the German Research Foundation (DFG), the Austrian Science
Fund (FWF) and the Swiss National Science Foundation (SNSF). These agencies
have agreed to apply the so called 'Lead agency' procedure, which foresees that
funding authorities accept the results of the evaluation of international
projects done by the ‘lead agency’ and fund the parts of the project that are
being performed in their respective countries (for research projects with
participants of at least two of the three countries). It also allows
researchers to move to one of those countries following a
money-follows-cooperation-line scheme, a scheme which allows small parts of a
project funded by one of the participating research councils to be conducted in
a different country. Negotiations are on-going to include similar funding
agencies from the Netherlands or the UK. Funding agencies do not implement the
money-follows researchers scheme.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders which can base their project-based research and development funding decisions on peer reviews carried out by non-national institutions || National level || 48.7 % || 2013 || ERA survey 2014

Share of responding funders which can base their project-based research and development funding decisions on peer reviews carried out by non-national institutions || EU level || 38.5 % || 2013 || ERA survey 2014

Share of responding funders' project-based research and development budget allocated through peer review carried out by institutions outside the country || National level || 4.4 % || 2013 || ERA survey 2014

Share of responding funders' project-based research and development budget allocated through peer review carried out by institutions outside the country || EU level || 0.8 % || 2013 || ERA survey 2014

The
share of research funders in Austria who responded to the survey and can base
their project-based research and development funding decisions on peer reviews
carried out by non-national institutions is higher than the EU average.

The
share of responding funders' project-based research and development budget in
Austria allocated through peer review carried out by institutions outside the
country is higher than the EU average.

3.  
RESEARCH INFRASTRUCTURES

  
3.1.   Financial commitments for the construction and operation of ESFRI,
national and regional research infrastructures of pan-European interest

Austria
participates in the following large international research infrastructures
(RI): European Space Agency (ESA), Conseil Européen pour la Recherche Nucléaire
(CERN), European Fusion Development Agreement (EFDA), the European Molecular
Biology Laboratory (EMBL), the European Southern Observatory (ESO), the
European Synchrotron Radiation Facility (ESRF) and the Institut Laue-Langevin
(ILL). In 2012, the country contributed 1.2 % of GBAORD to the activities
carried out by CERN, EMBL, ESO, ESRF, ILL and the European Commission’s Joint
Research Centre (JRC) (Eurostat).

With
regards to participating in the European Research Infrastructure Consortia,
Austria is involved in four of the seven consortia that adopted the legal
framework designed by the Commission to facilitate the establishment and operation
of RI of European interest involving several European countries. Austria is
hosting BBMRI-ERIC and is member of SHARE-ERIC, CLARIN ERIC and ESS ERIC.

In
terms of support for developing and implementating RIs, one important policy
priority outlined in the national RTDI strategy is the improvement of national
RI as well as Austria’s integration and commitments to international
infrastructures (e.g. ESFRI). Thus, this is the focus of one of the
inter-ministerial working groups of the Task Force established for its
implementation. A tentative national roadmap on research infrastructures,
partly depending on future budget availability, is part of the recent Task
Force report. In February 2014, the Austrian government released a document
called 'Austrian Research Infrastructure – Action Plan 2014-2020'. It outlines
the ESFRI infrastructures that are of central importance to the Austrian
research environment and the major benefits of participating in these projects
for the Austrian research sector which are strengthening competitiveness by
ensuring complementarity of national infrastructures, access to equipment,
knowledge and technology transfer and the structural improvement
(defragmentation) of the humanities and social sciences research landscape.

  
3.2.   Access to research infrastructures of pan-European interest

In
terms of access to RIs, at the end of 2011, the Austrian Council for research,
technology and development (RTD) has published specific recommendations
regarding the further improvement of national infrastructures, which includes
among other measures the establishment of a national repository for Austria
Ris. A national repository of RI was established and measures were taken to
allow its continuous improvement.

Among
the research infrastructures coordinated by Austria, access to five of them has
been funded by the European Commission.

4.  
OPEN LABOUR MARKET FOR RESEARCHERS

  
4.1.   Introduction to open labour market for researchers

A
detailed report can be found in the country profile for Austria in the
Researchers’ Report 2014
[http://ec.europa.eu/euraxess/pdf/research\_policies/country\_files/Austria\_Country\_Profile\_RR2014\_FINAL.pdf].

The
following text provides an overview of the current situation and recent
progress made in several key areas.

Stock
of researchers

There
were 37,114 full time equivalent (FTE) researchers in Austria in 2011. This
represents 8.6 researchers per 1000 labour force compared with 7.6 among the
Innovation Union reference group (Innovation Followers) and an EU average of
6.7.

  
4.2.   Open, transparent and merit-based recruitment of researchers

In
2013, the number of researcher posts advertised through the EURAXESS Jobs
portal per thousand researchers in the public sector was 76.0 in Austria
compared to 72.3 among the Innovation Union reference group and an EU average
of 43.7.

In
2012, 55 % of university-based researchers were satisfied with the extent to
which research job vacancies are publicly advertised and made known by their
institution (More2 survey, 2012).

Following
an amendment to the Universities Act, Austrian Universities must advertise
research job vacancies (for scientific and research staff) internationally, at
least EU-wide. University institutions decide autonomously on the instrument
for advertising vacancies internationally. The Ministry of Science, Research
and Economy actively promotes the EURAXESS Jobs portal via brochures, flyers,
and newspaper advertisements in order to raise awareness of the European job
database among universities and public research organisations. The Job Exchange
is a service provided by the Ministry of Transport, Innovation and Technology
and the Austrian Research Promotion Agency, and is available online. As part of
the Talents programme, it offers a range of jobs in research and development
and innovation in Austria – from internships and PhD positions to senior posts
(some 5 500 job offers in 2013). Information is available at:
http://www.ffg.at/jobboerse.

  
4.3.   Attractive careers

The
promotion of the ‘Charter & Code’ and broad implementation of their
principles at Austrian universities was part of the 2010-12 and 2013-2015
performance agreements with universities. In Austria, 18 universities have
signed the ‘Charter & Code’, as have three funding organisations, three
umbrella organisations, four research organisations, three universities of
applied sciences, one private university, one representative of industry and
the former Austrian Federal Ministry of Science and Research. The
implementation of the ‘Charter & Code’ is part of the National Action Plan
for Researchers. The Medical University of Graz was the first Austrian
university to receive Human Resources Strategy for Researchers (HRS4R)
acknowledgement from the European Commission. It has been followed by the FWF,
the University of Natural Resources and Life Sciences (BOKU) and the University
of Salzburg.

By
May 2014, five Austrian organisations were involved in the Commission’s Human
Resources Strategy for Researchers of which four had received the 'HR Excellence
in Research' logo for their progress in implementing the Charter & Code.

The
Austrian database for scholarships and research grants (www.grants.at),
Austria’s most comprehensive database for scholarships and research grants (in
English and German), offers an overview of approximately 1 200 funding
opportunities for incoming and outgoing researchers, graduates and students.
The Austrian Science Fund runs seminars to explain its funding procedures and
thus for researchers to present their own ideas to the reviewers of the FWF
programmes. The Austrian Research Promotion Agency (FFG) provides
proposal-writing seminars to enhance post-doc student writing skills. The
Austrian Agency for International Cooperation in Education and Research (OeAD)
provides guidelines, recommendations, and seminars for drafting grant
proposals.

  
4.4.   Supporting structured innovative doctoral training programmes

The
number of new doctoral graduates per thousand population aged 25-34 was 2.2 in
2011 compared with 1.6 among the Innovation Union reference group and an EU
average of 1.7.

In
order to increase the number of doctoral graduates in science, technology,
engineering and mathematics (STEM), a number of Austrian universities are
establishing new organisational structures for doctoral training (and in
particular supervision), e.g. doctoral schools or doctoral centres. In
addition, some universities are developing new structural doctoral programmes
aimed at supplementing and broadening doctoral training. Following an amendment
to the Universities Act, doctoral training was extended to three years as of
the 2009-10 winter term in order to improve the quality of doctoral training.
In addition, universities have established new doctoral curricula and have
introduced additional measures to improve quality, skills and supervision of
doctoral training. The Doctoral Programme, a joint initiative led by
internationally-recognised scientists, facilitates work experience abroad for
researchers and offers training in support of transferable skill development.
In addition to measures aimed at improving researchers’ research proposal
writing skills, the Austrian Economic Service (Austria Wirtschaftsservice -
awsg) offers services to increase researchers’ awareness of intellectual
property rights.

  
4.5.   International and inter-sectoral mobility

In
2011, the percentage of doctoral candidates with citizenship of another EU27
Member State was 18.5 % in Austria compared to 18.4 % among the Innovation
Union reference group and an EU average of 7.7 %. The percentage of non-EU
doctoral candidates as a percentage of all doctoral candidates was 8.6 % in
Austria compared with 16.9 % among the Innovation Union reference group and an
EU average of 24.2 %.

The
APART Programme awards fellowships to national and international students in
support of a post-doctoral thesis, or the continuation of a scientific project.
Third-country applicants must carry out their research project at an Austrian
research institution. The percentage of foreign researchers among APART fellows
in 2010-2012 was 18 %. In the DOC Programme PhD studies can be conducted at
universities or research institutions both in Austria and abroad. In 2011 and
2012, 15 % of the fellows conducted research at universities or research
institutions abroad. Similarly, the DOC-team Programme supports teams working
on trans-disciplinary research projects in humanities, cultural studies and
social sciences. Each team member must spend at least half a year at a research
institution abroad. As the largest post-doctoral programme for outbound
mobility for basic research in Austria, the Schroedinger Programme aims to
enable young scientists normally based in Austria to work abroad at leading
research institutions and on leading research programmes in order to gain
research experience abroad during their post-doctorat. With the possibility of
also applying for a reintegration phase, the programme aims to facilitate the
return phase for the researchers in order to reverse the brain drain from
Austria.

The
BRIDGE Programme focuses specifically on the funding of industrial
research-cooperation projects. Funded projects are those expected to build on
the basic research of scientific institutes and take them closer to potential
commercialisation through collaborative research with businesses. The projects
carried out as part of concrete research collaborations are intended to enable
an effective exchange of research results and expertise. Another aim is to
foster communication between science and industry, opening up new prospects for
both partners. The funding of collaborative projects is designed to facilitate
mutual access to each other’s expertise and help companies overcome their
apprehension about (basic) research. The COMET Competence Centre Programme aims
to develop international research excellence and expertise, and support the
technological leadership of companies to strengthen Austria as a top
destination for research. The research carried out in competence centres ranges
from medium to long term and meets high standards of quality. The programme’s
priorities are the applied orientation of top-level research and its actual
implementation in the industry sector. COMET is sponsored by the Ministry of
Transport, Innovation and Technology (BMVIT) and the Ministry of Science,
Research and Economy (BMWFW). It follows on the success of their previous
competence centre programmes. The provinces also support COMET with additional
funding. The Austrian Research Promotion Agency is responsible for managing
COMET. There are currently (Status 31 December 2013) 21 COMET K-Centres (five
K2 Centres and 16 K1 Centres) as well as 24 K-Projects running with federal
funding of approximately EUR50 million per year.

5.  
GENDER

  
5.1.   Foster cultural and institutional change on gender

Austria
has set up specific laws and actions to implement gender equality in research.

Tackling
discrimination is high on the government agenda. The new Austrian Federal
Government workprogramme for 2013-2018, under chapter 03 'Education, science,
art and culture, women' considers women careers in research (Science
sub-chapter) but also gender pay gap and other general measures (Women
sub-chapter). Austria plans to advocate 'an active equality policy at European
level with regard to economic gender equality and reconciling of work and
family life'.

In
the course of the new reform of budget laws, gender budgeting and gender
equality were laid down in the Federal Constitutional Act (BV-G) and Federal
Budget Act (BHG). The latter provides for a balanced representation in academic
leadership positions and boards. On the basis of these laws a gender equality
objective was developed by all ministries.

Several
acts are in place to ensure gender equality: the Charter on the Compatibility
of Family and Career, the National Action Plan (NAP) for Gender Equality in the
Labour Market, the Care Allowance Reform Act 2012 and the Care Allowance
Act.

Since
2009, objectives to attain gender balance in leadership positions and decision-making
bodies in public research organisations and higher education institutions were
gradually put in place by the University Act. Concerning gender balance in
decision making, the country has set up a female quota for the participation of
under-represented sex in decision-making bodies of Research Performing
Organisations. The 2009 amendment of the Universities Act stipulates a women
quota of 40 % in university committees and boards. Gender specific measures are
included in the performance agreements with universities (for example the 40 %
mandatory representation of women). Austrian Universities provide statements
and figures on gender (and budget) and how  they progress on gender equality.
BMWFW evaluates progress on an annual basis using performance indicators,
including gender indicators.

The
Universities Act also contains references to establishing an organisational
unit responsible for  coordinating activities relating to gender equality and
the so-called 'Affirmative Action Plans'. Performance agreements with
universities include financial incentives for gender-specific issues and among
other things universities commit themselves to support work-life balance by
offering childcare facilities, parental leave and flexible working
hours.

Additionally,
the 2014 National Reform Programme underlines that 'Strategic gender equality
targets have also been defined in the universities’ performance agreements',
and that it will continue to support campaigns for attracting women in
scientific careers.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting gender equality in research || National level || 95.7 % || 2013 || ERA survey 2014

Share of responding funders supporting gender equality in research || EU level || 82.2 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample which have adopted Gender Equality Plans || ERA compliant cluster (EU level) || 64 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample which have adopted Gender Equality Plans || ERA compliant cluster (national level) || 81.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample which have adopted Gender Equality Plans || Limited compliance to ERA cluster (national level) || 5.7 % || 2013 || ERA survey 2014

The
share of research funders in Austria who responded to the survey and support
national policies on gender equality in public research is higher than the EU
average.

Within
the ERA compliant cluster in Austria, the share of research-performing
organisations that have adopted Gender Equality Plans is higher than within the
EU ERA compliant cluster.

General
laws require equal treatment for women and several provisions are included to
ensure that: maternity leave is not a discriminating factor; pregnancy
automatically freezes temporary contracts; women have the right to return to an
equal position to the one held before their maternity leave and to have a
part-time position when they end their maternity leave.

The
country has measures that support returning to work after parental leave. FWF
and ÖAW fellowship programmes allow for interruptions and extensions in case of
maternity leave.

Austria
has provisions for a balanced participation of women and men in research programmes
and/or projects. All FWF programmes provide for a quota of 30 % women
scientists/scholars and this target has been achieved.

The
country provides incentives for recruiting female researchers and promoting
access of female researchers to senior positions in research-performing
organisations. The Universities Act provides for the implementation of gender
monitoring with respect to recruitment and targeted recruitment in public
research organisations and universities.

It
has set up awards, fellowships and/or other similar mechanisms to specifically
support female researchers. Since 2002, several support schemes have been put
in place to support recruitment, retention and career progression of female
researchers: under the umbrella of the inter-ministerial action programme
'Women in Research and Technology', fForte: the Excellentia Programme launched
in 2005 to support women full professors; the fForte Coaching Programme
supports women in writing successful grant proposals; the ‘Laura Bassi Centres
of Excellence’ encourage women to apply for top positions; the FEMtech
programme seeks to increase female participation in industry innovation and
applied sciences at PROs. The FWF career programmes support women at the start
of their careers and to apply for full professors.

The
Working Group on Gender and Diversity Management within the BMWFW aims to
implement diversity measures as cultural and institutional change initiatives.
In this regard, a study that focuses on how to achieve cultural and structural
change within the scientific and research community has been commissioned by
the BMWFW.

Indicator || Level/cluster || Value || Year || Source

Share of responding research performing organisations implementing recruitment and promotion policies for female researchers || ERA compliant cluster (EU level) || 53.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations implementing recruitment and promotion policies for female researchers || ERA compliant cluster (national level) || 69.2 % || 2013 || ERA survey 2014

Share of responding research performing organisations implementing recruitment and promotion policies for female researchers || Limited compliance to ERA cluster (national level) || 6.9 % || 2013 || ERA survey 2014

Within
the ERA compliant cluster in Austria, the share of research-performing
organisations implementing recruitment and promotion policies for female
researchers is higher than within the EU ERA compliant cluster.

The
Country has set up provisions to integrate the gender dimension in research
programmes and/or projects. FFG and FWF have included gender in research
content considerations in grant application and reporting guidelines of
specific funding instruments. In 2012 the Gender Studies Association Austria
was established to develop gender studies at universities as well as higher
education institutions.

Certain
FEMtech R&D grants target gender-specific innovation since 2010, e.g.
accounts for gender differences and its implications for product design.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting the inclusion of gender dimension in research content || National level || 93.7 % || 2013 || ERA survey 2014

Share of responding funders supporting the inclusion of gender dimension in research content || EU level || 48.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations which include the gender dimension in research content || ERA compliant cluster (EU level) || 44 % || 2013 || ERA survey 2014

Share of responding research performing organisations which include the gender dimension in research content || ERA compliant cluster (national level) || 63.3 % || 2013 || ERA survey 2014

Share of responding research performing organisations which include the gender dimension in research content || Limited compliance to ERA cluster (national level) || 4.3 % || 2013 || ERA survey 2014

The
share of research funders in Austria who responded to the survey and support
gender dimension in research content/programmes is higher than the EU average.

Within
the ERA compliant cluster in Austria, the share of research-performing
organisations that include the gender dimension in research content is higher
than within the EU ERA compliant cluster.

  
5.2.   Gender balance in the decision-making process

Within
the ERA compliant cluster in Austria, the share of gender-balanced recruitment
committees for leading researchers in research-performing organisations is
lower than within the EU ERA compliant cluster.

The
share of gender-balanced research evaluation panels amongst responding research
funding organisations in Austria is lower than the EU average.

6.  
KNOWLEDGE CIRCULATION

  
6.1.   Open access to publications and data resulting from publicly funded
research

Austria
supports open access in the frame of the performance agreements with
universities. Activities concerning open access policies are up to individual
research-performing organisations (RPOs) and research funding institutions. In
January 2010 the Austrian Rector's Conference (UNIKO) published its
recommendations to enhance open access policies in Austria. In 2012, under the
organisational umbrella of the Austrian Science Fund (FWF) and UNIKO, research
funders and performers have organised themselves into the 'Open Access Network
Austria' to coordinate open access activities and make nationwide
recommendations in the field. Additionally, since 2007 research and funding
institutions from Austria, Switzerland and Germany cooperate in a joint
project/online platform to improve information, knowledge and discuss open
access.

Open
access was enshrined as a topic of the future at national level as the Austrian
Council for Research and Technology Development (RFTE) articulated open access
in their Strategy 2020, that all public research results in Austria shall be
freely accessible on the Internet by 2020.

Open
access is one the key priorities of the Austrian Science Fund (FWF), the main
funding for basic research in Austria.

FWF
has a mandatory policy on open access, including towoards data where legally
possible, with green and gold open access as equivalent options. Similarly, the
Austrian Academy of Sciences (ÖAW) and the University of Graz have developed an
institutional open access policy. All other universities will follow.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting open access to publications || National level || 64.5 % || 2013 || ERA survey 2014

Share of responding funders supporting open access to publications || EU level || 51 % || 2013 || ERA survey 2014

Share of publicly funded scientific publications in OA amongst responding research performing organisations || ERA compliant cluster (EU level) || 18 % || 2013 || ERA survey 2014

Share of publicly funded scientific publications in OA amongst responding research performing organisations || ERA compliant cluster (national level) || 1 % || 2013 || ERA survey 2014

Share of publicly funded scientific publications in OA amongst responding research performing organisations || Limited compliance to ERA cluster (national level) || 1 % || 2013 || ERA survey 2014

The
share of research funders in Austria who responded to the survey and support
open access to publications is higher than the EU average.

Within
the ERA compliant cluster in Austria, the share of publicly-funded scientific
publications in open access amongst research-performing organisations is lower
than within the EU ERA compliant cluster.

Concerning
open access to data this is legally included, where possible into open access
for publications.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting open access to data || National level || 18.6 % || 2013 || ERA survey 2014

Share of responding funders supporting open access to data || EU level || 33.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations making scientific research data available on-line and free of charge || ERA compliant cluster (EU level) || 54.2 % || 2013 || ERA survey 2014

Share of responding research performing organisations making scientific research data available on-line and free of charge || ERA compliant cluster (national level) || 46.1 % || 2013 || ERA survey 2014

Share of responding research performing organisations making scientific research data available on-line and free of charge || Limited compliance to ERA cluster (national level) || 9.7 % || 2013 || ERA survey 2014

The
share of research funders in Austria who responded to the survey and support open
access to data is lower than the EU average.

Within
the ERA compliant cluster in Austria, the share of research-performing
organisations making publicly funded scientific research data systematically
available online and free of charge, is lower than within the EU ERA compliant
cluster.

With
respect to repositories, the Austrian Academy of Sciences (ÖAW), the University
of Vienna, the Austrian Library Network LTD have created a repository.

  
6.2.   Open innovation and knowledge transfer between public and private
sectors

In
relation to Open Innovation and Knowledge Transfer between public and private
sectors, Austria has embedded academia-industry cooperation among the
objectives of the 2011 Austrian Federal Government strategy for research,
technology and innovation 'Becoming an Innovation Leader: Realising Potentials,
Increasing Dynamics, Creating the Future'. However, the country has not
developed a knowledge transfer strategy. The adoption of the strategy was
followed by an inter-ministerial working group 'knowledge transfer and
start-ups' and introduced improved tax measures in 2012.

The
Austrian RTI strategy aims to improve and stimulate the level of collaboration
between universities, public research organisations and the economic sector.
For this purpose the Austrian RTI strategy promotes the establishment of
knowledge transfer centers. Knowledge transfer between universities, other
research organisations and the private sector will be promoted within three
virtual regional Knowledge Transfer Centres and within a virtual thematic
Knowledge Transfer Centre in the field of life sciences. The new BMWFW funding
programme should offer incentives for Austrian state universities and defined
research institutes to use strategic partnerships within the framework of the
regional and thematic knowledge transfer centres to jointly utilise the
potential that has been built up in recent years in the field of knowledge and
technology transfer and thus to further increase both quality and
professionalism. Optimised transfer processes should furthermore enable
universities in particular to participate to an even greater extent in the
innovation process.

The
new Austrian Federal Government workprogramme for 2013-2018 states under the
research chapter the willingness to safeguard knowledge transfer, increase
cooperation between science and business and develop and implement a national
strategy for intellectual property.

In
the ongoing performance agreements with universities and the ÖAW assurance is
given that reliable and sustainable intellectual property and utilisation
strategies will be developed to enable partners from the economy to formulate
long-term research targets.

There
are specific programmes for transferring knowledge, creating and supporting
spin-offs and supporting intellectual property rights (IPRs) at the level of
universities and research organisations, and specific placement schemes for
young researchers in industry. The general programme of the FFG has remained
Austria’s most important source of public funding for R&D carried out by
industry in terms of funding budget, efforts to promote R&D in all economic
sectors and industries, areas of technology, and sizes of companies. Some
examples of FFG programmes fostering academia-industry cooperation are COMET,
COIN, BRIDGE, AplusB or uni:invent. The Christian Doppler Research Association
provides also for academia-business cooperation within its programmes.
Knowledge transfer measures are considered effective as they have led to a high
level of transfer activities and Austria ranks third among Organisation for
Economic Co-operation and Development (OECD) countries in this respect.

In
2010, a national contact point (NCP) was designated at the BMWFW. The NCP's
tasks include coordinating measures regarding knowledge transfer between public
research organisations and the private sector, including tackling
trans-national issues, in liaison with similar contact points in other Member
States. The project Intellectual Property Agreement Guide (IPAG) is funded by the
NCP. The aim of IPAG is to support universities, public research institutions
and also enterprises in the professional handling of intellectual properties
(IP) by drafting model agreements. A set of model contracts is made available
helping the most appropriate model contracts to be selected. The use of theses
model contracts is voluntary (www.ipag.at). The project is an important
contribution to enhance trust and confidence between all relevant stakeholders
and should simplify the legal and administrative processes. As part of efforts
to generate greater public awareness of the link between science and industry,
the Phönix Award of the BMWFW  is given to young university spin-offs from
universities and public research organisations. It aims to enhance the visibility
of the excellent scientific outcomes of Austrian universities.

Strategic
partnerships between academia and industry are supported by funding
organisations in Austria, for example the FFG funds the Laura Bassi Centres of
Expertise and the thematic programme “Leuchttürme eMobilität” (Lighthouses of
E-mobility).

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting the implementation of knowledge transfer as part of its institutional and/or project-based funding || National level || 82.4 % || 2013 || ERA survey 2014

Share of responding funders supporting the implementation of knowledge transfer as part of its institutional and/or project-based funding || EU level || 82.9 % || 2013 || ERA survey 2014

Share of responding research performing organisations' research and development budget financed by the private sector || ERA compliant cluster (EU level) || 6.8 % || 2013 || ERA survey 2014

Share of responding research performing organisations' research and development budget financed by the private sector || ERA compliant cluster (national level) || 8.6 % || 2013 || ERA survey 2014

Share of responding research performing organisations' research and development budget financed by the private sector || Limited compliance to ERA cluster (national level) || 2.1 % || 2013 || ERA survey 2014

Share of responding research performing organisations having or using a structure for knowledge transfer activities || ERA compliant cluster (EU level) || 75 % || 2013 || ERA survey 2014

Share of responding research performing organisations having or using a structure for knowledge transfer activities || ERA compliant cluster (national level) || 85.2 % || 2013 || ERA survey 2014

Share of responding research performing organisations having or using a structure for knowledge transfer activities || Limited compliance to ERA cluster (national level) || 1 % || 2013 || ERA survey 2014

Share of responding research performing organisations having dedicated staff employed in knowledge transfer activities || ERA compliant cluster (EU level) || 66.3 % || 2013 || ERA survey 2014

Share of responding research performing organisations having dedicated staff employed in knowledge transfer activities || ERA compliant cluster (national level) || 51.2 % || 2013 || ERA survey 2014

Share of responding research performing organisations having dedicated staff employed in knowledge transfer activities || Limited compliance to ERA cluster (national level) || 0.7 % || 2013 || ERA survey 2014

Share of research personnel whose primary occupation is in the private sector (in headcount) || ERA compliant cluster (EU level) || 2.9 % || 2013 || ERA survey 2014

Share of research personnel whose primary occupation is in the private sector (in headcount) || ERA compliant cluster (national level) || 3.9 % || 2013 || ERA survey 2014

Share of research personnel whose primary occupation is in the private sector (in headcount) || Limited compliance to ERA cluster (national level) || 2.9 % || 2013 || ERA survey 2014

The
share of research funders in Austria who responded to the survey and support KT
and OI, TTOs and Private Public interaction is similar to the EU average.

Within
the ERA compliant cluster in Austria, the share of research performing
organisations having funding originating from the private sector is higher than
within the EU ERA compliant cluster.

Within
the ERA compliant cluster in Austria, the share of research-performing organisations
having or using a structure for knowledge transfer activities is higher than
within the EU ERA compliant cluster.

Within
the ERA compliant cluster in Austria, the share of research-performing
organisations having dedicated staff employed in knowledge transfer activities
is lower than within the EU ERA compliant cluster.

Within
the ERA compliant cluster in Austria, the share of research personnel whose
primary occupation is in the private sector (in FTE) is higher than within the
EU ERA compliant cluster.

  
6.3.   Harmonise policies for public e-infrastructures and associated digital
research services

With
regards to access and usage of e-infrastructures and digital research services,
most Austrian academic institutions (more than 80 %) are part of the Austrian
Academic Computer Network (ACOnet -'Österreichisches akademisches
Computernetz') which is the National Research and Education Network (NREN) run
by the University of Vienna. This is essential to make digital services
possible. However, Austria does not have a strategy for implementating the
Digital European Research Area (ERA).

Concerning
digital services, the country provides federated services.

Indicator || Level/cluster || Value || Year || Source

Share of responding research performing organisations providing digital research services (i.e. cloud services, research collaboration platform, etc.) || ERA compliant cluster (EU level) || 80.8 % || 2013 || ERA survey 2014

Share of responding research performing organisations providing digital research services (i.e. cloud services, research collaboration platform, etc.) || ERA compliant cluster (national level) || 86 % || 2013 || ERA survey 2014

Share of responding research performing organisations providing digital research services (i.e. cloud services, research collaboration platform, etc.) || Limited compliance to ERA cluster (national level) || 8.5 % || 2013 || ERA survey 2014

Within
the ERA compliant cluster in Austria, the share of research-performing
organisations providing digital research services (i.e. cloud services,
research collaboration platform, etc.) is higher than within the EU ERA
compliant cluster.

  
6.4.   Uptake of federated electronic identities

Austria
was a member of an identity federation in 2011. The country is member of
eduGAIN, a service intended to enable the trustworthy exchange of information
related to identity, authentication and authorisation between the GÉANT
(GN3plus) Partners' federations, through ACOnet, which offers its members
high-performance access and support services.

Indicator || Level/cluster || Value || Year || Source

Share of responding research performing organisations in the sample providing federated electronic identities for their researchers || ERA compliant cluster (EU level) || 38.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample providing federated electronic identities for their researchers || ERA compliant cluster (national level) || 28.4 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample providing federated electronic identities for their researchers || Limited compliance to ERA cluster (national level) || 5 % || 2013 || ERA survey 2014

Within
the ERA compliant cluster in Austria, the share of research-performing
organisations providing federated electronic identities for their researchers
is lower than within the EU ERA compliant cluster.

7.  
NOTES ON THE 2014 ERA SURVEY RESULTS

  
7.1.   Comments

A
total of 94 research performing organisations in Austria answered the 2014 ERA
survey, which represents 40.1% of the total number of researchers in the
country (total number of researchers in the country as of 2011). One important
research performing organisation is not included.

The
principal component and clustering analysis of research performing
organisations in Austria shows that 21.1 % of them are in the ‘ERA compliant’
cluster, 51.1 % can be classified in the ‘limited compliance to ERA’ cluster
and 27.8 % of organisations in the ‘ERA principles are not applicable’ cluster.
However, when the organisations are weighted by the number of researchers in
each organisation, the results significantly vary. Indeed, the shares of
‘weighted’ organisations are 85.7 % for the ‘ERA compliant’ cluster, 10.6 % for
the ‘ERA limited compliant’ cluster and 3.7 % for those organisations where ERA
principles are not applicable.

For
the indicator 'Share of total budget allocated as project based funding' it
should be noted that part of the funding of RPO's is directly by some of the
ministries without intervention by any funding organisation. As a consequence the
percentage is relatively high compared to official figures. Moreover one of the
big funding organisations in Austria could not make a distinction between
project based or institutional funding.

For
the indicators on Open Access the non-response rate was high, while a high
percentage ofof organisations that did reply perform applied research. These
factors explain the relatively low scores on Open Access.

Policy
measures in support of ERA implementation

Initiative || Adopted in || Adopted since 2012 || New measure since 2013

Research and innovation system

Austrian EU Action Plan || 2013 || X || X

Project-based funding applying the core principles of international peer review

Reform of the Austrian Academy of Sciences (ÖAW) || 2012 || X ||

Quality Assurance Framework Law establishing the Agency for Quality Assurance and Accreditation Austria || 2012 || X ||

The Austrian Research, Technological Development and Innovation Strategy “Becoming an Innovation Leader: Realising Potentials, Increasing Dynamics, Creating the Future" || 2013 || X || X

Institutional funding based on institutional assessment

Updated evaluation standard published by the semi-public Platform Research & Technology Policy Evaluation (FTEVAL) || 2012 || X ||

Revision of the Federal law on the organisation of universities and their studies (Austrian Universities Act) Revised university financing provisions || 2013 || X || X

Implementing joint research agendas

Support for European initiatives e.g. the European Strategic Energy Technology (SET) Plan (national representatives level)  and for the participation of national researchers || 2013 || X || X

Openness for international cooperation with third countries and regions

Establishment of FTI-Attachés and additional Offices of Science and Technology Austria (OSTA) || 2014 || X || X

Beyond Europe Die Internationalisierung Österreichs in Forschung, Technologie und Innovation über Europa hinaus || 2013 || X || X

Interoperability, mutual recognition of evaluation results and other schemes

Joint Programming Initiatives - Austria is leading the JPI Urban Europe and is participating in 7 more JPIs || 2013 || X || X

Article 185, ERA-nets and ERA-nets plus || 2013 || X || X

New scientific clusters launched and evaluation exercise passed in the Danube strategy || 2014 || X || X

Financial commitments for the construction and operation of ESFRI, national and regional research infrastructures of pan-European interest

Establishment of a repository of research infrastructures in Austria || 2011 || ||

Draft national roadmap for for the building of new infrastructures and link to ESFRI. || 2011 || ||

Participation in ESFRI Initiatives || 2013 || X || X

 Austrian Research Infrastructure – Action Plan 2014-2020 || 2014 || X || X

Open, transparent and merit-based recruitment of researchers

National  EURAXESS portal || || ||

Attractive careers

Implementation of the provision of the Scientific Visa Directive 2005/71/EC and recommendations 2005/762/EC and 2005/761/EC || || ||

Recognition ("Nostrifizierung") of foreign diploma or training qualifications || 2011 || ||

The brainpower austria programme; the Career Grants Programme; various grants and scholarships || || ||

Revision of the Federal law on the organisation of universities and their studies (Austrian Universities Act) (revision of/amendment to the original 2002 law, Bundesgesetz BGBl. I Nr. 81/2009) || 2009 || ||

Gender balance in the decision-making process

FWF structured doctoral programmes Hertha Finberg Programme and Elise Richter Programme || || ||

Revision of the Federal law on the organisation of universities and their studies (Austrian Universities Act) (revision of/amendment to the original 2002 law) || 2011 || ||

Federal Constitutional Act (BV-G) and Federal Budget Act (BHG) Federal Equal Treatment Act and equivalents at regional level || 2013 || X || X

The Charter on the Compatibility of Family and Career, The National Action Plan (NAP) for Gender Equality in the Labour Market, The Care Allowance Reform Act 2012 and The Care Allowance Act National policy on gender equality || 2013 || X || X

Working Group on Gender and Diversity Management || 2013 || X || X

inter-ministerial action umbrella programme fForte (Women in Research and Technology), industry and PROs branch (FEMtech) || 2002 || ||

Inter-ministerial action umbrella programme fForte (Women in Research and Technology), industry and PROs branch (FEMtech) || 2002 || ||

inter-ministerial action umbrella programme fForte (Women in Research and Technology), schooling branch Educational gender initiatives by BMWF || || ||

Open access to publications and data resulting from publicly funded research

Open Access Network Austria || 2012 || X ||

Open innovation and knowledge transfer between public and private sectors

Overarching laws on the research system Inter-ministerial working group “knowledge transfer and start-ups” || || ||

Tax incentives for research || 2012 || X ||

Christian Doppler Research Association || || ||

General Programme of the Austrian Research Promotion Agency (FFG) - support of KT and OI || 2011 || ||

Establishment of a national contact point (NCP) for IP management || 2010 || ||

Harmonise policies for public e-infrastructures and associated digital research services

ACOnet “Österreichisches akademisches Computernetz” - member of GÉANT || || ||

Uptake of federated electronic identities

eduGAIN || 213 || ||

1.  
MORE EFFECTIVE NATIONAL SYSTEMS

  
1.1.   Research and innovation system

The
research and innovation (R&I) policy is designed and implemented in a
multi-level governance framework involving the Federal Government and
autonomous regional/community governments.

The
Federal Government has competence for the federal scientific institutes,
intellectual property (IP) law, standardisation, fundamental metrology, nuclear
research, corporate taxation, employment legislation and social security. The
communities are competent for matters related to individuals including
scientific research and (higher) education, and the Community Scientific
Institutes. The regions are competent for territorial matters such as energy,
environment, and economic support, thus including innovation, applied and
industrial research, science parks, and technology transfer. The three Belgian
regions (Brussels-Capital, Flanders and Wallonia) design policies that suit the
specific needs of their business sectors for innovation and that are tailored
to optimise the potential of their higher education research capacities. The
Belgian German-speaking community does not have a research policy.

At
Federal level, the Federal Office for Science Policy (BELSPO) provides project
funding. Moreover, the Federal level supports the federal research institutes.
In Flanders, the Flemish Government defines policy orientations and provides
institutional funding to higher education institutions (HEIs). Its main funding
instrument is the Special Research Fund (BOF) allocated depending on defined
criteria (BOF-key). Project-based funding is managed by two agencies: the
Research Foundation - Flanders (FWO) and the Institute for the Promotion of
Innovation by Science and Technology in Flanders (IWT). FWO stimulates
fundamental research, whereas IWT promotes innovation through science and
technologies. The Hercules Foundation stimulates the use of a large research
infrastructure,  which  proposals can be forwarded to.  In Wallonia, industrial
research funding and funding for academic, public or not-for-profit research
centres are managed by the General Operational Directorate for Economy,
Employment and Research, called DGO6. In the French Community, the National
Scientific Research Fund (F.R.S-FNRS) manages competitive project funding.
Research and development (R&D) investments are long-term secured and
multi-annual research and development and innovation (R&D&I) strategies
are implemented at  different government levels.

The
country has adopted an R&I strategy on a regional level.

In
Flanders, the regional R&D and innovation strategy is based on the
minister’s policy note on innovation that covers the priorities and initiatives
for the five year governing period, which is elaborated by annual policy
letters. In adittion, there are related initiatives such as e.g. the Concept
note on Innovation Centre Flanders (2011). At the overall policy level of
Flanders, the Flanders in Action (FiA) future plan aims to make Flanders one of
the top five EU regions by 2020, and includes targets on research. The amended
Flemish Parliament Act on Innovation from 2012 sets out the legal basis for
subsidies for special research funds, and legal anchoring of the young
researchers support programme. Belgium has a Country Specific Recommendation:
'Restore competitiveness […] by promoting innovation through streamlined
incentive schemes and reduced administrative barriers'.

In
Wallonia and the Wallonia-Brussels Federation, the Research Strategy 2011-2015
follows up on their willingness for closer cooperation between the different
policy levels (cfr. Marshall Plan2.Green). This document sets out eight
strategic objectives (including reiterating the 3 % objective), identifies five
priority thematic areas and includes a detailed plan of action for meeting the
objectives. Competitive funding is implemented through calls for proposals
connected to the research strategy priorities (i.e.GREENTIC, Competitiveness
Poles, RELIABLE programme, etc). The Wallonia Marshall Plan2.Green allocates
funds to competitiveness clusters with support to public-private partnerships
and projects related to the research strategy priorities (information and
communication technologies, sustainable development, ageing and health).

Additional
competitive funds are available from the Strategic Fundamental Research fund,
hosting the virtual research institutes for life sciences and sustainable
development.

In
terms of R&D&I funding, the Government Budget Appropriations or Outlays
for Research and Development (GBAORD) in Belgium represented EUR 224 per
inhabitant in 2012, above the EU28 level (EUR179). In 2012, total GBAORD
corresponded to 1.2 % of total government expenditures  and 0,7 % of Gross
Domestic Product (GDP) (Eurostat).

However,
GBOARD does not show the complete picture for Belgium. Apart from direct
support to R&D indirect support by fiscal measures (tax benefits) plays a
substantial role in Belgium. The sum of direct and indirect support has increased
over the period 2007-2012 and is close to 1.1 % of GDP in 2012. Fiscal measures
for R&D and innovation in Belgium amount to around EUR 1,1 billion in 2012.

The
analysis of the evolution of GBAORD in the period during the economic crisis
(2007-2012) shows that in nominal terms, the rate of growth of total GBAORD in
Belgium has been higher than the rate of growth of total EU GBAORD. In terms of
R&D efforts, the rate of growth of GBOARD in  Belgium, measured as
percentage of public government expenditure evolved more negatively than the
negative evolution observed in the EU27. Finally, GBAORD as a share of GDP has
regressed in Belgium but less than the evolution observed in EU28.

  
1.2.   Project-based funding applying the core principles of international peer
review

•           In
October 2012, the Council of Ministers (federal government) approved the launch
of the first phase (2012-2017) of the recurrent Research Framework Programme
BRAIN-be. The programme, which mobilises EUR18 million/year, is organised around
six themes, open to the participation of researchers and institutions from
other countries on a co-funding basis and supports two types of research
projects: network projects and pioneer projects.

•           The
Research Strategy 2011-2015 remains the main policy document: it allows for
public private partnership (PPP) funding and the support of several calls for
projects connected to its priority themes (GREENTIC, competiveness poles,
RELIABLE programme, Employment-Environment Alliance etc.)

•           In
the Wallonia's Marshall Plan 2.Green, funding is allocated to competitiveness
clusters, with additional support for PPPs and to R&D programmes on
subjects linked to the Research Strategy for, in particular, ICT, the
environment and sustainable development, ageing and health.

•           Through
the Fundamental Strategic Research Fund, additional funds were made available
for fundamental strategic research, hosting the virtual research institutes for
life sciences (continuation, EUR6 million per year) which already funds
research through competitive calls and sustainable development (creation, EUR5
million per year). The fund will also accommodate the Walloon Institute for
Sustainable Development.

•           The
Walloon Government asked for 22 approved research centres to be brought together
into seven institutes, in order to simplify the landscape of these research
centres and to guarantee cohesion among the subjects handled within them. A
body called WAL-TECH, tasked with ensuring the visibility of the institutes and
management of internal collaboration will oversee these institutes. The
objective is to increase the service provided to businesses, in particular
small and medium-size enterprises (SMEs), wishing to improve their process or
to develop new products.

•           In
the Wallonia-Brussels Federation, block funding for HEIs is allocated on the
basis of the number of students and full time equivalent (FTE) researchers. The
allocation of block funding is not based on scientific performance indicators
such as bibliometrics.

•           In
the Flemish Community, additional funding for universities is also distributed
based on an allocation key, which is partially based on scientific output
indicators.

•           The
Innovatiedecreet (Flemish Parliament Act on Innovation) was modified, whereby
three elements were added: conditions for the support of the higher education
sector (good governance, strategic planning, gender balance, reporting and
science communication), the legal basis for subsidies for the special research
funds, the legal anchoring of the programme for the support of young
researchers.

•           In
2011, a new support programme for young researchers was implemented in the
Flemish Community. Since the budgetary year of 2013, this annual subsidy of
EUR4 million has been embedded legally.

•           Starting
from 1 January 2012 a new agreement between the Research Foundation Flanders
(FWO) and the Flemisch Governement was put in place.  Based on this agreement
FWO can support for the next five years basic research performed at Flemish
universities and institutes.

•           In
the Flemish Community, the period of the legal basis for funding from the BOF
ended in 2012. A new decision has been approved that builds on the existing
legislation, and also alters some specifications. The funding from BOF aimed at
universities includes a number of conditions that refer to the autonomy of the
universities. Also, a number of parameters were changed for the distribution of
the budget among universities. There will be guaranteed minima for small and
middle-sized universities. Finally, a number of gender mesures are included to
stimulate the balance between the sexes in academic research and  actively
involve more women .

•           After
concluding new long-term agreements with the Flemish strategic research centres
VIB (biotechnology), IMEC (nanotechnology), iMinds (ICT) for the period
2012-2016, the Flemish Community also cconcluded with VITO, after an evaluation
by international experts, a new multi-annual covenant. During the period
2014-2018, VITO will annually receive a grant of a minimum of EUR39 million.
VITO should become/remain an internationally renowned research organisation in
the areas of environment, energy and materials, and stimulate an attractive
innovation climate for companies from Flanders.

•           The
concept note 'Innovatiecentrum Vlaanderen' from 2011 elaborated a basis for a
more flexible approach of thematic-oriented innovative centres at the
initiative of the industry, the so-called 'Lichte Structuren' (innovation
platforms). A number of existing excellence centres as well as new centres
(e.g. FISCH for sustainable chemisrty) are being supported under the new
legislative framework. Other new initiates are the test gardens or living labs
supported by IWT, e.g. on care innovation space Flanders, or on social
innovation factory.

•           For
2013, within the implementation of Creative Wallonia, actions will be continued
and strengthened and new actions will be launched:

-
Launch of a tool for diagnosis of innovation potential for SMEs.

-
Creation of Creative Labs in two Teacher Training HEIs to test the possibility
of extending the tool and see if eventually all pupils of basic teaching could
benefit from new approaches in this subject.

-
Creation of one or more Living Lab/Fablab: a feasibility study is underway.

-
Fulfilment in the first semester of an assessment of the Creative Wallonia
Plan.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders' total budget allocated as project-based funding || National level || 45.9 % || 2013 || ERA survey 2014

Share of responding funders' total budget allocated as project-based funding || EU level || 66.2 % || 2013 || ERA survey 2014

The
share of research funders in Belgium who responded to the survey and support
project-based funding is lower than the EU average.

The
core principles of international peer review are arranged at regional level. In
Flanders, the Research Foundation – Flanders (FWO) calls on international
experts to evaluate all applications, both fellowships and projects. These
procedures are based on the European Science Foundation's (ESF) European Peer
Review Guide. Applicants provide a list of ten possible referees out of which
the FWO randomly contacts referees until at least two international peer review
reports are available. Specific regulations on External Peer Reviews are in
place to make sure that there is no conflict of interest between the applicant
and the referee. Efforts for avoiding, detecting and punishing conflicts of
interest have been further intensified since 2012, which resulted in a
significant lower amount of conflicts.

Projects
submitted under calls for proposals organised by the Walloon Region are also
evaluated separately by at least two foreign experts.

  
1.3.   Institutional funding based on institutional assessment

Institutional
funding based on institutional assessment is regularly applied in Flanders and
seldom at the Federal level and Wallonia.

In
the Flemish Community, additional funding for universities is also distributed
based on an allocation key, which is partially based on scientific output
indicators such as the numbers of completed PhDs, Mas and the volume of third-
party findings. Furthermore there are performance contracts between ministries
and universities, formula-based funding etc.

The
Flemish Special Research Fund (BOF) of  the Research Foundation Flanders is
solely meant for fundamental research in universities in the shape of either
projects or mandates and does not have any thematic focus.

In
the Wallonia-Brussels Federation, block funding for HEIs is allocated on the
basis of the number of students and FTE researchers – the allocation of block
funding is not allocated based on scientific performance indicators such as
bibliometrics. Nonetheless some additional public funding tools for the HEIs,
such as the Actions de recherche concertées (ARC) and the Fonds spéciaux de la
recherche (FSR) are based on competitive peer reviewing procedures and take the
excellence of the research production into account.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders' total budget allocated as institutional funding based on institutional assessment and/or evaluation || National level || 46.2 % || 2013 || ERA survey 2014

Share of responding funders' total budget allocated as institutional funding based on institutional assessment and/or evaluation || EU level || 24 % || 2013 || ERA survey 2014

The
share of research funders in Belgium who responded to the survey and the
support institutional assessment for  allocating  institutional funding is
higher than the EU average.

2.  
TRANSNATIONAL COOPERATION

  
2.1.   Implementing joint research agendas

The
country is involved in transnational cooperation. It supports also bilateral
and multilateral initiatives.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders' total budget allocated to transnationally coordinated R&D || National level || 2.7 % || 2013 || ERA survey 2014

Share of responding funders' total budget allocated to transnationally coordinated R&D || EU level || 4.1 % || 2013 || ERA survey 2014

Share of responding funders' research and development budget dedicated to jointly defined research agendas with non-national EU organisations || National level || 2.6 % || 2013 || ERA survey 2014

Share of responding funders' research and development budget dedicated to jointly defined research agendas with non-national EU organisations || EU level || 1.7 % || 2013 || ERA survey 2014

The
share of responding funders’ total budget in Belgium allocated to
transnationally coordinated R&D is lower than the EU average.

The
share of responding funders’ research and development budget in Belgium
dedicated to jointly defined research agendas with other EU organisations is
higher than the EU average.

Cooperation
between institutions of Member States, Associated Countries and Third Countries
is fostered by the Framework Programme (FP). In the Seventh Framework Programme,
the share of participation of Belgium in total participation is 5% and the
country received 4.8% of total EC contribution. FP funding represents EUR 157
per inhabitant (EU average EUR72 per capita) for the period 2007-2013 and 5 %
of the Gross Domestic Expenditures on R&D (GERD) for the period 2007-2011
(last available data) (EU average is 3 % of GERD for the same period).

Concerning
joint programming initiatives, the country participates in 10 of the 10
on-going initiatives [coordinating 0 of them]. These initiatives are
Neurodegenerative diseases (Alzheimer), Food Security, Agriculture and Climate
Change, Cultural Heritage and global change: a new challenge for Europe,
Healthy Diet for Healthy Life, The Demographic change (More Years, Better Life),
Antimicrobial resistance - An emerging threat to human health, Connecting
Climate Knowledge for Europe, Water Challenges for a Changing world, Healthy
and Productive Seas and Oceans, and Urban Europe - Global Challenges, Local
Solutions.

Belgium
is involved in four Article169/185 initiatives (Ambient Assisted Living,
European and Developing Countries Clinical Trials Partnership, EMRP and
Eurostars),

ERA-NETs
facilitate the coordination and collaboration of national and regional research
programmes, in particular the preparation and implementation of joint calls for
transnational research proposals between national and/or regional programmes.
The country has participated in a total of 86 ERA-NETs, of which 26 are
currently still running. The country also has participated in seven ERA-NET
Plus actions of which four are still running in areas with high European added
value and additional EU financial support topping up their joint call for
proposals.

Concerning
research agreements with EU Member States and/or Associated Countries, Flanders
is active in several EU Interreg projects in future-oriented domains. Examples
are BioBase Europe (bioeconomy), NanoSensEU (nanotechnology) or Waterstofregio
(Hydrogen Region, a finalist of the EUROSTARS AWARD 2012.

  
2.2.   Openness for international cooperation with third countries and regions

In
terms of international cooperation with third countries and regions, the
country has not developed a specific policy.

Several
bilateral agreements reinforce cooperation. These agreements are signed at
Federal level or Community level. At Federal level, agreements exist with
Bulgaria, China, Poland, Russia, Vietnam. Wallonia-Brussels signed agreements
with Argentina and the Flemish Community via FWO with Brazil, Ecuador, Quebec,
Vietnam, South Africa, Luxembourg, Netherlands and Slovenia. The FWO started in
2012 with a new Pegasus program for postdoctoral fellowships to attract
researchers from abroad. Exchange Agreements with the FWO and international
partners have entered into force with research councils from South Korea,
Turkey and Mexico. In August 2013, Belgium was involved in 125 joint calls
related to EU joint research agendas. Moreover, bilateral agreements are also
implemented through yearly joint calls.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders' research and development budget allocated to collaboration programmes carried out with third countries || National level || 0.2 % || 2013 || ERA survey 2014

Share of responding funders' research and development budget allocated to collaboration programmes carried out with third countries || EU level || 2.4 % || 2013 || ERA survey 2014

Share of organisations' research and development budget amongst responding research performing organisations originating from third countries || ERA compliant cluster (EU level) || 0.8 % || 2013 || ERA survey 2014

Share of organisations' research and development budget amongst responding research performing organisations originating from third countries || ERA compliant cluster (national level) || 0 % || 2013 || ERA survey 2014

Share of organisations' research and development budget amongst responding research performing organisations originating from third countries || Limited compliance to ERA cluster (national level) || 0 % || 2013 || ERA survey 2014

The
share of responding funders' research and development budget in Belgium
allocated to collaboration programmes carried out with third countries is lower
than the EU average.

Within
the ERA compliant cluster in Belgium, the organisations declared that they did
not receive funding from third countries.

  
2.3.   Interoperability, mutual recognition of evaluation results and other
schemes

Mutual
recognition of evaluations that conform to international peer-review standards
is not supported as such. However, Belgium and its Communities develop
cooperation with other EU and non-EU countries to facilitate cross border
interoperability. The implementation guides of these agreements apply to each
bilateral call for proposal and set the common priorities. The crossborder
interoperability and mutual recognition mechanism is facilitated in the case of
the Lead Agency process implemented in Flanders with Luxembourg, the
Netherlands and Slovenia. The key features of the Lead Agency system in are:

•           The
support to joint projects for a maximum duration of three years.

•           Thematic
areas are defined by the agreements.

•           The
objective of these agreements is to enhance the cooperation between the
scientists of signatory countries.

•           The
proposal is evaluated by the Lead Agency only, according to national rules. The
partner funding organisation accepts the evaluation results as a basis for its
decision process.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders which can base their project-based research and development funding decisions on peer reviews carried out by non-national institutions || National level || 46.9 % || 2013 || ERA survey 2014

Share of responding funders which can base their project-based research and development funding decisions on peer reviews carried out by non-national institutions || EU level || 38.5 % || 2013 || ERA survey 2014

Share of responding funders' project-based research and development budget allocated through peer review carried out by institutions outside the country || National level || 0.1 % || 2013 || ERA survey 2014

Share of responding funders' project-based research and development budget allocated through peer review carried out by institutions outside the country || EU level || 0.8 % || 2013 || ERA survey 2014

The
share of research funders in Belgium who responded to the survey and can base
their project-based research and development funding decisions on peer reviews
carried out by non-national institutions is higher than the EU average.

The
share of responding funders' project-based research and development budget in
Belgium allocated through peer review carried out by institutions outside the
country is lower than the EU average.

3.  
RESEARCH INFRASTRUCTURES

  
3.1.   Financial commitments for the construction and operation of ESFRI,
national and regional research infrastructures of pan-European interest

Belgium
participates in the following large international research infrastructures:
European Space Agency (ESA), Conseil Européen pour la Recherche Nucléaire
(CERN), European Fusion Development Agreement (EFDA), European Molecular Biology
Laboratory (EMBL), European Southern Observatory (ESO), The European
Synchrotron Radiation Facility (ESRF) and Institute Laue-Langevin (ILL). In
2012, the country contributed 1.7% of GBAORD to the activities carried out by
CERN, EMBL, ESO, ESRF, ILL and the European Commission’s Joint Research Centre
(JRC) (Eurostat).

With
regards to participating in the European Research Infrastructure Consortium,
Belgium is involved in four of the seven consortia which adopted the legal
framework designed by the Commission to facilitate the establishment and
operation of research infrastructures of European interest involving several
European countries. Belgium is member of SHARE-ERIC, CLARIN ERIC, ESS ERIC and
Biobanking and Biomolecular Resources Research Infrastructure (BBMRI-ERIC).

In
terms of support for  developing and implementing Research Infrastructures (RI)
in Belgium, there is an ongoing national debate on the approach for 
participating in the European Strategy Forum on Research Infrastructures
(ESFRI) roadmap with a clear division of responsibilities and guiding rules.
The ministers in charge of research are debating a national approach regarding
the participation in the ESFRI roadmap with a clear division of
responsibilities and guiding rules. Flanders is co-operating in five ESFRI
projects (ICOS, LIFEWATCH, ESSurvey, SHARE, PRACE) over 20 to 25 years, for a
budget of EUR 3.5 million in 2012. It has allocated a supplementary budget of
EUR 5 million euro to the Hercules Foundation for special research infrastructure,
aimed at supporting the participation of Flemish actors in the ESFRI-ERIC
initiatives. Proposals from consortia of Flemish researchers were evaluated in
2012 within the context of a general assessment of a potential participation of
Flanders at the construction and exploitation of the INSTRUCT, EMBRC, ANAEE en
DARIAH projects. For four ESFRI projects (BBMRI, EATRIS, ECRIN, ELIXIR), the
evaluation of the proposal and consequent possible Flemish participation will
be finalised in 2014. The Flemish Government also awared support to the Grand
Accelerateur National d'Ions Lourds (GANIL) in Caen (France), as a one-off
input for the setup of the 'High Resolution Separator' of SPIRAL2.

The
Wallonia-Brussels Federation and Wallonia approved their participation to the
same projects in addition to PRACE (EUR 4.4 million are given by Wallonia for
the participation in the PRACE project in 2011) and BBMRI, for a budget of EUR
6 million in 2012.

Some
EUR 5.8 million have been jointly allocated by Wallonia and the Wallonia-Brussels
Federation to insert teams of researchers in the European infrastructures of
the ESFRI Roadmap (PRACE, SHARE, LIFE WATCH, ICOS, BBMRI and ESSurvey.5).

  
3.2.   Access to research infrastructures of pan-European interest

In
terms of access to RIs among the research infrastructures coordinated by BE,
access to five of them has been funded by the European Commission.

4.  
OPEN LABOUR MARKET FOR RESEARCHERS

  
4.1.   Introduction to open labour market for researchers

A
detailed report can be found in the country profile for Belgium in the
Researchers’ Report 2014
[http://ec.europa.eu/euraxess/pdf/research\_policies/country\_files/Belgium\_Country\_Profile\_RR2014\_FINAL.pdf].

The
following text provides an overview of the current situation and recent
progress made in several key areas.

Stock
of researchers

There
were 42 686 full time equivalent (FTE) researchers in Belgium in 2011. This
represents 8.8 researchers per 1000 labour force compared with 5.3 among the
Innovation Union reference group (Moderate Innovators) and an EU average of
6.7.

  
4.2.   Open, transparent and merit-based recruitment of researchers

In
2013, the number of researcher posts advertised through the EURAXESS Jobs
portal per 1000 researchers in the public sector was 44.1 in Belgium compared
with 72.3 among the Innovation Union reference group and an EU average of 43.7.

In
2012, 65% of university-based researchers were satisfied with the extent to
which research job vacancies are publicly advertised and made known by their
institution (More2 survey, 2012).

Recruitment
policies are a matter for academic autonomy, but the Federal State encourages
institutions to recruit as openly as possible. However, the traditions of some
institutions and linguistic laws can be seen as barriers to the openness of the
recruitment process. The Wallonia-Brussels Federation’s Fonds de la Recherche
scientifique (FRS-FNRS) has reformed its recruitment system throughout the
selection process. In detail, the reform eliminates the age criterion formerly
applied to applicants for FRS-FNRS mandates, provides pre-defined evaluation
criteria and feedback to the candidates, develops an evaluation procedure for
selecting of projects that involves more external experts from outside the 
Wallonia-Brussels Federation, advertises the calls for candidates and the
mechanisms for obtaining a mandate in FRS-FNRS/Associated Funds more widely on
different internet portals (FRS-FNRS, EURAXESS, etc). A renewed Internet portal
has also been created, containing information of better quality on the FRS-FNRS
procedures.

  
4.3.   Attractive careers

At
Federal level, the BELSPO endorsed the Charter & Code in 2011. All
strategic research centres and universities in Flanders have acknowledged and
implemented the Charter & Code principles. In the Wallonia-Brussels
Federation, the EURAXESS Rights Group (made up of university representatives),
the FRS-FNRS and the Walloon administration have agreed on a communication plan
for the implementation of the Charter & Code. In addition, higher education
institutions (via the CGHE - Conseil général des Hautes Ecoles and the
Interface ADISIF-Entreprises, a service centre for research centres and higher
education institutions and research centres have been invited to participate in
the initiative.

By
May 2014, 15 Belgian organisations were involved in the Commission’s Human
Resources Strategy for Researchers of which 11 had received the HR Excellence
in Research logo for their progress in implementing the Charter & Code.

The
2012 funding agreements between the Flemish government (Ministry of Innovation)
and three strategic Research Centres (IMEC, VIB and iMINDS V.Z.W.), foresees
that the research centres must have a coherent Human Resources policy (on
recruitment, career development, salary, training and working conditions),
should introduce a clear non-discrimination policy and respect the principles
of the Charter & Code for recruitment. The agreements contain details of
the funding envisaged as well as the duties and rights of the beneficiaries.

  
4.4.   Supporting structured innovative doctoral training programmes

The
number of new doctoral graduates per 1000 population aged 25 to 34 years old
was 1.5 in 2011 compared to 1.6 among the Innovation Union reference group and
an EU average of 1.7.

The
Flemish Community finances the Support Programme for Young Researchers with a
yearly budget of EUR 4 million. The Programme targets young researchers at
doctoral and postdoctoral level, providing them with training, career
development incentives, and support for participating in international events
and job fairs. In the Wallonia-Brussels Federation, measures to improve
researchers’ employment skills and competencies are taken individually by the
universities and doctoral schools.

  
4.5.   International and inter-sectoral mobility

In
2011, the percentage of doctoral candidates with citizenship of another EU27
Member State was 14.2% in Belgium compared to 18.4% among the Innovation Union
reference group and an EU average of 7.7 %. The percentage of non-EU doctoral
candidates as a percentage of all doctoral candidates was 21.0 % in Belgium
compared to 16.9 % among the Innovation Union reference group and an EU average
of 24.2 %.

The
Back to Belgium grants and the post-doc fellowships of the federal government as
well as the Methusalem and Odysseus Programmes of the Flemish community and the
Ulysses Programme of Wallonia-Brussels Federation target talented researchers
to come/remain in Belgium and perform their research activities. They are
designed to promote the reintegration (and long-term stay) and use of the
skills acquired during a post-doctorat stays abroad of highly-qualified
researchers (Belgians, or foreigners who have stayed at least three years in
Belgium for studies), who have been working in another country for at least two
years.

In
the Flemish Community, the Agency for Innovation by Science and Technology
(IWT) Innovation mandates are set up with the objective of connecting the
academic and the industrial world, and stimulating postdoctoral researchers to
improve their skills in maximising the value of their research and to develop
their careers, taking a step towards industry. Inter-sectoral mobility is
encouraged during the fellowship. There are innovation mandates leading to the
establishment of a spin-off company (so-called spin-off mandates) and those
involving cooperation with existing companies. The annual budget is some EUR2
to 3 million. Approximately 40 mandates are granted yearly. In the
Wallonia-Brussels Federation (FWB), one of the objectives of the Marshall Plan
2.Green is to encourage enterprise competitiveness and attractiveness and
promote research and innovation, in close linkage with enterprises. In
addition, the Wallonia-Brussels Federation intends, as part of Marshall 2.Green
(2009-2014), to promote the recognition of the years preparing for a doctorate
as relevant job experience in the public sector (in French speaking Belgium),
so that these years can be taken into account in the salary scale of the young
civil servants/doctorate holders. This proposal has been approved by the
governments of Wallonia and the Wallonia-Brussels Federation and is under the
responsibility of the Minister of Public Service.

5.  
GENDER

  
5.1.   Foster cultural and institutional change on gender

Belgium
has set up specific laws or actions for implementating EU legislation in the
field of research.  The country has set up a gender equality strategy in
research institutions.

There
are essentially soft measures launched at Federal level and by the Flemish and
French Communities in terms of gender equality and gender mainstreaming in
research. In Flanders, an action plan on Gender Equality in academia was
adopted in 2012. The Wallonia-Brussels Partnership for Researchers adopted in
2011 also contains several orientations to improve gender balance in the
research community.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting gender equality in research || National level || 85.2 % || 2013 || ERA survey 2014

Share of responding funders supporting gender equality in research || EU level || 82.2 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample which have adopted Gender Equality Plans || ERA compliant cluster (EU level) || 64 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample which have adopted Gender Equality Plans || ERA compliant cluster (national level) || 56.4 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample which have adopted Gender Equality Plans || Limited compliance to ERA cluster (national level) || 1.6 % || 2013 || ERA survey 2014

The
share of research funders in Belgium who responded to the survey and support
national policies on gender equality in public research is higher than the EU
average.

Within
the ERA compliant cluster in Belgium, the share of research-performing
organisations which that have adopted Gender Equality Plans is lower than
within the EU ERA compliant cluster.

The
country has measures supporting return after parental leave.

At
Federal level, and in the Flemish and French Communities, permanent researchers
enjoy the same rights for maternity leave as all employees. They also provide
mechanisms for the suspension of the grants during maternity leave.

The
country provides incentives for recruiting female researchers.

Parental
leave:

In
addition to social security provisions (including maternity leave provisions),
the Walloon Government ensures that all researchers enjoy the same rights to
grant extension and alternative incomes during maternity leave. The provisions
are applicable to researchers with fixed-term contracts as well as grant
beneficiaries.

The
FRS-FNRS allows for an extension of a mandate or a grant when a fixed-term
mandate or a grant is suspended due to maternity, paternal or adoption leave,
for a period equal to that of the suspension. A replacement income is then
provided by the healthcare body (as is also the case for open-ended mandates)
and a complement is provided by the FRS-FNRS to compensate for the loss of
income.

The
FWO for example extends the fellowship of female researchers with one year to
compensate for the pregnancy leave. In Flanders, this follows a decision from
the Flemish Government dated 13 July 2007 on setting up a quota of a maximum of
two thirds of one sexes in boards that advice government or individual
ministers. This applies for example to the internal scientific advisors of the
Agency for Innovation by Science and Technology (IWT).

Balanced
participation between men and women:

The
Flemish action plan on Gender Equality in academia and the Wallonia-Brussels
Partnership for Researchers were followed by actions such as the joint
interuniversity master Gender Studies established by the five Flemish
universities.

The
Collaboration agreement with the Flanders Scientific Research Fund (FSR)
2012-2016 specifically mentions the need for more (female) researchers, more
international researchers and better research conditions in Flanders.

At
the end of May 2012 the  Flemish’ inter-university Council (VLIR) submitted the
Actieplan (Action Plan) Gender Hoger Onderwijs (Action Plan Gender Higher
education) to ensure that gender policy at universities is developed from the
bottom up. The Flemish Interuniversity Council (Vlaamse Interuniversitaire
Raad/VLIR) set up the Gender at Universities high-level action group. The group
aims to improve the gender balance among professors, researchers and students
by a gender action plan at the level of the universities. In the course of
2013, this action plan will be translated into an interuniversity charter on
gender equality that will contain obligatory clauses.

The
new legislation regarding the research funding through the special research
funds (valid from 1 January 2013) pays a lot of attention to the gender balance
in the universities:

-
          One of the performance indicators used to calculate the sum per
university is a diversity parameter that looks at the number of female
researchers at postdoctoral and permanent level

-
If one of the sexes at postdoctoral and permanent level (per faculty)is under
represented, in recruitment procedures with equal candidates priority must be
given to the underrepresented sex.

-
Administrative boards, research councils and selection juries must be gender
balanced.

-
The headmasters of the universities of the Flemish Community are required to
submit (by early 2014) a proposal on the actions to be taken in favour of the
gender balance.

-
Labour law and rules are not only affecting researchers but all other labour
market participants. In this respect, the Government Agreement of 1 December
2011, the basis for the new federal government, states the extension of
anonymous curriculum vitae for applications in the public sector (first round).
A specific law will also be established concerning equal pay.

Indicator || Level/cluster || Value || Year || Source

Share of responding research performing organisations implementing recruitment and promotion policies for female researchers || ERA compliant cluster (EU level) || 53.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations implementing recruitment and promotion policies for female researchers || ERA compliant cluster (national level) || 54.9 % || 2013 || ERA survey 2014

Share of responding research performing organisations implementing recruitment and promotion policies for female researchers || Limited compliance to ERA cluster (national level) || 1.6 % || 2013 || ERA survey 2014

Within
the European Research Area (ERA) compliant cluster in Belgium, the share of
research performing-organisations implementing recruitment and promotion
policies for female researchers is higher than within the EU ERA compliant
cluster.

There
seems to be no policies fostering gender as criteria in research programmes.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting the inclusion of gender dimension in research content || National level || 45.9 % || 2013 || ERA survey 2014

Share of responding funders supporting the inclusion of gender dimension in research content || EU level || 48.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations which include the gender dimension in research content || ERA compliant cluster (EU level) || 44 % || 2013 || ERA survey 2014

Share of responding research performing organisations which include the gender dimension in research content || ERA compliant cluster (national level) || 54.1 % || 2013 || ERA survey 2014

Share of responding research performing organisations which include the gender dimension in research content || Limited compliance to ERA cluster (national level) || 3.7 % || 2013 || ERA survey 2014

The
share of research funders in Belgium who responded to the survey and support
gender dimension in research content/programmes is lower than the EU average.

Within
the ERA compliant cluster in Belgium, the share of research-performing organisations
that include the gender dimension in research content is higher than within the
EU ERA compliant cluster.

  
5.2.   Gender balance in the decision-making process

Concerning
gender balance in decision making, the country has set up targets for the
participation of the under represented sex in decision making bodies of
Research Performing Organisations.

The
Flemish action plan on Gender Equality in academia and the Wallonia-Brussels
Partnership for Researchers require a better gender balance in committees.
However, they do include neither identified target nor mechanisms.

See
also the new legislation regarding research funding through the special
research funds (valid from 1 January 2013):

Administrative
boards, research councils and selection juries must be gender balanced.

Indicator || Level/cluster || Value || Year || Source

Share of gender-balanced recruitment committees for leading researchers amongst responding research performing organisations || ERA compliant cluster (EU level) || 33.6 % || 2013 || ERA survey 2014

Share of gender-balanced recruitment committees for leading researchers amongst responding research performing organisations || ERA compliant cluster (national level) || 0 % || 2013 || ERA survey 2014

Share of gender-balanced recruitment committees for leading researchers amongst responding research performing organisations || Limited compliance to ERA cluster (national level) || 0 % || 2013 || ERA survey 2014

Share of gender-balanced research evaluation panels amongst responding research funding organisations || National level || 34.9 % || 2013 || ERA survey 2014

Share of gender-balanced research evaluation panels amongst responding research funding organisations || EU level || 35.8 % || 2013 || ERA survey 2014

Within
the ERA compliant cluster in Belgium, no gender-balanced recruitment committees
for leading researchers in research-performing organisations could be
identified.

The
share of gender-balanced research evaluation panels amongst responding research
funding organisations in Belgium is lower than the EU average.

6.  
KNOWLEDGE CIRCULATION

  
6.1.   Open access to publications and data resulting from publicly funded
research

In
terms of support to open access, Belgium has a proactive policy on open access
to scientific publications:

-
In 2007, Belgian public funding organisations signed the Berlin Declaration on
Open Access.

-
          In October 2012, the ministers of Science and Research at federal
level and from each Community signed a Declaration on open access in Brussels
in which they agreed to make open access the default for all Belgian research
output.

-
The main funding agencies (FWO and F.R.S.-FNRS) are obliged to self-archive all
articles coming from research funded by them.

The
share of research funders in Belgium who responded to the survey and support
open access to publications is higher than the EU average.

Within
the ERA compliant cluster in Belgium, the share of publicly-funded scientific
publications in open access amongst research-performing organisations is lower
than within the EU ERA compliant cluster.

Concerning
open access to data, according to OpenAire Belgian fiche FWO is studying an
obligation for research that it funds to deposit relevant raw datasets.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting open access to data || National level || 50.8 % || 2013 || ERA survey 2014

Share of responding funders supporting open access to data || EU level || 33.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations making scientific research data available on-line and free of charge || ERA compliant cluster (EU level) || 54.2 % || 2013 || ERA survey 2014

Share of responding research performing organisations making scientific research data available on-line and free of charge || ERA compliant cluster (national level) || 3.7 % || 2013 || ERA survey 2014

Share of responding research performing organisations making scientific research data available on-line and free of charge || Limited compliance to ERA cluster (national level) || 3.7 % || 2013 || ERA survey 2014

The
share of research funders in Belgium who responded to the survey and support
open access to data is higher than the EU average.

Within
the ERA compliant cluster in Belgium, the share of research-performing
organisations making available online and free of charge publicly-funded
scientific research data systematically is lower than within the EU ERA
compliant cluster.

With
respect to repositories, The DRIVER project led by the University of Ghent
played an important role to promote open access awareness in the scientific
community and among repository managers. It was followed by other initiatives,
in particular from the University of Liège.

  
6.2.   Open innovation and knowledge transfer between public and private
sectors

In
relation to open innovation and knowledge transfer between public and private
sectors, Belgium has not developed a knowledge transfer strategy. However, on
the Community and regional level open circulation of knowledge between
companies and research organisations is supported in various ways.

Several
programmes are implemented to facilitate knowledge transfer between public and
private sector. Nearly all the items identified in this report are covered.
However, distinct measures are established by each Community, and an item can
be covered by one and not by the other, as described below.

Funding
organisations support the professionalisation of knowledge transfer activities,
a necessary condition to increase the rate of success of the programmes

Strategic
partnerships and/or the definition of joint collaborative research agendas
between academia and industry are supported by funding organisations in Belgium

o          Support
to networking and communication activities with the private sector (e.g.
academia-private sector networks, alumni networks, platforms, job fairs).

The
French Community PRODOC programme promotes exchanges between researchers and
private sector via events such as job forums.

o          Support
to the implementation of research training agreements with private sector
organisations

In
Flanders, IWT Innovation mandates are set up with the objective of connecting
the academic and the industrial world.

o          Support
to structured programmes for placements in the private sector (e.g.
internships) for researchers.

In
Wallonia, the programme FIRST Entreprise provides support to companies to train
young researchers. In Flanders, the Baekeland programme funds doctoral projects
carried out at a Flemish university in close cooperation with a company.

o          Support
to the implementation of bilateral agreements with non-public organisations for
specific projects (e.g. private sector, including the Industry and voluntary
sector).

Both
Communities support technology transfer offices (TTOs) that must stimulate
exchanges with the private sector.

Moreover,
Flanders and Wallonia also develop and support innovation platforms responsible
for competence poles to stimulate cooperation between public research and
industry.

In
Flanders, the IWT has adapted the selection criteria for the annual call for
VIS-trajectories. The aim is to increase the success rate of VIS-trajectories
that also target innovation followers. Moreover, a specific (pilot) call was
launched in 2013 for VIS-trajectories for innovation followers (VIS-trajectIV).
The aim of this is to increase the transfer of innovation to the market (16
projects were selected for support of in total EUR4.6 million).

In
Wallonia, a main action to strengthen relations between public research and
academia is the establishment of public-private partnerships (PPPs) for
R&D. It supports projects financed by the region, private sector and public
research organisations on strategic research for companies. The aim is to
foster synergies between private and public research.

o          Support
to intellectual property right (IPR) including patents.

In
Wallonia, financial support to patent is provided to public research
organisations since they can demonstrate the potential economic value of the
patent.

o          Support
the creation, management and/or follow-up of spin-offs.

Wallonia,
Brussels and Flanders established specific funding programmes to support spin-offs:
Venture cap for spin-off and FIRST Spin-off in Wallonia; Spin-off in Brussels;
and in Flanders there exist the Innovation Mezzanine, the SOFI fund, Vinnof,
and ARKimedes fund (managed by PMV).

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting the implementation of knowledge transfer as part of its institutional and/or project-based funding || National level || 69.6 % || 2013 || ERA survey 2014

Share of responding funders supporting the implementation of knowledge transfer as part of its institutional and/or project-based funding || EU level || 82.9 % || 2013 || ERA survey 2014

Share of responding research performing organisations' research and development budget financed by the private sector || ERA compliant cluster (EU level) || 6.8 % || 2013 || ERA survey 2014

Share of responding research performing organisations' research and development budget financed by the private sector || ERA compliant cluster (national level) || 8.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations' research and development budget financed by the private sector || Limited compliance to ERA cluster (national level) || 0.9 % || 2013 || ERA survey 2014

Share of responding research performing organisations having or using a structure for knowledge transfer activities || ERA compliant cluster (EU level) || 75 % || 2013 || ERA survey 2014

Share of responding research performing organisations having or using a structure for knowledge transfer activities || ERA compliant cluster (national level) || 87 % || 2013 || ERA survey 2014

Share of responding research performing organisations having or using a structure for knowledge transfer activities || Limited compliance to ERA cluster (national level) || 6.6 % || 2013 || ERA survey 2014

Share of responding research performing organisations having dedicated staff employed in knowledge transfer activities || ERA compliant cluster (EU level) || 66.3 % || 2013 || ERA survey 2014

Share of responding research performing organisations having dedicated staff employed in knowledge transfer activities || ERA compliant cluster (national level) || 87 % || 2013 || ERA survey 2014

Share of responding research performing organisations having dedicated staff employed in knowledge transfer activities || Limited compliance to ERA cluster (national level) || 2.6 % || 2013 || ERA survey 2014

Share of research personnel whose primary occupation is in the private sector (in headcount) || ERA compliant cluster (EU level) || 2.9 % || 2013 || ERA survey 2014

Share of research personnel whose primary occupation is in the private sector (in headcount) || ERA compliant cluster (national level) || 0 % || 2013 || ERA survey 2014

Share of research personnel whose primary occupation is in the private sector (in headcount) || Limited compliance to ERA cluster (national level) || 0.2 % || 2013 || ERA survey 2014

The
share of research funders in Belgium who responded to the survey and support
national support to knowledge transfer and open innovation, TTOs and Private
Public interaction is lower than the EU average.

Within
the ERA compliant cluster in Belgium, the share of research performing
organisations having funding originating from the private sector is higher than
within the EU ERA compliant cluster.

Within
the ERA compliant cluster in Belgium, the share of research-performing
organisations having or using a structure for knowledge transfer activities is
higher than within the EU ERA compliant cluster.

Within
the ERA compliant cluster in Belgium, the share of research-performing
organisations having dedicated staff employed in knowledge transfer activities
is higher than within the EU ERA compliant cluster.

Within
the ERA compliant cluster in Belgium, no research personnel whose primary
occupation is in the private sector (in full time equivalents) could be
identified.

  
6.3.   Harmonise policies for public e-infrastructures and associated digital
research services

In
relation with implementation of the Digital ERA, Belgium has not set up a
strategy for its implementation. However, the country has implemented a
research and education network, essential to make digital services possible.

At
Federal level, BELSPO has established an operational unit named BELNET
responsible for the design and network management and research education in
Belgium. Nearly 200 institutions representing more than 650 000 users are
connected to BELNET. It provides on-request services such as a platform for
e-collaboration or video conferencing. At Community level, Flanders developed
virtual labs in the areas of medicine and new materials.

Concerning
digital services, the country provides premium services.

Indicator || Level/cluster || Value || Year || Source

Share of responding research performing organisations providing digital research services (i.e. cloud services, research collaboration platform, etc.) || ERA compliant cluster (EU level) || 80.8 % || 2013 || ERA survey 2014

Share of responding research performing organisations providing digital research services (i.e. cloud services, research collaboration platform, etc.) || ERA compliant cluster (national level) || 65.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations providing digital research services (i.e. cloud services, research collaboration platform, etc.) || Limited compliance to ERA cluster (national level) || 7.9 % || 2013 || ERA survey 2014

Within
the ERA compliant cluster in Belgium, the share of research-performing
organisations providing digital research services (i.e. cloud services,
research collaboration platform, etc.) is lower than within the EU ERA
compliant cluster.

  
6.4.   Uptake of federated electronic identities

Belgium
was a member of an identity federation in 2011. It was a member of an identity
federation in 2013. The country is member of eduGAIN, a service intended to
enable the trustworthy exchange of information related to identity,
authentication and authorisation between the GÉANT (GN3plus) Partners'
federations.

Indicator || Level/cluster || Value || Year || Source

Share of responding research performing organisations in the sample providing federated electronic identities for their researchers || ERA compliant cluster (EU level) || 38.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample providing federated electronic identities for their researchers || ERA compliant cluster (national level) || 8.1 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample providing federated electronic identities for their researchers || Limited compliance to ERA cluster (national level) || 5.4 % || 2013 || ERA survey 2014

Within
the ERA compliant cluster in Belgium, the share of research-performing
organisations providing federated electronic identities for their researchers
is lower than within the EU ERA compliant cluster.

7.  
NOTES ON THE 2014 ERA SURVEY RESULTS

  
7.1.   Comments

A
total of 35 research performing organisations in Belgium answered the 2014 ERA
survey, which represents 19.2% of the total number of researchers in the
country (total number of researchers in the country as of 2011).

The
principal component and clustering analysis of research performing
organisations in Belgium shows that 24.1 % of them are in the ‘ERA compliant’
cluster, 55.2 % can be classified in the ‘limited compliance to ERA’ cluster
and 20.7 % of organisations in the ‘ERA principles are not applicable’ cluster.
However, when the organisations are weighted by the number of researchers in
each organisation, the results significantly vary. Indeed, the shares of
‘weighted’ organisations are 87.9 % for the ‘ERA compliant’ cluster, 11.4 % for
the ‘ERA limited compliant’ cluster and 0.7 % for those organisations where ERA
principles are not applicable.

Some
large universities and research institutes did not reply to the survey, which
diminishes the representativeness of the results of the research performance
organisations.

For
the indicator 'Share of total budget allocated as project based funding' it
should be noted that part of the funding of private industry research takes
place directly by ministries without intervention by any funding organisation.

Policy
measures in support of ERA implementation

Initiative || Adopted in || Adopted since 2012 || New measure since 2013

Research and innovation system

Brussels‐Capital Region strategy for Research, Development and Innovation (RDI) - up-date || 2012 || X ||

Flanders : Smart Specialisation strategy concept paper || 2013 || X || X

Indicators' database of BELSPO || 2012 || X ||

WAL-TECH || 2013 || X || X

Project-based funding applying the core principles of international peer review

Research strategy 2011-2015 of Wallonia and the Brussels-Wallonia federation || 2012 || X ||

Calls on international experts for the evaluation of fellowships and projects applications || || ||

Wallonia's Marshall Plan 2.Green || 2012 || X ||

Institutional funding based on institutional assessment

Peer Assessment of the Walloon regional innovation system (OECD) || 2012 || X ||

Fundamental Strategic Research Fund || 2012 || X ||

Belgian Research Action through Interdisciplinary Networks (BRAIN\_be) || 2012 || X ||

Implementing joint research agendas

Adoption of a joint action plan shared by the  governments of Flanders, Wallonia and the Wallonia-Brussels Federation for boosting economic activity through R&D || 2012 || X ||

Joint call Belgium/India || 2011 || ||

Interoperability, mutual recognition of evaluation results and other schemes

Joint call for micro awareness-raising projects in 2011 called ‘Later, I will be Einstein or Marie Curie' Regions Wallonia/ Brussels and French speaking community || 2011 || ||

Bilateral agreements for economic, industrial, scientific and technological cooperation with third countries || || ||

Joint call for RDI projects- WB GREEN (Brussels Region and Wallonia) || 2012 || X ||

Flanders: Interreg programme participation || || ||

Financial commitments for the construction and operation of ESFRI, national and regional research infrastructures of pan-European interest

Financing of research infrastructure investments || || ||

Open, transparent and merit-based recruitment of researchers

Euraxess Belgium || || ||

‘Wallonia-Brussels Partnership for Researchers’ || 2012 || X ||

Opening up recruitment of researchers || || ||

Improve  objectivity and transparency of decision making on recruitment and researchers career paths, including equal opportunities || || ||

Attractive careers

Training young researchers and opening up career prospects || 2011 || ||

Brussels Capital region - DOCTRIS || || ||

Flanders – Baekeland mandates            innovation mandates || || ||

Gender balance in the decision-making process

Collaboration agreement  with the Flanders Scientific Research Fund (FSR) 2012-2016 || 2012 || X ||

Minimum % of experts of the same sex in scientific evaluation panels || || ||

Gender at Universities high-level action group || 2013 || X || X

Wallonia-Brussels Partnership for researchers || 2011 || ||

Flanders : Gender Action Plan || 2012 || X ||

Women and Science committee Wallonia-Brussels Federation || || ||

Open access to publications and data resulting from publicly funded research

Open Access scheme || || ||

Brussels Declaration on Open Access || 2012 || X ||

STIS service of BELSPO || 2013 || X || X

Open innovation and knowledge transfer between public and private sectors

Wallonia - Second “Public Private Partnership” (PPP) call || || ||

Excellence centres - Flanders || 2012 || X ||

Public-Private Partnership (PPP 2012) Programme || 2012 || X ||

Support of interface technology transfer offices || || ||

"Innovation centre Flanders" - Concept Note || 2012 || X ||

1.  
MORE EFFECTIVE NATIONAL SYSTEMS

  
1.1.   Research and innovation system

The
Bulgarian Government has adopted a series of measures aimed at modernising the
national research and development (R&D) structures. The Bulgarian National
Reform Programme (NRP) 2013 identifies the need to improve the efficiency of
public spending for R&D by leveraging funds to attract more private capital
as key for achieving its national target of 1.5% of GDP in 2020.

The
highest policy-making body of the Bulgarian research system is the National
Assembly of the Republic of Bulgaria (Parliament) which decides the state
budget to be allocated for research in the country, as well as its
distribution. Its Standing Committee on Education, Science, Children, Youths
and Sports plays an important role. Since 2012 the Parliament has controlled
the Bulgarian Academy of Sciences research activities directly.

Research
and innovation (R&I) policies are the responsibility of the Ministry of
Education, Youth and Science (MEYS) and  the Ministry of Economy, and Energy
co-shares some responsibilities for designing and implementing the national
R&D policy. The main competitive national public R&D funding
instruments are the National Innovation Fund (NIF) and the National Science
Fund (NSF).

The
biggest research performers in Bulgaria are the Bulgarian Academy of Sciences
(BAS), the Agricultural Academy and some of the Bulgarian universities. A
recent trend is for research to be carried out in smaller private sector
organisations. The Ministry of Agriculture and Food hosts the Agricultural
Academy, which champions Bulgarian research policy in agriculture. Similarly,
the Ministry of Health oversees the National Centre of Public Health
Protection. The core portion of Bulgarian scientists is employed in public
R&D organisations and higher education establishments, while the percentage
of scientists in business organisations is 14% of the total.

The
country has not adopted a coherent national research and innovation strategy to
underpin the research, development and innovation policy. The National Strategy
for Scientific Research to 2020, as of 2011, is the key policy document, which
sets five priority areas for the development of research in Bulgaria. Public
competitive R&D project grants, support for R&D infrastructures,
structural reform of public research institute sector are becoming important
characteristic of the national policy. However, some necessary strategic
documents and measures are still under preparation such as the Innovation
Strategy, announced already in 2011.

The
latest R&I policy developments in the country are related to the published
drafts for the operational programme (OP), called “Science and Education for
Smart Growth 2014-2020” (version 02.06.2014) and „Innovation and
Competitiveness” (version 02.06.2014), both approved by the Council of
Ministers.

In
terms of R&Dfunding, the Government Budget Appropriations or Outlays for
Research and Development (GBAORD) in Bulgaria represented EUR 14 per inhabitant
in 2012, less than 10% of the EU28 average (EUR 179).  In 2012, total GBAORD
corresponded to 0.7% of total government expenditures and 0.2% of Gross
Domestic Product (Eurostat).

The
analysis of the evolution of GBAORD in the period during the economic crisis
(2007-2012) shows s that in nominal terms, the rate of growth of total GBAORD
in Bulgaria has been higher than the rate of growth of total EU GBAORD. In
terms of R&D efforts, the rate of growth of GBOARD in Bulgaria, measured as
percentage of public government expenditure evolved negatively, but less
negatively than the evolution observed at EU 27 level. Finally, GBAORD as a
share of GDP has regressed more in Bulgaria than the regression observed in
EU28.

  
1.2.   Project-based funding applying the core principles of international peer
review

Since
2010, the competitive project-based R&I funding mechanisms are prevailing
the institutional ones. The inflow of EU Cohesion and Structural Funds in 2010
and 2011 has considerably increased the share of competitive public funding for
R&D.

The
“Regulation No. 9” allows each Higher education institution (HEI) to dedicate
funds (up to 10%) of its total R&D budget to activities, related to their
current financing and support, allocated on competitive basis. Progress must be
reported to MEYS every six months.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders' total budget allocated as project-based funding || National level || 80 % || 2013 || ERA survey 2014

Share of responding funders' total budget allocated as project-based funding || EU level || 66.2 % || 2013 || ERA survey 2014

The
share of research funders in Bulgaria who responded to the survey and support
project-based funding  is higher than the EU average.

The
National Evaluation and Accreditation Agency has introduced criteria compatible
with the European standards, as norms expressed about desired practices,
developed and applied for the institutional and programme accreditation,
evaluation of the projects for opening or transforming HEIs. The Agency defined
a system for post-accreditation monitoring and control and the basis for
contacts with similar institutions and associations in Europe.

Funding
instruments should respect peer review principles, however submitting proposals
only in Bulgarian, in some cases, may in fact hamper the foreign review if
needed.  Starting from 2014 the project proposals submitted to the National
Science Fund should be submitted in Bulgarian and in English and the evaluation
panels should involve foreign reviewers.

Creating
national centres of excellence and competence should embrace capacity and
potential for innovation growth both of the research institutes and
universities working in partnership with the industry and international
partners. They will be supported only after an international evaluation of the
proofs of concept (deadline for submission 30 May 2014) and a valorisation of
their ten year Research and Innovation Strategic Agenda.

One
international evaluation and consultation of research organisation has been
undertaken so far by the Bulgarian Academy of Sciences (BAS), performed jointly
by the European Science Foundation (ESF) and ALLEA. The evaluation had
significant impact on the reform, taking place in the BAS during the period
2010-2012 in the direction of programme oriented organisation of research
activities.

  
1.3.   Institutional funding based on institutional assessment

The
institutional funding available for R&D in universities and in the
Bulgarian Academy of Sciences is further distributed to research projects on
the basis of competitive calls. The R&D funding available, according to
law, is 10% of the total state subsidy, available for each university (in spite
of some fluctuations in practice). Similar is the situation in BAS, where funds
are allocated by the General assembly, upon approval from the Board of
trustees. The allocation of the state subsidy among the 42 BAS institutes is
based on recent research performance and results of international evaluation.
However, institutional funding is seldomly allocated based on an institutional
assessment.

Sources
about research funding instruments in the Higher Education Sector are not that
many. The European University Association (2009) indicated that, in Bulgaria,
funding is distributed using line-item budgets, which implies that universities
receive their funding for already allocated cost items and/or activities
(European university funding and financial autonomy, DG Joint Research Centre,
2011).

In
2010 a new Law on development of academic staff has been introduced, regulating
the acquisition of scientific degrees and academic positions based on autonomy,
free choice of scientific development and objectivity in his assessment, public
interest and international recognition and exchange of information when
conducting procedures.

The
government announced its intention to put in place a system of regular
international evaluation of public research funding organisations (NSF) and
research performing organisation.

The
ranking of universities, launched in 2010, provides the government with a tool
for performance-based allocations. However, the share of funds allocated
according to this ranking is comparatively small and is could be better focused
on R&I. The ranking system compiles information and data for more than 70
indicators, which measure different aspects of university activities including
teaching and learning, university environment, welfare and administrative services,
science and research, prestige, career development and relevance to the labour
market.

The
draft strategy for developing higher education foresees a new methodology for
determining the differentiated standards for maintenance of educating a student
based on the real value of education and research performed in any professional
field. It also envisages measures for strengthening the research potential and
innovative developments in high school.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders' total budget allocated as institutional funding based on institutional assessment and/or evaluation || National level || 0 % || 2013 || ERA survey 2014

Share of responding funders' total budget allocated as institutional funding based on institutional assessment and/or evaluation || EU level || 24 % || 2013 || ERA survey 2014

Research
funders in Bulgaria who responded to the survey indicated that the allocation
of institutional funding is not based on institutional assessment.

2.  
TRANSNATIONAL COOPERATION

  
2.1.   Implementing joint research agendas

The
country is involved in transnational cooperation. It supports also bilateral
and multilateral initiatives.

According
to the ERAWATCH report Bulgaria needs to set more precise guidelines to
elaborate and implement effectively support measures in order to define and
implement common research agenda on grand challenges. The existing set of
priorities of the research agenda are not yet sufficiently connected to meeting
grand challenges.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders' total budget allocated to transnationally coordinated R&D || National level || 0 % || 2013 || ERA survey 2014

Share of responding funders' total budget allocated to transnationally coordinated R&D || EU level || 4.1 % || 2013 || ERA survey 2014

Share of responding funders' research and development budget dedicated to jointly defined research agendas with non-national EU organisations || National level || 0 % || 2013 || ERA survey 2014

Share of responding funders' research and development budget dedicated to jointly defined research agendas with non-national EU organisations || EU level || 1.7 % || 2013 || ERA survey 2014

Research
funders in Bulgaria who responded to the survey indicated that they do not
support transnational cooperation.

The
share of responding funders’ research and development budget in Bulgaria
dedicated to jointly defined research agendas with other EU organisations is
lower than the EU average.

Cooperation
between institutions of Member States, Associated Countries and third countries
is fostered by the Framework Programme (FP). In the Seventh Framework
Programme, the share of participation of Bulgaria in total participation is
0.6% and the country received 0.3% of total EC contribution. FP funding
represents EUR 13 per inhabitant (EU average EUR 72 per capita) for the period
2007-2013 and 0.1% of the Gross Domestic Expenditures on R&D (GERD) for the
period 2007-2011 (last available data) (EU average 3% of GERD for the same
period).

Concerning
Joint Programming Initiatives, the country participates in one of the 10
on-going initiatives, namely the Cultural Heritage and global change: a new
challenge for Europe.

Bulgaria
has been involved in 25 joint calls.

In
terms of programmes undertaken jointly by several Member States (so called
Article 185 initiatives), the country was involved in two programmes. In
Horizon 2020, the country is already involved in two out of the four existing
initiatives.

ERA-NETs
facilitate the coordination and collaboration of national and regional research
programmes, in particular the preparation and implementation of joint calls for
transnational research proposals between national and/or regional programmes.
The country has participated in a total of 20 ERA-NETs, of which 8 are
currently still running. The country also has participated in one ERA-NET Plus
actions in areas with high European added value and additional EU financial
support topping up their joint call for proposals.

Additionally,
the country participates in the EU Strategy for the Danube Region (EUSDR), a
multilateral (and macro-regional) strategy has been developed by the Commission
in cooperation with 11 countries in the Danube region (Austria, Bosnia and
Herzegovina, Bulgaria, Croatia, Czech Republic, Germany, Hungary, Moldova,
Montenegro, Romania, Serbia, Slovakia, Slovenia and Ukraine). It comprises
science and technology cooperation across the region and by the end of 2013 six
scientific clusters were launched.

  
2.2.   Openness for international cooperation with third countries and regions

International
cooperation in the fields of education, higher education, science and
technology is based on bilateral and multilateral international agreements and
implementation of cooperative programmes. Bulgaria has bilateral scientific
agreements with eight third countries among which joint research programmes are
running with Ukraine, India, China and Switzerland.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders' research and development budget allocated to collaboration programmes carried out with third countries || National level || 0 % || 2013 || ERA survey 2014

Share of responding funders' research and development budget allocated to collaboration programmes carried out with third countries || EU level || 2.4 % || 2013 || ERA survey 2014

Share of organisations' research and development budget amongst responding research performing organisations originating from third countries || ERA compliant cluster (EU level) || 0.8 % || 2013 || ERA survey 2014

Share of organisations' research and development budget amongst responding research performing organisations originating from third countries || ERA compliant cluster (national level) || 0.4 % || 2013 || ERA survey 2014

Share of organisations' research and development budget amongst responding research performing organisations originating from third countries || Limited compliance to ERA cluster (national level) || 2 % || 2013 || ERA survey 2014

Research
funders in Bulgaria who responded to the survey indicated that they do not have
measures supporting international cooperation with third countries.

Within
the ERA compliant cluster in Bulgaria, the share of organisations' research and
development budget originating from third countries is lower than within the EU
ERA compliant cluster.

  
2.3.   Interoperability, mutual recognition of evaluation results and other
schemes

No
relevant information was found about the degree of implementation of mutual
recognition of evaluations that conform to international peer-review standards
as a basis for national funding decisions (peer review standards defined in ESF
peer review guide). A Formal comprehensive evaluation of Bulgaria’s
participation in the Framework Programmes of the EU is planned for 2014. 
Bulgaria cooperates with the META group in the project MIRRIS (Mobilising
Institutional Reforms in Research and Innovation Systems), which aims at
encouraging a better exploitation of European research and innovation
programmes and participation in the European Research Area of the 13 target
countries by setting up a process of analysis, dialogue, mutual learning among
key concerned stakeholders, namely research, innovation and institutional
actors.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders which can base their project-based research and development funding decisions on peer reviews carried out by non-national institutions || National level || 0.1 % || 2013 || ERA survey 2014

Share of responding funders which can base their project-based research and development funding decisions on peer reviews carried out by non-national institutions || EU level || 38.5 % || 2013 || ERA survey 2014

Share of responding funders' project-based research and development budget allocated through peer review carried out by institutions outside the country || National level || 5 % || 2013 || ERA survey 2014

Share of responding funders' project-based research and development budget allocated through peer review carried out by institutions outside the country || EU level || 0.8 % || 2013 || ERA survey 2014

The
share of research funders in Bulgaria who responded to the survey and can base
their project-based research and development funding decisions on peer reviews
carried out by non-national institutions is lower than the EU average.

The
share of responding funders' project-based research and development budget in
Bulgaria allocated through peer review carried out by institutions outside the
country is lower than the EU average.

3.  
RESEARCH INFRASTRUCTURES

  
3.1.   Financial commitments for the construction and operation of ESFRI,
national and regional research infrastructures of pan-European interest

Bulgaria
participates in the following large international research infrastructures:
European Space Agency (ESA), Conseil Européen pour la Recherche Nucléaire
(CERN), Joint Institute for Nuclear Research (JINR)-Dubna and European Fusion
Development Agreement (EFDA).

The
country contributes 2,54% of GBAORD to the activities carried out by CERN, the
European Molecular Biology Laboratory (EMBL), the European Southern Observatory
(ESO), the European Synchrotron Radiation Facility (ESRF), the Institut
Laue-Langevin (ILL) and the European Commission’s Joint Research Centre (JRC)
(Eurostat).

In
terms of participation to the development of research infrastructures (RI)
included in the ESFRI Roadmap, the country participates in the preparatory
phase of six of them (12%. of the RI in the Roadmap).

In
terms of financial commitments to the development of these Research
Infrastructures, Bulgaria is committed to fund one RI, namely: CLARIN-ERIC.

With
regards participating in the European Research Infrastructure Consortium,
Bulgaria is not yet involved in any of the nine consortia which adopted the
legal framework designed by the Commission to facilitate the establishment and
operation of research infrastructures of European interest involving several
European countries.

In
terms of support to the development and implementation of Research
Infrastructures, the national roadmap on research infrastructures was published
in 2010 and does include references to the participation of Bulgaria in the
development of the research infrastructures mentioned in the ESFRI roadmap.
Seven of the projects had been supported at national level for preparatory
phase. Still, Bulgaria lacks financial, industrial and human potential for
construction and maintenance of big research infrastructures. Currently an
update of the roadmap is ongoing, following an international evaluation by
ESFRI experts. It will include national research centres with proven capacity
or creating new to serve as regional partner facilities (RPFs) or nodes/hubs of
distributed pan-European Research Infrastructures. RIs should be financed
jointly by national funds and under the OP” Science and Education for Smart
Growth” 2014-2020.

  
3.2.   Access to research infrastructures of pan-European interest

While
the National Strategy of Scientific Research 2020 defines ambitious objectives
towards cross-border access to research infrastructures, its implementation is
still a challenge.

For
the RI coordinated by Bulgaria, access has been funded by the European
Commission

4.  
OPEN LABOUR MARKET FOR RESEARCHERS

  
4.1.   Introduction to open labour market for researchers

A
detailed report can be found in the country profile for Bulgaria in the
Researchers’ Report 2014
[http://ec.europa.eu/euraxess/pdf/research\_policies/country\_files/Bulgaria\_Country\_Profile\_RR2014\_FINAL.pdf].

The
following text provides an overview of the current situation and recent
progress made in several key areas.

There
were 11,902 FTE researchers in Bulgaria in 2011. This represents 3.6
researchers per 1000 labour force compared with 3.0 among the Innovation Union
reference group (Modest Innovators) and an EU average of 6.7.

  
4.2.   Open, transparent and merit-based recruitment of researchers

In
2013, the number of researcher posts advertised through the EURAXESS Jobs portal
per thousand researchers in the public sector was 0.4 in Bulgaria compared with
9.0 among the Innovation Union reference group and an EU average of 43.7

In
2012, 46 % of university-based researchers were satisfied with the extent to
which research job vacancies are publicly advertised and made known by their
institution (More2 survey, 2012).

According
to the guidance on implementation of the Law on Development of Academic Staff,
all open research positions must be published in the Bulgarian Official Journal
and on the institutional web sites - though they are mainly published in
Bulgarian. The new law eliminates the age criterion formerly applied to
applicants for scientific positions, including post-doctorate positions,
provides defined evaluation criteria which become available to the candidates,
and it also provides feedback on the decisions taken by the scientific
commission. Job vacancies are also published on other platforms (e.g. the
labour agency) and the EURAXESS jobs portal, but these are not statutory
requirements.

  
4.3.   Attractive careers

Representatives
of the Bulgarian Rectors Council have signed the ‘Charter & Code’ in 2007.
By May 2014, 2 Bulgarian organisations were involved in the Commission’s Human
Resources Strategy for Researchers of which 1 had received the "HR
Excellence in Research" logo for their progress in implementing the
Charter & Code.

The
“Law on the Development of Academic Staff” enables universities to define their
own staff policy. In addition, it provides a mechanism for regulating the
careers of scientific personnel. The implementation of the new Law will result
in a qualification and career development system for academic staff - planned
for the end of 2014.

  
4.4.   Supporting structured innovative doctoral training programmes

The
number of new doctoral graduates per thousand population aged 25-34 was 0.6 in
2011 compared with 1.1 among the Innovation Union reference group and an EU
average of 1.7.

Under
the Bulgarian Labour Code, all PhD students receive fixed grants (including
social security cover) for three years. Universities and research institutes
can apply for funding for their doctoral candidates from the state budget based
on open competition. In order to improve research funding opportunities, the
National Science Fund (NSF) offers doctoral candidates the possibility of
participating in competition-based science projects which can serve as an
additional source of income. Approximately 30% of the resources of the NSF are
dedicated to young researchers. In addition to new policies aimed at improving
the research profession in Bulgaria, bilateral programmes, such as the Sciex
Programme with Switzerland, are considered not only to be a means of improving
researchers’ funding opportunities, but also as instruments for increasing the
quality of doctoral training in Bulgaria.

  
4.5.   International and inter-sectoral mobility

In
2011, the percentage of doctoral candidates with citizenship of another EU-27
Member State was 3.1% in Bulgaria compared with 1.7% among the Innovation Union
reference group and an EU average of 7.7%. The percentage of non-EU doctoral
candidates as a percentage of all doctoral candidates was 3.8% in Bulgaria
compared with 2.0% among the Innovation Union reference group and an EU average
of 24.2%.

There
are more outbound researchers than those wishing to pursue a career in
Bulgaria. The Sciex Programme with Switzerland and other bilateral research
programmes support researchers’ outbound mobility and foster knowledge
transfer. The Science + Business project supports young researchers in gaining
practical work experience in foreign research institutions. As part of this
initiative, young researchers receive short-term training abroad in foreign
research infrastructures.

The
Science + Business Project provides a platform for researchers to carry out
projects in collaboration with industry. Supported by universities, research
institutes and businesses, the scheme fosters skills and knowledge transfer
between the different parties. Research projects must address societal
challenges and provide solutions which are market-oriented.

5.  
GENDER

  
5.1.   Foster cultural and institutional change on gender

Gender
equality is regulated at horizontal level. The transposition of the European
directive on gender equality (Council Directive 2000/78/EC of 27 November 2000)
provides for equal treatment of women and men in research. In Bulgaria more
women than men are involved in the research profession. It is difficult to
attract men into research careers due to the low salaries in the public
research sector.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting gender equality in research || National level || 0.1 % || 2013 || ERA survey 2014

Share of responding funders supporting gender equality in research || EU level || 82.2 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample which have adopted Gender Equality Plans || ERA compliant cluster (EU level) || 64 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample which have adopted Gender Equality Plans || ERA compliant cluster (national level) || 8.8 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample which have adopted Gender Equality Plans || Limited compliance to ERA cluster (national level) || 2.1 % || 2013 || ERA survey 2014

The
share of research funders in Bulgaria who responded to the survey and support
national policies on gender equality in public research is lower than the EU
average.

Within
the ERA compliant cluster in Bulgaria, the share of research performing
organisations which have adopted Gender Equality Plans is lower than within the
EU ERA compliant cluster.

The
Labour Code grants women researchers the right to interrupt and extend their
contract during maternity leave. However, other contracts (stipends,
fellowships, or equivalent) do not guarantee the right to maternity leave. The
right depends on the contractual conditions and on the researcher's level of
income in the previous 18 months.

Bulgaria
supports the L’Oreal and UNESCO ‘For Women in Science programme’ and co-funds
the L’Oreal national fellowship programme.

In
2012 a Bulgarian Centre of Women in Technology (BCWT) was launched to promote
more girls and women in the technology sector.

Bulgaria
is one of the few countries reporting higher success rates of female
researchers for grant applications.

Indicator || Level/cluster || Value || Year || Source

Share of responding research performing organisations implementing recruitment and promotion policies for female researchers || ERA compliant cluster (EU level) || 53.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations implementing recruitment and promotion policies for female researchers || ERA compliant cluster (national level) || 2.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations implementing recruitment and promotion policies for female researchers || Limited compliance to ERA cluster (national level) || 3.8 % || 2013 || ERA survey 2014

Within
the ERA compliant cluster in Bulgaria, the share of research performing
organisations implementing recruitment and promotion policies for female
researchers is lower than within the EU ERA compliant cluster.

There
are no national policies fostering gender as criteria in research programmes,
however there are some stakeholder initiatives.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting the inclusion of gender dimension in research content || National level || 0.1 % || 2013 || ERA survey 2014

Share of responding funders supporting the inclusion of gender dimension in research content || EU level || 48.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations which include the gender dimension in research content || ERA compliant cluster (EU level) || 44 % || 2013 || ERA survey 2014

Share of responding research performing organisations which include the gender dimension in research content || ERA compliant cluster (national level) || 22.6 % || 2013 || ERA survey 2014

The
share of research funders in Bulgaria who responded to the survey and support
gender dimension in research content/programmes is lower than the EU average.

Within
the ERA compliant cluster in Bulgaria, the share of research performing
organisations which include the gender dimension in research content is lower
than within the EU ERA compliant cluster.

  
5.2.   Gender balance in the decision-making process

Objective
3 of the National Strategy for Promotion of Gender Equality for the period
2009-2015 clearly states the importance of the promotion of gender equality in
governance and decision-making bodies in the development of science.

Indicator || Level/cluster || Value || Year || Source

Share of gender-balanced recruitment committees for leading researchers amongst responding research performing organisations || ERA compliant cluster (EU level) || 33.6 % || 2013 || ERA survey 2014

Share of gender-balanced recruitment committees for leading researchers amongst responding research performing organisations || ERA compliant cluster (national level) || 7.5 % || 2013 || ERA survey 2014

Share of gender-balanced recruitment committees for leading researchers amongst responding research performing organisations || Limited compliance to ERA cluster (national level) || 27.4 % || 2013 || ERA survey 2014

Share of gender-balanced research evaluation panels amongst responding research funding organisations || National level || 100 % || 2013 || ERA survey 2014

Share of gender-balanced research evaluation panels amongst responding research funding organisations || EU level || 35.8 % || 2013 || ERA survey 2014

Within
the ERA compliant cluster in Bulgaria, the share of gender-balanced recruitment
committees for leading researchers in research performing organisations is
lower than within the EU ERA compliant cluster.

The
share of gender-balanced research evaluation panels amongst responding research
funding organisations in Bulgaria is higher than the EU average.

6.  
KNOWLEDGE CIRCULATION

  
6.1.   Open access to publications and data resulting from publicly funded
research

In
terms of support to open access, the key strategy document is the National
Reform Programme 2012-2014 which points to the need to develop strategic
long-term infrastructures to support the building and maintaining of the
high-performing computing infrastructure, and access to different network
infrastructures like GRID networks, European digital data bases.

The
Bulgarian research community is informed about the benefits of open access and
uses open access research publications. There is a certain level of awareness
among libraries, though still very few institutions are involved in managing
repositories. At a special meeting of the Association of University Libraries
(AUL) in 2010, the steps to build open repositories were outlined.

A
national concept and an action plan for open access are under development by a
working group to the Ministry of Education and Science.

The
Bulgarian Academy of Sciences (BAS) announced its intention to establish a
network of scientific open access centres. The Institute of Mathematics and
Informatics at the Bulgarian Academy of Sciences (IMI-BAS) will coordinate the
Bulgarian network and will provide support for academic institutions and
researchers. IMI-BAS will launch a national project to develop the research
infrastructure and digital repositories for researchers, educators, public bodies
and companies who need contemporary scientific and education information and
resources (Implementing Open Access Mandates in Europe, 2012).

Related
to open access to publications, different practices are applied in the country
and there is not enough information available to quantify the preferred types
of open access use. There is a specific programme of the NSF supporting open
access (OA) for covering OA-related costs. Different practices are applied in
the country but the preference in the institutions is for the Green model open
access use. The OA policy is envisaged to become mandatory for all public
research funding organisations.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting open access to publications || National level || 0.1 % || 2013 || ERA survey 2014

Share of responding funders supporting open access to publications || EU level || 51 % || 2013 || ERA survey 2014

Share of publicly funded scientific publications in OA amongst responding research performing organisations || ERA compliant cluster (EU level) || 18 % || 2013 || ERA survey 2014

Share of publicly funded scientific publications in OA amongst responding research performing organisations || ERA compliant cluster (national level) || 15.3 % || 2013 || ERA survey 2014

Share of publicly funded scientific publications in OA amongst responding research performing organisations || Limited compliance to ERA cluster (national level) || 10.6 % || 2013 || ERA survey 2014

The
share of research funders in Bulgaria who responded to the survey and support
Open Access to publications is lower than the EU average.

Within
the ERA compliant cluster in Bulgaria, the share of publicly funded scientific
publications in OA amongst research performing organisations is lower than
within the EU ERA compliant cluster.

Research
funders in Bulgaria who responded to the survey indicated that they do not have
measures supporting Open Access to data.

With
respect to repositories, as of August 2012, there were six Bulgarian open
access repositories registered in Open-door: those of the New Bulgarian
University, IMI-BAS (Bulgarian Digital Mathematics Library and Bulgarian
Openaire Repository), Burgas Free University, Sofia University “St. Kl.
Ohridski”, and Medical University of Sofia. Apart from them there is a
repository at Tsenov Academy of Economics and a pilot repository of the
University of Rouse.

There
are currently 32 Bulgarian open access journals available in the Directory of
Open Access Journals (DOAJ). In addition, a pilot repository of the University
of Rousse and the Medical University of Sofia (MU Sofia) is now being tested to
become the Electronic Repository of the Central Medical Library of MU Sofia.

The
Bulgarian Current Research Information System (BulCRIS) is developed and
maintained by MEYS. (BulCRIS) is a starting point for detailed information
about Bulgaria’s research, development and innovation resources, and for
staying in touch with the latest innovations. BulCRIS is targeted to bring
together the abilities of universities and institutes in Bulgaria, and of organisations
throughout the world to help them make efficient use of these resources.

  
6.2.   Open innovation and knowledge transfer between public and private
sectors

In
relation to open innovation (OI) and knowledge transfer (KT) between public and
private sectors, the National Strategy of Scientific Research provides measures
aiming to promote KT between public and private sectors. The draft of the new
Law on innovation also suggests such measures. Even though there is not an
explicit national strategy to promote knowledge transfer, measures exist to
foster KT at stakeholder level. More than 40 Knowledge transfer offices are
supported by special funding.

The
2014 NRP announces the development of a national bulletin for monitoring the
condition of the links between business and science.

Strategic
partnership between academia and industry are supported by funding
organisations in Bulgaria. As an important step in that direction is the
establishment of the first science and technology park in Sofia, co-financed by
the ERDF for around EUR 50 million, which should grow into a core national
R&I hub and attract leading local and international scientists.

Within
the OP “Human Resources and development” Science and business project an
integrated platform was developed and launched in April 2013. It provides a
meeting point between science and business for the purpose of developing
partnerships and joint work on projects (NRP 2014).

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting the implementation of knowledge transfer as part of its institutional and/or project-based funding || National level || 100 % || 2013 || ERA survey 2014

Share of responding funders supporting the implementation of knowledge transfer as part of its institutional and/or project-based funding || EU level || 82.9 % || 2013 || ERA survey 2014

Share of responding research performing organisations' research and development budget financed by the private sector || ERA compliant cluster (EU level) || 6.8 % || 2013 || ERA survey 2014

Share of responding research performing organisations' research and development budget financed by the private sector || ERA compliant cluster (national level) || 2.4 % || 2013 || ERA survey 2014

Share of responding research performing organisations' research and development budget financed by the private sector || Limited compliance to ERA cluster (national level) || 0.6 % || 2013 || ERA survey 2014

Share of responding research performing organisations having or using a structure for knowledge transfer activities || ERA compliant cluster (EU level) || 75 % || 2013 || ERA survey 2014

Share of responding research performing organisations having or using a structure for knowledge transfer activities || ERA compliant cluster (national level) || 23.6 % || 2013 || ERA survey 2014

Share of responding research performing organisations having or using a structure for knowledge transfer activities || Limited compliance to ERA cluster (national level) || 10.4 % || 2013 || ERA survey 2014

Share of responding research performing organisations having dedicated staff employed in knowledge transfer activities || ERA compliant cluster (EU level) || 66.3 % || 2013 || ERA survey 2014

Share of responding research performing organisations having dedicated staff employed in knowledge transfer activities || ERA compliant cluster (national level) || 21.9 % || 2013 || ERA survey 2014

Share of responding research performing organisations having dedicated staff employed in knowledge transfer activities || Limited compliance to ERA cluster (national level) || 8 % || 2013 || ERA survey 2014

Share of research personnel whose primary occupation is in the private sector (in headcount) || ERA compliant cluster (EU level) || 2.9 % || 2013 || ERA survey 2014

Share of research personnel whose primary occupation is in the private sector (in headcount) || ERA compliant cluster (national level) || 3.3 % || 2013 || ERA survey 2014

Share of research personnel whose primary occupation is in the private sector (in headcount) || Limited compliance to ERA cluster (national level) || 4.6 % || 2013 || ERA survey 2014

The
share of research funders in Bulgaria who responded to the survey and support
national support to KT and OI, Technology Transfer Offices (TTOs) and Private
Public interaction is higher than the EU average.

Within
the ERA compliant cluster in Bulgaria, the share of research performing
organisations having funding originating from the private sector is lower than
within the EU ERA compliant cluster.

Within
the ERA compliant cluster in Bulgaria, the share of research performing
organisations having or using a structure for knowledge transfer activities is
lower than within the EU ERA compliant cluster.

Within
the ERA compliant cluster in Bulgaria, the share of research performing
organisations having dedicated staff employed in knowledge transfer activities
is lower than within the EU ERA compliant cluster.

Within
the ERA compliant cluster in Bulgaria, the share of research personnel whose
primary occupation is in the private sector (in Full Time Equivalents) is
higher than within the EU ERA compliant cluster.

  
6.3.   Harmonise policies for public e-infrastructures and associated digital
research services

In
relation with the implementation of Digital ERA a national policy has been
initiated by the research community. As a result, since 2008, MEYS provides 
national access for 58 research institutions, public and private universities,
hospital’s research centers to scientific information, including bibliometric
resources and analytical tools.

Additionally,
the Bulgarian Information Consortium was set-up, an organization of  38 members
representing academic, public research organisations and libraries aimed at
sharing good practice and resource development.

Concerning
digital services, the Commission could not identify support to their provision.

Indicator || Level/cluster || Value || Year || Source

Share of responding research performing organisations providing digital research services (i.e. cloud services, research collaboration platform, etc.) || ERA compliant cluster (EU level) || 80.8 % || 2013 || ERA survey 2014

Share of responding research performing organisations providing digital research services (i.e. cloud services, research collaboration platform, etc.) || ERA compliant cluster (national level) || 53.6 % || 2013 || ERA survey 2014

Share of responding research performing organisations providing digital research services (i.e. cloud services, research collaboration platform, etc.) || Limited compliance to ERA cluster (national level) || 32.8 % || 2013 || ERA survey 2014

Within
the ERA compliant cluster in Bulgaria, the share of research performing
organisations providing digital research services (i.e. cloud services, research
collaboration platform, etc.) is lower than within the EU ERA compliant
cluster.

  
6.4.   Uptake of federated electronic identities

Bulgaria
was a member of an identity federation in 2011.

From
2009 to 2012 the institute of Technology and Development Foundation
participated in a FP7 Project OpenScout aiming at providing an education
service via internet to enable users to easily find, access, use and exchange
open content for management of education and training.

Indicator || Level/cluster || Value || Year || Source

Share of responding research performing organisations in the sample providing federated electronic identities for their researchers || ERA compliant cluster (EU level) || 38.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample providing federated electronic identities for their researchers || ERA compliant cluster (national level) || 26.2 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample providing federated electronic identities for their researchers || Limited compliance to ERA cluster (national level) || 18 % || 2013 || ERA survey 2014

Within
the ERA compliant cluster in Bulgaria, the share of research performing
organisations providing federated electronic identities for their researchers
is lower than within the EU ERA compliant cluster.

7.  
NOTES ON THE 2014 ERA SURVEY RESULTS

  
7.1.   Comments

A
total of 41 research performing organisations in Bulgaria answered the 2014 ERA
survey, which represents 31.7% of the total number of researchers in the
country (total number of researchers in the country as of 2011).

The
principal component and clustering analysis of research performing
organisations in Bulgaria shows that 39.0 % of them are in the ‘ERA compliant’
cluster, 51.2 % can be classified in the ‘limited compliance to ERA’ cluster
and 9.8 % of organisations in the ‘ERA principles are not applicable’ cluster.
However, when the organisations are weighted by the number of researchers in
each organisation, the results significantly vary. Indeed, the shares of
‘weighted’ organisations are 59.6 % for the ‘ERA compliant’ cluster, 37.7 % for
the ‘ERA limited compliant’ cluster and 2.8 % for those organisations where ERA
principles are not applicable.

Finally,
it should be noted that the major research funding organisations in Bulgaria
did not respond to the ERA survey which may have an incidence on the analysis
of the state of implementation of ERA by research funders.

Policy
measures in support of ERA implementation

Initiative || Adopted in || Adopted since 2012 || New measure since 2013

Research and innovation system

Innovation Strategy for Smart Specialisation (draft) || 2013 || X || X

Project-based funding applying the core principles of international peer review

Operational Programme "Science and Eductaion for Smart Growth" || 2014 || X || X

Draft regulation for monitoring and evaluation of scientific research activities || 2011 || ||

Joint ESF and ALLEA International evaluation “Research at the Bulgarian Academy of Sciences” || 2009 || ||

Institutional funding based on institutional assessment

Operational Programme "Competitiveness" || 2007 || ||

National Strategy for Scientific Research 2020 || 2011 || ||

National Innovation Fund - competitive grants 2012 || 2012 || X ||

Law on Higher Education || 1995 || ||

Law on Scientific Research Promotion || 2003 || ||

Financial commitments for the construction and operation of ESFRI, national and regional research infrastructures of pan-European interest

National research infrastructure roadmap, on-going update || 2010 || ||

Open, transparent and merit-based recruitment of researchers

EURAXESS BULGARIA portal || || ||

Attractive careers

Ordonance in accordance with  European Council Directive 2005/71/EC of 12 October 2005 on a specific procedure for admitting third country nationals for the purposes of scientific research || 2008 || ||

Operational programme “Human resource development”(OP HRD) || || ||

Supporting structured innovative doctoral training programmes

Support to doctoral training || 2012 || X ||

Gender balance in the decision-making process

Harmonisation of strategic documents according to Council Directive 2000/78/EC of 27 November 2000 || 2000 || ||

Open access to publications and data resulting from publicly funded research

Support to Open Access || 2014 || X || X

Open access infrastructure for research in Europe (OPEN AIRE) || 2010 || ||

National digital library || 2006 || ||

The world’s largest bibliographic database, providing the foundation of cooperative library services in metadata management, discovery, resource sharing and collection management (OCLC WorldCat® || 2008 || ||

Open innovation and knowledge transfer between public and private sectors

"Science-Business" project || 2011 || ||

Draft Law on Innovations || 2013 || X || X

1.  
MORE EFFECTIVE NATIONAL SYSTEMS

  
1.1.   Research and innovation system

The
research, technology development and innovation (RTDI) system in Cyprus is
relatively new and is evolving with the aim to increase efficiency and
modernise the Government, research and productive sector cooperation. At the
operational level of the Directorate General of European Programmes,
Coordination and Development (DGEPCD), an independent government agency, is
entrusted with the formulation of the research and innovation strategy
(R&I), the identification of objectives and the introduction of policy
measures aimed at the promotion of research activities in Cyprus. At the
implementation level, most of the R&I activities are integrated under the
Research Promotion Foundation (RPF), an autonomous agency governed by a
12-member board, chaired by the current Permanent Secretary of DGEPCD under the
supervision of the DGEPCD. The Foundation is fully supported by the Government
and its resources are derived mostly from the Ministry of Finance through the
DGEPCD. The Ministry of Commerce, Industry and Tourism (MCIT) is responsible
for industrial policy, including the promotion of technology and
entrepreneurship.

The
System for Research, Technological Development and Innovation is governed by
the National Research and Innovation Council (NRIC), made up of competent
ministers, chaired by the President of the Republic and advised by the Cyprus
Scientific Council (CSC). The latter is composed of internationally-recognised
scientists.

The
main research performer group are the public research institutes and
universities. Private Universities followed by private sector organisations and
small and medium-sized enterprises (SMEs).

Recently,
a systematic effort was initiatated in order, (a) to evaluate the current
research and innovation system and procedures in Cyprus and to give
recommendations for its adjustment and upgrade so it becomes more effective and
efficient and (b) to adopt explicit multi-annual RTDI priorities.

The
National Committee for Research, Innovation and Technological Development
(NCRITD) was established by the Council of Ministers, in September 2013. This Committee
was entrusted with the task of evaluating the current R&I systems and
procedures in Cyprus and give recommendations for its adjustment and upgrading
so it becomes more effective and efficient.  The work of the NCRITD was
completed in March 2014 and its outcomes submitted to the President. The report
of the NCRITD proposes creating a new system structured in four levels
(strategic, political, operational/implementation and research stakeholders),
which integrates Research, Innovation and Entrepreneurship. The study proposes
among others, to appoint a Commissioner for Research Innovation and
Entrepreneurship, create a new Directorate General for Research, Innovation and
Entrepreneurship under the Ministry of Finance,  establish an Advisory Committee
and redesign the role of the Research Promotion Foundation (RPF) in order to
accommodate Technology Transfer activities. The study is currently being
reviewed by the Presidency.

The
joint effort of the RPF and a research team of the Cyprus Technology University
is to propose a smart specialisation strategy based on desk research,
experience and a field survey (800 companies) and discussed with a Steering
Committee composed of national stakeholders. It is expected that the Government
will receive all input by the end of June 2014 and adopt priorities by the
Summer.

Additionally,
the preparation of the Smart Specialisation Strategy for Cyprus, an ex-ante
conditionality for the absorption of European Structural and Investment Funds
for R&I, was initiated in mid-2013 by DGEPCD and is expected to be
finalised in September 2014. An extensive analysis of the national R&I
priorities has been conducted with the aim of maximising the knowledge-based
development potential of the Cyprus economy through targeted support to R&I
in the sectors where Cyprus has a competitive advantage. The sectors identified
through this process are tourism, energy, construction, shipping, health,
information and communication technology (ICT) and environment.  The overall
results of the Smart Specialisation Strategy in line with the recommendations
of the NCRITD, will be used to determine the vision and the formulation of a
new Strategy for Research and Innovation. This Strategy will be implemented
through the programmes of the Research Promotion Foundation which is the main
funding agency for research and innovation in Cyprus.

In
order to encourage cooperation between academia and industry, a project under
the name 'Development and operation of Enterprise Liaison Offices in
Universities operating in the Republic of Cyprus', involving a consortium of
six Universities operating in the Republic of Cyprus, was awarded in 2009. Six
Industry Liaison Offices, three public and three private Universities, are in
full development and operation at the moment.

The
Government of Cyprus is investigating the possibility for creating a Science
Technology Park (STP) in the form of a Knowledge Park with the scope of
promoting research, innovation and technology. In the short term, the main
objective of the STP will be to enhance the entrepreneurial and industrial
development of Cyprus. Even more in the long term the objective will focus on
transforming  Cyprus into a regional research and innovation center.

Finally,
it should me mentioned that due to the prevailing economic crisis in the
country and the consequent liquidity constraints, the main source of public
funding for the implementation, the new R&I Strategy is expected to derive
from the European Structrual and Investment Funds (ESIF) for the period 2014-20
in Cyprus. The bulk of the funding that will be allocated for R&I from the
ESIF operational programme (OP) for Cyprus will be spent through the DESMI
2014-2020, which is the National Framework Programme for R&I designed and
implemented by the Research Promotion Foundation. In parallel, the Technology
Service of Ministry of Energy, Commerce Industry and Tourism will implement
schemes for specifically promoting business innovation.

In
terms of R&I funding, the Government Budget Appropriations or Outlays for
Research and Development (GBAORD) in Cyprus represented EUR 81 per inhabitant
in 2012, less than half the EU-28 average (EUR 179). In 2012, total GBAORD
corresponded to 0.9 % of total government expenditures and 0.4 % of Gross
Domestic Product (GDP)(Eurostat).

  
1.2.   Project-based funding applying the core principles of international peer
review

The
major sources for project-based funding of R&D activities are the
programmes launched by the Research Promotion Foundation (RPF). Grants are
distributed through the multiannual competition-based National Framework
Programme (NFP) for Research and Technological Development (DESMI). Currently,
funding comes from the 2008-2010 programme. A new multiannual programme is
under preparation based on the results of the Smart Specialisation Strategy for
R&I. This Strategy will be implemented through the programmes of the RPF
which is the main funding agency for R&I in Cyprus. As mentioned before,
the sectors identified from this Strategy, which are tourism, energy, construction,
shipping, health, ICT and environment, will be thematic areas where the
multiannual programme will focus.

Once
the priorities are formally adopted by the Government, the RPF will launch new
calls in autumn 2014 at the earliest. Competitive funding addresses both basic
and applied research in the context of DESMI.

Project-based
funding is composed of the calls of the RPF and most recently the innovation
call of the Ministry of Energy, Commerce, Industry and Tourism. Although no
precise data are published on an annual basis, the delays in new calls by the
RPF since 2011 result in a de facto increase of the share of institutional
funding.

Historically
institutional funding was block-funding. Only State aid for Research and
Innovation took the form of competitive funding. Since the adoption of DESMI,
additional competitive funding was used for individual research teams and
collaborative projects. DESMI 2009-2010 was running until recently with five
priority axes. Multidisciplinary development of Research, Development of Human
Resources for Research, Development of Research and Innovation for Enterprises,
Development of Research Infrastructures, Development of International
Networking and Collaborations. A total of 1 126 proposals were submitted for funding
by DESMI 2009-2010. However, due to financial constraints and provisional
governance problems in the RPF, competitive funding has diminished since 2011.
RPF announced that the budget of all research proposals would decrease by 35
%.

The
only new competitive call launched in 2012 was the 'Enhancement of Business
Innovation in Cyprus', launched by the Ministry of Energy, Commerce, Industry
and Tourism. A total of 41 proposals were approved for funding, with a total
budget of EUR6.2 million, 62.9 % out of which will come from public funding.
New similar calls were announced for the new programming period 2014-2020. As
2013 was marked by the financial crisis and the end of the programming period
no funds were released for new calls.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders' total budget allocated as project-based funding || National level || 100 % || 2013 || ERA survey 2014

Share of responding funders' total budget allocated as project-based funding || EU level || 66.2 % || 2013 || ERA survey 2014

The
share of research funders in Cyprus who responded to the survey and support
project-based funding is higher than the EU average.

The
core principles of international peer review are based on selection panels
composed of Greek researchers. When DESMI competitive calls are launched the
selection of projects relies on international peer review. This process was
designed independently of the European Research Area (ERA) requirements, as the
national research community is too small and local peer review only could
jeopardise objectivity.

  
1.3.   Institutional funding based on institutional assessment

The
government plans institutional funding annually through the state budget.
Institutional assessment is partly allocated based on institutional assessment.

Public
higher education institutes (HEIs), which benefit from block-funding, have
introduced internal research support mechanisms: faculty members apply for a
(small) research budget and selection is based on a review process by an
internal HEI Committee. Based on a study on the degree of diversification of
university budgets and the share of competitive funding, 86 % of the university
budget of the University of Cyprus comes from core funding, 2 % comes from
competitive funding and 12 % comes from EU funds.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders' total budget allocated as institutional funding based on institutional assessment and/or evaluation || National level || 0 % || 2013 || ERA survey 2014

Share of responding funders' total budget allocated as institutional funding based on institutional assessment and/or evaluation || EU level || 24 % || 2013 || ERA survey 2014

Research
funders in Cyprus who responded to the survey indicated that they do not
allocate institutional funding.

2.  
TRANSNATIONAL COOPERATION

  
2.1.   Implementing joint research agendas

The
country is involved in transnational cooperation. It supports also bilateral
and multilateral initiatives.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders' total budget allocated to transnationally coordinated R&D || National level || 0.7 % || 2013 || ERA survey 2014

Share of responding funders' total budget allocated to transnationally coordinated R&D || EU level || 4.1 % || 2013 || ERA survey 2014

Share of responding funders' research and development budget dedicated to jointly defined research agendas with non-national EU organisations || National level || 0.7 % || 2013 || ERA survey 2014

Share of responding funders' research and development budget dedicated to jointly defined research agendas with non-national EU organisations || EU level || 1.7 % || 2013 || ERA survey 2014

The
share of responding funders’ total budget in Cyprus allocated to
transnationally coordinated R&D is lower than the EU average.

The
share of responding funders’ research and development budget in Cyprus
dedicated to jointly defined research agendas with other EU organisations is
lower than the EU average.

Cooperation
between institutions of Member States (MS), Associated Countries and Third
Countries is fostered by the Framework Programme (FP). In the Seventh Framework
Programme (FP7), the share of participation of Cyprus in total participation is
0.4 % and the country received 0.2 % of total EC contribution. FP funding
represents EUR90 per inhabitant (EU average EUR72 per capita) for the period
2007-2013 and 19.5 % of the Gross Domestic Expenditures on R&D (GERD) for
the period 2007-2011 (last available data) (EU average 3 % of GERD for the same
period).

Concerning
joint programming initiatives, the country participates in five of the 10 on-going
initiatives, coordinating none of them. These initiatives are Food Security,
Agriculture and Climate Change, Cultural Heritage and global change: a new
challenge for Europe, Healthy Diet for Healthy Life, Water Challenges for a
Changing World, and Urban Europe - Global Challenges, Local Solutions.

In
terms of programmes undertaken jointly by several MS (so called Article 185
initiatives), the country was involved in two programmes, as leader in none of
them. In Horizon 2020, the country is already involved in two of the four
existing initiatives: EUROSTARS, Ambient Assisted Living.

ERA-NETs
facilitate the coordination and collaboration of national and regional research
programmes, in particular the preparation and implementation of joint calls for
transnational research proposals between national and/or regional programmes.
The country has participated in a total of 20 ERA-NETs, of which nine are
currently still running. T

Concerning
research agreements with EU MS and/or Associated Countries, Cyprus has four
bilateral agreements with France, Slovenia, Romania and United Kingdom.

  
2.2.   Openness for international cooperation with third countries and regions

In
terms of international cooperation with Third Countries and regions, the
country has not developed a specific policy, although bilateral reseach
agreements exist with Egypt, Israel, Cuba and the United States.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders' research and development budget allocated to collaboration programmes carried out with third countries || National level || 0 % || 2013 || ERA survey 2014

Share of responding funders' research and development budget allocated to collaboration programmes carried out with third countries || EU level || 2.4 % || 2013 || ERA survey 2014

Share of organisations' research and development budget amongst responding research performing organisations originating from third countries || ERA compliant cluster (EU level) || 0.8 % || 2013 || ERA survey 2014

Share of organisations' research and development budget amongst responding research performing organisations originating from third countries || ERA compliant cluster (national level) || 0 % || 2013 || ERA survey 2014

Share of organisations' research and development budget amongst responding research performing organisations originating from third countries || Limited compliance to ERA cluster (national level) || 3.4 % || 2013 || ERA survey 2014

Research
funders in Cyprus who responded to the survey indicated that they do not have
measures supporting international cooperation with Third Countries.

Within
the ERA compliant cluster in Cyprus, no budget of organisations' research and
development originating from Third Countries could be identified .

  
2.3.   Interoperability, mutual recognition of evaluation results and other
schemes

There
is no mutual recognition of evaluations, national funding decisions still
follow a rule of path-dependence rather than following evaluations.

There
are no other common ex post evaluation procedures except those foreseen and
implemented in the context of the European Commission.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders which can base their project-based research and development funding decisions on peer reviews carried out by non-national institutions || National level || 0 % || 2013 || ERA survey 2014

Share of responding funders which can base their project-based research and development funding decisions on peer reviews carried out by non-national institutions || EU level || 38.5 % || 2013 || ERA survey 2014

Share of responding funders' project-based research and development budget allocated through peer review carried out by institutions outside the country || National level || 0 % || 2013 || ERA survey 2014

Share of responding funders' project-based research and development budget allocated through peer review carried out by institutions outside the country || EU level || 0.8 % || 2013 || ERA survey 2014

Research
funders in Cyprus who responded to the survey indicated that they do not have
measures supporting the allocation of project-based funding on peer-reviewed
decisions made by non-national institutions.

Research
funders in Cyprus who responded to the survey indicated that they do not
allocate project-based funding based on peer-reviewed decisions made by
non-national institutions.

3.  
RESEARCH INFRASTRUCTURES

  
3.1.   Financial commitments for the construction and operation of ESFRI,
national and regional research infrastructures of pan-European interest

Cyprus
participates in the large international research infrastructure (Ris) of the
European Space Agency (ESA). In 2012, the country contributed 0.3 % of GBAORD
to the activities carried out by Conseil Européen pour la Recherche Nucléaire
(CERN), the European Molecular Biology Laboratory (EMBL), the European Southern
Observatory (ESO), the European Synchrotron Radiation Facility (ESRF), the
Institut Laue-Langevin (ILL) and the European Commission’s Joint Research
Centre (JRC) (Eurostat).

In
terms of participation to the development of RIs included in the European
Strategy Forum on Reserach Infrastructures (ESFRI) Roadmap, the country
participates in the preparatory phase of five of them: European Social Survey,
PRACE, DARIAH, KM3NeT, EU SOLARIS. Researchers from Cyprus have also expressed
interest in participating and/or are participating in the following projects: European
XFEL, CLARIN, BBMRI, ELIXIR and the European Spallation Source. The
participation of Cyprus in the above projects does not include the coordination
of any of them.

In
terms of financial commitments to developing these research infrastructures,
Cyprus is not involved.

With
regards to participating in the European Research Infrastructure Consortium,
Cyprus is not involved.

In
May 2013, RPF invited interested parties to express their interest in
participating in the ESFRI Roadmap. A total of 40 proposals were submitted by
July 2013.  The strategy in investing in pan-European R&Is including those
from the ESFRI roadmap will be part of the National Strategy for the period
2014-2020. Additionally in June 2013, RPF announced  the launch of an excercise
for mapping the Cyprus Research landscape. As part of this procedure the RPF,
in cooperation with the Cyprus Science Council, initiated the examination of
the current situation in order to facilitate the formulation of a national
roadmap for R&Is. The study uses 22 R&D indices and two structured
questionnaires addressed to research institutions and researchers.

  
3.2.   Access to research infrastructures of pan-European interest

4.  
OPEN LABOUR MARKET FOR RESEARCHERS

  
4.1.   Introduction to open labour market for researchers

A
detailed report can be found in the country profile for Cyprus in the
Researchers Report 2014
[http://ec.europa.eu/euraxess/pdf/research\_policies/country\_files/Cyprus\_Country\_Profile\_RR2014\_FINAL.pdf].

The
following text provides an overview of the current situation and recent
progress made in several key areas.

Stock
of researchers

There
were 915 full time equivalent (FTE) researchers in Cyprus in 2011. This
represents 2.1 researchers per 1 000 labour force compared with 7.6 among the
Innovation Union reference group (Innovations Followers) and an EU average of
6.7.

  
4.2.   Open, transparent and merit-based recruitment of researchers

In
2013, the number of researcher posts advertised through the EURAXESS Jobs
portal per thousand researchers in the public sector was 66.5 in Cyprus
compared with 72.3 among the Innovation Union reference group and an EU average
of 43.7.

In
2012, 54 % of university-based researchers were satisfied with the extent to
which research job vacancies are publicly advertised and made known by their
institution (More2 survey, 2012).

Recruitment
for research positions in Cyprus is considered open and transparent. All
publicly-funded vacancies are published on the Cyprus Government Gazette
official website, on local press websites and on the Cyprus EURAXESS portal.
Job vacancies are often published in English.

In
2013, the number of researcher posts advertised through the EURAXESS Jobs
portal per thousand researchers in the public sector was 65.5 in the Republic
of Cyprus compared with 72.3 among the Innovation Union reference group and an
EU average of 43.7.

All
publicly-funded research jobs must be advertised online on the EURAXESS jobs
portal. In addition, the social security services of the Republic of Cyprus have
created a portal for employers and employees on social security legislation and
the implementation of Council Regulation 1408/71 on 'the application of social
security schemes to employed persons, to self-employed persons and to members
of their families moving within the Community'.

  
4.3.   Attractive careers

The
RPF serves as the Bridgehead Organisation and Service Centre for the EURAXESS
Network in Cyprus. The RPF is responsible for promoting the implementation of
the Charter & Code through its networking activities with the research
institutes and the dissemination of promotional material.

By
May 2014, six Cyprian organisations were involved in the Commission’s Human
Resources Strategy for Researchers of which two had received the 'HR Excellence
in Research' logo for their progress in implementing the Charter & Code.

The
Government of the Republic of Cyprus has adopted a package of measures aimed at
training enough researchers to meet its R&D targets and at promoting
attractive employment conditions in public research institutions,   training
enough researchers to reach Cyprus’ R&D targets, promoting attractive
working conditions, and addressing gender and dual career aspects.

However,
in the past, the severe economic crisis and the fiscal austerity measures
adopted led to a considerable reduction in the budget for R&I, which
hampered the adoption and implementation of any new strategy.

On
the positive side, the new Government as of March 2013 has announced that a
significant effort will be put into R&I as an attempt to exit the financial
crisis. As a result of this, a National Committee on Research, Innovation and
Technological Development (NCRITD) was set up by the Council of Ministers in
September 2013, consisting of distinguished experienced scientists coming from
the Cypriot academic, research and business sectors, to review the national
R&I system and to give relevant recommendations on its governance to the
President of the Republic of Cyprus. The work of the NCRITD was completed in
March 2014 and its outcomes submitted to the President. The report of the
NCRITD proposes to create a new system structured in four levels (strategic,
political, operational/implementation and research stakeholders), which
integrates Research, Innovation and Entrepreneurship. The study proposes among
others, to appoint a Commissioner for Research Innovation and Entrepreneurship,
create of a new Directorate General for Research, Innovation and
Entrepreneurship under the Ministry of Finance, establish an Advisory Committee
and redesign the role of the RPF in order to accommodate Technology Transfer
activities. The study is currently being reviewed by the Presidency.

Further
to that the Smart Specialisation Strategy for R&I, an ex-ante
conditionality for the utilisation of European Structural and Investment Funds
(ESIF) for R&I in Cyprus, is expected to be finalised in Spring 2014. The
sectors identified through this process are tourism, energy, construction,
shipping, health, ICT and environment.

The
outcomes of the two abovementioned reports are expected to prove as useful
input to draw up the National 2014-20 R&I Strategy that is expected to be
completed by the end of 2014. This Strategy will be implemented, mainly through
the programmes of the Research Promotion Foundation, which is the main funding
agency for R&I in Cyprus. In parallel, the Technology Service of Ministry
of Energy, Commerce Industry and Tourism will implement schemes for
specifically promoting business innovation.

Finally,
due to the prevailing economic crisis in the country and the consequent
liquidity constraints, the main source of public funding implementing the new
R&I Strategy is expected to derive from the ESIF for the 2014-20 period in
Cyprus.

  
4.4.   Supporting structured innovative doctoral training programmes

The
number of new doctoral graduates per thousand population aged between 25-34 was
0.3 in 2011 compared with 1.6 among the Innovation Union reference group and an
EU average of 1.7.

The
on-going scheme for the promotion of innovation in training and development of
human resources (HRDA)  aims to encourage enterprises and organisations to
prepare and implement proposals that include the research and development of
innovative ideas for training and developing of human resources. This scheme is
open amongst others to entities such as universities, research institutes and
major industries, which deal with R&I in human resources issues.

  
4.5.   International and inter-sectoral mobility

In
2011, the percentage of doctoral candidates with citizenship of another EU-27
Member State was 9 % in Cyprus compared with 18.4 % among the Innovation Union
reference group and an EU average of 7.7%.

The
percentage of non-EU doctoral candidates as a percentage of all doctoral
candidates was 1.7% in Cyprus compared with 16.9 % among the Innovation Union
reference group and an EU average of 24.2%.

The
Government of the Republic of Cyprus has not implemented measures encouraging
researchers to spend time as a researcher in another country. However,
universities permit their academic staff to take ‘sabbatical leave’ on request
for the purpose of expanding their research interests/aspirations, but such
provision is not provided for non-academic research staff. Researchers also
have the right to participate in research projects/conferences in accordance
with the research programme provisions funding opportunities. Language barriers
and the cost of accommodation remain the major mobility obstacles for incoming
researchers. In addition, the low demand for researchers and PhD holders from
local industry impedes inward mobility. However, the fully operational EURAXESS
Service Centre in Cyprus, along with the adoption and implementation of the
Scientific Visa Package, are two factors that are increasing the number of researchers
from abroad coming to Cyprus. The Proselkysh Programme is targeted to young and
experienced researchers not residing in Cyprus but wishing to carry out
research within a Cypriot host research organisation.

A
University-Industry Liaison Offices Network was established in 2010 at the
major Universities in Cyprus. The network is composed of six Liaison Offices,
with full human resources in place, and a shared web portal and data base
hosting registered profiles e.g. academic, laboratory, business and student
profiles. The main priorities of the network are to ensure benefits to business
and industry through academic research results and vice versa, to maximisee
opportunities and employment potential of students/graduates through a student
placement framework, to promote cross-national agreements/partnerships with
Universities in Europe (similar activities) through student placements and
internships, to exploit University research results by Cypriot businesses and
encourage research in the Cyprus business Society.

The
operation of the network proved extremely successful, in particular with
regards to student placements that reached 937, exceeding by far the initial
target of 400 placements.

5.  
GENDER

  
5.1.   Foster cultural and institutional change on gender

Gender
equality is not a specific topic in the research agenda in Cyprus.

In
2013, there was a decision to join the Gender NET ERA-NET.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting gender equality in research || National level || 26.3 % || 2013 || ERA survey 2014

Share of responding funders supporting gender equality in research || EU level || 82.2 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample which have adopted Gender Equality Plans || ERA compliant cluster (EU level) || 64 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample which have adopted Gender Equality Plans || ERA compliant cluster (national level) || 8 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample which have adopted Gender Equality Plans || Limited compliance to ERA cluster (national level) || 1 % || 2013 || ERA survey 2014

The
share of research funders in Cyprus who responded to the survey and support
national policies on gender equality in public research is lower than the EU
average.

Within
the ERA compliant cluster in Cyprus, the share of research performing
organisations that have adopted Gender Equality Plans is lower than within the
EU ERA compliant cluster.

In
Cyprus, as far as eligibility of fellows to participate in the national
research programmes for post-doctorates is concerned, in cases where the
potential fellow was on a maternity leave, or has served his military service
after he/she has obtained his/her PhD title, then the requirement of obtaining
his/her doctorate in the past five years could be extended (for maternity leave
one year per child could be added, for military service the actual time of
service) as this is certified by the competent authorities.

Funding
agencies consider leaves of absences in researcher evaluations and project
monitoring.

As
far as eligibility of fellows to participate in the national research
programmes for post-doctorates is concerned, in cases where the potential
fellow was on a maternity leave, or has served his military service after
he/she has obtained his/her PhD title, then the requirement of obtaining
his/her doctorate in the past five years could be extended (for the maternity
leave one year per child could be added, for the military service the actual
time of service) as this is certified by the competent authorities.

 There
are no initiatives to strengthen the gender dimension in research programmes.

Indicator || Level/cluster || Value || Year || Source

Share of responding research performing organisations implementing recruitment and promotion policies for female researchers || ERA compliant cluster (EU level) || 53.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations implementing recruitment and promotion policies for female researchers || Limited compliance to ERA cluster (national level) || 22.2 % || 2013 || ERA survey 2014

Within
the ERA compliant cluster in Cyprus, the share of research performing
organisations that include the gender dimension in research content is lower
than within the EU ERA compliant cluster.

  
5.2.   Gender balance in the decision-making process

There
are no explicit quotas or quantitative targets. Scientific evaluators are urged
to consider the projects positive contribution to gender equality (where
applicable) and research funders consider equality and women’s representation
in the evaluation process of research projects and project monitoring.

Indicator || Level/cluster || Value || Year || Source

Share of gender-balanced recruitment committees for leading researchers amongst responding research performing organisations || ERA compliant cluster (EU level) || 33.6 % || 2013 || ERA survey 2014

Share of gender-balanced recruitment committees for leading researchers amongst responding research performing organisations || ERA compliant cluster (national level) || 0 % || 2013 || ERA survey 2014

Share of gender-balanced recruitment committees for leading researchers amongst responding research performing organisations || Limited compliance to ERA cluster (national level) || 33.3 % || 2013 || ERA survey 2014

Share of gender-balanced research evaluation panels amongst responding research funding organisations || National level || 0 % || 2013 || ERA survey 2014

Share of gender-balanced research evaluation panels amongst responding research funding organisations || EU level || 35.8 % || 2013 || ERA survey 2014

Within
the ERA compliant cluster in Cyprus, the share of gender-balanced recruitment
committees for leading researchers in research performing organisations could
not be identified. However, the share of gender-balanced recruitment committees
for leading researchers is high in the limited compliance cluster.

6.  
KNOWLEDGE CIRCULATION

  
6.1.   Open access to publications and data resulting from publicly funded
research

In
terms of support to open access, there is no specific document or initiative
describing the national policy concerning open data policies in Cyprus. A
limited number of local data collections were identified and contacts with the
responsible persons are in progress by the Cyprus NOAD (UCY Library).

However
within the framework of OpenAIRE & OpenAIREplus projects, the UCY Library
supports institutions that hold data sets in various forms and either by
digitising or hosting their data in open formats (e.g. project of the
digitisation of the Complete Gazetteer of Cyprus, produced by the Land Survey
Department of Republic of Cyprus).

Open
access dissemination activities are implemented through the Project OpenAIRE
and OpenAIREplus, which is represented by the University of Cyprus Library
since 2009.

There
are three parallel approaches for dissemination purposes:

I.          Central
approach: Contacts with the Research Promotion Foundation (which is also one of
the NPR for open access) in order to forward informative material via email for
Open Access and OpenAIREplus.

II.        Cluster
approach:  a) Participation in conferences of librarians/information scientists
who acted as multipliers because they were able to disseminate the obligation
derived by SC39 FP7 projects to their institutional researchers.  b) We
indentified and participated with posters or papers in conferences /
information days that took place in our region through which we reached
researchers.

III.       Individual
approach: Emails were sent to the Cypriot coordinators/partners of SC39 FP7 projects
and phone calls were answered for questions and help requests.

Related
to open access to publications, in November 2008 the Senate of the University
of Cyprus supported and accepted the Library Committee’s proposal to sign the
Berlin Declaration on Open Access to Knowledge in the Sciences and Humanities.
(http://oa.mpg.de/lang/en-uk/berlin-prozess/signatoren/). The Berlin
declaration was also signed in 2011 by the Governing board of the Cyprus
University of Technology.

In
October 2009 the Cyprus Academic Library Consortium (CALC) signed a nationwide
subscription contract with BMC (Biomed Central) for an open access model to the
BMC journals.

Furthermore,
a cooperation network was established including different stakeholders in order
to increase awareness on open access (OA). One of the results of this
networking was the launch of the "Cyprus University of Technology Open
Access Author Fund".

It
is noted that in the last few years Academic Institutions organise relevant
events in Cyprus during the European Open Access Week.

Concerning
funding allocations on the 21 October 2013 an agreement between the Cyprus
University of Technology Library and the Pharmaceutical company REMEDICA was
signed so, Academic publications could be funded with open access terms and be
deposited in an open institutional repository.

It
should be noted that there are no publishers in Cyprus dealing with academic
publications.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting open access to publications || EU level || 51 % || 2013 || ERA survey 2014

Share of publicly funded scientific publications in OA amongst responding research performing organisations || ERA compliant cluster (EU level) || 18 % || 2013 || ERA survey 2014

Share of publicly funded scientific publications in OA amongst responding research performing organisations || ERA compliant cluster (national level) || 1.1 % || 2013 || ERA survey 2014

Share of publicly funded scientific publications in OA amongst responding research performing organisations || Limited compliance to ERA cluster (national level) || 45.1 % || 2013 || ERA survey 2014

Within
the ERA compliant cluster in Cyprus, the share of publicly-funded scientific
publications in open access amongst research performing organisations is lower
than within the EU ERA compliant cluster.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting open access to data || National level || 0 % || 2013 || ERA survey 2014

Share of responding funders supporting open access to data || EU level || 33.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations making scientific research data available on-line and free of charge || ERA compliant cluster (EU level) || 54.2 % || 2013 || ERA survey 2014

Share of responding research performing organisations making scientific research data available on-line and free of charge || ERA compliant cluster (national level) || 8 % || 2013 || ERA survey 2014

Share of responding research performing organisations making scientific research data available on-line and free of charge || Limited compliance to ERA cluster (national level) || 89.5 % || 2013 || ERA survey 2014

Research
funders in Cyprus who responded to the survey indicated that they do not have
measures supporting open access to data.

Within
the ERA compliant cluster in Cyprus, the share of research performing
organisations making available on-line and free of charge publicly-funded
scientific research data systematically is lower than within the EU ERA
compliant cluster.

Currently
there are three Open Access Institutional Repositories in which researchers can
submit relevant articles in Cyprus:

•          
The repository LEKYTHOS, University of Cyprus

•
          The repository KTISIS, Cyprus University of Technology

•
          The repository KYPSELI, Open University Cyprus

The
University of Cyprus Library works as a partner in OpenAIRE & OpenAIREplus
- under the Institutional Repository LEKYTHOS and it allows the imporation and
diffusion of publications and primary research data while acting as a point of
information, which supports researchers in depositing articles and in diffusing
their research.

Also
Zenodo which is also a European repository (orphan repository) that enables
researchers, scientists, EU projects and institutions to easily access, share
and reuse research results in a wide variety of formats including text, spreadsheets,
audio, video, and images across all fields of science, is also promoted in
Cyprus as an alternative hosting area.

  
6.2.   Open innovation and knowledge transfer between public and private
sectors

In
relation to open innovation and knowledge transfer between public and private
sectors, Cyprus has not developed a knowledge transfer strategy. Funding
organisations have not specific funding lines dedicated to the implementation
of knowledge transfer.

Strategic
partnership and/or the definition of joint collaborative research agendas
between academia and industry are being developed in Cyprus.

Specifically
in order to encourage cooperation between academia and industry, a project
under the name 'Development and operation of Enterprise Liaison Offices in
Universities operating in the Republic of Cyprus', involving a consortium of
six Universities operating in the Republic of Cyprus, was awarded in 2009. The
project will last six years and is funded by the European Union Social Funds.
Its purpose is to strengthen the links and the relationships between
Universities and the Industrial environment, in order to develop operations and
communication tools for supporting cooperation and placements of students in
industry. Six Industry Liaison Offices, three public and three private
Universities, are in full development and operation at the moment. It is the
first time that a wide channel of communication and common data base among the
Universities has been established and furthermore between the academic community
and the business world, in order to achieve a wider promotion of knowledge
transfer, student internships, and entrepreneurship.

So
far, the Industry Liaison Offices (ILOs),  have achieved the following results.
They managed to arrange for the placement of approximately 1 500 students in
organisations, of which 924 were arranged directly from the ILOs, whereas in
the remaining the ILOs provided indirect support. Furthermore, 803 academics
and researchers have had their profiles recorded, along with 194 research
laboratories. Finally, the ILOs have recorded the profiles of 615
organisations. So far,these results have enhanced the culture of developing
co-operation between the academia and the business world.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting the implementation of knowledge transfer as part of its institutional and/or project-based funding || National level || 100 % || 2013 || ERA survey 2014

Share of responding funders supporting the implementation of knowledge transfer as part of its institutional and/or project-based funding || EU level || 82.9 % || 2013 || ERA survey 2014

Share of responding research performing organisations' research and development budget financed by the private sector || ERA compliant cluster (EU level) || 6.8 % || 2013 || ERA survey 2014

Share of responding research performing organisations' research and development budget financed by the private sector || ERA compliant cluster (national level) || 0 % || 2013 || ERA survey 2014

Share of responding research performing organisations' research and development budget financed by the private sector || Limited compliance to ERA cluster (national level) || 2.4 % || 2013 || ERA survey 2014

Share of responding research performing organisations having or using a structure for knowledge transfer activities || ERA compliant cluster (EU level) || 75 % || 2013 || ERA survey 2014

Share of responding research performing organisations having dedicated staff employed in knowledge transfer activities || ERA compliant cluster (EU level) || 66.3 % || 2013 || ERA survey 2014

Share of research personnel whose primary occupation is in the private sector (in headcount) || ERA compliant cluster (EU level) || 2.9 % || 2013 || ERA survey 2014

Share of research personnel whose primary occupation is in the private sector (in headcount) || ERA compliant cluster (national level) || 3.4 % || 2013 || ERA survey 2014

Share of research personnel whose primary occupation is in the private sector (in headcount) || Limited compliance to ERA cluster (national level) || 4.9 % || 2013 || ERA survey 2014

The
share of research funders in Cyprus who responded to the survey and support KT
and OI, TTOs and Private Public interaction is higher than the EU average.

Within
the ERA compliant cluster in Cyprus, the share of research performing
organisations having funding originating from the private sector could not be
identified.

Within
the ERA-compliant cluster in Cyprus, the share of research performing
organisations having dedicated staff employed in knowledge transfer activities
is lower than that within the EU's ERA-compliant cluster.

Within
the ERA compliant cluster in Cyprus, the share of research personnel whose
primary occupation is in the private sector (in full time equivalents) is
higher than within the EU ERA compliant cluster.

  
6.3.   Harmonise policies for public e-infrastructures and associated digital
research services

In
relation with the implementation of the Digital ERA, Cyprus has set up a
strategy for its implementation. The country has implemented a research and
education network, essential to make digital services possible.

In
2012, a Digital Strategy was adopted, aiming to provide a comprehensive plan
for the period 2012-2020 and introduce a holistic approach for developing
information society in Cyprus. The Strategy focuses on six strategic
objectives, (i) Connect Cyprus, (ii) Modernise public administration and
provide public electronic services, (iii) Inclusion of all into digital Cyprus,
(iv) Education and learning, (v) Digital entrepreneurship, (vi) ICT for the
environment.

CyNet
is Cyprus' National Research and Education Network. It provides a network
infrastructure for the Cypriot Research and Education Community. CyNet connects
educational and research institutions. The national backbone of CyNet is
connected to the European backbone GEANT2, which is a part of the worldwide
community of research and education networks. Through this connection the CyNet
backbone is also connected to the Global Internet as well.

Furthermore,
due to the manageable size of the country, the UCY Library was able to reach
all existing three institutional repositories (Cyprus University of Technology,
Open University of Cyprus and University of Cyprus) to meet the guidelines of
OPENAIRE compliance.

Drawing
from the experience gained through the active participation of the University
of Cyprus (UCY) Library in OPENAIRE programs, the Library has undertaken a
project to identify, collect and organise all the scientific research output of
the University in an open access repository (it should be noted that the UCY
research output constitutes 62 % of the country’s total output). This will
reinforce and facilitate the ability of UCY Library NOAD to influence the rest
of the research institutions and policy makers, ministries and funders towards
establishing a regional open access agenda.

Within
the ERA compliant cluster in Cyprus, the share of research performing
organisations providing digital research services (i.e. cloud services,
research collaboration platform, etc.) is lower than within the EU ERA
compliant cluster.

  
6.4.   Uptake of federated electronic identities

Cyprus
is not a member of eduGAIN.

Indicator || Level/cluster || Value || Year || Source

Share of responding research performing organisations in the sample providing federated electronic identities for their researchers || ERA compliant cluster (EU level) || 38.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample providing federated electronic identities for their researchers || Limited compliance to ERA cluster (national level) || 10.6 % || 2013 || ERA survey 2014

Within
the limited ERA compliant cluster in Cyprus, the share of research performing
organisations providing federated electronic identities for their researchers
is lower than within the EU ERA compliant cluster.

7.  
NOTES ON THE 2014 ERA SURVEY RESULTS

  
7.1.   Comments

A
total of 13 research performing organisations in Cyprus answered the 2014 ERA
survey, which represents 75.8% of the total number of researchers in the
country (total number of researchers in the country as of 2011).

The
principal component and clustering analysis of research performing
organisations in Cyprus shows that 18.2 % of them are in the ‘ERA compliant’
cluster, 45.5 % can be classified in the ‘limited compliance to ERA’ cluster
and 36.4 % of organisations in the ‘ERA principles are not applicable’ cluster.
However, when the organisations are weighted by the number of researchers in
each organisation, the results significantly vary. Indeed, the shares of
‘weighted’ organisations are 8.0 % for the ‘ERA compliant’ cluster, 90.2 % for
the ‘ERA limited compliant’ cluster and 1.8 % for those organisations where ERA
principles are not applicable.

Policy
measures in support of ERA implementation

Initiative || Adopted in || Adopted since 2012 || New measure since 2013

Research and innovation system

Smart Specialisation Strategy for Research and Innovation (under preparation) || || ||

Cyprus Innovation Strategy (under development) || 2014 || X || X

Project-based funding applying the core principles of international peer review

Reform of the National Research and Innnovation System || || ||

Enhancement of Business Innovation in Cyprus || 2012 || X ||

Institutional funding based on institutional assessment

Innovation Strategy (under review) || 2013 || X || X

DESMI Programme || || ||

Implementing joint research agendas

Joint Research Agendas || || ||

Interoperability, mutual recognition of evaluation results and other schemes

Participation in Joint European Programmes || 2014 || X || X

Financial commitments for the construction and operation of ESFRI, national and regional research infrastructures of pan-European interest

National Roadmap - under preparation || || ||

Call for participation in ESFRI roadmap || 2014 || X || X

Open, transparent and merit-based recruitment of researchers

Euraxess Cyprus || || ||

Attractive careers

Programme for the Support of Young Researchers || 2000 || ||

HR Logo award - Action Plan of the Cyprus Institute of Neurology and Genetics & University of Cyprus for Charter and Code || 2010 || ||

Foster cultural and institutional change on gender

Participation in COST Programme:"Gender, Society, Technology and Environment” Initiative || 2012 || X ||

Gender balance in the decision-making process

Law 100/1997 for the protection of mothers (as amended) || 2011 || ||

Open access to publications and data resulting from publicly funded research

Open access repositories || 2013 || X || X

Open innovation and knowledge transfer between public and private sectors

Development and Operation of Enterprise Liaison Offices at the Universities Operating in the Republic of Cyprus || 2011 || ||

“Manufuture-CY” || 2012 || X ||

Harmonise policies for public e-infrastructures and associated digital research services

Digital Strategy || 2012 || X ||

1.  
MORE EFFECTIVE NATIONAL SYSTEMS

  
1.1.   Research and innovation system

In
2008, the Czech Republic launched a comprehensive reform of the research and
innovation (R&I) system (Act No. 211/2009 Coll, amending Act No.130/2002
Coll.).

As
a result, the Council for Research, Development and Innovation (CRDI) was put
in place as an advisory body of the Government, thereby improving the
governance and coordination of the system. As a single advisory body for
innovation policy (in a broad sense) and for the coordination of public support
to research, development and innovation (RDI), the CRDI defines applied
research priorities (through different committees), proposes the research,
development and innovation State budget and is ultimately responsible for the
annual evaluation of research institutions. It also targets funding towards
potentially strong and globally competitive research fields and areas with
strong potential for applications. The recently-established Government now
includes a Vice-Prime Minister in charge of science, research and innovation,
who will be chairing the CRDI. While CRDI has become the main coordinating body
of the RDI system, the Ministry of Education, Youth and Sports (MEYS) and the
Ministry of Industry and Trade (MIT) continue to set priorities in the context
of the National Innovation Strategy and to administer the European Structural
and Investment Funds (ESIF) through their respective operational programmes
(OP) dealing with research and development (R&D) and innovation. The MEYS
is particularly concerned with public sector R&D, particularly
institutional funding for public universities. It is also responsible for
international R&D cooperation as well as the support to large R&D
infrastructures and fulfilling the administrative function of a central
administration body for R&D, e.g. maintaining registers of public research
institutes. The MIT is responsible for policies in the domain of business
R&D and innovation.

The
reform also reorganised R&D funding bodies by creating the Technology
Agency of the Czech Republic (TACR), which directly reports to CRDI and is in
charge, together with the already existing Grant Agency of the Czech Republic
(GACR), of managing most of the targeted R&D competitive funding provided
by MIT.

In
2013, the Government updated the 2009-2015 National Research, Development and
Innovation Policy of the Czech Republic with a view towards 2020, approved the
implementation plan of the National priorities for oriented research,
experimental development and innovation (2012-2030) (including the revised six
priorities for oriented R&D) and set the goal of preparing the Smart
Specialisation Strategy and the Strategy of Internationalisation of Higher
Education, research and development and innovation (R&D&I) and
Business. All these R&D&I policy documents currently fall under the
overarching International Competitiveness Strategy steered by the Office of the
Government.

The
National Research, Development and Innovation Policy defined long-term national
priorities for R&D&I: (1) Quality and productive research system; (2)
Effective knowledge transfer; (3) Innovative businesses; and (4) Stable,
efficient and strategically-governed research and innovation system. One of its
main goals with respect to increasing efficiency of the national R&D&I
system is the preparation of a new methodology for R&D&I results
evaluation and research organisations institutional funding.

The
2014 National Reform Programme mentions that the Government is going to define
a governmental body responsible for innovation by revising the legislation.

In
terms of R&I funding, the Government Budget Appropriations or Outlays for
Research and Development (GBAORD) in Czech Republic represented EUR 99 per
inhabitant in 2012 (EUR 179 in EU-28). In 2013, GBAORD per inhabitant declined
a little (EUR 97). In 2012, total GBAORD corresponded to 1.5% of total
government expenditures and 0.7 % of Gross Domestic Product (GDP) (Eurostat).

During
the period from 2007 to 2012, several changes in public R&D expenditures
were observed. In nominal terms, the rate of growth of total GBAORD in the
Czech Republic was higher than the rate of growth of total EU GBAORD. In terms
of R&D efforts, the rate of growth of GBOARD in the Czech Republic,
measured as a percentage of public government expenditure, evolved positively.
In comparison, in the EU-27 the rate of growth of GBAORD, measured as a
percentage of public government expenditure, evolved negatively. Finally,
GBAORD as a share of GDP evolved positively in the Czech Republic even when it
regressed at EU-28 level.

  
1.2.   Project-based funding applying the core principles of international peer
review

The
bulk of competitive project-based funding is administered by GACR, which
allocates grants for basic research, and by TACR, which allocates grants for
applied research and development. GACR also awards postdoctoral grants with
limited funding on an open, merit and competitive basis. GACR has a budget of
CZK 3.3 billion (EUR 132 million) in 2013. On the side of applied research and
development, there is currently a transition period where TACR is taking over
the management of most of MIT's competitive funding. The budget of TACR has
grown significantly in recent years from CZK 0.9 billion (EUR 34 million) in
2011, to CZK 2.8 billlion (EUR 113 milllion) in 2013 to CZK 2.6 billion in
2013. In addition, five other ministries administer their own (relatively
small) competitive research funds in their respective domains (agriculture,
health, defence, interior, and culture). The coordination between all research
programmes (funded from the national budget) is ensured by CDRI.

In
the 2014 National Reform Programme, the Czech Government mentions that it will
start preparing a new methodology for evaluating programmes that targeted
support of research, development and innovation, including ex ante, interim and
ex post stages, which should be finalised by the end of 2014.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders' total budget allocated as project-based funding || National level || 53.2 % || 2013 || ERA survey 2014

Share of responding funders' total budget allocated as project-based funding || EU level || 66.2 % || 2013 || ERA survey 2014

The
share of research funders in the Czech Republic who responded to the survey and
support project-based funding is lower than the EU average.

In
order to guarantee the scientific excellence of funded projects, both GACR and
TACR use peer review in the framework of their calls of proposals and
international reviewers for their evaluation.

  
1.3.   Institutional funding based on institutional assessment

Since
the 2008 reform, there has been a constant decrease in institutional funding
from 56 % in 2009 to 51 % in 2012. In its outlook for 2014, the CRDI envisages
a further decrease to 47 % in 2014 and 2015.

In
principle any research organisation, irrespectively of its public/private
status, is entitled to receive institutional support from the state R&D
budget on the basis of the excellence of the R&D results, which the
organisation achieved in a specified time frame.

The
largest recipients of institutional funding are on the one hand institutes of
the Academy of Science of the Czech Republic (ASCR) and on the other, other
public research institutes and higher education institutions (HEIs)
(particularly via the MEYS which distributes the funds). Due to its particular
status, ASCR uses its own internal evaluation methodology for internally
redistributing the funds that have been received.

Over
the period 2010-2013 the performance of research institutions was
systematically evaluated annually, strictly based on quantitative indicators.
The results were used by the CRDI as a starting point for allocating funding.
However, the Government decided to revise the evaluation methodology, following
a Country Specific Recommendation from 2012 and criticism by stakeholders and
by the independent international audit of the Czech R&D&I system
(Arnold, E. 2011).

The
National Reform Programme (NRP) 2014 reaffirms that a revised methodology is
expected to be available for 2016, while the Country Specific Recommendation
2014 calls for accelerating the development of a methodology that would
increase the share of performance-based funding of research institutions. This
new methodology is expected to take into account the status and role of
beneficiaries, be based on international peer review and place emphasis on
excellence in the international context and cooperation with industry. The 2014
NRP also mentions the methodology for the transitional period 2013-2015, which
has been prepared based on a combination of new evaluation criteria (such as
peer review of books and, for applied research, funds attracted from businesses
and acquired through competitive funding) and peer review. The evaluation of
research uses a five-year rolling average. The results of the first evaluation
using this revised methodology are expected in time to be used for the 2015
R&D budget while the CRDI has the authority to recommend that the
Government increases budget lines of particular providers. Still, the
transitional methodology referred to above is seen as a short-term solution and
a more comprehensive methodology as foreseen by the National Reform Programme
2014 is needed. This complex solution should include right incentives to public
researchers to strive for excellence, address societal challenges and cooperate
with the business sector.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders' total budget allocated as institutional funding based on institutional assessment and/or evaluation || National level || 45.4 % || 2013 || ERA survey 2014

Share of responding funders' total budget allocated as institutional funding based on institutional assessment and/or evaluation || EU level || 24 % || 2013 || ERA survey 2014

The
share of research funders in the Czech Republic who responded to the survey and
support institutional assessment for allocating institutional funding is higher
than the EU average.

2.  
TRANSNATIONAL COOPERATION

  
2.1.   Implementing joint research agendas

The
country is involved in transnational cooperation. It supports also bilateral
and multilateral initiatives.

As
part of the revision of the 2009-2015 National R&D&I policy performed
in 2013, the set of national priorities for R&D&I was revised to better
target the six major grand challenges identified (competitive knowledge
economy, sustainable energy and material resources, environment for quality
life, social and cultural challenges, healthy people and secure societies).
Those priorities are largely in line with the grand challenges of the Horizon
2020 proposal. International cooperation is encouraged and emphasised in
particularly in these areas.

MEYS
is responsible for the international R&D cooperation. International
cooperation activities are supported through separate budgetary lines (worth
approximately CZK 2 billion). The Interdepartmental Policy of International
Cooperation in R&D (2008-2015) should help address international
cooperation together with other ministries through cross-sectional R&D
programmes, improve the participation of Czech researchers in international
research programmes, increase effectiveness of R&D cooperation based on
bilateral intergovernmental agreements and unify the administration of present
programmes of international cooperation in R&D.

The
2014 NRP states that the Government will develop a Strategy of
Internationalisation of Higher Education, R&D&I and Business by the end
of the year. This strategy, which will include, among others, a long-term
strategy for membership of the Czech Republic in international research
organisations, supports the participation of the Czech entities in Horizon
2020, the principles of involving the Czech Republic in international R&D&I
initiatives and programmes implemented within the ERA and the objectives for
developing international cooperation in R&D&I with countries outside
the EU.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders' total budget allocated to transnationally coordinated R&D || National level || 1.8 % || 2013 || ERA survey 2014

Share of responding funders' total budget allocated to transnationally coordinated R&D || EU level || 4.1 % || 2013 || ERA survey 2014

Share of responding funders' research and development budget dedicated to jointly defined research agendas with non-national EU organisations || National level || 0.6 % || 2013 || ERA survey 2014

Share of responding funders' research and development budget dedicated to jointly defined research agendas with non-national EU organisations || EU level || 1.7 % || 2013 || ERA survey 2014

The
share of responding funders’ total budget in Czech Republic allocated to
transnationally coordinated R&D is lower than the EU average.

The
share of responding funders’ research and development budget in CZ dedicated to
jointly defined research agendas with other EU organisations is lower than the
EU average.

The
cooperation between institutions of Member States (MS), Associated Countries
and third countries is fostered by the Framework Programme (FP). In the Seventh
Framework Programme (FP7), the share of participation from the Czech Republic
in total participation is 1.2 % and the country received 0.7 % of total EC
contribution. FP funding represents EUR 23 per inhabitant (EU average EUR 72
per capita) for the period 2007-2013 and 2.1 % of the Gross Domestic
Expenditures on R&D (GERD) for the period 2007-2011 (latest available data)
(EU average 3 % of GERD for the same period).

Concerning
Joint Programming Initiatives (JPIs), the country participates in five of the
ten ongoing initiatives. These initiatives are Neurodegenerative diseases
(Alzheimer), Food Security, Agriculture and Climate Change, Cultural Heritage
and global change: a new challenge for Europe, Healthy Diet for Healthy Life
and Antimicrobial resistance - An emerging threat to human health.

There
are programmes at national level which support research on topics relevant to
the Strategic Research Agendas (SRAs). Funding of common actions and alignment
of national programmes to the SRAs are under development.

In
terms of programmes undertaken jointly by several MS (so called Article 185
initiatives), the country was involved in two programmes: EUROSTARS and EMRP.
In Horizon 2020, the country is already involved in two of the four existing
initiatives.

ERA-NETs
facilitate the coordination and collaboration of national and regional research
programmes, in particular the preparation and implementation of joint calls for
transnational research proposals between national and/or regional programmes.
The country has participated in a total of 28 ERA-NETs, four of which are
currently still running. The country also has participated in one ERA-NET Plus
action in areas with high European added value and additional EU financial
support topping up their joint call for proposals.

The
Czech Republic has concluded about 70 inter-governmental bilateral R&D
cooperation agreements, but only some of them are implemented in the way of
joint R&D projects funding: with the United States, Russia, China, South
Korea, Japan, Argentina, France, Austria, Germany, Israel, Poland and Norway
(The Norwegian Financial Mechanism) in the frame of which it recognises
evaluations made by partner countries.

Additionally,
the country participates in the EU Strategy for the Danube Region (EUSDR), a
multilateral (and macro-regional) strategy that has been developed by the
Commission in cooperation with 11 countries in the Danube region (Austria,
Bosnia and Herzegovina, Bulgaria, Croatia, Czech Republic, Germany, Hungary,
Moldova, Montenegro, Romania, Serbia, Slovakia, Slovenia and Ukraine). It
comprises of science and technology cooperations across the region and by the
end of 2013 six scientific clusters were launched, for example a cluster in
energy and sustainability research.

The
Visegrad fund (between the Czech Republic, Hungary, Poland, and the Slovak
Republic) also provides research grants from a common pot contribution of all
countries involved.

The
2014 NRP states that the Czech Republic is going to put in place a National
Space Agency, being the space R&D coordination body, and update the
National Space Plan, which focuses its attention particularly, but not
exclusively, on cooperation with the European Space Agency (ESA).

  
2.2.   Openness for international cooperation with third countries and regions

In
terms of international cooperation with third countries, the Czech Republic has
many  inter-governmental bilateral agreements, including with the United States
of America, Russia, China, India, Japan, South Korea, Taiwan, Argentina and
Chile. Regular funding is attributed through the GACR bilateral grants (based
on agreements with the Deutsche Forschungsgemeinschaft, National Science
Foundation of Korea and National Science Council of Taiwan) and TACR budget
(newly launched DELTA programme). However, the majority of funds for bilateral
cooperation are provided through the MEYS via the KONTAKT II programme, which
focuses on the implementation of non-EU intergovernmental agreements.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders' research and development budget allocated to collaboration programmes carried out with third countries || National level || 1.1 % || 2013 || ERA survey 2014

Share of responding funders' research and development budget allocated to collaboration programmes carried out with third countries || EU level || 2.4 % || 2013 || ERA survey 2014

Share of organisations' research and development budget amongst responding research performing organisations originating from third countries || ERA compliant cluster (EU level) || 0.8 % || 2013 || ERA survey 2014

Share of organisations' research and development budget amongst responding research performing organisations originating from third countries || ERA compliant cluster (national level) || 0 % || 2013 || ERA survey 2014

Share of organisations' research and development budget amongst responding research performing organisations originating from third countries || Limited compliance to ERA cluster (national level) || 0 % || 2013 || ERA survey 2014

The
share of responding funders' research and development budget in Czech Republic
allocated to collaboration programmes carried out with third countries is lower
than the EU average.

Within
the ERA compliant cluster in the Czech Republic, the share of organisations'
R&D budget originating from third countries is lower than within the EU ERA
compliant cluster.

  
2.3.   Interoperability, mutual recognition of evaluation results and other
schemes

Mutual
recognition of evaluations that conform to international peer review standards
is supported in the frame of the bilateral agreements under a mechanism close
to the 'lead agency' procedure. However the Money-follows cooperation or
Money-follows researchers scheme are not supported by funders.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders which can base their project-based research and development funding decisions on peer reviews carried out by non-national institutions || National level || 57.3 % || 2013 || ERA survey 2014

Share of responding funders which can base their project-based research and development funding decisions on peer reviews carried out by non-national institutions || EU level || 38.5 % || 2013 || ERA survey 2014

Share of responding funders' project-based research and development budget allocated through peer review carried out by institutions outside the country || National level || 4 % || 2013 || ERA survey 2014

Share of responding funders' project-based research and development budget allocated through peer review carried out by institutions outside the country || EU level || 0.8 % || 2013 || ERA survey 2014

The
share of research funders in the Czech Republic who responded to the survey and
can base their project-based research and development funding decisions on peer
reviews carried out by non-national institutions is higher than the EU average.

The
share of responding funders' project-based research and development budget in
the Czech Republic allocated through peer review carried out by institutions
outside the country is higher than the EU average.

3.  
RESEARCH INFRASTRUCTURES

  
3.1.   Financial commitments for the construction and operation of ESFRI,
national and regional research infrastructures of pan-European interest

The
Czech Republic participates in the following large international research
organisations, particularly: European Space Agency (ESA), Conseil Européen pour
la Recherche Nucléaire (CERN), The Joint Institute for Nuclear Research (JINR),
European Fusion Development Agreement (EFDA), European Southern Observatory
(ESO), European Synchrotron Radiation Facility (ESRF), Fermi National
Accelerator Laboratory (Fermilab), Institut Laue-Langevin (ILL) and Pierre
Auger Observatory. In 2012, the country contributed 0.8 % of GBAORD to the
activities carried out by CERN, ESO, ESRF, ILL and the European Commission’s
Joint Research Centre (JRC) (Eurostat). In early 2014, the Czech Republic
became a MS of the European Molecular Biology Laboratory (EMBL).

In
terms of participation in the development of Research Infrastructures included
in the European Strategy Forum on Research Infrastructures (ESFRI) Roadmap, the
country participates in the preparatory phase of nine of them (18 %).

With
regards to its participation in the European Research Infrastructure
Consortium, the Czech Republic is involved in six of the nine projects. The
country is a member of SHARE-ERIC, CLARIN ERIC, EATRIS ERIC, ESS ERIC,
BBMRI-ERIC and CERIC-ERIC, and committed to fund all six. Moreover, all six
large European Regional Development Fund (ERDF) funded centres (ELI, IT4I,
BIOCEV, CEITEC, SUSEN and FNUSA-ICRC) participate in ESFRI projects.

A
proposed draft amendment (March 2013) of the principal law governing research
and development (Act No.130/2002 Coll.) should provide institutional funding to
support of international cooperation in research on the basis of international
evaluation (in order to conform to the Council Regulation 2009/723/EC from 25
June 2009 on ERIC).

In
terms of support to the development and implementation of research
infrastructures (Ris), the Czech Republic includes RIs among the policy
priorities. The Roadmap of Large Research, Development and Innovation
Infrastructures in the Czech Republic was approved in 2010 and it was updated
in 2011. Another update is planned for 2014/2015 on the basis of the new
methodology for Large Research, Development and Innovation Infrastructures
evaluation, which will be prepared by mid-2014. The roadmap includes references
to the participation of the Czech Republic in the development of the RIs
mentioned in the ESFRI roadmap. There is a multiannual budget for funding Large
Research, Development and Innovation Infrastructures in the Czech Republic with
annual appropriations of approximately CZK 800 million (i.e. EUR 30 million).

In
order to ensure the long-term sustainability of the 'European Centres of
Excellence' (six R&D centres being built in 2007–2015 using ERDF with the
investment costs over EUR 50 million each), the first National Sustainability
Programme II call is going to be launched in 2014. Up to 60 % of operating
costs of the 'European Centres of Excellence' are to be covered by public
funds, while at least 30 % of operational costs shall be covered by
international (foreign) or private funds. The total expenditures of the
National Sustainability Programme II (2016–2020) are expected at the level of
EUR 500 million, including EUR 250 million of contribution from the public
funds of the Czech Republic.

With
the intention of guaranteeing long-term sustainability of 42 regional R&D
centres and 32 R&D centres in Prague (being built by using ERDF in
2007–2015 with investment costs up to EUR 50 million each), the National
Sustainability Programme I continues to be implemented. The total expenditures
spent in the programme (2013–2020) will reach EUR 700 million, including EUR
350 million of contribution from the Czech Republic public funds.

  
3.2.   Access to research infrastructures of pan-European interest

Among
the research infrastructures coordinated by the Czech Republic, the access to
two of them was funded by the European Commission.

4.  
OPEN LABOUR MARKET FOR RESEARCHERS

  
4.1.   Introduction to open labour market for researchers

A
detailed report can be found in the country profile for the Czech Republic in
the Researchers Report 2014
[http://ec.europa.eu/euraxess/pdf/research\_policies/country\_files/Czech
Republic\_Country\_Profile\_RR2014\_FINAL.pdf].

The
following text provides an overview of the current situation and recent
progress made in several key areas.

Stock
of researchers

There
were 30 682 full time equivalent (FTE) researchers in the Czech Republic in
2011. This represents 5.9 researchers per 1 000 labour force compared with 5.3
among the Innovation Union reference group (Moderate Innovators) and an EU
average of 6.7.

  
4.2.   Open, transparent and merit-based recruitment of researchers

In
2013, the number of researcher posts advertised through the EURAXESS Jobs
portal per thousand researchers in the public sector was 22.8 in the Czech
Republic compared to 39.9 among the Innovation Union reference group and an EU
average of 43.7.

In
2012, 52 % of university-based researchers were satisfied with the extent to
which research job vacancies are publicly advertised and made known by their
institution (More2 survey, 2012).

In
the Czech Republic, each institution is an autonomous employer with its own
personnel and recruitment policies. There is no statutory instrument that would
allow breaches of the autonomy of the institution. There is no legislation
dealing with the online publication of publicly-funded research jobs. EURAXESS
Czech Republic operates the Czech National EURAXESS Jobs portal that is linked
to the pan-European EURAXESS Jobs portal. This tool is used increasingly by
Czech public research organisations/institutes and universities.

  
4.3.   Attractive careers

In
2009, the Academy of Sciences of the Czech Republic (ASCR) declared its
interest in the 'Human Resources Strategy for Researchers incorporating the
Charter and the Code' and included some of the principles to their career
system The ASCR also joined the Charles University’s Charter & Code
Promoter´s Network’ project (2010) that focuses on raising awareness of the
Charter & Code in the research community. As of 2012, the ASCR and the
Central European Institute of Technology (CEITEC) were the only research
organisations that had signed the Charter and Code in 2006 and 2012
respectively. The Charter & Code are actively promoted by the coordinator
of the EURAXESS Network in the Czech Republic at different events organised for
researchers as well as for research organisations

By
May 2014, one Czech organisation was actively engaged in the Commission’s Human
Resources Strategy for Researchers.

There
is no policy at Government level in the Czech Republic to offer clear career
prospects to researchers. However, an increasing number of institutions,
especially natural science institutes of the ASCR, require graduated doctoral
students to leave the institution for a postdoctoral fellowship elsewhere.

  
4.4.   Supporting structured innovative doctoral training programmes

The
number of new doctoral graduates per 1 000 population aged between 25 and 34
was 1.5 in 2011 compared with 1.2 among the Innovation Union reference group
and an EU average of 1.7.

Attracting
young talented students to become researchers has been embedded in the
International Competitiveness Strategy, the National Innovation Strategy and
the Human Resources Development in R&D documents developed by the
Government of the Czech Republic. All three documents suggest the development
of tools and strategies to inspire young people to become researchers. In 2013,
there were 24,755 doctoral students at higher education institutes (HEIs) in
the Czech Republic, compared to 24 803 in 2012 and 16 491 in 2001. Active
doctoral studies in sciences (including mathematics, technology and
engineering) accounted for 49.8 % of all doctoral studies in 2013. If medical,
pharmaceutical, and life sciences are included the proportion rises to 65.2 %.
The percentages have remained relatively stable for the past five years.

The
Czech Government has not put in place any measures to increase the number of
students taking science to a doctoral level. Moreover, national statistical
data and recent reports from the Institute for Information on Education (ÚIV)
and the Research, Development and Innovation Council state that - one third of
doctoral graduates in the Czech Republic go into a science and technology
career. The Czech Government, along with grammar schools, universities and
research institutions, is working towards creating or supporting (existing)
tools to attract students to science, technology, engineering and mathematics
(STEM) subjects. In addition, several universities as well as the National
Contact Centre for Women and Science at the Institute of Sociology of the ASCR
have introduced mentoring programmes to attract women students at secondary
education level to follow STEM subjects at university level.

  
4.5.   International and inter-sectoral mobility

In
2011, the percentage of doctoral candidates with citizenship of another EU-27
Member State was 9 % in the Czech Republic compared to 4.2 % among the
Innovation Union reference group and an EU average of 4.7%. The percentage of
non-EU doctoral candidates as a percentage of all doctoral candidates was 4.1%
in the Czech Republic compared with 5.2 % among the Innovation Union reference
group and an EU average of 24.2 %.

The
Návrat (Return) programme (2012-2019), funded by the Ministry of Education,
Youth and Sports targets researcher reintegration. It creates conditions for a
faster and more successful reintegration of professionals with significant
experience in research organisations within the Czech Republic. Since 2012,
five-year reintegration grants have been provided. The first call was
regionally limited and focused on the region of the capital city because of the
complementarity with some particular calls under the operational programmes.
Since 2013, three-year reintegration grants have started without any regional
limitation. The shorter period was set due to better flexibility,
complementarity with other measures and the existed limitations of the R&D
national budget.

Another
measure is the Purkyne Fellowship, which is awarded by the ASCR and aims to
attract ‘leading’ researchers from abroad (mostly Czechs who have spent a
period abroad). In the Czech Republic, the level of awareness of the scientific
visa for scientists/researchers from third countries has improved thanks to the
EURAXESS Network in the Czech Republic. Most researchers from third countries
are now well informed about the scientific visa via the EURAXESS centres
located at universities and other research organisations in the Czech Republic.
The Czech embassies are also well aware of the scientific visa procedures, and
thus more and more scientists are being advised to apply for this type of
permit.

The
Czech Government (the Ministry of Education, Youth and Sports of the Czech
Republic) along with universities, research institutions and industrial
partners are working towards creating support for existing tools to boost the
collaboration between academia and industry. For instance, the Czech Government
is currently implementing an ‘Effective Knowledge Transfer’ project. This is
one of several individual national projects under the Education for
Competitiveness Operational Programme. The project covers systems for intellectual
property protection and commercial use, commercialisation of R&D results,
and cooperation with industry. The project also involves the development of
support methodologies for the implementation, the creation of networks for
effective knowledge transfer, and the training of the target group of users in
methodological materials. The issue of encouraging researchers to move from the
public to the business sector and vice-versa has been embedded in the Czech
National Innovation Strategy and is being implemented by the Ministry of
Education, Youth and Sports of the Czech Republic. Despite recent efforts to
develop new collaborative programmes, cooperation between academia and industry
is still underdeveloped in the Czech Republic.

5.  
GENDER

  
5.1.   Foster cultural and institutional change on gender

The
recruitment, retention and career progression of researchers is regulated by
the general labour market legislation on non-discrimination and equal
opportunities (the Act No. 262/2006, Coll. on labour code, the Act No. 435/2004
Coll. on employment and the Act No. 198/2009, Coll. on antidiscrimination).
Labour law guarantees a maternity leave of six months with return to the same
position (not for fixed-term contracts) and parental leave up to three years.
The Government proceedings (or law) require that gender impact is assessed for
every Government resolution.

The
Governmental Resolution No. 1033 of 2001 establishes measures on equal
opportunities. The most important body concerning equal opportunities is the
Governmental Council for Equal Opportunities for Women and Men, which started
its activity at the end of 2002 as an advisory body of the Government. Also
created in 2001, the National Contact Centre for Women and Science ('Zeny a
veda') is the main agent shaping gender policy in R&D in the Czech
Republic. It carries out analysis and raises awareness about gender issues.

A
strategy on gender equality in public research, in line with the ERA
Communications objectives, is being prepared by the Ministry of Labour and
Social Affairs. No dedicated funds shall directly be allocated to the
implementation of this strategy in the field of research and innovation; MEYS
only consults Zeny a veda every year on priority actions to be carried out.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting gender equality in research || National level || 57.4 % || 2013 || ERA survey 2014

Share of responding funders supporting gender equality in research || EU level || 82.2 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample which have adopted Gender Equality Plans || ERA compliant cluster (EU level) || 64 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample which have adopted Gender Equality Plans || ERA compliant cluster (national level) || 26.1 % || 2013 || ERA survey 2014

The
share of research funders in the Czech Republic who responded to the survey and
support national policies on gender equality in public research is lower than
the EU average.

Within
the ERA compliant cluster in the Czech Republic, the share of research
performing organisations that have adopted Gender Equality Plans is lower than
within the EU ERA compliant cluster.

The
Czech Republic has set up some awards, fellowships and/or other similar
mechanisms to specifically support female researchers. The award Milada Paulová
is jointly organised by MEYS and Zeny a veda for lifelong achievement of female
researchers in Czech science. The L’ORÉAL Scholarship Czech Republic for Women
in Science is also in place.

At
the funders’ level, the GACR allows, with some restrictions, female researchers
to interrupt or postpone research activities due to maternity leave. In 2013,
an independent audit was carried out to assess gender equality in the operation
of GACR, but the results have not publicly been released yet.

Indicator || Level/cluster || Value || Year || Source

Share of responding research performing organisations implementing recruitment and promotion policies for female researchers || ERA compliant cluster (EU level) || 53.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations implementing recruitment and promotion policies for female researchers || ERA compliant cluster (national level) || 22.1 % || 2013 || ERA survey 2014

Share of responding research performing organisations implementing recruitment and promotion policies for female researchers || Limited compliance to ERA cluster (national level) || 22.9 % || 2013 || ERA survey 2014

Within
the ERA-compliant cluster in the Czech Republic, the share of research
performing organisations implementing recruitment and promotion policies for
female researchers is lower than that within the EU's ERA-compliant cluster.

So
far, it seems that no provisions exist to tackle the gender dimension in
research programmes.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting the inclusion of gender dimension in research content || National level || 0 % || 2013 || ERA survey 2014

Share of responding funders supporting the inclusion of gender dimension in research content || EU level || 48.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations which include the gender dimension in research content || ERA compliant cluster (EU level) || 44 % || 2013 || ERA survey 2014

Share of responding research performing organisations which include the gender dimension in research content || ERA compliant cluster (national level) || 35 % || 2013 || ERA survey 2014

The
share of research funders in the Czech Republic who responded to the survey and
support gender dimension in research content/programmes is lower than the EU
average.

Within
the ERA-compliant cluster in the Czech Republic, the share of research
performing organisations that include the gender dimension in research content
is lower than that within the EU's ERA-compliant cluster.

  
5.2.   Gender balance in the decision-making process

The
Czech Republic has not set up any targets for the participation of women in
decision-making bodies of Research Performing Organisations. However, the ASCR
has constantly increased the share of women in higher management positions.
Thus, the representation of women in its Academic Council is now about 25 %.
The ASCR has established the National Contact Centre for Gender & Science
of which it is also supportive.

Indicator || Level/cluster || Value || Year || Source

Share of gender-balanced recruitment committees for leading researchers amongst responding research performing organisations || ERA compliant cluster (EU level) || 33.6 % || 2013 || ERA survey 2014

Share of gender-balanced recruitment committees for leading researchers amongst responding research performing organisations || ERA compliant cluster (national level) || 12.5 % || 2013 || ERA survey 2014

Share of gender-balanced recruitment committees for leading researchers amongst responding research performing organisations || Limited compliance to ERA cluster (national level) || 0 % || 2013 || ERA survey 2014

Share of gender-balanced research evaluation panels amongst responding research funding organisations || National level || 19.6 % || 2013 || ERA survey 2014

Share of gender-balanced research evaluation panels amongst responding research funding organisations || EU level || 35.8 % || 2013 || ERA survey 2014

Within
the ERA-compliant cluster in the Czech Republic, the share of gender-balanced
recruitment committees for leading researchers in research performing
organisations is lower than that within the EU's ERA-compliant cluster.

The
share of gender-balanced research evaluation panels amongst responding research
funding organisations in CZ is lower than the EU average.

6.  
KNOWLEDGE CIRCULATION

  
6.1.   Open access to publications and data resulting from publicly funded
research

In
terms of support to open access, the CRDI administers the R&D&I
information system of the Czech Republic, which provides open access to
information about publicly-funded research activities, projects and their
outputs. It allows the collection, processing, publication and utilisation of
data. The Czech Statistical Office (CZSO), pursuant to the Section 17
'Provision of confidential statistical data' of the Act No. 89/1995, on the
State Statistical Service, provides confidential statistical data for
scientific research purposes. Several open access repositories are run by
different stakeholders.

Related
to open access to publications or data, there are no specific obligatory
measures in place at national level. However, in February 2014, the CRDI
approved its document titled 'Open Access to published research results
financed by public budget'  (CRDI OA Document) which mainly presents three
types of recommendations:

1°)
Recommendation for respective public administration bodies to tackle open
access issue and prepare national strategy on open access,

2°)
Recommendation for research organisations to deal with open access at
institutional level in terms of supporting repositories and adopting internal
guidelines on open access,

3°)
Recommendation for R&D&I grants providers to include requirement to
promote open access to scientific publications into their R&D&I
programs. The stakeholders targeted by the CRDI OA Document are expected to
start acting in line with the recommendations as soon as possible unless they
have already done so. For example, a number of Czech universities as well as
the ASCR have an open access policy in place and have their institutional repositories
for depositing research publications. The Association of Libraries of Czech
Universities also provides institutional support to open access.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting open access to publications || National level || 64.5 % || 2013 || ERA survey 2014

Share of responding funders supporting open access to publications || EU level || 51 % || 2013 || ERA survey 2014

Share of publicly funded scientific publications in OA amongst responding research performing organisations || ERA compliant cluster (EU level) || 18 % || 2013 || ERA survey 2014

Share of publicly funded scientific publications in OA amongst responding research performing organisations || ERA compliant cluster (national level) || 9.1 % || 2013 || ERA survey 2014

Share of publicly funded scientific publications in OA amongst responding research performing organisations || Limited compliance to ERA cluster (national level) || 8.3 % || 2013 || ERA survey 2014

The
share of research funders in the Czech Republic who responded to the survey and
support open access to publications is higher than the EU average.

Within
the ERA compliant cluster in the Czech Republic, the share of publicly-funded
scientific publications in open access amongst research performing
organisations is lower than that within the EU's ERA-compliant cluster.

Concerning
open access to data, there seems to be limited support.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting open access to data || National level || 13.1 % || 2013 || ERA survey 2014

Share of responding funders supporting open access to data || EU level || 33.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations making scientific research data available on-line and free of charge || ERA compliant cluster (EU level) || 54.2 % || 2013 || ERA survey 2014

Share of responding research performing organisations making scientific research data available on-line and free of charge || ERA compliant cluster (national level) || 46.9 % || 2013 || ERA survey 2014

Share of responding research performing organisations making scientific research data available on-line and free of charge || Limited compliance to ERA cluster (national level) || 18.5 % || 2013 || ERA survey 2014

The
share of research funders in the Czech Republic who responded to the survey and
support open access to data is lower than the EU average.

Within
the ERA compliant cluster in the Czech Republic, the share of research
performing organisations making available online and free of charge
publicly-funded scientific research data systematically is lower than that
within the EU's ERA-compliant cluster.

With
respect to repositories, a few research organisations have created their own
repositories.

  
6.2.   Open innovation and knowledge transfer between public and private
sectors

In
relation to Open Innovation and Knowledge Transfer between public and private
sectors, the Czech Republic’s National Innovation Strategy (NIS), published in
October 2011 and coproduced by MIT and MEYS, lists 'Cooperation and knowledge
transfer between academia and industry' as one of the four priority areas.
Additionally, the National Research, Development and Innovation Policy also
promotes better research links between academia and industry. The newly
implemented R&D programmes, mostly funded by TACR but also by MEYS and MIT,
support public-private R&D co-operation (ALFA, Centres of Competence, etc.)
With the same overall objective, two new governmental programmes have recently
been put in place: EPSILON, supporting applied research and experimental
development for industry and GAMA to support a more efficient transfer and
commercial exploitation of R&D&I results. The state-of-the-art
intellectual property rights (IPR) legislation is in place and the NRP 2014
mentions that the Government will support its application. These efforts are being
largely supported by EU funds allocated to R&D, which reached 0.3 % of GDP
in 2012 and have become one of the main sources of R&D funding in the Czech
Republic. As a result, the level of public funding injected into the national
innovation system is currently quite high by EU standards (in 2012, the sum of
national and EU funding of R&D amounted to 1.01 % of GDP) and business
expenditure on R&D is gradually catching up. However, these initiatives and
efforts are not yet translating into a visible improvement of the quality and
relevance of scientific output which would support the emergence and
development of more domestic innovation leaders. This weak performance is
attributed to misaligned incentives embodied in the current approach to
evaluating public research and allocating funding. The complexity of Czech
research and innovation policy may also play a role.

In
December 2012, the Government already approved an action plan to promote
growth, entrepreneurship and employment, which one of the proposed measures is
to extend the existing R&D tax credits to purchase external R&D
services from research organisations.    This is a step towards fostering
cooperation between academia and the business sector. Research performing
organisations are also assessed on their ability to attract industry funding
(see section on Effectiveness). Beginning with 2012, the setting-up of
Technology Transfer Offices (TTOs) at universities or intermediary
organisations is supported via the Structural Funds. Strategic partnerships
between academia and industry are supported by TACR via the Centres of
Competence programme. Additionally, provisions are in place to support
public-private partnerships (PPPs) via Structural Funds.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting the implementation of knowledge transfer as part of its institutional and/or project-based funding || National level || 75 % || 2013 || ERA survey 2014

Share of responding funders supporting the implementation of knowledge transfer as part of its institutional and/or project-based funding || EU level || 82.9 % || 2013 || ERA survey 2014

Share of responding research performing organisations' research and development budget financed by the private sector || ERA compliant cluster (EU level) || 6.8 % || 2013 || ERA survey 2014

Share of responding research performing organisations' research and development budget financed by the private sector || ERA compliant cluster (national level) || 2.3 % || 2013 || ERA survey 2014

Share of responding research performing organisations' research and development budget financed by the private sector || Limited compliance to ERA cluster (national level) || 0.4 % || 2013 || ERA survey 2014

Share of responding research performing organisations having or using a structure for knowledge transfer activities || ERA compliant cluster (EU level) || 75 % || 2013 || ERA survey 2014

Share of responding research performing organisations having or using a structure for knowledge transfer activities || ERA compliant cluster (national level) || 40.2 % || 2013 || ERA survey 2014

Share of responding research performing organisations having or using a structure for knowledge transfer activities || Limited compliance to ERA cluster (national level) || 20.7 % || 2013 || ERA survey 2014

Share of responding research performing organisations having dedicated staff employed in knowledge transfer activities || ERA compliant cluster (EU level) || 66.3 % || 2013 || ERA survey 2014

Share of responding research performing organisations having dedicated staff employed in knowledge transfer activities || ERA compliant cluster (national level) || 30.4 % || 2013 || ERA survey 2014

Share of responding research performing organisations having dedicated staff employed in knowledge transfer activities || Limited compliance to ERA cluster (national level) || 20.6 % || 2013 || ERA survey 2014

Share of research personnel whose primary occupation is in the private sector (in headcount) || ERA compliant cluster (EU level) || 2.9 % || 2013 || ERA survey 2014

Share of research personnel whose primary occupation is in the private sector (in headcount) || ERA compliant cluster (national level) || 0.8 % || 2013 || ERA survey 2014

Share of research personnel whose primary occupation is in the private sector (in headcount) || Limited compliance to ERA cluster (national level) || 1.1 % || 2013 || ERA survey 2014

The
share of research funders in the Czech Republic who responded to the survey and
support national support to knowledge transfer and open innovation, TTOs and
Private Public interaction is lower than the EU average.

Within
the ERA-compliant cluster in the Czech Republic, the share of research performing
organisations having funding originating from the private sector is lower than
that within the EU's ERA-compliant cluster.

Within
the ERA-compliant cluster in the Czech Republic, the share of research
performing organisations having or using a structure for knowledge transfer
activities is lower than that within the EU's ERA-compliant cluster.

Within
the ERA-compliant cluster in the Czech Republic, the share of research
performing organisations having dedicated staff employed in knowledge transfer
activities is lower than that within the EU's ERA-compliant cluster.

Within
the ERA-compliant cluster in the Czech Republic, the share of research
personnel whose primary occupation is in the private sector (in full time
equivalents) is lower than that within the EU's ERA-compliant cluster.

  
6.3.   Harmonise policies for public e-infrastructures and associated digital
research services

In
relation with the implementation of the Digital ERA, in March 2013, the Czech
Republic approved the State Policy in Electronic Communications Digital Czech
Republic v. 2.0 - The Way to the Digital Economy. In 2010, with the approval of
CESNET (initially established in 1996 as a joint venture of universities and
the ASCR) the Czech Republic has implemented a research and education network
(NREN) essential to make digital services possible. CESNET is also the
coordinator of the National Grid Infrastructure (NGI) and a member of EGI.eu.

Other
e-infrastructures of relevance are: eIGeR – e-Infrastructure and Grids for
e-Regions; IT4Innovations – building a national High Performance Computing
Centre of Excellence in the field of information and communication
technologies, NTIS (New Technologies for Information Society) and the CERIT
Scientific Cloud.

Concerning
digital services, the country provides federated services, cloud services and
premium services.

Indicator || Level/cluster || Value || Year || Source

Share of responding research performing organisations providing digital research services (i.e. cloud services, research collaboration platform, etc.) || ERA compliant cluster (EU level) || 80.8 % || 2013 || ERA survey 2014

Share of responding research performing organisations providing digital research services (i.e. cloud services, research collaboration platform, etc.) || ERA compliant cluster (national level) || 46.2 % || 2013 || ERA survey 2014

Share of responding research performing organisations providing digital research services (i.e. cloud services, research collaboration platform, etc.) || Limited compliance to ERA cluster (national level) || 31.2 % || 2013 || ERA survey 2014

Within
the ERA-compliant cluster in the Czech Republic, the share of research
performing organisations providing digital research services (i.e. cloud
services, research collaboration platform, etc.) is lower than that within the
EU's ERA-compliant cluster.

  
6.4.   Uptake of federated electronic identities

The
Czech Republic was a member of an identity federation in 2011 via CESNET
providing inter-organisational identity management and interconnectivity of
networks. Also via CESNET, the country is a member of eduGAIN, a service
intended to enable the trustworthy exchange of information related to identity,
authentication and authorisation between the GEANT (GN3plus) partners
federations. Among the projects run by CESNET, the EDUROAM infrastructure and
eduroam.cz project support and spread Internet Protocol (IP) mobility and
roaming in order to enable users of interconnected networks an easy and
transparent usage of any network connected to the roaming space. The Czech
Academic Identity Federation eduID.cz project provides means for
inter-organisational identity management and access control to network
services.

Indicator || Level/cluster || Value || Year || Source

Share of responding research performing organisations in the sample providing federated electronic identities for their researchers || ERA compliant cluster (EU level) || 38.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample providing federated electronic identities for their researchers || ERA compliant cluster (national level) || 37.3 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample providing federated electronic identities for their researchers || Limited compliance to ERA cluster (national level) || 6.7 % || 2013 || ERA survey 2014

Within
the ERA-compliant cluster in the Czech Republic, the share of research
performing organisations providing federated electronic identities for their
researchers is similar to that within the EU's ERA-compliant cluster.

7.  
NOTES ON THE 2014 ERA SURVEY RESULTS

  
7.1.   Comments

A
total of 24 research performing organisations in Czech Republic answered the
2014 ERA survey, which represents 8.0% of the total number of researchers in
the country (total number of researchers in the country as of 2011).

The
principal component and clustering analysis of research performing
organisations in Czech Republic shows that 34.8 % of them are in the ‘ERA
compliant’ cluster, 39.1 % can be classified in the ‘limited compliance to ERA’
cluster and 26.1 % of organisations in the ‘ERA principles are not applicable’
cluster. However, when the organisations are weighted by the number of
researchers in each organisation, the results significantly vary. Indeed, the
shares of ‘weighted’ organisations are 46.9 % for the ‘ERA compliant’ cluster,
43.8 % for the ‘ERA limited compliant’ cluster and 9.3 % for those
organisations where ERA principles are not applicable.

Policy
measures in support of ERA implementation

Initiative || Adopted in || Adopted since 2012 || New measure since 2013

Research and innovation system

National Research, Development and Innovation Policy of the Czech Republic 2009-2015 with a view to 2020. National priorities of oriented research, experimental development and innovations || 2013 || X || X

Project-based funding applying the core principles of international peer review

Act No. 211/2009 Coll, amending Act No.130/2002 Coll. on the support for research and development from public funds || 2009 || ||

Council for Research, Development and Innovation (CRDI) || 2009 || ||

TCAR programmes for applied research and development ALFA, BETA, GAMA, DELTA, OMEGA programmes, Competence Centres || 2013 || X || X

Other programmes providing competitive funding TIP programme || 2008 || ||

Institutional funding based on institutional assessment

New methodology to allocate institutional funding || 2013 || X || X

GACR Postdoc grants || 1998 || ||

Revision of the formula for allocation of institutional funding for 2013-2015 || 2012 || X ||

Implementing joint research agendas

Participation in EIROs || || ||

Joint Programming Initiatives, ERA-NETS and ERA-NETS plus || 2009 || ||

Participation in Joint Technology Initiatives || 2007 || ||

Interoperability, mutual recognition of evaluation results and other schemes

GACR and TACR programmes || || ||

The Visegrad Fund || 2000 || ||

International bilateral agreements || 2006 || ||

National Information Centre for European Research (NICER) Czech Liaison Office for Research and Development in Brussels (CZELO) || 2005 || ||

Financial commitments for the construction and operation of ESFRI, national and regional research infrastructures of pan-European interest

Update of the Roadmap for Large Research, Development and Innovation Infrastructures || 2011 || ||

Draft version of the Amendment of the Act No. 130/2002 Coll. On the support for research and development from public funds || 2013 || X || X

Large Research Infrastructures linked with ESFRI || 2010 || ||

National Sustainability Programmes I and II || 2013 || X || X

Open, transparent and merit-based recruitment of researchers

Project „EURAXESS Czech Republic 2012 - 2015“ || 2012 || X ||

Attractive careers

Scientific Visa Package - transposed through Act No. 379/2007 || || ||

The Higher Education Act (Act No. 111/1998 Coll.) || 1998 || ||

Reform of Tertiary Education programme || 2013 || X || X

The Common Rules for Human Resources Management of CEITEC Code of Ethics for Researchers of the ASCR || 2011 || ||

International and inter-sectoral mobility

MOBILITY programme || || ||

Gender balance in the decision-making process

Act No. 262/2006, Coll. on labour code Act No. 435/2004 Coll. On employment Act No. 198/2009, Coll. On antidiscrimination General provisions in the NRP 2013 || || ||

Milada Paulova Award || 2009 || ||

Governmental Resolution No. 1033 of 2001 || 2010 || ||

Government proceedings ("Jednací řád vlády") || 1998 || ||

ERA Working Group on Human Resources Development and Equal Approach to Women and Men in Research, Development and Innovation. || 2001 || ||

Ministerial gender focal points Working Groups for Equal Opportunities for Women and Men || 2001 || ||

National Contact Centre for Women and Science || 2001 || ||

L’ORÉAL Scholarship Czech Republic for Women in Science || 2007 || ||

Open access to publications and data resulting from publicly funded research

Research Data Repositories || || ||

Open access repositories || || ||

Central Register of R&D projects Register of public R&D tenders Information Register of R&D results Central Register of Institutional Research Plans || 1993 || ||

www.openaccess.cz www.dspace.cz || 2010 || ||

Statistical Data for Scientific Research Purposes || || ||

Open innovation and knowledge transfer between public and private sectors

Priority Axis 3 “Commercialisation and popularisation of R&D“ of the OP Research and Development for Innovation || 2006 || ||

Action plan to promote growth, entrepreneurship and employment || 2013 || X || X

National Innovation Strategy of the Czech Republic || 2011 || ||

ALFA Programme Centres of competence DELTA programme EF-TRANS TIP programme || 2009 || ||

Harmonise policies for public e-infrastructures and associated digital research services

Czech Education and Scientific NETwork (CESNET) || 2010 || ||

IT4Innovations || 2010 || ||

CERIT Scientific Cloud || 2010 || ||

Uptake of federated electronic identities

Czech academic identity federation (eduID.cz) - member of eduGAIN || 2009 || ||

Project eduroam.cz || 2004 || ||

1.  
MORE EFFECTIVE NATIONAL SYSTEMS

  
1.1.   Research and innovation system

In
Germany, the central responsibility for research, technology and innovation
policy lies with two ministries: the Federal Ministry of Education and Research
(BMBF) is mainly responsible for public research, while the Federal Ministry
for Economic Affairs and Energy (BMWi) focuses on funding innovation and
research in the business sector. In addition, other Federal Ministries provide
funding for research in their respective spheres of competence, particularly
the Federal Ministry of Food and Agriculture (BMEL), the Federal Ministry of
Health (BMG), the Federal Ministry of Transport and Digital Infrastructure
(BMVI) and the Federal Ministry for Environment, Nature Conservation, Building
and Nuclear Safety (BMUB).

The
16 Länder also provide funding for research and innovation (R&I) under
their own programmes. Regional research and innovation policy is to some extent
based on the Federal Government's research funding priorities but also follows
regional funding agendas. The Länder are responsible for higher education
legislation and for financing institutions of higher education.

The
Joint Science Conference (GWK) is the main body that coordinates research
policies between the Federal Government and Länder (State) governments.

The
German Science Council (sometimes called the German Council of Science and
Humanities - WR) advises the Federal Government and the Länder on questions
related to universities, science and research both content-wise and from the
structural development point of view.

The
German Research Foundation (DFG), the German Rectors' Conference (HRK), the
Helmholtz Association (HGF), Fraunhofer (FhG), the Max Planck Society (MPG),
the Leibniz Association (WGL), the Alexander von Humboldt Foundation (AvH), the
German Academic Exchange Service (DAAD), the German National Acedemy of
Sciences (Leopoldina) and the German Council of Science and Humanities (WR)
have organised themselves in the Alliance of Science Organisations in Germany.

The
Federal Government and the Länder jointly support the DFG as well as other
non-university research institutions: HGF, MPG, FhG,WGL the National Academy of
Science and Engineering (acatech), and Leopoldina. Other non-university
research institutions comprise of the departmental research institutions of the
Federal Government and the Länder, which also receive their basic funding
largely from the public sector.

DAAD,
which is mainly financed by the Federal Government, supports international
exchanges of students, graduates and researchers. Public and private
foundations also provide funding for research, for example the Volkswagen
Foundation, AvH, the German Environment Foundation (DBU), the German Foundation
for Peace Research (DSF), and the twelve organisations for the promotion of
young talent in higher education.

The
institutions of higher education comprise of government-funded and private
universities, universities of applied sciences and other academic institutions,
which all combine both academic teaching and research.

The
High-Tech Strategy 2020 of the Federal Government defines the central goals of
Germany's research and innovation policy. It is a follow-up of the previous
High-Tech Strategy of 2006 and was developed to concentrate the public research
and development (R&D) resources and improve coordination between all
affected ministries. The aim is to create lead markets in Germany, to intensify
cooperation between science and industry, and to further improve the framework
conditions for innovation. The overall goal of the High-Tech Strategy 2020 is
to make Germany a pioneering force in solving global challenges. In this
respect, the strategy addresses five key priority areas (demand fields) of
research that are linked to global challenges: climate and energy,  health and
nutrition, mobility, security and communication.

In
its National Reform Programme 2014, Germany states that the High-Tech Strategy
as the Innovation Strategy for Germany will be further developed by the Summer
of 2014. It should reinforce the focus on challenges such as sustainable
development and digitalisation.

Additionally,
the Strategy of the Federal Government on the European Research Area (ERA), as
already anounced by the 2014 National Reform Programme, has been published at
July 18th. It focuses on researchers’ mobility, joint programming, research
infrastructures, knowledge transfer, gender equality and international
cooperation.

Germany
has a Country Specific Recommendation: 'Use the available scope for increased
and more efficient public investment in infrastructure, education and
research'.

In
terms of R&I funding, the Government Budget Appropriations or Outlays for
Research and Development (GBAORD) in Germany represented EUR 294 per inhabitant
in 2012 (EUR 179 in EU-28). In 2013, GBAORD per inhabitant increased, to reach
EUR 306. In 2012, total GBAORD corresponded to 2 % of total government
expenditures and 0.9 % of Gross Domestic Product (GDP) (Eurostat).

The
analysis of the evolution of GBAORD in the period during the economic crisis
(2007-2012) shows that in nominal terms, the rate of growth of total GBAORD in
Germany has been higher than the rate of growth of total EU GBAORD. In terms of
R&D efforts, the rate of growth of GBOARD in Germany, measured as a
percentage of public government expenditure, evolved positively. In comparison,
in the EU-27 the rate of growth of GBAORD measured as a percentage of public
government expenditure, evolved negatively. Finally, GBAORD as a share of GDP
has evolved positively in Germany even when it regressed at EU-28 level.

  
1.2.   Project-based funding applying the core principles of international peer
review

R&D
programmes by ministries (e.g. 'Initiative of Excellence', R&D thematic
programmes by BMBF; etc) are administered and managed by a range of
implementation agencies (Projektträger, seven at the moment), which are mostly
located in large research centres. These programmes provide project funding on
a competitive basis, according to the 'Pakt für Forschung und Innovation'.

Most
R&D programmes support cooperation between public (or private) research
institutions, higher education institutions (HEI) and companies.

The
central task of the DFG is to award funding for basic research to universities
as well as research organisations' cooperating with them in projects via a
competitive procedure. DFG provides one of the main sources of competitive
funding through its funding programmes collaborative research centres, research
centres, research training groups, priority programmes and research units, both
in quantitative as well as in qualitative terms.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders' total budget allocated as project-based funding || National level || 56.9 % || 2013 || ERA survey 2014

Share of responding funders' total budget allocated as project-based funding || EU level || 66.2 % || 2013 || ERA survey 2014

The
share of research funders in Germany who responded to the survey and support
project-based funding is lower than the EU average.

Competitive,
peer review-based allocation of funds is the main procedure applied at DFG and
is embedded in its statute. International peer-review principles like
excellence, objectivity, transparency, confidentiality and ethics of science
are applied. In 2012, 26 % of DFG expert opinions were prepared by experts from
abroad. R&D programmes not managed by the DFG normally also require the
establishment of an evaluation committee.

  
1.3.   Institutional funding based on institutional assessment

The
Federal Government and the Länder concluded a Pact for Research and Innovation
(also called the Joint Initiative for Research and Innovation) with the science
and research organisations (DFG, FhG, HGF, WGL and MPG) in 2005. The Pact was
renewed in 2009 to cover the period up to 2015. One of the objectives of this
joint initiative is to launch suitable measures to ensure and optimise the
quality, efficiency and performance of science and research institutions that
receive institutional funding. Large non-university research institutions (HGF,
FhG, MPG and WGL) allocate a share of their institutional funds on competitive
basis, based on processes that include peer review. According to the Pact for
Research and Innovation, these instruments should be developed further on a
continuous basis.

90
% of the funding for universities is provided by public sources, 80 % by the
Länder and 10 % by the Federal Government. 10 % are private funds. The
governments of the Länder are responsible for financing research and teaching
at public universities in their respective state. Co-funding of universities by
the Federal Government is restricted to financing the construction of research
infrastructure and some specific programmes (for example 'Excellence
Initiative', Higher Education Pact, Programme for Women Professors).

Institutional
funding to individual HEIs is partly allocated on a competitive basis. Within
HEIs, a certain share of salaries might be allocated on a competitive basis
with criteria defined and thus variable by State (Land) and university.

Evaluations
of public research institutions are carried out on a more or less regular
basis, for example by the WR. Depending on the outcome and recommendations made
in light of such evaluations, budgets provided by the Federal Government or the
Länder might be adjusted structurally (share of institutional to total
funding), in terms of total budget provisions (volume change, contribution of
Federal/State Government), up to the closure or reorganisation of the
corresponding institutes.

The
evaluation of the German science system has also become increasingly
international since 2008. International science is represented on the permanent
advisory boards of the institutes of research organisations as well as on the
commissions for institutional and programme evaluation.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders' total budget allocated as institutional funding based on institutional assessment and/or evaluation || National level || 42.2 % || 2013 || ERA survey 2014

Share of responding funders' total budget allocated as institutional funding based on institutional assessment and/or evaluation || EU level || 24 % || 2013 || ERA survey 2014

The
share of research funders in Germany who responded to the survey and support
institutional assessment for allocating institutional funding is higher than
the EU average.

2.  
TRANSNATIONAL COOPERATION

  
2.1.   Implementing joint research agendas

The
country is involved in transnational cooperation. It supports also bilateral
and multilateral initiatives.

The
2008 Strategy of the Federal Government for the Internationalisation of Science
and Research 'Strengthening Germany’s role in the Global Knowledge Society' has
four designated priority fields that form the central theme of the
international activities of German science and research: strengthen cooperation
with the world’s best, developing innovation potential at an international
level, strengthening the cooperation with developing countries in education and
research in the long term, assuming international responsibility and coping
with global challenges. Its objectives are well interwoven with the High-Tech
Strategy, the Pact for Research and Innovation and the Initiative for
Excellence. The strategy sets a general target of 20 % of the participation
rate of foreign partners for BMBF programmes, but the degree of openness is
programme specific.

The
general importance of international cooperation, especially with regards to
solving the 'grand challenges' has been highlighted and reinforced in the High-Tech
Strategy 2020, which is intended to help Germany assume a leading role in the
solution of global challenges.

The
(revised) Pact for Research and Innovation calls upon research organisations to
continuously review and develop their internationalisation strategies in terms
of their contribution to increasing institutional performance. The
organisations establish and expand research collaborations on important topics
with excellent international partners and strategic countries, gain access to
research objects including those abroad and open up their own research
infrastructures to foreign researchers, become involved in global knowledge
flows and play an active part in shaping the ERA. Science organisations
described major aspects of these activities in their 2011 Pact Monitoring
Report and presented a joint position paper on internationalisation.

The
major players enabling international research collaboration, which provide by
far largest share of respective resources, are the BMBF and the DFG. The framework
for international research collaboration is set by the BMBF’s 2008 'Guidelines
for the participation of the BMBF in the preparation and implementation of
transnational calls for proposals' (Leitfaden des BMBF zur transnationalen
Zusammenarbeit).

The
National Reform Programme 2014 highlights cooperation within Joint Programming
Initiatives and International Cooperation as two of the fields to be included
in the forthcoming National ERA Strategy.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders' total budget allocated to transnationally coordinated R&D || National level || 5.1 % || 2013 || ERA survey 2014

Share of responding funders' total budget allocated to transnationally coordinated R&D || EU level || 4.1 % || 2013 || ERA survey 2014

Share of responding funders' research and development budget dedicated to jointly defined research agendas with non-national EU organisations || National level || 0.8 % || 2013 || ERA survey 2014

Share of responding funders' research and development budget dedicated to jointly defined research agendas with non-national EU organisations || EU level || 1.7 % || 2013 || ERA survey 2014

The
share of responding funders’ total budget in Germany allocated to
transnationally coordinated R&D is higher than the EU average.

The
share of responding funders’ research and development budget in Germany
dedicated to jointly defined research agendas with other EU organisations is
lower than the EU average.

Cooperation
between institutions of Member States, Associated Countries and Third Countries
is fostered by the Framework Programme (FP). In the Seventh Framework Programme
(FP7), the share of participation of Germany in total participation is 15.4 %
and the country received 18.7 % of total EC contribution. FP funding represents
EUR 82.7 per inhabitant (EU average EUR 72 per capita) for the period 2007-2013
and 2 % of the Gross Domestic Expenditures on R&D (GERD) for the period
2007-2011 (last available data) (EU average 3 % of GERD for the same period).

Concerning
Joint Programming Initiatives (JPIs), the country participates in nine of the
ten ongoing initiatives, coordinating two of them. These initiatives are
Neurodegenerative diseases (Alzheimer), Food Security, Agriculture and Climate
Change, Cultural Heritage and global change: a new challenge for Europe,
Healthy Diet for Healthy Life, The Demographic change (More Years, Better
Life), Antimicrobial resistance - An emerging threat to human health,
Connecting Climate Knowledge for Europe, Water Challenges for a Changing world
and Healthy and Productive Seas and Oceans.

In
terms of programmes undertaken jointly by several Member States (MS) (so called
Article 185 initiatives), the country was involved in five programmes. In
Horizon 2020, the country is already involved in three of the four existing
initiatives.

ERA-NETs
facilitate the coordination and collaboration of national and regional research
programmes, in particular the preparation and implementation of joint calls for
transnational research proposals between national and/or regional programmes.
The country has participated in a total of 126 ERA-NETs, of which 37 are
currently still running. The country also has participated in 15 ERA-NET Plus
actions, of which ten are still running, in areas with high European added
value and additional EU financial support topping up their joint call for
proposals

Concerning
research agreements with EU Member States and/or Associated Countries, Germany
has at least 23 bilateral agreements [notably with Austria, Belgium, Bulgaria,
Switzerland, Czech Repubic, Denmark, Greece, Spain, Finland, France, Hungary,
Ireland, Iceland, Italy, Luxembourg, Moldova, The Netherlands, Poland, Romania,
Sweden, Slovakia, Turkey, United Kingdom] and three multilateral
agreements[notably with Austria and Switzerland under D-A-C-H, France, The
Netherlands, United Kingdom plus the United States beginning with 2013 under
Open Research Area (ORA) plus, the Open Initiative of ERA-Chemistry with 12
countries participating] either at BMBF or DGF level in order to launch and/or
further intensify cooperation in research and education, thus removing barriers
and/or explicitly permitting joint financing of projects and programmes.

A
good example for BMBF cooperation with MS is the French-German Agenda 2020: the
bilateral work programme (adopted in 2010) lists more than 80 joint projects in
various political spheres, including in education, research and innovation.
Some specific research fields (for example energy and social sciences) have
been identified for further collaboration. Furthermore BMBF and the respective
French Ministry organise French-German-Research-Fora every three years aimed at
opening up new fields of bilateral cooperation.

DFG
has a broad range of international funding programmes such as the
German-Israeli Project Cooperation or the ORA plus for the Social Sciences).

One
example in a range of initiatives carried out by the German Länder is the Upper
Rhine Tri-national Metropolitan Region (German Länder of Baden-Württemberg and
Rhineland-Palatinate and the French Alsace region) science programme set up in
2011 to facilitate the implementation of flagship projects in the Upper Rhine
area through INTERREG applications in the research and innovation sector.

Additionally,
the country participates in the EU Strategy for the Danube Region (EUSDR), a
multilateral (and macro-regional) strategy that has been developed by the
Commission in cooperation with 14 countries in the Danube region (Austria,
Bosnia and Herzegovina, Bulgaria, Croatia, Czech Republic, Germany, Hungary,
Moldova, Montenegro, Romania, Serbia, Slovakia, Slovenia and Ukraine). Germany
promotes the cooperation between the countries in the Danube Region by
discussing the potential of multilateral research development and innovation
(RDI) funding. It comprises science and technology cooperation across the
region and by the end of 2013 six scientific clusters were launched, for
example a cluster in energy and sustainability research.

  
2.2.   Openness for international cooperation with third countries and regions

In
terms of international cooperation with Third Countries and regions, the
country has developed a specific policy. The political basis are usually
bilateral science and technology (S&T) agreements. The BMBF is managing
about 40 of these bilateral S&T agreements. In addition, a number of
research organisations implemented specific agreements with partner
institutions on a thematic level.  Their purpose is to launch and/or further
intensify cooperation in science and technology, thus removing barriers for
and/or explicitly permitting joint financing of projects and programmes. The
priorities for international cooperation are laid down in the strategy of the
Federal Government for the internationalisation of research and science,
published in 2008. The current government plans to further develop this
strategy, leading to a revised strategy to be published in 2015. The G8
Research Councils Initiative on Multilateral Research Funding medium-term was
established under the initiative of the DFG in 2010. The goal is to establish a
large pool of multilateral projects that can be supported by the national
programmes of the German Research Foundation (DFG) and its partner
organisations at any time.

The
international dimension is an inherent part of the national R&I system and
plays an important role in the realisation of the ERA. It encompasses all
activities the European institutions and MS jointly conduct on the
international floor and with Third Countries. The coalition agreement of the
federal election 2013 stated that the German Government will take
responsibility for the completion of the ERA and consequently implement its ERA
strategy on a national and European level. This also implies for the Federal
Government to enhance its S&T cooperation with Third Countries as integral
part of its national ERA strategy. In order to actively shape and strengthen
the international dimension, Germany uses the whole European governance
structure on a national and European level and takes its role seriously.

One
activity stemming from the Competitiveness Council Conclusions of May 2013
invites the MS via the Scientific Forum for International Cooperation (SFIC) to
support the European Commission in developing the multi-annual roadmaps, which
define common European goals for future international S&T cooperation.
Germany followed this request in 2013 and for the coming years supports the
SFIC recommendations to develop a structured process for the consultation and
implementation of these roadmaps.

Germany
is very actively involved in SFIC and is the lead MS for the United States and
the Russia pilot initiatives as well as a member of all working groups. Germany
is also an active participant in different Senior Official configurations,
aimed at implementing joint bi-regional activities, i.e. EU-CELAC, INDIA GSO,
EU-ASEAN, EU-WBC, EU-AU, EU-EaP, EU-MoCo.

The
international dimension is an inherent part of the national R&I-system and
plays an important role in the realization of the ERA. It encompasses all
activities the European institutions and Member States jointly conduct on the
international floor and with third countries. In the coalition agreement of the
federal election 2013 it is stated that the German government will take
responsibility for the completion of the ERA and consequently implement its
ERA-strategy on national and European level. This also implies for the federal
government to enhance its S&T cooperation with third countries as integral
part of its national ERA-strategy. In order to actively shape and strengthen
the international dimension, Germany uses the whole European governance
structure on national and European level and takes its role seriously:

One
activity stemming from the Competitiveness Council Conclusions of May 2013
invites the Member States via the Scientific Forum for International
Cooperation (SFIC) to support the European Commission in developing the multi
annual roadmaps, which define common European goals for future international
S&T cooperation Germany followed this request 2013 and for the coming years
supports the SFIC-recommendation to develop a structured process for
consultation and implementation of these roadmaps.

Germany
is very actively involved in SFIC and is the lead Member State for the USA and
the Russia pilot initiatives as well as member of all working groups. Germany
is also an active participant in different Senior Official configurations,
aiming at implementing joint bi-regional activities, i.e. EU-CELAC, INDIA GSO,
EU-ASEAN, EU-WBC, EU-AU, EU-EaP, EU-MoCo.

Germany
follows the approach to emphasize international cooperation within the Horizon
2020 governance structure via the horizontal configuration and the challenge 6
configuration of the programme committee.

In
the field of international cooperation within FP7 Germany is one of the most active
EU-countries. German institutions successfully cooperate with 158 countries
(out of 176) in FP7 projects.  In 2.078 projects third countries participated
(status February 2014). In 313 of these projects Germany acted as coordinator
and in this function received almost EUR 255 million from the European
Commission.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders' research and development budget allocated to collaboration programmes carried out with third countries || National level || 4.3 % || 2013 || ERA survey 2014

Share of responding funders' research and development budget allocated to collaboration programmes carried out with third countries || EU level || 2.4 % || 2013 || ERA survey 2014

Share of organisations' research and development budget amongst responding research performing organisations originating from third countries || ERA compliant cluster (EU level) || 0.8 % || 2013 || ERA survey 2014

Share of organisations' research and development budget amongst responding research performing organisations originating from third countries || ERA compliant cluster (national level) || 1.1 % || 2013 || ERA survey 2014

Share of organisations' research and development budget amongst responding research performing organisations originating from third countries || Limited compliance to ERA cluster (national level) || 0.2 % || 2013 || ERA survey 2014

The
share of responding funders' research and development budget in Germany
allocated to collaboration programmes carried out with third countries is
higher than the EU average.

Within
the ERA compliant cluster in Germany, the share of organisations' research and
development budget originating from Third Countries is higher than within the
EU ERA compliant cluster.

  
2.3.   Interoperability, mutual recognition of evaluation results and other
schemes

Mutual
recognition of evaluations that conform to international peer-review standards
is supported by the Guidelines for the participation of the BMBF in the
preparation and implementation of transnational calls for proposals. The
central goal of the guidelines is to provide the programme owners and
administrators with a basis for implementatiing transnational calls for
proposals within existing funding schemes, based on best practice and
experience gained in bilateral and joint ERA-Net calls. However, the selection
process as well as eligibility and assessment criteria have to be set in each
joint programme by the participating partners according to the program
specification.

When
transnational project funding initiatives (e.g. ERA-NETs, Art. 185 measures)
include joint evaluation procedures, the scientific and technical results of
such evaluations are as a rule be recognised in Germany.

The
D-A-CH is a multilateral agreement between the German Research Foundation
(DFG), the Austrian Science Fund (FWF) and the Swiss National Science
Foundation (SNSF). These agencies have agreed to apply the so called 'lead
agency' procedure, which foresees that funding authorities accept the results
of the evaluation of international projects done by the ‘lead agency’ and fund
the parts of the project that are being performed in their respective countries
(for research projects with participants of at least two of the three
countries). It also allows researchers to move to one of those countries
following a money-follows-cooperation-line scheme, a scheme that allows small
parts of a project funded by one of the participating research councils to be
conducted in a different country. DFG has no specific budget for projects that
are submitted and selected on the lead agency process. These projects compete
with purely national projects.

DFG
applies the lead agency processes also in cooperation with Luxembourg. In the
G8 Research Councils Initiative on Multilateral Research and the ORA/ORA plus,
proposals go through a joint respectively coordinated evaluation process by the
participating funding organisations. Funding is generally allocated according
to the funding rules of each individual agency. Besides, there are joint calls
and evaluations by research performing organisations (RPOs) with foreign
partners, e.g. Programme Inter Carnot Fraunhofer, Helmholtz-Russia or
Helmholtz-CAS Joint Research Groups, Helmholtz International Research Groups.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders which can base their project-based research and development funding decisions on peer reviews carried out by non-national institutions || National level || 4.3 % || 2013 || ERA survey 2014

Share of responding funders which can base their project-based research and development funding decisions on peer reviews carried out by non-national institutions || EU level || 38.5 % || 2013 || ERA survey 2014

Share of responding funders' project-based research and development budget allocated through peer review carried out by institutions outside the country || National level || 1 % || 2013 || ERA survey 2014

Share of responding funders' project-based research and development budget allocated through peer review carried out by institutions outside the country || EU level || 0.8 % || 2013 || ERA survey 2014

The
share of research funders in Germany who responded to the survey and can base
their project-based research and development funding decisions on peer reviews
carried out by non-national institutions is lower than the EU average.

The
share of responding funders' project-based research and development budget in
Germany allocated through peer review carried out by institutions outside the
country is higher than the EU average.

3.  
RESEARCH INFRASTRUCTURES

  
3.1.   Financial commitments for the construction and operation of ESFRI,
national and regional research infrastructures of pan-European interest

Germany
participates in the following large international research infrastructures
(RI): European Space Agency (ESA), Conseil Européen pour la Recherche Nucléaire
(CERN), European Fusion Development Agreement (EFDA), the European Molecular
Biology Laboratory (EMBL), European Southern Observatory (ESO), European
Synchotron Radiation Facility (ESRF), European XFEL and Institut Laue-Langebin
(ILL). In 2012, the country contributed 1.1% of GBAORD to the activities
carried out by CERN, EMBL, ESO, ESRF, ILL and the European Commission’s Joint
Research Centre (JRC) (Eurostat).

In
terms of participation to the development of research infrastructures included
in the European Strategy Forum on Research Infrastructures (ESFRI) Roadmap, the
country participates in the preparatory phase of 39 of them (79 %). The country
coordinates ten of them: SHARE-ERIC, IAGOS, EU-OPENSCREEN, EuroBioImaging,
ERINHA, INFRAFRONTIER, MIRRI, XFEL, CTA and FAIR.

In
terms of financial commitments to the development of these RIs, Germany is
committed to fund 18 of them. They are: CESSDA, CLARIN-ERIC, DARIAH, ESSurvey ,
SHARE-ERIC, EURO ARGO, IAGOS, ICOS, BBMRI, ECRIN, EU-OPENSCREEN, INFRAFRONTIER,
E-ELT, ESSneutrons, XFEL, CTA, ELI, FAIR.

With
regards to participating in the European Research Infrastructure Consortium
(ERIC), Germany is involved in six of the seven consortia that adopted the
legal framework designed by the Commission to facilitate the establishment and
operation of research infrastructures of European interest involving several
European countries. Germany is hosting SHARE-ERIC, is a member of CLARIN ERIC,
of the ESS ERIC, of BBMRI-ERIC, of EURO-ARGO ERIC, and of ECRIN-ERIC. The legal
basis for implementing a ERIC was adopted in Germany on 7 June 2013.

In
terms of support to the development and implementation of RIs, Germany's
Partnership Agreement (PA) with the EU provides for the possibility of spending
Structural Funds on ESFRI projects between 2014 and 2020. The Federal
Government called upon the Länder to include ESFRI projects in their
operational programmes (OP)at Länder level.

Additionally,
according to the 2014 National Reform Programme, the forthcoming National ERA
Strategy will include among the priorities Research Infrastructures.

The
National Roadmap on Research Infrastructures was published in 2013. It is the
first German overview of priority RI projects that the BMBF is planning to
realise in the coming 10-15 years. The launch of the Roadmap was meant to
support and guide political decisions in terms of research infrastructures
(i.e. for instance large scale research infrastructures of national/European
importance, comprehensive experiments, etc.). The roadmap includes references
to the participation of Germany in the development of the Ris mentioned in the
ESFRI roadmap (see above). Inclusion in the Roadmap is paramount to a German
financial commitment to the project in question. Some expenditure is presented
on a yearly basis and some as global amounts. Timeframes for funding depend on
individual ESFRI projects. Priorities outside of ESFRI are for example:
research vessels, within the research vessel strategy
(Forschungsschiff-Strategie), the Gauss Centre for Supercomputing (which, in
turn, contributes to PRACE), or, W 7-X. An update of the Roadmap is planned so
that further projects can be added, including areas for which other government
departments are responsible (health, environment, energy).

  
3.2.   Access to research infrastructures of pan-European interest

In
terms of access to RIs, the 'Research in Germany' portal provides an overview
of research and research funding opportunities in Germany, including RI. Access
to RI is commonly possible for any researcher working at the corresponding
Public Reserach Organisations (PROs) (which is operating the RI) or at another
research centre which has a corresponding collaboration agreement, i.e. it is
neither generally limited to researchers of German origin nor to German
research organisations.

The
research organisations HGF, MPG, WGL and DFG and the German Council of Science
and Humanities contributed to the FP7-funded project 'MERIL, Mapping of the
European Research Infrastructure Landscape'. The MERIL database, which is under
construction, currently lists 119 national RIs that offer transnational access
and are therefore relevant for the ERA.

Among
the research infrastructures coordinated by Germany, access to 65 of them has
been funded by the European Commission.

Germany
is supporting and taking part in the development of a European Charter of
Access, initiated by ESFRI.

4.  
OPEN LABOUR MARKET FOR RESEARCHERS

  
4.1.   Introduction to open labour market for researchers

A
detailed report can be found in the country profile for Germany in the
Researchers’ Report 2014
[http://ec.europa.eu/euraxess/pdf/research\_policies/country\_files/Germany\_Profile\_RR2014\_FINAL.pdf].

The
following text provides an overview of the current situation and recent
progress made in several key areas.

Stock
of researchers

There
were 338 608 full time equivalent (FTE) researchers in Germany in 2011. This
represents 8.0 researchers per 1000 labour force compared with 11.4 among the
Innovation Union reference group (Innovation Leaders) and an EU average of 6.7.

  
4.2.   Open, transparent and merit-based recruitment of researchers

In
2013, the number of researcher posts advertised through the EURAXESS Jobs
portal per thousand researchers in the public sector was 9.6 in Germany
compared with 47.6 among the Innovation Union reference group and an EU average
of 43.7.

In
2012, 62 % of university-based researchers were satisfied with the extent to
which research job vacancies are publicly advertised and made known by their
institution (More2 survey, 2012).

There
is no legal obligation to publish job vacancies on national online platforms,
but most organisations do so. The platform www.academics.de/www.academics.com 
is a central, fee-charging commercial site for job vacancies in academia.
'Academics' is a joint venture for Germany, Austria and Switzerland of the
leading German weekly 'Die Zeit' and the academic journal 'Forschung und Lehre'
and achieves high visibility. It also provides additional services. It is
important for universities and research institutions to publish their job
vacancies on academics.de. Personnel departments at universities then have to
consider whether it is worthwhile for them to publish job vacancies on EURAXESS
as well.

  
4.3.   Attractive careers

The
German Government supports the objectives of the European Charter & Code.

German
universities have begun to engage in the Human Resources (HR) Strategy for
Researchers (HRS4R) process. In practice, however, the Charter & Code is
not used much as a reference. Reasons include a relatively low awareness of the
Charter & Code as well as the fact that institutions do not see the need
for an additional acknowledgement because the existing regulatory framework and
initiatives such as ‘Total E-Quality’ or ‘Audit familiengerechte Hochschule’ 
cover most areas of the Charter & Code.

By
May 2014, nine German organisations were involved in the Commission’s Human
Resources Strategy for Researchers of which one had received the "HR
Excellence in Research" logo for their progress in implementing the
Charter & Code.

The
German Government has continuously increased funding for education and research
in recent years and aims to raise expenditure in these areas to 10 % of GDP by
2015. Between 2005 and 2012, the Federal Government increased its funding for
R&D by 52 % and for education by 70 %. The Länder, which are directly
responsible for schools and higher education in Germany, have all maintained or
increased their basic funding for public HEIs.

Via
the ongoing Helmholtz-Postdoctorate-Programme (HGF), talented young academics
may receive a grant for a period of two to three years after earning their PhD,
enabling them to work independently on a research topic of their own choice and
establish themselves in their field of research. To promote equal opportunities
at least 50 % of the positions in the programme are to be granted to women. The
programme started in 2012 with the funding of 35 postdoctorates. In 2013 20
postdocs were selected for funding. The funding volume of the Initiative and
Networking Fund for this programme is EUR 9 million for the two selection
rounds.

  
4.4.   Supporting structured innovative doctoral training programmes

The
number of new doctoral graduates per thousand population aged between 25-34 was
2.8 in 2011 compared with 2.7 among the Innovation Union reference group and an
EU average of 1.7.

In
Germany, only universities are legally entitled to grant doctoral degrees. Many
universities have recently established so-called Graduate Academies or Research
Schools that encompass university-wide structures to train doctoral candidates
(sometimes in close cooperation with research organisations), sometimes
including offers for MA students and/or post doctorates). They function as
one-stop information and support centres for doctoral candidates. They offer
and coordinate various programmes for this target group, provide networking
possibilities and ensure good standards in training and supervision.

Thirteen
Helmholtz graduate schools and 21 Helmholtz research schools were funded since
2006. Their aim is to enhance existing training programmes both quantitatively
and qualitatively. Graduate schools are designed to improve the structuring of
the doctoral phase and give doctoral students stable supervision conditions and
an individually agreed qualification programme consisting of scientific and
interdisciplinary elements.

  
4.5.   International and inter-sectoral mobility

In
2011, the percentage of doctoral candidates with citizenship of another EU-27
MS was 5.3 % in Germany compared with 9.1 % among the Innovation Union
reference group and an EU average of 7.7 %. The percentage of non-EU doctoral
candidates as a percentage of all doctoral candidates was 11.2 % in Germany
compared with 14.4 % among the Innovation Union reference group and an EU
average of 24.2 %.

Through
the Recruiting Initiative (HGF), the Helmholtz Association has been creating
extra positions for top level scientists thanks to budget increases. The
initiative aims to recruit from three target groups: outstanding researchers,
women scientists and researchers from abroad. The programme will run until 2015
and encompasses 40 extra positions.

The
DAAD Postdoctoral Programme supports German researchers who carry out
independent research projects at host institutions abroad. Funding is provided
for research stays from 3 to 24 months, including a research fellowship, travel
allowance, family allowance and a re-integration grant.

Universities,
non-university research institutions (particularly Fraunhofer) and the private
sector in Germany are closely interlinked, particularly in the field of
engineering. For example, students are offered the possibility of pursuing a
PhD in applied research in close collaboration with industry. A high level of
third-party funding raised by universities from the private sector and the
right of university employees to pursue secondary employment are additional
indicators of a strong link between business and academic research in Germany.
Professors at universities of applied science are generally expected to have at
least five years of professional experience, three of them outside the
university system. The table below describes measures aimed at encouraging
researchers’ inter-sectoral mobility.

The
Validation of the Innovation Potential of scientific research (VIP) initiative
invites scientists from universities and research institutions to benchmark and
substantiate their research results with respect to their economic benefit. An
innovation mentor with an industrial background is obligatory for each project.
New forms of collaboration are being promoted through the 'Forschungscampus'
(research campus) initiative closely linking academia and industry, and the
'Spitzencluster-Wettbewerb' (Leading- Edge Cluster Competition), which is
intended to keep Germany in the top league of technologically advanced nations.
The high-performance clusters formed by business and science enter into
strategic partnerships based on a common cluster strategy in a particular
technological area. The 10 'Forschungscampi' and 15 'Spitzencluster' provide
young researchers with outstanding opportunities to work at the interface
between science and industry in a challenging and innovative environment.

5.  
GENDER

  
5.1.   Foster cultural and institutional change on gender

In
Germany, general anti-discrimination laws, including the 2006 General Law on
Equal Treatment (Allgemeine Gleichbehandlungsgesetz (AGG)) and Germany's
Federal Bodies Law (Bundesgremienbesetzungsgesetz (BGremBG) of June 1994)
provide for equal opportunities. In general, ‘equal opportunities’ and thus
also the responsibility for ‘equal opportunity commissioners’ in Germany falls
into the competence of the federal Ministry for family, senior citizens, Women
and youth (BMFSFJ). Which has put in place several initiatives to increase awareness
and knowledge of the issue. An annual report on the matter is published by the
German Government (Gleichstellungsbericht der Bundesregierung).

The
Higher Education Laws of the Länder also provide for equal opportunities at the
level of universities. Equal opportunities policy is defined as a task for the
institutions' senior management. In addition the Länder have their own
programmes to enhance equal opportunities at universities. The Federal
Government considers that Länder and institutions should find their own
solutions for increasing participation by women and a fixed quota may lead to a
situation in which women researchers in areas where they have so far been
heavily under-represented have to shoulder a disproportionately greater
workload than their male colleagues due to committee duties in addition to
research.

The
2007 Pact for Research and Innovation (PFI) firmly established the requirement
that research organisations should develop strategies to ensure that women's
research potential is fully used. The target agreements to which the research
organisations commited themselves in 2007 were further developed in 2011. The
Federal Government and the Länder expect the research organisations to
implement the Joint Science Conference (GWK) decision of 2011 on recruitment
and career progression of women by establishing flexible target quotas in
keeping with the 'cascade model' of the DFG's research-oriented standards on
gender equality. The organisations are expected to agree targets at management level
to ensure that the quotas are achieved. Four research organisations, HGF, FhG,
MPG and WGL developed their own specific procedures for applying the 'cascade
model' and established target quotas in 2012. The organisations are expected to
implement significant changes in the quantitative representation of women in
the research system, particularly in leading positions. The research
organisations report on the progress was made as part of the annual monitoring
exercise under the Pact.

The
DFG together with its member institutions adopted and committed itself in 2008
to the'Research-oriented standards on gender equality' for a sustainable gender
equality policy in research and higher education. The goal is to markedly
increase the proportion of women at all scientific career levels. In this
frame, the DFG developed a freely accessible toolbox that contains a collection
of equal opportunity measures. DFG also supports member institutions in
implementating the gender equality standards and assesses their gender equality
strategies and their progress in the field.

The
Centre of Excellence Women and Science (CEWS) (part of the Leibnitz
Association) is the national hub for realising equal opportunities for women
and men in science and research in Germany. The CEWS aims to increase the
number of women in leading positions at universities and research institutions
and raise the efficiency of political measures aimed at equality. The CEWS aims
to introduce gender mainstreaming in all areas of science and research. It
maintains the FemConsult database, which contains current profiles of several
thousand women academics. With regards to HEI, CEWS rankings of institutions of
higher education based on equality aspects, issued every two years, there is an
established instrument of equal opportunities quality control within the higher
education system.

Further
equal opportunity evaluations are provides by the Total-E-Quality Advisory
Service (est. 2001), Family Friendly University Audit (est. 1998) and others.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting gender equality in research || National level || 100 % || 2013 || ERA survey 2014

Share of responding funders supporting gender equality in research || EU level || 82.2 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample which have adopted Gender Equality Plans || ERA compliant cluster (EU level) || 64 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample which have adopted Gender Equality Plans || ERA compliant cluster (national level) || 89.1 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample which have adopted Gender Equality Plans || Limited compliance to ERA cluster (national level) || 5.7 % || 2013 || ERA survey 2014

The
share of research funders in Germany who responded to the survey and support
national policies on gender equality in public research is higher than the EU
average.

Within
the ERA compliant cluster in Germany, the share of research performing
organisations that have adopted Gender Equality Plans is higher than within the
EU ERA compliant cluster.

The
country has measures supporting return after parental leave. For example,
Section 2 para 5 of the Academic Fixed-Term Contract Law (Wissenschaftszeitvertragsgesetz)
of April 2007 provides that fixed-term contracts may be extended for parental
leave or equivalent. The Federal and Länder governments have declared providing
childcare facilities as a political goal and provided additional funding. Also
since 2007, several general measures are in place, for instance, the parental
leave programme (Elternzeit) and parental allowance programme (Elterngeld).

The
country has provisions for a balanced participation of women and men in
research programmes and/or projects. Improvement of equal opportunities has
indeed been included as a central goal of the BMBF large-scale initiatives: the
Initiative for Excellence and the Higher Education Pact 2020. The experts
evaluating proposals have to consider whether the proposed measures can promote
equal opportunities for men and women in research. Since 2008, it has been
possible to apply for ring-fenced funds for equal opportunities measures in all
collaborative projects of the DFG. This money can be used to support women as
project managers, in pursuing their research careers, or making researcher's
workplaces more family-friendly.

The
country provides incentives for the recruiting female researchers and to
promoting the access of female researchers to senior positions in HEI and other
Research Performing Organisations. To increase the participation of women in
all levels of academic training the Federal Government and the Länder 2007
initiated the female Professors Programme on the basis of a positive appraisal
of their equality policies, Higher education institutions have the opportunity
to receive funding for up to three professorships for women. HEIs are
participating to a great extent. The percentage of women professors almost
doubled between 2002 and 2010 from 8 % to 15 % (She figures 2012). In 2012, the
Federal Government and the Länder decided to continue the female Professors
Programme and fund a second period. The first and second funding period
consisted of EUR150 million each.

In
Germany the National Pact for Women in MINT Careers (comparable to STEM
Careers) was launched in June 2008 as part of the Federal Government’s 'Get
Ahead through Education' qualifications initiative in order to increase the
percentage of women in mathematics, informatics, natural science and
technology. Recently 180 partners are taking part from academia, research,
industry, politics, associations, labour and management and the media.

Indicator || Level/cluster || Value || Year || Source

Share of responding research performing organisations implementing recruitment and promotion policies for female researchers || ERA compliant cluster (EU level) || 53.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations implementing recruitment and promotion policies for female researchers || ERA compliant cluster (national level) || 83.6 % || 2013 || ERA survey 2014

Share of responding research performing organisations implementing recruitment and promotion policies for female researchers || Limited compliance to ERA cluster (national level) || 6.1 % || 2013 || ERA survey 2014

Within
the ERA compliant cluster in Germany, the share of research performing
organisations implementing recruitment and promotion policies for female
researchers is higher than within the EU ERA compliant cluster.

In
addition to the female Professors Programme, the BMBF has an important
programme dedicated to research into gender equality and the gender dimension
in research programmes: Frauen an die Spitze (Women at the Top). Research in
this programme is focused on gender equality issues, the causes of gender
imbalances in leadership positions as well as gender-specific research and
gender innovation in thematic fields (medicine, natural and economic sciences).
The projects are expected to test new action schemes in Germany as a basis for
new approaches towards increasing equal opportunities. Between 2007 and 2015,
116 projects are ste to be funded. The results of those projects serve to
develop new instruments for action that aim to improve gender balance and
gender mainstreaming in research and society.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting the inclusion of gender dimension in research content || National level || 99.2 % || 2013 || ERA survey 2014

Share of responding funders supporting the inclusion of gender dimension in research content || EU level || 48.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations which include the gender dimension in research content || ERA compliant cluster (EU level) || 44 % || 2013 || ERA survey 2014

Share of responding research performing organisations which include the gender dimension in research content || ERA compliant cluster (national level) || 58 % || 2013 || ERA survey 2014

Share of responding research performing organisations which include the gender dimension in research content || Limited compliance to ERA cluster (national level) || 4.2 % || 2013 || ERA survey 2014

The
share of research funders in Germany who responded to the survey and support
gender dimension in research content/programmes is higher than the EU average.

Within
the ERA compliant cluster in Germany, the share of research performing
organisations that include the gender dimension in research content is higher
than within the EU ERA compliant cluster.

  
5.2.   Gender balance in the decision-making process

Concerning
gender balance in decision making, one of the BMBF's central tasks is to tackle
the under-representation of women in leadership positions. It created an 'Equal
Opportunities in Education and Research Division' to deal with this issue.

In
2006, the organisations of the Research Alliance launched a campaign to promote
equal opportunities for men and women in research (Offensive für
Chancengleichheit von Wissenschaftlerinnen und Wissenschaftlern) (reviewed in
May 2012) with the aim of markedly increasing the proportion of women in
leading academic positions within the following five years. In 2010, women
accounted for 21 % of the members of university bodies and 12 % of senior
management positions at universities were held by women (She figures 2012).

Indicator || Level/cluster || Value || Year || Source

Share of gender-balanced recruitment committees for leading researchers amongst responding research performing organisations || ERA compliant cluster (EU level) || 33.6 % || 2013 || ERA survey 2014

Share of gender-balanced recruitment committees for leading researchers amongst responding research performing organisations || ERA compliant cluster (national level) || 23.6 % || 2013 || ERA survey 2014

Share of gender-balanced recruitment committees for leading researchers amongst responding research performing organisations || Limited compliance to ERA cluster (national level) || 3.3 % || 2013 || ERA survey 2014

Share of gender-balanced research evaluation panels amongst responding research funding organisations || National level || 8.3 % || 2013 || ERA survey 2014

Share of gender-balanced research evaluation panels amongst responding research funding organisations || EU level || 35.8 % || 2013 || ERA survey 2014

Within
the ERA compliant cluster in Germany, the share of gender-balanced recruitment
committees for leading researchers in research performing organisations is
lower than within the EU ERA compliant cluster.

The
share of gender-balanced research evaluation panels amongst responding research
funding organisations in Germany is lower than the EU average.

6.  
KNOWLEDGE CIRCULATION

  
6.1.   Open access to publications and data resulting from publicly funded
research

In
terms of support to open access, the Federal Government has initiated a number
of activities to promote open access such as a dialogue between science organisations
and scientific publishing companies. The Federal Government has recently
incorporated a secondary publication right in the German copyright act in order
to to strengthen open access. Scientists and researchers now have the legal
right to self-archive their publications in the authors version in the Internet
12 month after the first publication. BMBF also plans to add a clause on open
access to the auxiliary terms and conditions governing its project funding.

Through
the Priority Initiative 'Digital Information', the Alliance of German Research
Organisations aims to improve the provision of information in research and
teaching by raising awareness and putting forward recommendations and
guidelines for the implementation of open access and promoting funding for open
access publications

The
Berlin Declaration on Open Access to Scientific Knowledge was introduced by MPG
in 2003 and was signed by 53 German Institutions, including the big research
organisations including the German Rectors’ Conference which represents 258
universities and other HEIs. The signatory institutions are obliged to support
open access.

Since
2006, the DFG has guidelines for providing open access to project results. The
DFG provides lump sums for covering publication costs including open access
fees and also has a funding programme 'Open Access Publizieren' by which
universities can apply for funding in order to cover open access publication
charges by university-based authors.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting open access to publications || National level || 18.3 % || 2013 || ERA survey 2014

Share of responding funders supporting open access to publications || EU level || 51 % || 2013 || ERA survey 2014

Share of publicly funded scientific publications in OA amongst responding research performing organisations || ERA compliant cluster (EU level) || 18 % || 2013 || ERA survey 2014

Share of publicly funded scientific publications in OA amongst responding research performing organisations || ERA compliant cluster (national level) || 13.9 % || 2013 || ERA survey 2014

Share of publicly funded scientific publications in OA amongst responding research performing organisations || Limited compliance to ERA cluster (national level) || 0.6 % || 2013 || ERA survey 2014

The
share of research funders in Germany who responded to the survey and support
open access to publications is lower than the EU average.

Within
the ERA compliant cluster in Germany, the share of publicly-funded scientific
publications in open access amongst research performing organisations is lower
than within the EU ERA compliant cluster.

Concerning
open access to data, Germany supports it.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting open access to data || National level || 18.3 % || 2013 || ERA survey 2014

Share of responding funders supporting open access to data || EU level || 33.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations making scientific research data available on-line and free of charge || ERA compliant cluster (EU level) || 54.2 % || 2013 || ERA survey 2014

Share of responding research performing organisations making scientific research data available on-line and free of charge || ERA compliant cluster (national level) || 54 % || 2013 || ERA survey 2014

Share of responding research performing organisations making scientific research data available on-line and free of charge || Limited compliance to ERA cluster (national level) || 4 % || 2013 || ERA survey 2014

The
share of research funders in Germany who responded to the survey and support
open access to data is lower than the EU average.

Within
the ERA compliant cluster in Germany, the share of research performing
organisations making available online and free of charge publicly-funded
scientific research data systematically is higher than within the EU ERA
compliant cluster.

With
respect to repositories, the Federal Government gives high priority to the
topic of scientific information infrastructures, because they play a key role
in the storage of scientific knowledge and in making it accessible. The German
Council of Science and Humanities (Wissenschaftsrat) issued recommendations for
the further development of scientific information infrastructures in July 2012.
The Federal Government and the Länder have appointed a working group on the
implementation of the Council's recommendations, which will also review the
various European Commission proposals.

  
6.2.   Open innovation and knowledge transfer between public and private
sectors

In
relation to Open Innovation and Knowledge Transfer between public and private
sectors, Germany has included knowledge transfer strategies at federal and
regional level in the High-Tech Strategy 2020 (national innovation strategy)
respectively in the Innovation Strategies of the Länder. One of the priorities
of the High-Tech Strategy is to improve cooperation between science and
industry so that scientific knowledge can be transferred more quickly and
applied on a commercial scale more efficiently.

The
Higher Education Laws in all of Germany's 16 Länder have now identified knowledge
and technology transfer as a task for institutions of higher education.
Moreover, the Länder Hesse, Lower Saxony, North-Rhine Westphalia (NRW) and
Thuringia have taken up the development of an intellectual property strategy in
the target and performance agreements between the Länder and the universities.

Several
institutions are devoted to knowledge transfer to the business sector, such as
Fraunhofer, technical universities, and universities of applied sciences. A
prerequisite for becoming a professor at universities of applied sciences is
usually three years of work experience outside the higher education sector. A
Code of Practice for HEIs and other PROs (IP Charter) has been compiled by the
Joint Science Conference (GWK) and has become national strategy.

TechnologieAllianz
unites patent marketing agencies and technology transfer agencies in a single
network. The nationwide association representing over 200 scientific institutes
provides enterprises with access to the entire range of innovative research
results from German universities and non-university research institutions.

A
number of different competitions and funding initiatives are implementing the
High-Tech Strategy, including the Innovation Alliances partnering academia and
industry, the Cluster-Platform Germany with programmes the Leading-Edge Cluster
Competition and go-Cluster, the 'Research Campus - public-private partnership
for innovations', the newly launched '2020 - partnership for innovation'
funding programme, and the 'Validation of the Innovation Potential of
Scientific Research-VIP' which stimulates knowlegde transfer by public research
organisations. Other programmes such as ‘Research at Universities of Applied
Sciences Programme’ (prolonged until 2018), ‘Networks of Competence scheme’ ZIM
Programme for SMEs and Industrial Collective Research Programme programmes
support academia-industry cooperation for knowledge transfer and innovation.
Some other programmes are often funded at the Länder level and some by the
Economics Ministries both at federal (for example the programme KOINNO – since
March 2014 in cooperation with Switzerland) or Länder level.

Knowledge
transfer measures of science organisations that signed the Pact for Research
and Innovation are monitored, however, there is no national monitoring system
is in place.

Strategic
partnerships and/or the definition of joint collaborative research agendas
between academia and industry are supported by funding organisations in
Germany. Innovation Alliances represent a new instrument for research and
innovation policy within the framework of the High-Tech strategy. Currently,
there are nine Innovation Alliances and a large number of “strategic
partnerships” created by the BMBF, the scientific community and industry. The
Leading-Edge Cluster Competition (Spitzencluster-Wettbewerb) is aimed at
high-performance clusters formed by business and science that enter into
strategic partnerships. The Research Campus programme contributes to knowledge
circulation by enhancing partnerships, which are aiming to develop new
technologies in areas with high technological complexity and a great potential
for radical innovation.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting the implementation of knowledge transfer as part of its institutional and/or project-based funding || National level || 79 % || 2013 || ERA survey 2014

Share of responding funders supporting the implementation of knowledge transfer as part of its institutional and/or project-based funding || EU level || 82.9 % || 2013 || ERA survey 2014

Share of responding research performing organisations' research and development budget financed by the private sector || ERA compliant cluster (EU level) || 6.8 % || 2013 || ERA survey 2014

Share of responding research performing organisations' research and development budget financed by the private sector || ERA compliant cluster (national level) || 10.9 % || 2013 || ERA survey 2014

Share of responding research performing organisations' research and development budget financed by the private sector || Limited compliance to ERA cluster (national level) || 0.2 % || 2013 || ERA survey 2014

Share of responding research performing organisations having or using a structure for knowledge transfer activities || ERA compliant cluster (EU level) || 75 % || 2013 || ERA survey 2014

Share of responding research performing organisations having or using a structure for knowledge transfer activities || ERA compliant cluster (national level) || 77.4 % || 2013 || ERA survey 2014

Share of responding research performing organisations having or using a structure for knowledge transfer activities || Limited compliance to ERA cluster (national level) || 5.1 % || 2013 || ERA survey 2014

Share of responding research performing organisations having dedicated staff employed in knowledge transfer activities || ERA compliant cluster (EU level) || 66.3 % || 2013 || ERA survey 2014

Share of responding research performing organisations having dedicated staff employed in knowledge transfer activities || ERA compliant cluster (national level) || 68.2 % || 2013 || ERA survey 2014

Share of responding research performing organisations having dedicated staff employed in knowledge transfer activities || Limited compliance to ERA cluster (national level) || 3.6 % || 2013 || ERA survey 2014

Share of research personnel whose primary occupation is in the private sector (in headcount) || ERA compliant cluster (EU level) || 2.9 % || 2013 || ERA survey 2014

Share of research personnel whose primary occupation is in the private sector (in headcount) || ERA compliant cluster (national level) || 6.1 % || 2013 || ERA survey 2014

Share of research personnel whose primary occupation is in the private sector (in headcount) || Limited compliance to ERA cluster (national level) || 0.1 % || 2013 || ERA survey 2014

The
share of research funders in Germany who responded to the survey and support KT
and OI, TTOs and Private Public interaction is lower than the EU average.

Within
the ERA compliant cluster in Germany, the share of research performing
organisations having funding originating from the private sector is higher than
within the EU ERA compliant cluster.

Within
the ERA compliant cluster in Germany, the share of research performing
organisations having or using a structure for knowledge transfer activities is
higher than within the EU ERA compliant cluster.

Within
the ERA compliant cluster in Germany, the share of research performing
organisations having dedicated staff employed in knowledge transfer activities
is higher than within the EU ERA compliant cluster.

Within
the ERA compliant cluster in Germany, the share of research personnel whose
primary occupation is in the private sector (in full time equivalents) is
higher than within the EU ERA compliant cluster.

  
6.3.   Harmonise policies for public e-infrastructures and associated digital
research services

The
Federal Government has developed a new Information and Communication and
Technology (ICT) strategy for the digital future of Germany: Digital Germany
2015. It sets out the Government ICT policy framework, i.e. the priorities,
tasks and projects for the period up to 2015. The strategy, which also deals
with R&D and education aspects, will be carried out in close interaction
among policymakers, industry and scientists. The Federal Ministry of Economics
and Technology, BMWi, is in charge of coordinating the implementation under the
specific purviews of the various ministries. A major role here is played by the
National IT Summit.

The
Federal Government in Germany will develop a Digital Agenda 2014-2017 as a
cross-departemental strategy to address the various issues of digitisation in a
comprehensive approach. The action field 'Research, Education and Culture' 
will help the areas of education, science and research to make better use of
the opportunities of digitisation offers, e.g. ensuring open access to
scientific information and improve scholarly communication.

The
Deutsche Forschungsnetz (DFN) is the German National Research and Education
Network (NREN), a specialised Internet service provider dedicated to supporting
the needs of the research and education communities within the country and
essential to make digital services possible.

Concerning
digital services, the country provides premium services.  The recommendations
of the Wissenschaftsrat for the further development of scientific information
infrastructures in Germany up to 2020 also refers to a number of issues related
to the electronic identity and digital research services.

Indicator || Level/cluster || Value || Year || Source

Share of responding research performing organisations providing digital research services (i.e. cloud services, research collaboration platform, etc.) || ERA compliant cluster (EU level) || 80.8 % || 2013 || ERA survey 2014

Share of responding research performing organisations providing digital research services (i.e. cloud services, research collaboration platform, etc.) || ERA compliant cluster (national level) || 86 % || 2013 || ERA survey 2014

Share of responding research performing organisations providing digital research services (i.e. cloud services, research collaboration platform, etc.) || Limited compliance to ERA cluster (national level) || 5.2 % || 2013 || ERA survey 2014

Within
the ERA compliant cluster in Germany, the share of research performing
organisations providing digital research services (i.e. cloud services,
research collaboration platform, etc.) is higher than within the EU ERA
compliant cluster.

  
6.4.   Uptake of federated electronic identities

Germany
was already a member of an identity federation in 2011. The country is member
of eduGAIN, a service intended to enable the trustworthy exchange of
information related to identity, authentication and authorisation between the
GÉANT (GN3plus) Partners' federations, through DFN. To date, electronic
identities that are not linked to a specific institution are only available to
researchers in Germany to a limited extent, via their national identity card.

Indicator || Level/cluster || Value || Year || Source

Share of responding research performing organisations in the sample providing federated electronic identities for their researchers || ERA compliant cluster (EU level) || 38.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample providing federated electronic identities for their researchers || ERA compliant cluster (national level) || 53.3 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample providing federated electronic identities for their researchers || Limited compliance to ERA cluster (national level) || 1.4 % || 2013 || ERA survey 2014

Within
the ERA compliant cluster in Germany, the share of research performing
organisations providing federated electronic identities for their researchers
is higher than within the EU ERA compliant cluster.

7.  
NOTES ON THE 2014 ERA SURVEY RESULTS

  
7.1.   Comments

A
total of 127 research performing organisations in Germany answered the 2014 ERA
survey, which represents 22.8% of the total number of researchers in the
country (total number of researchers in the country as of 2011).

The
principal component and clustering analysis of research performing
organisations in Germany shows that 65.9 % of them are in the ‘ERA compliant’
cluster, 26.8 % can be classified in the ‘limited compliance to ERA’ cluster
and 7.3 % of organisations in the ‘ERA principles are not applicable’ cluster.
However, when the organisations are weighted by the number of researchers in
each organisation, the results significantly vary. Indeed, the shares of
‘weighted’ organisations are 90.3 % for the ‘ERA compliant’ cluster, 8.6 % for
the ‘ERA limited compliant’ cluster and 1.1 % for those organisations where ERA
principles are not applicable.

For
the indicator 'Share of total budget allocated as project based funding' it
should be noted that part of the funding of RPO's is directly by ministries
without intervention by any funding organisation. As a consequence the
percentage is relatively high compared to official figures.

For
the indicator 'Public funding allocated to transnationally coordinated R&D
as % of total budget in the sample' it should be noted that only data for food
& agiculture are available. As a consequence the percentage is relatively
low.

For
the indicator ' Share of funders which can base their project based research
and development funding decisions on peer reviews' only data are available for
the food sector. As a consequence the percentage is relatively low.

For
the indicator 'Share of publicly funded scientific publications in OA amongst
research performing organisations' there are hardly any data. As a consequence
the percentages are low.

Policy
measures in support of ERA implementation

Initiative || Adopted in || Adopted since 2012 || New measure since 2013

Research and innovation system

Strategy of the Federal Government on the European Research Area (ERA) - Guidelines and National Roadmap || 2014 || X || X

Project-based funding applying the core principles of international peer review

SME Innovative || 2007 || ||

Institute for Research Information and Quality Assurance || 2005 || ||

DFG - German Research Council (Förderverfahren der DFG) || || ||

Project funding (programmes) || 2006 || ||

Funding procedures of the Deutsche Forschungsgemeinschaft (DFG) since 1951, regularly updated || || ||

Non-university research institutes (Außeruniversitäre Forschungseinrichtungen) - HGF, FHG, MPG, WGL (different dates) || || ||

R&I funding system: general application of international peer review principles || || ||

Initiative for excellence (Excellenz Initiative) || 2012 || X ||

Excellence Initiative  for Cutting-edge Research at Institutions of Higher Education || 2014 || X || X

Institutional funding based on institutional assessment

Academic Freedom Act || 2012 || X ||

Higher Education Pact (Hochschulpakt) - reform initiative || 2011 || ||

Leading-Edge Cluster Top Cluster Competition || 2007 || ||

R&I funding system: project funding || 2006 || ||

R&I funding system: institutional funding || || ||

Institutional funding (non-university research institutes) - Fraunhofer Gesellschaft (since 1949) || || ||

Implementing joint research agendas

Initiative on Multilateral Research Funding (G8 Research Councils) || 2010 || ||

High-Tech Strategy 2020 (since 2006) || 2010 || ||

Internationalisation Strategy || 2008 || ||

Joint Programming Initiatives (JPIs) || 2008 || ||

French-German Agenda 2020 (since 2010) || 2014 || X || X

ERA-NET ERA-NET+ || 2006 || ||

Upper Rhine Bi-national Metropolitan Region science programme || 2011 || ||

Participation in Article 185 measures || || ||

Interoperability, mutual recognition of evaluation results and other schemes

D-A-CH’ agreement ("Lead Agency" process) - DACH Abkommen || 2009 || ||

The G8 Research Councils Initiative on Multilateral Research Funding || 2010 || ||

EIROs - participation of Germany || || ||

Guidelines for the participation of the BMBF in the preparation and implementation of transnational calls for proposals (Leitfaden des BMBF zur transnationalen Zusammenarbeit) || 2008 || ||

Participation in Article 185 measures || 2007 || ||

The Joint Initiative for Research and Innovation II: Internationalisation strategies of the science organisations || 2009 || ||

Internationalisation Strategy || || ||

Financial commitments for the construction and operation of ESFRI, national and regional research infrastructures of pan-European interest

National research infrastructure roadmap 2013 (Roadmap für Forschungsinfrastrukturen – Pilotprojekt des BMBF) || 2013 || X || X

ESFRI - German contribution || || ||

Access to research infrastructures of pan-European interest

Internationalisation Strategy || 2008 || ||

Implementation EC Regulation on ERIC || 2013 || X || X

Open, transparent and merit-based recruitment of researchers

EURAXESS Germany portal || || ||

Attractive careers

Foreign Skills Approval and Recognition Law || 2012 || X ||

Plan to improve the social security and pension situation of mobile researchers || 2010 || ||

Report on the Promotion of Young Researchers (BuWin) || 2008 || ||

Principles for appointing research staff by non-university institutions (HGF, FhG, MPG, WGL) || || ||

Programmes encouraging excellent foreign scientists to spend research periods in Germany || || ||

Supporting structured innovative doctoral training programmes

Cooperative Doctoral Programme (Baden-Württemberg) || 2010 || ||

International and inter-sectoral mobility

Programmes offering financial support to German researchers to spend periods abroad || || ||

Foster cultural and institutional change on gender

General Equal Treatment Act (Allgemeines Gleichbehandlungs-gesetz) || 2006 || ||

Gender balance in the decision-making process

Center of Excellence Women and Science (CEWS) || 2000 || ||

Female professors’ programme || 2007 || ||

Woman at the Top (Frauen an die Spitze) || 2006 || ||

General Anti-Discrimination Act - Allgemeines Gleichbehandlungsgesetz (AGG) || 2006 || ||

National Pact for Woman in MINT careers || 2008 || ||

Higher Education Laws in the German Länder (Hochschulgesetze der Länder) || || ||

Targets for gender balance set by Joint Science Conference (GWK) || 2011 || ||

Programmes at Länder level to enhance equal opportunities at universities || || ||

Campaign to promote equal opportunities for men and women in research (Offensive für Chancengleichheit von Wissenschaftlerinnen und Wissenschaftlern) || 2006 || ||

Open access to publications and data resulting from publicly funded research

Berlin Declaration on Open Access to Knowledge in the Sciences and Humanities || 2003 || ||

The German Research Foundation (DFG) has tied Open Access to its funding policy || 2006 || ||

Open innovation and knowledge transfer between public and private sectors

Research Campus: public-private Partnership for Innovation || 2011 || ||

go-innovativ’ -Vouchers for Innovation Consulting and Management || 2010 || ||

Validation of Innovation Potentials - VIP || 2010 || ||

Research at Universities of Applied Sciences || 2005 || ||

IGF -Promotion of Joint Industrial Research and Initiative Programme Future Technologies for SMEs (ZUTECH) || 1954 || ||

Innovation Alliances || 2007 || ||

National Agency for Women Start-ups Activities and Services || 2004 || ||

EXIST - Start-ups from Science (also: EXIST - University-based business Start-ups) || 1999 || ||

ERP Start-up Fund || 1995 || ||

High-tech Start-up Fund || 2005 || ||

Networks of Competence || 1999 || ||

Fostering the innovation dimension of research: SIGNO, EXIST || || ||

National strategy to implement the Commission Recommendation on management of intellectual property in knowledge transfer activities and on a Code of practice for universities and other public research organisations (IP Charter) by the Joint Science Confe || 2010 || ||

TechnologieAllianz network || 2001 || ||

Regional laws on knowledge and technology transfer as a task for German institutions of Higher Education || || ||

Secondary publication right implemented in German Copyright law || 2006 || ||

Harmonise policies for public e-infrastructures and associated digital research services

Digital Germany 2015 || 2010 || ||

Advice and federal working group with the German Länder on scientific information infrastructures (on-going) || 2012 || X ||

Uptake of federated electronic identities

Initiatives towards e-identity (DFN-AAI, eduGAIN) || || ||

1.  
MORE EFFECTIVE NATIONAL SYSTEMS

  
1.1.   Research and innovation system

The
Ministry of Higher Education and Science has the main responsibility for
research and innovation (R&I) in Denmark. However, the Ministry of Business
and Growth has certain tasks related to business development, and several
sectorial ministries – such as  the Ministry of Climate, Energy and Building,
the Ministry of Food, Agriculture and Fisheries, the Ministry of the
Environment, the Ministry of Finance and the Ministry of Foreign Affairs – have
larger research, development and innovation (RD&I)            programmes.
In addition, the ministries have specific agencies that implement the
respective policies.

The
main R&I funding comes from the Danish National Research Foundation, the
Danish Council for Independent Research, the Danish Innovation Foundation, and
several sectorial R&D programmes. Another key funding source is the
University Basic Research Funding, i.e. the allocated basic university grants
provided to the universities from the annual national budget. In 2013, the
Danish Government started in 2013 a process aimed at combining into the Danish
Innovation Foundation the following bodies: the Danish Council for Strategic
Research, the Danish Council for Technology and Innovation, and the Danish
Advanced Technology Foundation. This reorganisation was partly based on input
from the European Research Area and Innovation Committee (ERAC) Peer Review
from 2012. In October, an agreement was reached stipulating that the new
innovation fund shall be equipped with an annual budget of €200 million. The
fund has been operational since April 2014.

The
main knowledge producers in the Danish R&D system are the universities
along with a few Government research institutes and a network of private,
non-profit R&D organisations. The main collaboration partners of the
private sector are nine institutes, belonging to the Advanced Technology Group
(“Godkendte Teknologiske Serviceinstitutter”).

The
country has adopted a national strategy for Research and Innovation. In 2013,
the Danish Government launched Denmark’s first comprehensive innovation
strategy “Denmark – Nation of Solutions” based on collaborative efforts between
the involved ministries, i.e. the Ministry of Higher Education and Science, the
Ministry of Business and Growth and other relevant sectorial ministries, as
well as stakeholders from the Danish innovation system. In connection with the
new innovation strategy the Danish Government has started a process that led to
the creation of the first INNO+ catalogue presented in September 2013 which
defines 21 concrete areas for R&I geared towards finding solutions to the
grand societal challenges.

The
Danish National Reform Programme (NRP) 2014 describes new support instruments
to promote R&I to, such as societal partnerships, tax incentives, SMEs
activities and cluster policy.

Denmark
has also been engaged in a process called RESEARCH2020 that identifies areas of
effort that form the basis for the political prioritization of funds for
strategic research, basis for decision making for the prioritization of funds.

In
terms of R&I funding, the Government Budget Appropriations or Outlays for
Research and Development (GBAORD) in Denmark represented EUR 451 per inhabitant
in 2012 more than twice and a half higher than the EU28 average (EUR 179). In
2013, GBAORD per inhabitant increased to reach EUR 455. In 2012, total GBAORD
corresponded to 1.7% of total government expenditures and 1% of Gross Domestic
Product (GDP) (Eurostat).

The
analysis of the evolution of GBAORD in the period during the economic crisis
(2007-2012) shows that in nominal terms, the rate of growth of total GBAORD in
Denmark has been higher than the rate of growth of total EU GBAORD. In terms of
R&D efforts, the rate of growth of GBOARD in Denmark, measured as percentage
of public government expenditure, evolved positively. In comparison, in the
EU27 the rate of growth of GBAORD measured as percentage of public government
expenditure evolved negatively. Finally, GBAORD as a share of GDP has evolved
positively in Denmark even when it regressed at EU28 level.

  
1.2.   Project-based funding applying the core principles of international peer
review

According
to a Joint Research Centre-Institute for Prospective Technological Studies
(JRC-IPTS) study on European university funding and financial autonomy (2011),
the Danish universities funding consists of 59 % core funding, 12 % competitive
funding, 4 % industrial funding, 1% non-profit sector funding and 2 % EU
funding. However, no official statistics on this topic exist.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders' total budget allocated as project-based funding || National level || 77.1 % || 2013 || ERA survey 2014

Share of responding funders' total budget allocated as project-based funding || EU level || 66.2 % || 2013 || ERA survey 2014

The
share of research funders in Denmark who responded to the survey and support
project-based funding is higher than the EU average.

Allocation
of research funds is based on the principles of international peer review.
Research projects are selected on the basis of the quality of proposals and
expected results and they are subject to external peer review.

For
example, the Danish Council for Strategic Research, which is now a part of the
Danish Innovation Foundation,  has established a peer review panel that is
intended to strengthen the quality of the project reviews. Assessments made by
members of the peer review panel are complemented with assessments provided by
the council committees of internationally recognised academics. The Danish Council
for Independent Research uses peer review panels and individual peer reviews
for assessing applications. Assessments made by the peer review panels and
individual reviews are complemented with assessments provided by research
council members who are also internationally recognized academics.

  
1.3.   Institutional funding based on institutional assessment

Danish
universities’ funding is based on a benchmark made on the basis of
internationally recognised criteria and performance contracts with the Ministry
of Higher Education and Science.  In June 2009, a political agreement was
reached on a new distribution model for core funding to the universities. The
new distribution model is a modification of the former 50–40–10 model, which
covered indicators for education, external funding and PhD graduates. The new
model includes bibliometric indicators and has been introduced gradually over
the period 2010–2012. The distribution for 2012 is as follows: 45% is based on
education appropriations, 20% is based on external funding of R&D
activities, 25% is based on bibliometric indicators, and 10% is based on PhD
graduates.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders' total budget allocated as institutional funding based on institutional assessment and/or evaluation || National level || 22.6 % || 2013 || ERA survey 2014

Share of responding funders' total budget allocated as institutional funding based on institutional assessment and/or evaluation || EU level || 24 % || 2013 || ERA survey 2014

The
share of research funders in Denmark who responded to the survey and support
institutional assessment for the allocation of institutional funding is lower
than the EU average.

2.  
TRANSNATIONAL COOPERATION

  
2.1.   Implementing joint research agendas

The
country is involved in transnational cooperation. It also strongly supports
bilateral and multilateral initiatives.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders' total budget allocated to transnationally coordinated R&D || National level || 18.3 % || 2013 || ERA survey 2014

Share of responding funders' total budget allocated to transnationally coordinated R&D || EU level || 4.1 % || 2013 || ERA survey 2014

Share of responding funders' research and development budget dedicated to jointly defined research agendas with non-national EU organisations || National level || 16.3 % || 2013 || ERA survey 2014

Share of responding funders' research and development budget dedicated to jointly defined research agendas with non-national EU organisations || EU level || 1.7 % || 2013 || ERA survey 2014

The
share of responding funders’ total budget in Denmark allocated to
transnationally coordinated R&D is higher than the EU average.

The
share of responding funders’ research and development budget in Denmark
dedicated to jointly defined research agendas with other EU organisations is
higher than the EU average.

Cooperation
between institutions of Member States, Associated Countries and third countries
is fostered by the Framework Programme (FP). In the Seventh Framework Programme
(FP7), Denmark’s total share of participation is 2.4% and the country received
2.6% of total EC contribution. FP funding represents EUR 170 per inhabitant (EU
average EUR 72 per capita) for the period 2007-2013 and 2.8% of the Gross
Domestic Expenditures on R&D (GERD) for the period 2007-2011 (last
available data) (EU average 3% of GERD for the same period).

Concerning
Joint Programming Initiatives, the country participates in all the 10 on-going
initiatives. Denmark is the coordinator of Agriculture, Food Security and
Climate Change.

In
terms of programmes undertaken jointly by several Member States (so called
Article 185 initiatives), the country was involved in five programmes. In
Horizon 2020, the country is already involved in four of the four existing
initiatives.

ERA-NETs
facilitate the coordination and collaboration of national and regional research
programmes, in particular the preparation and implementation of joint calls for
transnational research proposals between national and/or regional programmes.
The country has participated in more than 40 ERA-NETs, of which 15 are
currently still running. The country also has participated in seven ERA-NET
Plus actions - of which five are still running - in areas with high European
added value and additional EU financial support topping up their joint call for
proposals. Denmark is coordinating three existing ERA-NETs.

Denmark
is actively cooperating with other Nordic countries in joint programmes and
institutions within the Nordic Council of Ministers. Nordic cooperation
involves Denmark, Finland, Iceland, Norway and Sweden as well as the three
autonomous areas, the Faroe Islands, Greenland and the Åland Islands. The
organisation of the Nordic collaboration in research and innovation is based on
two main pillars: NordForsk (research) and Nordic Innovation (formerly The
Nordic Innovation Centre, NICE). In 2008, the Nordic Prime Ministers initiated
the Top-level Research Initiative (TRI), which is until now the largest joint
Nordic research and innovation initiative that has a research focus on the
climate, environment and energy fields.

In
2014 initiatives to strengthen the Arctic research were taken. The goal is to
enhance national coordination of arctic research, arctic education and
activities related to Arctic research.

  
2.2.   Openness for international cooperation with third countries and regions

In
terms of international cooperation with third countries and regions, the
Ministry of Higher Education and Science initiated several cooperation
agreements and different policy measures to ensure an improved exchange between
knowledge communities in Denmark and outside Europe. Among these are
Memorandums of Understanding on research and innovation with countries such as
Turkey and South Korea.

Denmark
has developed specific strategies for Brazil, Russia, India and China
(BRIC-countries) to improve trade and investment, in fields such as climate and
energy, welfare, architecture, research, education and food. Denmark has
established innovation centres in hotspots around the world and as part of its
national Innovation Strategy. To complement its already existing innovation
centers in Shanghai, Silicon Valley and Munich, Denmark opened three new
innovation centres in New Delhi, Bangalore, Seoul and Sao Paulo in 2013.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders' research and development budget allocated to collaboration programmes carried out with third countries || National level || 2 % || 2013 || ERA survey 2014

Share of responding funders' research and development budget allocated to collaboration programmes carried out with third countries || EU level || 2.4 % || 2013 || ERA survey 2014

Share of organisations' research and development budget amongst responding research performing organisations originating from third countries || ERA compliant cluster (EU level) || 0.8 % || 2013 || ERA survey 2014

Share of organisations' research and development budget amongst responding research performing organisations originating from third countries || ERA compliant cluster (national level) || 0.7 % || 2013 || ERA survey 2014

Share of organisations' research and development budget amongst responding research performing organisations originating from third countries || Limited compliance to ERA cluster (national level) || 0.7 % || 2013 || ERA survey 2014

The
share of responding funders' research and development budget in Denmark
allocated to collaboration programmes carried out with third countries is lower
than the EU average.

Within
the ERA compliant cluster in Denmark, the share of organisations' research and
development budget originating from third countries is similar to the EU ERA
compliant cluster.

  
2.3.   Interoperability, mutual recognition of evaluation results and other
schemes

Regarding
cross border access to funding, Danish schemes are open to researchers based
abroad, regardless of their nationality, provided that their research is judged
to be of benefit to Danish research. The Research Council law allows the
national research councils to allocate up to 20 % of their funds to
international initiatives. These initiatives are allowed to administer the
funds on behalf of the Danish research councils on a real common pot model as
long as it benefits Danish research and fulfils other general principles.
Furthermore, the Council funds are generally available to international researchers.

The
Danish Council for Independent Research and the National Research Foundation
participate in Science Europe. The Danish Council for Strategic Research (now a
part of the Danish Innovation Foundation) has signed the letter of intent
“Money Follows Researcher”, which allows researchers to move to other countries
and take the remainder of any awarded grant with them.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders which can base their project-based research and development funding decisions on peer reviews carried out by non-national institutions || National level || 87.1 % || 2013 || ERA survey 2014

Share of responding funders which can base their project-based research and development funding decisions on peer reviews carried out by non-national institutions || EU level || 38.5 % || 2013 || ERA survey 2014

Share of responding funders' project-based research and development budget allocated through peer review carried out by institutions outside the country || National level || 3.9 % || 2013 || ERA survey 2014

Share of responding funders' project-based research and development budget allocated through peer review carried out by institutions outside the country || EU level || 0.8 % || 2013 || ERA survey 2014

The
share of research funders in Denmark who responded to the survey and can base
their project-based research and development funding decisions on peer reviews
carried out by non-national institutions is higher than the EU average.

The
share of responding funders' project-based research and development budget in
Denmark allocated through peer review carried out by institutions outside the
country is higher than the EU average.

3.  
RESEARCH INFRASTRUCTURES

  
3.1.   Financial commitments for the construction and operation of ESFRI,
national and regional research infrastructures of pan-European interest

Denmark
participates in the following large international research infrastructures: the
European Space Agency (ESA), the Conseil Européen pour la Recherche Nucléaire
(CERN), the European Fusion Development Agreement (EFDA), the European
Molecular Biology Laboratory (EMBL), the European Southern Observatory (ESO),
the European Synchrotron Radiation Facility (ESRF), EU.XFEL and the Institut
Laue-Langevin (ILL).

The
country contributes 0,86% of GBAORD to the activities carried out by CERN,
EMBL, ESO, ESRF, ILL and the JRC (Eurostat).

In
terms of participation to the development of research infrastructures (RI)
included in the European Strategy Forum on Research Infrastructures (ESFRI)
Roadmap, the country participates in the preparatory phase of 14 of them (29%
of the RI in the roadmap). The country coordinates one RI, namely WINDSCANNER.

In
terms of financial commitments to the development of ESFRI Research
Infrastructures, Denmark is committed to funding : CESSDA, CLARIN-ERIC,
DARIAH,  E-ELT, EPOS, EATRIS, ELIXIR, (INSTRUCT), ESRF UPGRADE, ESSneutrons,
XFEL and (PRACE).

With
regard to participation in the European Research Infrastructure Consortium
(ERIC), Denmark is involved in three of the nine consortia which adopted the
legal framework designed by the Commission to facilitate the establishment and
operation of research infrastructures of European interest involving several
European countries, namely CLARIN ERIC, EATRIS ERIC and DARIAH ERIC.

To
support the development and implementation of Research Infrastructures, the
availability of high quality research infrastructures has been addressed in
policy actions over several years. Public investments in research and
innovation have been prioritised and budgeted for over the last years to ensure
predictability and long term impact.

The
national roadmap for Research Infrastructures presents a complete and
prioritised catalogue of the national needs for research infrastructures in the
short term and charts a strategic direction for national initiatives in the
field.

The
roadmap includes clear references to the participation of Denmark in the
development of the research infrastructures mentioned in the ESFRI roadmap. The
national roadmap will be updated in 2015 in parallel with the ESFRI update
process.

The
total Danish funding committed to the construction and operation of the
research infrastructures included in the ESFRI Roadmap since 2006 is estimated
at DKR 720 million.

  
3.2.   Access to research infrastructures of pan-European interest

Among
the research infrastructures coordinated by Denmark, access to four of them has
been funded by the European Commission.

4.  
OPEN LABOUR MARKET FOR RESEARCHERS

  
4.1.   Introduction to open labour market for researchers

A
detailed report can be found in the country profile for Denmark in the
Researchers’ Report 2014
[http://ec.europa.eu/euraxess/pdf/research\_policies/country\_files/Denmark\_Country\_Profile\_RR2014\_FINAL.pdf].

The
following text provides an overview of the current situation and recent
progress made in several key areas.

Stock
of researchers

There
were 37,944 full time equivalent (FTE) researchers in Denmark in 2011. This
represents 13.0 researchers per 1000 labour force compared with 11.4 among the
Innovation Union reference group (Innovation Leaders) and an EU average of 6.7.

  
4.2.   Open, transparent and merit-based recruitment of researchers

In
2013, the number of researcher posts advertised through the EURAXESS Jobs
portal per thousand researchers in the public sector was 13.0 in Denmark
compared with 47.6 among the Innovation Union reference group and an EU average
of 43.7

In
2012, 65% of university-based researchers were satisfied with the extent to
which research job vacancies are publicly advertised and made known by their
institution (More2 survey, 2012).

The
common government rules on posting positions and making appointments, including
requirements on the prohibition of discrimination, open recruitment and
objective justifications, apply to scientific positions. For scientific
employees, the rules are supplemented by the Ministerial Order on the
Appointment of Academic Staff at Universities (2012). Under this Order,
positions at professor and associate professor level must be advertised
internationally, and an assessment takes place according to local rules at each
university. The Order is designed to increase international mobility as well as
open competition, hence providing Danish universities with the best possible
talent. The Rector may grant an exemption from this provision in the event of
special circumstances of an academic nature. A non-prioritised, reasoned and
written assessment of the applicants’ academic qualifications is submitted to
the Rector. The committee must submit its assessment within a time limit set by
the Rector. In the event of differences of opinion between the members of the
committee, this must be stated in the assessment.

Under
the Public Administration Act (1985), the applicant can always require a
written explanation of the decision. The applicant has the right to appeal to
the institution to which he/she has applied for a job.

  
4.3.   Attractive careers

All
Danish universities have signed the ‘Charter & Code’ and are to a high
degree following its principles, which are perceived as normal practice within
Danish research institutions. By May 2014, three Danish organisations were
involved in the Commission’s Human Resources Strategy for Researchers of which
one had received the "HR Excellence in Research" logo for their
progress in implementing the Charter & Code.

The
Job Structure for Academic Staff at Universities, the Collective Agreement for
Academics in the State and the Act on Universities (in particular, points 2, 15
and 29) constitute a researcher statute by addressing wage and employment
conditions (for instance pension schemes, maternity/paternity leave and
long-term illness) and career prospects. In 2013 the Job Structure for Academic
Staff at Universities was revised and resulted in an updated and more
contemporary job structure. It includes provisions for a coherent researcher
career progression, significantly revising also the principal position of
assistant professor. A permanent assistant professorship may now be granted for
a period of up to six years (only four years previously). As part of the
position, the assistant professor may transfer directly to a position of
associate professor/senior researcher provided that the employee is recommended
for assessment and is deemed qualified. The revision has been welcomed by the Danish
universities which will use the permanent assistant professorship as a tenure
track position.

  
4.4.   Supporting structured innovative doctoral training programmes

The
number of new doctoral graduates per thousand population aged between 25-34 was
2.3 in 2011 compared to 2.7 among the Innovation Union reference group and an
EU average of 1.7.

The
Danish PhD Programme (under the Ministerial Order on the PhD Programme at the
Universities, 2007) is designed by the Ministry of Higher Education and Science
to provide young researchers with skills to contribute to a knowledge-based
economy and society in Denmark. The PhD Programme is a research programme aimed
at training PhD students at an international level to undertake research,
development and teaching assignments in the private and public sectors for
which a broad knowledge of research is required.

The
regulation on PhD programmes was amended in 2010 in order to improve the
possibilities for universities to enter into mutually binding collaboration in
research and education with foreign universities. The regulation was amended
again in 2013 in order to focus on providing the best opportunities for
international collaboration in PhD education. On 1 September 2012, a publicly
available website was launched in English with short presentations of PhD
courses offered at all graduate schools in Denmark (http://phdcourses.dk/).
This website gives PhD students an overview of the total offer of PhD courses
in Denmark across universities.

  
4.5.   International and inter-sectoral mobility

In
2011, the percentage of doctoral candidates with citizenship of another EU-27
Member State was 13.8% in Denmark compared with 9.1% among the Innovation Union
reference group and an EU average of 7.7%. The percentage of non-EU doctoral
candidates as a percentage of all doctoral candidates was 17.7% in Denmark
compared with 14.4% among the Innovation Union reference group and an EU
average of 24.2%.

In
2014, an action plan ‘Denmark – an attractive study destination - How to attract
and retain talent from abroad’ was launched as part of the government’s effort
to increase the internationalisation of higher education. The action plan
includes concrete initiatives to make international graduates’ transition to
the Danish labour market easier. International graduates from non-EU/EEA
countries who have completed a Master’s or PhD programme in Denmark, should
have the opportunity to apply for a start-up permit giving them the right to
seek employment and work in Denmark for two years. A start-up permit will also
– unlike the current Greencard scheme – allow the graduate the opportunity to
start their own company. The plan will also ensure that all fully-fledged PhDs
are granted a six-month jobseeker’s residence permit, and the rules for applying
for a residence permit are simplified.

The
Industrial PhD Programme aims to offer doctoral training in cooperation with
the industry sector. It is a three-year research project and research training
programme with an industrial focus conducted jointly by a private company, an
industrial PhD student and a university. The student is employed by the company
and enrolled at the university. The company hires the Industrial PhD for the
three-year duration of the project as a full-time employee on ordinary terms
for salaried employees. The salary is agreed between the student and the
company, and must correspond as a minimum to the pay rate of the collective
agreement for PhD students employed by the Danish State. The company receives a
subsidy to cover approximately half the student’s salary, and the enrolling
university receives a subsidy to cover tuition fees. The Programme includes a
compulsory business course so that students understand the commercial aspects
of research and innovation projects. It inspired the European Parliament to
fund the kick-start of the Marie Skłodowska-Curie European Industrial
doctorates.

5.  
GENDER

  
5.1.   Foster cultural and institutional change on gender

General
legislation on gender equality

The
Minister for Gender Equality is responsible for the Government's overall
activities in the field of gender equality and co-ordinates the equality work
of other ministries.

On
a general level, the Danish Gender Equality Act (GEA), as revised in 2013,
stipulates among other things that boards, assemblies of representatives or
similar collective management bodies within the public administration ought to
have an equal gender balance. This is also the case for public research
councils, universities etc.

In
addition to gender equality targets, institutions and companies in public
administration are obliged to formulate gender equality policies concerning the
underrepresented gender on a managerial level. This is only a requirement for
institutions and companies with 50 employees or more e.g. all Danish
universities.

The
country has provisions for a balanced participation of women and men in
research programmes and/or projects. The Councils monitor the gender balance in
their funding. Gender specific measures are included in the performance
contracts with universities, where all universities are encouraged to include a
focus area working for equal opportunities.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting gender equality in research || National level || 22.4 % || 2013 || ERA survey 2014

Share of responding funders supporting gender equality in research || EU level || 82.2 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample which have adopted Gender Equality Plans || ERA compliant cluster (EU level) || 64 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample which have adopted Gender Equality Plans || ERA compliant cluster (national level) || 27.8 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample which have adopted Gender Equality Plans || Limited compliance to ERA cluster (national level) || 17.4 % || 2013 || ERA survey 2014

The
share of research funders in Denmark who responded to the survey and support
national policies on gender equality in public research is lower than the EU
average.

Within
the ERA compliant cluster in Denmark, the share of research performing
organisations which have adopted Gender Equality Plans is lower than within the
EU ERA compliant cluster.

The
country provides incentives for the recruitment of female researchers.  Some
Danish universities included gender equality in their development contracts
with the ministries. This practice potentially results in an extra bonus, which
is seen as an incentive. Danish Gender Equality Act specially allocates an
additional professorship chair (off faculty plan) if a department reaches a
certain number of female professor appointees. Also the new Danish ‘Sapere
Aude’ programme aims to encourage more women to become research leaders.

For
example, the “Young women devoted to a university career programme” has been
earmarked to ensure a more gender mix in research environments in Denmark (NRP
2014).

Indicator || Level/cluster || Value || Year || Source

Share of responding research performing organisations implementing recruitment and promotion policies for female researchers || ERA compliant cluster (EU level) || 53.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations implementing recruitment and promotion policies for female researchers || ERA compliant cluster (national level) || 27.8 % || 2013 || ERA survey 2014

Share of responding research performing organisations implementing recruitment and promotion policies for female researchers || Limited compliance to ERA cluster (national level) || 6.6 % || 2013 || ERA survey 2014

Within
the ERA compliant cluster in Denmark, the share of research performing
organisations implementing recruitment and promotion policies for female
researchers is lower than within the EU ERA compliant cluster.

The
country has a dedicated budget for programmes funding women/gender studies. The
annual report form the Research Forum and the Research Councils will for the
future include relevant gender divided statistics.

In
2013, the Council of Independent Research commissioned a study on the role of
gender in research and excellence (Det Frie Forskningsråd, 2013), mapping
gender aspects and differences in the Danish R&I system.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting the inclusion of gender dimension in research content || National level || 0 % || 2013 || ERA survey 2014

Share of responding funders supporting the inclusion of gender dimension in research content || EU level || 48.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations which include the gender dimension in research content || ERA compliant cluster (EU level) || 44 % || 2013 || ERA survey 2014

Share of responding research performing organisations which include the gender dimension in research content || ERA compliant cluster (national level) || 60.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations which include the gender dimension in research content || Limited compliance to ERA cluster (national level) || 0.1 % || 2013 || ERA survey 2014

The
research funders in Denmark who responded to the survey indicated that they do
not support gender dimension in research content/programmes.

Within
the ERA compliant cluster in Denmark, the share of research performing
organisations which include the gender dimension in research content is higher
than within the EU ERA compliant cluster.

  
5.2.   Gender balance in the decision-making process

Gender
equality at the Danish universities

The
Ministry of Higher Education and Science and the 8 Danish universities sign development
contracts every three years. Some of the Danish universities have included
goals and activities for gender equality in their development contracts with
the ministry.

The
ministry is supervising the universities on a regular basis. In 2013 and 2014,
the ministry has systematically surveyed the status for gender equality at each
university in the supervision

Some
of the universities have initiated their own gender equality initiatives after
a special autorisation of the Gender Equality Act (GEA). E.g. the University of
Copenhagen has implemented a gender equality action plan for 2008-13 e.g.
giving economic incentives to faculties hiring female professors.

Gender
equality and the Danish research councils

The
Danish Council for Independent Research has in particular emphasised gender
equality in their work and practice. In 2013, the Danish Council for
Independent Research commissioned a study on the role of gender in research and
excellence mapping gender aspects and differences in the Danish research system
with special focus on applications to and grants from the Danish Council for
Independent Research. The study was followed by a conference on the role of
gender in research and excellence. In 2013, the Council also adopted an
equality policy. The policy set goals for both the success rates of grants
awarded by the council and for the composition of the council itself and its
subcouncils.

In
2014 the council presented a call for the new “Younger women Devoted to a
University career Programme (YDUN-programme)” in order to stimulate the
research careers of female researchers by encouraging them to apply for
research funding at the council.

The
council also issue gender divided statistics regarding the awarded grants.

Indicator || Level/cluster || Value || Year || Source

Share of gender-balanced recruitment committees for leading researchers amongst responding research performing organisations || ERA compliant cluster (EU level) || 33.6 % || 2013 || ERA survey 2014

Share of gender-balanced recruitment committees for leading researchers amongst responding research performing organisations || ERA compliant cluster (national level) || 0 % || 2013 || ERA survey 2014

Share of gender-balanced recruitment committees for leading researchers amongst responding research performing organisations || Limited compliance to ERA cluster (national level) || 7.5 % || 2013 || ERA survey 2014

Share of gender-balanced research evaluation panels amongst responding research funding organisations || National level || 21.4 % || 2013 || ERA survey 2014

Share of gender-balanced research evaluation panels amongst responding research funding organisations || EU level || 35.8 % || 2013 || ERA survey 2014

The
share of gender-balanced research evaluation panels amongst responding research
funding organisations in Denmark is lower than the EU average.

6.  
KNOWLEDGE CIRCULATION

  
6.1.   Open access to publications and data resulting from publicly funded
research

The
Danish Government supports open access. An Open Access Committee was appointed
under the steering committee for Denmark's Electronic Research Library (DEFF).
In March 2011 the Open Access Committee published recommendations for
implementing of open access in Denmark (Danish Agency for Libraries and Media,
2011).  Based on the recommendations, the Danish Government adopted a policy on
open access to research articles in June 2014. The coordination and development
of the national policy will be implemented by a national steering committee
appointed by the Minister for Higher Education and Science in April 2014.

The
implementation of Open Access is well under way among Danish universities,
public research councils and foundations. In June 2012, public research
councils and foundations implemented a joint open access-policy. This policy
advocates green open access and requires the deposit of a digital version of
the research article to a repository after the article has been accepted.
Furthermore, seven out of the eight universities in Denmark have introduced
Open Access policies.

Related
to open access to publications, initiatives exist at national level through
soft requirements to foster the development of open access to scientific
publications.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting open access to publications || National level || 88.9 % || 2013 || ERA survey 2014

Share of responding funders supporting open access to publications || EU level || 51 % || 2013 || ERA survey 2014

Share of publicly funded scientific publications in OA amongst responding research performing organisations || ERA compliant cluster (EU level) || 18 % || 2013 || ERA survey 2014

Share of publicly funded scientific publications in OA amongst responding research performing organisations || ERA compliant cluster (national level) || 7.1 % || 2013 || ERA survey 2014

Share of publicly funded scientific publications in OA amongst responding research performing organisations || Limited compliance to ERA cluster (national level) || 9.9 % || 2013 || ERA survey 2014

The
share of research funders in Denmark who responded to the survey and support
Open Access to publications is higher than the EU average.

Within
the ERA compliant cluster in Denmark, the share of publicly funded scientific
publications in OA amongst research performing organisations is lower than
within the EU ERA compliant cluster.

Concerning
open access to data, in Denmark, there are no open access and preservation
policies related to research data. Though, some initiatives relating to OA to
data have been implemented. The awareness of OA is mainly within the research
library community, but the interest in the topic is growing in the university
administrations and research policy. Three Danish universities have policies
and other universities are engaging in on-going work regarding OA. Furthermore,
in recent years it has been a requirement that researchers receiving grants
from the Danish Research Council for Independent Research, must hand over their
datasets to the Danish National Archives, which in turn have a an online
platform for re-using researcher data and an advisory service to facilitate
reuse of data. Though, the requirement to handover datasets is not enforced
rigorously. Furthermore, all researcher datasets generated through Statistics
Denmark are accessible online through Statistics Denmark after a waiting
period. However, this does not include data that has been provided by the
researchers themselves. It only applies to the registry data from Statistics
Denmark.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting open access to data || National level || 89.5 % || 2013 || ERA survey 2014

Share of responding funders supporting open access to data || EU level || 33.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations making scientific research data available on-line and free of charge || ERA compliant cluster (EU level) || 54.2 % || 2013 || ERA survey 2014

Share of responding research performing organisations making scientific research data available on-line and free of charge || ERA compliant cluster (national level) || 27.8 % || 2013 || ERA survey 2014

Share of responding research performing organisations making scientific research data available on-line and free of charge || Limited compliance to ERA cluster (national level) || 2.9 % || 2013 || ERA survey 2014

The
share of research funders in Denmark who responded to the survey and support
Open Access to data is higher than the EU average.

Within
the ERA compliant cluster in Denmark, the share of research performing
organisations making available on-line and free of charge publicly funded
scientific research data systematically is lower than within the EU ERA compliant
cluster.

Research
infrastructures funded by the Ministry of Higher Education and Science are open
to all Danish researchers. In principle this also includes the data which is
generated from the research infrastructure.

  
6.2.   Open innovation and knowledge transfer between public and private
sectors

In
relation to open innovation and knowledge transfer between public and private
sectors, regulatory policies exist to support knowledge transfer between public
research institutions and industry, the establishment of research-based
enterprises and cooperation between public research institutions, associations
and foundations.

Knowledge
transfer is strongly embedded in the new Innovation Strategy Denmark adopted in
2013.

In
conjunction with the establishment of the Danish Innovation Foundation in 2013,
a broad evaluation of the knowledge cooperation between knowledge institutions
and businesses is to be conducted during 2014 with the aim of assessing the
need of new measures in the field.[NRP 2014]

In
connection with the new innovation strategy the Danish Government has started a
process that led to the creation of the first INNO+ catalogue presented in
September 2013, which provides funding organisations with specific funding
lines dedicated to the implementation of knowledge transfer.

There
are several funding instruments targeted at increasing R&D cooperation
between the business sector and public research organisations.  Inter-sectoral
mobility of researchers is high in Denmark in comparison to other EU-28
countries - approximately 80 % of the industrial PhD programmes contribute to
improved mobility between universities and companies while only around 20 % of
traditional PhDs gets positions in the private sector. Moreover, public-private
knowledge transfer is ensured by the involvement of representatives from the
private sector in the governance of higher education institutions. In several
universities, the majority of board members are external members and some of
them come from the private sector.

Strategic
partnership and the definition of joint collaborative research agendas between
academia and industry are supported by funding organisations in Denmark.  Some
examples may be illustrated by the following measures:

-           Clusters
- Innovation Network Denmark supports networking and matchmaking activities
with the private sector

-           Industrial
Post-doc programme supports the implementation of research training agreements
with private sector organisations

-           Innovation
Assistant (Knowledge Pilot) scheme supports structured programmes for
placements in the private sector for researchers

-           Innovation
Voucher Scheme incentivises more SME’s to require knowledge from research
institutions

-           The
IPR Package developed by the Danish Patent and Trademark Office and the five regional
Growth Houses supports IPR needs

There
are also measures on technology transfer, science parks and university business
incubators in Denmark.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting the implementation of knowledge transfer as part of its institutional and/or project-based funding || National level || 63.4 % || 2013 || ERA survey 2014

Share of responding funders supporting the implementation of knowledge transfer as part of its institutional and/or project-based funding || EU level || 82.9 % || 2013 || ERA survey 2014

Share of responding research performing organisations' research and development budget financed by the private sector || ERA compliant cluster (EU level) || 6.8 % || 2013 || ERA survey 2014

Share of responding research performing organisations' research and development budget financed by the private sector || ERA compliant cluster (national level) || 8.7 % || 2013 || ERA survey 2014

Share of responding research performing organisations' research and development budget financed by the private sector || Limited compliance to ERA cluster (national level) || 1.8 % || 2013 || ERA survey 2014

Share of responding research performing organisations having or using a structure for knowledge transfer activities || ERA compliant cluster (EU level) || 75 % || 2013 || ERA survey 2014

Share of responding research performing organisations having or using a structure for knowledge transfer activities || ERA compliant cluster (national level) || 68.4 % || 2013 || ERA survey 2014

Share of responding research performing organisations having or using a structure for knowledge transfer activities || Limited compliance to ERA cluster (national level) || 22.9 % || 2013 || ERA survey 2014

Share of responding research performing organisations having dedicated staff employed in knowledge transfer activities || ERA compliant cluster (EU level) || 66.3 % || 2013 || ERA survey 2014

Share of responding research performing organisations having dedicated staff employed in knowledge transfer activities || ERA compliant cluster (national level) || 68.4 % || 2013 || ERA survey 2014

Share of responding research performing organisations having dedicated staff employed in knowledge transfer activities || Limited compliance to ERA cluster (national level) || 0.6 % || 2013 || ERA survey 2014

Share of research personnel whose primary occupation is in the private sector (in headcount) || ERA compliant cluster (EU level) || 2.9 % || 2013 || ERA survey 2014

Share of research personnel whose primary occupation is in the private sector (in headcount) || ERA compliant cluster (national level) || 0.3 % || 2013 || ERA survey 2014

Share of research personnel whose primary occupation is in the private sector (in headcount) || Limited compliance to ERA cluster (national level) || 0.1 % || 2013 || ERA survey 2014

The
share of research funders in Denmark who responded to the survey and support
national support to KT and OI, TTOs and Private Public interaction is lower
than the EU average.

Within
the ERA compliant cluster in Denmark, the share of research performing
organisations having funding originating from the private sector is higher than
within the EU ERA compliant cluster.

Within
the ERA compliant cluster in Denmark, the share of research performing
organisations having or using a structure for knowledge transfer activities is
lower than within the EU ERA compliant cluster.

Within
the ERA compliant cluster in Denmark, the share of research performing
organisations having dedicated staff employed in knowledge transfer activities
is higher than within the EU ERA compliant cluster.

Within
the ERA compliant cluster in Denmark, the share of research personnel whose
primary occupation is in the private sector (in Full Time Equivalents) is lower
than within the EU ERA compliant cluster.

  
6.3.   Harmonise policies for public e-infrastructures and associated digital
research services

In
relation to the implementation of Digital ERA, Denmark has had a national
research and education network – NREN – for a number of years which is
essential to make digital services possible. For the last decade the Ministry
of Higher Education and Science has also provided funding and an organisational
structure for handling High Performance Computing (HPC) and Grid computing and
other e-science matters.  In recent years, the NREN and the HPC organisations
have been merged into the Danish E-infrastructure Collaboration – DEIC – thereby
creating one single governing board handling all e-infrastructure issues of
national relevance. The mission and task of DEIC is to strengthen and
facilitate e-Science collaboration, to contribute to coherence, synergy and
cost-effectiveness, to ensure that Danish e-science is at a high international
level, to formulate and implement strategies and initiatives, to develop new
instruments for challenges regarding HPC, networks, storage, etc. and to
support and coordinate training and counselling activities on e-Science.

DEIC
is a collaboration between Universities, University Colleges and other
educational and scientific institutions in Denmark plus the Ministry of Higher
Education and Science.  The establishment of a single entity creates a much
more coherent e-science policy, more focus on total cost of ownership and needs
of scientists. It also ensures that all matters of e-Science and
E-infrastructure investment becomes a strategic priority of Danish scientific
institutions.

Denmark’s
Electronic Research Library (DEFF) is an organisational and technological
collaboration between the research libraries, the education libraries and the
special libraries, co-financed and co-governed by the Ministry of Culture, the
Ministry of Education and the Ministry of Higher Education and Science.

The
objective of DEFF is to enhance the development of a network of electronic
libraries that make their electronic and information resources available to the
users in a cohesive and simple way.

DEFF
funds joint development projects, development of the infrastructure and
administers joint purchases of licenses. DEFF may provide subsidies for
international activities. DEFF negotiates and signs contracts for electronic
licenses on behalf of the research libraries.

Concerning
digital services, the country provides Premium services.

Indicator || Level/cluster || Value || Year || Source

Share of responding research performing organisations providing digital research services (i.e. cloud services, research collaboration platform, etc.) || ERA compliant cluster (EU level) || 80.8 % || 2013 || ERA survey 2014

Share of responding research performing organisations providing digital research services (i.e. cloud services, research collaboration platform, etc.) || ERA compliant cluster (national level) || 70.6 % || 2013 || ERA survey 2014

Share of responding research performing organisations providing digital research services (i.e. cloud services, research collaboration platform, etc.) || Limited compliance to ERA cluster (national level) || 28.3 % || 2013 || ERA survey 2014

Within
the ERA compliant cluster in Denmark, the share of research performing
organisations providing digital research services (i.e. cloud services,
research collaboration platform, etc.) is lower than within the EU ERA
compliant cluster.

  
6.4.   Uptake of federated electronic identities

Denmark
was a member of an identity federation in 2011. The country is member of
eduGAIN, a service intended to enable the trustworthy exchange of information
related to identity, authentication and authorisation between the GÉANT
(GN3plus) Partners' federations.

In
Danish academia a Single Sign-On system called WAYF (Where Are You From) has
been established. WAYF permits using one single login to access several web
based services. With the WAYF infrastructure, people from the research and
educational sector in Denmark can reuse user name and password from their
institution to access services outside the institution itself.

Indicator || Level/cluster || Value || Year || Source

Share of responding research performing organisations in the sample providing federated electronic identities for their researchers || ERA compliant cluster (EU level) || 38.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample providing federated electronic identities for their researchers || ERA compliant cluster (national level) || 2.2 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample providing federated electronic identities for their researchers || Limited compliance to ERA cluster (national level) || 2.4 % || 2013 || ERA survey 2014

Within
the ERA compliant cluster in Denmark, the share of research performing
organisations providing federated electronic identities for their researchers
is lower than within the EU ERA compliant cluster.

7.  
NOTES ON THE 2014 ERA SURVEY RESULTS

  
7.1.   Comments

A
total of 29 research performing organisations in Denmark answered the 2014 ERA
survey, which represents 33.4% of the total number of researchers in the
country (total number of researchers in the country as of 2011).

The
principal component and clustering analysis of research performing
organisations in Denmark shows that 16.0 % of them are in the ‘ERA compliant’
cluster, 56.0 % can be classified in the ‘limited compliance to ERA’ cluster
and 28.0 % of organisations in the ‘ERA principles are not applicable’ cluster.
However, when the organisations are weighted by the number of researchers in
each organisation, the results significantly vary. Indeed, the shares of
‘weighted’ organisations are 71.4 % for the ‘ERA compliant’ cluster, 28.2 % for
the ‘ERA limited compliant’ cluster and 0.3 % for those organisations where ERA
principles are not applicable.

It
should be noted that the low results observed in several indicators for RPOs is
due on the one hand to the absence of some important organisations among the
ones which answered the survey. On the other hand, the organisations which
answered the survey did not always provide the information requested for
several issues (i.e. open access to publications, gender).

Policy
measures in support of ERA implementation

Initiative || Adopted in || Adopted since 2012 || New measure since 2013

Research and innovation system

Innovation strategy "Denmark - Nation of Solutions" || 2013 || X || X

Project-based funding applying the core principles of international peer review

Peer Review College of the Danish Council for Strategic Research || 2012 || X ||

Institutional funding based on institutional assessment

Forks2020 process || 2013 || X || X

New university funding model || 2013 || X || X

Finance Act Agreement || 2013 || X || X

RESEARCH2020 catalogue || 2013 || X || X

Interoperability, mutual recognition of evaluation results and other schemes

Openness of National Research Council funding || || ||

Funding schemes open to researchers abroad || || ||

Funding provided by the Nordic Innovation Centre (NICE) || 2012 || X ||

Money follows researcher (MFR) initiative in Denmark || 2009 || ||

Top-level Research Initiative || 2008 || ||

Collaboration agreements || || ||

Strategic Research Alliance Strategic Network Project scheme || || ||

Financial commitments for the construction and operation of ESFRI, national and regional research infrastructures of pan-European interest

National research infrastructure roadmap || 2011 || ||

Globalisation Fund || 2006 || ||

Access to research infrastructures of pan-European interest

START-scheme || || ||

Attractive careers

Euraxess in Denmark || || ||

Ministerial order on the appointment of academic staff at universities || 2012 || X ||

Implementation of "Charter for Researchers" and "Code of Conduct for the Recruitment of Researchers" || 2009 || ||

The Charter and Code were debated by the Human Resources group, the Danish Committee of University Directors and the Danish Rectors’ Conference. || 2009 || ||

Supporting structured innovative doctoral training programmes

Industrial PhD Program || 2002 || ||

Gender balance in the decision-making process

Council of Independent Research Conference on the role of gender in research and excellence || 2013 || X || X

Gender Equality Act (GEA) (revision) || 2013 || X || X

Younger women Devoited to a University career Programme || 2014 || X || X

Open access to publications and data resulting from publicly funded research

Open Access Committee || 2011 || ||

Joint Open Access Policy || 2012 || X ||

Open innovation and knowledge transfer between public and private sectors

Globalisation Fund || 2010 || ||

Innovation strategy "Denmark - Nation of Solutions" || 2013 || X || X

Small and medium-sized businesses initiative for interaction between SMEs and knowledge institutions || 2011 || ||

Strategic Platforms for Innovation and Research (SPIR) || 2010 || ||

Act on Inventions at Public Research Institutions || 1999 || ||

Act on Technology Transfer at Public Research Institutions || 2004 || ||

National Network for Technology Transfer || || ||

INNO+ Catalogue || 2013 || X || X

Harmonise policies for public e-infrastructures and associated digital research services

Danish e-Infrastructure Cooperation (DeIC) || 2012 || X ||

1.  
MORE EFFECTIVE NATIONAL SYSTEMS

  
1.1.   Research and innovation system

The
Ministry of Education and Research (MER) and the Ministry of Economic Affairs
and Communications (MEAC) share the overall responsibility for research and
innovation (R&I) policy in Estonia. Both are responsible for strategic
planning (including policy studies), implementing the policies in cooperation
with the intermediate bodies, as well as supervising and evaluating the policy
implementation. But, while MER is responsible for research and education
policies, financing and evaluating research institutes and coordinating
international cooperation in research, MEAC supervises support for and funding
of industrial research and development (R&D), as well as planning,
coordinating and implementing the innovation policy. Two permanent advisory
bodies (the Research Policy Committee and the Research Competence Council)
provide advice to MER, while the Innovation Policy Commission advises MEAC. In
addition, the Research and Development Council (R&D Council) is an expert
consultative body that advises the Government on R&D and innovation
matters. All policy documents on the way for approval by the Government have to
pass through this R&D Council.

Estonia
has adopted a national strategy for R&I. Research, development and
innovation (RD&I) strategic objectives and principles of management and
financing are set in the new RDI Strategy (‘Knowledge-based Estonia’) for
2014-2020, launched in January 2014. This third RDI Strategy is supplemented by
an implementation plan that provides a predictable policy framework for short
and medium-term planning, via annual implementation plans, investment plans,
etc. While the previous strategy primarily focused on developing Estonia's capability
in RD&I, the new strategy for 2014-2020 focuses on tapping into the created
potential and creates good framework conditions for developing and focusing on
the social and economic effects of RD&I. In the setting of priorities, the
methodology of smart specialisation served as a basis. The strategy identifies
four key goals:

•
For high-level and diverse Estonian research,

•
For research and development (R&D) activity to be conducted in the interest
of the Estonian society and economy,

•
For R&D to make the structure of the economy more knowledge intensive,

•
And for Estonia to be active and visible in international cooperation in
RD&I.

In
addition, the ‘Entrepreneurship growth strategy 2014-2020’ that focuses on
innovation in enterprises and also covers also cooperation between enterprises
and R&D institutions, was launched in October 2013.

It
should also be noticed that the 2014 Country Specific Recommendation (CSR) for
Estonia invites to 'Further intensify prioritisation and specialisation in the
research and innovation systems and enhance cooperation between businesses,
higher education and research institutions to contribute to international
competitiveness'.

The
Ministry of Education and Research (MER) and the Ministry of Economic Affairs
and Communications (MEAC) share the overall responsibility for research and
innovation (R&I) policy in Estonia. Both are responsible for strategic
planning (including policy studies), implementing the policies in cooperation
with the intermediate bodies, as well as supervising and evaluating the policy
implementation. But, while MER is responsible for research and education
policies, financing and evaluating research institutes and coordinating
international cooperation in research, MEAC supervises support for and funding
of industrial research and development (R&D), as well as planning,
coordinating and implementing the innovation policy. Two permanent advisory
bodies (the Research Policy Committee and the Research Competence Council)
provide advice to MER, while the Innovation Policy Commission advises MEAC. In
addition, the Research and Development Council (R&D Council) is an expert
consultative body that advises the Government on R&D and innovation
matters. All policy documents on the way for approval by the Government have to
pass through this R&D Council.

In
terms of R&I funding, the Government Budget Appropriations or Outlays for
Research and Development (GBAORD) in Estonia represented EUR 110 per inhabitant
in 2012 (EUR 179.2 in EU-28). In 2013, GBAORD per inhabitant was EUR 122.7. In
2012, total GBAORD corresponded to 2.12 % of total government expenditures and
0.84 % of Gross Domestic Product (GDP).

The
analysis of the evolution of GBAORD in the period after the economic crisis
(2007-2012) shows some differences. In nominal terms, the rate of growth of
total GBAORD in Estonia was higher than the rate of growth of total EU GBAORD.
In terms of R&D efforts, the rate of growth of GBOARD in Estonia, measured
as a percentage of public government expenditure, evolved positively. In
comparison, in the EU-27 the rate of growth of GBAORD, measured as a percentage
of public government expenditure, evolved negatively. Finally, GBAORD as a
share of GDP has evolved positively in Estonia even when it regressed at EU-28
level.

  
1.2.   Project-based funding applying the core principles of international peer
review

Concerning
project-based funding, there are no official figures for Estonia. The main
RD&I funders are MER and MEAC. Other ministries only count for less than 5
% of State funding. MER is mainly responsible for the funding of basic and
applied research while MEAC is rather in charge of the funding of technology
development and innovation. In 2012, the share of competitive versus
institutional funding in the R&D national budget of MER was respectively 70
% (targeted financing and institutional research funding and European Training
Foundation (ETF) grants and personal research funding) and 30 % (baseline
funding and support to the maintenance of R&D infrastructures). Most of the
funding from the MEAC budget is also competitive.

New
(2012) competitive funding instruments are institutional research funding (EUR
22.97 million; 53 % of state budget) and personal research funding (EUR 7.22
million; 17 %). This means that, since 2013, only baseline funding (17 % of
funding allocated directly to research institutions) was not based on
competition, while support from European Union Structural Funds, being of
temporary character, was not considered as a direct funding. Relevant amendments
were introduced in the Organisation of Research and Development Act in 2012.
The implementation of the institutional research funding has however been
challenging and still needs some adjustment. The MEAC funding instruments
include a very high share from EU Structural funds. In 2011 and 2012, 64 % of
all public sectors RDI funding was financed by Structural Funds, so the main
regulation, which sets the rules is the 2007-2013 Structural Assistance Act and
related acts and procedures, designed for special measures and funds. R&D
national budget is channelled through four funding agencies. MER governs three
of them: Archimedes Foundation, the Estonian Research Council (substituting the
Estonian Science Foundation in March 2012) and the Innove Foundation, while
MEAC governs the Enterprise Estonia Foundation. MEAC exerts also tutorship on
Foundation KredEx, which offers financial services (loans, venture capital,
credit insurance and guarantees with state guarantee) aimed at helping
enterprises to develop quicker.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders' total budget allocated as project-based funding || National level || 89.4 % || 2013 || ERA survey 2014

Share of responding funders' total budget allocated as project-based funding || EU level || 66.2 % || 2013 || ERA survey 2014

The
share of research funders in Estonia who responded to the survey and support
project-based funding is higher than the EU average.

Allocated
funds are mostly competitive and the evaluation on projects follows the international
peer review core principles.

  
1.3.   Institutional funding based on institutional assessment

Institutional
part of public RDI funding from the state budget is rather limited in Estonia.
In 2012, there were two main ‘block funding’: ‘baseline funding’ (EUR 7.16
million; 16 % of state budget) and ‘support to the maintenance of R&D
infrastructures’ (EUR 6.07 million; 14 %). Criteria for allocating block funds
for RDI institutions are set in the Organisation of Research and Development
Act (introduced in 1997, last update in 2012).

Introduced
in 2005, annual baseline funding is allocated to R&D institutions if they
have received a regular positive evaluation using the following methodology:
first 5 % is allocated to humanitarian research of national significance; the
remaining 95 % is distributed according to the performance; 50 % in proportion
with the number of high level publications in internationally-recognised
journals, the number of high level research monographs and the number of
registered patents and patent applications; 40 % in proportion with the amount
of financing of R&D from other sources i.e. targeted research, commissioned
by enterprises, municipalities, ministries, etc. and 10 % in proportion with
the number of doctoral graduates. Infrastructure expenses and institutional
research funding are allocated to institutions whose R&D activities have
received a regular positive evaluation in at least one field, as a threshold
criteria giving right to present an application.

Annual
baseline funding is allocated for strategic goals, co-financing foreign and
domestic projects, opening up new research directions, etc. Since 2013,
'Support to maintenance of R&D infrastructures' has been included to
institutional funding, entirely in the form of overhead expenses.

A
regular evaluation of Estonian public organisations is carried out every 7
years by international experts. A threshold has been set to get access to the
main research budgetary instruments. The evaluation is based on patents,
publications, PhDs, etc. This applies to all institutions: universities, public
research organisations and private organisations receiving institutional
funding.

The
Estonian Research Council manages the funding flows of the Ministry of
Education and Research, such as institutional research funding for high-level
R&D and related activities and personal and post-doctoral research funding
for research activities of individuals or research groups. The Estonian
Research Council is also responsible for national activities concerning the
European Research Area (ERA), notably EURAXESS Services and serves as National
Contact Point for Horizon 2020 and COST. Also governed by the Ministry of
Education and Research, Archimedes Foundation is the implementing Agency of
Structural Support for the periods 2007-2013 and 2014-2020 in the field of
R&D. Enterprise Estonia Foundation and Foundation KredEx are operating
under the premises of Ministry of Economic Affairs and Communication and
provide support for innovation and technology programmes, for instance. The
target groups of these foundations are mostly enterprises, but also public
research performers are addressed in case of enterprise collaboration.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders' total budget allocated as institutional funding based on institutional assessment and/or evaluation || National level || 5.5 % || 2013 || ERA survey 2014

Share of responding funders' total budget allocated as institutional funding based on institutional assessment and/or evaluation || EU level || 24 % || 2013 || ERA survey 2014

The
share of research funders in Estonia who responded to the survey and support
institutional assessment for the allocation of institutional funding is lower
than the EU average.

2.  
TRANSNATIONAL COOPERATION

  
2.1.   Implementing joint research agendas

The
country is involved in transnational cooperation. Estonia launched the
programme for the internationalisation of science in 2011 (EUR 10.4 million)
with the aim to support joint activities such as sharing information, joint
research agenda, joint calls, joint programming and also developing ex post
evaluation procedures. Most joint-financing actions are regulated by the
2007-2013 Structural Assistance Act and by the Organisation of Research and
Development Act. Joint financing is welcome and project partners are selected
by excellence, not by country of origin. Universities and other R&D
institutions are independent and can choose their partners from any country in
the world.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders' total budget allocated to transnationally coordinated R&D || National level || 0.1 % || 2013 || ERA survey 2014

Share of responding funders' total budget allocated to transnationally coordinated R&D || EU level || 4.1 % || 2013 || ERA survey 2014

Share of responding funders' research and development budget dedicated to jointly defined research agendas with non-national EU organisations || National level || 0.1 % || 2013 || ERA survey 2014

Share of responding funders' research and development budget dedicated to jointly defined research agendas with non-national EU organisations || EU level || 1.7 % || 2013 || ERA survey 2014

The
share of responding funders’ total budget in Estonia allocated to
transnationally coordinated R&D is lower than the EU average.

The
share of responding funders’ research and development budget in Estonia
dedicated to jointly defined research agendas with other EU organisations is
lower than the EU average.

Cooperation
between the Institutions of Member States (MS), the Associated Countries and
the third countries is fostered by the Framework Programme (FP). In the Seventh
Framework Programme (FP7), Estonia’s share for contribution in total
participation is 0.4 % and the country received 0.2 % of total EC contribution.
FP funding represents EUR 61 per inhabitant (EU average EUR 72 per capita) for
the period 2007-2013 and 6.7 % of the Gross Domestic Expenditures on R&D
(GERD) for the period 2007-2011 (last available data) (EU average 3.7 % of GERD
for the same period).

Concerning
joint programming initiatives, Estonia is participating in two of the 10
ongoing initiatives: Food Security, Agriculture and Climate Change and Cultural
Heritage and Global change: a new challenge for Europe. Additional preparations
for participation in several other initiatives are in progress.

In
terms of programmes undertaken jointly by several MS (so called article 185
initiatives), Estonia was involved in three programmes: EMRP, Eurostars and
BONUS. In Horizon 2020, the country is already involved in two of the four existing
initiatives: EMPIR and Eurostars2.

ERA-NETs
facilitate the coordination and collaboration of national and regional research
programmes, in particular the preparation and implementation of joint calls for
transnational research proposals between national and/or regional programmes.
The country has participated in a total of 29 ERA-NETs, of which 11 are
currently still running. The country also has participated in six ERA-NET Plus
actions, of which 4 are still running, in areas with high European added value
and additional EU financial support topping up their joint call for proposals.

International
cooperation projects are funded by the Estonian Research Council in the
framework of either bilateral (the PARROT programme with France, memoranda with
the Russian Humanitarian Scientific Foundation and the US Civilian Research and
Development Foundation) or pan-European initiatives (EUROCORES, ERA-NET,
ARTEMIS, EMBO). There are agreements in place with Baltic and Nordic partners
and several exchange programmes such as the Norwegian-Estonian Research
Cooperation Programme for 2009-2014 and the Nordplus Programme of eight
participating countries in the Baltic and Nordic regions.

Estonia
has also concluded bilateral agreements in the field of education and research
with the following EU and associated countries: Belgium, Bulgaria, Croatia, the
Czech Republic, Cyprus, Denmark, France, Germany, Greece, Hungary, Italy,
Poland, Romania, Slovenia, Spain, United Kingdom and Turkey. Trilateral
agreements between Estonia, Latvia and Lithuania have been signed for the
exchange of students, scientists and teachers (in force from 2012 to 2016) as
well as a mutual understanding memorandum for cooperation in higher education,
science and innovation (in force from 2013 to 2020).

  
2.2.   Openness for international cooperation with third countries and regions

In
terms of international cooperation with third countries and regions, the
country has not developed a specific policy. However, Estonia has the following
bilateral agreements with third countries:

-
With the United States: a general agreement on scientific and technological
cooperation; specific agreements on cooperation in the fields of information
technology and materials science and energy;

-
With Russia in the field of humanities;

-
With India in the field of biotechnology;

-
With China in the fields of social sciences, physics condensed matter, genetic
heredity, optics.

There
are also bilateral agreements with Taiwan, Israel, Kazakhstan and Azerbaijan.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders' research and development budget allocated to collaboration programmes carried out with third countries || National level || 0 % || 2013 || ERA survey 2014

Share of responding funders' research and development budget allocated to collaboration programmes carried out with third countries || EU level || 2.4 % || 2013 || ERA survey 2014

Share of organisations' research and development budget amongst responding research performing organisations originating from third countries || ERA compliant cluster (EU level) || 0.8 % || 2013 || ERA survey 2014

Share of organisations' research and development budget amongst responding research performing organisations originating from third countries || ERA compliant cluster (national level) || 0 % || 2013 || ERA survey 2014

Share of organisations' research and development budget amongst responding research performing organisations originating from third countries || Limited compliance to ERA cluster (national level) || 0 % || 2013 || ERA survey 2014

Research
funders in Estonia who responded to the survey indicated that they do not have
measures supporting international cooperation with third countries.

Within
the ERA compliant cluster in Estonia, the share of organisations' research and
development budget originating from third countries is equal to 0.

  
2.3.   Interoperability, mutual recognition of evaluation results and other
schemes

The
mutual recognition of evaluations that complies with international peer-review
standards is not supported.

The
common funding principles proposed by the Commission for the implementation of
Joint Programmes are not applied by the funding agencies in the country. In
fact, Estonia has no directly relevant national legislation. Joint financing is
welcome and project partners are selected by excellence, not by country of
origin. Universities and other Research and Development institutions are
independent and can choose their partners from any country in the world. Since
2002, world level research and cooperation is also promoted through the Centres
of Excellence Programme.

Funding
agencies do not implement Money follows cooperation, a scheme that enables
small parts of a project funded by one of the participating research councils
to be conducted in a different country. Although The Estonian Research Council
has adhered to the Money follows researchers, a scheme that enables researchers
to move to a research institution in a different country to transfer on-going
grant funding to the new institution and continue research activities according
to original terms and objectives, it has not yet been implemented since there
have not been any relevant applications.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders which can base their project-based research and development funding decisions on peer reviews carried out by non-national institutions || National level || 46.8 % || 2013 || ERA survey 2014

Share of responding funders which can base their project-based research and development funding decisions on peer reviews carried out by non-national institutions || EU level || 38.5 % || 2013 || ERA survey 2014

Share of responding funders' project-based research and development budget allocated through peer review carried out by institutions outside the country || National level || 0 % || 2013 || ERA survey 2014

Share of responding funders' project-based research and development budget allocated through peer review carried out by institutions outside the country || EU level || 0.8 % || 2013 || ERA survey 2014

The
share of research funders in Estonia who responded to the survey and can base
their project-based research and development funding decisions on peer reviews
carried out by non-national institutions is higher than the EU average.

Research
funders in Estonia who responded to the survey indicated that they do not
allocate project-based funding based on peer-reviewed decisions made by
non-national institutions.

3.  
RESEARCH INFRASTRUCTURES

  
3.1.   Financial commitments for the construction and operation of ESFRI,
national and regional research infrastructures of pan-European interest

Estonia
participates in the following large international research infrastructures
(RIs): European Space Agency (ESA) and European Fusion Development Agreement
(EFDA). The country contributes 0.2 % of GBAORD to the activities carried out
by Conseil Européen pour la Recherche Nucléaire (CERN), (Eurostat).

In
terms of financial commitments to develop of these RIs included in the European
Strategy Forum on Research Infrastructures (ESFRI) Roadmap, Estonia is
committed to fund six of them: CLARIN, ESS Survey, BBMRI, EATRIS, ELIXIR and
the European Spallation Source.

With
regards to participating in the European Research Infrastructure Consortium,
Estonia is involved in four of the nine consortia that adopted the legal
framework designed by the Commission to facilitate establishing and operating
RIs of European interest involving several European countries: CLARIN-ERIC,
EATRIS ERIC, ESS ERIC and BBMRI-ERIC.

In
terms of support to develop and implement RIs, Estonia relies on its Research
Infrastructures Roadmap 2010 (update planned for 2014), which is a long-term
(10-20 years perspective) planning instrument. This roadmap lists RI units of
national importance, which are either new or need modernising. It includes
references to Estonia's participation in developing the RIs mentioned in the
ESFRI roadmap. The budget for each component is provided in the investment plan
for the sub-measure 'Modernising research infrastructure of national
importance'. A number of RI investments supporting participation in international
research infrastructures have been made from the Programme for the
Internationalisation of Science.

  
3.2.   Access to research infrastructures of pan-European interest

Regarding
access to its RIs, Estonia has no national legislation that is directly
applicable. The Estonian Research Infrastructures Roadmap 2010 itemises
national interest in specific ESFRI projects, but does not deal with rules on
access to facilities. In 2014, Estonia has created a funding instrument to
support open access to national core facilities.

There
are no large scale RI facilities with pan-European interest in Estonia and,
therefore foreign researchers and R&D institution interests in using
Estonian Research Infrastructures have not been great. For several years,
Estonia has used the European Structural Funds for the development of Estonian
R&D infrastructure. As a consequence of the substantial impact of this
funding, quality improves every year. Thus, from the R&D infrastructure
development investment plan, two facilities out of nine have been finalised,
and from the Programme for the Internationalisation of Science, the development
of three RIs were supported and there is the possibility of participating in
several others.

4.  
OPEN LABOUR MARKET FOR RESEARCHERS

  
4.1.   Introduction to open labour market for researchers

A
detailed report can be found in the country profile for Estonia in the
Researchers’ Report 2014
[http://ec.europa.eu/euraxess/pdf/research\_policies/country\_files/Estonia\_Country\_Profile\_RR2014\_FINAL.pdf].

The
following text provides an overview of the current situation and recent
progress made in several key areas.

Stock
of researchers

There
were 4 511 full time equivalent (FTE) researchers in Estonia in 2011. This
represents 6.5 researchers per 1 000 labour force compared to 7.6 among the
Innovation Union reference group (Innovation followers) and an EU average of
6.7.

  
4.2.   Open, transparent and merit-based recruitment of researchers

In
2013, the number of researcher posts advertised through the EURAXESS Jobs
portal per thousand researchers in the public sector was 51.1 in Estonia
compared to 72.3 among the Innovation Union reference group and an EU average
of 43.7.

In
2012, 63 % of university-based researchers were satisfied with the extent to
which research job vacancies are publicly advertised and made known by their
institution (More2 survey, 2012).

The
trend is to publish more on online platforms. According to the Organisation of
Research and Development Act, §9 and University Act, §34, all regular teaching
and research positions in R&D institutions have to be filled by public
competition.

The
selection criteria are published in the employment regulation rules of the
universities, and are available on their websites. These rules are then referred
to in the advert.

  
4.3.   Attractive careers

In
September 2011, the Rectors’ Conference, representing all universities in
Estonia, signed an 'Agreement on Good Practice Regarding Quality'. Point 10 of
the Agreement refers to the implementation of the ‘Charter & Code’.

In
addition, in 2011, the Rectors’ Conference participated in the second cohort of
the European Commission Institutional Human Resources Strategy Group. The
Estonian Research Council (previously Estonian Science Foundation) participates
in the third cohort and four more R&D institutions are in the fourth
cohort. The Estonian Research Council is conducting a national gap analysis
which was under way in early 2014.

By
May 2014, five Estonian organisations were involved in the Commission’s Human
Resources Strategy for Researchers.

In
Estonia, funding has shifted from core to project-based funding. Therefore, the
funding is oriented towards supporting high-level R&D to guarantee the
consistency and sustainability of a research field in Estonia. The largest
funding instruments are the institutional research funding and personal
research funding. Institutional research funding enables R&D institutions
to fund high-level R&D activities and to modernise and maintain the
necessary infrastructure. Personal research funding is allocated for research
activities of individuals or research groups. Both instruments are
competition-based.

Doctoral
candidates have access to health insurance, but are not eligible for sickness
and unemployment benefits or pensions, unless they are hired by the university
under an employment contract. In that case, they benefit from full social
security coverage. Since 2012, the state has encouraged and supported
universities in hiring doctoral students as early-stage researchers despite the
fact that most of the doctoral candidates are already working, not necessarily
as researchers, and receive full social security coverage as employees.

  
4.4.   Supporting structured innovative doctoral training programmes

The
number of new doctoral graduates per thousand population aged between 25 and 34
was 1.3 in 2011 compared to 1.6   among the Innovation Union reference group
and an EU average of 1.7.

The
Estonian Government focuses on enhancing of the quality and efficiency of
doctoral studies by organising doctoral schools, mobility opportunities for
both incoming and outgoing researchers, and developing of entrepreneurship (by
introducing economic courses and modules for non-business students in all three
university circles).

Doctoral
schools were set up in 2005. In 2009, 13 new doctoral schools were selected for
the period 2009-15. Their aim is to improve the quality of doctoral candidate
tutoring and to increase the efficiency of doctoral studies in Estonia through
interdisciplinary, international and national cooperation. Apart from mobility
opportunities, winter and summer schools and study programmes, doctoral schools
propose transferable and social skills training to promote interdisciplinary
research and enhance cooperation between universities and the private sector.

From
2010, students who have interrupted their doctoral studies are welcome to
continue and finish their studies (i.e. they are given a second chance). Those
resuming doctoral studies may participate in doctoral schools. These help them
find supervisors and participate in summer schools, conferences and mobility
activities provided by doctoral schools. At least two partners need to be
involved. They can be an Estonian university, an R&D institution, the
public sector or companies. Doctoral schools are project-based and are funded
by the European Social Fund.

The
measures introduced by the Estonian Government in support of doctoral training
during the 2013-2017 programming period covers activities up to 2015. New
initiatives under the new R&D&I strategy are in the development phase,
but doctoral studies will definitely be a key priority in research human
resource policies.

  
4.5.   International and inter-sectoral mobility

In
2011, the percentage of doctoral candidates with citizenship of another EU-27
MS was 5.6 % in Estonia compared to 18.4 % among the Innovation Union reference
group and an EU average of 7.7 %. The percentage of non-EU doctoral candidates
as a percentage of all doctoral candidates was 4.2 % in Estonia compared to
16.9 % among the Innovation Union reference group and an EU average of 24.2 %.

The
DoRa Doctoral Studies and Internationalisation Programme (2008-15) targets
Master and doctoral students and academic staff who are already working or
studying at Estonian higher education institutions or are planning to do so:

-           Activity
2: Encouraging short-term visits for outgoing Estonian teaching staff for 1-6
months (eligible expenditures include a salary, travel expenses and a
relocation allowance);

-           Activity
6: Developing international cooperation networks by supporting the mobility of
Estonian doctoral students for 1-5 months (eligible expenses are living
allowance, a travel grant);

-           Activity
7: Strengthening the international dimension in higher education by supporting
the mobility of Master’s students for 1-6 months (eligible expenses are a
living allowance and a travel grant);

Activity
8: Supporting the participation of young researchers in the international
exchange of knowledge for 3-21 days (eligible expenses are the participation
fee, travel expenses, living allowance, etc.)

 The
SPINNO Programme (2007-2013) was launched by MEAC to promote cooperation
between R&D institutions and enterprises. It also supports knowledge- and
technology transfer in Estonian research institutions. The programme is
co-financed by the European Union Structural Funds through Enterprise Estonia .
The total budget was EUR 7.7 million.

5.  
GENDER

  
5.1.   Foster cultural and institutional change on gender

Gender
equality in public research in Estonia falls under the Gender Equality Act
(adopted in 2004, latest amendments in 2013), which promotes policies
addressing gender balance and encourages the State, local governments,
agencies, educational and research institutions, and private companies to
support gender equality. However, the Estonian Government has not introduced
specific gender quotas in support of gender equality either in the public or in
the private sector. Excellence remains the main criterion for researchers to receive
funding and to participate in decision-making bodies. Gender equality in the
research sector is not a sensitive issue in Estonia because of gender balance
which is already satisfactory: there is almost the same number of women (49 %)
and men (51 %) among researchers and engineers. However, in the Estonian
Research and Development and Innovation Strategy 2014-2020 'Knowledge-based
Estonia', the one goal is to pay more attention to guarantee equal
opportunities in terms of gender, including positions, grant decisions and
steering committees.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting gender equality in research || EU level || 82.2 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample which have adopted Gender Equality Plans || ERA compliant cluster (EU level) || 64 % || 2013 || ERA survey 2014

Research
funders in Estonia did not indicate any existing support to national policies
on gender equality in public research.

Even
though a proactive gender equality research policy is missing in Estonia,
female researchers are paid by the State during maternity leave. Since 2007,
fathers have had the right to receive a 'parental benefit' once the child is
seventy days old. However, if a researcher is part of a project team and the
project ends during the parental leave, it is up to the host institution to
find an available research position in which to employ the researcher.
Additionally, there are some opportunities in financing system that support
equal possibilities for women to apply for a grant. When awarding grants,
periods when a person is on parental leave are taken into account when
analysing the eligibility criteria as part of the  total number of years after
obtaining a PhD degree. For men, the time spent under military duty is also
taken into consideration. There are also special measures for post-doctorate
grants of ERMOS and Mobilitas, when the State is ready to support the holder of
the grant also after the nominal time is ended, if the grant actions are not
fulfilled or stopped for certain reasons like having a child.

Indicator || Level/cluster || Value || Year || Source

Share of responding research performing organisations implementing recruitment and promotion policies for female researchers || ERA compliant cluster (EU level) || 53.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations implementing recruitment and promotion policies for female researchers || ERA compliant cluster (national level) || 11.8 % || 2013 || ERA survey 2014

Share of responding research performing organisations implementing recruitment and promotion policies for female researchers || Limited compliance to ERA cluster (national level) || 3.2 % || 2013 || ERA survey 2014

Within
the ERA-compliant cluster in Estonia, the share of research-performing
organisations implementing recruitment and promotion policies for female
researchers is lower than that within the EU's ERA-compliant cluster.

In
terms of funding of initiatives on gender equality, the programme 'Advancing
Gender Equality 2011-2013' was introduced and is still ongoing.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting the inclusion of gender dimension in research content || National level || 0 % || 2013 || ERA survey 2014

Share of responding funders supporting the inclusion of gender dimension in research content || EU level || 48.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations which include the gender dimension in research content || ERA compliant cluster (EU level) || 44 % || 2013 || ERA survey 2014

Share of responding research performing organisations which include the gender dimension in research content || ERA compliant cluster (national level) || 75.1 % || 2013 || ERA survey 2014

Share of responding research performing organisations which include the gender dimension in research content || Limited compliance to ERA cluster (national level) || 0.2 % || 2013 || ERA survey 2014

The
share of research funders in Estonia who responded to the survey and support
gender dimension in research content/programmes is lower than the EU average.

Within
the ERA-compliant cluster in Estonia, the share of research-performing
organisations that include the gender dimension in research content is higher
than that within the EU's ERA-compliant cluster.

  
5.2.   Gender balance in the decision-making process

Regarding
gender balance in public research decision making, the Estonian Government has
not introduced any specific gender quotas.

Indicator || Level/cluster || Value || Year || Source

Share of gender-balanced recruitment committees for leading researchers amongst responding research performing organisations || ERA compliant cluster (EU level) || 33.6 % || 2013 || ERA survey 2014

Share of gender-balanced recruitment committees for leading researchers amongst responding research performing organisations || ERA compliant cluster (national level) || 9.1 % || 2013 || ERA survey 2014

Share of gender-balanced recruitment committees for leading researchers amongst responding research performing organisations || Limited compliance to ERA cluster (national level) || 27.3 % || 2013 || ERA survey 2014

Share of gender-balanced research evaluation panels amongst responding research funding organisations || National level || 15 % || 2013 || ERA survey 2014

Share of gender-balanced research evaluation panels amongst responding research funding organisations || EU level || 35.8 % || 2013 || ERA survey 2014

Within
the ERA-compliant cluster in Estonia, the share of gender-balanced recruitment
committees for leading researchers in research-performing organisations is
lower than that within the EU's ERA-compliant cluster.

The
share of gender-balanced research evaluation panels amongst responding research
funding organisations in Estonia is lower than the EU average.

6.  
KNOWLEDGE CIRCULATION

  
6.1.   Open access to publications and data resulting from publicly funded
research

In
terms of support to open access, the legal basis ensuring open access and
preservation of scientific information is set up in the Organisation of
Research and Development Act under conditions for institutional and personal
research funding (relevant amendments to the act in force since 2012), which
state free access to the results of publicly-funded research. In the framework
of the main research funding instruments, the conditions/requirements for open
access are therefore set up and the open access policy is in place. It requires
researchers to publish in open access; both the green and gold open access
models are supported.

According
to the regulations on institutional research funding (Estonian Ministry of
Education and Research) and personal research funding (Estonian Research
Council), any publication arising from supported research project or research
grant is required to be deposited into the Estonian Research Information System
(ETIS). The researchers are responsible for providing the publication metadata
(i.e. journal name, title, author list, volume, issue, page numbers etc.) and
an appropriate copy of the publication immediately. Self-archiving of the full
texts of publications is mandatory but access can be restricted for internal
use until the end of the publisher’s embargo. Impact factors of journals are
not taken into account when evaluating research output of research institutions
or individual researchers. The open access policy has therefore no direct
impact on the researcher's career. Through the number of citations and
H-factors, the impact of publications is however indirectly taken into account
when evaluating applications.

Related
to publications, access to scientific information is not a problem for Estonian
scientists as the Consortium of Estonian Libraries Network (established in
1996, statute renewed in 2011) and the research libraries have created very
good conditions and access to scientific journals and electronic databases for
national researchers, which is probably why Estonian researchers do not feel
the need for specific open access policies. In addition, the current research
funding conditions favour publishing in journals with a high impact, but they
are not usually open access journals.

The
length of embargo depends on publisher and publication channels, and is
currently not set by the funder. The academic freedom to choose appropriate
publication channels is acknowledged, so there is no pressure to publish in so
called Gold Open Access journals.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting open access to publications || National level || 96.9 % || 2013 || ERA survey 2014

Share of responding funders supporting open access to publications || EU level || 51 % || 2013 || ERA survey 2014

Share of publicly funded scientific publications in OA amongst responding research performing organisations || ERA compliant cluster (EU level) || 18 % || 2013 || ERA survey 2014

Share of publicly funded scientific publications in OA amongst responding research performing organisations || ERA compliant cluster (national level) || 20.5 % || 2013 || ERA survey 2014

Share of publicly funded scientific publications in OA amongst responding research performing organisations || Limited compliance to ERA cluster (national level) || 4.9 % || 2013 || ERA survey 2014

The
share of research funders in Estonia who responded to the survey and support
open access to publications is higher than the EU average.

Within
the ERA-compliant cluster in Estonia, the share of publicly-funded scientific
publications in open access amongst research performing organisations is higher
than that within the EU's ERA-compliant cluster.

Concerning
open access to data, there is no specific policy, except for the Programme of
Electronic Scientific Information (launched in 2009), which aims to supply the
Estonian R&D institutions with scientific information and to acquire access
to the scientific information and electronic publications for the Estonian
research libraries and organisations. The programme period is 2010-2014. There
are some plans to take into account open access to data, but it is not yet
included as a criterion in the funding decisions and evaluations.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting open access to data || National level || 43.7 % || 2013 || ERA survey 2014

Share of responding funders supporting open access to data || EU level || 33.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations making scientific research data available on-line and free of charge || ERA compliant cluster (EU level) || 54.2 % || 2013 || ERA survey 2014

Share of responding research performing organisations making scientific research data available on-line and free of charge || ERA compliant cluster (national level) || 12.8 % || 2013 || ERA survey 2014

Share of responding research performing organisations making scientific research data available on-line and free of charge || Limited compliance to ERA cluster (national level) || 6.9 % || 2013 || ERA survey 2014

The
share of research funders in Estonia who responded to the survey and support
Open Access to data is higher than the EU average.

Within
the ERA-compliant cluster in Estonia, the share of research-performing
organisations making available online and free of charge publicly-funded
scientific research data systematically is lower than that within the EU's
ERA-compliant cluster.

The
Estonian e-repository programme (launched in 2011) is an integrated
e-environment created for long-term preservation and availability of digitised
resources of the Estonian cultural heritage institutions: libraries, archives
and museums. The e-repository enables to link national heritage collections
with the pan-European library EUROPEANA.

The
Estonian Research Information System (ETIS; established in 2006) is developed
in a way that would allow it to be used as an open repository, so that the
results of research receiving public funding are easily identifiable by
appropriate technical means, including through meta-data attached to electronic
versions of the research output.

  
6.2.   Open innovation and knowledge transfer between public and private
sectors

In
relation to open innovation and knowledge transfer between public and private
sectors, Estonia has developed a knowledge transfer strategy. The RDI Strategy
2007-2013 'Knowledge-Based Estonia' and Estonian Strategy for Competitiveness
'Estonia 2020' (launched in 2010) has given the framework for fostering open
circulation of knowledge between companies and research organisations. With the
support of the Enterprise Estonia Foundation, specific attention has been paid
creating technology transfer capacity in universities.

Technology
transfer is encouraged including the patenting of information into the
evaluation and funding of the universities. The basic funding of research
institutions is therefore based on performance indicators, also taking into
account indicators for knowledge transfer, patent applications, patents and
contract research.

A
number of measures to facilitate the partnerships and productive interactions
between research institutions and the private sector have been implemented
since 2008-2009. Counselling on measures is also provided in county development
centres. The following measures are funded by MEAC and implemented by the
Enterprise Estonia Foundation:

-           Cluster
development programme;

-           Knowledge
and technology transfer baseline funding (SPINNO Programme);

-           Programme
'Start-up Estonia' for new innovative enterprises.

For
the next programming period, two strategies have been prepared in parallel, to
ensure a coherent R&D policy. In October 2013, the new Entrepreneurship
Growth Strategy 2014-2020 was launched, and in January 2014, the new RDI
strategy for 2014-2020. Both focus even more on the co-operation between
enterprises and R&D institutions.

Through
technology transfer capacities in universities and county development centres,
funding organisations support the professionalisation of knowledge transfer
activities, a necessary condition to increase the rate of success of the
strategy.

Strategic
partnerships and/or the definition of joint collaborative research agendas
between academia and industry are not supported by funding organisations in
Estonia.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting the implementation of knowledge transfer as part of its institutional and/or project-based funding || National level || 83 % || 2013 || ERA survey 2014

Share of responding funders supporting the implementation of knowledge transfer as part of its institutional and/or project-based funding || EU level || 82.9 % || 2013 || ERA survey 2014

Share of responding research performing organisations' research and development budget financed by the private sector || ERA compliant cluster (EU level) || 6.8 % || 2013 || ERA survey 2014

Share of responding research performing organisations' research and development budget financed by the private sector || ERA compliant cluster (national level) || 3.7 % || 2013 || ERA survey 2014

Share of responding research performing organisations' research and development budget financed by the private sector || Limited compliance to ERA cluster (national level) || 1.8 % || 2013 || ERA survey 2014

Share of responding research performing organisations having or using a structure for knowledge transfer activities || ERA compliant cluster (EU level) || 75 % || 2013 || ERA survey 2014

Share of responding research performing organisations having or using a structure for knowledge transfer activities || ERA compliant cluster (national level) || 87.9 % || 2013 || ERA survey 2014

Share of responding research performing organisations having or using a structure for knowledge transfer activities || Limited compliance to ERA cluster (national level) || 1.4 % || 2013 || ERA survey 2014

Share of responding research performing organisations having dedicated staff employed in knowledge transfer activities || ERA compliant cluster (EU level) || 66.3 % || 2013 || ERA survey 2014

Share of responding research performing organisations having dedicated staff employed in knowledge transfer activities || ERA compliant cluster (national level) || 76 % || 2013 || ERA survey 2014

Share of responding research performing organisations having dedicated staff employed in knowledge transfer activities || Limited compliance to ERA cluster (national level) || 1.4 % || 2013 || ERA survey 2014

Share of research personnel whose primary occupation is in the private sector (in headcount) || ERA compliant cluster (EU level) || 2.9 % || 2013 || ERA survey 2014

Share of research personnel whose primary occupation is in the private sector (in headcount) || ERA compliant cluster (national level) || 0.4 % || 2013 || ERA survey 2014

Share of research personnel whose primary occupation is in the private sector (in headcount) || Limited compliance to ERA cluster (national level) || 0.9 % || 2013 || ERA survey 2014

The
share of research funders in Estonia who responded to the survey and support KT
and OI, TTOs and Private Public interaction is higher than the EU average.

Within
the ERA-compliant cluster in Estonia, the share of research performing
organisations having funding originating from the private sector is lower than
that within the EU's ERA-compliant cluster.

Within
the ERA-compliant cluster in Estonia, the share of research-performing
organisations having or using a structure for knowledge transfer activities is
higher than that within the EU's ERA-compliant cluster.

Within
the ERA-compliant cluster in Estonia, the share of research-performing
organisations having dedicated staff employed in knowledge transfer activities
is lower than that within the EU's ERA-compliant cluster.

  
6.3.   Harmonise policies for public e-infrastructures and associated digital
research services

In
relation with the implementation of the Digital European Research Area (ERA),
Estonia has not set up any strategy. However, on 1 May 2013, the Tiger Leap
Foundation, the Estonian Education and Research Network and the Estonian
Information Technology Foundation merged with the 'Estonian Information
Technology Foundation for Education' (HITSA). The mission of HITSA is to
provide a high-quality national network infrastructure for Estonia’s research,
educational and cultural communities. Its services include a permanent Internet
connection, as well as webhosting, an e-mail, consultations in the event of
security problems, etc.

In
addition, the 'Estonian higher education information and communications
technology and R&D activities State programme 2011-2015' is a cooperation
programme implemented by HITSA, between universities, the information and
communication technology (ICT) sector and the State aimed at raising the
quality of ICT and developing cooperation between different partners.

Concerning
digital services, Estonia provides Cloud services and Premium services
(Consultancy, NREN service implementation support, and others). Access to
digital research services is possible via 'E-teadusinfo' (launched in 2009) and
access to publications is possible in all public libraries by using usernames
and passwords. EENet is the Estonian National Research and Education Network, a
specialised Internet service provider dedicated to supporting the needs of
research and education communities within the country.

From
a more general point of view, e-identity systems are very well developed in
Estonia; identification is ensured through the ID card and it is quite widely
applied.

Indicator || Level/cluster || Value || Year || Source

Share of responding research performing organisations providing digital research services (i.e. cloud services, research collaboration platform, etc.) || ERA compliant cluster (EU level) || 80.8 % || 2013 || ERA survey 2014

Share of responding research performing organisations providing digital research services (i.e. cloud services, research collaboration platform, etc.) || ERA compliant cluster (national level) || 76 % || 2013 || ERA survey 2014

Share of responding research performing organisations providing digital research services (i.e. cloud services, research collaboration platform, etc.) || Limited compliance to ERA cluster (national level) || 6.3 % || 2013 || ERA survey 2014

Within
the ERA-compliant cluster in Estonia, the share of research-performing
organisations providing digital research services (i.e. cloud services,
research collaboration platform, etc.) is lower than that within the EU's
ERA-compliant cluster.

  
6.4.   Uptake of federated electronic identities

EENet
is the Estonian National Research and Education Network, a specialised Internet
service provider dedicated to supporting the needs of the research and
education communities within the country. Since 2013, EENet has become part of
the HITSA. Functioning via EENet, the Estonian Academic Authentication and
Authorization Infrastructure (TAAT) enables electronic identities (user
accounts) issued by education or research institutions to be used to access
several web-based services. In June 2013, the policy document of eduGAIN, a
service intended to enable the trustworthy exchange of information related to
identity, authentication and authorisation between the GEANT (GN3plus) Partner
federations, was signed by EENet on behalf of TAAT and Estonia became a partner
of eduGAIN.

Indicator || Level/cluster || Value || Year || Source

Share of responding research performing organisations in the sample providing federated electronic identities for their researchers || ERA compliant cluster (EU level) || 38.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample providing federated electronic identities for their researchers || ERA compliant cluster (national level) || 76 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample providing federated electronic identities for their researchers || Limited compliance to ERA cluster (national level) || 5 % || 2013 || ERA survey 2014

Within
the ERA-compliant cluster in Estonia, the share of research-performing
organisations providing federated electronic identities for their researchers
is higher than that within the EU's ERA-compliant cluster.

7.  
NOTES ON THE 2014 ERA SURVEY RESULTS

  
7.1.   Comments

A
total of 16 research performing organisations in Estonia answered the 2014 ERA
survey, which represents 60.3% of the total number of researchers in the
country (total number of researchers in the country as of 2011).

The
principal component and clustering analysis of research performing
organisations in Estonia shows that 20.0 % of them are in the ‘ERA compliant’
cluster, 66.7 % can be classified in the ‘limited compliance to ERA’ cluster
and 13.3 % of organisations in the ‘ERA principles are not applicable’ cluster.
However, when the organisations are weighted by the number of researchers in
each organisation, the results significantly vary. Indeed, the shares of
‘weighted’ organisations are 88.1 % for the ‘ERA compliant’ cluster, 10.0 % for
the ‘ERA limited compliant’ cluster and 1.9 % for those organisations where ERA
principles are not applicable.

Policy
measures in support of ERA implementation

Initiative || Adopted in || Adopted since 2012 || New measure since 2013

Project-based funding applying the core principles of international peer review

Reform of national funding schemes || 2012 || X ||

Conditions and Procedure for Evaluation of Research and Development Institutions || 2009 || ||

The Research and Development Organisation Act - amended in 1997, 2009 and 2012 || 1995 || ||

Institutional funding based on institutional assessment

Conditions and procedure for applying for, awarding and amending the amount of institutional research funding || 2011 || ||

Quality Agreement of Estonian Universities || 2011 || ||

Personal Research Funding || 2012 || X ||

Improving the competitiveness of Estonian R&D through the research programmes and modernisation of higher education and R&D institutions || 2007 || ||

New RDI Strategy (“Knowledge-based Estonia”) for 2014-2020 || 2014 || X || X

Organisation of Research and Development Act (last amendment in 2012) || 1997 || ||

Research and Innovation Policy Monitoring Programme 2011-2015 (TIPS Programme) || || ||

Information Technology Foundation for Education || 2013 || X || X

Organisation of Research and Development Act - amendment 1997 and 2009 || 1995 || ||

Detailed conditions and procedure for applying for, conducting and approving the result of regular evaluation of research and development || 2012 || X ||

Implementing joint research agendas

The Programme for the Internationalisation of Science || 2011 || ||

Implementation Plan for achieving the objectives of Estonian Research and Development and Innovation Strategy 2007-2013 “Knowledge-based Estonia” in 2012-2013 || 2011 || ||

Swiss-Estonian Research Cooperation Programme for 2009-2014 || 2009 || ||

Nordplus Programme || 2012 || X ||

Centres of Excellence Programme || 2012 || X ||

Norwegian-Estonian Research Cooperation Programme for 2009-2014 || 2009 || ||

Financial commitments for the construction and operation of ESFRI, national and regional research infrastructures of pan-European interest

Estonian Research Infrastructures Roadmap 2010 (to be updated in 2014) || 2010 || ||

Attractive careers

Universities Act || 2012 || X ||

Programme for Cooperation and Innovation between Higher Education Establishments || 2012 || X ||

Programme Mobilitas || 2008 || ||

The conditions of and procedure for the election of academic research professors || 2002 || ||

Agreement on Good Practice in the Internationalisation of Estonia’s Higher Education Institutions || 2007 || ||

Programme ERMOS || 2010 || ||

Aliens Act (amended 2013) || 1996 || ||

EURAXESS Service Centres - Agreement of good practice || || ||

Standard of Higher Education (amendment in 2012) || 2008 || ||

Gender balance in the decision-making process

Gender Equality Act  - amended in 2012 || 2004 || ||

Programme “Advancing Gender Equality" || 2011 || ||

Open access to publications and data resulting from publicly funded research

Organisation of Research and Development Act || 2012 || X ||

Estonian e-repository programme || 2011 || ||

Principles for the preparation of a uniform collection plan for research libraries and the procedure for application for financing the acquisition of research information for research libraries, for the review of applications and for making financing || 2012 || X ||

The Programme of Electronic Scientific Information || 2009 || ||

Innovation voucher grant  || 2009 || ||

Estonian Research Information System || 2006 || ||

Open innovation and knowledge transfer between public and private sectors

Programme "Start-up Eesti" || 2011 || ||

Knowledge and technology transfer baseline funding (SPINNO Programme) || 2008 || ||

Cluster development || 2009 || ||

Harmonise policies for public e-infrastructures and associated digital research services

Consortium of Estonian Libraries Network (statute renewed in 2011) || 1996 || ||

State Program 2011-2015 on higher education information and communication technology and research and development activities || 2011 || ||

Uptake of federated electronic identities

E-teadusinfo || 2009 || ||

eduGAIN (Membership) || 2013 || X || X

1.  
MORE EFFECTIVE NATIONAL SYSTEMS

  
1.1.   Research and innovation system

Research
and innovation (R&I) policies are the responsibility of the General
Secretariat for Research and Technology (GSRT), a policy design and
implementation agency, and the National Council of Research and Technology
(NCRT).

The
Ministry of Education, Life Long Learning and Religious Affairs is the main
R&D policy body. Within the Ministry, the design and implementation of the
research, technology development and innovation (RTDI) policy is carried out by
the GSRT that is also responsible for supporting, supervising and financing the
research activities of research institutes and of its productive industry, of
representing the country within the European Union, promoting cooperation in
the areas of research and technology, and monitoring the national research
institutions. The GSRT is also the main research funding organisation in
Greece.

NCRT
is the supreme State body for formulating and implementing the national policy
for research, technology and innovation. NCRT proposes main R&D guidelines
in the area of research and technology, assesses candidacies for directorship
appointments in national research organisations, gives opinions to the Ministry
of Education and Religious Affairs on the selection of directors in national
research organisations, as well as on issues raised by the Ministry of
Education and Religious Affairs.

An
Innovation Council was created in December 2013.

The
NDC is the national organisation for the documentation, information and support
in the areas of research, science and technology. Notably, the centre is
responsible for creating and  disseminating Greek scientific databases online,
structuring and disseminating the National Archive of PhD theses, developing
and providing software for the electronic operation of national libraries and
their web links with Greek and international scientific databases and creating
a Library Network.

The
R&I policy is planned for a period of seven years following the cycle of
the European Structural Funds. Universities are key players followed by
research centres, and the business sector plays a limited role.

Greece’s
research and technology system is centralised and dominated by the public
sector in terms of funding and performance.

The
responsibility of funding research is divided between the Ministry of Education
and Religious Affairs and the Ministry of Development and Competitiveness, the
latter having the overall responsibility for supporting regional development in
general, including entrepreneurship and partly (recently) innovation. The
Ministry of Development and Competitiveness is currently managing the National
Strategic Reference Framework (NSRF), which is the main funding source for
R&I. Funds coming from the Regional Operational Programmes is typically
under the responsibility of the Regional Councils.

Frequent
changes in research, development and innovation (RDI) legislation indicates a
weak governance. Yet another RDI law is about to be released following a public
consultation in December 2013, aimed at addressing existing weaknesses. The law
defines the bodies that will be responsible for designing the new RTDI strategy
and establishing a new department within the Ministry of Education and
Religious Affairs for designing and monitoring actions related to the national
RTDI strategy and its implementation and coordination. Also, a new simplified
administrative management system is foreseen in the period 2014-2020.

In
2007, the country adopted a national strategy for R&I, following the
Structural Fund programming cycle 2007-2013. It is described in the ‘Strategic
Development Plan for Research, Technology and Innovation’ (SDP) and the
operational programme (OP) ‘Competitiveness and Entrepreneurship’. Further to a
consultation process in 2012 the GSRT and the National Council are elaborating
the new National Strategic Framework for Research, Technological Development
and Innovation that would run up to 2020.

The
GSRT is developing a new National Strategy for Research and Innovation, that
will build on the competitive advantage of Greece in certain research areas at
European and international level and will try to maximise its potential,
through R&D investment on strategic, national priority areas, and will
foster innovation and entrepreneurship.

In
terms of R&I funding, the Government Budget Appropriations or Outlays for
Research and Development (GBAORD) in Greece represented EUR 66 per inhabitant
in 2012, less than half the EU-28 average (EUR 179). In 2013, GBAORD per
inhabitant declined slightly (EUR 64). In 2012, total GBAORD corresponded to
0.7 % of total government expenditures and 0.4 % of Gross Domestic Product
(GDP)(Eurostat).

The
analysis of the evolution of GBAORD in the period after the economic crisis
(2007-2012) shows some differences. In nominal terms, the rate of growth of
total GBAORD in Greece is higher than the rate of growth of total EU GBAORD. In
terms of R&D efforts, the rate of growth of GBOARD in Greece, measured as a
percentage of public government expenditure, evolved negatively, but less
negatively than the evolution observed at EU-27 level. Finally, GBAORD as a
share of GDP has regressed more in Greece than the regression observed in the
EU-28.

Most
of the government funding in 2012 was directed to the higher education sector
(EUR 377.3 million) and to public research organisations (EUR 257.3 million).
Funding from the BES (Business Enterprise Sector) was at EUR 414.8 million at
the end of 2012, compared to EUR 455.5 million at the end of 2011 (8.9 %
decrease). In the same period, funding from higher education institutions
(HEIs) decreased by 17 %.

A
significant feature of the Greek national R&D system is the high share of
funding from abroad amounting to about 16% of GERD (2012). This funding comes
from the Seventh Framework Programme for Research (FP7) and Structural Funds,
the former contributing slightly more than the latter.

The
main bulk in research takes place within the higher education sector.

There
has been a systematic increase of competitive funding compared to block
funding. All competitive research programmes are supported by the EU Structural
Funds.

  
1.2.   Project-based funding applying the core principles of international peer
review

The
GSRT manages the project-based funding. One of its units, namely the 'Special
Service for Coordination and Implementation of R&D and Innovation
measures', issues the calls for proposals and evaluates them.

Law
3777/2009 (art.18), amending Presidential Decree 274/2000 on 'Terms, conditions
and process of funding (subsidy or aid) of projects and programmes submitted by
industrial or other production units' set the principles for competitive
funding.

Competitive
funding in the programming period 2007-2013 was channelled by the NSRF, which
is co-financed by the Structural Funds. The two concrete instruments for
project funding are the following:

•           Research
programmes: Heraclitus II funding PhDs (total budget EUR 39.6 million); Thales
funding research networks (total budget EUR 120 million); Archimedes III
focusing on TEIs (total budget EUR 21 million), post-doctorate research (EUR 30
million) and research projects implemented by a primary investigator (EUR 60
million); Collaboration supports collaborative research by private companies
and public research organisations (EUR 229 million); ‘Support for R&D in
groups of small and medium-sized enterprises (SMEs)’ finance research projects
implemented by groups of SMEs collaborated with public research organisations,
technology transfer organisations and technology suppliers (EUR 23.7 million);
‘Support for R&D in new firms’ finance small to medium research projects
implemented by new companies with subcontracting to public research
organisations  (EUR 11.3 million).

•           Research
networks: includes the support of the existing Innovation Poles and the
creation of new ones, the Innovation Zone in Thessaloniki and the research
funding within the Microelectronics Cluster ‘Corallia’ (EUR 33 million).

Indicator || Level/cluster || Value || Year || Source

Share of responding funders' total budget allocated as project-based funding || National level || 75.5 % || 2013 || ERA survey 2014

Share of responding funders' total budget allocated as project-based funding || EU level || 66.2 % || 2013 || ERA survey 2014

The
share of research funders in Greece who responded to the survey and support
project-based funding is higher than the EU average.

The
core principles of international peer review are applied by all research
funding institutions in Greece. These principles are excellence, impartiality,
transparency, appropriateness for purpose, efficiency and speed.

Research
proposals and the assessment of the research programs are evaluated using the
peer review system by the GSRT. The evaluators are scientists selected either
from an official registry or the ‘Web of Science’. All non-block funding is
distributed via calls for proposals from the GSRT and all these calls are
competitive and evaluated by national and international experts. The
beneficiaries are selected on the basis of the ranking after the evaluation.

The
new research, development and innovation (RD&I) law proposes new evaluation
methods for research organisations.

  
1.3.   Institutional funding based on institutional assessment

Institutional
funding for Higher Education Institutions is not systematically allocated based
on an institutional assessment. It is mostly based on an algorithm that takes
into consideration quantitative aspects, such as the number of HEIs and
Research Organisations (Ros) students. There are no laws or soft law measures
requiring that institutional funding is allocated on a competitive basis. There
is also no information available regarding the percentage of institutional
funding allocated on a competitive basis.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders' total budget allocated as institutional funding based on institutional assessment and/or evaluation || National level || 0 % || 2013 || ERA survey 2014

Share of responding funders' total budget allocated as institutional funding based on institutional assessment and/or evaluation || EU level || 24 % || 2013 || ERA survey 2014

Research
funders in Greece who responded to the survey indicated that they do not have
measures supporting institutional assessment for the allocation of
institutional funding .

2.  
TRANSNATIONAL COOPERATION

  
2.1.   Implementing joint research agendas

The
country is involved in transnational cooperation. It supports also bilateral
and multilateral initiatives.

Common
research agendas are mainly driven by EU-supported schemes. Greek research
teams participate extensively in several EU initiatives and often play an
important role in research agendas for grand challenges. Policy actions
supporting joint activities are implemented in the context of INCOERAnets.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders' total budget allocated to transnationally coordinated R&D || National level || 1.9 % || 2013 || ERA survey 2014

Share of responding funders' total budget allocated to transnationally coordinated R&D || EU level || 4.1 % || 2013 || ERA survey 2014

Share of responding funders' research and development budget dedicated to jointly defined research agendas with non-national EU organisations || National level || 0.9 % || 2013 || ERA survey 2014

Share of responding funders' research and development budget dedicated to jointly defined research agendas with non-national EU organisations || EU level || 1.7 % || 2013 || ERA survey 2014

The
share of responding funders’ total budget in Greece allocated to
transnationally coordinated R&D is lower than the EU average.

The
share of responding funders’ research and development budget in Greece
dedicated to jointly defined research agendas with other EU organisations is
lower than the EU average.

Cooperation
between institutions of Member States (MS), Associated Countries and third
countries is fostered by the Framework Programme (FP). In the Seventh Framework
Programme (FP7), the share of participation of Greece in total participation is
3.2 % and the country received 2.5 % of total EC contribution. FP funding
represents EUR 83 per inhabitant (EU average EUR 72 per capita) for the period
2007-2013.

Concerning
joint programming initiatives, the country participates in five of the 10
on-going initiatives. These initiatives are Neurodegenerative diseases
(Alzheimer), Cultural Heritage and Global Change: a new challenge for Europe,
Antimicrobial resistance - An emerging threat to human health, Water Challenges
for a Changing world, and Healthy and Productive Seas and Oceans.

In
terms of programmes undertaken jointly by several MS (so called Article 185
initiatives), the country was involved in five programmes. In Horizon 2020, the
country is already involved in two of the four existing initiatives:  EMPIR,
Eurostars2. In addition, Greece would like to join AAL2.

ERA-NETs
facilitate the coordination and collaboration of national and regional research
programmes, in particular the preparation and implementation of joint calls for
transnational research proposals between national and/or regional programmes.
The country has participated in a total of 54 ERA-NETs, of which 20 are
currently still running. The country has also participated in two ERA-NET Plus
actions, of which one is still running, in areas with high European added value
and additional EU financial support topping up their joint calls for proposals.

Concerning
research agreements with EU MS and/or Associated Countries, Greece has
bilateral agreements, notably with France, Israel, Germany, Turkey and Cyprus.

  
2.2.   Openness for international cooperation with third countries and regions

In
terms of international cooperation with third countries and regions, Greece has
bilateral agreements with China and Israel.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders' research and development budget allocated to collaboration programmes carried out with third countries || National level || 1 % || 2013 || ERA survey 2014

Share of responding funders' research and development budget allocated to collaboration programmes carried out with third countries || EU level || 2.4 % || 2013 || ERA survey 2014

Share of organisations' research and development budget amongst responding research performing organisations originating from third countries || ERA compliant cluster (EU level) || 0.8 % || 2013 || ERA survey 2014

Share of organisations' research and development budget amongst responding research performing organisations originating from third countries || ERA compliant cluster (national level) || 1.6 % || 2013 || ERA survey 2014

Share of organisations' research and development budget amongst responding research performing organisations originating from third countries || Limited compliance to ERA cluster (national level) || 0.3 % || 2013 || ERA survey 2014

The
share of responding funders' research and development budget in Greece
allocated to collaboration programmes carried out with third countries is lower
than the EU average.

Within
the ERA compliant cluster in Greece, the share of organisations' research and
development budget originating from third countries is higher than within the
EU ERA compliant cluster.

  
2.3.   Interoperability, mutual recognition of evaluation results and other schemes

Greece
has policies in place to facilitate the cross-border interoperability of
national programmes. Foreign natural and legal persons are eligible to perform
projects, carry out studies and implement programs and actions to promote
research, technological development and innovation in Greece. The funding
conditions and procedures are defined on an ad-hoc basis by a Presidential
Decree prepared with the help of the GSRT.

A
mutual recognition of evaluations that conform to international peer-review
standards is supported in Greece by Law 3653/2008, notably  in ERANETsplus,
EUREKA and other activities coordinated by the EC. There are provisions to
ensure the mutual recognition of evaluation results in all the bilateral
agreements that Greece has with MS and Associated Countries.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders which can base their project-based research and development funding decisions on peer reviews carried out by non-national institutions || National level || 98.1 % || 2013 || ERA survey 2014

Share of responding funders which can base their project-based research and development funding decisions on peer reviews carried out by non-national institutions || EU level || 38.5 % || 2013 || ERA survey 2014

Share of responding funders' project-based research and development budget allocated through peer review carried out by institutions outside the country || National level || 5 % || 2013 || ERA survey 2014

Share of responding funders' project-based research and development budget allocated through peer review carried out by institutions outside the country || EU level || 0.8 % || 2013 || ERA survey 2014

The
share of research funders in Greece who responded to the survey and can base
their project-based research and development funding decisions on peer reviews
carried out by non-national institutions is higher than the EU average.

The
share of responding funders' project-based research and development budget in
Greece allocated through peer review carried out by institutions outside the
country is higher than the EU average.

3.  
RESEARCH INFRASTRUCTURES

  
3.1.   Financial commitments for the construction and operation of ESFRI,
national and regional research infrastructures of pan-European interest

EL
participates in the following large international research infrastructures
(RIs): Europeean Space Agency (ESA), Conseil Européen pour la Recherche
Nucléaire (CERN), European Fusion Development Agreement (EFDA), and European
Molecular Biology Laboratory (EMBL). In 2012, the country contributed 2.2 % of
GBAORD to the activities carried out by CERN, EMBL, the European Southern
Observatory (ESO), the European Synchrotron Radiation Facility (ESRF), the
Institut Laue-Langevin (ILL) and the European Commission’s Joint Research
Centre (JRC) (Eurostat).

In
terms of participation to the development of RIs included in the European
Strategy Forum on Research Infrastructures (ESFRI) Roadmap, the country
participates in the preparatory phase of 25 of them.

In
terms of financial commitments to developing these RIs, Greece is committed to
fund 14 of them. They are: CESSDA, CLARIN, DARIAH,  SHARE-ERIC, EMSO, EURO
ARGO, LIFEWATCH, HIPER, BBMRI, EATRIS, INFRAFRONTIER, ELI, KM3NeT, PRACE (ex
HPC).

With
regards to participating in the European Research Infrastructure Consortium,
Greece is involved in four of the seven consortia that adopted the legal
framework designed by the Commission to facilitate establishing and operating
Ris of European interest involving several European countries. Greece is member
of SHARE-ERIC, CLARIN ERIC, EURO-ARGO ERIC and BBMRI-ERIC.

Greece
has a national strategy of RIs that addresses the need for upgrading the
existing infrastructures and identifying new ones.

In
2013, GSRT launched a call for creating a National Roadmap of Research
Infrastructures, that includes identifying RIs of national interest and ESFRI
projects. The process is expected to be concluded in 2014. Financial
commitments are expected to be formulated soon after.

The
annual budget allocated to Ris of pan-European interest is EUR 310.5 million, whereas
the allocation to ESFRI-related roadmaps is EUR 27.87 million (XFEL EUR 4
million; DARIAH, BBMRI and EATRIS EUR 5.7 million; CESSDA EUR 0.87 million;
EMSO EUR 3.7 million; EURO-ARGO EUR 0.8 million; INFRAFRONTIER EUR 3.9 million;
PRACE EUR 3.5 million; LIFEWATCH EUR 3.7 million; HIPER EUR 2 million and ELI
EUR 3.4 million).

  
3.2.   Access to research infrastructures of pan-European interest

Among
the research infrastructures coordinated by Greece, access to 14 of them has
been funded by the European Commission.

Financial
support is provided for inward cross-border access to RI through the programme
'Career offer to Greek-speaking researchers from abroad' that gives grants to
foreigner Greek speakers, and through the programme for incorporating foreign
PhD researchers into the Greek RTD system. In addition, Law 2004/2011 enables
national researchers to take a sabbatical leave for up to three years to
participate in research projects abroad. An estimated 10 % of researchers make
use of this opportunity.

4.  
OPEN LABOUR MARKET FOR RESEARCHERS

  
4.1.   Introduction to open labour market for researchers

A
detailed report can be found in the country profile for Greece in the
Researchers’ Report 2014
[http://ec.europa.eu/euraxess/pdf/research\_policies/country\_files/Greece
Country\_Profile\_RR2014\_FINAL.pdf].

The
following text provides an overview of the current situation and recent
progress made in several key areas.

Stock
of researchers

There
were 24 674 FTE researchers in Greece in 2011. This represents 5.0 researchers
per 1000 labour force compared with 5.3 among the Innovation Union reference
group (Moderate Innovators) and an EU average of 6.7.

  
4.2.   Open, transparent and merit-based recruitment of researchers

In
2013, the number of researcher posts advertised through the EURAXESS Jobs
portal per thousand researchers in the public sector was 80.7 in Greece
compared with 39.9 among the Innovation Union reference group and an EU average
of 43.7

In
2012, 45 % of university-based researchers were satisfied with the extent to
which research job vacancies are publicly advertised and made known by their
institution (More2 survey, 2012).

In
Greece, the major remaining barrier to the openness and transparency of the
recruitment system is the language. Until recently, higher education
institutions published job vacancies only in Greek and on their own websites
without making use of the EURAXESS Jobs portal. Language is an issue not just
because of publishing vacancies in English but also because in the universities,
knowledge of the Greek language is compulsory (in research institutes it is not
always the case). However, thanks to the efforts of EURAXESS-GR, with the help
of the General Secretariat for Research and Technology, there has been a great
improvement within the last two years

  
4.3.   Attractive careers

In
October 2010, the 65th Rectors’ Assembly unanimously adopted the ‘Charter &
Code’ encouraging all Greek higher education institutions to sign it and
recognise it as the tool to promote their human resource strategies. The Law
4009/2011 strongly promotes the ‘Charter and Code’ principles on excellence and
innovation. In practice, eight Universities (University of Crete, University of
Ioannina, University of Thessaly, University of Macedonia, University of
Patras, University of the Aegean, the International Hellenic University and the
Aristotle University of Thessaloniki), the Greek Rectors’ Conference, two
Research Centres (the National Hellenic Research Foundation and the Centre for
Research and Technology Hellas) as well as the Euroscience Association and the
Marie Curie Fellows Association have already signed and are currently
implementing the ‘Charter & Code’ principles.

By
May 2014, 9 organisations were involved in the Commission’s Human Resources Strategy
for Researchers of which 2 had received the "HR Excellence in
Research" logo for their progress in implementing the Charter & Code.

The
planned new Law for Research, Technology and Innovation develops mechanisms for
the career development of researchers, and especially, women.

  
4.4.   Supporting structured innovative doctoral training programmes

The
number of new doctoral graduates per thousand population aged 25-34 was 1.1 in
2011 compared with 1.2 among the Innovation Union reference group and an EU
average of 1.7.

Higher
education institutions have the possibility to increase the quality of doctoral
training trough collaboration with national and international higher education
and research institutions (Part IV of Law 4009/2011). Some PhD programmes
explicitly follow the ‘Principles for Innovative Doctoral Training’ while many
comply implicitly with some of the seven principles.

  
4.5.   International and inter-sectoral mobility

Data
on the percentage of doctoral candidates with citizenship of other countries is
not available.

In
November 2012, the Ministry for Education, Religious Affairs, Culture and
Sports launched a call for Higher Education Institutions in Greece for a pilot
programme for the mobility of young researchers of the Mediterranean Office for
Youth (MOY). The Programme aims to develop joint higher educational programmes,
with the participation of at least two higher education institutions from
participating countries, at a postgraduate or a doctorate level, and is
expected to enhance transnational mobility. Inward mobility remains limited,
while the system is in principle open. Both Greek and foreign researchers
employed in higher education institutions and research institutions abroad can
apply for a researcher’s position within a Greek institution. The Greek
language constitutes a barrier for inward mobility of researchers.

Under
Presidential Degree 274/2000 and Law 3777/2009, close collaboration between the
universities and the private sector is encouraged. Researchers from public
research centres can be recruited by private companies under specific
agreements decided by the Research Centre’s Administrative Board. Distinguished
scientists employed in the business or public sector can be called upon by
national research centres to conduct a specific research project or cooperate
on a partial employment basis. The Innovation Vouchers for SMEs scheme fosters
exchange of expertise and consultant services between ‘innovation agents’ (i.e.
universities, research centres) and companies. It targets SMEs active in the
manufacturing sector, software industry and research and development firms and
public laboratories of universities, technological colleges, research centres
and institutes, sectoral companies as suppliers of services of high added value
and knowledge intensity. In spite of these measures, better translation of the
scientific research strengths into marketable goods and services remains a key
policy challenge. Efforts are also needed to foster technology transfer and
address bureaucratic obstacles.

5.  
GENDER

  
5.1.   Foster cultural and institutional change on gender

Greece
has specific gender provisions in the field of public research.

The
National Programme for Gender Equality 2010-2013, adopted in 2010, aims to
create a legal framework for providing equal opportunities to women in the
workplace and in life. The programme acknowledged amendments to legislation,
while specific project actions were undertaken by the General Secretariat of
Gender Equality and interventions in other Ministries and public authorities.
There are no explicit policies by funding agencies to foster cultural and
institutional change on gender .

In
2006, GSRT created the Periktioni network for women researchers and scientists
in Greece and the whole Mediterranean, Balkan and Black Sea region.

The
National Documentation Centre (NDC), within the National Hellenic Research
Foundation (NHRF),  participates in GENDERA (Gender Debate in the European
Research Area) and SHEMERA (Euro-Mediterranean research cooperation on gender
and science) and has developed a database of good practice for equal
opportunities of genders in research (practices related to recruitment,
selection and promotion).

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting gender equality in research || EU level || 82.2 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample which have adopted Gender Equality Plans || ERA compliant cluster (EU level) || 64 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample which have adopted Gender Equality Plans || ERA compliant cluster (national level) || 24.2 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample which have adopted Gender Equality Plans || Limited compliance to ERA cluster (national level) || 3.2 % || 2013 || ERA survey 2014

The
share of research funders in Greece who responded to the survey and support
national policies on gender equality in public research is lower than the EU average.

Within
the ERA compliant cluster in Greece, the share of research performing
organisations that have adopted Gender Equality Plans is lower than within the
EU ERA compliant cluster.

The
National Programme for Gender Equality 2010-2013, adopted in 2010, aims to
create a legal framework to provide equal opportunities to women in the
workplace and in life. The programme acknowledged amendments to legislation,
while specific project actions were undertaken by the General Secretariat of
Gender Equality and interventions in other Ministries and public authorities.

By
law, Greece supports women returning to the same position after parental leave.
However, female researchers are entitled to maternity leave only if they have
signed a contract with a research institution.

Law
2839/2000 introduced provisions for a balanced participation of men and women
in the Public Sector, Public and Private Law entities, as well as in
municipalities. Law 3653/2008 addressed gender imbalances in the
decision-making process in the research sector for the recruitment from
National Bodies, Research and Technology Committees, provided that the
candidates have the same qualifications.

Indicator || Level/cluster || Value || Year || Source

Share of responding research performing organisations implementing recruitment and promotion policies for female researchers || ERA compliant cluster (EU level) || 53.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations implementing recruitment and promotion policies for female researchers || ERA compliant cluster (national level) || 26.1 % || 2013 || ERA survey 2014

Share of responding research performing organisations implementing recruitment and promotion policies for female researchers || Limited compliance to ERA cluster (national level) || 4 % || 2013 || ERA survey 2014

Within
the ERA compliant cluster in Greece, the share of research performing
organisations implementing recruitment and promotion policies for female
researchers is lower than within the EU ERA compliant cluster.

There
are no specific initiatives or funding to strengthen the gender dimension in
research programmes.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting the inclusion of gender dimension in research content || National level || 0 % || 2013 || ERA survey 2014

Share of responding funders supporting the inclusion of gender dimension in research content || EU level || 48.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations which include the gender dimension in research content || ERA compliant cluster (EU level) || 44 % || 2013 || ERA survey 2014

Share of responding research performing organisations which include the gender dimension in research content || ERA compliant cluster (national level) || 0.8 % || 2013 || ERA survey 2014

Share of responding research performing organisations which include the gender dimension in research content || Limited compliance to ERA cluster (national level) || 3.4 % || 2013 || ERA survey 2014

The
research funders in Greece who responded to the survey indicated no specific
support to gender dimension in research content/programmes.

Within
the ERA compliant cluster in Greece, the share of research performing
organisations that include the gender dimension in research content is lower
than within the EU ERA compliant cluster.

  
5.2.   Gender balance in the decision-making process

Concerning
gender balance in decision making, the country has set up quotas for the
under-represented sex to participate in decision-making bodies of Research
Performing Organisations.

Gender
equality is encouraged in the research profession by guaranteeing female
representation in all top-level positions and decision-making bodies in a ratio
of at least one-third (based on Article 16 of the Greek Constitution and Law
3653/2008 Article 57). However, the number of women researchers, in particular
in senior positions, is limited.

Indicator || Level/cluster || Value || Year || Source

Share of gender-balanced recruitment committees for leading researchers amongst responding research performing organisations || ERA compliant cluster (EU level) || 33.6 % || 2013 || ERA survey 2014

Share of gender-balanced recruitment committees for leading researchers amongst responding research performing organisations || ERA compliant cluster (national level) || 4 % || 2013 || ERA survey 2014

Share of gender-balanced recruitment committees for leading researchers amongst responding research performing organisations || Limited compliance to ERA cluster (national level) || 14 % || 2013 || ERA survey 2014

Share of gender-balanced research evaluation panels amongst responding research funding organisations || National level || 50 % || 2013 || ERA survey 2014

Share of gender-balanced research evaluation panels amongst responding research funding organisations || EU level || 35.8 % || 2013 || ERA survey 2014

Within
the ERA compliant cluster in Greece, the share of gender-balanced recruitment
committees for leading researchers in research performing organisations is
lower than within the EU ERA compliant cluster.

The
share of gender-balanced research evaluation panels amongst responding research
funding organisations in Greece is lower than the EU average.

6.  
KNOWLEDGE CIRCULATION

  
6.1.   Open access to publications and data resulting from publicly funded
research

In
terms of support to open access, since 2013 the GSRT was appointed national
point for open access matters and has the mandate to elaborate a national
policy framework for open access to scientific publications and research data,
on the preservation and re-use of scientific information, and its
implementation and monitoring on related e-infrastructures. The institution set
up a working group to provide input to harmonise and implement open access in
Greece. Open access will be made mandatory for scientific publications
resulting from publicly funded research. Relevant changes to the legislative
framework of funding terms are in progress.

The
National Documentation Centre (NDC), within the NHRF, actively encourages open
access. Two Greek institutions have an explicit open access mandate (Panteion
University and Archimedes Centre for Modeling, Analysis and Computation at the
University of Crete).

The
NDC project Mediterranean Open Access Network (ΜΕDOANET) is meant to
enhance existing strategies and structures for open access and contribute
towards implementing new ones in six Mediterranean countries, namely Greece,
Italy, France, Spain, Portugal and Turkey.

The
national research strategy of the new programming period, currently being
developed, will place emphasis on open access, especially in the context of
digital agenda.

Related
to open access to publications, the majority of open access papers in Greece in
the period 2008-2011 were green and hybrid (452 papers, almost 80 % of total
open access papers).

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting open access to publications || EU level || 51 % || 2013 || ERA survey 2014

Share of publicly funded scientific publications in OA amongst responding research performing organisations || ERA compliant cluster (EU level) || 18 % || 2013 || ERA survey 2014

Share of publicly funded scientific publications in OA amongst responding research performing organisations || ERA compliant cluster (national level) || 0.9 % || 2013 || ERA survey 2014

Share of publicly funded scientific publications in OA amongst responding research performing organisations || Limited compliance to ERA cluster (national level) || 4.2 % || 2013 || ERA survey 2014

Within
the ERA compliant cluster in Greece, the share of publicly-funded scientific
publications in open access amongst research performing organisations is lower
than within the EU ERA compliant cluster.

Concerning
open access to data, the current EC-funded project RECODE will provide policy
recommendations for open access to research data in Europe.

There
are 19 research data repositories.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting open access to data || National level || 1.9 % || 2013 || ERA survey 2014

Share of responding funders supporting open access to data || EU level || 33.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations making scientific research data available on-line and free of charge || ERA compliant cluster (EU level) || 54.2 % || 2013 || ERA survey 2014

Share of responding research performing organisations making scientific research data available on-line and free of charge || ERA compliant cluster (national level) || 47 % || 2013 || ERA survey 2014

Share of responding research performing organisations making scientific research data available on-line and free of charge || Limited compliance to ERA cluster (national level) || 13.3 % || 2013 || ERA survey 2014

The
share of research funders in Greece who responded to the survey and support
Open Access to data is lower than the EU average.

Within
the ERA compliant cluster in Greece, the share of research performing
organisations making available on-line and free of charge publicly-funded
scientific research data systematically is higher than within the EU ERA
compliant cluster.

With
respect to repositories, there are 27 open access repositories in Greece, in 10
Universities, two research organisations, the NDC and the Hellenic Managing
Authority of the Operational Programme 'Education and Lifelong Learning'.

Five
of the Greek open access repositories are OpenAIRE.

  
6.2.   Open innovation and knowledge transfer between public and private
sectors

In
relation to open innovation and knowledge transfer between public and private
sectors, Greece has not developed a specific knowledge transfer strategy.
However, it fosters open circulation of knowledge between companies and
research organisations through various measures.

The
Presidential Degree 274/2000 and Law 3777/2009 encourage collaboration between
universities and the private sector. Researchers from public research centres
can be recruited by private companies and vice versa.

The
NDC/NHRF and the PRAXI-Network which is supervised by the Foundation for
Research and Technology Hellas (FORTH,  supervised by GSRT) supports the
development of research collaborations and exploitation of results between the
public and private sectors.

Initiatives
to encourage the collaboration between industry and academia are performed
mainly through bilateral cooperation programmes. In the last years new
programmes have been established: the Hellenic Mobile Clusters Programme
(2007-2013), the Cooperation 2011 Programme, the Creation Programme (2007-2013),
Innovation Vouchers for SMEs (2009-2015), Collaboration (-2015), and a scheme
to support business with the employment of highly-qualified scientific
personnel under the Human Resources Development operational programme
(2007-2013).

In
2012, competitive calls were announced, focusing on developing human capital
for research in a knowledge economy (including support to excellent
researchers, researcher mobility towards enterprises and for training
innovation activities), with a total financing in excess of EUR 150 million for
the period 2011-2013.

In
addition to direct support measures, developing an entrepreneurial and
innovation-friendly culture in the higher education sector will facilitate
collaboration. To this end, EUR 101 million were budgeted for developing
offices in universities and Technical Education Institutions that combine
career development counselling activities with promoting business planning
competitions, creating entrepreneurship clubs and developing courses on
entrepreneurship. The 2011 law for HEIs recognises these offices and gives them
the status of ‘Innovation and Liaison Offices’, which are also responsible for
Intellectual Property Rights (IPR).

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting the implementation of knowledge transfer as part of its institutional and/or project-based funding || National level || 98.1 % || 2013 || ERA survey 2014

Share of responding funders supporting the implementation of knowledge transfer as part of its institutional and/or project-based funding || EU level || 82.9 % || 2013 || ERA survey 2014

Share of responding research performing organisations' research and development budget financed by the private sector || ERA compliant cluster (EU level) || 6.8 % || 2013 || ERA survey 2014

Share of responding research performing organisations' research and development budget financed by the private sector || ERA compliant cluster (national level) || 3.8 % || 2013 || ERA survey 2014

Share of responding research performing organisations' research and development budget financed by the private sector || Limited compliance to ERA cluster (national level) || 7.8 % || 2013 || ERA survey 2014

Share of responding research performing organisations having or using a structure for knowledge transfer activities || ERA compliant cluster (EU level) || 75 % || 2013 || ERA survey 2014

Share of responding research performing organisations having or using a structure for knowledge transfer activities || ERA compliant cluster (national level) || 23.2 % || 2013 || ERA survey 2014

Share of responding research performing organisations having or using a structure for knowledge transfer activities || Limited compliance to ERA cluster (national level) || 41.4 % || 2013 || ERA survey 2014

Share of responding research performing organisations having dedicated staff employed in knowledge transfer activities || ERA compliant cluster (EU level) || 66.3 % || 2013 || ERA survey 2014

Share of responding research performing organisations having dedicated staff employed in knowledge transfer activities || ERA compliant cluster (national level) || 23.2 % || 2013 || ERA survey 2014

Share of responding research performing organisations having dedicated staff employed in knowledge transfer activities || Limited compliance to ERA cluster (national level) || 41.4 % || 2013 || ERA survey 2014

Share of research personnel whose primary occupation is in the private sector (in headcount) || ERA compliant cluster (EU level) || 2.9 % || 2013 || ERA survey 2014

Share of research personnel whose primary occupation is in the private sector (in headcount) || ERA compliant cluster (national level) || 0 % || 2013 || ERA survey 2014

Share of research personnel whose primary occupation is in the private sector (in headcount) || Limited compliance to ERA cluster (national level) || 4.9 % || 2013 || ERA survey 2014

The
share of research funders in Greece who responded to the survey and support KT
and OI, TTOs and Private Public interaction is higher than the EU average.

Within
the ERA compliant cluster in Greece, the share of research performing
organisations having funding originating from the private sector is lower than
within the EU ERA compliant cluster.

Within
the ERA compliant cluster in Greece, the share of research performing
organisations having or using a structure for knowledge transfer activities is
lower than within the EU ERA compliant cluster.

Within
the ERA compliant cluster in Greece, the share of research performing
organisations having dedicated staff employed in knowledge transfer activities
is lower than within the EU ERA compliant cluster.

Within
the ERA compliant cluster in Greece, the share of research personnel whose
primary occupation is in the private sector (in full time equivalents) is equal
to 0 .

  
6.3.   Harmonise policies for public e-infrastructures and associated digital
research services

In
relation to implementing the Digital ERA, Greece has not set up a strategy for
its implementation, but the national research strategy of the new programming
period will place emphasis on open access, in the context of the digital
agenda. The country has implemented a research and education network, essential
to make digital services possible.

GRNet
is the Greek National Research and Education Network (NREN), a specialised
Internet service provider dedicated to supporting the needs of the research and
education communities within the country.

Concerning
digital services, the country provides federated services, cloud services, and
collaboration support.

Indicator || Level/cluster || Value || Year || Source

Share of responding research performing organisations providing digital research services (i.e. cloud services, research collaboration platform, etc.) || ERA compliant cluster (EU level) || 80.8 % || 2013 || ERA survey 2014

Share of responding research performing organisations providing digital research services (i.e. cloud services, research collaboration platform, etc.) || ERA compliant cluster (national level) || 23.2 % || 2013 || ERA survey 2014

Share of responding research performing organisations providing digital research services (i.e. cloud services, research collaboration platform, etc.) || Limited compliance to ERA cluster (national level) || 50 % || 2013 || ERA survey 2014

Within
the ERA compliant cluster in Greece, the share of research performing
organisations providing digital research services (i.e. cloud services,
research collaboration platform, etc.) is lower than within the EU ERA compliant
cluster.

  
6.4.   Uptake of federated electronic identities

Greece
was not a member of an identity federation in 2013. The county is a member of
eduGAIN through GRNet, a service intended to enable the trustworthy exchange of
information related to identity, authentication and autorisation between the
GÉANT (GN3plus) Partners' federations.

There
is no national policy on e-identity.

Indicator || Level/cluster || Value || Year || Source

Share of responding research performing organisations in the sample providing federated electronic identities for their researchers || ERA compliant cluster (EU level) || 38.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample providing federated electronic identities for their researchers || ERA compliant cluster (national level) || 14.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample providing federated electronic identities for their researchers || Limited compliance to ERA cluster (national level) || 40.8 % || 2013 || ERA survey 2014

Within
the ERA compliant cluster in Greece, the share of research performing
organisations providing federated electronic identities for their researchers
is lower than within the EU ERA compliant cluster.

7.  
NOTES ON THE 2014 ERA SURVEY RESULTS

  
7.1.   Comments

A
total of 22 research performing organisations in Greece answered the 2014 ERA
survey, which represents 15.3% of the total number of researchers in the
country (total number of researchers in the country as of 2011).

The
principal component and clustering analysis of research performing
organisations in Greece shows that 30.0 % of them are in the ‘ERA compliant’
cluster, 60.0 % can be classified in the ‘limited compliance to ERA’ cluster
and 10.0 % of organisations in the ‘ERA principles are not applicable’ cluster.
However, when the organisations are weighted by the number of researchers in
each organisation, the results significantly vary. Indeed, the shares of
‘weighted’ organisations are 46.7 % for the ‘ERA compliant’ cluster, 53.2 % for
the ‘ERA limited compliant’ cluster and 0.2 % for those organisations where ERA
principles are not applicable.

One
major research performing organisation and some major research performing
organisations have not responded to the survey, which explains the low
percentages for some of the indicators.

For
the indicator 'Share of gender-balanced recruitment committees for leading
researchers in research performing organisations', it should be noted that
major universities and research centers have not responded to the survey.

For
the indicator 'Share of publicly funded scientific publications in OA amongst
research performing organisations', it should be noted that major research
performing organisations, that tend to publish a lot, did not respond to the
survey.

For
the indicators 'Share of research performing organisations having or using a
structure for knowledge transfer activities' and 'Share of research performing
organisations having dedicated staff employed in knowledge transfer
activities', it should be noted that the shares would have been higher if more
technical universities and research centers had answered to the survey.

For
the indicator 'Share of research personnel whose primary occupation is in the
private sector', the share is 0% and this is in part due to the legal framework
in place.

Policy
measures in support of ERA implementation

Initiative || Adopted in || Adopted since 2012 || New measure since 2013

Project-based funding applying the core principles of international peer review

A legislative act  on the elaboration of the restructuring of the research system and creation of a flexible organization structure for research and technology organizations (ongoing) || || ||

New administrative management system on RDI for the new programming period 2014-2020 (in preparation) Structural Funds || || ||

Strategic Development Plan for Research, Technology and Innovation under the 2007-2013 National Strategic Reference Programme || 2007 || ||

Institutional funding based on institutional assessment

Presidential Decree 274/2000 on “Terms, conditions and process of funding (subsidy or aid) of projects and programs submitted by industrial or other production units”, as amended by Law 3777/2009, Article 18 “Amendment of Presidential Decree 274/2000” ( t || 2009 || ||

Interoperability, mutual recognition of evaluation results and other schemes

New bilateral R&D agreements (on-going) || || ||

Financial commitments for the construction and operation of ESFRI, national and regional research infrastructures of pan-European interest

National Roadmap of Research Infrastructures || 2013 || X || X

National strategy for research infrastructures (on-going) || 2013 || X || X

Open, transparent and merit-based recruitment of researchers

Support of Postdoctoral Researchers || 2010 || ||

New measures within the new programming period 2014-2020 || || ||

Attractive careers

Euraxess in Greece || || ||

Call for Request for Proposals for participation in the Pilot Programme for the mobility of young researchers of the Mediterranean Office for Youth (MOY) . || 2012 || X ||

Law 4009/2011 -Structure, operation, quality assurance of academic studies and internationalisation of HEIs || 2011 || ||

Specific Actions in the framework of the NSRF (2007-2013) || 2007 || ||

Presidential Degree 128/2008  Adaptation of Greek Legislation to Council Directive 2005/71/EC of 12 October 2005 on a specific procedure for admitting third-country nationals for the purposes of conducting scientific research. || 2008 || ||

Foster cultural and institutional change on gender

PD176/1997, Measures for the enhancement of security and health of pregnant women and new mothers  in the workplace, in accordance with 92/85/EC || 1997 || ||

Law 2839/2000, Provisions related to issues of the Ministry of Internal Affairs, Public Administration and Decentralisation and other provisions || 2000 || ||

Law 3488/2006, Implementation of the principle of equal treatment of men and women in their access to employment, professional training and promotion, in employment terms and conditions and other related provisions || 2006 || ||

Law 3996/2011, Reform of the labor inspectorate, arrangements for social security and other provisions || 2011 || ||

National Programme for Gender Equality 2010-2013 || 2010 || ||

Gender balance in the decision-making process

Periktioni network for women researchers and scientists in Greece and the whole Mediterranean, Balkan and Black Sea region || 2006 || ||

 Law 3653/2008 (article 57) || 2008 || ||

Open access to publications and data resulting from publicly funded research

National strategy for Research and Innovation in the new programming period 2014-2020 supports OA in the context of the digital agenda || 2014 || X || X

NDC hosted a workshop on National Policies for Open Access in the context of Mediterranean Open Access Network (MEDOANET) || 2012 || X ||

Greece signed the Alhambra Declaration for the enhancement of open access policies through the creation of national task force committees. || 2010 || ||

RECODE - Policy RECommendations for Open Access to Research Data in Europe || 2013 || X || X

New measures to support research and innovation activities || 2014 || X || X

Operational Program for Research and Innovation in the new programming period 2014-2020 (Structural Funds) || || ||

National policy framework for open access to scientific publications and research data, on preservation and re-use of scientific information, and their implementation and monitoring on related e-infrastructures (on-going) || 2013 || X || X

Open innovation and knowledge transfer between public and private sectors

Hellenic Mobile Cluster Programme || 2013 || X || X

PAVET 2013 in the framework of NSRF (2007-2013) || 2013 || X || X

Action “Supporting enterprises for recruiting high level scientific personnel” || || ||

New measures to support enterprises in the new programming period 2014-2020 || 2013 || X || X

Clusters Programme (Competitiveness and Entrepreneurship Operational Programme- 2007-2013) || || ||

COOPERATION 2011 – Partnerships between businesses and research bodies in specific research and technological sectors (on-going) || || ||

Innovation Vouchers for SMEs (2009-2015) || 2009 || ||

CREATION – Support to new innovative (notably highly knowledge-intensive) enterprises  (spin-offs and spin-outs) (2007-2013) || 2007 || ||

Harmonise policies for public e-infrastructures and associated digital research services

Greek Open Knowledge Foundation Network (OKFN) || 2013 || X || X

Uptake of federated electronic identities

eduGAIN || || ||

1.  
MORE EFFECTIVE NATIONAL SYSTEMS

  
1.1.   Research and innovation system

Research
and innovation (R&I) policies are mainly the responsibility of the Ministry
of Economics and Competitiveness (MINECO). The MINECO, assisted by the State
Secretary for Research, Development and Innovation (SSRDI), is responsible for
drafting and managing the main research, development and innovation (RDI)
instruments: the multiannual 'strategies' and 'plans'. MINECO allocated 76.7%
of the Spanish State Budget on RDI and innovation in 2013,  considerably
increasing its share (68.9% in 2012).

The
Executive Committee for Science, Technology and Innovation policy (CDCTI) is an
inter-ministerial body responsible for the planning, evaluating and
coordinating of the main Spanish instruments for RDI 'plans' and gathers all
Ministries with RDI responsibilities.

Two
main consultative bodies support the design and implementation of the RDI
strategies and plans: the Council of Science, Technology and Innovation (CPCTI)
in charge of the coordination with regional governments and other actors in the
research and development (R&D) system; and the Advisory Council of Science,
technology and Innovation (CACTI) that represents the research community,
enterprises and trade-unions.

The
main funding bodies involved in the implementation of RDI policies are: the
Spanish Research Agency (to be created), which will be an autonomous entity
that will assign R&D funds on scientific merit grounds; and the Centre for
Industrial Technological Development (CDTI), which is a public corporate entity
mainly promoting innovation and technological development for companies. Other
institutions, such as the Carlos III Health Institute (ISCIII) also fund
research.

Other
institutions complete the R&D Spanish landscape: the Information system of
Science, Technology and Innovation (SICTI), responsible for the data collection
and analysis for the monitoring of all policy programmes and instruments of the
RDI policy; and the Committee of Ethics in Research, an advisory body on ethics
of research and technology.

The
Spanish National Research Council (CSIC), one of the most important research
performers of the country, with about the 15%of the national scientific
production from 2003 to 2011, has suffered large budget cuts from the
government.

Spain
has a quasi-federal political system and its RDI-related policies are
decentralised to the regions. In the past, most regions developed similar
R&D plans and launched similar and often overlapping instruments,
programmes and agencies. Some recent developments, and in particular two new
institutions, aim to improve the coordination of national and regional RDI
policies: the above-mentioned Council of Science, Technology and Innovation
(CPCTI) and the Spanish Research Agency, both foreseen in the 2011 Law of
Science, Technology and Innovation (LCTI).

The
main RDI policy instruments are the Spanish Strategy for Science, Technology
and Innovation (EESTI) (2013-2020) and the Spanish State Plan for Scientific
and Technical Research and Innovation (PECTI) (2013-2016). The strategies are
multiannual schemes that set the rationale, objectives and indicators. The plan
implements the strategies setting its priorities, programmes, coordination
mechanisms, costs and sources of funding.

The
implementation of the new policy framework is suffering from delays in
important policy R&D programmes (e.g. call for proposals of the R&D
plan on fundamental research projects 'Promotion of R&D and Innovation
towards societal challenges and Research Training (FPI)'), significant
reductions (e.g. Research Training – FPI and FPU – with a reduction of 200
grants) and cancellations.

Spain
adopted a national strategy for R&I in 2013 for 2013-2020. The strategy
sets the rationale, objectives and indicators of the Spanish R&D and
innovation policy.  The Spanish State Plan for Scientific and Technical
Research and Innovation (PECTI) (2013-2016) is a multiannual plan that
implements the EESTI by setting its priorities, programmes, coordination
mechanisms, costs and sources of funding.

The
most significant changes introduced by the strategy are an increased emphasis
on innovation, public-private R&D collaboration, research excellence and
other emerging topics, such as promoting RDI on societal challenges or the role
of public procurement  to promote R&D and innovation. The new strategy
provides sets of indicators to measure the impact of RDI policy.

The
strategy and the plan recognise the importance of increasing the role of
private investments in R&D, but they do not set a specific target of
Business Enterprise Research and Development (BERD)/Gross Domestic Expenditures
on R&D (GERD) or BERD/gross domestic product (GDP).

The
plan implementing the strategy gives special attention to the European Research
Area (ERA) and in particular to the promotion of: (a) excellent basic research;
(b) technological, industrial and firm leadership; and (c) scientific and
technical R&I capabilities on grand challenges.

In
terms of R&I funding, the Government Budget Appropriations or Outlays for
Research and Development (GBAORD) in Spain represented EUR 132 per inhabitant
in 2012, below the EU-28 average (EUR 179). In 2012, total GBAORD corresponded
to 1.3 % of total government expenditures and 0.6 % of GDP (Eurostat).

In
2013 there was a reduction of  approximately EUR 460 million in the budget. The
budget for 2014 envisages an increase of EUR 213.9 million (3,61 %).

Important
public budget cuts have seriously affected national and regional budgets for
RDI and public R&D investments went back to the levels of 2005-2006. In the
last few years the share of loans has increased in contrast to that of
subsidies, which implies, de facto, an even greater decrease.

The
cuts indicate that it will be very difficult for Spain to reach the target of 3
% GERD per GDP set by the Europe 2020 strategy. Consequently, the new Spanish
Strategy for Science, Technology and Innovation (EESTI) (2013-2020) has set a
new lower target of 2 % GERD per GDP for 2020.

Four
regions accounted in 2012 for 69.7 % of all R&D expenditures: Madrid (25.6
%), Catalonia (22.3 %), Andalusia (11.1 %) and the Basque Country (10.7 %). In
relative terms, the leading regions are the Basque Country, Navarre, Madrid and
Catalonia with a GERD by GDP of 2.2 %; 1.9 %, 1.8 % and 1.5 % respectively. The
Basque Country is the only region that has increased its yearly R&D
Intensity over the last three years (2 %, 2.1 % and 2.2 %).

The
Spanish system of tax incentives (indirect government funding through three
types of R&D tax incentives for firms) for RDI has been one of the most
generous among the Organisation for Economic Cooperation and Development (OECD)
countries for the past few years. However, the bureaucratic procedure for
benefitting from these deductions was until recently complex and uncertain.

The
percentage of Structural Funds devoted to RDI is increasing. The percentage of
these funds devoted to R&D rose from 14 % (EUR 3 810 million) in 2000–2006
to 31 % (EUR 6 641 million) in the period 2007–2013. The Spanish participation
in the EU Framework Programme (FP) is of around 8.3 % and Spain aims to
increase it to 9 %.

  
1.2.   Project-based funding applying the core principles of international peer
review

Competitive
project funding through public tenders gained importance in the last years. The
provisional budget for RDI distributed by the State Secretary of Research
Development and Innovation for 2013 was EUR 3 864.2 million, of which 72.3 %
was distributed through low interest credits and 27.7 % through subsidies
(MINECO, 2013).  The PECTI states that most of the funds will be distributed
through competitive funding mechanisms.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders' total budget allocated as project-based funding || National level || 64.6 % || 2013 || ERA survey 2014

Share of responding funders' total budget allocated as project-based funding || EU level || 66.2 % || 2013 || ERA survey 2014

The
share of research funders in Spain who responded to the survey and support
project-based funding is lower than the EU average.

The
core principles of international peer review to be applied in Spain according
to the PECTI are transparency, efficiency, and scientific quality.

The
Law of Science, Technology and Innovation (LCTI) describes the core principles
of international peer review, but it does not impose the use of peer review.
Instead the LCTI states that the international standards of peer review are to
be followed where appropriate.

The
allocation of competitive funds usually follows the proposal peer-evaluation
process, usually carried out by domestic experts. International peer evaluation
is less frequent. The new strategy EESTI (2013-2020) includes international
evaluation of competitive funding as one of its five basic principles (number
three). In addition, one of its six articulation mechanisms (number 5)
considers the ‘harmonisation of criteria and practices of evaluation – ex ante
and ex post‘, including international peer review. The new PECTI (2013-2016),
as it implements the Strategy, also aims to increase the role of competitive
funding and ‘international peer review’.

The
evaluation is performed by specific organs, which may include international
evaluators, under the principles of independence, neutrality and
specialisation, basing the analysis on the available scientific and technical
knowledge.

The
Spanish Foundation for Science and Technology (FECYT) carried out yearly
monitoring exercise of the R&D public calls for proposals from 2006-2012
and the CDTI evaluates most of the business-oriented instruments, and most reports
are publicly available on the FECYT website.

  
1.3.   Institutional funding based on institutional assessment

Institutional
assessment is seldom allocated based on institutional assessment and most
institutional funding is based on block funding. In addition, research
institutions have a low level of autonomy to allocate funds.

Block
funding is provided to public research organisations and to universities.
Universities receive the salaries for the lectures that devote 66 % of their
time to research and this amount can be considered as institutional funding.
Public research organisations received in 2013 EUR 1 234.7 million (7.73 %
lower than 2012), which accounted for 19.6 % of GBOARD.

There
are some exceptions where institutional funds are allocated based on
performance, like for instance, funding programmes concerning the procurement
and grants for researchers. In addition, the University Strategy 2015 foresees
performance-based funding. Concretely, it aims to define criteria for explicit
resource allocation, primarily based on achieving measurable results in each of
the key areas of university activities: teaching, research and technological
development, and transfer of knowledge and innovation.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders' total budget allocated as institutional funding based on institutional assessment and/or evaluation || National level || 0.4 % || 2013 || ERA survey 2014

Share of responding funders' total budget allocated as institutional funding based on institutional assessment and/or evaluation || EU level || 24 % || 2013 || ERA survey 2014

The
share of research funders in Spain who responded to the survey and support
institutional assessment for the allocation of institutional funding is lower
than the EU average.

2.  
TRANSNATIONAL COOPERATION

  
2.1.   Implementing joint research agendas

The
country is involved in transnational cooperation. It supports also bilateral
and multilateral initiatives. Addressing societal challenges is receiving
growing attention in Spain. The EESTI (2013-2020) and PECTI (2013-2016) follow
the efforts of previous measures and increase their focus on promoting RDI
within societal challenges. The EESTI includes the ‘promotion of RDI towards
societal challenges’ as one of its four general objectives. The new PECTI gives
special emphasis to its integration into the ERA and to the promotion of: a)
excellent basic research; b) technological, industrial and firm leadership; and
c) scientific and technical research and innovation capabilities on grand challenges.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders' total budget allocated to transnationally coordinated R&D || National level || 0.6 % || 2013 || ERA survey 2014

Share of responding funders' total budget allocated to transnationally coordinated R&D || EU level || 4.1 % || 2013 || ERA survey 2014

Share of responding funders' research and development budget dedicated to jointly defined research agendas with non-national EU organisations || National level || 0.1 % || 2013 || ERA survey 2014

Share of responding funders' research and development budget dedicated to jointly defined research agendas with non-national EU organisations || EU level || 1.7 % || 2013 || ERA survey 2014

The
share of responding funders’ total budget in Spain allocated to transnationally
coordinated R&D is lower than the EU average.

The
share of responding funders’ research and development budget in Spain dedicated
to jointly defined research agendas with other EU organisations is lower than
the EU average.

Cooperation
between institutions of Member States (MS), Associated Countries and Third
Countries is fostered by the FP. In the Seventh Framework Programme (FP7), the
share of participation of Spain in total participation is 9.4 % and the country
received 7.8 % of total EC contributions. FP funding represents EUR 61 per
inhabitant (EU average EUR 72 per capita) for the period 2007-2013 and 4 % of
the GERD for the period 2007-2011 (last available data) (EU average 3 % of GERD
for the same period).

Concerning
joint programming initiatives, the country participates in 10 of the 10
on-going initiatives, coordinating one of them. These initiatives are
Neurodegenerative diseases (Alzheimer), Food Security, Agriculture and Climate
Change, Cultural Heritage and Global Change: a new challenge for Europe, Healthy
Diet for Healthy Life, the Demographic change (More Years, Better Life),
Antimicrobial resistance - An emerging threat to human health, Connecting
Climate Knowledge for Europe (Clik'EU), Water Challenges for a Changing world,
Healthy and Productive Seas and Oceans, and Urban Europe - Global Challenges,
Local Solutions.

In
terms of programmes undertaken jointly by several MS (so called Article 185
initiatives), the country was involved in four programmes. In Horizon 2020, the
country is already involved in all four existing initiatives: AAL2, EDCTP2,
EMPIR, Eurostars2.

ERA-NETs
facilitate the coordination and collaboration of national and regional research
programmes, in particular preparing and implementing joint calls for
transnational research proposals between national and/or regional programmes.
The country has participated in a total of 107 ERA-NETs, of which 33 are
currently still running. The country also has participated in eight ERA-NET
Plus actions, of which four are still running, in areas with high European
added value and additional EU financial support topping up their joint call for
proposals.

Spain
is currently involved in several EU-supported joint research agendas (Joint
Programming Initiatives, Article 196/185; ERA-NETs; ERA-NET PLUS) and has
issued joint calls with European countries involving several stakeholders
addressing grand challenges.

  
2.2.   Openness for international cooperation with third countries and regions

In
terms of international cooperation with Third Countries and regions, Spain has
not developed a specific policy. In the context of its traditional relationship
with Latin America, Spain has several cooperation programmes with this region.
One of the most outstanding ones is the ‘Iber-American Programme of Science and
Technology for Development.’ Moreover, the Spanish government has several
general bilateral cooperation agreements with Third Countries, such as Canada,
China, India, Korea, United States and Japan. Besides these general programmes,
Spain also has bilateral cooperation programmes in some specific fields with
Brazil (biotechnology, renewable energies, process engineering, nano technology
and health) and Argentina (biomedical, forensic and vegetal genomics and
bioinformatics). It is not known whether the country monitors the
implementation of cooperation programmes.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders' research and development budget allocated to collaboration programmes carried out with third countries || National level || 0.5 % || 2013 || ERA survey 2014

Share of responding funders' research and development budget allocated to collaboration programmes carried out with third countries || EU level || 2.4 % || 2013 || ERA survey 2014

Share of organisations' research and development budget amongst responding research performing organisations originating from third countries || ERA compliant cluster (EU level) || 0.8 % || 2013 || ERA survey 2014

Share of organisations' research and development budget amongst responding research performing organisations originating from third countries || ERA compliant cluster (national level) || 0.8 % || 2013 || ERA survey 2014

Share of organisations' research and development budget amongst responding research performing organisations originating from third countries || Limited compliance to ERA cluster (national level) || 0.3 % || 2013 || ERA survey 2014

The
share of responding funders' research and development budget in Spain allocated
to collaboration programmes carried out with third countries is similar to the
EU average.

Within
the ERA compliant cluster in Spain, the share of organisations' research and
development budget originating from third countries is similar to the EU ERA
compliant cluster.

  
2.3.   Interoperability, mutual recognition of evaluation results and other
schemes

The
common funding principles proposed by the Commission for implementing Joint
Programmes are not specifically addressed by the EESTI in Spain.

However,
some measures facilitate the interoperability. According to the Law of Science,
Technology and Innovation, joint European measures in the field of intellectual
property rights (IPR) are supported. The international programming website of
the Ministry of Economy and Competitiveness  also lists the open and closed
joint calls.

Funding
agencies do not implement Money follows Cooperation, a scheme which allows
small parts of a project funded by one of the participating research councils
to be conducted in a different country.

Funding
agencies do not implement Money follows Researchers, a scheme enables
researchers moving to a research institution in a different country to transfer
on-going grant funding to the new institution and continue research activities
according to original terms and objectives.

Mutual
recognition of evaluations that conform to international peer review standards
is not systematically supported but often takes place in bilateral or
multilateral programmes. Funders do not systematically apply the so called
'Lead agency' procedure, which foresees that funding authorities accept the
results of the evaluation of international projects done by the ‘lead agency’
and fund the parts of the project that are being performed in their respective
countries.

Strategies
and plans are increasingly based on some sort of evaluation analysis. Under the
mandate of the MINECO, the FECYT carried out yearly evaluations of the R&D
public calls for proposals from 2006-2010. Currently, the Ministry has decided
to carry out evaluations with a longer time frame. The CDTI evaluates most of
the business-oriented instruments, but these evaluations are not publically
available for 2012-2013.

The
new plan implementing the Spanish Strategy for Science, Technology and
Innovation (PECTI) foresees increasing international peer review through
programmes of support to R&D centres of excellence.

The
ANECA (National Agency of Evaluation, Quality and Accreditation) is a national
agency, which aims to monitor and evaluate the quality of the university
system. According to its website, the agency has signed mutual recognition
agreements with several international agencies, such as the ones from Austria,
France, The Netherlands, Flanders, Poland, and Costa Rica.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders which can base their project-based research and development funding decisions on peer reviews carried out by non-national institutions || National level || 88.9 % || 2013 || ERA survey 2014

Share of responding funders which can base their project-based research and development funding decisions on peer reviews carried out by non-national institutions || EU level || 38.5 % || 2013 || ERA survey 2014

Share of responding funders' project-based research and development budget allocated through peer review carried out by institutions outside the country || National level || 0.6 % || 2013 || ERA survey 2014

Share of responding funders' project-based research and development budget allocated through peer review carried out by institutions outside the country || EU level || 0.8 % || 2013 || ERA survey 2014

The
share of research funders in Spain who responded to the survey and can base
their project-based research and development funding decisions on peer reviews
carried out by non-national institutions is higher than the EU average.

The
share of responding funders' project-based research and development budget in
Spain allocated through peer review carried out by institutions outside the
country is lower than the EU average.

3.  
RESEARCH INFRASTRUCTURES

  
3.1.   Financial commitments for the construction and operation of ESFRI,
national and regional research infrastructures of pan-European interest

Spain
participates in the following large international research infrastructures
(RI): the European Space Agency (ESA), Conseil Européen pour la Recherche
Nucléaire (CERN), European Fusion Development Agreement (EFDA), European
Molecular Biology Laboratory (EMBL), European Southern Observatory (ESO),
European Synchrotron Radiation Facility (ESRF), EU.XFEL and Institut
Laue-Langevin (ILL). In 2012, the country contributed 1.5 % of GBAORD to the
activities carried out by CERN, EMBL,ESO, ESRF, ILL and the European
Commission’s Joint Research Centre (JRC) (Eurostat).

In
terms of participating in the development of Ris included in the European
Strategy Forum on Research Infrastructures (ESFRI) Roadmap, Spain participates
in the preparatory phase of 38 of them (80 %). The country coordinates one of
them: EU-SOLARIS .

In
terms of financial commitment to developing these Ris, Spain is committed to
funding 12 of them. They are: LIFEWATCH, IFMIF/EVEDA, EATRIS, ECRIN, ELIXIR, 
INSTRUCT, ESRF UPGRADE, ESSneutrons, XFEL, ILL 20/20, PRACE (ex HPC).

With
regards to its participation in the European Research Infrastructure Consortium
(ERIC), Spain is involved in two of the seven consortia, which adopted the
legal framework designed by the Commission to facilitate the establishment and
operation of Ris of European interest involving several European countries.
Spain is member of ECRIN-ERIC and observer in EATRIS ERIC.

In
terms of support for developing and implementing RIs, the EESTI considers the
‘sustainability and use of scientific and technological infrastructures’ as one
of its specific objectives (sub-objective 2). And the PECTI follows the
strategy and devotes one of its sub-programmes (number four) to research
infrastructures.

The
Spanish roadmap of Unique Scientific and Technological Infrastructures (ICTS)
for national and regional RIs of pan-European interest was adopted in 2010 and
provided an annual budget of  EUR 22 million for the 2010-2013 period.

At
least three large ESFRI installations will be hosted in the country: the
construction in Catalonia of one of the five supercomputers in Europe of the
Partnership for Advanced Computing; the solar research infrastructure
(EU-SOLARIS) at the Advanced Technological Centre for Renewable Energy in Almeria;
and the European Spallation Source (ESS) in the Basque Country, an advanced
centre for researching the atomic and molecular arrangement for materials.

The
budget cuts are causing delays in the payment of Spain's financial contribution
to some international RIs.

The
Conference of Presidents of the Spanish regions agreed to create 24 new
singular scientific Ris in the period 2007-2015.

  
3.2.   Access to research infrastructures of pan-European interest

The
Law of Science, Technology and Innovation (LCTI) from 2011 includes a provision
to remove legal barriers to access RIs, to conform with EU provisions.

On
e-infrastructures, FECYT and the Spanish Public Universities and Research
Libraries Network (REBIUN) launched a national joint programme called RECOLECTA
or Recolector de Ciencia Abierta (Open Science Harvester). RECOLECTA is a
platform that gathers all the national open access scientific repositories and
provides services to repository managers, researchers and decision-makers.

The
objectives of RECOLECTA are:

•           To
promote and coordinate the national infrastructure of open access digital
scientific repositories in an interoperable manner based on the standards
adopted by the global community,

•           To
foster, support and facilitate the adoption of open access policies by all
researchers from R&D centers and universities, the main producers of
scientific knowledge in Spain,

•           To
give greater visibility and both domestic and international application of the
results from research carried out in Spain.

No
concrete information was found on defining common rules to access RIs remotely,
to access confidential data and regarding IPRs.

4.  
OPEN LABOUR MARKET FOR RESEARCHERS

  
4.1.   Introduction to open labour market for researchers

  
4.2.   Open, transparent and merit-based recruitment of researchers

In
2013, the number of researcher posts advertised through the EURAXESS Jobs
portal per thousand researchers in the public sector was 10.6 in Spain compared
with 39.9 among the Innovation Union reference group and an EU average of 43.7.

In
2012, 52 % of university-based researchers were satisfied with the extent to
which research job vacancies are publicly advertised and made known by their
institution (More2 survey, 2012).Ttransparency in recruitment is governed by
Law 19/2013 ‘on transparency, access to public information and good
governance.’ This law is of application in public universities, independent
organisations and State agencies belonging to the general, regional or local
administration. Any organisation receiving public subsidies above EUR 100 000,
or  corresponding to more than 40 % of its annual income, is obliged to make
its procedures public (active dissemination of information) and ensure free
access to the related information.

In
2013, 904 positions in Spanish organisations were published on the EURAXESS
Jobs Portal. This represents 2.25 % of the total number of jobs published that
year.

A
detailed report can be found in the country profile for Spain in the
Researchers’ Report 2014 [http://ec.europa.eu/euraxess/pdf/research\_policies/country\_files/Spain\_Country\_Profile\_RR2014\_FINAL.pdf].

The
following text provides an overview of the current situation and recent
progress made in several key areas.

Stock
of researchers

There
were 130 235 full time equivalent (FTE) researchers in Spain in 2011. This
represents 5.6 researchers per 1 000 labour force compared to 5.3 among the
Innovation Union reference group (Moderate Innovators) and an EU average of
6.7.

  
4.3.   Attractive careers

The
Law on Science, Technology and Innovation includes provisions on adopting and
implementing the Charter and Code. Additionally, the EURAXESS Network in Spain,
through 76 Service Centres (present in most Autonomous Communities), actively
promotes the EURAXESS Rights initiative on implementing the Charter and Code.

By
May 2014, 21 Spanish organisations were involved in the Commission’s Human
Resources Strategy for Researchers of which eight had received the ‘Human
Resource Excellence in Research’ logo for their progress in implementing the
Charter and Code.

The
Law on Science, Technology and Innovation creates a clear researcher career
path by regulating the contractual agreements signed between the researchers
and host institutions. Under this scheme, researchers are considered as civil
servants, but the specificities of the research profession are taken into
account. Moreover, researchers always have the option of choosing a non-civil
servant career path.

  
4.4.   Supporting structured innovative doctoral training programmes

The
number of new doctoral graduates per thousand population aged between 25-34 was
1.2 in 2011 compared to 1.2 among the Innovation Union reference group and an
EU average of 1.7.

In
order to increase the number of students taking science to a doctoral level,
the Spanish government has implemented the Master Plan for Mentoring and
Guidance of Students. The Spanish government has not adopted specific policies
to increase female representation. However, some autonomous communities have
adopted measures to increase the number of women with doctorates. For example,
in the Asturias 64 % of all PhD students are women.

The
Secretariat of State for Research, Development and Innovation of the Ministry
of the Economy and Competitiveness supports researcher training, including the
presentation of a doctoral thesis. Until 2013, this was known as the Formación
de Personal Investigador (FPI) programme, but is now known as ‘Ayudas para
contratos predoctorales para la formación de doctores’, i.e. grants for
pre-doctoral contracts for doctoral training. In December 2013, EUR 6.7 million
was approved for four years (2013-2016) for five centres in total to allow
centres of excellence (those recognised under the FP7) to hire predoctoral
researchers (‘Ayudas para contratos predoctorales Severo Ochoa para la
formación de doctores 2013’).

  
4.5.   International and inter-sectoral mobility

In
Spain in 2011, the percentage of doctoral candidates with citizenship from
another EU-27 MS was 5.2 %  compared to 4.2% among the Innovation Union
reference group and an EU average of 7.7 %. The percentage of non-EU doctoral
candidates as a percentage of all doctoral candidates was 18 % in Spain
compared to 5.2 % among the Innovation Union reference group and an EU average
of 24.2 %.

The
CLARIN programme aims to attract researchers currently working in foreign
institutions to pursue a research career in the Autonomous Community of the
Principality of Asturias.

The
ongoing subprogramme of specialisation in international organisations funds
researchers, technologists, and science and technology managers to spend one to
two years in an international scientific institution in another country.
Following this period, the beneficiary has to develop a one-year project in a
Spanish public research centre or technology-based enterprise.

The
ongoing EMPLEA programme is designed to promote talent and employability
through incentives for hiring and training RDI managers in a wide range of
entities. This includes hiring experts in transferring and adding value to
knowledge, including the preparation of proposals, provision of advice,
management and provision of ongoing impetus to Horizon 2020 projects. The
support takes the form of low-interest loans and a subsidy towards the cost of
training these experts.

5.  
GENDER

  
5.1.   Foster cultural and institutional change on gender

Spain
has set up specific laws or actions to implement EU legislation in the field of
research. Furthermore, the national authorities request the adoption and
implementation of gender equality plans in research performing organisations.

The
Strategic Plan for equal opportunities (2008-2011) includes gender issues in
research. The Strategic Plan for Equal Opportunities (2014-2016) defines the
objectives and priority measures to eliminate any discrimination on grounds of
gender to achieve equal opportunities for women and men. It includes specific
measures addressing research performing organisations (RPOs) and research
policy.

The
Law of Science, Technology and Innovation (LCTI 2011), the Spanish Strategy for
Science, Technology and Innovation (EESTI) and the plan (PECTI) implementing
it, support positive changes regarding gender equality and mainstreaming in
research. Notably, the LCTI introduces a provision according to which public research
bodies should adopt within two years ‘gender balance plans’ that will be 
monitored yearly.

There
are national and regional institutes for women that promote gender equality and
the gender dimension.

The
Women's Institute, founded in the early 1980s, is an autonomous body,
responsible for promoting and fostering the conditions that enable gender
equality and women's participation in political, cultural, economic and social
life.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting gender equality in research || National level || 77 % || 2013 || ERA survey 2014

Share of responding funders supporting gender equality in research || EU level || 82.2 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample which have adopted Gender Equality Plans || ERA compliant cluster (EU level) || 64 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample which have adopted Gender Equality Plans || ERA compliant cluster (national level) || 47.2 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample which have adopted Gender Equality Plans || Limited compliance to ERA cluster (national level) || 14.2 % || 2013 || ERA survey 2014

The
share of research funders in Spain who responded to the survey and support
national policies on gender equality in public research is lower than the EU
average.

Within
the ERA compliant cluster in Spain, the share of research performing
organisations that have adopted Gender Equality Plans is lower than within the
EU ERA compliant cluster.

Spain
has measures supporting return after paternal leave. The LCTI guarantees the
recognition of unemployment benefits and maternity leave for researchers, but
only provided they have a permanent contract.

Indicator || Level/cluster || Value || Year || Source

Share of responding research performing organisations implementing recruitment and promotion policies for female researchers || ERA compliant cluster (EU level) || 53.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations implementing recruitment and promotion policies for female researchers || ERA compliant cluster (national level) || 25.7 % || 2013 || ERA survey 2014

Share of responding research performing organisations implementing recruitment and promotion policies for female researchers || Limited compliance to ERA cluster (national level) || 4.5 % || 2013 || ERA survey 2014

Within
the ERA compliant cluster in Spain, the share of research performing
organisations implementing recruitment and promotion policies for female
researchers is lower than within the EU ERA compliant cluster.

Spain
has set up provisions to integrate the gender dimension in research programmes
and/or projects.

As
foreseen in the LCTI, the EESTI includes ‘gender equality’ and ‘gender
dimension in research’ as one of its five basic principles and the PECTI
mentions gender as a horizontal measure. However, there is not a specific
programme to tackle these issues.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting the inclusion of gender dimension in research content || National level || 1.9 % || 2013 || ERA survey 2014

Share of responding funders supporting the inclusion of gender dimension in research content || EU level || 48.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations which include the gender dimension in research content || ERA compliant cluster (EU level) || 44 % || 2013 || ERA survey 2014

Share of responding research performing organisations which include the gender dimension in research content || ERA compliant cluster (national level) || 27.6 % || 2013 || ERA survey 2014

Share of responding research performing organisations which include the gender dimension in research content || Limited compliance to ERA cluster (national level) || 0.5 % || 2013 || ERA survey 2014

The
share of research funders in Spain who responded to the survey and support
gender dimension in research content/programmes is lower than the EU average.

Within
the ERA compliant cluster in Spain, the share of research performing
organisations that include the gender dimension in research content is lower
than within the EU ERA compliant cluster.

  
5.2.   Gender balance in the decision-making process

Concerning
gender balance in decision making,  the LCTI establishes that the evaluation
and selection committees of the research system should follow the gender
balance principle so that no gender group will account for no more than 60 % or
less than 40 %.

TThe
LCTI also addresses the issue monitoring gender balance at organisation level
with two specific requirements: (1) the Information System of Science,
Technology and Innovation (SICTI) should collect, treat and disseminate data
disaggregated by gender, including indicators on the share of women and
productivity and (2) Public Research Bodies should adopt within two years
gender balance plans that will be monitored yearly, as mentioned above.

The
Law for Equality (2007), the Law of Universities (2007) and the Equality Plan
in the Public Administration (2011) also require a gender-balanced
representation when composing committees.

At
least 14 universities have plans on gender equality, according to the Women’s
Institute.

Indicator || Level/cluster || Value || Year || Source

Share of gender-balanced recruitment committees for leading researchers amongst responding research performing organisations || ERA compliant cluster (EU level) || 33.6 % || 2013 || ERA survey 2014

Share of gender-balanced recruitment committees for leading researchers amongst responding research performing organisations || ERA compliant cluster (national level) || 66.6 % || 2013 || ERA survey 2014

Share of gender-balanced recruitment committees for leading researchers amongst responding research performing organisations || Limited compliance to ERA cluster (national level) || 18.4 % || 2013 || ERA survey 2014

Share of gender-balanced research evaluation panels amongst responding research funding organisations || National level || 44.4 % || 2013 || ERA survey 2014

Share of gender-balanced research evaluation panels amongst responding research funding organisations || EU level || 35.8 % || 2013 || ERA survey 2014

Within
the ERA compliant cluster in Spain, the share of gender-balanced recruitment
committees for leading researchers in research performing organisations is
higher than within the EU ERA compliant cluster.

The
share of gender-balanced research evaluation panels amongst responding research
funding organisations in Spain is higher than the EU average.

6.  
KNOWLEDGE CIRCULATION

  
6.1.   Open access to publications and data resulting from publicly funded
research

The
EESTI includes as an ‘Articulation mechanism’ the promotion of open access to
data, publications and research results financed by public funds, including
guidelines to create shared archives. The PECTI includes the promotion of open
access through technological forums and platforms.

Regarding
open access to publications, the Law of Science, Technology and Innovation
(LCTI) (2011) indicates that publicly-funded research publications have to be
made publicly available after, at the latest, an embargo period of 12 months.
These publications have to be included in an open access repository. Also,
universities and public research organisations should promote the development
of open access institutional repositories.

There
are some regional regulations (e.g. Asturias, Madrid and Catalonia) that
promote open access to peer-reviewed scientific publications at regional level.

Moreover,
up to 26 national research organisations and universities have developed their
own open access to publications policy.

RECOLECTA
is a platform that gathers all the national scientific repositories and
provides services to repository managers, researchers and decision-makers.
Since 2007, it is the result of the collaboration between the Spanish
Foundation for Science and Technology (FECYT) and the Network of Spanish
University Libraries (REBIUN) run by the Conference of Vice-Chancellors of
Spanish Universities (CRUE). Today RECOLECTA has 60 institutional open access
repositories.

Spain
was one of the leading countries to sign the Alhambra Declaration (2010) along
with a group of open access stakeholders (e.g. editors, librarians, funding
agencies, university rectors and authors) from South European countries (Spain,
Portugal, France, Italy, Greece and Turkey), whose main languages are different
from English, to promote open access to scientific publications.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting open access to publications || National level || 74.6 % || 2013 || ERA survey 2014

Share of responding funders supporting open access to publications || EU level || 51 % || 2013 || ERA survey 2014

Share of publicly funded scientific publications in OA amongst responding research performing organisations || ERA compliant cluster (EU level) || 18 % || 2013 || ERA survey 2014

Share of publicly funded scientific publications in OA amongst responding research performing organisations || ERA compliant cluster (national level) || 8.8 % || 2013 || ERA survey 2014

Share of publicly funded scientific publications in OA amongst responding research performing organisations || Limited compliance to ERA cluster (national level) || 5.5 % || 2013 || ERA survey 2014

The
share of research funders in Spain who responded to the survey and support open
access to publications is higher than the EU average.

Within
the ERA compliant cluster in Spain, the share of publicly funded scientific
publications in open access amongst research performing organisations is lower
than within the EU ERA compliant cluster.

Concerning
open access to data, the EESTI specifically promotes open access to data. FECYT
represents Spain in the consortium of OpenAIRE Plus. It is a 30 month project,
funded by the FP7, and its mission is to facilitate access to the ERA’s open
access scientific production of the , providing cross-links from publications
to data and funding schemes.

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting open access to data || National level || 5.6 % || 2013 || ERA survey 2014

Share of responding funders supporting open access to data || EU level || 33.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations making scientific research data available on-line and free of charge || ERA compliant cluster (EU level) || 54.2 % || 2013 || ERA survey 2014

Share of responding research performing organisations making scientific research data available on-line and free of charge || ERA compliant cluster (national level) || 31.7 % || 2013 || ERA survey 2014

Share of responding research performing organisations making scientific research data available on-line and free of charge || Limited compliance to ERA cluster (national level) || 13.6 % || 2013 || ERA survey 2014

The
share of research funders in Spain who responded to the survey and support open
access to data is lower than the EU average.

Within
the ERA compliant cluster in Spain, the share of research performing
organisations making available online and free of charge publicly-funded
scientific research data systematically is lower than within the EU ERA
compliant cluster.

With
respect to repositories, OpenDoar, a website directory of academic open access
repositories, indicates that Spain has 109 open-access repositories.

Latindex
and Dialnet are repositories for research publications done in Spanish and
Portuguese-speaking countries.

The
FECYT (Fundación Española para la Ciencia y la Tecnología – Spanish Foundation
for Science and Technology) facilitates access to bibliographic research
information (Web of Knowledge and Scopus) for researchers working at national
research organisations. At regional and institutional level, purchases by
consortia of university libraries are common. REBIUN provides access to the
archives of 74 public universities and exchanges.

Regarding
e-infrastructures, the national joint programme called RECOLECTA provides a
free open access platform and support to Spanish repositories so that they
comply with international standards of interoperability and sustainability.

  
6.2.   Open innovation and knowledge transfer between public and private
sectors

In
relation to open innovation and knowledge transfer between public and private
sectors, Spain has not developed a specific knowledge transfer strategy.
However, the LCTI, EESTI and PECTI encourage open circulation of knowledge
between companies and research organisations.

The
LCTI introduced changes in the IPR domain so that researchers can benefit from
their patent earnings. It also introduced other changes to facilitate knowledge
transfer: (1) increasing the value of transfer activities, (2) promoting the
‘units of excellence’, or (3) developing an open-access archive with research
results. The LCTI encourages the creation of Technology Based Enterprises
(EBTs) by allowing researchers to work part-time in private firms created by
the organisations in which they are working and eliminating restrictions to the
maximum share ownership of a private company (10 %) and being a board member in
private companies.

Two
calls provide funding (EUR 267 million) to promote the collaboration between
research centers and universities and the private sector in R&I projects

One
of the specific objectives of the PECTI is to increase public-private
cooperation in RDI. The plan does not refer to specific agreements, but to
specific projects. In this context, Spain has recently designed support
schemes. The ‘Business leadership programme’ provides public funding (EUR 831.9
million) through its three sub-programmes: (1) private RDI; (2) enabling
technologies; and (3) collaborative RDI.  The Torres Quevedo Programme (EUR
22.5 million) provides funding to recruit doctors with a proven working track
record in companies. The Torres Quevedo Programme (EUR 22.5 million) provides
funding to the recruitment of doctors with a proven working track record in
companies.

Spain
is a member of EDUgain through SIR. RedIRIS is the Spanish National Research
and Education Network (NREN), a specialised Internet service provider dedicated
to supporting the needs of the research and education communities within the
country.

Concerning
open innovation, Spain has decided to focus on preparing an annual plan that
will facilitate the knowledge management (more than knowledge transfer).

Indicator || Level/cluster || Value || Year || Source

Share of responding funders supporting the implementation of knowledge transfer as part of its institutional and/or project-based funding || National level || 99.9 % || 2013 || ERA survey 2014

Share of responding funders supporting the implementation of knowledge transfer as part of its institutional and/or project-based funding || EU level || 82.9 % || 2013 || ERA survey 2014

Share of responding research performing organisations' research and development budget financed by the private sector || ERA compliant cluster (EU level) || 6.8 % || 2013 || ERA survey 2014

Share of responding research performing organisations' research and development budget financed by the private sector || ERA compliant cluster (national level) || 11.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations' research and development budget financed by the private sector || Limited compliance to ERA cluster (national level) || 3.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations having or using a structure for knowledge transfer activities || ERA compliant cluster (EU level) || 75 % || 2013 || ERA survey 2014

Share of responding research performing organisations having or using a structure for knowledge transfer activities || ERA compliant cluster (national level) || 58.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations having or using a structure for knowledge transfer activities || Limited compliance to ERA cluster (national level) || 30.9 % || 2013 || ERA survey 2014

Share of responding research performing organisations having dedicated staff employed in knowledge transfer activities || ERA compliant cluster (EU level) || 66.3 % || 2013 || ERA survey 2014

Share of responding research performing organisations having dedicated staff employed in knowledge transfer activities || ERA compliant cluster (national level) || 57.1 % || 2013 || ERA survey 2014

Share of responding research performing organisations having dedicated staff employed in knowledge transfer activities || Limited compliance to ERA cluster (national level) || 30.5 % || 2013 || ERA survey 2014

Share of research personnel whose primary occupation is in the private sector (in headcount) || ERA compliant cluster (EU level) || 2.9 % || 2013 || ERA survey 2014

Share of research personnel whose primary occupation is in the private sector (in headcount) || ERA compliant cluster (national level) || 5.2 % || 2013 || ERA survey 2014

Share of research personnel whose primary occupation is in the private sector (in headcount) || Limited compliance to ERA cluster (national level) || 0.3 % || 2013 || ERA survey 2014

The
share of research funders in Spain who responded to the survey and support KT
and OI, TTOs and Private Public interaction is higher than the EU average.

Within
the ERA compliant cluster in Spain, the share of research performing
organisations having funding originating from the private sector is higher than
within the EU ERA compliant cluster.

Within
the ERA compliant cluster in Spain, the share of research performing
organisations having or using a structure for knowledge transfer activities is
lower than within the EU ERA compliant cluster.

Within
the ERA compliant cluster in Spain, the share of research performing
organisations having dedicated staff employed in knowledge transfer activities
is lower than within the EU ERA compliant cluster.

Within
the ERA compliant cluster in Spain, the share of research personnel whose
primary occupation is in the private sector (in full time equivalents) is
higher than within the EU ERA compliant cluster.

  
6.3.   Harmonise policies for public e-infrastructures and associated digital
research services

In
relation to implementing the Digital ERA, Spain has not set up a strategy for
its implementation. The country has implemented a research and education
network, essential to make digital services possible.

RedIRIS
is the Spanish National Research and Education Network (NREN), a specialised
Internet service provider dedicated to supporting the needs of the research and
education communities within the country.

Concerning
digital research services, FECYT provides access to bibliographic research
databases (Web of Science and Scopus) to Spanish researchers. In addition,
FECYT offers to researchers a Normalised Curriculum Vitae (CVN), that is a
national standard  between institutions that facilitates the data interchange
and the research evaluation processes.

The
country provides federated services, like the services offered by FECYT to
access to the main bibliographic research database (Web of Science), cloud
services, and collaboration support.

The
Digital Agenda for Spain is a soft action adopted in 2013 that provides a
framework reference and a roadmap for the Digital Agenda strategy for 2013-2015
in order to develop the digital economy and society. One of its main objectives
is to increase the efficiency of information technology investments in RDI.

Indicator || Level/cluster || Value || Year || Source

Share of responding research performing organisations providing digital research services (i.e. cloud services, research collaboration platform, etc.) || ERA compliant cluster (EU level) || 80.8 % || 2013 || ERA survey 2014

Share of responding research performing organisations providing digital research services (i.e. cloud services, research collaboration platform, etc.) || ERA compliant cluster (national level) || 59.7 % || 2013 || ERA survey 2014

Share of responding research performing organisations providing digital research services (i.e. cloud services, research collaboration platform, etc.) || Limited compliance to ERA cluster (national level) || 34.4 % || 2013 || ERA survey 2014

Within
the ERA compliant cluster in Spain, the share of research performing
organisations providing digital research services (i.e. cloud services,
research collaboration platform, etc.) is lower than within the EU ERA
compliant cluster.

  
6.4.   Uptake of federated electronic identities

Spain
was not a member of an identity federation in 2013. The county is member of
EDUgain through SIR, a service intended to enable the trustworthy exchange of
information related to identity, authentication and authorisation between the
GÉANT (GN3plus) partner federations.

Indicator || Level/cluster || Value || Year || Source

Share of responding research performing organisations in the sample providing federated electronic identities for their researchers || ERA compliant cluster (EU level) || 38.5 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample providing federated electronic identities for their researchers || ERA compliant cluster (national level) || 41.8 % || 2013 || ERA survey 2014

Share of responding research performing organisations in the sample providing federated electronic identities for their researchers || Limited compliance to ERA cluster (national level) || 13.9 % || 2013 || ERA survey 2014

Within
the ERA compliant cluster in Spain, the share of research performing
organisations providing federated electronic identities for their researchers
is higher than within the EU ERA compliant cluster.

7.  
NOTES ON THE 2014 ERA SURVEY RESULTS

  
7.1.   Comments

A
total of 128 research performing organisations in Spain answered the 2014 ERA
survey, which represents 18.7% of the total number of researchers in the
country (total number of researchers in the country as of 2011).

The
principal component and clustering analysis of research performing
organisations in Spain shows that 39.5 % of them are in the ‘ERA compliant’
cluster, 48.4 % can be classified in the ‘limited compliance to ERA’ cluster
and 12.1 % of organisations in the ‘ERA principles are not applicable’ cluster.
However, when the organisations are weighted by the number of researchers in
each organisation, the results significantly vary. Indeed, the shares of
‘weighted’ organisations are 59.2 % for the ‘ERA compliant’ cluster, 39.0 % for
the ‘ERA limited compliant’ cluster and 1.8 % for those organisations where ERA
principles are not applicable.

However,
it should be noted that some regional authorities, which fund research, did not
responded to the survey.

Also,
one very important research performing organisations is amongst the 'ERA
limited compliance group' and this makes some indicators lower.

For
the indicator 'Share of institutional funding allocated based on institutional
assessment and/or evaluation', it should be noted that the majority of
respondents to this question did not specify how much was based on an
institutional assessment.

For
the indicator 'Share of funder's research and development budget dedicated to
jointly defined research agendas with non-national EU organisations', it should
be noted that the low percentage is due to the fact that  foreseen calls were
not launched on time, due to budgetary restrictions.

For
the indicator 'Share of gender-balanced recruitment committees for leading
researchers in research performing organisations', it should be noted that the
result is considerably higher than the EU average, due to the existence of
binding legislation.

For
the indicator 'Share of publicly funded scientific publications in OA amongst
research performing organisations', it should be noted the existence of the new
law, but it has not yet been enforced.

Policy
measures in support of ERA implementation

Initiative || Adopted in || Adopted since 2012 || New measure since 2013

Project-based funding applying the core principles of international peer review

National Agency for Research || 2013 || X || X

Spanish Strategy for Science, Technology and Innovation (EESTI) (2013-2020) || 2013 || X || X

Spanish State Plan for Scientific and Technical Research and Innovation (PECTI) (2013-2016) || 2013 || X || X

Research and Innovation Strategy for the Smart Specialisation of the regions || 2013 || X || X

Implementing joint research agendas

Joint Programming Initiatives Article 185 initiatives || || ||

Bilateral and multilateral agreements in research || || ||

Financial commitments for the construction and operation of ESFRI, national and regional research infrastructures of pan-European interest

National research infrastructure roadmap - Update || 2013 || X || X

Law of Science, Technology and Innovation - LCTI 2011 || 2011 || ||

Conference of Presidents of the Regions (agreement to create new research infrastructures) || 2007 || ||

Access to research infrastructures of pan-European interest

Law of Science, Technology and Innovation - LCTI 2011 || 2011 || ||

Open, transparent and merit-based recruitment of researchers

Statute for Research Interns || 2006 || ||

Attractive careers

Human resources training programme "Salvador de Madariaga" || || ||

Ramon y Cajal Programme (RyC) posdoctoral senior grants || 2005 || ||

Juan de la Cierva Programme || 2004 || ||

Euraxess in Spain || 2004 || ||

Accreditation and grants 'Centros de Excelencia Severo Ochoa' || 2013 || X || X

International and inter-sectoral mobility

Blueprint of a Law to support entrepreneurs and their internationalisation || 2013 || X || X

Foster cultural and institutional change on gender

The Women's Institute || 1980 || ||

Gender balance in the decision-making process

Law of Science, Technology and Innovation - LCTI 2011 || 2011 || ||

Law of Science, Technology and Innovation - LCTI 2011 || 2011 || ||

Strategic Plan for equal opportunities || 2008 || ||

14 University plans on gender equality || || ||

National and regional Institutes for women  promote gender equality and the gender dimension || || ||

Strategic Plan for Equal Opportunities (2014-2016) || 2014 || X || X

Law for Equality || 2007 || ||

Law of Universities || 2007 || ||

Equality Plan in the Public Administration (2011) || 2011 || ||

Open access to publications and data resulting from publicly funded research

Digital Agenda for Spain || 2013 || X || X

Law of Science, Technology and Innovation - LCTI 2011 || 2011 || ||

Spanish State Plan for Scientific and Technical Research and Innovation” (PECTI) (2013-2016) || 2013 || X || X

Alhambra Declaration on Open Access || 2010 || ||

RECOLECTA || 2007 || ||

Latindex and Dialnet provide open access to publicationsdone in Spanish or Portuguese || || ||

REBIUN (Spanish Public Universities and Research Libraries Network) provides access to searches to the archives of 74 institutions || 2002 || ||

Open innovation and knowledge transfer between public and private sectors

Subprogramme of Institutional Strengthening in the PECTI || 2008 || ||

INNPACTO subprogramme || 2010 || ||

Law of Science, Technology and Innovation (LCTI 2011) || 2011 || ||

Business leadership programme || 2013 || X || X

Harmonise policies for public e-infrastructures and associated digital research services

RECOLECTA || 2007 || ||

Uptake of federated electronic identities

IRIS Network || 1988 || ||

eduGAIN || || ||

|| || ||

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