Source: EURLEX
Language: en
Format: md

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# 52012SC0211

**COMMISSION STAFF WORKING DOCUMENT EXECUTIVE SUMMARY OF THE IMPACT ASSESSMENT Accompanying the document Communication from the Commission to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions A Reinforced European Research Area Partnership for Excellence and Growth (Text with EEA relevance)**

  

COMMISSION STAFF WORKING DOCUMENT

EXECUTIVE SUMMARY OF THE IMPACT ASSESSMENT

Accompanying the document

Communication from the Commission
to the European Parliament, the Council, the European Economic and Social
Committee and the Committee of the Regions

A Reinforced European Research
Area Partnership for Excellence and Growth
(Text with EEA relevance)

1.           Introduction

The European Research Area (ERA) is a unified
research area open to the world based on the Internal Market, in which
researchers, scientific knowledge and technology circulate freely and through
which the Union and its Member States shall strengthen their scientific and
technological bases as well as their competitiveness
and their capacity to collectively address grand challenges.

Launched in
March 2000, ERA has become one of the key objectives of the Union since the
entry into force of the Lisbon Treaty[1].
An ERA framework and supporting measures were announced in the 2010 Innovation
Union (IU) flagship[2]
initiative of the Europe 2020 Strategy[3].
On 2 occasions (in February 2011 and March 2012) the European Council has
called for ERA to be completed by 2014.

In a context of economic crisis, there is
an urgent need for research and research-based solutions and the promotion of
scientific excellence in regions and countries to support economic growth. Completing
ERA will help to overcome the negative effects on Europe’s research
effectiveness of fragmentation in the design and implementation of research
policies and activities.

2.           Problem
definition

2.1.        Main
barriers hampering research performance in ERA

The EU is still a key player in the
international research and development (R&D) landscape, but it is facing a series of crucial challenges which
require urgent responses such as the financial crisis, low economic growth, and
the ageing population.

The EU flagship Innovation Union
initiative, to promote growth and jobs - sets out a comprehensive agenda to
ensure that innovative ideas can be turned into products and services, with
research as a major component. Indeed, Europe invests too little in research
compared to major competitors (1.9 % of GDP in Europe in 2008 as against 2.5 %
of GDP in the US). Knowledge production is concentrated in a relatively small
number of Member States. European research does not address sufficiently cutting-edge
areas (e.g. information and communication technologies, nanotechnology,
biotechnology, molecular biology, genetics) which can generate technological
breakthroughs. This does not foster innovation, which is essential for the
European economy's enhanced competitiveness and attractiveness.

Research in Europe is structured in a highly
variable and fragmented way. The European Research Area (ERA) seeks to overcome
fragmentation and create the best conditions to carry out research in Europe. Since
2000, the European Union and the Member States have progressed together to make
ERA a reality, but several barriers still remain.

Insufficient competition in national
research systems: Limited competition amongst
research institutions and universities leads to insufficient specialisation.
This does not create the right conditions for improving scientific quality. The
share of public funding allocated through open calls for research proposals varies
between 20 % and 80 %, with an average of 40 %. The evaluation
of researchers and research proposals is not based on comparable standards
across countries.

Barriers to pan-European cooperation and
competition remain: Barriers are formed by the low
compatibility and interoperability of national research programmes. There is
not enough flexibility to enable national programmes to cooperate across
borders and to provide access large national research infrastructures of
European interest as well as pan-European research infrastructures. This means that
Europe is not taking up opportunities to enhance
the quality and impact of its research.

Persistent distortions among national
labour markets for researchers: Barriers are mainly
caused by different approaches to merit-based recruitment, institutional
autonomy, lack of use of best practices in designing human resources strategies
for researchers and in promoting researcher mobility, as well as unattractive
working conditions for young researchers and foreign researchers. Different conditions also apply to the portability of, and access to,
grants. This leads to reduced researchers mobility and fewer
career opportunities.

Limited progress on gender equality and
gender dimension in research content: Not all
Member States implement policies to benefit from the talent of female
scientists and from the inclusion of a gender dimension in research content, in
the same way not all stakeholder organisations implement gender action plans to
achieve gender equality. This undermines the quality and
relevance of European research by not making full use of a diverse
scientific human resource potential, leading as a result to adverse social
and economic effects.

Restricted circulation of and uneven
access to scientific knowledge: Member States are
not all equally advanced in supporting open access policies which could help
reduce information asymmetries. A number of barriers prevent researchers from
having seamless access to electronic research services, including different
national ‘usage’ policies for publicly funded research e-infrastructure.
Knowledge transfer between public research institutions and the private sector is
still insufficient when compared with the US. This affects scientific quality as
well as R&D‑derived economic outcomes in both the
public and the private sectors.

2.2.        The
EU’s right to act, subsidiarity and EU added value

The Treaty states that research policy is a
shared competence between Member States and the Union. Article 179 of the
Treaty on the Functioning of the European Union (TFEU) lays down the right for
the Union to create the necessary conditions for realising the European
Research Area. Article 182(5) TFEU provides for the use of the legislative
procedure to establish the necessary measures for the implementation of the
European Research Area.

The completion of ERA does not call into question the
sovereignty of the Member States. In ERA, national research systems do not
disappear but work together in an open way. The policy options selected respect
the subsidiarity principle to the extent that the Union is best placed to identify
areas of actions for Member States, given the persistent barriers and the
limited progress observed 12 years after the launch of ERA. European
added-value is demonstrated by several reasons. First, optimal allocation of
activities – where necessary - will be attained through a coordinated approach,
improving effectiveness of research systems and reducing unnecessary
duplication of efforts. Second, level playing field and critical mass are
expected to be achieved from the implementation of ERA, thus allowing creating
the conditions for the most productive research teams to work together and to
be competitive internationally. Third, European impetus maximises the possibility
of completing ERA in the short term, given the persistence of national barriers
mentioned above. Fourth, the European Union level is the best one to assess
objectively whether progress has been attained, whether it is proportionate;
and whether there is a need for further action to improve the situation.

3.           Policy
Objectives

The overarching policy goal of the European
Research Area is to increase the performance, excellence and impact of Europe’s
R&D system. This will help the EU get back onto the path of economic growth
by fostering scientific excellence and research, underpinning innovation and
increasing the attractiveness of the EU as a research location.

The objective
of the Communication is to identify and promote actions which ensure that by
2014 the adequate conditions are in place for improving the effectiveness of
European research systems.

These conditions will allow: 1. an increased effectiveness of national systems; 2.an optimal level
of transnational cooperation and competition; 3. a more open labour market for
researchers; 4. gender equality and gender mainstreaming in research; and 5. an
optimal circulation and transfer of scientific knowledge, including via digital
ERA.

4.           Policy
Options

Policy option 1: Business as usual
(BAU): This option would entail the continuation of
current policies, with no additional national and European efforts to remove
barriers. The major development would be the adoption and implementation in
2014 of Horizon 2020, possibly with an increased budget to support cross-border
research and innovation activities.

Policy option 2: Reinforced partnership
for ERA: Member States would be invited to
undertake voluntary structural reforms. Research stakeholder organisations would
also engage to undertake to take measures to implement ERA. The Commission would
propose different types of measures (such as Recommendations) in order to
complete ERA and accompany partners in achieving the objectives. The Commission
would assess progress every year, identifying areas where further changes would
be needed.

Policy option 3: Sectoral legal measures
for ERA: This policy option would include a number
of binding legal measures proposed by the Commission in several areas (i.e.
topic-specific sectors) as required. In addition, voluntary action by Member
States would complement the legal measures, addressing those sectors where
Member States and stakeholders are best placed to address key barriers.

Policy option 4: ERA Framework
Directive: This policy option would consist of an
overall legal approach in the form of a comprehensive package (Framework
Directive) containing legally-binding measures, with Member States choosing the
appropriate means to achieve the results required by the Directive.

5.           Analysing
the impacts and comparing the policy options

The policy options propose different
mechanisms to remove barriers and promote more effective research systems. These
options are expected to attain similar impacts (e.g. economic, social and
environmental impacts, research excellence and performance) once ERA is
completed. Thus, the main differences between the options in terms of impacts lie
in the timing for delivering the expected results, the related implementation
costs and the degree of acceptance by Member States and stakeholders.

Box 1: Overall impacts of removing barriers
to complete ERA

Economic
impact: Public and private sectors in all the Member
States will benefit from the increased effectiveness created by: more funding
allocated to best performing researchers; more cooperation among Member States;
better solutions to societal challenges; increased quality and relevance of
research through a better consideration of the gender dimension throughout the
research process; a better use of available trained researchers, in particular
women; and improved access to knowledge for public and private sectors
everywhere, particularly in less advanced regions. If completing ERA means reallocating
national funds to transnationally coordinated research, this could benefit the
EU’s economy (0.25 % additional GDP growth) and job market (323 000
additional jobs) in 2030. However, costs will be incurred by Member States'
administrations and businesses, depending on the type of barriers to be
removed.

ERA will lead
to greater focus on the financial sustainability of scientifically strong fields,
as well as a coordinated demand for the provision of interoperable and
effective digital research services, which would boost the ICT sector and ICT
innovation in the EU. Open access would bring significant benefits to most
players and potential savings for many institutions.

Social
impacts: positive impacts, both direct and indirect,
would be expected from better research staff performing more effectively and
from enhanced R&D cooperation. Measures in favour of a digital ERA would benefit
researchers in smaller and less-advanced Member States and regions. ERA would
also have a positive impact on fundamental rights, in particular as regards the
respect for gender equality, freedom of expression, and freedom of arts and
sciences.

Environmental
impacts: environmental issues would be addressed
jointly and research would be better coordinated. This would avoid unnecessary
duplication and thus increase efficiencies.

5.1.        Assessing
the options

Policy option 1: Existing barriers would remain, preventing greater efficiency from being
achieved in national systems. There would be benefits as a result of the
implementation of Horizon 2020. This option would not respond to the European Council’s
call, and stakeholders’ expectations, to complete ERA.

Policy option 2: Substantial but possibly uneven progress would be expected by 2014.
Member States would remove barriers in areas where action is most needed, with
low administrative burden. They would mobilise stakeholders — research funding
and performing organisations — to contribute towards completing ERA. At this
stage there is a consensus, in particular among the Member States, to employ voluntary
measures to complete ERA. This option would meet Member States expectations.

Policy Option 3: This option would entail slow and uneven progress towards
completing ERA by 2014, but substantial progress in the long run in areas where
(and when) legislative measures would be adopted. Implementation would be
delayed, at least until 2017, and would impose a heavy burden on national
administrations and the Commission. Most Member States have not shown strong
support to legislation in this area, making it very difficult to take this
option through the Council.

Policy Option 4: This option would deliver the best results but only in the long run
if legislation is adopted. It would require time to undertake a thorough assessment
of the existing situation in order to develop the principles and mechanisms to be
included in the overall framework, which would be presented in 2013/14. The negotiation
of the full set of measures would be burdensome and lengthy and the operational
implementation of measures would be delayed until after 2017 at the earliest.
It would impose extremely heavy burdens on public administrations and the
Commission. As in the previous option, it would be very difficult to take this
option through the Council.

5.2.        Choosing
the preferred policy option

Policy option 2 ‘Reinforced partnership for
ERA’ is the only option which allows for substantial progress towards the completion
of ERA by 2014, and it would entail the lowest cost. Moreover, this option includes
the development of an assessment system which will help in identifying future action.
Therefore, the preferred policy option is ‘Reinforced partnership for ERA’.

6.           Monitoring
and evaluation

The ERA monitoring mechanism will be
established in order to assess progress by Member States and stakeholder
organisations with respect to a number of indicators linked with the actions
included in the policy option selected. On the basis of Member States' reports
on measures leading towards ERA, in September every year the Commission will
present an ERA Progress Report.

The report will assess the steps taken and
may include possible recommendations. It is meant to serve as a basis for
political steering to be proposed by the Commission to the Competitiveness
Council; and also for the discussions within the ERA stakeholder forum. It
could also contribute to the Annual Growth Survey which guides national reforms
by Member States in the context of the European Semester, or to identify legal
action.

[1]               Article 179(1) TFEU states that: ‘The Union shall
have the objective of strengthening its scientific and technological bases by
achieving a European research area in which researchers, scientific knowledge
and technology circulate freely (…)’.

[2]               COM(2010) 546 final.

[3]               COM(2010) 2020 final .

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