Launch of the public consultation on the - European … · reference Theme specific • ... LAUNCH OF THE PUBLIC CONSULTATION ON THE ... • Q1 : Does the European research sector

Launch of the public consultation on the ERA Framework

Areas of untapped potential for the development of the European Research Area

ERAC Stakeholders' Seminar Brussels, 13 September 2011

Opening session

Towards a new ERA Framework

ERA Framework – Terms of

reference Theme specific

• Researchers

• Cross-border operation of funding organisations and research performing organisations

• Research infrastructures

• Knowledge circulation

• International dimension

Cross-cutting

• Definition and objectives for ERA;

• Ensure systematic links and coherence in EU and MS policies and complementarity between them

• The international nature of science and the largely national political framework;

• ERA relevant information and monitoring of ERA and its objectives;

• Ensure openness and enable free movement

ERA Vision 2020 - preamble

By 2020, all actors fully benefit from the “Fifth Freedom” across the ERA: free circulation of

researchers, knowledge and technology. The ERA provides attractive conditions and effective

and efficient governance for doing research and investing in R&D intensive sectors in Europe. It

creates strong added value by fostering a healthy Europe-wide scientific competition whilst

ensuring the appropriate level of cooperation and coordination. It is responsive to the needs and

ambitions of citizens and effectively contributes to the sustainable development and

competitiveness of Europe.

IS OUR ERA Y

Session I

Managing and monitoring the ERA partnership

research policy

strategy

governance

partnership

coordination

Member States

Managing and monitoring

the ERA partnership

The Current ERA

Governance and

Coordination Mechanisms

Prof. Susana Borrás

Copenhagen Business School

Denmark

ERAC Stakeholders’ seminar

Launch of the public consultation on ERA framework

Brussels, September 13th 2011

Contents

• What is ”Governance”?

• ERA Governance: Which

mechanisms and instruments?

• How do they work? Are there any

deficiencies and limitations?

• What can be done?

12

”Governance” is…

• … the capacity of a society to develop some means of making and implementing collective choices.

• ”Governance” is much broader than ”public action” taken by governments. It includes as well aspects of public-private collaboration and other forms of participatory means to reach collective goals and aspirations.

• Therefore ERA governance can be defined as: The capacity of Europe to develop some means of making and implementing its own politically defined collective choices regarding the levels of research and technological development for Europe. 13

ERA Governance: Which mechanisms?

1) EU Funding programmes

– Goal: European funding generating

European added value

– What mechanisms? • Today FP7: € 50bn; as well as Innovation CIP: €

3.6bn [Structural Funds: ~ € 86bn for R&I]

• Future funding program “Horizon 2020” will bring FP7 + EIT + CIP together

• Innovation Partnerships within the ”Innovation Union” flagship initiative of the ”Europe 2020” (previous Lisbon Strategy)

14

2) Coordination of national policies

– Goal: Voluntary coordination mechanisms in

order to foster: • Convergence of national policies

• Mutual learning through peer reviews and benchmarks

• Policy guidelines and general recommendations

– What mechanisms? • The Open Method of Coordination (5-rounds of

OMC during the Lisbon Strategy)

• Ljubljana Process: Definition of 5 ERA partnership initiatives

• New coordination instruments within/outside FP7: ERA-Nets, Art. 185, Joint Programming.

15

3) Legislation

– Goal: Legally binding activities in Europe in the

research policy field or in other fields with impact on

research-related activities

– What governance mechanisms:

• Today: Regulation for research infrastructures (ERIC)

• Today: Directive for third country researchers (Justice), State

aid rules for R&D&I (Competition), Harmonization of biotech

patents (not Community Patent, nor computer-related

inventions patent) (Single Market)

• Future: the new Treaty articles offer a new framework for

future EU legislation (TFEU art. 179 about ERA, and 182 (5)

as the new basis for ERA legislation)

16

• Funding programs: Generally reached their goals but:

• Need more consistent interaction (”Horizon 2020”)

• Need a moratorium and simplification of instruments

• Need focus on the effectiveness of the new FP7 instruments (ERC and JTIs)

• Coordination: Positive new steps, but:

– The new coordination instruments inside/outside FP7 (like Joint

Programming, ERA-NETs, ERA-NET Plus, Article 185, and Innovation

Partnerships) :

• are very new, but will need to be carefully assessed

• There is still an unclear distinction between them – Need moratorium as well

– The Open Method of Coordination has fostered learning, but:

• Learning is too much person-dependent, and no evidence of convergence

• Issues of organizational capacity at national level are important

• Legislation: Good aspects like block exemptions, but:

• There is little legislative dimension of research and research-related policy: The new

Treaty offers new possibilities

• Some legislative areas have been problematic (f.eks. Harmonization of intellectual

property rights)

17

How do they work?

What can be done?

A) Improve coherence between EU and national policy, as

there is still a EU27+1 separation

Would require focus on overall ERA governance going beyond

the current main focus on managing funds

B) Enhance efficiency in ERA. There is a ”jungle” of too many

policy instruments in FP7 and in ERA

Would require a moratorium and even reduction of the number of

instruments.

C) Develop the principle of EU-national level partnership,

which remains underdeveloped

Would require developing ERA “coordination” and “legislation”

mechanims to their full potential

18

D) Enhance support capabilities for strategic decisions in ERA.

The transformation of CREST into ERAC is a good step, but need

to enhance support capabilities

Would require structures for the monitoring and evaluation of ERA

mechanisms.

E) Generate governance overview for strategic purposes

Would require considering appropriate governance structures by

developing a theme-specific ERA initiatives (as today) or a single

comprehensive ERA framework, or both.

F) Strenghten stakeholder participation. Stakeholder participation

is still limited to EURAB.

Would require rethinking and expanding national stakeholders’

participation in ERA governance

19

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Session II

Researchers

Researchers

European labour market

human resources

mobility

Charter and Code

careers

people

Amsterdam • Barcelona • Cambridge • Edinburgh • Freiburg • Genève • Heidelberg • Helsinki • Leiden • Leuven • ICL (London)

UCL (London) • Lund • Milano • LMU München • Oxford • UPMC (Paris) • Paris-Sud 11 • Strasbourg • Utrecht • Zürich



ERAC STAKEHOLDERS’ SEMINAR

LAUNCH OF THE PUBLIC CONSULTATION ON THE

ERA FRAMEWORK – SESSION II RESEARCHERS

Prof Dr Kurt Deketelaere, Secretary-General LERU

Dr Katrien Maes, Chief Policy Officer LERU

Brussel, Berlaymont, 13 September 2011



ERA Framework Public Consultation

• Q1 : Does the European research sector attract and retain sufficient

numbers of leading researchers (including from third countries) ? If

not, what are the reasons for this ?

• Q2 : Does the European research sector produce enough researchers

with adequate skills ? If not, what are the reasons for this ?

• Q3 : What are the obstacles to the inter-sectoral and transnational

mobility of researchers? What are the causes/drivers of these

obstacles ?

Answers : Yes ? No ? Yes, but ? No, but ?

Consensus re reasons, obstacles, causes, drivers, solutions ?



Cf Innovation Union Communication (06.10.10)

2.1. Promoting excellence in education and skills development

“The number of researchers in Europe as a share of the population is well

below that of the US, Japan and other countries. The EU will need at least one

million new research jobs if it is to reach the R&D target of 3%. The number of

researchers required is significantly higher, as many researchers will retire

over the next decade. The EU and its Member States should strengthen their

capacity to attract and train young people to become researchers and offer

internationally competitive research careers to keep them in Europe and

attract the best from abroad. In this respect, the Marie Curie fellowships under

the Research Framework Programme are playing an important role to

strengthen the skills development, mobility and careers of researchers across

borders. More broadly, more needs to be done to address innovation skills

shortages and to implement European e-skills agenda. This is crucial to

accelerate the development and the adoption of innovative business models

by European enterprises, especially SMEs.”



Cf Innovation Union Communication (06.10.10)

6. Leveraging our policies externally

“Europe's success depends on its ability to reverse several decades of a relative

'brain-drain‘ and to attract leading talent. European universities and research

institutes award many thousands of degrees in science and engineering to

foreign nationals every year. These people should be given the option of

remaining in Europe, by exploiting the possibilities under the Scientific Visa

Package and the Blue Card scheme. Beyond the necessary legal entitlements,

they must be convinced that Europe's universities and research centres and the

innovation clusters around them are places of global excellence, and that living

and working conditions are attractive.

For Europe to be successful in this global push for excellence, it must further

deepen its international scientific and technological cooperation. The EU's

research programmes are already among the most open in the world. Europe's

markets are also the most open in the world, giving investors access to an

integrated and competitive internal market of 500 million customers based on

clear, predictable and fair rules.”



Cf CSF Green Paper (09.02.11)

4.4. Strengthening Europe’s science base and the ERA

“The setting up of the ERC was a major step forward in raising the excellence of Europe's

science base. A strengthening of its role could involve both the weight it occupies and the

instruments it uses. Important lessons must be drawn from the experience of those regions and

countries which have managed to nurture the world's most excellent public research

institutions, through concentration of funding and a combination of project grants and

institutional support schemes.

In the long term, world class excellence can only thrive in a system in which all researchers

across the EU are provided with the means to develop into excellence and eventually compete

for the top spots. This requires Member States to pursue ambitious modernisation agendas for

their public research base and sustain public funding. EU funding, also through the Cohesion

policy Funds, should assist to build up excellence where and as appropriate.

A major achievement in training and transfer of knowledge are the EU Marie Curie actions,

which have boosted cross-border mobility and research collaboration by many thousands of

researchers. Marie Curie actions have also played an important role in equipping the next

generation of researchers with innovative skills, in particular through industry-academic

exchanges.”



Cf Recent reports on research careers

• Doctoral degrees beyond 2010: Training talented researchers for society. LERU paper.

March 2010.

• Harvesting talent: Strengthening research careers in Europe. LERU paper. January

2010.

• Research careers in Europe: Landscape and horizons. ESF report. 2010.

• Collaborative doctoral education: University-Industry partnerships for enhancing

knowledge exchange. EUA report. 2009.

• Research careers in the UK: A review. Nigel Thrift. 2009.

• Towards a European framework for research careers. European Commission (DG

Research and Innovation) report. July 2011.

• Social security, supplementary pensions and new patterns of work and mobility:

Researchers’ profiles. Expert Group final report for the European Commission (DG

Research). September 2010.

• Study on mobility patterns and career paths of EU researchers. Final report of the

MORE project to the European Commission. June 2010.

• Conclusions of the EU/Belgian Presidency conference “Career and mobility of the

researcher”. November 2010. http://www.researcherscareer2010.be

http://www.researcherscareer2010.be/










Q1 : Does the European research sector attract and retain

sufficient numbers of leading researchers (including from third

countries) ? If not, what are the reasons for this ?

• What is “sufficient” ?

• ERC grants, Marie Curie grants

• Research environment (person, institution)

• Government regulation v incentives

• Public institutions v Market-driven behaviour

• EC initiatives (Charter & Code/HR Strategy - Logo) !

• Cf LERU recommendations



Universities

– creating and managing the environment

– supporting researcher independence

– creating and implementing policies and support proces

Research funders (RCs, EU, Business, Charities)

– prioritise long-term well-funded fellowships

– ensure good grant conditions especially for early-stage researchers

– require support policies as conditions of funding

National and EU policy makers

– devise appropriate processes and patterns of funding

– work to remove barriers to mobility (pensions/career pathways)

– bring stakeholders together (EC)

International networks such as LERU, EUA and others

– promote good policy development and spread good practice

LERU on research careers: priorities & responsibilities



Q2 : Does the European research sector produce enough

researchers with adequate skills ? If not, what are the reasons

for this ?

• Crucial : doctoral training

• Adequate skills ? (quality v quantity)

• Doctoral schools: structure and visibility

• Multiple employers – Awareness E/E

• Stem disciplines – Gender - Start early !

• Cf LERU recommendations



1. Universities should

• ensure that research remains the cornerstone of the doctorate,

• develop doctoral graduates who are creative risk takers with a rigorous approach to the

research questions they tackle,

• develop the confidence of researchers to be independent and autonomous,

• promulgate the unique skills of doctoral graduates,

• work more closely with employers to ensure that the doctorate is a suitable preparation

for the world of work,

• ensure that doctoral graduates are capable of demonstrating their unique skill set

persuasively,

• ensure that structures are configured to support doctoral students through graduate

schools or doctoral schools or some similar organisation to support both candidates and

their supervisors,

• promote mobility of researchers during the doctorate,

• tailor recruitment procedures and appropriate internal support for international students,

• seek new sources of funding for doctoral candidates.

LERU on doctoral training: priorities & responsibilities



2. Doctoral candidates should:

• use the doctorate to take intellectual risks,

• take responsibility for developing personal career goals during doctoral

training,

• develop and use scholarly and professional networks,

• communicate research and the disciplinary context to society beyond

academic fora.

3. National governments and the EU should:

• increase the investment in Europe for doctoral education,

• encourage concentration of doctoral education in research-intensive

institutions or organised groupings of institutions able to provide a strong

research environment,

• promote Europe as a strong environment for doctoral education,

• support mobility of doctoral candidates within and without Europe during

their programme.



4. Employers should:

• engage with universities to recognise the significant changes that

have occurred in doctoral education,

• work closely with universities to help provide suitable research

environments and training, and funding for projects of mutual interest,

• recognise that universities are the primary locus of frontier research

remaining able to freely challenge the status quo and acknowledge

that it is this aspect that makes universities crucial to society’s

positive development.



Q3 : What are the obstacles to the inter-sectoral and

transnational mobility of researchers ? Causes/drivers of these

obstacles ?

• Cf Council Conclusions 02/03/10 on European researchers’

mobility and careers

• Inter-sectoral : different cultures, job expectations, reward

schemes; lack of awareness and information

• Transnational : lack of open recruitment, good information,

support services; portability of grants; social security

• Cf LERU Recommendations



• Improve the coordination of social security needs of internationally mobile researchers.

• Take the example of researchers working at accredited universities or research institutes as a pilot case for other categories of mobile researchers and highly mobile workers in general.

• Provide early stage researchers who are in professional statuses other than that of an employee, self employed person or civil servant with social security protection including health care coverage, family allowances and minimal protection in case of work incapacity.

• Clarify and develop interpretations that are appropriate for the world of research of the new EU coordination regulations which came into force in May 2010.

LERU on researchers’ mobility: priorities & responsibilities



5. Ensure that third country national researchers active in a member state enjoy fully equal treatment compared to researchers who are EU citizens.

6. Allow second and third pillar pensions to better absorb the negative social security consequences of a typical research career.

7. Develop a network of independent advisers to provide information and counselling on social security matters tailored to the specific needs of mobile researchers and their employers.



QUESTIONS?

Thank you for your attention!

Contact: [email protected] - [email protected] -

www.leru.org

mailto:[email protected]






http://www.leru.org/

IS OUR ERA Y

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Launch of the public consultation on the - European … · reference Theme specific • ... LAUNCH OF THE PUBLIC CONSULTATION ON THE ... • Q1 : Does the European research sector