11 Multilevel Governance in the ERA Improving ERAs performance? 8th European week of regions & cities 4-7 Oct 2010 James Gavigan Head of European Research Area Policy Unit, DG Research, European Commission

22 What is the European Research Area? A Europe-wide space or single market for research and innovation involving all R&D policies, programmes, activities & actors … which operate with a transnational perspective at all levels in the EU – local to global where strategies to promote EU-wide competition, co- operation/ co-ordination and/or integration are pursued to varying degrees

Timeline l 2000ERA & Lisbon Strategy l 2002FP6 & 3% target l 20033% Action Plan & OMC process l 2007ERA Green Paper & FP7 l 2008Ljubljana Process l 2009Lisbon Treaty l 2010Europe 2020 & IU flagship 3

44 Overall ERA Progress? increasingly sophisticated policy mix … l Funding programmes –R&D FP: 53bn (ERA-NETs, JTIs, art 185s) [Innovation: 3.6bn; Structural Funds: ~ 86bn for R&I] l Coordination of national policies (OMC & Ljubljana Process) –Mutual learning, peer review, benchmarking –Soft Law - Policy guidelines, Recommendations l Other legislation –Regulation for research infrastructures –Directive for third country researchers (Justice), State aid rules for R&D&I (Competition), Compat (Single Market) l Coordination between policies (to reach a new scale under Europe 2020) –e.g. lead markets (six high growth innovative sectors) l European recovery plan –PPPs (green car, energy efficient buildings, factories of the future) l Dialogue with stakeholders (industry, research orgs., civil society) –European Technology Platforms

55 l Ljubljana Process –Member State - Commission partnership to steer policy –Long-term 2020 vision (Dec. 2008) –Specific partnership initiatives + others... l Researchers partnership –Working groups: open recruitment, training & skills, monitoring & indicators –8 National Action Plans –Feasibility study of pan-European pension fund l Joint programming –4 initiatives under preparation –Framework conditions for implementing JP under development l Research infrastructures –ERIC procedures in place incl. practical guidelines –Some ESFRI-identified projects close to submitting application ERA Progress from 2007 Green Paper ? The partnership impetus …

66 l International cooperation –Web-based tool for sharing national & EU information –Two pilots water (India) energy (USA) l Knowledge transfer –National legislation adopted/ in preparation in several countries –Guidelines for international KT –Common set of indicators l Universities (modernisation agenda) –Peer learning activities –Common principles for external competitive research funding –Pan-European research schools l Governance –better political steering: e.g. Dec09 Council Conclusions & Resolution May10 Council Resolution – ERAC –Improved coordination: OMC, Partnership initiatives –Less developed: plan /roadmap; progress indicators; wider governance questions

ERA Progress? The current assessment… Progress via FPs, OMC & increased partnership commitment but push to complete ERA too slow and piecemeal: l No clear definition of ERA (i.e. precise goals and objectives) making it difficult to agree on operational steps; l Few and weak systemic links between MSs & EU - MSs l Significant obstacles to openness, free movement of ideas, knowledge and researchers, cross-border operation of research actors l Perception in Council, Parliament & of stakeholders - fragmented & complex patchwork of initiatives 7

Increasing the pace of ERA Progress? questions & concerns… Adequacy of the EU research system: Q: Shouldnt size, performance, efficiency and integration of the EU's research system increase rapidly to be commensurate with aspirations for global excellence, knowledge- based competitiveness & socio-economic imperatives of citizens, as in Europe 2020 & IU flagship? Governance fatigue: Q: Is an exclusively voluntary approach enough? Q: How to overcome MS caution/ hesitation which curtails synergy, information sharing, resource pooling and coordination between MSs & frustrates stakeholder expectations of concrete changes & decisions aimed at improving research system? Raising the partnership to a new level: Q: What to do to fully realise the potential of the partnership & bring overall completion of ERA up to the required speed? A: Clearly an overall framework covering the various ERA bottlenecks as well as more decisive and incontestable measures are required to galvanize the progress and improvements required. 8

An expanded political ambition & legal base It is the duty of the EU to do all it can by virtue of the Treaty and what political responsibility deems to be sufficiently ambitious but attainable (incl. binding legislation, policy guidelines, co-ordination measures, funding programmes,...) l Political: the Europe 2020 Strategy and in particular its Innovation Union Flagship l Legal: LisbonTreaty cites ERA as primary goal of EU research policy & gives legal basis for legislative measures l Any such measures such as an ERA Framework should be conceived / implemented along with other research and innovation measures, especially the FP 9

An ERA Framework? An overarching ERA framework could : l Make ERA a more operational concept not just the overarching political discourse (definitions, actors, etc.) l Give strategic clarity & unity to ongoing and future ERA measures l Accelerate completion of ERA via increased harmonization & removal of obstacles including via setting incontestable & binding principles and standards l Render ERA more understandable & attractive for citizens, researchers and industry and not remain a debate amongst policymakers l Strengthen ERA governance including reinforcing the involvement of the regions (direct/via CoR), civil society (direct/via ESC), stakeholders, etc. 10

11 Examples of ERA Bottlenecks l Open recruitment l Social security – coordination & supplementary rights l Cross-border research funding l IP management l Publications & data– access, preservation, dissemination l Infrastructures – access & funding

Role of LRAs in ERA Governance l Network governance rather than MLG? l LRA role depends on: –devolved power from central government –a well-defined/ appropriate R&I strategy (smart specialisation) –Being proactive beyond formal competencies l Importance of LRAs: –Proximity to economic agents l What LRAs should do: –Reconcile economic reality with abstractions of higher level policy (two-way) –Maintain a policy intelligence/ watch function akin to private business 12

13 Thank you for your attention! (new ERA portal 11 June 2010)