EUA Research Policy

1. EUA Research Policy Dr John H Smith Deputy Secretary-General European University Association UNICA 7FP: The Role of the Universities University of Vienna, Austria November 29 & 30, 2007

2. Overview of Presentation • The European University Association (EUA) in Brussels: Independent stakeholder for Europe’s Universities • Current European Research Policy Framework • How EUA approaches key European Policy debates and provides input: 6 selected issues • Doctoral Programme reform / Research Careers • FP7 support rates and cost models • Dialogue with European Research Council • University / Business collaboration and knowledge transfer • Open Access and scientific publishing • ‘Green Paper’ on the future of the European Research Area • Maximizing European, National and Regional Research Opportunities

3. The European University Association (EUA) in Brussels: Independent Stakeholder for Europe’s Universities • Created in 2001 (as a result of the merger of the Confederation of European University Rectors, CRE, and the European Union University Rectors Association) • Non-governmental Membership-based Organisation • 780 Universities in 46 countries (individual members), 34 National Rectors’ Conferences (collective members) and university networks (affiliate members) • Policy Focus: ERA and EHEA • Support to Members: projects, workshops, conferences, web-based newsletters, targeted information and policy statements/positions

4. Current European Research Policy Framework • 7th Research Framework Programme (with longer duration 7 years, major innovations – European Research Council: eligible research costs contract model; further coordination between national and European research programmes through new mechanisms such as ERA-NET and Regions of Knowledge) • European Structural and Social Funds – new emphasis on Lisbon Objectives in Research and Innovation • European Researchers’ Charter and Code of Conduct/Research Careers and Mobility / Researcher’s Passport • European Institute of Technology • Communication on Modernisation Agenda for Universities • Communication on Improving Knowledge Transfer between Research Institutions and Industry • ‘Green Paper’ on Future of the European Research Area: Consultation and Follow-Up

5. The Changing Context • The EU Lisbon agenda & a refocused strategy around research & innovation • The importance of universities in building a knowledge society in Europe • Globalisation, growing competition with an ever more global market for education and research • More differentiation & institutional profiling  Europe needs “strong institutions that are diverse, adequately funded, autonomous and accountable” (London Communiqué, May 2007)

6. EUA Research Policy – How it Evolves

7. Key Issue IEUA Work on Doctoral Programme Reform: Linking the Bologna and Lisbon Objectives • Starting point: Doctoral research is the first formative stage of a research career (both problems and opportunities have to be addressed here) • End Point: Employability –  careers in both academic and non-academic sectors and intersectorial mobility • Meeting Lisbon Objectives: fulfilling the need for more highly skilled professionals • Fostering “Joined-up” Government thinking (across the European Institutions, national ministries, research councils etc) on doctoral programme financing and career development • EUA projects on Doctoral Programmes and Doctoral Careers • EUA provides independent input to the Intergovernmental Bologna Process “3rd Cycle” (London Communique, May 2007) • EUA publishes results of its 3rd cycle activities (September 2007) ‘Doctoral Programmes in Europe’s Universities: Achievements and Challenges • 2008 Launching of EUA Council for Doctoral Education

8. Key Issue IIEUA Position on FP7 Support Rates and Cost Models Three Main Issues • Universities that opted for the FP6 “Additional Costs” model held serious concerns that the level of research cost reimbursement under FP7 eligible costs model would not reach that achieved under FP6 • FP7 should be a transition period to allow universities to develop further their accounting systems to be able to operate fully within the proposed eligible research costs model • The most critical issue was the level of « flat rate » for indirect research costs reimbursement in the case of the many universities that where not yet able to identify fully their indirect costs. EC had proposed a 20% flat rate

9. Key Issue II (Continued) EUA Proposal • The flat rate payment (on research and development activities for public bodies and higher education institutions) for indirect eligible research costs should be fixed at 60% of total direct eligible costs • Such a fixed flat rate would provide an incentive to universities to develop their accounting systems to be able to operate on full eligible cost principles by the end of FP7 • EUA mounted a strategic campaign to present its case for 60% to the European Commission and European Parliament which met with success

10. Key Issue IIIEuropean Research Council • EUA contributed as an strong advocate of the need for a European Research Council from its 2003 position paper onwards • EUA Ad Hoc Working Group on the ERC (comprised of Rectors and Vice-Rectors for Research) provided input to the European Commission at the FP7 development phase on ERC (2005/6) • EUA invited by the ERC Identification Committee to nominate prospective candidates for the membership of the ERC Scientific Council • Dialogue established by the EUA Research Policy Working Group with ERC Scientific Council providing viewpoints / feedback on ERC strategy papers, structure of review panels and their membership, ERC grants cost model • ERC President, Professor Fotis Kafatos, invited to EUA Lisbon Convention (March 2007) in a session devoted to debate and exchange on ERC and its future policy development

11. Key Issue IVUniversity/Enterprise Research Collaboration and Knowledge Transfer • Issue is a central plank of the “Modernisation agenda” for Universities • Demonstrate Good Practice: EUA has held conferences and workshops bringing together university/enterprise good practices • Produce “Guidelines” for Good Practice: Together with partner organisations from industry (EIRMA), research and technology organisations (EARTO), and university-based knowledge transfer offices (PROTON) EUA has published the Responsible Partnering Guidelines (2005) • Promote and Disseminate: “Validation workshops” held between university and businesses to gain critical feedback and revision; the “Responsible Partnering Guidelines” were presented in a special session the European Business Summit in March 2006 • Dialogue with European Commission: Responsible Partnering Guidelines provide input to the EC Communication on Knowledge Transfer • Responsible Partnering Conference – State of the art University / Business collaboration 3 – 4 December 2007 Lisbon

13. Key Issue VOpen Access and Scientific Publishing • Bottom-up demand from EUA membership on the need for a university stakeholder perspective to be brought into the policy debate • Open Access Working Group established in 2007, Chairman: Professor Sijbolt Noorda (NL) • Complements the work / activities of other expert groups e.g. UNICA Network, DG Research study on Scientific Publications Markets in Europe, EURAB and ERC positions • Dual fold mission: • To raise awareness of the importance of the Open Access issue to University leadership and the wider University community, both in terms of its impact on the research process and its financial implications for university libraries • To develop a common strategy for the university sector on key selected issues to be presented to policy maker • Open Access Working Group presents its recommendations to EUA Council in January 2008

14. Key Issue VIEUA position on ‘Green Paper’ on the Future of the ERA • Continuity: EUA input builds upon its views and positions (Presented from 2004 onwards) on proposals for 7th Research Framework Programme and new instruments such as the European Research Council • Establishing universities as key stakeholders in the debate: The ‘EUA Lisbon Declaration’ Europe’s universities beyond 2010: Diversity with a common purpose (May 2007) • Focusing on key issues: Autonomy, Funding, Conditions for sustainable research missions, ERA and EHEA policy linkage, Knowledge Transfer and Innovation, Research and Teaching • Engage in dialogue with European Institutions: EUA Research Policy Working Group (chaired by EUA President) presents and discusses EUA viewpoints with European Commission officials and European Parliamentarians • Gain feedback/input from EUA membership through Board and Council meetings, Conferences and Workshops and the EUA electronic newsletter used to bring full range of views into the debate • Publish and widely disseminate ‘EUA viewpoint on ERA Green Paper’ in advance of the October 8-10th 2007 Lisbon conference amongst membership and other stakeholders

15. Maximising European, National and Regional Research Opportunities Implications for the Strategic Management of University Research • Develop a coherent university institutional strategy for research and innovation linking FP7 project and network funding with the new Regional Fund opportunities and the expanding number of national research and innovation programmes • Develop strategies for ensuring both local/regional focus and global outreach as components of institutional strategy in areas of competitive strength • Develop more differentiated strategic missions for research and innovation, including new approaches such as regional clusters of universities, and working with other partners (triple helix) • Greater linkage between the ERA and EHEA policy instruments to foster continuity in the strategic development of the university’s teaching, research and innovation missions

16. Thank you for your attention For further information visit: www.eua.be