Explanatory Memorandum to COM(2021)407 - Pact for Research and Innovation in Europe - Main contents
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This page contains a limited version of this dossier in the EU Monitor.
| dossier | COM(2021)407 - Pact for Research and Innovation in Europe. |
|---|---|
| source | COM(2021)407  |
| date | 16-07-2021 |
1. CONTEXT OF THE PROPOSAL
Evidence from 20 years of implementing the European Research Area (ERA) shows that while the ERA has contributed to major achievements in areas such as research infrastructures, open science, international cooperation, gender balance in research and innovation, joint programming and the mobility of researchers, more needs to be done.
On 30 September 2020, the Commission adopted a Communication on A New ERA for Research and Innovation (COM(2020) 628 final), in order to put in place a new European Research Area fit to deliver on the ambition of making a successful transition to a sustainable, digital and resilient Europe and to better prepare for the future.
The 2020 Communication calls for 1 a deepening of the ERA, moving from coordination of national policies to a deeper integration of these policies. It calls for mobilising Member States around key principles and values and for identifying priority areas for joint action. This is relevant at a time when increased and more focused national funding and reforms are needed, particularly in view of the pandemic, to accelerate the twin green and digital transition.
Research and innovation are largely national competences and building the European Research Area therefore relies to a great extent on national policy reforms and national initiatives. The Pact for Research and Innovation in Europe sets out commonly agreed values and principles and identifies the areas where Member States will jointly develop priority actions, supporting in this way the implementation of the vision and objectives of the new ERA.
To support the implementation of national ERA policies, this Pact is built on (i) common EU principles and values for research and innovation (R&I); (ii) shared priority areas for action; (iii) investments and reforms carried out through commonly agreed voluntary targets; and (iv) a simplified policy coordination and monitoring process. Bringing these elements together in a single legal act will reaffirm Member States’ political commitment to mobilise their R&I policies towards the challenges that Europe faces today, notably the twin transition and the post-pandemic recovery. It will also guide and update new policy directions and help to monitor and assess progress made.
At the same time, the Pact will underpin the EU’s efforts to lead by example internationally and to promote a level playing field based on reciprocity underpinned by fundamental values, as set out in the Commission Communication on the Global Approach to Research and Innovation 2 .
It is proposed that the Pact takes the form of a single non-binding initiative, that is, a Council Recommendation, as a reflection of the common and shared ambition of progressing towards a new ERA.
2. LEGAL BASIS, SUBSIDIARITY AND PROPORTIONALITY
• Legal basis
The legal bases for this initiative are Articles 182(5) and 292 TFEU. In accordance with Article 292 TFEU, the Council can adopt recommendations and it will act on a proposal from the Commission in all cases where the Treaties provide that it must adopt acts on a proposal from the Commission. In accordance with Article 179 TFEU, the Union will 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, and encouraging it to become more competitive, including in its industry, while promoting all the research activities deemed necessary.
In accordance with Article 181 TFEU, the European Union and the Member States have to coordinate their research and technological development activities to ensure that national policies and EU policy are mutually consistent. In close cooperation with the Member States, the Commission may take any useful initiative to promote this coordination, in particular initiatives aiming at the establishment of guidelines and indicators, the organisation of exchange of best practice, and the preparation of the necessary elements for periodic monitoring and evaluation. The European Parliament must be kept fully informed.
Article 182(5) opens up the possibility of complementing the activities planned in the multiannual framework programme by allowing the European Parliament and the Council, acting in accordance with the ordinary legislative procedure and after consulting the Economic and Social Committee, to establish necessary measures for implementing the European Research Area.
• Subsidiarity (for non-exclusive competence)
The purpose of the European Research Area is to create an area where ‘researchers, scientific knowledge and technology circulate freely’ (Article 179 TFEU). As a multi-level governance initiative and implementing the whole-of-government approach – ensuring that policies are aligned at different levels of governance and across policy domains, it is in line with the principle of subsidiarity. It respects the competence of Member States in this area, while it aims at ensuring that research and innovation policy works in close synergy across all levels of government (local, regional, national and global) and it introduces initiatives providing most of the EU added value at the European level linked to and building on national and regional policy responses. Thus, the subsidiarity principle applies, given that the proposal does not fall under the exclusive competence of the European Union.
• Proportionality
The actions proposed are proportional to the objectives pursued. The proposal supports the achievement of the objectives of the new European Research Area. It complements Member States’ efforts in creating a researcher-centred, value-based, excellent and impact-driven research area. The proposal respects Member States’ practices and accommodates a differentiated approach reflecting Member States’ different economic, financial and social situations as well as the diversity of research systems and respective institutions and organisations. It recognises that different national, regional or local conditions could lead to differences in how the proposed recommendation is implemented.
3. RESULTS OF EXPOST EVALUATIONS, STAKEHOLDER CONSULTATIONS AND IMPACT ASSESSMENTS
• Stakeholder consultations
The views of multiple stakeholders have been gathered at a number of events. In particular, the ERA Forum for Transition (set up as an informal Commission expert group) has provided advice to the Commission, and allows the views of the Member States and stakeholders to be taken into account in a structured way. Relevant stakeholders and umbrella organisations were invited to share their views (e.g. at workshops on 20 April and 25 May 2021) and are properly taken into account.
A public consultation was also conducted between 15 April and 13 May 2021 to gather the views of the broader public.
As this initiative is provided for in the recent Commission Communication on ‘A New ERA for Research and Innovation,’ (COM(2020) 628 final), it relies heavily on the analytical work and evidence supporting the new European Research Area Communication (SWD(2020) 214 final).
• Impact assessment
No impact assessment was carried out, as the accompanying roadmap describes that this initiative was provided for in the Commission Communication on ‘A New ERA for Research and Innovation’, (COM(2020) 628 final). Therefore, it relies heavily on the analytical work and evidence supporting the new European Research Area Communication (SWD(2020) 214 final).
4. BUDGETARY IMPLICATIONS
Not relevant
5. OTHER ELEMENTS
Not relevant