COUNCIL OF Brussels, 20 September 2013 THE EUROPEAN UNION (OR. en) 13812/13 ADD 4 RECH 410 COMPET 663 MI 779 TELECOM 238 COVER NOTE From: Secretary-General of the European Commission, signed by Mr Jordi AYET PUIGARNAU, Director date of receipt: 20 September 2013 To: Mr Uwe CORSEPIUS, Secretary-General of the Council of the European Union No. Cion doc.: SWD(2013) 333 final 4/5 Subject: COMMISSION STAFF WORKING DOCUMENT National measures in support of ERA Member States of the European Union Accompanying the document REPORT FROM THE COMMISSION TO THE COUNCIL AND THE EUROPEAN PARLIAMENT EUROPEAN RESEARCH AREA PROGRESS REPORT 2013 Delegations will find attached document SWD(2013) 333 final 4/5 . Encl.: SWD(2013) 333 final 4/5 13812/13 ADD 4 AFG/nj DG G III EN EUROPEAN COMMISSION Brussels, 20.9.2013 SWD(2013) 333 final 4/5 COMMISSION STAFF WORKING DOCUMENT National measures in support of ERA Member States of the European Union Accompanying the document REPORT FROM THE COMMISSION TO THE COUNCIL AND THE EUROPEAN PARLIAMENT EUROPEAN RESEARCH AREA PROGRESS REPORT 2013 {COM(2013) 637 final} EN EN Austria ERA Priority ERA Action National Measure contributing to ERA Year Adoption How the measure contributes to ERA The Austrian Research, Technological Development and Innovation Strategy “Becoming an Innovation Leader: Realising Potentials, Increasing Dynamics, Creating the Future" was published in March 2011. It introduces a coordinated vision and strategy across all ministries in charge of RTDI and identifies new challenges. Also in 2011 a Task Force of senior officials was put in place to coordinate activities from the strategic perspective and monitor the implementation of this strategy. Nine Introduce or enhance inter-ministerial working groups were established which competitive funding are active from 2012 on. These working groups focus on through calls for "climate change & scarce resources”, “quality of life and proposals and demographic change”, human potential, research The National Research, Technological More effective institutional infrastructures, knowledge transfer and start-ups, business Development and Innovation Strategy national assessments as the enterprise research, "internationalisation & external “Becoming an Innovation Leader: Realising 2011 research main modes of dimension" and "Action Plan: Austria and the European Potentials, Increasing Dynamics, Creating the systems allocating public funds Knowledge Area 2020" and international rankings. Future" to research and This strategy builds on the exchanges of ideas among the innovation, introducing most relevant stakeholders and an analysis of the legislative reforms if innovation system as a whole: The Austrian ”Research necessary Dialogue” (2008), the “System Evaluation” of the R&D support and funding system (2009), and the Strategic Recommendations of the Austrian Research and Technological Development Council (“Rat für Forschung und Technologieentwicklung”) (2010). In addition, the Austrian Council for RTD as an independent scientific and technological advisory body has the main task to monitor progress of the strategy’s implementation and reports to the Parliament (National Council) on an annual basis. 2 Austria ERA Priority ERA Action National Measure contributing to ERA Year Adoption How the measure contributes to ERA §14d and §14e of the Universitätsgesetz 2002, last amended in 2013, regulates University funding for Austrian Universities. $ 14f regulates the implementation plan. Universities receive their global budget (institutional funding) in a procedure which is determined every 2 years by performance contracts. The global budget consists of Introduce or enhance three parts: 1) Budget for teaching, 2) budget for research competitive funding and advancements in arts, 3) budget for large scale through calls for research infrastructures. Universities are free to use any proposals and part of the budget as they deem it appropriate - the major More effective institutional Revision of the Federal law on the organisation aim is to fulfil the performance contract made between the national assessments as the of universities and their studies (Austrian ministry and the individual universities. The budget for (2) 2013 research main modes of Universities Act) is based upon a) An amount depending upon the number systems allocating public funds Revised university financing provisions of students per research area, applying a specific to research and weighting, b) a competitive oriented research indicator, innovation, introducing and c) a strategic budget depending on societal objectives legislative reforms if to be pursued by universities. necessary Full implementation of the institutional funding model is foreseen for the performance contract period 2019-2021, for period 2016-2018 up to 60% of university funding will be based upon this model. An additional EUR 1 billion especially for universities over the years 2013 to 2016 were injected in the science system, with part of those funds (€450m) allocated on the basis of efficiency criteria (“HEA structural funds”). 3 Austria ERA Priority ERA Action National Measure contributing to ERA Year Adoption How the measure contributes to ERA §13 of the University law defines performance contracts between individual universities and the Federal Ministry of Science and Research. Last changes made in 2013. Performance contracts exist since 2006 by law - concrete implementation since approximately 2009-2010. Introduce or enhance The negotiation of performance contracts is a basis for competitive funding allocation of institutional budget for Austrian Universities. through calls for Performance contracts are being negotiated every two proposals and years. They comprise the following dimensions: 1) More effective institutional Performance agreements of the Federal Ministry strategic orientation and personnel development of national assessments as the for Science and Research with the Austrian university; 2) Research projects and research programmes; 2006 research main modes of universities and the Austrian Academy of 3) study programmes and advanced vocational training for systems allocating public funds Science university members; 4) Measures to reduce nr. of students to research and quitting studies without degree; 5) Measures to improve innovation, introducing student/teacher ratios; 6) Measures for part-time students; legislative reforms if 7) societal objectives; 8) Increased internationalisation and necessary mobility; 9) Inter-university cooperations; 10) definition of indicators for each performance area, on which degree of fulfilment of performance areas can be measured. The performance contracts and the funding system which has an implementation period of 2013-2020 comprises a set of indicators, upon which funding is based upon. Introduce or enhance competitive funding through calls for In March 2012 the "Quality Assurance Framework Law" proposals and established the Agency for Quality Assurance and More effective institutional Quality Assurance Framework Law established Accreditation Austria. It is responsible for external quality national assessments as the the Agency for Quality Assurance and 2012 assurance in the Higher Education sector. The mission of research main modes of Accreditation Austria the Agency is to provide institutional and programme systems allocating public funds accreditation, audit, evaluations, studies and projects, to research and information and supervision. innovation, introducing legislative reforms if necessary 4 Austria ERA Priority ERA Action National Measure contributing to ERA Year Adoption How the measure contributes to ERA Introduce or enhance competitive funding In late 2012, the Platform Research & Technology Policy through calls for Evaluation (FTEVAL) published its new standards for proposals and evaluations in the field of STI policy. Among other things, More effective institutional the standard provides support for formulating Terms of Updated evaluation standard published by the national assessments as the Reference (TOR), for drafting evaluation systems, support semi-public Platform Research & Technology 2012 research main modes of for outlining the design of a specific evaluation and Policy Evaluation (FTEVAL) systems allocating public funds comprehensive information about evaluation approaches to research and and methodologies. These standards will impact on future innovation, introducing institutional assessments and general evaluation practice in legislative reforms if Austria on medium- and long-term. necessary Introduce or enhance competitive funding through calls for proposals and More effective institutional A multi-annual Performance Agreement, which features a national assessments as the Reform of the Austrian Academy of Sciences concentration of the OeAW's research activities on six research main modes of (OeAW) major thematic priority research areas. For a three-year systems allocating public funds period, a global budget of € 224 m has been agreed upon. to research and innovation, introducing legislative reforms if necessary Ensure that all public bodies responsible for The Austrian Research, Technological As part of the national RTI strategy, funds supporting More effective allocating research Development and Innovation Strategy R&D are allocated on a competitive basis using national funds apply the core “Becoming an Innovation Leader: Realising 2013 international peer review procedures. The specific research principles of Potentials, Increasing Dynamics, Creating