Horizon Public-Public partnerships the road ahead. Jörg NIEHOFF DG Research & Innovation European Research Area Unit B4 - Joint Programming

Transcription

1 Horizon 2020 Public-Public partnerships the road ahead Jörg NIEHOFF DG Research & Innovation European Research Area Unit B4 - Joint Programming

2 Coordination of national programmes in FP7 ERA-NET Like in FP6: Coordination of programmes MS agree and fund joint calls/programmes EU funding only for coordination ERA-NET Plus New in FP7: To up of a single joint call MS contribute to a joint trans-national call 2/3 EU funding for research: 1/3 of the joint call Art. 185 Full integration of national programmes at 3 levels: (1) Scientific and (2) financial between MS & EU (3) Management: Single implementing structure

3 Example: Manunet Manufacturing: 22 % of EU GNP, manufacturing-related activities: 75 % of the EU GDP and 70% of employment. MANUNET: ERA-NET to extract greater value from the money spent in national/regional programmes. Leverage effect of the EU support is substantial (>25): supported under FP6 with 2.7 million EU funding it has generated more than 125 research projects with SME participation of around 70% that are funded out of national and regional programmes with 73 Million, mobilising an overall budget for research of more than 135 Million. End of 2009: funded projects report already the creation of 47 new jobs, 16 patent applications, 45 new products and more than 70 new processes as immediate results of the collaboration.

4 ERA-NET Landscape FP6/FP7 Number of running ERA-NET and ERA-NET Plus actions FP7 EN+ [29] FP7 [48] FP6/7 [29] FP6 [71] * 2013* *Figures for 2012/13 are estimates

5 ERA-NET Landscape FP6/FP7 Total public funding per year [ ] FP7 EN+ FP7 FP7 (FP6 cont.) FP

6 The ERA-NET scheme ERA-NETs funded with 340 Million All EU Member States highly involved in the ERA-NET scheme More than 190 calls, resulting in more than 2000 transnational projects Annual volume of coordinated research close to 300 Million, with a total of 1,4 Billion Substantial leverage effects on research coordination (on average 5, many >10, some 25) Virtual common pot and mixed mode preferred funding modes for transnational programme collaboration ERA-NET Plus supporting critical mass, common evaluation standards and financial integration, lack of networking Positive impact on ERA, national programmes and their collaboration But: limited success in creating multiannual joint programmes with critical mass

7 Article 185 TFEU FP6: EDCTP Total volume 400 Million with 50% EU contribution, 326 projects have been funded with 312 Million FP7: 4 initiatives (AAL, Eurostars, EMRP, BONUS) First 3 initiatives: total public funding of 1,1 Billion (EU: 450 Million) Calls ( ) with a total public funding of 530 Mio (EU 36%) 441 projects funded, AAL and EMRP with higher average budgets Interim Evaluation AAL and Eurostars Art. 185 creates substantial leverage effect and European added value by integrating national programmes and pooling resources Both initiatives as well as EMRP clearly demonstrate the functioning of a partly virtual common pot Operational arrangements constantly improving, very cost efficient instrument from the Commission point of view

8 Joint Programming Initiatives a critical view To date, pooling of resources and achieving critical mass remains challenging, difficulties to achieve the necessary Member States' commitments Application and further development of the Voluntary Guidelines on Framework Conditions is still at an early stage Progress in completing the definition of Strategic Research Agendas has been slow The process of building trust between the partners is still at an early stage In many cases, the areas being addressed by JPIs are outside the direct remit of Research Ministries

9 Coordinated public funding of R&D EU-27 and EFTA GBAORD (in billion euro) Total GBAORD Civil GBAORD Total 27 MSs (2009) FP7 (annual average) Total EU EFTA countries Total EU-27+EFTA Coordinated EU-27+EFTA (1) Source: Eurostat, DG Research (11.3%) (2) (11.9%) (2) Notes: (1) FP7 (annual average)+trans-nationally coordinated part of national GBAORDs (European average estimated at 4.5%) (2) of total EU-27 + EFTA GBAORD FP7: 7 % EU27: 4,5% ERA-NET and ART.185: 0,5%

10 Public-public partnerships in Horizon 2020 (Art.20 Commission Proposal) 1. Horizon 2020 shall contribute to the strengthening of publicpublic partnerships where actions at regional, national or international level are jointly implemented within the Union. Particular attention shall be paid to joint programming initiatives between Member States. 2. Public-public partnerships may be supported either within, or across, the priorities set out in Article 5(2), in particular through: (a) an ERA-NET instrument. (b) Union participation in programmes undertaken by several Member States in accordance with Article 185 TFEU.

11 ERA-NET Horizon 2020 (Art.20 Commission Proposal) (a) an ERA-NET instrument using grants to support public-public partnerships in their preparation, establishment of networking structures, design, implementation and coordination of joint activities as well as topping up of individual joint calls and of actions of a transnational nature; For the purposes of point (a), top-up funding shall be conditional on a significant level of prior financial commitments of the participating entities to the joint calls and actions. The ERA-NET instrument may include an objective to harmonise rules and implementation modalities of the joint calls and actions. It may also be used in order to prepare for an initiative pursuant to Article 185 TFEU.

12 Boundary conditions for the future ERA-NET scheme Relevant for all 3 priorities of Horizon 2020 (Excellent science, Industrial leadership, Societal challenges). It may be used to support JPIs if the area fits with the priorities of Horizon 2020, and the case-by-case assessment on EU value-added justifies a possible EU financial contribution. May include an objective to harmonise rules and implementation modalities of joint calls and actions. May be used in particular to prepare Art.185 initiatives. Implemented based on grants by using programme co-fund actions. Horizon 2020 rules for participation do not apply to the calls launched by ERA-NETs. Possibility for Framework Partnerships Agreements and grants to named beneficiaries (instead of open calls). Possible combination with other EU funding sources (cohesion funds).

13 Situation FP7 vs. Horizon 2020 FP7 ERA-NET: CSA, coordination and management 100% FP7 ERA-NET Plus: CSA, 33% contribution to the total call budget, no funding for management and coordination Horizon 2020: o o Programme co-fund action, call with top-up funding compulsory, any other activities of networking and coordination complementary one funding rate per project e.g. 33% as in FP7 ERA-NET No future ERA-NET without one substantial call with top-up funding No possibility for substantial reimbursement of coordination and management

14 Principles for the future implementation (for discussion) 1. Output based: Reference for the EU contribution the total public funding of the call 2. Simplification and flexibility for consortia, based on simplified ERA-NET Plus under FP7 3. Harmonised rules and implementation modalities (model: same conditions as for ERA-NET Plus under FP7) 4. Substantial level and total volume of funding (e.g. 33% of the total call budget, EU contribution per call 5-50 Mio) 5. Possibility to include institutional funding 6. New implementation modalities (Framework Partnerships)

15 Example: ERA-NET Plus FP7 Implementation & other activities: 0,5 Mio Euro (outside grant agreement) Option 1: 6,7 Mio public funds and 0,5 Mio in kind or operational budget EU contribution: 3,3 Mio Euro Call budget: 10 Mio Euro (grant agreement) MS contribution: 7,2 Mio Euro Total resources needed: 10,5 Mio Euro Option 2: 7,2 Mio public funds Option 3: any combination

16 Include institutional funding A large share of public funding is institutional funding and remains mostly untapped for research coordination. The new ERA-NET instrument should allow targeted actions with institutional funding in ERA-NET calls under the condition of competition, transparency, opening up of calls. How to define/select eligible programmes/organisations? (proposal: mandated by national/regional Ministries) Basis for calculation of in-kind contributions as a reference for top-up funding? (proposal: Horizon 2020 rules).

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22 Thank you for your attention! Any questions? Contact Jörg Niehoff DG Research & Innovation Unit B4 - Joint Programming