The Joint Programming Process & H2020 1 ora on l'europa ENEA, 20 March 2014 Giorgio CLAROTTI DG Research & Innovation European Research Area (RTD-B2) Joint Programming Sector
Outline Joint Programming ERA Partnerships I. WHY? - The Rationale II. HOW? The Process III. NOW? The Instruments G. Clarotti - 2
I. Joint Programming WHY? The Rationale What does your field cover? Importance of your field within ERA Policy context Current initiatives Key issues towards completing ERA Way forward G. Clarotti - 3
1. JP WHY? A COMPARTMENTA- LISED ERA The EU Research (and Innovation) Framework Programme G. Clarotti - 4
1. JP WHY? A COMPARTMENTA- LISED ERA The EU Research (and Innovation) Framework Programme 5 to 8% (growing) of total public research funding in the ERA G. Clarotti - 5
1. JP WHY? A COMPARTMENTA- LISED ERA Transnational Coordination in EU 27: 10 to 15 % EU27 + EU Competitive Federal Funding in US : 85 to 90 % G. Clarotti - 6
1. JP WHY? 1. JP to implement the ERA 3 concepts 2000- Creation of an "internal market" in research (free movement of knowledge, researchers and technology) 2005- Restructuring of the EU research fabric (improved coordination of national research activities and policies) Ex-Post ERA-NET and Art.185 Development of a European research policy (taking into account other EU and national policies) Ex-Ante Joint Programming process G. Clarotti - 7
1. JP WHY? 1. JP to address major societal challenges Science and Technology must contribute to solving major societal challenges Public Research Programmes have solved societal challenges: Food F. Haber (Fertilizer), N. Burlaug (Green revolution) Health L. Pasteur, A. Fleming, Urbanisation (First world conference of 1898 aborted after 3 days) But there are benefits not optimised due to the compartmentalisation of public research funding in ERA the European Union (27 + 1 Research Areas) national research programmes have their place cannot tackle ALONE some major societal challenges G. Clarotti - 8
1. JP WHY? 1. Joint Programming Process (Definition) Member States engaging voluntarily and on a variable geometry basis in the definition, development and implementation of common strategic research agendas based on a common vision on how to address major societal challenges. It may involve collaboration between existing national programmes or the setting up of entirely new ones. It entails putting resources together, selecting or developing the most appropriate instrument(s), and collectively monitoring and reviewing progress. G. Clarotti - 9
1. JP WHY? 1. Joint Programming Process (Definition) What Joint Programming is not Not about asking for more money from the Framework Programme Not about asking for more power at EU level Not a new instrument for Community research Not involving Community funding a priori G. Clarotti - 10
II. Joint Programming HOW? The Process What does your field cover? Importance of your field within ERA Policy context Current initiatives Key issues towards completing ERA Way forward G. Clarotti - 11
2. JP HOW? P H A S E 1 P H A S E 2. Joint Programming in a nutshell 2/12/2008 Council conclusions on JP and Alzheimer s JPI 3/12/2009 Identification of 3 first JPIs by GPC and Council Commission Recommendations, then Council Conclusions 26/5/2010 Identification of 6 second wave JPI themes 4/11/2010 GPC JP report, incl. 2010 Guidelines for Framework Conditions on Joint Programming 3/12/2009 Council adopts pilot Neurodegenerative Diseases JPI 12/10/2010 Council Conclusions on 3 first wave JPIs SRAs 25/11/2010 Council Conclusion on JP, First JP report to Council 2011 Launch of first joint activities by first wave JPIs 8/12/2011 Council Conclusions on second wave JPIs 18/2/2013 Second GPC report on JP to Council (2010-2012) 2 G. Clarotti - 12
2. JP HOW? 2. Implementing JPIs First wave, SELECTED in 2009, LAUNCHED in 2010 JPI Progress (3/'14) Countries Neurodegenerative diseases (JPND) (Alzheimer s) Agriculture, Food Security and Climate Change (FACCE) - Council conc. (12/'08) & (12/ 09) - SRA adopted 7/2/2012 - First joint calls in Jan. 2011 on: * Centres of Excellence ~ 5 M * Biomarkers for Alzheimer s ~15 M - 9 calls in Implementation plan ~100 M + EN 2014 in WP 2014-15 + Member of Ageing EIP - Council conclusions (10/ 10) - SRA adopted 5/12/2012-6 calls in Impl. Plan since 2012, ~70M + EN+ in WP 2013 ~15 M + CSA 2.0 + 2 EN in WP 2014-15 + Member of Agri EIP 26 Countries Led by Fr Incl. Canada + US? JPI+FP7 20% of ERA 21 Countries Led by Fr/UK Global Role ~7% of ERA G. Clarotti 13
2. JP HOW? 2. Implementing JPIs First wave, SELECTED in 2009, LAUNCHED in 2010 JPI Progress (3/'14) Countries Cultural Heritage and global change: a new challenge for Europe - Council conclusions (10/ 10) - SRA adopted May 2013 - Pilot joint call Jan. 2013: 3 M + EN+ in WP 2013 ~10 M - Joint Foresight with MS and EC staff - Some topics suggested for WP 2014-15 18 Countries Led by IT - 2 Ic,Tr due to crisis Healthy diet for a healthy life - Council conclusions (10/ 10) - SRA with Food TP adopted on 14/6/12 - Developing 3 pilot actions, 1st on 1/11/12 "Determinants of Diet and Physical Activity" - 1 Joint Call 2012 (17 M - 6 in-kind) + ERA-NET 2015 in WP 2014-15 + Member of Agri EIP 22 Countries Led by Nl 14 G. Clarotti 14
2. JP HOW? 2. Implementing JPIs Second wave, SELECTED in 2010, LAUNCHED in 2011 JPI Progress (3/'14) Countries More Years, Better Lives (Demographic Change) Anti-Microbial resistance - Council conclusions (9/ 11) - SRA adopted 15/1/2014-1st Joint Call due in 2014 + CSA 2.0 in WP 2014-15 + Member of Ageing EIP - Council conclusions (12/ 11) - SRA to be adopted 3/4/2014-1st Joint Call due in 2014 (14 M ) + Link to ERA-NET "ERA-Infect" + ERA-NET 2015 in WP 2014-15 14 Countries Led by De+Fi +It + Link to Art. 185 AAL 18 Countries Led by SE Healthy and Productive Seas and Oceans - Council conclusions (12/ 11) - Link to EU Maritime strategy - SRA in 2014, Secretariat in Bxl - ~15/20 M in joint actions (Deep sea mining, Microplastics ) 19 Countries Led by No+Es +Be+FR +Bonus Art.185 G. Clarotti 15
2. JP HOW? 2. Implementing second wave JPIs (2011) JPI Progress (3/'14) Countries Water Challenges for a Changing World Connecting Climate Knowledge for Europe (Clik'EU) - Council conclusions (12/ 11) - SRA adopted May 2013, IP in 10/'13 - Pilot call in 2013 (9 M ) + 2 ERA-NETS in WP 2014-15 (75 M ) + Member of Water EIP - Council conclusions (12/ 11) - Draft SRA in 2011 - Several Joint Calls since 2013 (12 M ) - Large ERA-NET in WP 2015 (75 M ) + Link to EIT-KIC Climate 17 Countries (90% ERA) Lead Es+Nl + India? 13 Countries (80% ERA) Lead De+At + US? Urban Europe - Council conclusions (12/ 11) - Two calls in 2012 (25 M ) - Two for 2014-15 (45 M ) or large ERA-NETs??? - SRA foreseen in 2015 + Member of Smart City EIP 14 Countries Lead At+Nl 2 in 2011 + China? G. Clarotti 16
III. Joint Programming NOW The Instruments What does your field cover? Importance of your field within ERA Policy context Current initiatives Key issues towards completing ERA Way forward - Link to H2020 G. Clarotti - 17
III. MAPPING ERA EU PUBLIC-PUBLIC PARTNERSHIPS * Sources : FP7, Joint Programming and Horizon 2020 Impact Assessments G. Clarotti - 18
III. MAPPING ERA EU PUBLIC-PUBLIC PARTNERSHIPS * Sources : FP7, Joint Programming and Horizon 2020 Impact Assessments G. Clarotti - 19
III. MAPPING ERA EU PUBLIC-PUBLIC PARTNERSHIPS % OF COORDINATED RESEARCH (over EU + FP total Public, Civil funding)* Public public partnerships (ERA-NETs, Art.185, JPIs, SET, Eurocores ) EU and Community RTD Framework Programmes Intergovernmental research schemes and research organisations (EIROs, EUREKA, ESF ) * Sources : FP7, Joint Programming and Horizon 2020 Impact Assessments (Draft, estimated after 2010) G. Clarotti - 20
ERA instruments FP7 at 31/12/'10 Funding Coordination / Governance Indirect FP funding ( 28.97 Bn operational expenditures) Collaborative research ( 19 Bn FP7 so far) Marie Curie actions ( 1.7 Bn) SME support ( 769 M) Delegated/externalised: European Research Council ( 2.9 Bn) Public Private Partnerships (3) & Joint Technology Initiatives (5) (~ 5 Bn) Risk Sharing Finance Facility ( 7 Bn) Direct Funding - Joint Research Centre ( 150M) Art.185 Initiatives ( 266 Mn + ~ 480 Mn by MS) ERA-NETs ( 180 Mn + 1073 M by MS ) ERA Partnership Initiatives & Open method of coordination European Technology Platforms Legislation Third country researchers Directive 2005/71 Researchers' labour market related legislation G. Clarotti 21 Regulation for EU Research Infrastructure Consortium (ERIC)
ERA instruments Partnering instruments 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: Top up of a single joint call MS contribute to joint trans-national call 2/3 EU funding for research: 1/3 of the joint call Art. 185 Full integration of nat programmes at 3 levels: (1) Scientific & (2) financial between MS & EU (3) Management: Single implementing structure G. Clarotti - 22
JPIs and H2020 Horizon 2020 Regulation - Article 13 Synergies with national programmes and joint programming 1. Need to build appropriate synergies and complementarities between national & European R&I programmes (areas of JPIs). 2. Union support to JPI subject to conditions in Art.26. G. Clarotti - 23
EU/MS Partnering Modes in H2020 Case JPI Commission EU 2020 Comment / Conditions Only supports "Ideal" functioning mode of JPIs used MS launch joint coordination of the JPI in 1 st joint calls in Neurodegenerative 1 activity independent through a Coordination diseases and Agriculture and Climate from H2020 and Support Action Change 2 3 MS launch joint activity and request Commission support MS wish to integrate their research programmes from the scientific, financial and management point of view. Area does correspond to a specific H2020 priority Art.26 Area does correspond to a specific H2020 priority Art.26 Possible Commission support through ERA-NET instrument if : 1. Action has EU Added Value 2. Prior MS commitments in cash/kind 3. ERA-NET may harmonise rules for implementation of joint calls & actions Possible Commission support through Art.185 if : - JPI has demonstrated capacity for significant collaboration + added value - Necessary scale and scope (in H2020) Clear financial commitments of the participating countries, inclusion in national planning - Art.185 is most appropriate mean--- G. Clarotti - 24
JPIs and H2020 Policy Cycles and Instruments JPIs PProgramming Phase Horizon 2020 Vision (up to 2020) Policy definition Specific Programme (up to 2020) Strategic Research Agenda (3 to 5 yrs) Implementation Programme (1-2 yrs) Strategic planning Implementation Strategic Programme (3 years) Work Programme (1-2 years) JPIs Joint Calls and actions Instruments Public-public partnerships ERA-NET Horizon 2020 Art.185 Initiatives Horizon 2020 Thematic calls and instruments G. Clarotti - 25
Joint Programming: How? A WORKING METHOD Based on Expert Group s Research programming cycle EVALUATION FORESIGHT CROSS BORDER RESEARCH PEER REVIEW IPR DISSEMINATION, OPEN ACCESS G. Clarotti - 26
1. More effective national research systems Objective: increased competition within national borders, sustained and greater investment Optimal national-level competition is crucial to deliver maximum value from public money in research, as leading countries demonstrate Examples of proposed actions: MS to introduce or enhance competitive funding and ensure that all public bodies responsible for allocating research funds apply international peer review Commission to support mutual learning between MS on removal of legal barriers to ERA G. Clarotti - 27
2. Optimal transnational co-operation and competition Objective defining and implementing common research agendas on grand challenges, constructing and effectively running of pan-european research infrastructures Member States committed to Joint Programming, but efforts need to be stepped up. Examples of proposed actions: MS to prepare joint research agendas, ensure mutual recognition of internationally peer reviewed evaluations, improve interoperability of national programmes SHOs to agree on common funding principles, develop cross-border cooperation and pilot the use of synchronised calls Commission to encourage 'partnering in research' to address grand challenges, support common funding standards 28
Nature shows us the way: Birds coordinating their efforts 71 % gain of efficiency G. Clarotti - 29