Public-Public partnerships in SC1, Aligning European programmes Health Info-Day Rome, October 2015 Giorgio CLAROTTI DG Research & Innovation Health Strategy Unit (RTD-E1)
1. JP WHY? A COMPARTMENTA- LISED ERA Mio Euro 100000 90000 80000 70000 60000 50000 40000 30000 20000 10000 The Public Funding for EU Research Research (Source : ERA Key Figures 2007, EC) (and Innovation) Framework Programme 0 EU Framework Germany France UK Italy Spain Netherlands Sweden Belgium Finland Austria Denmark Portugal G. Clarotti - 2 Ireland Poland Greece Czech rep. Hungary ROmania Slovenia Slovakia Bulgaria Luxembourg Lithuania Estonia Cyprus Latvia Malta China Japan G. Clarotti - 2 United States
1. JP WHY? A COMPARTMENTA- LISED ERA Mio Euro 100000 90000 80000 70000 60000 50000 40000 30000 20000 10000 Public Funding for Research (Source : ERA Key Figures 2007, EC) The EU Research (and Innovation) Framework Programme 5 to 8% (growing) of total public research funding in the ERA 0 EU Framework Germany France UK Italy Spain Netherlands Sweden Belgium Finland Austria Denmark G. Clarotti - 3 Portugal Ireland Poland Greece Czech rep. Hungary ROmania Slovenia Slovakia Bulgaria Luxembourg Lithuania Estonia Cyprus Latvia Malta China Japan G. Clarotti - 3 United States
1. JP WHY? A COMPARTMENTA- LISED ERA 100000 90000 80000 70000 Public Funding for Research (Source : ERA Key Figures 2007, EC) Transnational Coordination in EU 27: 10 to 15 % EU27 + EU Competitive Federal Funding in US : 85 to 90 % Mio Euro 60000 50000 40000 30000 20000 10000 0 EU Framework Germany France UK Italy Spain Netherlands Sweden Belgium Finland Austria Denmark G. Clarotti - 4 Portugal Ireland Poland Greece Czech rep. Hungary ROmania Slovenia Slovakia Bulgaria Luxembourg Lithuania Estonia Cyprus Latvia Malta China Japan G. Clarotti - 4 United States
Coordinated public funding of R&D EU-27 and EFTA GBAORD (in billion euro) Total GBAORD Civil GBAORD Total 27 MSs (2009) 87.6 82.2 FP7 (annual average) 7.1 7.1 Total EU-27 94.7 89.3 EFTA countries 5.8 5.7 Total EU-27+EFTA 100.5 95 Coordinated EU-27+EFTA (1) 11.3 11.3 (11.3%) (2) (11.9%) (2) FP: 7,1% EU27: 4,5% Source: Eurostat, DG Research 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 5 (Government budget appropriations or outlays for R&D)
An evolving European Research Area 2000- Creation of an "internal market" in research (free movement of knowledge, researchers and technology) Collaboration of research actors in Framework Programme 2003- Restructuring of the EU research fabric (improved coordination of national research activities and policies) Ex-Post coordination of national research programmes ERA-NETs and Art.185 in FP6 & FP7 2008- Development of a true European research policy Member States define "Ex-ante" joint research programmes to address major societal challenges JPIs start to align existing programmes, then define new "ex-ante" ones 3
Coordination and integration of national programmes from FP6 to Horizon 2020 ERA-NETs and Art. 185 ERA-NET ERA-NET Plus ERA-NET Cofund New in FP6: Coordination of programmes MS agree and fund joint calls/programmes EU funding only for coordination 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 Simplified in Horizon 2020: Merger of ERA-NET and ERA-NET plus with additional features Art. 185 TFEU Full integration of national programmes Scientific and financial: strong EU funding Single implementing structure EU contribution: MS contribution usually 50:50 4
P2P - Rationale FP Instrument Rationale Characteristics FP funded collaborative project ERA-NET Scheme FP instrument, Addresses a specific research question through a project These are not P2Ps FP instrument (Public-public partnership) Addresses a specific research area through one or more joint calls for projects with funding IN CASH Involves research actors; Up to 100% EU funding. Involves national research programmes which manage Joint Calls; EU funds up to 33% of the Joint Call European Joint Programme FP instrument (Public-public partnership) Addresses a specific research area through one or more joint calls for projects with funding IN KIND (e.g. Cohorts, staff ) Involves national research programmes AND RESEARCH PERFORMERS which manage or undertake research; EU funds up to 30% of the Joint Activities Article 185 Initiative FP instrument (Public-public partnership) Addresses specific research area for which Member States will integrate most/all of their research programmes Involves national research programmes, EU co-funds the programme up to 50% (EU level research institute & programme) Joint Programming Initiative Is a Public-public partnerships but NOT an FP instrument Member States' initiative, facilitated by EC; Addresses major societal challenges by developing joint Strategic Research Agendas and programmes Mentioned in H2020 Involve national Member States (ministries) EU can support through its instruments (Coordination and Support Actions and Public-public partnerships) 8
P2Ps - on background of 2008 Chart 2012 + 2014* MAPPING ERA - 2 *Clarotti & Delescluse: European Commission 2014 G. Clarotti - 9
ALIGNING ERA - 1 Public-public partnerships in ERA and Horizon 2020 EU 2020 Innovation Union Horizon 2020 (Funding tool) (Commission) - Collaborative Research Projects -. -ERA-Nets -Art.185 -ERA-Nets -Art.185 EERAs (SET) ERA (Policy tool) (Member States+Commission) Internat. Consortia Joint Programming Concept JPI JPI - Joint Calls amongst MS - Joint - Other Calls joint amongst actions MS - Other - joint actions - MS3 MS2 MS1 G. Clarotti - 10
Industry INNOVATION Member States Industry 3 Private RTD Food & Drink Europe Fig. 3.1 Knowledge triangle The ERA Landscape COPA-COGECA Industry 2 Private RTD Industry 1 Private RTD Industry 6 Innovation MS4 Public Prog. ducation MS1 ion MS2 Horizon 2020 MS3 Public Pr MS2 Publ MS1 P European Union EDUCATION L. Alexandrescu & G. Clarotti EC - 2012 RESEARCH G. Clarotti - 11
The ERA Ecosystem Industry Food & Drink Europe COPA-COGECA INNOVATION Fig. 3.2 JPI Healthy diet.. Member States Industry 3 Private RTD Industry 2 Private RTD Industry 1 Private RTD Industry 6 Innovation JPI MS4 Public Prog. ducation MS1 ion MS2 Horizon 2020 MS3 Public Pr MS2 Publ MS1 P European Union EDUCATION L. Alexandrescu & G. Clarotti EC - 2012 COST RESEARCH G. Clarotti - 12
Knowledge triangle Industry Food & Drink Europe INNOVATION Member States Industry 3 Private RTD Fig. 3.3 JPI Healthy diet.. COPA-COGECA Industry 6 Innovation EIP-AGRI Industry 2 Private RTD Industry 1 Private RTD JPI MS4 Public Prog. ducation MS1 ion MS2 Horizon 2020 MS3 Public Pr MS2 Publ MS1 P European Union EDUCATION L. Alexandrescu & G. Clarotti EC - 2012 COST RESEARCH G. Clarotti - 13
ERA-NET
Definition of ERA-NET in Horizon 2020 (Article 26) 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 using grants to support publicpublic partnerships in their preparation, establishment of networking structures, design, implementation and coordination of joint activities as well as Union topping up of no more than one joint call a year and of actions of a transnational nature; For the purposes of point (a), top-up funding shall be conditional on the demonstration of added value of the action at Union level and on prior indicative financial commitments in cash or in kind of the participating entities to the joint calls and actions. The ERA-NET instrument may include, where possible, 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. 15
Type of action used for ERA-NET: Programme Cofund (Rules for participation, Article 2 Definitions) (16) 'programme co-fund action' means an action funded through a grant the main purpose of which is supplementing individual calls or programmes funded by entities, other than Union funding bodies, managing research and innovation programmes. A programme co-fund action may also include complementary activities of networking and coordination between programmes in different countries; 16
FP6: ERA-NET Funding of costs related to the coordination of national research programmes, 100% reimbursement rate for coordination and management costs FP7: ERA-NET and ERA-NET Plus ERA-NET: as under FP6 ERA-NET Plus: co-funding of a single joint call for trans-national proposals, 33% reimbursement rate for the costs of funding the projects Horizon 2020: ERA-NET Cofund Co-funding of a single joint call for trans-national proposals, in addition other joint activities including other joint calls without Union co-funding, 33% reimbursement rate 17
ERA-NET Cofund main features ERA-NET Cofund: implementation of a co-funded joint call for proposals (compulsory, one co-funded call per Grant Agreement) * Participation limited to programme managers/owners EU contribution: mainly a proportional contribution to total public funding of the joint call Additional EU contribution to coordination costs for additional activities including additional calls without top-up funding (unit cost) Stable reimbursement rate: ERA-NET Plus reimbursement rate from FP7 (33%) applies Co-funded calls: proposal evaluation and selection according to Horizon 2020 standards * ERA-NETs based on a Coordination and Support Action (CSA) are no longer possible. Only in exceptional cases it might be considered to support the preparation and structuring of specific 18 emerging P2Ps that demonstrate clear European added value.
Co-ordination activities Horizon 2020 - societal challenge 1 ERA-NETs funded FP7 Health research Overall investment by Member States: Some 160 M in 6 ERA-NETs ERA-NET E-RARE 2 Rare Diseases NEURON Neurosciences INFECT-ERA Era-HIV TransCan Translational Cancer ERA-Sysbio Systems biology Total Investment in Joint Calls TOTAL MS INVESTMENT in JOINT CALLS (M ) 13 Countries 41 M 16 Countries 40 M 14 Countries 21 M 11 Countries 6 M 19 Countries 33 M 10 Countries 19 M 6 ERA-NETs ~160 M
Co-ordination activities Horizon 2020 - societal challenge 1 ERA-NET Cofund actions in H2020, SC1, WP 14-15 Overall investment by Member States: More than 200 M, 7 actions ERA-NET Cofund E-RARE 3 Rare Diseases ERA-NET NEURON Brain diseases JP cofund, Neurodegenerative diseases TransCan2 Translational Cancer ERACo-Sysmed Systems Biology for Medecine ERA-NET JPI Anti- Microbial resistance ERA-CVD Cardiovascular Total Investment in Joint Calls TOTAL INVESTMENT in JOINT CALLS (MS+EC) 17 Countries (17.4 + 5.8 + ~30 Additional Own calls) ~50 M 18 Countries (14 + 6.8 + 30 Additional Own calls?) ~50 M 20 Countries (29.3 + 10 +?) > 40 M 19 Countries (16 + 6.6 + ~30 Additional Own calls) ~50 M 13 Countries (10 + 5) = 15 M 18 Countries (18.6 + 7.8 + Additional Own calls?) > 26.4 19 Countries (13.2 + 6 + Additional Own calls?) ~20 M 7 ERA-NET Cofund > 120 M + 48 M from EC + 90 Own ~ 250 M