New The Joint Programming Process & H2020 -...

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

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Joint Programming – ERA Partnerships

I. WHY? - The Rationale

II. HOW? – The Process

III. NOW? – The Instruments

Outline

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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

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The EU Research (and Innovation)

Framework Programme

A COMPARTMENTA-LISED ERA 1. JP WHY ?

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The EU Research (and Innovation)

Framework Programme

5 to 8% (growing) of total public research funding in the ERA


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EU27 + EU Competitive Federal Funding

in US : 85 to 90 %

Transnational Coordination

in EU 27: 10 to 15 %


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1. JP to implement the ERA

•  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)

•  Development of a European research policy (taking into account other EU and national policies)

3 concepts

“Ex-Post” ERA-NET and Art.185

“Ex-Ante” Joint Programming process

1. JP WHY ?

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1. JP to address major societal challenges   Science and Technology must contribute to solving major

societal challenges   Public Research Programmes have solved societal challenges:

national research programmes have their place…

cannot tackle ALONE some major societal challenges

•  But there are benefits not optimised due to the compartmentalisation of public research funding in ERA the European Union (27 + 1 Research Areas)

  Food – F. Haber (Fertilizer), N. Burlaug (Green revolution)   Health – L. Pasteur, A. Fleming, …   Urbanisation (First world conference of 1898… aborted

after 3 days)

1. JP WHY ?

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• 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.

1.  Joint Programming Process (Definition)

1. JP WHY ?

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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

1. JP WHY ?

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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

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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)

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2. JP HOW ?

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2. Implementing JPIs

JPI Progress (3/'14) Countries

Neurodegene-rative diseases (JPND) (Alzheimer’s)

- 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

26 Countries Led by Fr

Incl. Canada + US ?

JPI+FP7 20% of ERA

Agriculture, Food Security and Climate Change (FACCE)

- 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

21 Countries Led by Fr/UK

Global Role

~7% of ERA

2. JP HOW ?

First wave, SELECTED in 2009, LAUNCHED in 2010

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First wave, SELECTED in 2009, LAUNCHED in 2010


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


2. JP HOW ?



More Years, Better Lives (Demographic Change)

- 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

14 Countries Led by De+Fi+It + Link to Art.185 AAL

Anti-Microbial resistance

- 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

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


2. JP HOW ?

Second wave, SELECTED in 2010, LAUNCHED in 2011



Water Challenges for a Changing World

- 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

17 Countries (90% ERA) Lead Es+Nl + India ?

Connecting Climate Knowledge for Europe (Clik'EU)

- 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

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 ?

2. Implementing second wave JPIs (2011)

2. JP HOW ?

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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

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EU PUBLIC-PUBLIC PARTNERSHIPS

* Sources : FP7, Joint Programming and Horizon 2020 Impact Assessments

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III. MAPPING ERA

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* Sources : FP7, Joint Programming and Horizon 2020 Impact Assessments

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III. MAPPING ERA

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* Sources : FP7, Joint Programming and Horizon 2020 Impact Assessments (Draft, estimated after 2010)

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III. MAPPING ERA

% OF COORDINATED RESEARCH (over EU + FP total Public, Civil funding)*

Intergovernmental research schemes and research organisations (EIROs, EUREKA, ESF…)

EU and Community RTD Framework Programmes

Public public partnerships (ERA-NETs, Art.185, JPIs, SET, Eurocores…)

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ERA instruments

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

Regulation for EU Research Infrastructure Consortium (ERIC)

FP7 at 31/12/'10

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Partnering instruments in FP7

Like in FP6: Coordination of programmes   MS agree and fund joint calls/programmes   EU funding only for coordination

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

ERA-NET

ERA-NET Plus

Art. 185 Full integration of nat°programmes at 3 levels:  (1) Scientific & (2) financial between MS & EU  (3) Management: Single implementing structure

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ERA instruments

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JPIs and H2020

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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.

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EU/MS Partnering Modes in H2020

Case JPI Commission EU 2020 Comment / Conditions

1 MS launch joint activity independent from H2020

Only supports coordination of the JPI through a Coordination and Support Action

"Ideal" functioning mode of JPIs used in 1st joint calls in Neurodegenerative diseases and Agriculture and Climate Change

2 MS launch joint activity and request Commission support

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

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MS wish to integrate their research pro-grammes from the scientific, financial and management point of view.

Area does correspond to a specific H2020

priority Art.26

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---


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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) Strategic planning Strategic Programme (3 years)

Implementation Programme (1-2 yrs) Implementation Work Programme (1-2 years)

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Instruments

JPIs Public-public partnerships Horizon 2020

Joint Calls and actions ERA-NET

Art.185 Initiatives

Horizon 2020 Thematic calls and instruments

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IPR

Joint Programming: How?

CROSS BORDER RESEARCH

EVALUATION FORESIGHT

PEER REVIEW

A WORKING METHOD Based on Expert Group’s “Research programming cycle”

DISSEMINATION, OPEN ACCESS JP & H2020, Enea, 3-'14 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

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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

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Nature shows us the way: Birds coordinating their efforts

71 % gain of efficiency


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