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
A COMPARTMENTA-LISED ERA 1. JP WHY ?
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EU27 + EU Competitive Federal Funding
in US : 85 to 90 %
Transnational Coordination
in EU 27: 10 to 15 %
A COMPARTMENTA-LISED ERA 1. JP WHY ?
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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
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
2. Implementing JPIs
2. JP HOW ?
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JPI Progress (3/'14) Countries
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. Implementing JPIs
2. JP HOW ?
Second wave, SELECTED in 2010, LAUNCHED in 2011
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JPI Progress (3/'14) Countries
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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EU PUBLIC-PUBLIC PARTNERSHIPS
* Sources : FP7, Joint Programming and Horizon 2020 Impact Assessments
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III. MAPPING ERA
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EU PUBLIC-PUBLIC PARTNERSHIPS
* 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”
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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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