Transcript Slide 1

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
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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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
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A COMPARTMENTALISED ERA
1. JP WHY ?
The EU Research
(and Innovation)
Framework
Programme
Public Funding for Research (Source : ERA Key Figures 2007, EC)
100000
90000
80000
60000
50000
40000
30000
20000
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United States
Japan
China
Malta
Latvia
Cyprus
Estonia
Lithuania
Luxembourg
Bulgaria
Slovakia
Slovenia
ROmania
Hungary
Czech rep.
Greece
Poland
Ireland
Portugal
Denmark
Austria
Finland
Belgium
Sweden
Netherlands
Spain
Italy
UK
France
0
Germany
10000
EU Framework
Mio Euro
70000
A COMPARTMENTALISED ERA
1. JP WHY ?
Public Funding for Research (Source : ERA Key Figures 2007, EC)
100000
The EU Research
(and Innovation)
Framework Programme
90000
80000
5 to 8% (growing) of
total public research
funding in the ERA
60000
50000
40000
30000
20000
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United States
Japan
China
Malta
Latvia
Cyprus
Estonia
Lithuania
Luxembourg
Bulgaria
Slovakia
Slovenia
ROmania
Hungary
Czech rep.
Greece
Poland
Ireland
Portugal
Denmark
Austria
Finland
Belgium
Sweden
Spain
Netherlands
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Italy
UK
France
0
Germany
10000
EU Framework
Mio Euro
70000
A COMPARTMENTALISED ERA
1. JP WHY ?
Public Funding for Research (Source : ERA Key Figures 2007, EC)
100000
90000
80000
Competitive
Federal Funding
in US : 85 to 90 %
60000
50000
40000
30000
20000
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United States
Japan
China
Malta
Latvia
Cyprus
Estonia
Lithuania
Luxembourg
Bulgaria
Slovakia
Slovenia
ROmania
Hungary
Czech rep.
Greece
Poland
Ireland
Portugal
Denmark
Austria
Finland
Belgium
Sweden
Spain
Netherlands
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Italy
UK
France
0
Germany
10000
EU Framework
Mio Euro
70000
EU27 + EU
Transnational
Coordination
in EU 27: 10 to 15 %
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
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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
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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.
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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
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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. JP HOW ?
P
H
A
S
E
2. Joint Programming in a nutshell
• 2/12/2008
• 3/12/2009

Commission Recommendations, then Council Conclusions
• 26/5/2010
• 4/11/2010
Identification of 6 “second wave” JPI themes
GPC JP report, incl. 2010 Guidelines for Framework
Conditions on Joint Programming
• 3/12/2009
Council adopts pilot Neurodegenerative Diseases JPI
1
P
H
A
S
E
2
Council conclusions on JP and “Alzheimer’s” JPI
Identification of 3 first JPIs by GPC and Council
• 12/10/2010 Council Conclusions on 3 first wave JPIs
• 25/11/2010
• 2011
• 8/12/2011
• 18/2/2013
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 SRAs
Council Conclusion on JP, First JP report to Council
Launch of first joint activities by “first wave” JPIs
Council Conclusions on second wave JPIs
Second GPC report on JP to Council (2010-2012)
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2. JP HOW ?
2. Implementing JPIs
First wave, SELECTED in 2009, LAUNCHED in 2010
JPI
Progress (3/'14)
Countries
Neurodegenerative 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
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
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Incl. Canada
+ US ?
JPI+FP7
20% of ERA
Global Role
~7% of ERA
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2. JP HOW ?
2. Implementing JPIs
First wave, SELECTED in 2009, LAUNCHED in 2010
JPI
Cultural Heritage
and global
change: a new
challenge for
Europe
Healthy diet for
a healthy life
Progress (3/'14)
Countries
- 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
- 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
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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)
- 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
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…)
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18 Countries
Led by SE
19 Countries
Led by No+Es
+Be+FR
+Bonus Art.185
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2. JP HOW ?
2. Implementing second wave JPIs (2011)
JPI
Water Challenges for a
Changing World
Connecting Climate
Knowledge for Europe
(Clik'EU)
Urban Europe
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Progress (3/'14)
Countries
- 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
- 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
- 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 ?
(90% ERA)
Lead Es+Nl
+ India ?
(80% ERA)
Lead De+At
+ US ?
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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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III. MAPPING ERA
EU PUBLIC-PUBLIC
PARTNERSHIPS
12000
ESTIMATED
Yearly Budget (M€)
10000
8000
6000
4000
2000
0
1950
1955
1960
1965
1970
1975
1980
1985
1990
1995
2000
2005
2010
2015
2020
INTERGOVERNMENTAL : EIROs (CERN,EMBL,EMBO,ESA,ESO,ESRF,ILL) + ESF + COST + EUREKA
EU COMMUNITY RTD FRAMEWORK PROGRAMMES (FP7 + H2020)
PUBLIC PUBLIC PARTNERSHIPS (Joint Calls in ERA-NET Scheme + Eurocores + Art.185+JPIs+SET)
* Sources : FP7, Joint Programming and Horizon 2020 Impact Assessments
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III. MAPPING ERA
EU PUBLIC-PUBLIC
PARTNERSHIPS
100000
ESTIMATED
90000
Yearly Budget(M€)
80000
70000
60000
50000
40000
30000
20000
10000
0
1950
1955
1960
1965
1970
1975
1980
1985
1990
1995
2000
2005
2010
2015
2020
TOTAL EU PUBLIC (GERD then GBAORD Civil)
INTERGOVERNMENTAL : EIROs (CERN,EMBL,EMBO,ESA,ESO,ESRF,ILL) + ESF + COST + EUREKA
EU COMMUNITY RTD FRAMEWORK PROGRAMMES (FP7 + H2020)
* Sources : FP7, Joint Programming and Horizon 2020 Impact Assessments
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III. MAPPING ERA
EU PUBLIC-PUBLIC
PARTNERSHIPS
% OF COORDINATED RESEARCH
(over EU + FP total Public, Civil funding)*
20.0%
Public public partnerships (ERA-NETs,
Art.185, JPIs, SET, Eurocores…)
AS % OF TOTAL PUBLIC R&D
18.0%
16.0%
14.0%
12.0%
10.0%
EU and Community RTD Framework Programmes
8.0%
6.0%
4.0%
Intergovernmental research schemes and
research organisations (EIROs, EUREKA, ESF…)
2.0%
0.0%
1993
1995
1997
1999
2001
2003
2005
2007
2009
2011
2013
2015
2017
2019
* Sources : FP7, Joint Programming and Horizon 2020 Impact Assessments (Draft, estimated after 2010)
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ERA instruments
FP7 at 31/12/'10
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)
Funding
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)
Coordination /
Governance
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
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Regulation for EU Research Infrastructure Consortium (ERIC)21
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
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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.
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EU/MS Partnering
Modes in H2020
Case
1
2
3
JPI
Commission EU 2020
Comment / Conditions
MS launch joint
activity independent
from H2020
Only supports
coordination of the JPI
through a Coordination
and Support Action
MS launch joint
activity and request
Commission support
Possible Commission support
Area does correspond through ERA-NET instrument if :
1. Action has EU Added Value
to a specific H2020
2. Prior MS commitments in cash/kind
priority  Art.26
3. ERA-NET may harmonise rules for
implementation of joint calls & actions
MS wish to integrate
their research programmes from the
scientific, financial
and management
point of view.
Possible Commission support
through Art.185 if :
- JPI has demonstrated capacity for
Area does correspond significant collaboration + added value
to a specific H2020
- Necessary scale and scope (in H2020)
priority  Art.26 – Clear financial commitments of the
participating countries, inclusion in
national planning
- Art.185 is most appropriate mean---
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"Ideal" functioning mode of JPIs used
st
in 1 joint calls in Neurodegenerative
diseases and Agriculture and Climate
Change
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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)
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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Joint Programming: How?
A WORKING METHOD
Based on Expert Group’s “Research programming cycle”
FORESIGHT
EVALUATION
CROSS BORDER
RESEARCH
PEER REVIEW
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IPR
DISSEMINATION, OPEN ACCESS
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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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28
Governance is key for effective
Joint Programming
Nature shows us the way: Birds coordinating their efforts
 71 % gain of efficiency
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