the joint programming process & h2020 1 ora on l'europa enea, 20 march 2014 giorgio...
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The Joint Programming Process & H2020
1 ora on l'Europa ENEA, 20 March 2014
Giorgio CLAROTTIDG Research & InnovationEuropean Research Area (RTD-B2)Joint Programming Sector
G. Clarotti - 2
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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Public Funding for Research (Source : ERA Key Figures 2007, EC)
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The EU Research (and Innovation)
Framework Programme
A COMPARTMENTA-LISED ERA1. JP WHY ?
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Public Funding for Research (Source : ERA Key Figures 2007, EC)
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10000
20000
30000
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EU F
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Italy
Spai
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Finl
and
Aust
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Den
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Portu
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Irela
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Pola
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Hun
gary
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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 ERA1. JP WHY ?
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Public Funding for Research (Source : ERA Key Figures 2007, EC)
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10000
20000
30000
40000
50000
60000
70000
80000
90000
100000
EU F
ram
ewor
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Ger
man
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Fran
ce UK
Italy
Spai
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Net
herla
nds
Swed
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Belg
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Finl
and
Aust
ria
Den
mar
k
Portu
gal
Irela
nd
Pola
nd
Gre
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Cze
ch re
p.
Hun
gary
RO
man
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Slov
enia
Slov
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Bulg
aria
Luxe
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urg
Lith
uani
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Esto
nia
Cyp
rus
Latv
ia
Mal
ta
Chi
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Japa
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Uni
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Stat
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Mio
Eur
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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 ERA1. 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 CountriesLed by Fr
Incl. Canada+ US ?
JPI+FP720% 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 CountriesLed by Fr/UK
Global Role
~7% of ERA
2. JP HOW ?
First wave, SELECTED in 2009, LAUNCHED in 2010
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14
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 CountriesLed 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 CountriesLed 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 CountriesLed 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 CountriesLed 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 CountriesLed 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 CountriesLead 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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€)
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)
ESTIMATED
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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
0
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1950 1955 1960 1965 1970 1975 1980 1985 1990 1995 2000 2005 2010 2015 2020
Yearly B
udget(
M€)
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)
ESTIMATED
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0.0%
2.0%
4.0%
6.0%
8.0%
10.0%
12.0%
14.0%
16.0%
18.0%
20.0%
1993 1995 1997 1999 2001 2003 2005 2007 2009 2011 2013 2015 2017 2019
AS
% O
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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-NETPlus
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 13Synergies 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
1MS 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
2MS 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 Value2. Prior MS commitments in cash/kind3. ERA-NET may harmonise rules for implementation of joint calls & actions
3
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
JPIsPublic-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
EVALUATIONFORESIGHT
PEER REVIEW
A WORKING METHOD Based on Expert Group’s “Research programming cycle”
DISSEMINATION, OPEN ACCESSJP & 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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Governance is key for effective Governance is key for effective
Joint ProgrammingJoint ProgrammingNature shows us the way: Birds coordinating their efforts
71 % gain of efficiency
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