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“Horizonte der FTI-Politik aus Sicht der Europäischen Kommission”

Dr. Anneli Pauli, Deputy Director-GeneralEuropean Commission, DG Research & Innovation

Europa-Tagung 2011Wien, 18 November 2011

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The Horizon for the Research, Development and Innovation in Europe

• Horizon 2020

The Framework Programme for Research and Innovation (2014-2020) : Financial pillar and incentives of the Union's actions to create the Innovation Union

• ERA Framework

Non-Funding pillar of the Innovation Union research policy component (various “soft”/ “hard” law measures)

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Europe 2020 : smart, sustainable and inclusive growth

Seven Flagship Initiatives• Smart growth

Digital agenda for Europe Innovation Union Youth on the move

• Sustainable growth Resource efficient Europe An industrial policy for the globalisation era

• Inclusive growth An agenda for new skills and jobs European platform against poverty

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Horizon 2020 – The Framework Programme for Research and

Innovation (2014-2020)

Why, What and When?

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What’s new ? Real integration of existing programmes (1)

• The 7th Framework Programme (FP7) for research, technological development and demonstration

• Innovation elements from Competitiveness and Innovation Framework Programme (CIP)– Non-innovation elements to be included in a new “Competitiveness

and SMEs” programme

• EU funding for European Institute for Innovation and Technology (EIT)

Strengthening complementarities with the Structural Funds

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What’s new ? : Key common features (2)

• Clear set of objectives based on Europe 2020 and Innovation Union

• Integrating research and innovation in a seamless programme

• Focus on overall policy priorities – using a challenge based approach

• Programme structured by objectives • Common toolkit of funding schemes

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Why? Added value of EU R&I funding

• Pan-European competition in research and innovation, thereby raising levels of excellence

• Addressing pan-European and global grand challenges

• Cross-border pooling of public and private resources to achieve critical mass and sharing of knowledge

• Leveraging private investments, increasing efficiency

• Enhancement of Europe’s international attractiveness

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Horizon 2020 – Objectives and structure

Industrial Leadership and Competitive Frameworks

Leadership in enabling and industrial technologies (ICT, nano, materials, bio, manufacturing, space)

Access to risk finance

Innovation in SMEs

Excellent Science Base European Research Council Future and Emerging Technologies Marie Curie actions on skills, training and career development Research infrastructures

Shared objectives and principles

Common rules, toolkit of funding schemes

Supporting the objectives:

European Institute for Innovation and Technology

Joint Research Centre

Europe 2020 priorities

European Research Area

Simplified access

International cooperation

Dissemination & knowledge transfer

Tackling Societal Challenges Health, demographic change and wellbeing Food security, sustainable agriculture and

the bio-based economy Secure, clean and efficient energy Smart, green and integrated transport Climate action & Resource Efficiency

including Raw Materials Inclusive, innovative and secure societies

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Simplification• Single set of rules for eligibility, accounting, reporting, auditing

• Simplified cost-reimbursement approach

• Broader acceptance of usual accounting practice, greater use of lump sums and flat rates

• Shorter negotiation and selection phases

• Unique IT portal, common support structures, guidance

• External management: learning from experience with executive agencies, public private partnerships, public to public partnerships, financial instruments

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Horizon 2020 - Next steps

• Negotiations on EU budget 2014-2020• Commission proposals for Horizon 2020: before end

2011• FP7 2013 Work Programmes, to bridge towards Horizon

2020• Legislative decisions on Horizon 2020 by the Council

and European Parliament (2012-13)• Horizon 2020 (from 2014)

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Outline

I. What is ERA?

II. What has been achieved to date?

III. ERA Framework – taking ERA to a new level

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I. What is ERA?

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ERAA ‘unified’ research area(all MSs, AC & regions) embedded in society

• Efficiency• Interoperability• Critical mass• Mobility

ERAA ‘unified’ research area(all MSs, AC & regions) embedded in society

• Efficiency• Interoperability• Critical mass• Mobility

MS research policies &programmes

MS research policies &programmes

EU research policies & programmes

Intergovernmentalinitiatives

Intergovernmentalinitiatives

Private R&D& public-private

cooperation

Private R&D& public-private

cooperation

IndividualresearchersIndividual

researchers

ResearchOrganisations &

universities

ResearchOrganisations &

universities

FundersFunders

FirmsFirmsExcellent science World-leading innovation

ERA – raising quality, impact & relevance and attractiveness of research in Europe via cross-border

synergies

Publicauthorities

Publicauthorities

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ERA in concrete terms …

• A single market for knowledge (=high value for money)

• Cross-border...... flows of researchers and scientific knowledge

... access to research infrastructures, results and data

... funding

... cooperation, critical mass

... opening of national programmes, pooling of resources

... strategies and alliances between research stakeholders

• EU-level governance – managing the European partnership with MS• Transnational and cross-sectoral policy priorities, prioritization,

coordination, monitoring and evaluation

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II. What has been achieved to date?

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ERA key milestones

2000 ERA & Lisbon Strategy

2002 6th Framework Programme & 3% target

2003 3% Action Plan & Open Method of Coordination

2007 ERA Green Paper & 7th Framework Programme

2008 European Council: 5th freedom

Council: Ljubljana Process & ERA 2020 Vision

2009 Lisbon Treaty

2010 Europe 2020 & Innovation Union

2011 European Council : complete ERA by 2014

Commission proposal for HORIZON 2020

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ERA “instruments”Funding • Indirect FP funding

Collaborative research (€19 Bn FP7 so far)

Marie Curie actions (€1.7 Bn)

SME support

Delegated/externalised: European Research Council (€2.9 Bn)

Public Private Partnerships (3) & Joint Technology Initiatives (5)

Art.185 Initiatives (4)

Risk Sharing Finance Facility (€7 Bn)

• Direct Funding - Joint Research Centre (€ 2,268 Bn)

Coordination / optimisation

• ERA Partnership Initiatives & Open method of coordination

• ERA-NETs (€340 M)

• European Technology Platforms

Legislation • Third country researchers Directive 2005/71

• Researchers' labour market related legislation

• Competition and internal market related legislation

• Regulation for European Research Infrastructure Consortium (ERIC)

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The five ERA partnership initiatives1. European Partnership for Researchers

• National Action Plans• European research career framework, principles for doctoral training, strategy towards Europe-wide

online job publications• Feasibility study on and support for setting up pan-European pension funds

2. Research infrastructures• ESFRI Roadmap (19 national roadmaps completed)• ESFRI projects : 48 projects in the ESFRI roadmap, 10 are already in implementation phase + 19 to

be implemented by 2015 to achieve the target of 60% • ERIC regulation in place incl. practical guidelines : 1st ERIC awarded in March 2011(3 more in the

pipeline + 20 ERICs in total expected to be launched by 2015)

3. Joint Programming• 4 launched, 6 more selected in 2010• Guidelines for framework conditions for implementing JPIs

4. Knowledge sharing: open access and knowledge transfer (chair Georg Buchtela)• National legislation adopted/ in preparation in several countries• Guidelines for international knowledge transfer• Common set of indicators (to be developped)• [EU patent, by enhanced cooperation]

5. Global cooperation, SFIC• India pilot – development of a strategic research & innovation agenda; focus on water, bio-resources,

health, energy, ICT• China pilot – development of EU/MS roadmap for Europe-China strategy, possible focus on

urbanisation and framework conditions (IPR, etc.)• USA pilot – launch first initiative to raise the attractiveness of Europe, work towards a strategic

research & innovation agenda (e.g. energy, health, ageing)

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• Need for ERA acknowledged by stakeholders

• Promising initiatives: ERA partnerships, ERC, ERANETs, ...

• Overall progress too slow and piecemeal• Few / weak systemic links between MSs and EU / MSs

• Obstacles to openness, free circulation and difficulties in cross-border actions

• Perception of a fragmented and complex patchwork of initiatives and instruments

• Involvement of stakeholders in governance not systematic or well structured

• Benefits to MSs of ERA unclear

• Limitations of voluntary approach

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Overall evaluation of progress

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III. The ERA Framework – taking ERA to a new level

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Taking ERA to a new level

• Knowledge at core of Europe 2020• Innovation Union "an ERA Framework and supporting

measures to remove obstacles to mobility and cross-border co-operation”

• European Council Feb 2011 “complete ERA by 2014”• Fiscal austerity & innovation gap

Politically ...

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Taking ERA to a new level

Legally, the Lisbon Treaty ...

• ... makes ERA an explicit objective of the Union“The Union shall have the objective of strengthening its scientific and technological bases by achieving a European research area in which researchers, scientific knowledge and technology circulate freely,… ” (TFEU Art.179.1)

• … gives the Union legislative powers to reach this objective“As a complement to the activities planned in the multiannual framework programme, the European Parliament and Council,… shall establish the measures necessary for the implementation of the European research area.”(TFEU Art. 182.5)

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Towards an ERA Framework

Evidence-based approach (ex ante Impact Assessment )

• Take stock of progress and on-going work • Substantiate obstacles/problems, their size, importance in terms of benefits &

underlying causes; • Principles of proportionality, subsidiarity• Map how research in the MSs is governed / regulated

Options• Policy options based on problem analysis and the outcome of the public

consultation• Identify measures to address the key problems

• Funding, soft-law, regulation• Overarching, issue-specific or both

• Assess benefits and costs, and all significant impacts

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Possible content & structure

• Set overall ERA architecture - definition, objectives, actors, principles, measures

• Address cross-cutting & thematic co-ordination and systemic failures

• Aim at achieving substantial progress overall and in particular in specific priority issues

The challenge is to balance ...Ambition feasibility

Evidence-based justification political acceptability

Comprehensiveness concrete “big ticket” approach

Binding voluntary etc.

… while keeping improvement of Europe’s research performance as the overriding criterion

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Theme-specific key issues in the ERA consultation

Researchers: career prospects/ employment conditions, cross border & intersectoral mobility

Cross-border operation: combining effort on major challenges; differences between systems, rules, definitions, priorities, etc.

Infrastructures: exponential growth of research data, sub-optimal exploitation of RIs, sustainability, development of new RIs

Knowledge circulation: lack of common strategic approaches on KT, use of public research by industry & level of cooperation; OA

International dimension: under-exploitation of potential; disconnection between EU & MS; lack of critical mass for joint EU-MS initiatives; insufficient info sharing

Managing ERA partnership: clear definitions & objectives, political will to use instruments, taking EU perspective into account nationally, benefits of ERA to MS, few & weak systemic links EU-MS & MS - MS

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TimingERA Framework and supporting measures (2012)

• Present: problem analysis, collecting data & relevant EU and national studies, mapping national legal situation, pre-consultation discussions (e.g. with Member States in ERA Committee)

• Public stakeholder consultation: Sept - Nov 2011• Consultation wrap-up event: Jan 2012• Finish Impact Assessment: Spring 2012• ERA Framework Commission Proposal: Summer

2012

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Nature shows us the way: Birds coordinating their efforts

Governance and Coordination are keys for an effective ERA Framework

71 % gain of efficiency !

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We need a more research and

innovation intensive, integrated and attractive

European Research Area

Excellent Research

Attracts

http://ec.europa.eu/research/era