The Joint Programming Process & H2020 1 ora on l'Europa ENEA, 20 March 2014 Giorgio CLAROTTI DG...

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

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III. MAPPING ERA

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EU COMMUNITY RTD FRAMEWORK PROGRAMMES (FP7 + H2020)

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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

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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

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


The Joint Programming Process & H2020 1 ora on l'Europa ENEA, 20 March 2014 Giorgio CLAROTTI DG...

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