The Joint Programming Process & H ora on l'Europa ENEA, 20 March 2014 Giorgio CLAROTTI DG Research & Innovation European 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 JP & H2020, Enea, 3-'14

G. Clarotti - 3 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 JP & H2020, Enea, 3-'14

G. Clarotti - 4 The EU Research (and Innovation) Framework Programme A COMPARTMENTA- LISED ERA 1. JP WHY ? JP & H2020, Enea, 3-'14

G. Clarotti - 5 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 ? JP & H2020, Enea, 3-'14

G. Clarotti - 6 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 ? JP & H2020, Enea, 3-'14

G. Clarotti JP to implement the ERA Creation of an "internal market" in research (free movement of knowledge, researchers and technology) 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 ? JP & H2020, Enea, 3-'14

G. Clarotti 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 ( 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 ? JP & H2020, Enea, 3-'14

G. Clarotti - 9 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 ? JP & H2020, Enea, 3-'14

G. Clarotti 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 ? JP & H2020, Enea, 3-'14

G. Clarotti - 11 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 JP & H2020, Enea, 3-'14

G. Clarotti 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 26/5/2010Identification of 6 “second wave” JPI themes 4/11/2010GPC JP report, incl Guidelines for Framework Conditions on Joint Programming 3/12/2009Council adopts pilot Neurodegenerative Diseases JPI 12/10/2010Council Conclusions on 3 first wave JPIs  SRAs 25/11/2010Council 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 ( ) PHASE1PHASE1 PHASE2PHASE2 2. JP HOW ? JP & H2020, Enea, 3-'14

G. Clarotti 13JP & H2020, Enea, 3-'14 2. Implementing JPIs JPIProgress (3/'14)Countries Neurodegene- rative diseases (JPND) (Alzheimer’s) - Council conc. (12/'08) & (12/’09) - SRA adopted 7/2/ First joint calls in Jan on: * Centres of Excellence ~ 5 M€ * Biomarkers for Alzheimer’s ~15 M€ - 9 calls in Implementation plan ~100 M€ + EN 2014 in WP 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/ calls in Impl. Plan since 2012, ~70M€ + EN+ in WP 2013 ~15 M€ + CSA EN in WP 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

G. Clarotti 14JP & H2020, Enea, 3-'14 14 First wave, SELECTED in 2009, LAUNCHED in 2010 JPIProgress (3/'14)Countries Cultural Heritage and global change: a new challenge for Europe - Council conclusions (10/’10) - SRA adopted May 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 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 Member of Agri EIP 22 Countries Led by Nl 2. Implementing JPIs 2. JP HOW ?

G. Clarotti 15JP & H2020, Enea, 3-'14 JPI Progress (3/'14)Countries More Years, Better Lives (Demographic Change) - Council conclusions (9/’11) - SRA adopted 15/1/ st Joint Call due in CSA 2.0 in WP 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/ st Joint Call due in 2014 (14 M€) + Link to ERA-NET "ERA-Infect" + ERA-NET 2015 in WP 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 Implementing JPIs 2. JP HOW ? Second wave, SELECTED in 2010, LAUNCHED in 2011

G. Clarotti 16JP & H2020, Enea, 3-'14 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 (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 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 (45 M€) or large ERA-NETs ??? - SRA foreseen in Member of Smart City EIP 14 Countries Lead At+Nl – 2 in China ? 2. Implementing second wave JPIs (2011) 2. JP HOW ?

G. Clarotti - 17 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 JP & H2020, Enea, 3-'14

G. Clarotti - 18 EU PUBLIC-PUBLIC PARTNERSHIPS * Sources : FP7, Joint Programming and Horizon 2020 Impact Assessments G. Clarotti - 18 III. MAPPING ERA JP & H2020, Enea, 3-'14

G. Clarotti - 19 EU PUBLIC-PUBLIC PARTNERSHIPS * Sources : FP7, Joint Programming and Horizon 2020 Impact Assessments G. Clarotti - 19 III. MAPPING ERA JP & H2020, Enea, 3-'14

G. Clarotti - 20 EU PUBLIC-PUBLIC PARTNERSHIPS * Sources : FP7, Joint Programming and Horizon 2020 Impact Assessments (Draft, estimated after 2010) G. Clarotti - 20 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…) JP & H2020, Enea, 3-'14

G. Clarotti 21JP & H2020, Enea, 3-'14 21 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 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

G. Clarotti - 22 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 Plus Art. 185 Full integration of nat°programmes at 3 levels: (1) Scientific & (2) financial between MS & EU (3) Management: Single implementing structure G. Clarotti - 22 ERA instruments JP & H2020, Enea, 3-'14

G. Clarotti - 23 JPIs and H2020 G. Clarotti - 23JP & H2020, Enea, 3-'14 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.

G. Clarotti - 24 EU/MS Partnering Modes in H2020 CaseJPICommission 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 1 st 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 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--- G. Clarotti - 24JP & H2020, Enea, 3-'14

G. Clarotti - 25 JPIs and H2020 Policy Cycles and Instruments JPIsPProgramming Phase Horizon 2020 Vision (up to 2020)Policy definitionSpecific Programme (up to 2020) Strategic Research Agenda (3 to 5 yrs) Strategic planningStrategic Programme (3 years) Implementation Programme (1-2 yrs) ImplementationWork Programme (1-2 years) G. Clarotti - 25 Instruments JPIs Public-public partnerships Horizon 2020 Joint Calls and actions ERA-NET Art.185 Initiatives Horizon 2020 Thematic calls and instruments JP & H2020, Enea, 3-'14

IPR Joint Programming: How? CROSS BORDER RESEARCH EVALUATION FORESIGHT PEER REVIEW A WORKING METHOD Based on Expert Group’s “Research programming cycle” DISSEMINATION, OPEN ACCESS JP & H2020, Enea, 3-'14G. 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 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 JP & H2020, Enea, 3-'14G. Clarotti - 27

28 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 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 JP & H2020, Enea, 3-'14

G. Clarotti - 29 Governance is key for effective Joint Programming Nature shows us the way: Birds coordinating their efforts  71 % gain of efficiency G. Clarotti - 29JP & H2020, Enea, 3-'14