Horizonte der FTIPolitik aus Sicht der Europischen Kommission

“Horizonte der FTI-Politik aus Sicht der Europäischen Kommission” Dr. Anneli Pauli, Deputy Director-General European Commission, DG Research & Innovation Europa-Tagung 2011 Wien, 18 November 2011 1

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) 2

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 3

Horizon 2020 – The Framework Programme for Research and Innovation (2014 -2020) Why, What and When? 4

What’s new ? Real integration of existing programmes (1) • The 7 th Framework Programme (FP 7) 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 5

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 6

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 7

Horizon 2020 – Objectives and structure Europe 2020 priorities European Research Area International cooperation Shared objectives and principles Common rules, toolkit of funding schemes - 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 - 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 Supporting the objectives: Simplified access European Institute for Innovation and Technology Joint Research Centre 8 Dissemination & knowledge transfer

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 9

Horizon 2020 - Next steps • Negotiations on EU budget 2014 -2020 • Commission proposals for Horizon 2020: before end 2011 • FP 7 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) 10

Outline I. What is ERA? II. What has been achieved to date? III. ERA Framework – taking ERA to a new level 11

I. What is ERA? 12

ERA – raising quality, impact & relevance and attractiveness of research in Europe via cross-border synergies Private R&D & public-private cooperation Intergovernmental initiatives EU research policies & programmes Individual researchers ERA A ‘unified’ research area (all MSs, AC & regions) embedded in society • Efficiency • Interoperability • Critical mass • Mobility Research Organisations & universities Funders Public authorities MS research policies & programmes Excellent science World-leading innovation 13 Firms

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 14

II. What has been achieved to date? 15

ERA key milestones 2000 ERA & Lisbon Strategy 2002 6 th Framework Programme & 3% target 2003 3% Action Plan & Open Method of Coordination 2007 ERA Green Paper & 7 th Framework Programme 2008 European Council: 5 th 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 16

ERA “instruments” Funding • Indirect FP funding Ø Collaborative research (€ 19 Bn FP 7 so far) Ø Marie Curie actions (€ 1. 7 Bn) Ø SME support Delegated/externalised: Ø European Research Council (€ 2. 9 Bn) Ø Public Private Partnerships (3) & Joint Technology Initiatives (5) Ø Art. 185 Initiatives (4) Ø Risk Sharing Finance Facility (€ 7 Bn) Coordination / optimisation Legislation • Direct Funding - Joint Research Centre (€ 2, 268 Bn) • ERA Partnership Initiatives & Open method of coordination • ERA-NETs (€ 340 M) • European Technology Platforms • Third country researchers Directive 2005/71 • Researchers' labour market related legislation • Competition and internal market related legislation • Regulation for European Research Infrastructure Consortium (ERIC) 17

The five ERA partnership initiatives 1. European Partnership for Researchers • • 2. • Research infrastructures • • • 3. 4. 5. 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 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 : 1 st ERIC awarded in March 2011(3 more in the pipeline + 20 ERICs in total expected to be launched by 2015) Joint Programming • • 4 launched, 6 more selected in 2010 Guidelines for framework conditions for implementing JPIs • • 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] • 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) Knowledge sharing: open access and knowledge transfer (chair Georg Buchtela) Global cooperation, SFIC • • 18

Overall evaluation of progress • 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 19 19

III. The ERA Framework – taking ERA to a new level 20

Taking ERA to a new level Politically. . . • Knowledge at core of Europe 2020 • Innovation Union "an ERA Framework and supporting measures to remove obstacles to mobility and crossborder co-operation” • European Council Feb 2011 “complete ERA by 2014” • Fiscal austerity & innovation gap 21

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) 22

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 23

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 24

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: Knowledge circulation: exponential growth of research data, sub-optimal exploitation of RIs, sustainability, development of new RIs 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 25

Timing ERA 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 26

Governance and Coordination are keys for an effective ERA Framework Nature shows us the way: Birds coordinating their efforts 71 % gain of efficiency ! 27

We need a more research and innovation intensive, integrated and attractive European Research Area Excellent Research Attracts http: //ec. europa. eu/research/era 28 28