1 “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

2 The Horizon for the Research, Development and Innovation in Europe Horizon 2020 The Framework Programme for Research and Innovation ( ) : 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)

3 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

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

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

6 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

7 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

8 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

9 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

10 Horizon Next steps Negotiations on EU budget Commission proposals for Horizon 2020: before end 2011 FP Work Programmes, to bridge towards Horizon 2020 Legislative decisions on Horizon 2020 by the Council and European Parliament ( ) Horizon 2020 (from 2014)

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

12 I. What is ERA?

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

14 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

15 II. What has been achieved to date?

16 ERA key milestones 2000ERA & Lisbon Strategy 20026th Framework Programme & 3% target 20033% Action Plan & Open Method of Coordination 2007ERA Green Paper & 7th Framework Programme 2008European Council: 5 th freedom Council: Ljubljana Process & ERA 2020 Vision 2009Lisbon Treaty 2010Europe 2020 & Innovation Union 2011European Council : complete ERA by 2014 Commission proposal for HORIZON 2020

17 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)

18 The five ERA partnership initiatives 1.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)

19 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 Overall evaluation of progress

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

21 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...

22 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 )

23 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

24 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  voluntaryetc. … while keeping improvement of Europe’s research performance as the overriding criterion

25 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

26 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

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

28 We need a more research and innovation intensive, integrated and attractive E uropean R esearch A rea Excellent Research Attracts