Annexes to COM(2008)468 - Towards joint programming in research : working together to tackle common challenges more effectively - Main contents
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This page contains a limited version of this dossier in the EU Monitor.
| dossier | COM(2008)468 - Towards joint programming in research : working together to tackle common challenges more effectively. |
|---|---|
| document | COM(2008)468  |
| date | July 15, 2008 |
However, the impact of these Community initiatives could have been larger if there would have been more overall strategic focus, more high-level political commitment on the part of Member States, more transparency on the national research systems, and less instrument rigidity. Increasing these initiatives, and the overall size of FP7, makes little sense if the lack of strategic programming between Member States is not addressed. Bilateral agreements between Member States as well as intergovernmental research organisations and schemes have a limited impact. While the Open Method of Coordination has allowed a fruitful exchange of ideas, it has not resulted in concrete national research policy coordination initiatives between Member States or in common agenda setting in areas of strategic importance.
However, there are lessons that can be learned from these recent Community initiatives to stimulate programme coordination and collaboration, and these can provide a vital basis for making progress in the field of Joint Programming.
There is now a unique opportunity to make a leap forward in pan-European research cooperation which could be as important as the creation of the Framework Programmes. Through this Communication, the Commission is seeking to facilitate the development of a solution by launching a strategic and structured process.
Box 2: Joint Programming for addressing the ageing society
The increasing incidence of Alzheimer's disease and other forms of dementia is perhaps one of the most worrying signs of our ageing society. Alzheimer's disease is a degenerative disease which slowly and progressively destroys brain cells and affects memory, thinking, judgement and personality. In the long term, it often leads to additional problems such as mental confusion, speech impairment, sudden changes of mood and disorientation in time and space. About one person in 20 over the age of 65 suffers from dementia. The number of people in Europe with dementia – between 50 and 70 percent of whom suffer from Alzheimer's disease – is around 5.5 million, a number which for those over 60 is expected to increase to 10.7 million by 2040. Dementia-related healthcare costs already exceed 80 billion Euro in the EU. So far, there is no preventative or curative treatment for Alzheimer's disease. Yet European public support explicitly allocated to Alzheimer's research is dwarfed by the support in the US. Moreover, there is no major institutional driving force behind Alzheimer's research in Europe. Resources are split between numerous and diverse funding agencies spread over the 27 EU Member States. This creates the risk of wasteful duplication of research funding at EU level. Such a commonly faced problem calls for a common European effort to develop a common solution. In the US, the National Institute of Health and the National Institute on Aging are powerful institutional drivers of research into Alzheimer's disease. The question is what will Europe do to tackle this major societal challenge? |
2. JOINT PROGRAMMING – WORKING TOGETHER TO TACKLE COMMON CHALLENGES MORE EFFECTIVELY
Joint Programming: The concept
Joint Programming involves 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 of how to address major societal challenges. It may involve strategic collaboration between existing national programmes or jointly planning and setting up entirely new ones. In both cases, it entails putting resources together, selecting or developing the most appropriate instrument(s), implementing, and collectively monitoring and reviewing progress. It aims to increase and improve the cross-border collaboration, coordination and integration of Member States' publicly funded research programmes in a limited number of strategic areas, and thus to help Europe boost the efficiency of its public research funding so as to better address major societal challenges.
Joint Programming: An ambitious structuring objective
- Joint Programming is concerned with changing the structure of the European research landscape. It is a comprehensive, long-term and strategic process, whose aim is to boost Europe's ability to address major economic and societal challenges the resolution of which depends critically on research. Joint Programming is about defining common visions and strategic research agendas, implementing them in the most appropriate manner, and achieving tangible societal impact. It sets clear and realistic targets and deliverables with a view to achieving major breakthroughs in the areas where it is deployed.
- Joint Programming is not a mere labelling exercise, where existing national research programmes addressing the same topic are simply re-grouped under a common title, or loosely coordinated and aligned. Nor is it about achieving a rigid division of labour between countries for the research activities in a particular field or about transferring national research budgets to Brussels. Joint Programming is about achieving structuring effects in order to increase the efficiency and impact of public research funding.
- However, stakeholders should be aware of what this involves. At its most ambitious, Joint Programming requires that Member States be prepared to move in the direction of the definition and implementation of common research agendas with multi-annual, commonly decided activities (planning, launching, evaluating) and funding mechanisms.
… with a pragmatic and flexible approach
- Joint Programming requires a new mindset in the Member States. Above all, it requires concrete commitments and actions by Member States and a rethinking and reorganisation of the way national research programmes are defined and implemented by refocusing them towards common objectives.
- That is why Joint Programming has to be a voluntary process based on the principle of variable geometry and open access. There is no need for all Member States to be involved in a specific Initiative, but the partners must be able between them to provide the required critical mass of resources.
- That is also why it is essential that Joint Programming employs a realistic and flexible approach and a step-by-step process (see chapter 3) in order to maximise its possible structuring effect and societal impact.
- Joint Programming does not involve Community funding a priori. It is first and foremost about Member States defining common strategies and putting together national resources. At the same time, it does not rule out the possibility of complementary Community funding depending on the added value, European dimension and possible structuring impact of the initiatives concerned.
The benefits of Joint Programming
Joint Programming will benefit Member States, European Research Programme managers, Europe’s scientists and enterprise:
- Joint Programming makes it easier to address common challenges together, to develop common solutions and to speak with one voice in the international arena.
- It helps overcome barriers to entry, such as high start-up and operating costs in certain S&T fields.
- It helps to optimise the scope of research programmes across Europe, to eliminate wasteful cross-European programme duplication and to increase programme depth.
- It promotes scientific excellence through joint calls with common funding and peer review, which increase the competition for funds and raise the quality of research proposals.
- By supporting cross-border project collaboration, Joint Programming facilitates the pooling of data and expertise scattered across several countries or throughout Europe as a whole, enables the rapid dissemination of research results, promotes cross-border mobility and training of human resources, and increases the scientific, technological and innovative impacts of every Euro invested in public research.
- It helps to strengthen coordination with other related policies by virtue of greater programme visibility, reduces programme management costs, enables cross-border policy learning and improves the accountability and transparency of public research programmes.
The aforementioned benefits will also be of particular value for those regions and countries that are catching up in terms of research investment and performance. As a result of the important S&T benefits derived from Joint Programming and its significant structuring effects, Europe's citizens will benefit from stronger economic growth, greater competitiveness and higher employment, and from quicker and better solutions for social and environmental problems.
To further clarify these benefits, an example is given of what Joint Programming might contribute to the challenges posed by an ageing society (see Box 2). This example is purely illustrative and hypothetical, its sole objective being to make more concrete and visible the potential power and impact of Joint Programming as a mechanism for cross-border programme collaboration in strategic fields. A more detailed analysis of the potential of Joint Programming for other societal challenges and technology areas is given in the Commission staff working document accompanying this Communication.
3. MAKING JOINT PROGRAMMING OPERATIONAL |
In this Communication, the Commission proposes a pragmatic methodology for achieving Joint Programming in a limited number of agreed areas. The process to identify these specific areas is described in the next chapter. This chapter 3 presents the methodology required to make it operational. It is based on experience with European Technology Platforms, but adapted to public research programmes. It involves different steps, in line with the life-cycle of research programmes, namely from programme definition via implementation to monitoring and evaluation.
Three stages can be identified:
1. Development of a common vision for the agreed area: This vision should set the longer-term objective(s), to be defined by authoritative experts in the field and politically endorsed. It would be developed on the basis of credible evidence (possibly including (joint) foresight activities) and broad stakeholder (public) consultations, in particular with the scientific and industrial communities. It could equally be based on a preliminary (joint) evaluation of existing programmes and capacities.
2. Once the vision has been established, it should be translated into a Strategic Research Agenda (SRA), entailing specific, measurable, achievable, realistic and time-based (SMART) objectives. The strategic research agenda should make the vision operational and link the implementation of the vision's objectives with existing competences in Europe or new ones to be developed. A good knowledge of existing programmes and competences across Europe (and beyond) will be essential.
3. Implementation of the SRA: All participating public authorities orient their programmes and funding to contribute in a coherent manner to the implementation of the SRA. The full tool box of public research instruments (National and regional research programmes, Intergovernmental research organisations and collaborative schemes, Research infrastructures, Mobility schemes…) should be explored and used to implement the individual Joint Programming Initiatives. The implementation may or may not include EU funding and instruments through the Framework Programme. Regular monitoring and evaluation of progress against the SMART objectives should be ensured, and its results reported to the political level.
Joint Programming could be made easier if a number of framework conditions are in place:
- Agreement on a number of shared principles and procedures for peer review ("the scientific rules of the game").
- Development of common methodologies for foresight activities and for joint evaluation of national or regional programmes or investments in specific areas of research.
- Definition of common principles for cross-border funding of research by national or regional authorities ("the financial rules of the game").
- Effective measures to ensure the protection of Intellectual Property Rights as well as to facilitate the dissemination and optimal use of research outputs.
4. A PROCESS FOR IDENTIFYING SPECIFIC AREAS FOR JOINT PROGRAMMING |
As set out in this Communication, Joint Programming is about Member States developing common visions and Strategic Research Agendas, to address specific societal challenges.
As already stated, it is a voluntary process based on the principle of variable geometry and open access. However, in the framework of the wider Ljubljana Process, it makes sense for the EU institutions to play a role in its governance, while the ownership and responsibility of Member States must be emphasized. The Commission can act as a facilitator and will stand ready to offer assistance requested by Member States involved in Joint Programming Initiatives. It will also keep the Council informed of developments so that the latter can ensure effective monitoring and implementation. This will also ensure open access by keeping all Member States informed about Initiatives that are planned or underway so that they can join at any stage.
The Commission therefore:
- Invites the Council to endorse, by the end of 2008, the concept and objectives of Joint Programming.
- Invites the Council to ask Ministers to nominate high-level representatives to identify and motivate, by summer 2009, specific areas for Joint Programming, on the basis of clear criteria (see box 3) and stakeholder consultations. The Commission proposes to act as the secretariat of this group.
- Will submit for Council adoption by end 2009, Recommendations aimed at launching Joint Programming Initiatives in the specific areas identified by the high-level representatives. These Recommendations will include more detailed suggestions with respect to the governance and the implementation of Joint Programming Initiatives, taking into account feedback from the Council and from the Member States committed to participate in the individual Initiatives.
- Will initiate cooperation between interested organisations and authorities with a view to improving the framework conditions for Joint Programming.
- Invites the Council to oversee and regularly monitor progress of the Joint Programming Initiatives and, if necessary, consider further steps to ensure their effective implementation.
Box 3: Criteria for the identification of specific areas for Joint Programming
- The area addresses a pan-European/global socio-economic or environmental challenge;
- Publicly funded research is central to addressing the challenge;
- There is a clear added value in Joint Programming in the area, e.g. there is a need for publicly funded research of a scale and scope beyond the capabilities of individual Member States;
- The area is sufficiently focused so that clear and realistic objectives can be set.
In addition, a Joint Programming Initiative in a chosen area should:
- Contribute to overcoming fragmentation and wasteful duplication of publicly funded research, and contribute to more efficient and effective use of public resources;
- Involve the key public initiatives within the area, and have the full backing and commitment of the participating Member States
[1] To be noted : Joint Technology Initiatives implemented in the ICT area (ENIAC and ARTEMIS, in the areas of nanoelectronics and embedded computer systems, respectively) leverage industry, Community and national public funds.
[2] See the Impact Assessment accompanying this Communication.
[3] COM(2007)723 of 22.11.2007
[4] Besides this Communication, the Commission adopted this year:- A Recommendation "on the management of intellectual property in knowledge transfer activities and Code of Practice for universities and other public research organisations", COM(2008)1329 of 10.4.2008;- A Communication "Better careers and more mobility: a European partnership for researchers", COM(2008)317 of 23.5.2008;- In addition, it is preparing a Council Regulation on a "Community legal framework for a European Research Infrastructure (ERI)" and a Communication on "A strategic European framework for international science and technology cooperation".
[5] This concept covers economic, social and environmental challenges.
[6] Creating an Innovative Europe, report of group chaired by Esko Aho to the Commission, January 2006
[7] In this context, a more strategic approach, going beyond the current coordination of the several ERA-NET actions covering marine research is proposed in the foreseen Commission Communication "A Marine and Maritime Research Strategy for Europe"", which will create concrete opportunities for joint programming.