CO-ORDINATION OF NATIONAL RESEARCH ACTIVITIES 1

CO-ORDINATION OF NATIONAL RESEARCH ACTIVITIES 1 Version: Spring 2004 1 activities understood as national or regional research and innovation programmes or parts thereof 1

CONTENT I. Introduction and background II. Opening up of national programmes III. ERA-NET IV. Article 169 V. Conclusions Annexes 2

I. Introduction and Background Co-ordination of national research programmes is a pre-requisite to any substantial progress for the creation of a European Research Area. Major progress in coordination of national programmes is also essential to reach the Lisbon and Barcelona objectives. The legal basis for such co-ordination activities is provided by Article 165 of the EC Treaty, which invites the Community and Member States to co-ordinate their research and technological development activities. In addition Article 169 of the EC Treaty foresees that the Community may make provisions, in agreement with the Member States concerned, for participation in research and development programmes undertaken by several Member States. CREST recognised the importance of coordination of national programmes already in year 2000 and discussed this issue on several occasions. In addition the Commission proposal for the 6 th Framework Programme (FP6) contained a specific part dedicated to the co-ordination of national programmes. The proposal also contained a specific reference to the use of Article 169. 3

II. Opening up of national programmes At their informal meeting in Gerona in early 2002 the European Research Ministers acknowledged the importance of the progressive opening of national RTD programmes as an important next step towards the construction and further development of the European Research Area. In March 2002 CREST decided to follow up by specific actions in launching five pilots in the following fields: marine sciences, plant genomics, chemistry, astrophysics, complexity and complex systems. Following this strategic decision, specific meetings for each of the five fields were organised in the course of 2002 and 2003, involving the national programme managers. The five pilot projects appeared to be a success and their main findings can be summarised as follows: Information on who does what a prerequisite to cooperation: Recognition by the participants of the usefulness of having access to information on research programmes at national level, in order to create a strong and solid basis for cooperation. Mutual learning and understanding by exchanging good practices : A strong wish and need to reinforce and improve the exchange of information on national programmes, policy priorities and strategic orientations in particular through exchanging good practices on coordination and opening up actions already undertaken (e.g. at a bilateral level). Defining and preparing opening up : The necessity of more cooperation at the European level has been recognised while careful preparation and further clarification of the meaning of opening of national programmes is needed. Need of a frame for cooperation: The acknowledgement of the need for a flexible frame for cooperation at programme manager s level. The following CREST meetings in 2003 arrived to the conclusion that the ERA-NET scheme would be the most appropriate frame for further co-operations. In the meantime two of the above mentioned fields (see plant genomics example in annex) have been submitted by the involved Ministries under the first ERA-NET cut-off date (02 June 2003). Contracts for ERA-NET Coordination Actions have started already early 2004; others are likely to be submitted in 2004. 4

III. ERA-NET Objective The ERA-NET scheme is a highly innovative component of FP6. Uniquely, it provides support for the transnational networking and coordination of national research programmes. ERA-NET is designed to encourage the creation of close, long-term links between national research programmes with shared goals. In the short term it will facilitate to exchange views and good practices on regional, national and European research programmes in specific fields. In the long term, ERA-NETs are expected to lead to more sustained forms of collaboration, including the strategic planning and design of joint research programmes, the reciprocal opening of national research programmes to researchers from other member countries, and the launch of fully transnational programmes jointly funded by more than one country. Some ERA-NET projects may even lead to the creation of Article 169 initiatives. The ERA-NET scheme covers any field of science and technology, is implemented through a bottom-up approach and is giving no preference to one specific research topic over another. Participants The scheme s participants are programme managers working in national ministries and funding agencies or research councils and as such different from the traditional participants in FP6 projects, being researchers from universities or enterprises. Activities Activities developed within the ERA-NET scheme consist of the networking of entire research and innovation programmes, or parts of such programmes, or similar initiatives. Such programmes should have all of the following characteristics: be strategically planned; and be carried out at national or regional level; and either be financed and managed directly by national or regional public bodies, or by structures closely related to or mandated by public authorities (e.g. agencies). To advance the process of better European cooperation, the scheme allows for a stepby-step approach. As such, an ERA-NET may contain an evolving set of activities. These networking activities are financially supported by ERA-NET but no funding for research is foreseen, as this is part of the national programmes participating. Ultimately these co-ordination actions will enable the scientific or industrial research community ( users of national programmes) of the involved countries to conduct trans-national research projects or initiatives on the basis of financial support from their respective national programmes. 5

Deliverables ERA-NET projects should be ambitious, which means that they should aim at durable cooperation via a four step approach: Systematic exchange of information and good practices on existing programmes (i.e. improve communication, develop better reciprocal knowledge, and promote trust-building among programme managers in similar scientific and technological areas). Identification and analysis of common strategic issues (i.e. identification and analysis of research activities carried out by different programmes that could lead to the design of future multinational schemes; identification and analysis of practical networking activities and mutual opening mechanisms; identification and analysis of barriers that hinder transnational cooperation activities; identification of new opportunities and gaps in research; exploration of possibilities of setting up common evaluation systems; identification of horizontal issues of common interest; identification of mutual complementarities; etc.) Development of joint activities between national or regional programmes (i.e. development of mechanisms for clustering of nationally- or regionallyfunded research projects; development of multinational evaluation procedures; development of schemes for joint training activities; development of schemes for mutual opening of facilities or laboratories; development of common schemes for programme monitoring and evaluation; development of schemes for personnel exchange; development and preparation of specific cooperation agreements or arrangements; development of an action plan; etc.) Implementation of joint transnational research activities (i.e. setting up a common strategy; a joint work programme; pilot activities; common (mutually open) or joint calls for proposals; a common multinational evaluation system and a common plan for dissemination of results or experiences; etc Given the long-term nature of the cooperation within an ERA-NET, the partners are advised to establish a "coherent management framework", with dedicated staff, to coordinate their activities and to ensure continuity of operation. Instruments Coordination actions and specific support actions are the principal instruments for the implementation of the ERA-NET scheme. Coordination Actions (CA) are intended to be used for implementing ERA-NET projects (EC contribution can be as high as 3 million over 5 years duration). Specific Support Actions (SSA) will be used to support preparatory actions aimed at developing future ERA-NETs (EC contribution can be as high as 200,000 for a duration of one year; see Example 2 in annex). 6

Budget and planning A total of 148 million has been allocated in an open call to the ERA-NET scheme for FP6. Evaluations of proposals will be carried out following deadlines for proposal submission set for 3 June 2003 (completed: Budget 35 Mio. )) 2 March 2004 (indicative Budget 37 Mio ), 5 October 2004 (indicative Budget 23 Mio ), 2 March 2005 and 4 October 2005. Results 2003 The first cut-off date of 3 June 2003, had a budget of 35 million for the submitted seventy-two proposals involving more than 420 proposers. Of the submitted proposals 14 Co-ordination Actions and 18 Specific Support Actions were selected. All members States and associated States are involved in these ERA-NETs. The 32 ERA- NETs cover: Life Science Social Science Industrial and Transport Research (see Example 3 in Annex). Energy and Environment Fundamental Research Very positive is that the selected ERA-NET projects have ambitious goals as expected in this new scheme. Nearly all Co-ordination Actions plan to organise a common or joint call. Normally several partners will participate in these "pilot calls", and it is expected that nearly all networks will have at least one test case with 3-4 participating programmes. 12 Co-ordination Actions intend to develop draft joint programmes connecting the participating national programmes involved and thus enabling more and more trans-national research activities. Additionally, three networks plan further actions, such as joint facility or laboratory use. 7

IV. Article 169 Legal basis and background Article 169 foresees the participation of the European Community in the national RTD programmes of several countries: In implementing the multi-annual framework programme the Community may make provision, in agreement with the Member States concerned, for participation in research and development programmes undertaken by several Member States, including participation in the structures created for the execution of those programmes. 2 Against this background the Community may participate in the RTD programmes undertaken by several Member States (apart from any Community framework), and may participate in the structures created for the execution of those programmes. The Community does not only support the simple coordination of the national programmes undertaken by Member States but rather participates actively including a Community financial contribution for research. Article 169 does not require a standard model of cooperation between Member States involved, such as a for example a joint undertaking (Article 171 EC Treaty) of RTD programmes. Member States themselves decide the form of their potential cooperation. However, FP6 foresees a joint implementation of RTD programmes by means of a specific implementation structure. One of the important and complex features of any Article 169 activity is that the implementation requires a co-decision procedure, which implies an adoption by Council and European Parliament. A Preliminary condition is that the RTD programmes shall be undertaken at the initiative of several Member States and at their sole initiative. Initiation of an activity The initiative for an Article 169 action has to come from the Member States. In its conclusions of 30 October 2001, the Council invited the Member States, in close cooperation with the Commission, to identify possible topics where the use of Article 169 would be appropriate and to examine with the Commission the modalities for the implementation. The Commission was asked to present a limited number of pilot programmes in early 2002 3. It was, therefore, through its conclusions that the Council launched a call for ideas amongst Member States. In the period November-December 2001 Member States presented to the Commission several topics for possible Article 169 actions. 2 TREATY ESTABLISHING THE EUROPEAN COMMUNITY 3 The 6 th Framework Programme explicitly foresees the application of Article 169 as one of the instruments to implement research activities under the Framework Programme and to contribute to the creation of the European Research Area. 8

In January 2002 one topic proved to be mature for further consideration and to be submitted later in 2002 as a formal Commission proposal for Article 169: European and Developing Countries Clinical Trials Partnership (EDCTP). Criteria for Article 169 initiatives A number of criteria were established by the Commission to assess which topics could qualify to become formal Article 169 proposals: the topic should have a high relevance and has to involve a sufficient number of Member States the field of the proposal needs to be focused and shall be covered by the Framework Programme, both in terms of contents and of budget allocation. the field of the proposal has to be of major interest for the Community it has to be clearly demonstrated that Article 169 is the appropriate instrument to allow the Community to contribute to the coordination and the cooperation between national RTD programmes and to achieve the foreseen goals. Following the approval by Council and European Parliament the initiative can be started, appropriate structures can be created and further decision making can take place between the involved Member States and the Commission. Example EDCTP The European and Developing Countries Clinical Trials Partnership (EDCTP) aims at developing new clinical interventions to combat HIV/AIDS, malaria and tuberculosis through a long term partnership between Europe and the developing countries (see Example 4 below). The reasons that the EDCTP programme was identified as the most appropriate were: the expected impact, the number of Member States involved, a topic of major interest to the Community, the significant structuring effect and the European added value of the programme, the relevance of Article 169 as the appropriate way the programme can be implemented. The EDCTP proposal was adopted by the Commission on 28 August 2002 and presented to Council and the European Parliament that same day. The adoption occurred on 27 March 2003 (1st reading). Member States and Norway decided to establish a common structure to implement the EDCTP pilot proposal and identified 9

the EEIG as the best common structure since the EEIG is a very flexible legal structure which can be created very quickly (can be founded without capital) in one designated Member State (EU-wide harmonized legal entity) On 4 March 2003 it was decided to establish the EEIG in The Netherlands. Next Steps The Commission and Members States possess now practical experience in initiating an Article 169 initiative for coordination of national programmes. Also the practical implementation of the EDCTP initiative will be monitored very closely and the lessons learned will serve for future use of this instrument. Further topics for possible Article 169 initiatives will be exploited closely together with Member States and the running and upcoming ERA-NET activities may prepare the ground for some of them. V. Conclusions Coordination of national research programmes is a pre-requisite for the creation of ERA and indispensable in view of realising the Lisbon and Barcelona objectives. Since 2002 substantial progress has been made in this field through the CREST initiative on the opening of national programmes, the launch of the ERA-NET scheme and the first Article 169 initiative. The different projects in place should be closely monitored to draw lessons for the future. The setting up of new ERA-NET projects under FP6 and possible further Article 169 initiatives will allow for this. CREST will be kept informed of these activities and should discuss the issue at regular intervals. This will also allow for the formulation of new and reinforced activities to facilitate programme coordination under FP7. More Information: http://europa.eu.int/comm/research/fp6/coordination/era-net_en.html http://www.cordis.lu/coordination/era-net.htm 10

Annexes: Example 1: ERA-NET Plant Genomics (ERA-PG) Full title: European Research Area plant genomics Research field: Genomics Coordinator: Netherlands: Netherlands Genomics Initiative Partners: Austria: Federal Ministry of Education, Science and Culture Belgium: Ministry of Flanders, Science and Innovation Division Denmark: Danish Agriculture and Veterinary Research Council Finland: Academy of Finland France: INRA Germany: Federal Ministry of Education and Research; Deutsche Forchungsgemeinschaft Italy: Ministry of Education, University and Research Norway: Research Council of Norway Spain: Ministry of Science and Technology UK: Biotechnological and Biological Sciences Research Council Duration: 4 years EC funding: 2.20 million Studies of the genetic makeup of plants are essential for the continued competitiveness of European agriculture and industry. But genomics projects are labour-intensive and costly. Transnational cooperation at programme level will help to maximise the return on the 80 million invested in plant genomics across Europe each year. ERA-PG is coordinating the integration of national programmes by spreading best practice, developing common programme management procedures, and joint activities such as the pooling of resources and joint calls for proposals. In the longer term, joint research programmes promise to boost Europe into a position of worldwide leadership in plant genomics, enabling it to address more effectively some of the most pressing scientific and societal issues of the day. ERA-PG is built on a strong foundation of existing collaborations. There are already joint projects between the national programmes of France and Germany which, with Spain, have also launched a tri-national plant genomics programme with joint funding. So far, 12 partners have joined ERA-PG, including national funding organisations, ministries and scientific academies. However, the network is committed to expanding its membership, especially to candidate countries that are themselves launching plant genomics initiatives. ERA-PG has already begun a simple exchange of information between the participants to determine the current state of genomics research, its management, administration and the research priorities of each country. From the information collected, the network is identifying and encouraging best practice among the participants. This benchmarking exercise will help the partners to formulate strategic activities. Through shortterm exchanges of programme managers and discussions between programme makers and managers, ERA-PG will identify the barriers that hinder greater co-operation and look at initial areas for joint activities. An important task at this stage is the development of a common legal framework to ensure durable collaboration between national and industrial partners. With these foundations in place, ERA-PG will turn to the implementation of joint strategic activities. Programme managers will work together to ensure that all the national programmes are directed towards common objectives in particular, by issuing joint calls for proposals and following common procedures for proposal evaluation. The network will also develop mechanisms to open up national laboratories and share investment in expensive equipment and personnel. Joint training programmes and scientist exchanges will feature prominently. 11

EXAMPLE 2: Specific Support Action CORNET Full title: ERA-NET collective research technological innovation for SMEs Research field: Collective research for SMEs Coordinator: Germany: Arbeitsgemeinschaft Industrieller Forschungsvereinigungen Otto von Güricke e.v. Partners: Germany: Bundesministerium für Wirtschaft und Arbeit (BMWA) Austria: Forschungsförderungsfonds für die gewerbliche Wirtschaft (FFF) Belgium: Instituut voor de Aanmoediging van Innovatie door Wetenschap in Vlaanderen (IWT) Duration: 12 months EC funding: 135,000 To gain access to state-of-the-art research expertise and facilities, technology-oriented SMEs must combine their needs with other SMEs facing similar problems. Some Member States and in the last couple of years, the European Commission already offer collective and cooperative research schemes that aggregate demand from within large communities of SMEs. The effectiveness of such schemes could be greatly enhanced by transnational coordination, which would swell the pools both of research performers and research users. No such coordination at programme level has ever been attempted before, but the CORNET project is building the Europe-wide consortium of national ministries and agencies that will make it happen. The bodies which fund and manage collective research schemes in Austria, Flanders and Germany have joined forces to lay the foundations for future EU-wide collaboration, aimed at the eventual coordination and joint funding of collective research. CORNET, an ERA-NET Specific support action, involves a ministry and three agencies which together have established a task force to prepare a proposal for a full ERA-NET project. Together, the organisations taking part in CORNET will identify other collective research schemes throughout Europe, and negotiate their partnership in the follow-up project, for which they plan to develop a platform for collaboration. Several EU countries and regions are thought to have comparable programmes, and CORNET is hoping to find additional partners both among Member States and in the Accession and candidate countries. As part of the effort to recruit new partners, in June 2004 the project will organise a European conference to demonstrate the mutual benefits that the pooling of resources in the proposed ERA-NET will offer to participating schemes. The diversity of the structures and approaches encompassed by CORNET s four participating bodies is already sufficiently wide to provide the basis for fruitful exchanges of complementary experience and expertise in programme design and management. But a wider ERA-NET project promises to deliver much more. An extended consortium will not only have the critical mass to improve the management of existing national schemes through the exchange of best practice. It will also be able to identify and fill gaps in provision, and to improve SME take-up by offering a greater variety of research opportunities based on transnational co-operation between the associations and institutions involved. The transnational dimension will provide much wider scope for transfer of the results achieved. In the long term, the improved coordination of research programmes which is CORNET s ultimate goal should help sectoral communities of SMEs across Europe to access the latest research. 12

Example 3: ERA-NET Transport Full title: ERA-NET TRANSPORT Research field: Transport Coordinator: Germany: TÜV Akademie Rheinland GmbH Partners: Austria: Austrian Federal Ministry for Transport, Innovation and Technology Belgium: Federal Public Planning Service Science Policy Finland: Ministry of Transport and Communications France: Ministère de l équipement, des transports, du logement, du tourisme et de la mer, Direction de la recherche et des affaires scientifiques et techniques; Institut des Sciences et Techniques de l Equipement et de l Environnement pour le Développement (ISTED) Germany: Bundesministerium für Bildung und Forschung Netherlands: Ministry of Transport, Public Works and Water Management Norway: Samferdselsdepartementet, Ministry of Transport Sweden: Swedish Agency for Innovations Systems (VINNOVA) UK: Department for Transport Duration: 4 years EC funding: 3.20 million Efficient transport systems are central to Europe s single market. But most countries still view their transport networks and transport research from a national perspective. ERA-NET TRANSPORT will promote cooperation between national transport research programmes, leading to economies of scale and greater overall effectiveness. It will also help to inform transport policy at European level. Coordinating activities include the production of procedural guidelines based on a thorough analysis of existing programme management and the experience of several bilateral initiatives, and the development of a shared research agenda. Joint activities including projects, and ultimately entire research programmes will mark the culmination of the ERA-NET s initial actions, and the beginning of sustained coordination of national transport research at the European level. ERA-NET TRANSPORT is built on the strong foundation of the European Platform for Co-operation and Co-ordination of Transport Research (EPTR). This consortium has identified four areas of research road safety, freight and logistics, policy monitoring, and intelligent transport systems where further co-operation in strategy would be advantageous. EPTR has already organised workshops at which programme managers have come together to share ideas and explore how co-operation could proceed. The project, which involves ministries and other organisations from nine countries, takes the work of EPTR to the next level. Its ultimate ambition is to establish an efficient instrument for common research programmes on topics with shared priority among all members, with joint calls and shared evaluation systems. To reach this goal the network is conducting a step-by-step convergence strategy, which will be progressively extended to additional countries. The network will monitor and evaluate the success of these practical experiences in co-operation and assess their impact on national and European transport research and policy planning. Retained autonomy is one of the founding principles of ERA-NET TRANSPORT. The group does not intend to take over the administration of national research programmes, nor dictate research priorities. Instead it will coordinate national research activities in line with each country s interests and competences. The group is based on a mutual trust that is expected to grow over time. Nevertheless, the network does anticipate that its coordination activities will gradually become more extensive, and the partners certainly expect them to last beyond the initial funding period of the ERA-NET scheme. The positive feedback from the initial joint activities will trigger a snowball effect more organisations will join the network and more activities will be conducted under its auspices as countries enjoy the economies of scale and the benefits of a shared knowledge base. 13

Example 4: Article 169 EDCTP The European Commission is supporting a long-term partnership between Europe and Developing Countries by providing 200 million for the development of new medicines and vaccines against HIV/AIDS, malaria and tuberculosis (TB). The European and Developing Countries Clinical Trials Partnership (EDCTP) brings together EU Member States plus Norway,Developing Countries, other donors and industry in a joint effort to combat poverty related diseases through more and better structured research and development that meets the needs of the populations in need. This important initiative clearly shows Europe's commitment to help Developing Countries to combat these diseases by working together to develop vaccines against HIV/AIDS, malaria and TB, adapted to the needs and the local conditions of the developing countries. The programme's initial focus is on Africa. The EDCTP is a pilot programme in several ways: i) for the first time 14 Member States and Norway, together with the Commission have taken the initiative of bringing together national clinical research activities and programmes. This has been possible by using for the first time Article 169 of the EC Treaty, which allows the participation of the Community in Member States' joint national research and development (R&D) programmes. The Parliament (March 2003) and the Council (May 2003) have strongly backed this initiative. ii) it is the largest programme on clinical trials ever targeted to Africa; iii) it creates a new independent legal entity which should be more flexible to take up the challenges: the European Economic Interest Grouping (EEIG); iv) it creates a genuine partnership between the South and the North on a long-term sustainable basis; v) it concentrates on the real needs of Developing Countries, which are setting priorities and are establishing a strategy in close partnership with the European countries; vi) it brings about a closer co-ordination between the National research programmes in Europe as well as between the National and Community programmes. EDCTP will allow for a better allocation of the resources made available for clinical research in Europe and ultimately in developing countries. The initiative is thus a good example of the functioning of the European Research Area and it is entirely integrated within the activities of the 6th Framework Programme for Research (2002-2006). To adequately support the EDCTP with the necessary financial means, the Commission has proposed to contribute during the first five years 200 million of Community funds as part of 600 million required for the total financial volume of the programme. A further 200 million will be contributed by participating countries' national clinical research programmes. The remaining 200 million will be acquired from other donors and in particular from industry in specific public private partnership projects on the ground in Africa. With this target figure of 600 million, the EDCTP should develop a long-term sustainable partnership between Europe and Developing Countries. During the few next months, the EDCTP will launch a first set of urgent measures, concerning capacity building and training activities in Africa related to clinical research. 14