european science and technology policy

European Science and Technology Policy and the process of approval of the next EU Framework

Programme for R&D

The role of the European Parliament

H2020: A Study in Progress

José Mariano Gago

Barcelona, January [email protected]

[email protected] SUPERIOR TÉCNICO

LISBON PORTUGAL

Object under scrutiny:

Regulation to establish the next Framework Programme for R&D (Horizon 2020)(legally binding text, joint approval by the EC and by the EP is required)

State of Play:

1.Proposal by the European Commission

2. and 3. (in parallel):- Amendments approved by (Competitiveness) Council (Research ministers)- Amendments approved by the European Parliament (rapporteur: Teresa Madurell)

4. “Trilogue” negotiations in view of a compromise (January 2013 – April 2013?), just started

What is at stake now?

What are the main contributions by the EP?

Who is participating in the (final) decision-making process and who is deciding?

What is at stake?

Main contributions by the EP (a personal view)(By the order of their appearance on stage)

Increasing the budget (the role of the EU budget for R&D as a counter-cycle instrument)Promoting Gender equality, Human Resources for S&T, Universities,Fighting the R&D divide within the EURequiring mandatory open access to scientific publications Boosting SME participation and providing a “fast track” to innovationLimiting the abuse of public-private partnershipsProviding a rationale for, and streamlining EU international R&D cooperationScience with and for Society: a renewed strategy for strengthening the social constituency for scienceStrategic Coordination of R&D objectives across H2020: establishing Strategic Scientific Panels, with a priority on Health New performance indicators for H2020: measuring change, internal imbalances within the EU and international comparisonsSpreading Excellence and Widening Participation (a strategy for European cohesion)Providing for Collaborative frontier research (FET becomes FEST as a first step)Space: recognising ESA as the major European asset for Space industry and R&D in EuropeUnderstanding European Societies and Social Change (Social Sciences and Humanities, finally!)

And: accepting the status quo on stem cells research…(until when?)

What is at stake?

Compromise Principles

Drawing a red line

Mobilizing… … a renewed constituency for science and technology development?

(with the EP)

The impact of the ideas, priorities and objectives of H2020 on national R&D policies may well be as (more) important as the funding to be expected:

In the current economic period, national budgets for R&D are key

What is at stake?Main contributions by the EP (a personal view)IIncreasing the budget (the role of the EU budget for R&D as a counter-cycle instrument)Promoting Gender equality, Human Resources for S&T, UniversitiesRequiring mandatory open access to scientific publications Boosting SME participationIINew performance indicators for H2020: measuring change, internal imbalances within the EU and international comparisonsA strategy for European cohesion: Spreading Excellence and Widening Participation. Fighting the R&D divide within the EUIIIProviding a clear rationale for EU international R&D cooperationIVScience with and for Society: a renewed strategy for strengthening the social constituency for scienceUnderstanding European Societies and Social Change (Social Sciences and Humanities, finally!)VStrategic Coordination of R&D objectives across H2020: establishing Strategic Scientific Panels, with a priority on Health VIProviding for Collaborative frontier research (FET becomes FEST as a first step) – moving beyond the ERCVIISpace: recognising ESA as the major European asset for Space industry and R&D in EuropeAn open debate: Intergovernmental R&D international organisations and their future. For Spain and Portugal, a joint immediate (national) concern: the INL (International Iberian Nanotechnology Laboratory) – a unique instrument (now politically orphan?)

What is at stake?

Main contributions by the EP (a personal view)

I

Increasing the EU budget for R&D : a strong political signal for the need of counter-cyclical development policies

increasing national budgets for R&D in all EU countries is imperative now

What is at stake?


I

(…)Promoting Gender equality, Human Resources for S&T (Marie-Curie, etc.), Universities

Report on the proposal for a regulation of the European Parliament and of the Council establishing Horizon 2020The Framework Programme for Research and Innovation (2014-2020)

Article 15Text proposed by the Commission

Gender equality

Horizon 2020 shall ensure the effective promotion of gender equality and the gender dimension in research and innovation content.

AmendmentGender equality

Horizon 2020 shall ensure the effective promotion of gender equality and the gender dimension in research and innovation content. Particular attention shall be paid to ensuring gender balance in bodies such as selection boards, advisory groups, committees and expert groups.


Article 15 – paragraph 1 a (new)Text proposed by the Commission Amendment

Horizon 2020 shall ensure that the gender dimension is properly considered in research and innovation content at all stages of the process, from priority setting, to definition of calls and proposals, to evaluation and monitoring of programs and projects, to negotiations and agreements.


Article 15 – paragraph 1 b (new)Text proposed by the Commission Amendment

In order to promote gender equality, specific measures shall be implemented to assist those who take a career break to return to work.

What is at stake?


I

(…)Boosting SME participation


Article 18 – paragraph 3Text proposed by the Commission

3. The integrated approach set out in paragraphs 1 and 2 is expected to lead to around 15% of the total combined budget for the specific objective on "Leadership in enabling and industrial technologies" and the priority "Societal challenges" going to SMEs.

Amendment

Article 17a

3. The integrated approach set out in paragraphs 1 and 2 and the simplification of the application procedures should reach at least 20% of the total combined budget for the specific objective on "Leadership in enabling and industrial technologies" and the priority "Societal challenges" going to SMEs.

3a. In accordance with paragraphs 1 and 3, the Commission shall carry out evaluations and record the rate of participation by SMEs in the research programmes. Should the target rate of 20% not be achieved, the Commission shall examine the reasons for this situation and shall propose, without delay, new measures for achieving the target.

3b. Particular attention shall also be paid to the adequate participation and representation of SMEs in the governing structures of the ERA and in particular of public-private partnerships.


Article 20Text proposed by the Commission

Public-public partnerships

1. Horizon 2020 shall contribute to the strengthening of public-public partnerships where actions at regional, national or international level are jointly implemented within the Union.

Particular attention shall be paid to joint programming initiatives between Member States.

Amendment

Public-public partnerships

1. Horizon 2020 shall contribute to the strengthening of public-public partnerships where actions at regional, national or international level are jointly implemented within the Union.

Particular attention shall be paid to joint programming initiatives between Member States, and such initiatives may include regions and cities where relevant. The financial contribution of the Union shall be of a limited nature and shall always be conditional on the demonstration of transparency, large participation of Member States, the existence of a Union added value and the additionality of the resources. Top-up funding will be restricted to initiatives permanently open to participation from all Member States.

What is at stake?


I

(…)Requiring mandatory open access to scientific publications


Article 15 c (new)Text proposed by the Commission Amendment

Article 15c

Open Access

1.Where a decision to publish is taken, open access to scientific publications resulting from publicly funded research under Horizon 2020 shall be mandatory.

2.Open access to scientific data resulting from publicly funded research under Horizon 2020 shall be promoted, taking into account constraints pertaining to privacy, national security and intellectual property rights.

3.The Commission shall evaluate, before the end of the financing period of Horizon 2020, the impact of the practice of open access to data on the circulation of scientific knowledge and the acceleration of innovation. This shall be done with a view to defining the further policy on open access and its implementation in the next Union research framework programme

What is at stake?


II

A strategy for European cohesion: Spreading Excellence and Widening Participation. Fighting the R&D divide within the EU

SPREADING EXCELLENCE AND WIDENING PARTICIPATION

Twinning and networking measures

Building synergies with Structural Funds

(a) linking emerging centres of excellence in less innovation performing Member States and regions to international leading counterparts elsewhere in Europe;

(b) launching a competition for the foundation of internationally competitive research centres in less innovation performing regions

(c) establishing 'ERA Chairs' to attract outstanding academics

(d) attributing "Return Grants" to excellent researchers

(e) support complementary agreements signed among organisations beneficiaries of the collaborative research projects

(f) strengthening successful networks

(g) developing specific training mechanisms on how to participate in Horizon 2020

(h) setting up an online marketplace where intellectual property can be advertised

What is at stake?


II

(…)New performance indicators for H2020: measuring change, internal imbalances within the EU and international comparisons


Annex I – Broad lines of the specific objectives and activities – paragraph 1 to 6Text proposed by the Commission

The performance indicators for assessing progress against this general objective are:

- the Europe 2020 R&D target (3 % of GDP);

- the Europe 2020 innovation headline indicator.

Amendment

The performance indicators for assessing progress against this general objective are:

- the Europe 2020 R&D target (3 % of GDP);

- the Europe 2020 innovation headline indicator;

- the following human resources indicators:

- change in the fraction of researchers (FTE) in the active population;

-change in the proportion of women in the total number of researchers;

-changes in the attraction of researchers from abroad and in the brain drain of researchers.

All performance indicators shall be used in order to highlight change, to make visible progress in the Union's research participation imbalances and to allow for comparison at international level.

What is at stake?


III

Providing a clear rationale for EU international R&D cooperation


Annex I – Broad lines of the specific objectives and activities – paragraph 1 to 6Text proposed by the Commission Amendment

In particular, Horizon 2020 will support three main dimensions of international cooperation:

-promoting scientific and technological (S&T) cooperation with the most advanced centres of knowledge in the world, in order to achieve and share the most advanced standards of excellence, and to pursue competition at the highest levels;

-promoting international S&T cooperation for capacity building, helping institutions in the Union, from the very start, to contribute to and to share the benefits of the fast expansion of R&D capabilities and human resources world-wide;

- promoting S&T cooperation for peace and stability world-wide, recognising the fundamental role that human and societal values of science and research can bring to the consolidation of fragile societies and to the appeasement of international conflicts.

What is at stake?


IV

Science with and for Society: a renewed strategy for strengthening the social constituency for science

Understanding European Societies and Social Change (Social Sciences and Humanities)


Annex I – part III – point – 1(new)Text proposed by the Commission Amendment

-1. Science with and for society : A cross-cutting Challenge

Improving the cooperation between science and society to enable a widening of the social and political support to science and to technology in all Member States is increasingly a crucial issue that the current economic crisis has greatly exacerbated. In democratic societies, priority to public investment in science requires a vast social and political constituency sharing the values of science, educated in its processes and able to recognise its contributions to knowledge, to society and to economic progress.

This can only be achieved if a fruitful and rich dialogue and active cooperation between science and society is developed to ensure a more responsible science and to enable the development of policies more relevant to citizens.

Moreover, promoting in such an interactive way a scientific culture in Europe will strengthen democratic values and will help increasing the interest in science and technology. The strength of the European science and technology system depends on its capacity to harness talent and ideas from wherever they exist.


Annex I – Part III – point 6Text proposed by the Commission

(…)

Amendment

6. Understanding Europe in a changing world - inclusive, innovative and reflective societies

6.1. Specific objective

The specific objective is to foster inclusive, innovative, creative and reflective European societies through a greater understanding of Europe in a context of unprecedented transformations and growing global interdependencies.

Europe is confronted with major socio-economic challenges which significantly affect its future, such as growing economic and cultural interdependencies, ageing and demographic change, social exclusion and poverty, inequalities and migration flows, closing the digital divide, fostering a culture of science, innovation and creativity in society and enterprises, as well as ensuring trust in democratic institutions and between citizens within and across borders. Moreover the role of public social policies in Europe is increasingly perceived as a critical element for the sustainability of the European social model itself. These challenges are enormous and they call for an increasingly complex mix of approaches, based upon shared scientific knowledge that social sciences and humanities can provide.

What is at stake?


VStrategic Coordination of R&D objectives across H2020: establishing Strategic Scientific Panels, with a priority on Health


Annex I – Broad lines of the specific objectives and activities – Part IIIText proposed by the Commission Amendment

Based on need and demand strategic research and innovation coordination on each challenge can be established through Strategic Scientific panels of independent high-level experts from academia, industry, end-users and civil society, selected through an open and transparent process, which will contribute to defining research and innovation programmes based on the best leadership and will provide the impetus and instruments needed to promote interaction and synergies on a larger scale. The role of these panels would be to provide on-going strategic advice on the actions being undertaken and planned in under Horizon 2020 and the related Union policy areas.


Annex I – part III – point – 1Text proposed by the Commission

To maximise the impact of Union level actions, support will be provided to the full spectrum of research and innovation activities. From basic research through translation of knowledge to large trials and demonstration actions, mobilising private investment; to public and pre-commercial procurement for new products, services, scalable solutions, which are when necessary, interoperable and supported by defined standards and/or common guidelines.

Amendment

To maximise the impact of Union level actions, support will be provided to the full spectrum of research and innovation activities. From basic research through translation of fundamental knowledge on disease to new therapeutics, to large trials and demonstration actions, mobilising private investment; to public and pre-commercial procurement for new products, services, scalable solutions, which are when necessary, interoperable and supported by defined standards and/or common guidelines. In order to foster strategic coordination of health research and innovation across Horizon 2020 and promote transnational medical research, the corresponding Scientific steering panels for Health will be established. This coordination can be extended to other programmes and instruments related to this challenge.

What is at stake?


VIProviding for Collaborative frontier research - moving beyond the ERC

Future and Emerging Sciences and Technologies (FEST)

Future and emerging Future and emerging sciences andsciences and technologies technologies shall support collaborative research in order to extend Europe's capacity for advanced and paradigm-changing innovation. It shall foster scientific collaboration across disciplines on radically new, high-risk ideas and accelerate development of the most promising emerging areas of science and technology as well as the Union wide structuring of the corresponding scientific communities.


Annex I – Part I – point 2 – title – point 2.1Text proposed by the Commission

2. Future and Emerging Technologies (FET)

Amendment

2. Future and Emerging Sciences and Technologies (FEST)

FEST will promote excellence through collaborative projects focused on frontier research in future and emerging science and technology opportunities. Spanning the full field of collaborative frontier research from basic frontier science to technological frontier developments, and fostering collaboration across borders from the very early stages of research and onwards, FEST will bring Union added value to the frontier of modern research and will help to build collaborative critical mass in excellent research across Europe.

What is at stake?Main contributions by the EP (a personal view)

VIISpace: recognising the European Space Agency (ESA) as the major European asset for Space industry and R&D in Europe

A still open debate: Intergovernmental R&D international organisations and their future.

For Spain and Portugal, a joint immediate (national) concern: the INL (International Iberian Nanotechnology Laboratory) – a unique instrument to be further developed

European Science and Technology Policy and the process of approval of the next EU Framework

Programme for R&D

Praise the European Institutions for their commitment to Science and Technology

Praise the European ParliamentITRE and the rapporteurs

(e.g. Teresa Riera Madurell )

H2020: A Study in Progress…

Barcelona, January [email protected]

[email protected] SUPERIOR TÉCNICO

LISBON PORTUGAL

Thank you

GRACIAS

OBRIGADO

Conan Doyle, A study in scarlet"There’s the scarlet thread of murder running through the colourless skein of life, and

our duty is to unravel it, and isolate it, and expose every inch of it.” (1887)

european science and technology policy

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