2012 EXPERT GROUP on the Joint Programming process
Terms of Reference
1. INTRODUCTION
1.1 Background and History
Joint Programming has its origins in the 2007 ERA Green Paper, which pointed to a mismatch between major societal challenges which are European in scale and the research instruments to address them, which are mainly (85%)[1] at the level of Member States.
The Europe 2020 Strategy and the Innovation Union Communication confirm this mismatch. They call for a pooling of efforts to ensure smart, sustainable and inclusive growth in Europe. This is where Joint Programming comes in.
Joint Programming is a process whereby Member States address jointly areas where public research programmes can respond to major societal challenges ("grand challenges"). As a by-product, the Joint Programming process should strengthen the European Research Area by:
· Increasing the cross-border collaboration between Member States, agencies and researchers;
· Contributing to the alignment national and European research programmes.
Joint Programming Initiatives (JPIs), each based on a common Strategic Research Agenda (SRA), provide the means of implementing the process. The Competiveness Council has mandated in December 2008 a dedicated configuration of ERAC (the GPC) to steer the process aimed at identifying the themes for possible JPIs. The GPC is made up of Member States' representatives, as well as the Commission and it steers the Joint Programming process by:
· Undertaking National stakeholders' consultations, defining well substantiated proposals for JPIs and selecting the mature ones for launching by the Council.
· Producing voluntary Guidelines on Framework Conditions for Joint Programming, namely the administrative, normative and regulatory elements considered essential for effective implementation of JPIs.
1.2 Two waves of Joint Programming Initiatives
A pilot JPI on Neurodegenerative diseases (including Alzheimer's) was launched through Council Conclusions in December 2009.
Following adoption of the Lisbon treaty, it was agreed with Member States and the Council that JPIs would be: (1) Selected by the GPC, (2) Confirmed in Council Conclusions, (3) Recommended by the Commission on the basis of Art. 181 TFUE and (4) launched by Council Conclusions.
A first wave of three JPIs was launched in October 2010, they are implementing first joint actions in 2011 and progressing towards the preparation of Strategic Research Agendas (See Anx 1).
The GPC and the Council identified in 2010 a second wave of six JPIs. The Commission did not agree with their level of maturity and asked these JPIs to "further demonstrate their maturity". Member States did additional work and responded positively in 2011 to the Commission requests. As a consequence, the Commission adopted Recommendations for all these JPIs which are to be launched through Council Conclusions under the Polish Presidency (See Anx 2).
1.3 Analysing and supporting the Joint Programming process
As requested by the Council in 2008, the GPC adopted its first biennial report on the Joint Programming process which was welcome by the Council in November 2010. The report confirms that the Joint Programming process continues to have the potential to bring major benefits to the European Research Area.
A common set of guidelines for implementing joint research programmes is important for overall consistency in implementing JPIs. Guidelines also help build trust among the participants in JPIs by creating transparency and allowing information sharing. The GPC has developed a 2010 version of the Guidelines on Framework Conditions for Joint Programming which was also welcome by the Council in November 2010. The development of the voluntary guidelines on Framework Conditions has been a shared task, led by member States in the GPC and involving national research councils, as well as the Commission services.
1.4 Joint Programming in EU Research and Innovation policy
The Joint Programming process is a building block of the European Research Area (ERA) and was launched as one of the five ERA partnerships in 2008. It addresses the issue of optimising research programmes and programming in the ERA.
The Joint Programming process also contributes to the Innovation Union Flagship due to its relation to the development of European Innovation Partnerships (EIPs). Several JPIs cover areas which are also covered by the pilot EIP or by EIPs identified in the Innovation Union.
In the preparation of the pilot EIP on Active and Healthy Ageing, some JPIs have the potential to provide a strong research base. Starting from this base, EIPs can then expand to respond to demands and underpin innovations. Accordingly, coordinators of the Pilot "Alzheimer" JPI and of "More Years, Better Lives" have been included in the Steering Board of the pilot EIP.
2. Purpose and scope of the Group's work
To date, despite much increased political will from Member States to develop joint Strategic Research Agendas (SRAs) in the areas covered by the ten JPIs, Member States are still progressing slowly to implement coordinated public research support schemes in Europe. This makes it difficult for researchers to enter into excellence based, cross-border research activities with national funding geared towards these major societal challenges.
Three main reasons appear to be hindering progress of the Joint Programming process:
· The Political Challenge. In times of scarce public budget for the Union (EU and Member States), it has proven difficult for Member States’ administrations to rapidly redirect national resources into JPIs. National Programme managers[2] in particular appear concerned by the partial delegation of "control" over national resources into cooperation schemes.
· The structural Challenge. There is still a large incompatibility between national research and innovation systems, which make Member States hesitant to give firm commitments to team up programmes into "external" schemes. Some Member States also lack national programmes or adequate top-down governance.
· The organisational challenge. There is a need for common principles between the Member States, to help to assemble national agency and institutional funding, for the design, selection and implementation of cross-border projects and programmes. Implementing variable geometry programmes in cooperation is still rather new and difficult to organise. Guidelines on Framework Conditions for Joint Programming need to be tried and tested by the ten JPIs.
Experts will have to :
1. Review the Joint Programming process experience achieved so far.
2. Identify what went well and what not, with respect to the original objectives.
3. Make recommendations as to how Member States and the Commission can act to improve the Joint Programming process.
4. Assess progress of the ten JPIs. Suggest ways for the future of the JPIs, including their possible relationships with Horizon 2020 – the future Framework Programme for Research and Innovation (2014-2020).
5. Analyse the participation of less research intensive countries in JPIs. Identify if they adequately participate in and benefit from the Joint Programming process. (If applicable) Make Recommendations on how to improve this participation.
Analysis and Recommendations will be contained in a 30 to 50 pages report summarizing the findings of the Group. This will be presented to the Commission before any external publication. In a second moment, the report will be presented to the GPC to inform its 2012 biennial report on Joint Programming.
3. Constitution of the Expert Group
The evaluation will be conducted by a multidisciplinary team of personalities appointed by the European Commission. The expert group ("the Group") will be composed of 5 experts, with one expert nominated as Chair.
The selected members will have expertise that covers:
· understanding of the European Research policies and EU institutions;
· understanding of national research programmes on research and innovation and of the EU Research and Innovation Framework Programmes;
· knowledge about programme management agencies and public research organisations;
· knowledge of the financial mechanisms for funding research at EU and national level, from public and private sources;
· knowledge of Public-public partnerships and of their potential for addressing major societal challenges.
The work of the Group will be supported by a Rapporteur who is member of the Group and a secretary provided through the services of the European Commission.
4. Tasks of the Group
The collective tasks of the Group will be the following:
· adopt the Terms of Reference as basis for the work;
· study relevant background documents;
· devise a detailed methodology and plan for conducting the interim evaluation, including the method of working and distribution of responsibilities within the Group, identification of further information required as well as specific questions and identification of required respondents involved in the implementation of the Joint Programming process;
· conduct necessary interviews and collection of information;
· perform analysis of acquired information;
· provide their findings and recommendations in the evaluation report.
5. Duties of Group Chair
The specific duties of the Chair will be the following:
· to chair meetings and organise overall work of the Group;
· to coordinate and communicate with Group members;
· to present the findings of the evaluation to the European Commission and Member States representatives in the GPC.
6. Rapporteur to support the work of the Group
The Group will be supported by a Rapporteur who will perform the following task under instruction by the Group:
· to carry out selected interviews on behalf of the Group, if required;
· to support the chair in structuring the work of the Group;
· to assist the Group in drafting and editing the final report and liaise for the reporting with the secretary on formal aspects and timing.
7. Obligations of the Group
The obligations of the Group will be:
· to inform the Commission of all relevant information sources utilised for accomplishing the task;
· to collectively analyse the information and draw up conclusions and recommendations;
· to treat documents in a confidential manner;
· not to publish review results or outputs without permission from the Commission;
· to return (or destroy as appropriate) all documents used by the Group;
· to report in a timely manner while avoiding any possible conflicts of interest;
· to produce the final evaluation report (draft and final evaluation report).
8. Methodology
The methodology for the Group could include, but is not necessarily limited to:
- Desk review of documents, state of play of JPIs
- Interviews with
- coordinators of JPIs
- members of the GPC
- national programme managers involved in JPIs
- relevant national policy makers
- EC services
- participants in the JPI calls for proposals
- other relevant stakeholders
- Analysis of any additional sources of information or procedure to obtain views and feedback on the performance, role, and set-up of the Joint Programming process that the Group feels to be necessary to accomplish the tasks set forth in these terms of reference.
The interviews can be conducted through meetings, by phone, by videoconference, by email or via questionnaires.
The Group could, if it feels it necessary, invite stakeholders to Brussels for interviews.
The final report of the findings and recommendations of the Group shall be written in English.
9. Indicative Work plan
Duration
The main work of the Group will be carried out between March 2012 and 30 September 2012.
Group members will be allocated with up to 8 working days with the following indicative time allocation:
· 3 days for meetings in Brussels,
· Up to 5 working days,
For the Chair and Rapporteur, up to 18 days of work are foreseen in total.
Phase I: Preparation and Launch
Initial Meeting: Brussels
Timing: March 2012
Scope: Establish objectives and modus-operandi of the evaluation Group
– Briefing of the Group with relevant services in EC premises (DG RTD B4)
– Kick-off meeting and briefing of the Evaluation Group
– Understanding of the Joint Programming process and evaluation contexts
Expected outcomes:
– Clear assignment of tasks and other organisational arrangements of the Group
– Refinement of evaluation questions
– Analysis of the existing evidence
– Identification of stakeholders for interviews
Phase II: Data Collection, Data Analysis, first draft conclusions and recommendations
Timing: March to June 2012
Scope: Collect additional evidence, surveys, studies, reports..
– Review progress of the JPIs according to agreed methodology
– Possible participation in a GPC meeting
Expected outcomes:
- Full information baseline is gathered for drafting analysis and recommendations
– Analysis of findings and evaluation
– First draft structure of the report with possible conclusions and recommendations
Phase III: Preparation of Final Report
Timing: July to 30 September 2012
Scope: Finalisation of the report
Expected outcomes:
– Preparation of a draft (preliminary) report and recommendations
– Final meeting to discuss conclusions in Brussels to the EC, draft report to be circulated one week in advance.
– Collection of feedback and refinement of the (final) report and recommendations
– Final report, submitted to the EC before end September 2012, taking into account the relevant recommendations and as appropriate, issues raised in the final meeting
- The Chair will have to present the final report in the GPC
Annex 1: First Wave JPIs (Launched in 2010 - Updated 31/10/11)
Lead Countries / Commitments(s) / Current status / First Results/
Main Challenge
Neurodegenerative Diseases (JPND) (Alzheimer’s)
FRANCE (INSERM)
/ - FR + 22 Countries
- Management Board launched a joint action on Centres of Excellence, also involving Canada, and a first joint call in 2011
/ - Launched by Council Conclusions (Dec. '09)
- Draft Strategic Research Agenda adopted, including priority themes, extensive consultations ongoing for finalisation by end 2011 / + France funded 100 k€ for managing the JPI
+ Two joint actions launched in 2011 for a total of some 20 M€ (20 Countries involved)
+ Member of Steering Board of EIP "Active and Healthy Ageing"
+ Commission provided 2 M€ support action in 2010
- 24 Months needed to develop comprehensive SRA
- Some MS (e.g. IT) not able to provide funding for joint call
Agriculture, Food Security and climate change (FACCE)
FRANCE (INRA) / - FR+UK + 18 Ctries.
- Management Board launched pilot joint action on 13 July 2011 / - Launched by Council Conclusions (Oct. '10)
- Scientific Research Agenda adopted in December 2010
- Strategic Research Agenda expected end 2011 / + 20 Countries provided each 5000 € for management
+ Pilot joint call launched in 2011 involving all countries
+ Strong role in international effort to tackle Agriculture and Climate Change
+ Commission provided 2 M€ support action in 2011
- Slow progress towards joint actions despite 13 successful ERA-NET actions in related areas
"Healthy Diet for a Healthy Life"
(Diet and Health JPI)
NETHERLANDS (Agency of the Dutch Ministry of Economic Affairs)
/ - NL+De + 19 Ctries.
- Management Board to launch pilot actions by end 2011 / - Launched by Council Conclusions (Oct. '10)
- To adopt Strategic Research Agenda in 2011 / + NL provides secretariat for all the JPI
+ Roadmap aiming at increasing degree of coordination in ERA from 30% to 75%
+ Commission will provide 2 M€ support action in 2011
- Particular difficulties due to the high level of fragmentation and diversity of national programmes and institutions in the area
Cultural Heritage and Global Change: a New Challenge for Europe
ITALY (Ministry for CulturalGoods)
/ - IT + 17 Countries
- Management Board to launch joint pilot action by the last quarter of 2012 / - Launched by Council Conclusions (Oct. '10)
- To produce and publish Strategic Research Agenda by early 2013 (during the JHEP CSA) / + IT provides secretariat for all the JPI
+ Commission will provide 2 M€ support action end 2011
+ Vision to increase the volume of research from 150 M€/year to 1B€/y by 2020.
- Leadership role of Italian ministry weakened by current Italian government difficulties
Annex 2: Second Wave JPIs (To be launched in 2011 - Updated 31/10/11)