COMMUNICATION FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT, THE COUNCIL, THE EUROPEAN ECONOMIC AND SOCIAL COMMITTEE AND THE COMMITTEE OF THE REGIONS Partnering in Research and Innovation
Date: 2011-09-21
Institutions: European Commission
Subjects: EU financing, innovation, inter-company cooperation, joint venture, multilateral relations, public-private partnership, research and development, research expenditure (EU), scientific cooperation, technical cooperation

EUROPEAN COMMISSION 

Brussels, 21.9.2011 
COM(2011) 572 final 

COMMUNICATION FROM THE COMMISSION TO THE EUROPEAN 
PARLIAMENT, THE COUNCIL, THE EUROPEAN ECONOMIC AND SOCIAL 
COMMITTEE AND THE COMMITTEE OF THE REGIONS 

Partnering in Research and Innovation 

{SEC(2011) 1072 final} 

 
 
 
 
  
 
PARTNERING IN RESEARCH AND INNOVATION 

1. 

INTRODUCTION 

Europe is gradually recovering from the deepest economic and financial crisis since the 1930s. 
At the same time, as the Spring 2011 European Council emphasises, "risks remain and we must 
continue our determined action"1.  

For the recovery to be maintained, we must use existing public and private resources for research 
and innovation (R&I) in a smart way to optimise the contribution of public and private players in 
achieving sustainable growth. This is essential to achieving the European Research Area (ERA) 
by  2014  and  for  delivering  on  the  Innovation  Union,  the  Digital  Agenda  and  other  EU  2020 
Flagships.  

The Commission's Innovation Union Communication highlights the importance of partnering in 
European R&I as a means of "pooling forces to achieve breakthroughs"2.  

Partnering  brings  together  European  and  national  level  public  players  in  Public-Public 
Partnerships (P2Ps) and public and private players in Public-Private Partnerships (PPPs), with a 
number of aims:  

– 

– 

– 

– 

build critical mass to ensure the scale and scope required; 

facilitate  joint  vision  development  and  strategic  agenda  setting,  including  at 
international level; 

contribute to the evolution to a programming approach in European R&I so as to 
realise a broad-based focus embracing all potential partners; 

provide  for  flexible  structures  that  facilitate  the  size  and  scope  of  a  partnership, 
depending on its nature and goals. 

In  these  ways,  the  partnering  approach  can  help  to  address  major  societal  challenges  and 
strengthen Europe's competitive position by making the R&I cycle more efficient and shortening 
the time from research to market. It can also contribute to environmental and resource efficiency 
objectives.  When  the  necessary  commitment  to  partnering  exists,  Europe  can  excel  in  science 
and technology and achieve critical mass.  
For  this  reason,  under  the  Seventh  Framework  Programme  for  Research  (FP7)3,  the 
Competitiveness and Innovation Programme (CIP)4, the ERA and the Innovation Union policy 
framework,  different  forms  of  partnering  have  been  developed  and  piloted.  This  has  been  an 
important  step  towards  establishing  a  common  vision  of  how  partnering  can  maximise  the 
contribution of R&I to achieving smart, sustainable growth in Europe. There is now a need to go 

1 
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3 

4 

Conclusions of the European Council, 24/25 March 2011 
COM(2010) 546  
Decision  no  1982/2006/EC  of  the  European  Parliament  and  of  the  Council  of  18  December  2006 
concerning  the  Seventh  Framework  Programme  of  the  European  Community  for  research,  technological 
development and demonstration activities (2007-2013) 
Decision no 1639/2006/EC of the European Parliament and of the Council of 24 October 2006 establishing 
a Competitiveness and Innovation Framework Programme (2007 to 2013) 

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further to overcome unnecessary duplication and to provide clarity on how partnering can best be 
implemented.  In  this  context,  the  aim  of  this  Communication  is  to  learn  from  and  build  on 
experience to date and to take forward the partnering concept. 

2. 

CURRENT STATE OF PLAY  

2.1. 

Overview of current EU-level partnering  

P2Ps align national strategies, helping to overcome fragmentation of public research effort. They 
also provide potential for more efficient interaction with strategic international partners.  

As Table 1 illustrates, P2Ps involve varying degrees of joint effort, from ERA-NET and ERA-
NET  Plus,  where  Member  States  (MS)  co-ordinate  national  programmes,  to  Article  185 
Initiatives,  which  represent  the  closest  integration  of  national  programmes.  Joint  Programming 
(JP)  is  an  emerging  P2P  concept  founded  on  high-level  commitment  to  address  a  particular 
societal  challenge.  P2Ps  can  also  contribute  to  joint  policy  learning,  as  with  Europe 
INNOVA/PRO INNO Europe.  

PPPs at European level are undertaken jointly by the EU and other public entities together with 
private  partners  to  achieve  shared  objectives.  PPPs  in  R&I  aim  at  strengthening  European 
industrial leadership and are used to support and leverage R&I investments in a specific area. 

As  shown  in  Table  2,  European  R&I  PPPs  were  first  implemented  under  FP7,  both  as  distinct 
legal entities in the form of Joint Undertakings, for the Joint Technology Initiatives (JTIs) and 
SESAR, and as contractual partnerships (e.g. Recovery Plan PPPs).  

The  European  Institute  of  Innovation  and  Technology  (EIT),  an  EU  body  aimed  at  boosting 
innovation  capacity,  is  neither  a  P2P  nor  a  PPP.  However,  its  main  operational  arms,  the 
Knowledge  and  Innovation  Communities  (KICs)  are  structured  partnerships  integrating 
education, research and business actors to address major societal challenges. 
European  Innovation  Partnerships  (EIPs)  were  proposed  in  the  Innovation  Union  flagship5  to 
speed up innovations addressing major societal challenges. They are neither a P2P nor a PPP but 
provide a framework bringing together stakeholders across policy areas, sectors and borders to 
integrate or initiate supply and demand side measures across the whole R&I cycle.  

The pilot EIP on Active and Healthy Ageing (AHA) is intended to test the concept and assess 
how it can best be implemented. While it is premature to assess the efficiency and effectiveness 
of the AHA EIP at this stage, a first analysis of the processes used to date has been carried out6. 

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COM(2010) 546 of 06.10.2010 
SEC(2011) 1028, 01.09.2011 

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Table 1: Existing EU-level P2P Concepts/Instruments 

Objective 

Implementation 

Impact/ Key lessons learnt 

ERA-NET 

100 projects since 
2002  

ERA-NET Plus 

9 projects since 2007 

Article 185 
Initiatives 

5 initiatives since 
2003  

 JPIs 

10 initiatives since 
2008 

Coordinate  national  research 
programmes in a selected area 

-MS  launch  and  implement  joint  actions/calls  (MS 
invested € 1.17 billion in joint calls up to 2010) 

-EU supports MS networking € 273 million up to 2010 

Enhance  joint  funding  by  MS 
and EU in a selected area 

-MS launch and implement a joint call with a top-up of 
EU  funding  (€ 230  million  in  joint  calls,  with  EU 
funding of € 68 million up to 2010) 

national 

Integrate 
and 
European  research  programmes 
in a selected area 

-EU  contributes with  matching  funds  to  implement  MS 
multiannual  programmes  (over 
funding of € 700 million) 

€ 1.55  billion,  EU 

-Efficient mechanism in defined fields, but initially not designed to create critical mass and/or 
multiannual programmes 
-Creates new opportunities for transnational R&D activities  
-Helps to reduce fragmentation and benchmark national programmes  
-Mutual learning improves national research systems 
-Staging post to more ambitious partnerships  

-Functions efficiently for a single call with substantial budget 
-Means of increased financial integration 
-Lack of support for coordination and thus lack of continuous implementation structure 
-Bridge between coordination of joint actions and full integration of programmes 

-Promotes large scale and wide scope with preparation of multiannual financial commitments 
-Effective in achieving scientific and management integration 
-Helps overcome unnecessary overlap and fragmentation of R&I effort 
-Further progress needed towards financial integration 

Coordinate  /  integrate  national 
research  programmes  to  address 
a societal challenge 

-MS  develop  and 
Research Agenda  

implement  common  Strategic 

-EU supports MS networking 

-High-level political endorsement secured 
-Political endorsement still to be matched by concrete resource commitment 
-Need to implement agreed rules 
-Need for stable, impartial and transparent implementation structures 

SET (Strategic 
Energy Technology) 
Plan 

since 2007 

Accelerate  development  of  low-
carbon  energy  technologies  and 
research 
streamline  national 
programmes 
strategic 
technology areas at EU level 

in 

Europe 
INNOVA/PRO 
INNO Europe 

Joint  policy 
development 
of 
innovation support 

learning  and 
better 

since 2008 

EN 

-Implementation  via  European  Energy  Research 
Alliance  (EERA),  currently  through  own  resources  of 
the partnering institutes 

-Contributes to reducing fragmentation and coordinating energy research effort in EU 
-Openness and transparency of decision-making process 
-Needs a formalised set-up to fully exploit its potential  

-25  pilot  projects  targeted  at  Eco-innovation/innovation 
in services and clusters 

-Effective innovation support platform 
-High multiplier effects in participating regions 
-Limited take-up of results in regional/national innovation systems  
-Concrete assistance required to project and recipient with longer timeframe  

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Table 2: Existing EU-level PPP Concepts/Instruments 

Objective 

Implementation  

Impact/ Key lessons learnt 

JTIs 

5 initiatives since 2007 

Strengthen 
industrial 
well defined areas 

European 
in 

leadership 

SESAR 

Modernise European Air 
Traffic Management 
(ATM)  

-Joint Undertakings under Article 187 TFEU  
-Build  on  Strategic  Research  Agendas  of 
European Technology Platforms (ETPs) 

-EU  matching  funds  for  research  (over  € 3 
billion from FP7 and equivalent from industry, 
mostly in-kind) 

-Efficient for public-private cooperation, leveraging private investments in strategic domains 
-Rules and procedures need to be made fit-for-purpose 
-Facilitate  emergence  of  new  forms  of  collaboration  among  stakeholders,  bringing  together  public 
and private know-how and capabilities 
-Effective vehicle for involving SMEs in R&I programmes 
-Facilitates prioritisation of R&I in line with industry needs 

-Joint Undertaking under Article 187 TFEU 

-Co-funded  by  EU  (€350  million  from  FP7  + 
€350 million from TEN-T), Eurocontrol (€700 
million)  and  15  industry  members  (€700 
million) 

-Optimal response to the needs of users and service providers 
-Integration of Single European Sky objectives of high societal relevance 
-Leveraging and pooling of funding and know-how 
-Flexible  and  dynamic  instrument  to  support  an  interactive  relationship  between  development  and 
deployment 
-"Technological ambassador " for promoting global ATM interoperability 

Recovery Plan PPPs 

3 PPPs since 2008 

Future Internet 

since 2011 

COLIPA 

since 2009 

Plan 

PPPs: 
Recovery 
Maintain  and  strengthen 
industry  sectors  hit  by 
economic crisis 

future 
FI-PPP:  Ensure 
Internet development at the 
service of society 

Project-based  FP7  funding  with 
contributing 
Roadmap to define research priorities 

industry 
to  developing  a  multiannual 

Recovery  Plan  PPPs:  € 3.2  billion  (2010-
2013)  
FI-PPP: € 300 million up to 2013 

COLIPA:  Help 
industry 
comply with EU legislation 

COLIPA: € 25 million 

to  maintain  research 

-Efficient  for  short-term  actions 
competitiveness (Recovery Plan PPPs) 
-Bring together wide range of industrial stakeholders 
-Facilitate prioritisation of R&I in line with industry needs  
-Need to formalise governance between partners 
-Should extend scope to include closer-to-market activities 

investment  and  reinforce  Europe's 

Industrial 
European 
Initiatives  (EIIs)  under 
the SET Plan 

7 EIIs since 2010 

the 

Address 
demonstration/market 
rollout  bottleneck  in  the 
innovation  chain  of  low 
carbon energy technologies 

-Technology  roadmaps  with  specific  R&D 
actions and 10 year perspective 

-Calls under FP7 for joint actions among MS 

-Effective in focusing EU, MS and industry efforts to achieve common goals and create critical mass 
-Obstacles  remain  to  the  development  of  an  integrated  EU  level  innovation  approach  and  to  get 
concrete resource commitments of MS 
-Need for new investment and large-scale research infrastructures in energy technologies 

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Partnering in Research and Innovation in Action 

Examples of P2Ps: 

There are at least 6000 known rare diseases, affecting some 20 million European citizens. The 
ERA-NET E-Rare has developed a common European programme on rare disease research and 
launched  three  joint  calls  of  €  10  million.  This,  together  with  FP7  rare  diseases  related  calls, 
means that up to 40% of public research in this area is now coordinated. 

The Baltic Sea's  capacity to provide the goods and services on which people depend  has been 
significantly  reduced  due  to  natural  and  human  pressures.  To  address  this,  nine  countries  are 
contributing  to  the  ERA-NET  Plus  -  BONUS  Plus,  through  a  joint  call  of  €  22  million.  This 
action also addresses wider policy aims under the Commission's Marine Strategy and Maritime 
Policy. 

The Ambient Assisted Living  Article 185 Initiative (AAL) focuses on innovation in support of 
demographic change. A total investment of more than €600 million has been mobilised involving 
more  than  40%  SMEs  to  provide  new  ICT  based  products  and  services  and  sustainable  care 
systems for active and independent living of the ageing population. 

Since  2007,  the  science  of  measurement  has  been  framed  within  the  multiannual  joint 
programme  of  the  Article  185  Initiative  on  metrology  (EMRP).  With  a  value  of  over  €400 
million, it has significantly reduced the duplication of research effort by pooling 44% of overall 
metrology resources in one initiative.  

Neurodegenerative  diseases  are  recognised  by  the  MS  as  a  major  societal  challenge.  23 
countries have engaged in the pilot Joint Programming Initiative (JPI) on Neurodegenerative 
Diseases, including Alzheimer's. The JPI has launched its pilot call with a total budget of €  14 
million. 

Examples of PPPs: 

The  Clean  Sky  JTI  aims  to  reduce  the  environmental  impact  of  aviation  while  safeguarding 
competitiveness in Europe's aeronautical sector. The long-term nature and inherent high risk of 
the research involved necessitate public funding and cooperation among key industrial players. 
To date, investment amounts to almost € 300 mill ion and the first flight tests involving innovative 
technologies have been carried out.  

With  public  contributions  from  the  EU  and  participating  MS,  the  ARTEMIS  (embedded 
computing  systems)  and  ENIAC  (nanoelectronics)  JTIs  aim  to  implement  a  research  agenda 
defined  by  industry  and  academic/research  organisations.  Up  to  now,  the  EU  and  MS  have 
committed  more  than  €  700  million 
to  innovative  collaborative  research  projects  targeting 
application fields such as health, manufacturing, automotive and energy efficiency. 

Under  the  European  Recovery  Plan,  the  Factories  of  the  Future  PPP  involves  a  research 
programme  of  €  1.2  billion  to  support  the  development  of  new  and  sustainable  manufacturing 
technologies. It brings together a broad range of industrial stakeholders and aims to transform 
industrial processes to ensure global competitiveness and leadership.  

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2.2. 

Overall assessment 

Experiences  of  European  level  P2Ps  and  PPPs  have shown that a partnering approach yields a 
number of benefits. 

Networks, involving a range of public-public and public-private partners, have been formed in a 
spirit of creating mutual trust, the basis of any long-term, strategic partnership. Common visions 
have  been  developed  often  using  variable  geometry,  and  leading  to  agreed  strategic  research 
agendas  and  technology  roadmaps.  This  is  having  a  positive  impact  on  the  European  R&I 
landscape. It is helping to build scale and scope, thus increasing the efficiency and effectiveness 
of R&I investment, making Europe a more attractive global partner in addressing major societal 
challenges. 

By ensuring ownership and greater participation of MS and other stakeholders, including regions 
as  well  as  public  procurement  and  standardisation  bodies,  in  building  the  Innovation  Union, 
partnering  increases  financial  leverage  of  European  funding  mechanisms  (FP,  CIP,  Structural 
Funds) and strengthens the coherence of the European R&I landscape. 

The  partnering  approach  also  enables  stakeholders  to  undertake  programmes  they  would  not 
otherwise consider and fosters strategic cooperation with key third country partners. 

At  the  same  time,  there  are  challenges  in  relation  to  governance,  implementation/funding  and 
framework conditions.  

Any conclusions drawn at this stage about the potential of partnering should be further assessed 
in light of future experience. First indications are that Europe could capitalise more fully on the 
potential  of  partnering.  However,  a  framework  within  which  to  develop  solid  and  durable 
partnerships7 is needed.  

2.3. 

European Innovation Partnerships  

2.3.1.  Objectives 

The  Innovation  Union  Communication  called  for  more  effective  linking  of  'supply-side' 
(research  and  technology)  and  'demand-side'  (e.g.  user,  regulatory,  standardisation  and  public 
procurement) tools.  

In  this  context,  the  European  Innovation  Partnerships  (EIPs)  can  play  an  important  role  in 
providing  coherence  between  the  various  partnering  concepts  and  instruments.  EIPs  act  across 
the  entire  R&I  cycle  to  ensure  that  ideas  can  be  turned  into  successful  products  or  services  to 
tackle societal challenges whilst also generating growth and jobs.  

EIPs can provide an overarching framework to further reduce fragmentation of effort in areas of 
interest to a large number of stakeholders.  

The partnering approach embodied within the EIP concept involves: 

7 

ERAC Opinion on ERA-related instruments, ERAC 1208/11, 26 May 2011  

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– 

– 

– 

bringing  together  actors  in  the  R&I  cycle,  including  national  and  regional  level, 
and  private-public-civil  society,  with  the aim  of  optimising  and  streamlining  the 
use of existing instruments, increasing synergies, aligning and pooling resources; 

embracing  the  'supply'  and  the  'demand'  sides  and  looking  not  only  at  research-
driven innovation but also other forms, like new business models, organisational 
and social innovation;  

encouraging  exchanges  between  stakeholders  and  ensuring  high-level  political 
commitment to agreed actions. 

2.3.2.  Conclusions of the AHA Pilot EIP Evaluation 

The  AHA  pilot  EIP  in  the  preparatory  phase  has  proved  successful  in  mobilising  stakeholders 
(through  stakeholder  consultation  events  at  all  levels).  A  Steering  Group  has  been  established 
with  wide,  high-level  representation.  This  has  adopted  clear  working  methods  focusing  on  the 
elaboration of a Strategic Implementation Plan.  

The pilot has helped clarifying the relationship between EIPs and other policy initiatives: EIPs 
do  not  supersede  other  initiatives,  in  particular  existing  PPPs  or  P2Ps,  and  are  not  a  means  to 
determine research priorities outside institutional procedures.  

Further  conclusions  at  this  stage  are  that  partnerships  should  have  structured  processes  to 
prioritise and validate the many ideas brought forward during the consultation process; that it is 
essential  to  include  those  actors  that  can  ensure  appropriate  regulatory  follow-up;  and  that  a 
"one-size-fits-all" approach is not appropriate and each EIP, building on the experiences of the 
pilot, will need to develop its own specific approach. 

The  AHA  pilot  EIP  has  also  allowed  clarifying  that  there  will  be  strong  involvement  of  the 
European  Parliament,  the  Council  and  the  Commission  during  the  different  stages  of  the 
partnership, reflecting a high level of commitment to deliver. 

3. 

TAKING FORWARD THE PARTNERING APPROACH  

Combined efforts to develop a partnering approach in R&I at European and national level have 
yielded positive results.  

However,  if  we  are  to  fully  overcome  unnecessary  duplication  and  fragmentation,  we  must  go 
further.  In  key  areas  where  major  societal  challenges  must  be  addressed  and  where 
European  competitiveness  is  at  stake,  relevant  joint  programmes  should  be  implemented 
on  the  basis  of  common  strategic  R&I  agendas.  These  should  align  and  pool  public 
(European and national) and private resources through a partnering approach, involving 
organisations at each stage of the R&I cycle. 

To  this  end,  the  Commission  envisages  making  greater  use  of  partnering  concepts  and 
instruments  developed  and  implemented  at  European  level,  recognising  the  need  at  the  same 
time to avoid adverse effects on competition. A number of steps have been identified to address 
the challenges in relation to governance, implementation/funding and framework conditions. 

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3.1. 

Governance 

3.1.1.  All  partners,  both  public  and  private,  must  maintain  their  commitment  to  partnering 

initiatives on a long-term basis.  

(i) It is essential that Member States make up-front multi-annual financial commitments 
and honour them.  

(ii) For private partners, commitment to participation in PPPs in research and innovation 
should be an integral part of company long-term strategy.  

(iii) Reflecting the importance of long-term sustainability, in future commitments to all 
partnering  initiatives  will  be  confirmed  by  public  declarations,  on  the  part  of 
governments  from  participating  countries  in  the  case  of  JPIs  and  by  private  sector 
leaders, as well as governments where appropriate, in the case of PPPs. 

3.1.2.  The  international  science,  technology  and  innovation  cooperation  dimension  of 
partnering will be pursued more vigorously on the basis of common priorities with third 
countries and within international fora. 

P2Ps 

3.1.3.  With a view to addressing societal challenges more effectively, the Commission intends 
to  facilitate  coordinated  implementation  of  European  and  national  programmes  and 
funding.  

PPPs 

3.1.4.  PPPs  in  R&I  are  a  means  of  strengthening  Europe's  competitiveness  in  key  areas  of 
industrial research and should become a significant element of the partnering approach, 
building on the positive experience to date.  

3.1.5.  Future PPPs in R&I should be identified on the basis of their potential contribution to 
enhanced  industrial  competitiveness  and  sustainable  growth  and  to  addressing  major 
societal challenges.  

3.1.6.  Future  PPPs  in  R&I  will  be  developed  on  the  basis  of  two  approaches  that  build  on 

existing PPP models. 

– 

– 

Contractual  partnerships  (e.g.  Recovery  Plan  PPPs)  and  voluntary  agreements 
(e.g. Set Plan EIIs) set up directly under the Framework Programme on the basis 
of  formalised  governance  arrangements  or  agreements  between  the  Commission 
and other parties. 

Dedicated legal structures set up under Article 187 TFEU on the basis of a long-
term  trust-based  approach.  These  will  represent  a  simplification  of  the  set-up 
procedures for the existing JTIs in that they will be based on a "light" EU public 
body  structure.  The  feasibility  of  this  option  depends  on  acceptance  by  the 
European  Parliament and Council of the Commission's proposal for "PPP body" 

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status implemented under Article 201 of the proposed new Financial Regulation8. 
It must also be recognised that there is a trade-off between simplification through 
harmonisation of structures and the degree of flexibility to adapt structures to the 
specific needs of individual JTIs.  

3.1.7. 

It  will  be  important  to  ensure  coordination  at  national  and  regional  level  between 
partnering initiatives and innovation strategies for smart specialisation under Cohesion 
policy. 

3.2. 

Implementation/Funding 

P2Ps 

3.2.1.  The Commission proposes to simplify instruments supporting public-public partnering 
by  merging  existing  ERA-NET  and  ERA-NET  Plus  actions,  as  well  as  relevant 
elements of Europe INNOVA and PRO INNO Europe, to form a single, more flexible 
ERA-NET instrument. 

3.2.2.  Commitment  of  participating  countries  to  the  three  levels  of  integration  (scientific, 
management  and  financial)  will  be  an  essential  pre-condition  for  future  proposals  for 
Article 185 Initiatives. With regard to financial integration, participating countries must 
go  further  in  making  firm  commitments  of  resources  to  joint  programmes,  such  as  by 
including these in their national planning, on the basis of common rules that provide for 
the participation of that country.  

3.2.3.  The Commission will support JPIs during the development of their Strategic Research 

Agendas through co-ordination and support measures, where appropriate. 

3.2.4.  Where the areas being addressed by JPI fit with FP priorities, their instruments may be 
used to support JPIs where appropriate. In general, JPI joint actions will be evaluated on 
a  case-by-case  basis  to  assess  whether  the  EU  value-added  justifies  funding  via  the 
ERA-NET scheme or co-funding via thematic research calls.  

3.2.5.  The  Commission  will  only  consider  making  a  proposal  for  an  Article  185  Initiative 
where a JPI has demonstrated in its Strategic Research Agenda that it has the capacity 
for significant collaboration and the necessary scale and scope to support full integration 
of national programmes.  

3.2.6.  All relevant national programmes must be taken into account in the implementation of a 
JPI.  Accordingly,  programme  owners  and  programme  managers  from  participating 
countries must be part of the management of JPIs. In this way, opportunities to build on 
existing experience with joint programmes can also be capitalised on. 

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PPPs 

3.2.7.  Given the scale of investment in PPPs and that the contribution of industry to PPPs is 
generally  in-kind,  transparent  accounting  methods  are  needed  to  measure  industry 
contribution effectively. 

3.2.8.  Key  selection  criteria  for  PPPs  should  include  scale  of  EU  level  impact,  long-term 

commitment of partners and leverage effect on R&I investments. 

3.2.9.  For PPPs to achieve their goals, they must operate in an open and transparent set-up (no 

"closed shops").  

3.3. 

Framework Conditions 

P2Ps 

3.3.1.  The Voluntary Guidelines on Framework Conditions for Joint Programming provide a 
flexible catalogue of good practices to support implementation of JPIs. EU funding for a 
JPI will be conditional on appropriate application of the Voluntary Guidelines9. 

3.3.2. 

PPPs 

3.3.3. 

If  Joint  Programming  is  to  be  effective  in  building  strong,  long-term  public  research 
partnerships,  bottlenecks  such  as  cross-border  funding,  knowledge  circulation,  ex-ante 
and  ex-post  evaluation  must  be  overcome.  The  Commission  will  ensure  that  the  ERA 
Framework addresses these obstacles as a priority.  

It is essential that Member States participating in PPPs harmonise and synchronise their 
administrative processes. 

4. 

NEXT STEPS 

The  Commission's  proposal  for  "Horizon  2020"10  will  build  on  the  steps  set  out  in  this 
Communication, providing a legislative basis for future EU P2Ps and PPPs in R&I. This should 
also provide a common set of rules for all initiatives supported under "Horizon 2020" in order to 
simplify participation, while leaving the necessary flexibility for individual initiatives to achieve 
their  objectives,  as  well  as  ensure  complementarity  between  the  two  Common  Strategic 
Frameworks, for Research and Innovation and for Cohesion. 

As  we  gain  more  experience  with  implementation  of  the  partnering  concepts  and  instruments 
developed under FP7, the Commission will launch a strategic exercise to determine where and 
how the partnering approach can be applied most successfully and the types of initiative to which 
the instruments are best suited. 

As  a  first  step,  the  Commission  intends  to  establish  benchmarks  against  which  to  assess  the 
efficiency and effectiveness of the implementation of initiatives developed using the partnering 
concepts and instruments. 

9 
10 

Council Conclusions on Joint Programming in research of 26 November 2010 
Framework Programme for Research and Innovation (2014-2020) 

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