Explanatory Memorandum to COM(2007)329 - Participation by the EC in a research and development programme aimed at enhancing the quality of life of older people through the use of new Information and Communication Technologies (ICT), undertaken by several Member States - Main contents
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This page contains a limited version of this dossier in the EU Monitor.
| dossier | COM(2007)329 - Participation by the EC in a research and development programme aimed at enhancing the quality of life of older people ... |
|---|---|
| source | COM(2007)329  |
| date | 14-06-2007 |
The objective of this proposal is the adoption of a decision by the Council and Parliament, on the basis of Article 169 of the EC Treaty, concerning the participation by the Community in the Ambient Assisted Living joint research and development programme undertaken by several Member States (hereinafter AAL joint programme).
The overall objective of the AAL joint programme is to enhance the quality of life of older people and strengthen the industrial base in Europe through the use of Information and Communication Technologies (hereinafter ICT). The AAL joint programme has the following specific aims:
- Foster the emergence of innovative ICT-based products, services and systems for ageing well at home, in the community, and at work, thus increasing the quality of life, autonomy, participation in social life, skills and employability of elderly people, and reducing the costs of health and social care;
- Create critical mass of research, development and innovation at EU level in technologies and services for ageing well in the information society, including the establishment of a favourable environment for participation by small and medium-sized enterprises (SMEs);
- Improve conditions for industrial exploitation by providing a coherent European framework for developing common approaches and facilitating the localisation and adaptation of common solutions which are compatible with varying social preferences and regulatory aspects at national or regional level across Europe.
"i2010 - A European Information Society for growth and employment", launched a flagship initiative on caring for people in an ageing society. A corresponding action plan for ageing well in the Information Society was adopted on XX/X/2007.
The 2006 Riga e-Inclusion Ministerial Declaration i set the scene for a comprehensive policy on e-Inclusion, and recommended launching a joint research initiative in the area of ICT and ageing.
In its 2006 Communication on "The demographic future of Europe – from challenge to opportunity" i, the Commission underlined the fact that ageing is one of the main challenges facing all countries in the EU and that new technologies could help to control costs and improve well-being and active participation in society by older people, while also improving competitiveness, in support of the revised Lisbon Strategy for growth and jobs.
Requests to address the demographic challenge including for FP7 have been made in the Council Resolution of 22 February 2007 on 'Opportunities and challenges of demographic change in Europe: the contribution of older people to economic and social development'.
The 7th Framework Programme (FP7) places significant emphasis on the coordination of national research programmes. One of the main mechanisms proposed for this purpose is the participation of the Community in jointly implemented national research programmes (Article 169 of the Treaty). Four areas have been identified in the Specific Programme decisions, including 'Ambient Assisted Living (AAL)' in the 'Cooperation' Specific Programme as adopted on 19 December 2006. Finally, the ICT work programme of the Cooperation Programme explicitly mentions the AAL initiative, and identifies the synergies and complementarities with FP7.
Demographic Ageing and the role of ICT
Europe's population is ageing: average life expectancy has increased from 55 in 1920 to over 80 today. With the baby-boom generation retiring, the number of people aged from 65 to 80 will rise by nearly 40% between 2010 and 2030. This demographic change poses significant challenges to Europe's society and economy. ICT can play an important role in dealing with these challenges.
ICT can help older individuals to improve their quality of life, stay healthier and live independently for longer. Innovative solutions are emerging to help counteract impairments which are more prevalent with age. ICT enables older persons to remain active at work or in their community. ICT also makes it possible to provide more efficient health and social care (for which demand will rise significantly with demographic ageing), better public health management, as well as opportunities for community- and self-care and service innovation.
Collectively, the older population has a lot of buying power and, with ageing becoming a global phenomenon, a strong base of ICT-enabled solutions in Europe could be a springboard for export opportunities worldwide.
It is also clear that market forces alone do not ensure the timely availability and take-up of the necessary ICT-enabled solutions. Besides the high cost of development and validation, the reasons include low awareness of opportunities and user needs, insufficient sharing of experiences, fragmentation of reimbursement and certification schemes, and lack of interoperability.
Coordination of National R&D Programmes
Over 80% of publicly funded research in Europe is conducted at national level, mainly under national or regional research programmes. Coordinated implementation of national programmes would have a considerable positive effect on the impact and results of the research, due in particular to the critical mass of the financial and human resources mobilised, diverse and complementary aspects covered by the national programmes, rapid delivery of results from combining existing initiatives and competences across Europe and removal of fragmentation and duplicated efforts. It also paves the way for a European research policy to emerge in areas of common economic and social priority, i.e. the ageing of the population.
The 'Impact assessment and ex ante evaluation' of FP7 has identified the lack of coordination of national research policies as a major structural deficit of the EU R&D system.
In the previous framework programmes, numerous research and development projects addressing ICT for older people and for persons with disabilities as well as e-Health have been funded, creating a knowledge and technology base for future applied research adapted to national circumstances.
The key lesson from the previous Article 169 initiative (on clinical trials in Africa, EDCTP) is that such initiatives entail three elements of scientific, management and financial integration between the national programmes, where the latter requires a clear, multiannual financial commitment of the participating countries.130
The present proposal fully complements other provisions related to ICT and Ageing within FP7 and the Competitiveness and Innovation Programme (CIP).
Research within the ICT priority of FP7 for ICT and Ageing addresses longer-term research and development of standard platforms and enabling technologies (time to market 5+ years) for new products and services. The AAL joint programme complements this by adding market-oriented research streams which are particularly attractive for European cooperation between SMEs on specific ICT-based products, services and systems for ageing well (time to market 2+ years).
The market-oriented research in the AAL joint programme lays down a basis for activities in the CIP, which will focus on innovation and market validation of existing solutions, with close links to national innovation environments. This will help to complete the cycle from research and innovation to market uptake.
Consultation methods, main sectors targeted and general profile of respondents
Consultations have been held with a broad range of stakeholders, including public administrations, research institutes, universities, large companies, SMEs, associations, international organisations and interested individuals as well as Member States.
The very high level of responses (1 727) to the FP7 stakeholder consultation provides a good indication of the views of the research community and research users. Specific questions were raised on the use of Article 169 to strengthen the integration and coherence of research in Europe and reduce fragmentation of effort.
At the request of the Council, the national members of CREST (Scientific and Technical Research Committee) have been regularly consulted, in particular on integration aspects (scientific, management and financial).
Further consultations were held during 2006 with the IST programme advisory committee ISTAG, with senior national officials in the i2010 subgroup on eInclusion and with the group of national ICT directors.
Complementing previous expert workshops, an open workshop was held in November 2006, attended by more than 100 stakeholders from academia and industry, addressing industry views, the evaluation of a related national-level programme and a national strategy in support of the AAL initiative.
The FP7 public consultation showed strong support for the use of Article 169 to coordinate national research programmes. In the light of the consultations with CREST as well as experience gained from the ECDTP Article 169 i, scientific, management and financial integration represent essential boundary conditions for successful initiatives. The European Commission has insisted that these criteria have to be met satisfactorily for Article 169 initiatives. Consultations with senior Member State officials have guided the positioning of the joint programme with regard to FP7 and the CIP, confirmed the importance of EC financial support as well as produced recommendations for ensuring that there are few barriers to participation, especially for SMEs.
The open consultation of the R&D stakeholders revealed strong support and confirmed the chosen area as being of the utmost social and economic relevance, with a key role for ICT and Community support. It also reaffirmed the focus on applied R&D, with a strong role for SMEs. Thus, emphasis has been placed on reducing bureaucracy as much as possible to facilitate their involvement.
During two workshops in 2005 with over 40 experts representing the main stakeholders involved, including researchers, suppliers, SMEs, user organisations (such as the AGE platform and the European Disability Forum) and policy-makers (such as research ministries and local authorities), policy options for Community support to ICT and ageing were developed.
An ERA-NET support action performed a comprehensive analysis during 2005-2006, including national consultations, covering rules of participation and the legal basis for existing national programmes, the possible organisational structure, operational procedures and content for a joint programme. The results have been directly applied in the proposed implementation of the AAL joint programme.
Market studies (Walter studies, Seniorwatch, EU@inclusion) have provided strong evidence both of the potential of the ageing market, if age-friendly ICT can be developed, and of the need for solutions to fit with individual user needs and with varying social patterns across Europe. Studies at the (inter-)regional level, e.g. from the Silver Economy network, have confirmed this.
A particular recommendation was to give better support to shorter-term research to develop and demonstrate solutions based on available technology (addition to longer-term research in FP7), with involvement of the full value chain of actors, and to improve coordination of EU, national and regional RTD to overcome current fragmentation. The proposed joint programme will therefore focus on applied and market-oriented R&D, with strong involvement of stakeholders and users beyond the usual research community.
A further recommendation, which has been taken up, was to ensure that ethical issues are properly taken into account.
Baseline: No joint programme, No FP.
As usual a baseline option is included, in this case the (hypothetical) situation that the research community needs to rely on the available national programmes only. While several national programmes support R&D in ICT for ageing well, the majority of them are not capable of supporting collaboration along the value chains across Europe. There is also no mechanism for establishing a common approach and vision. This option would result in greater fragmentation of research effort and less effective use of public spending in R&D due to unnecessary duplication and lack of a coherent approach.
In this option there would be only research within FP7 for ICT and Ageing addressing longer-term R&D of standard platforms and enabling technologies (time to market 5+ years). However, this highly innovative and forward-looking research leaves a critical gap in European-level market-oriented research and development on ICT for ageing well with a 2-3 year market horizon and for engaging the full value chain at national, regional and local level.
For many of the SMEs involved in the ICT and ageing sector, the Framework Programme does not provide the best match for market-oriented research and also presents them with significant learning curves for participation. FP7 ERA-NET and ERA-NET+ coordination schemes do not ensure a lasting leverage effect on the coordination of national programmes.
Therefore, FP7 mechanisms are not considered sufficient.
· Community participation in the AAL joint programme is the option that best meets the need for a long-term solution for R&D on ICT for ageing well with a coherent approach, critical mass and effective support for all relevant players across the value chain. This will at the same time help to realise the objectives of FP7, as it covers a key part of applied research and innovation with strong SME involvement not easily addressed by the FP7 instruments.
· By using Article 169 there will also be increased leverage of EU funding compared to FP7 through corresponding national investments, and matching co-funding in projects by industry/research. At 50% public co-financing in projects, EU investment of up to €150 million is expected to leverage a minimum total investment of €600 million between 2008-2013 by the participating states and research actors, i.e. at least a doubling of the leverage effect in comparison to FP7.
Contents
- Legal elements of the proposal
- Budgetary implications
- 1.1. Objectives of the proposal
- 1.2. Grounds for the proposal
- 1.3. General context
- Previous activities and experience
- 1.4. Existing provisions in the area of the proposal
- 2. Consultation of interested parties and impact assessment
- 2.1. Consultation of interested parties
- Summary of responses and how they have been taken into account
- 2.2. Collection and use of expertise
- 2.3. Impact assessment
- Option 1: No joint programme; only FP7
- Option 2: the AAL joint programme
- 3.1 Summary of the proposed action
- 3.2 Legal basis
- 3.3 Subsidiarity principle
- 3.4 Proportionality principle
- 3.5 Choice of instruments
- 5. Additional information
- 5.1 Simplification
- 5.2 Review/revision/sunset clause
- 5.3 European Economic Area
The AAL joint programme provides the legal and organisational framework for a large-scale European programme between Austria, Belgium, Cyprus, Denmark, Finland, France, Germany, Hungary, Italy, the Netherlands, Poland, Portugal and Spain and Israel, Norway and Switzerland on applied research and innovation in the area of ICT for Ageing Well in the Information Society. They have agreed to coordinate and implement jointly activities aimed at contributing to the AAL joint programme. The overall value of their participation is estimated at a minimum of €150 million during the period 2008-2013.
In order to increase the impact and critical mass of the AAL joint programme, the Community should participate therein by making a financial contribution of up to €150 million, subject to efficient implementation and financial commitments by Member States in line with the criteria set out in the co-decision.
A mid-term and final review will be carried out by independent experts to assess the effectiveness and overall impact of the Community contribution to the initiative.
The Commission and the Court of Auditors may carry out all the checks and inspections needed to ensure proper management of the Community funds and protect the financial interests of the Community against any fraud or irregularity.
The proposal for the AAL joint programme is based on Title XVIII of the Treaty, Article 169, concerning the participation of the Community in research programmes jointly undertaken by several Member States, including participation in the structures created for the execution of those programmes.
This proposal corresponds to the indirect centralised management, according to the provisions of Art 54(2)(c) of the Financial Regulation.
The subsidiarity principle applies as the proposal does not fall within the exclusive competence of the Community. Subsidiarity is safeguarded:
· by basing the proposal on Article 169, which explicitly provides for the participation of the Community in a joint programme between several Member States;
· by implementing all operational aspects where possible at national level, while ensuring a coherent approach at the European level of the joint programme.
The objectives of the proposal cannot be sufficiently achieved by the Member States alone as:
· the specific knowledge and excellence required for research and development of ICT-based products and services for ageing are spread across national borders and hence cannot be combined at national level only;
· without a coherent approach at European level with critical mass, there is a high risk of duplication of effort with resultant increased costs;
· it is unlikely that a genuine internal market for interoperable ICT solutions for ageing well can be established without a joint programme with a European dimension.
The added value of the Community's involvement is substantial because:
· the Community intervention will ensure a higher leverage of national and private-sector funding (with a factor 4 compared to a factor 2 in FP7);
· the proposed scheme will create incentives for increased national and industrial investments in R&D and innovation in the field of ICT and ageing, thus contributing to the Barcelona objective of 3% of European GDP for R&D.
The proposal therefore complies with the subsidiarity principle.
The proposal complies with the proportionality principle for the following reasons.
Through a lightweight approach with a large catalytic effect, the role of the Community is limited to providing incentives for improved coordination as well as ensuring synergy with the relevant complementary activities in FP7 and the CIP. Member States will be responsible for developing their joint strategic work programme and all operational aspects.
Notably, the proposed organisational structure ensures a minimum of administrative burden, by channelling the main administrative work through national agencies under the supervision and overall responsibility of the common legal structure created for this purpose.
The proposed instrument is a co-decision by the European Parliament and the Council, which is the means for implementing Article 169 of the EC Treaty.
The budgetary implications of this Decision have already been included in the legal basis of the 7th Framework Programme (Decision 1982/2006/EC of 18/12/2006, JO L 412, 30.12.2006) as well as in the 'Cooperation' specific programme of the 7th Framework Programme (Decision 2006/971/EC of 19/12/2006, JO L 400, 30/12/2006)..
The proposal provides for simplification of administrative procedures for private parties. In particular, recipients of the research funding from the new joint programme will benefit from having to adhere only to familiar national rules without any need for separate reporting concerning the Community contribution.
The proposal includes a review clause for a mid-term review after two years. The overall duration will be limited to six years.
The proposed act concerns an EEA matter and should therefore extend to the European Economic Area.