14 June 2007 – Not legally binding RTD Framework Programme 7 Challenges for European Universities Jean-David MALO Head of RSFF Sector Directorate-General

14 June 2007 – Not legally binding

RTD Framework Programme 7

Challenges for European Universities

Jean-David MALOHead of RSFF Sector

Directorate-General for Research European Commission

Politechnika Koszalińska14 June 2007Koszalin, Poland


Why research at EU level?

Pooling and leveraging resources Pooling of resources

• “Critical mass”• Inter-disciplinarity• Rising costs of R&D• “Big” science

Leverage effect on private investment• Expertise beyond national level• Improved commercial opportunities• Development of pan-European and world standards

Fostering human capacity and excellence in S&T International mobility and training of researchers Improved S&T capabilities EU-wide competition for research grants

Better integration of European R&D Create scientific base for pan-European policy challenges Coordination of national programmes and policies Efficient dissemination of research results


R&D – European weaknesses

EU-25 US Japan

R&D intensity (% of GDP) (2004) 1.86 2.66 3.18

Share of R&D financed by industry (%) (1) 54.8 63.7 74.8

Researchers (FTE) per thousand labour force (2) 5.5 9.1 10.1

Share of world scientific publications (%) (2003) 38.3 31.1 9.6

Scientific publications per million population (2003) 639 809 569

Share of world triadic patents (%) (2000) 31.5 34.3 26.9

Triadic patents per million population (2000) 30.5 53.1 92.6

High-tech exports as a share of total manufacturing exports (%) (2003) 19.7 28.5 26.5

Share of world high-tech exports (%) (2003) 16.7 19.5 10.6

Data: Eurostat, OECD. Source: DG ResearchNotes: (1) EU-25: 2003; US, JP: 2004. (2) EU-25: 2004; US: 2002; JP: 2003.


Research: filling the gap(total expenditure on R&D as % of GDP, 2004)

(EU-25 extrapolation based on R&D intensity targets put forward by Member States in their respective National Reform Programmes)

1,7

1,9

2,1

2,3

2,5

2,7

2,9

3,1

3,3

1994 1996 1998 2000 2002 2004 2006 2008 2010

EU-25 : 1,86 %

USA : 2,66 %

Japan : 3,18 %

EU-25 2010 forecast: 2,6 %

Data: Eurostat, OECD. Source: DG Research


EU Research Framework ProgrammesAnnual Budgets between 1984 and 2013

NB: budgets in current prices. Source: Annual Report 2003, plus FP7 revised proposal

0

2

4

6

8

10

12

1984 1986 1988 1990 1992 1994 1996 1998 2000 2002 2004 2006 2008 2010 2012

€ bi l l i on


FP7: Nurturing the the knowledge triangle

S&T contributes to the Lisbon objectives: economic growth, employment creation, environmental protection, social challenges:

fight poverty, improve human health and quality of life(GSM, remote working, safe roads, etc.)


FP7: Continuity and Novelty

Large degree of continuity with FP6

Continuing drive for building ERA

Similar thematic coverage

Similar “Funding Schemes”

But also considerable novelty


What’s new in FP7?Main new elements compared to FP6: Duration increased from 5 to 7 years

Significant average annual budget increase (40% over FP6)

New structure: “Cooperation”, “Ideas”, “People”, “Capacities”

Joint Technology Initiatives (possibly using Treaty Art. 171)

Extension of use of Treaty Article 169

Frontier research - ERC (~ €1 billion per year)

Enlarged scope of researcher mobility schemes

European approach to Research Infrastructures

Flexible “Funding Schemes”

Simpler procedures

Setting up of a “Guarantee Fund” and of the “RSFF”

Externalisation of certain tasks to Executive Agencies


FP7 (2007 – 2013) Specific Programmes

+

Ideas – Frontier Research

Capacities – Research Capacity

People – Marie Curie Actions

Cooperation – Collaborative research

JRC non-nuclear research

Euratom direct actions – JRC nuclear research

Euratom indirect actions – nuclear fusion and fission research


FP7 budget (€ 50 521 million, current prices)

€ million

Ideas; 7 510

People; 4 750

Capacities; 4 097 JRC (EC); 1 751

Cooperation, 32 413

Note: Euratom FP: €2.7 billion over 5 years - not included above


Cooperation – Collaborative Research

1. Health

2. Food, agriculture and biotechnology

3. Information and communication technologies

4. Nanosciences, nanotechnologies, materialsand new production technologies

5. Energy

6. Environment (including climate change)

7. Transport (including aeronautics)

8. Socio-economic sciences and the humanities

9. Space

10. Security

Euratom: Fusion energy research, nuclear fissionand radiation protection

Ten themes

+


Collaborative research(Collaborative projects; Networks of Excellence; Coordination/support actions)

Collaborative research(Collaborative projects; Networks of Excellence; Coordination/support actions)

Joint Technology InitiativesJoint Technology Initiatives

Coordination of non-Community research programmes(ERA-NET; ERA-NET+; Article 169)

Coordination of non-Community research programmes(ERA-NET; ERA-NET+; Article 169)

International CooperationInternational Cooperation

Under each theme there will be sufficient flexibility to address both Emerging needs and Unforeseen policy needs

Dissemination of knowledge and transfer of results will be supported in all thematic areas

Support will be implemented across all themes through:

Cooperation – Collaborative Research


Cooperation programme - thematic areas(€ million)


Joint Technology Initiatives (JTI)

JTIs aim to: establish long-term public-private partnerships in research at

European level in fields of high industrial and policy relevance co-ordinate research efforts and respond to industry needs lead to flagship projects for European competitiveness

JTIs build on European Technology Platforms (ETPs): in a small number of cases, scale and scope of Strategic Research

Agendas of ETPs require implementation through dedicated legal structure

normal FP instruments not sufficient


Joint Technology Initiatives

Other possible topicsto be identified later…

Fuel Cells and Hydrogen

(FCH)

Aeronautics and Air Transport(‘Clean Sky’)

Global Monitoring for Environment

and Security(GMES)

Embedded Computing Systems

(ARTEMIS)

Innovative Medicines(IMI

NanoelectronicsTechnology 2020

(ENIAC)

Six potential topics identified in the ‘Cooperation’ Specific Programme:


ERA-NET and ERA-NET+ in FP7

Continuity and reinforcement of ERA-NET Normally a 4-step approach

Systematic exchange of information & best practice Definition and preparation of joint activities Implementation of joint activities Funding of joint, trans-national research actions (as much as possible)

New topics not addressed in FP6 Broadening and deepening existing ERA-NETs Existing ERA-NETs to focus on steps 3 and 4.

NEW: ERA-NET+: additional EU financial support to ‘top-up’ joint calls

support to pooled financial resources between national programmes for joint calls for proposals

Topping up maximum 1/3 of the total joint call budget Only transnational research projects to be funded


Participation of the Community in research programmesjointly Implemented by Member States

Article 169 in FP7

European co-operation on a large-scale in ‘variable geometry’ between Member States

Co-operation between Member States sharing common needs and/or interests

Identification of Art. 169 initiatives on the basis of clear criteria

Article 169 ‘In implementing the multiannual Framework Programme,

the Community may make provision, in agreement withthe 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’


Article 169 Roadmap

Other possible themesto be identified later…

EUROSTARSAmbient Assisted

Living

European MetrologyResearch Programme

(EMRP)BONUS - 169

Four potential initiatives identified in the FP 7 Specific Programmes:


Ideas - ERC:A new

dimension Frontier Research is a key driver to innovation and

economic performance European Research Council (ERC) – the first pan-

European funding agency for Frontier Research Support investigator-driven frontier research over all

areas of research Excellence as sole criterion European added-value through competition at

European level Budget ~ €1bn per year (2007-2013 ~ €7.46) Autonomous scientific governance (Scientific Council) Simple, user-friendly


Ideas – ERC:Strategic

ObjectivesStimulate excellence in frontier research in Europe

invest in bright and promising researchers and new ideas and unusual approaches

stimulate competition at the European level

offer incentives to individual researchers

allow Europe-wide benchmarking

Reverse brain drain and attract researchers to Europe

improve career opportunities and provide conditions for early independence of young researchers

increase competition, recognition and international visibility for excellent individual scientists and scholars in Europe


Ideas – ERC:Grant

SchemesTwo grant schemes:

1. ERC Starting Independent Researcher Grants (ERC Starting Grant) 1st call for proposals published, deadline 25 April 2007

2. ERC Advanced Investigator Grants (ERC Advanced Grant) 1st call for proposals published later in 2007


The People Programme in FP7

Three broad objectives:

Create conditions for researchers to be mobile without obstacles

Enhance status and attractiveness of a career in Europe

Finance researchers’ training, mobility and career development


Initial trainingInitial Training Networks*

Initial trainingInitial Training Networks*

Life-long training and career developmentIntra-European Fellowships / European Reintegration GrantsCo-funding of regional/national/international programmes

Life-long training and career developmentIntra-European Fellowships / European Reintegration GrantsCo-funding of regional/national/international programmes

Industry dimensionIndustry-Academia Partnerships and Pathways*

Industry dimensionIndustry-Academia Partnerships and Pathways*

International dimensionOutgoing & Incoming* International Fellowships; International Cooperation

Scheme; International Reintegration grants; Support to researcher ‘diasporas’*

International dimensionOutgoing & Incoming* International Fellowships; International Cooperation

Scheme; International Reintegration grants; Support to researcher ‘diasporas’*

Policy support actionsMobility and career enhancement actions; Excellence awards

Policy support actionsMobility and career enhancement actions; Excellence awards

* Open to third-country nationals

The People Programme in FP7


Dev. of policies1,5% - 70 M€

INCO4,5% - 180 M€

Science in Society8% - 330 M€

Research Infrastructures

42% - 1715 M€

SMEs33% - 1336 M€

Research Potential8% - 340 M€

Regions of Knowledge

3% - 126 M€

The Capacities Programme


Capacities 1. Research Infrastructures

2. Research for the benefit of SMEs

3. Regions of Knowledge

4. Research Potential

5. Science in Society

6. Coherent development of policies

7. Activities of International Cooperation


Work Programme 2007-2008, 3 activities are proposed:

Bi-regional Coordination of S&T Cooperation(INCO-NET)

Bi-regional Coordination of S&T Cooperation(INCO-NET)

Coordination of National INCO Policies and Activities (ERA-NET)

Coordination of National INCO Policies and Activities (ERA-NET)

Bilateral S&T Cooperation PartnershipsBilateral S&T Cooperation Partnerships

International CooperationInternational Cooperation


Funding Schemes

Collaborative projects Networks of Excellence Coordination and Support actions Support for Frontier Research Training and career development of researchers Research for the benefit of specific groups

(in particular SMEs) Large-scale multi-financed initiatives

Joint implementation of national research programmes:Article 169 of the Treaty

Joint Technology Initiatives: Article 171 of the Treaty

New infrastructures of European interest


Research and technological activities: up to 50% of eligible costs except for:

Public bodies: up to 75%

Secondary and higher education establishments: up to 75%

Research organisations (non-profit): up to 75%

SMEs: up to 75%

Demonstration activities: up to 50% of eligible costs

Other activities: up to 100% including e.g. management, dissemination

Frontier Research actions, Coordination and Support actions, training and career development of researchers actions: up to 100%

Receipts are taken into account to determine the final Community financial contribution

Maximum funding rates


Risk-sharing finance facility:

Budget and Procedures An innovative financing instrument, developed jointly by

the EIB and the Commission to: Foster increased investment in research by improving

access to EIB finance thus helping overcome market deficiency.

Risk-sharing with EIB to allow:

• Larger volume of risky lending for research• Financing of riskier, but creditworthy research

activities Generate a leverage effect so that the volume of extra

lending is expected to be a multiple 4 to 6 of the Community and EIB funds allocated to the instrument• FP7: Up to €1 billion• EIB: Up to €1 billion


Risk Management

Participants have joint and several responsibility to carry out technical work

But: No collective financial responsibility within a consortium Instead: Commission will establish of a participant

“Guarantee Fund” to cover financial risk All participants contribute to fund Contribution: 5% of Community contribution to participant Financial interest generated by fund to cover financial risk Participant contribution in principle reimbursed at end of project

Exoneration of financial viability of participants (except coordinators) requesting less than 500,000 €

No bank/financial guarantees and securities requested


FP7 synergies

Strong synergies with other EU Programmes

The Structural and Cohesion Funds New emphasis on “knowledge”-related investment

The Competitiveness and Innovation Programme (CIP) Education and training Programmes

New emphasis on “knowledge”-related investment

Trans-european Networks European Institute of Technology (EIT)

A new “paradigm” for university-industry collaboration?


Information

EU research: http://ec.europa.eu/research

Seventh Framework Programme: http://ec.europa.eu/research/fp7

Information on research programmesand projects: http://www.cordis.lu/

RTD info magazine: http://ec.europa.eu/research/rtdinfo/

Information requests: http://ec.europa.eu/research/enquiries/

Documents

14 June 2007 – Not legally binding RTD Framework Programme 7 Challenges for European Universities Jean-David MALO Head of RSFF Sector Directorate-General