Outlook on FP7 2007-2013

1. Outlook on FP7 2007-2013 Carlos SARAIVA MARTINS DG RTD - Unit B1 Beijing - June 2006

2. Legal basis The Framework Programme (FP) is the main instrument for funding scientific research and technological development Treaty of European Community, (part 3, title XVIII, art. 166, pag.114) : The Union shall establish a multi-annual “Framework programme” for research….

3. EU research: the story so far • 1952: ECSC treaty; first projects started March 1955 • 1957: EURATOM treaty; Joint Research Centre set up • 1973: BCR programme • 1983: ESPRIT programme • 1984: First Framework Programme (1984-1987) • 1987: “European Single Act” - science becomes a Community responsibility; Second Framework Programme (1987-1991) • 1990: Third Framework Programme (1990-1994) • 1993: Treaty on European Union; role of RTD in the EU enlarged • 1994: Fourth Framework Programme (1994-1998) • 1998: Fifth Framework Programme (1998-2002) • 2000: European Research Area • 2002: Sixth Framework Programme (2002-2006) • 2005: Proposal for theSeventhFramework Programme (2007-2013)

4. Political initiative ERA = European Research Area • Concept and vision, political initiative by Philippe Busquin Objectives • New impetus for RTD • RTD as key factor for European innovation • Strengthening the complementarity between Member States

5. Research Growth and Jobs Education Innovation Lisbon strategy S&T contributes to the Lisbon objectives: economic growth, employment creation, environmental protection, social challenges: fight poverty, improve human health and quality of life

6. Budgets of the EU Framework Programmes

7. Why double the FP7 budget?(EC proposal – 6 April 2005) • Help exerting leverage on national and private investment • Help leverage business R&D (EU wide projects, solutions and market) • Brings EU public R&D spending close to 1% target • Encourage Member States Tackle fragmentation of research • More excellence through EU wide competition • Achieve critical mass, share knowledge and facilities • Better dissemination across the EU • Stronger coordination

8. FP6 (2002-2006) Specific Programmes Focusing and Integrating Community research Thematic priorities “Wider field of Science” Support to policies NEST SMEs Genomics IST Nanotechnologies. Food Citizens Aeronautics Sustainable dev. International co-operation JRC Structuring the ERA Marie Curie, Research Infrastructures, Science & Society Strengthening the foundations of the ERA ERA -Net

9. FP6 (2002-2006) Specific Programmes + JRC (non-nuclear) JRC (nuclear) Euratom

10. What’s new ? • Substantial annual budget increase • Frontier research (~ EUR 1 billion per year) • Joint Technology Initiatives (JTI) • A Risk-Sharing Finance Facility (loan finance EIB) • Regions Knowledge (regional RTD driven clusters) • Logistical and administrative tasks transferred to external structures • Duration of 7 years

11. FP7 2007 - 2013 Specific Programmes Cooperation – Collaborative research Ideas – Frontier Research People – Human Potential Capacities – Research Capacity + JRC (non-nuclear) JRC (nuclear) Euratom

12. FP7 budget(Non-Nuclear)

13. Cooperation – Collaborative research FP6 FP7

14. Cooperation – Collaborative research

15. Cooperation – Collaborative research • Support will be implemented across all themes through: Collaborative research (Collaborative projects; Networks of Excellence; Coordination/support actions) Joint Technology Initiatives Coordination of non-Community research programmes (ERA-NET; ERA-NET+; Article 169) International Cooperation “Emerging needs” and “Unforeseen policy needs”

16. Cooperation – Collaborative research FP6 FP7

17. Joint Technology Initiatives Global Monitoring for Environment and Security Hydrogen and Fuel Cells for a Sustainable Energy Future Aeronautics and Air Transport Towards new Nanoelectronics Approaches Innovative Medicines for the Citizens of Europe Embedded systems Long-term public/private partnership

18. Joint Technology Initiatives • May Take the Form of Joint Undertakings – Article 171 of the Treaty • “The Community may set up joint undertakings or any other structure necessary for the efficient execution of Community research, technological development and demonstration programmes”

19. Initial training of researchers Marie Curie Networks Life-long training and career development Individual Fellowships Co-financing of regional/national/international programmes Industry-academia pathways and partnerships Industry-Academia Scheme International dimension Outgoing International Fellowships; Incoming International Fellowships International Cooperation Scheme; Reintegration grants Specific actions Excellence awards People– Human Potential

20. Capacities – Research Capacity • Research Infrastructures • Research for the benefit of SMEs • Regions of Knowledge • Research Potential • Science in Society • Activities of International Cooperation

21. Capacities – Research Capacity

22. Ideas – Frontier Research • Aims at stimulating creativity and excellence by funding ‘frontier research’ by ‘individual teams’ competing at European level • “For researchers – by researchers” • Setting-up of a European Research Council (ERC)

23. Frontier research • Research at the frontiers is an intrinsically risky venture • it is characterised by an absence of disciplinary boundaries • We need to avoid outmoded distinctions: • Between “basic” and “applied” research • Between “science” and “technology” • Between “traditional” disciplines

24. Individual team • The Principal Investigator (the ‘team leader’) has • power to assemble his/her research group regardless of size • and the freedom to choose the research topic. • Individual teams should consist of a grouping of researchers which meets the needs of the project, without “artificial” administrative constraints; thus members may be drawn from one or several legal entities, from either within or across national boundaries, including third countries

25. ERC organization • Scientific Council • Dedicated implementation structure Executive Agency Mid-term review: another structure (?) based possibly on Article 171

26. ERC Scientific Council Founding members were announced on 18 July 2005 following an independent identification procedure: • Lord Patten of Barnes, Chancellor of Oxford and Newcastle Universities (Chairman) • Dr. Catherine Bréchignac, Director, Institut d’Optique, Université Paris Sud ( CNRS) • Prof. Jüri Engelbrecht, Vice-President of the Estonian Academy of Sciences • Prof. Guido Martinotti, Facoltà di Sociologia Università degli Studi di Milano-Bicocca • Prof. Erwin Neher, Director, Max-Planck-Institut für biophysikalische Chemie, Göttingen

27. ERC Scientific Council • A. Organisations consulted by the Identification Committee • - Academia Europaea (organisation representing individual scientists and scholars) • - ALLEA (All European Academies) • - EARTO (European Association of Research and Technology Organisations) • - EASAC (European Academies' Science Advisory Council) • - ESF (European Science Foundation) • - EIRMA (European Industrial Research Management Association) • - EUA (European University Association) • - EUROHORCs (European Heads of Research Councils) • UNICE (Union des industries de la CE), Working Group “Research and Innovation”. • B. Other organisations that sent nominations • - Biosciences Federation - ESO (European Southern Observatory) • - CBI Confederation of British Industry - EuCheMS (European Association for Chemical and Molecular Sciences) • - COSCE (Confederation of Scientific Societies of Spain) - EURADIA (European Research Area in Diabetes) • - EAESP (European Association of Experimental Social Psychology) - EURADIA (European Research Area in Diabetes) • - EASD (European Association for the study of Diabetes) - EUROSCIENCE • - EATCS (European Association for Theoretical Computer Science) - FENS (Federation of European Neuroscience Societies) • - EEA (European Economic Association) - Fundación Ramón Areces • - EFIS (European Federation of Immunological Societies) - IADR (International Association for Dental Research) • EFOMP (European Federation of Organisations for Medical Physics) - Institusjonen Fritt Ord (the Freedom of Expression • EMBO (European Molecular Biology Organization) - JET (Joint European Torus - Nuclear fusion) • - EMS (European Mathematical Society) - MCFA (Marie Curie Fellowship Association) • ENII The European Network of Immunology Institutes - Slovak Nuclear Society • ENSA (European Neutron Scattering Association) - The Bank of SwedenTercentenary Foundation • - EOS (European Optical Society) - The Hague Club • - EPFL (Ecole Polytechnique fédérale de Lausanne) - UK Research Councils • - EPS (European Physical Society) • - EPSO (European Plant Science Organisation) • - ERCIM (European Research Consortium for Informatics and Mathematics) • - ESHG (European Society of Human Genetics) • - Estonian Academy of Sciences

28. ERC Scientific Council • Founding members were announced on 18 July 2005 following an independent identification procedure • Working in advance of the FP7 decision in the development phase of the ERC • 22 Members • Chair: Fotis Kafatos • Vice Chairs: • Helga Nowotny • Daniel Estève

29. ERC SC – The 22 Founding Members

30. ERC Scientific Council • High level scientists reflecting the full scope of European research, nominated by Commission decision • Role: • Establish overall scientific strategy, preparation of work programmes (including calls for proposals, detailed criteria of excellence,…) • Define peer review methodology; ensure selection and accreditation of experts • Monitor quality of operations and evaluate programme implementation • Assure communication with the scientific community

31. ERC Dedicated Implementation Structure • Execute work programme as established by the Scientific Council • Implement calls for proposals (information and support to applicants; proposal reception/eligibility check; etc.) • Organise peer review evaluation • Establish grant agreements, transfer funds • Administer scientific and financial aspects and follow-up of grant agreements

32. The European Commission’s duties • Guarantor of the autonomy and integrity of the ERC • Ensure that implementation follows principles of autonomy • Adopt work programme as established by the Scientific Council • Provide annual report on ERC operations to Council and European Parliament

33. Specific programme “Ideas”: Innovations compared with “standard” FP programmes • Support to individual teams • Investigator-driven frontier research • All areas of science and technology • Simplified grant • 100% reimbursement • Independent scientific governance (Scientific Council) • Dedicated implementation structure (Executive Agency)

34. Two Funding Streams: • ERC Starting Grant (< 10 years from PhD) • ERC Advanced Grant - Operating on a bottom-up basis - Not duplicating other FP7 activities • - Two-step procedure • - 100 k€ - 400 k€ for up to 5 years

35. Evaluation criteria The exact definition of criteria and the relative weighting is not yet established but basically excellence will be the sole criterion, possibly a blend of: • the potential of the people (and their track record) • Excellence of the project

36. Peer review process Scientific Council will set parameters and oversee the process. • Excellence and transparency are key principles • Permanent pool of accredited peer reviewers needed (= World’s best scientists and scholars) • High throughput, quasi-continuous processes may be necessary

37. Evaluation methodology (not definitive) • Approximately 15 high level panels (assisted by referees) • Each panel will have a highly respected Chair and 10 members • One member of the SC will attend each panel’s meeting as observer • The selection of the panel chairs and the structure of the panels under SC responsibility • Cross-disciplinarity proposals considered by two different panels

38. FP7 Participation rules (adopted 23.12.05) • Basis for Funding: • • Reimbursement of eligible costs • • Flat rates • • Lump sum amounts • Maximum funding rates • Research and technological activities – 50% of eligible costs • Except: • • Public bodies, universities, non-profit organisations – 75% • • SMEs – 75% • • Demonstration activities – 50% of eligible costs • • Frontier research actions (ERC) – 100% • • Coordination and support actions – 100% • • Training and career development of researchers actions – 100%

39. European Strategies For International Research Cooperation

40. Aim of EU research (I): • Support European competitiveness through strategic partnerships with third countries in selected fields of science • Address specific problems facing third countries on the basis of mutual interest and mutual benefit • Address global challenges within the Communities international commitments • Use S&T cooperation to reinforce the Community’s external relationsand other relevant policy

41. Aim of EU research (II): • More than ever we have no other choice than to work together to tackle universal concerns without boundaries. • Cooperation shortens the path leading from science to innovation and from knowledge to solutions. We need to share information, knowledge, practices and results • Need to carry out better research

42. FP7 – Participating countries Full participants of FP7 Candidate Countries MEMBER STATES ASSOCIATED COUNTRIES ACC (TR, BU, RO, HR) NON-ASSOCIATED CANDIDATE COUNTRIES INDUSTRIALISED COUNTRIES INTERNATIONAL COOPERATION PARTNER COUNTRIES Third Countries

43. International Scientific Cooperation Third Countries: Industrialised countries (US, Canada, Japan,..) Associated countries (Norway, Switzerland, Israel, …) International Cooperation Partner Countries (ICPC): • Mediterranean partner Countries • Western Balkans • Eastern European and Central Asian countries • ACP, ASIA, Latin America (Emerging economies (e.g. China, India, Brazil, Russia, South Africa))

44. International Scientific Cooperation ICPC ICPC is a third country which the Commission classifies as low-income, lower-middle-income or upper-middle-income country and which is identified as such in the work programmes

45. International Cooperation in Cooperation • Opening of all themes to third countries • Specific International Cooperation actions in themes

46. International Cooperation in IDEAS/ERC • The ERC should be integrated into the world-wide research scene • Participation of co-investigators from ICPC decided by the principal investigator justified on the basis of added scientific value (excellence) • Payment of co-investigators from ICPC countries on basis of mutual scientific benefit (or according to relevant concluded agreements)

47. International Cooperation in IDEAS • Cooperation with scientists from ICPC countries is expected simply because that is what scientists do – naturally, spontaneously and, often, effectively • The flow of ideas does not know of any national frontiers and scientists cooperate and compete at the same time • ICPC participation is welcome providing this will help the individual team to compete for excellence, for recognition and for results.

48. International Cooperationin PEOPLE • International outgoing fellowships • International incoming fellowships • Partnerships to support exchange of researchers • Support of common initiatives between European organizations and countries with S&T agreements • Measures to counter the risk of ‘brain drain’ from developing countries/emerging economies

49. 1. Policy Dialogue 2. S&T Cooperation Partnerships 3. Coordination of National Policies & Activities International Cooperationin Capacities • Mapping of research needs, building commitment, impact assessments, linking S&T to other policies • Involvement of industrial and economic operators, specific focused international activities • Set common goals, strategies and policies, use of S&T inputs in foreign, trade and development policies

50. Towards the Seventh Framework Programme2007-2013 (“co-decision”) Commission opinion on EP amendments Direct approval if agreement with EP New ! Consultations (online etc) Council 2 4 5 CREST (approval within 6 weeks) (within 3 months) Commission Conciliation: joint text Common position Proposal Opinion Adoption Amendments (absolute majority of members) European Research Advisory Board (approval within 6 weeks) (within 3 months) 5 1 3 4 FP evaluations European Parliament Council decides by qualified majority except on EP amendments not approved by the Commission