andrewa.smith@bbsrc.ac.uk ukro.ac.uk

1. Framework Programme 7 University of Bristol 6 December 2006 andrewa.smith@bbsrc.ac.uk http://www.ukro.ac.uk

2. Outline of Presentation • Policy background for FP7 • Co-operation • Capacities • Rules of Participation FP7 – Policy Background

3. Arts and Humanities Research Council Biotechnology and Biological Sciences Research Council Central Laboratory of the Research Councils UK Research Office Economic and Social Research Council Engineering and Physical Sciences Research Council Medical Research Council Natural Environment Research Council Particle Physics and Astronomy Research Council

4. UKRO’s Aim UKRO’s Mission is to promote effective UK participation in EU-funded research programmes, higher education programmes, and other related activities by: supporting sponsors and subscribers through early insight andbriefing on developments in European programmes and policies; disseminating timely and targeted information on EU fundingopportunities; providing high quality advice, guidance and training on applyingfor and managing EU projects; exchanging information between the UK research and higher education community, the Institutions of the European Union, and other countries participating in EU programmes UK Research Office

5. Services • Web site: http://www.ukro.ac.uk • Tailored Information Services: http://ims.ukro.ac.uk • Enquiry service • Annual visit from an UKRO European Advisor • Specialist training courses and information events • Annual conference for European officers • Meeting room in Brussels • National Contact Point for FP Mobility programmes • Monthly British Council European RTD Insight publication UK Research Office

6. Policy context andrewa.smith@bbsrc.ac.uk http://www.ukro.ac.uk

7. FP7 Policy Background • Lisbon Agenda Lisbon summit March 2000: European Council set out a ten-year strategy to make the EU the world's most dynamic and competitive knowledge-based economy. • “Building the ERA of knowledge for growth” • A seven-year Framework Programme (2007-13) • Designed to complement • Structural Funds • Competitiveness and Innovation Programme • Education and Training FP7 – Policy Background

8. Framework Programme Rules of Participation Specific Programmes Model Grant Agreement Application Forms Work Programmes Guides for Proposers Hierarchy of Legal Documents PARLIAMENT/COUNCIL (CO-DECISION) FP7 – Key Documents COUNCIL (WORKING GROUPS) PROGRAMME COMMITTEES

9. FP7: Cooperation and Capacities andrewa.smith@bbsrc.ac.uk http://www.ukro.ac.uk

10. Framework Programme 7 Pillars Co-operation – Collaborative Research Framework Programme 7 Ideas – Frontier Research People – Human Potential Capacities – Research Capacity Plus JRC and EURATOM

11. Split between FP7 Specific Programmes Specific Programmes 2007-2013 Values in € billions FP7 – Co-operation

12. Framework Programme 7 Pillars Co-operation – Collaborative Research Framework Programme 7 Ideas – Frontier Research People – Human Potential Capacities – Research Capacity Plus JRC and EURATOM

13. Space, €1.35 Security, €1.43 SSH, € 0.61 Health, € 6.05 Transport, € 4.18 Food, € 1.94 Envt, € 1.9 Energy, € 2.3 NMP, € 3.5 ICT, € 9.11 Co-operation – Thematic Areas Thematic areas 2007-2013 Values in Billions of Euros FP7 – Co-operation

14. Co-operation – Thematic Areas • Support Schemes: • Collaborative Research • Collaborative Projects, Networks of Excellence, • Co-ordination Actions, Specific Support Actions • Joint Technology Initiatives • Co-ordination of National Research Programmes • ERA-NET and ERA-NET Plus • International Co-operation, Policy Support and • Emerging Needs as appropriate FP7 – Co-operation

15. Health - Activity Areas 2 Translating research for human health 1 Biotechnology, generic tools & technologies for human health 3 Optimising the delivery of health care to European citizens FP7 – Co-operation - Health Child health Health of the ageing population International Co-operation SME relevant research

16. Health FP6 to FP7 • Continuity in the research activities • Focus on genomics has disappeared • Focus now on integrating the data • Emphasis put on translational research • translation of basic discoveries in clinical applications • Biomedical technology & engineering (rich in SMEs) is re-introduced • Health policy-driven research (public health) is strongly reinforced FP7 – Co-operation - Health

17. Food, Agriculture and Biotechnology - Activity Areas 1. Sustainable production & management of biological resources 2. Farm to fork: food, health and well being 3. Life sciences and biotechnology for sustainable non-food products and processes FP7 – Co-operation - FAB ...Build a Knowledge Based Bio-Economy…

18. Food, Agriculture and Biotechnology from FP6 to FP7 • Continuity of FP6 - Food quality and safety research with activity Food, health and well-being in FP7 • New research areas - ‘Sustainable production and management of biological resources’ and ‘Life sciences and biotech for sustainable non-food products and processes’ • FP7 integrates areas of research previously scattered in other FPs to enablesufficient critical mass and provide more synergies • Technology platforms in the area of plant biotechnology, animal breeding, global animal health, forestry, food and industrial biotechnology FP7 – Co-operation - FAB

19. Information & Communication Technologies (ICT)Key Policy Background • Two key areas: • ICT crucial to improve Europe’s competitiveness • creation of jobs and growth • ICT tools for addressing societal challenges • the ageing population; health; environment; transport; mobility • Europe to develop and shape technology to ensure that it meets Europe’s demands FP7 – Co-operation - ICT

20. ICT- Challenges • 1 - Pervasive and Trusted Network and Service Infrastructures • 2 – Cognitive Systems, Interaction, Robotics • 3 - Components, Systems, Engineering • 4 - Digital Libraries and Content   • 5 - Towards Sustainable and Personalised Healthcare • 6 - ICT for Mobility, Environmental Sustainability and Energy Efficiency • 7 - ICT for Independent Living and Inclusion • AND • Future and Emerging Technologies (FET) FP7 – Co-operation - ICT

21. Nanosciences, Nanotechnologies, Materials and New Production Technologies – Activity Areas 1. Nanosciences and Nanotechnologies FP7 - Co-operation - NMP 2. Materials 3. New Production 4. Integration of technologies for industrial production

22. Energy - Activity Areas Renewable electricity generation Energy savings and energy efficiency FP7 – Co-operation - Energy Renewable fuel production CO2 capture and storage for zero emission power generation Renewables for heating and cooling Clean coal technologies Smart energy networks Hydrogen and fuel cells Knowledge for energy policy making

23. Environment– Activity Areas • 2. • Sustainable • management • of resources • 1. • Climate change, • pollution • and risks FP7 – Co-operation – Environment • 3. • Environmental • technologies • 4. • Earth • observation • & assessment • tools

24. Transport - Activity Areas Aeronautics and air transport Galileo Surface transport FP7 – Co-operation – Transport Horizontal themes

25. Socio-Economic Sciences and the Humanities - Activity Areas 1. Growth, employment and competitiveness in a knowledge society 1. Health 2. FAB FP7 – Co-operation - SSH 2. Combining economic, social and environmental objectives in a European perspective 3. ICT 4. NMP 3. Major trends in society and their implications 5. Energy 6. Environment 4. Europe in the world 7. Transport 5. The citizen in the European Union 8. SSH 6. Socio-economic and scientific indicators 9. Space 10. Security 7. Foresight activities 8. Strategic activities

26. Space - Activities • Space-based applications at the service of the European Society • Global Monitoring for Environment and Security (GMES) • Applications of Satellite Communications • Other activities: • Space transportation – addressing issues of space propulsion • Space technology - to improve competitiveness and assess LT needs • Space sciences – for advanced technologies • and support International Space Station (ISS) FP7 – Co-operation – Space

27. Security - Mission orientated R&D 3 Intelligent surveillance and border security 4 Restoring security and safety in the case of crisis 1 Security of citizens 2 Security of infrastructures and utilities FP7 – Co-operation - Security 5 Security systems integration, interconnectivity & interoperability 6 Security and Society 7 Security research co-ordinating and structuring * See ESRAB Report of Sept 2006

28. European Technology Platforms Agree Common Vision Industry-led stakeholder forums that are independent from the European Commission Now more than 30 ETPs Define Strategic Agenda European Technology Platforms Implement Strategic Agenda More info: http://cordis.europa.eu/technology-platforms/individual_en.html

29. European Technology Platforms • Embedded Systems(ARTEMIS) • ACARE - Advisory Council for Aeronautics Research in Europe • The European Space Technology Platform(ESTP) • ESTEP - The European Steel Technology Platform • The European Technology Platform for the Future of Textiles and Clothing(ETP-FTC) • MANUFUTURE - Platform on Future Manufacturing Technologies • The European Construction Technology Platform(ECTP) • EuMaT - European Technology Platform for Advanced Engineering Materials and Technologies • The European Technology Platform on Industrial Safety • The NEM Initiative - European Initiative on NETWORKED and ELECTRONIC MEDIA • Food European Technology Platform "Food for Life" • Networked European Software and Services Initiative (NESSI) • EUROP, the European Robotics Platform • Photonics21 - The Photonics Technology Platform • The European Hydrogen and Fuel Cell Technology Platform (HFP)  • ENIAC - European Nanoelectronics Initiative Advisory Council • NanoMedicine - Nanotechnologies for Medical Applications • Plants for the Future • Water Supply and Sanitation Technology Platform(WSSTP)  • The European Technology Platform on Photovoltaics • Technology Platform on Sustainable Chemistry • Forest Based Sector Technology Platform • European Technology Platform for Global Animal Health(GAH) • ERTRAC European Road Transport Research Advisory Council • ERRAC European Rail Research Advisory Council • WATERBORNE Technology Platform(Supported by ACMARE Advisory Council). • The Mobile and Wireless Communications Technology Platform(eMobility) • Innovative Medicines for Europe FP7 – Technology Platforms

30. Joint Technology Initiatives Proposed as at June 2005 Hydrogen and Fuel Cells New Nanoelectronics Approaches FP7 – Co-operation - JTIs Embedded Systems ICT Aeronautics and Air Transport Innovative Medicines Global Monitoring for Environment and Security

31. Framework Programme 7 - Pillars Co-operation – Collaborative Research Framework Programme 7 Ideas – Frontier Research People – Human Potential Capacities – Research Capacity Plus JRC and EURATOM

32. Activities • Research infrastructures €1 850 m • Research for the benefits of SMEs €1 336 m • Regions of Knowledge €126 m • Research potential €370 m  • Science in Society €280 m  • International co-operation €185 m • Coherent development of research €70 m policies Co-ordination of national programmes (incl. ERA-NET +) FP7 Capacities

33. Research Infrastructures • Research infrastructures: • Major equipment or set of instruments • Knowledge-based resources such as archives • Enabling information and communication technology based infrastructures • Any other entity of a unique nature used for research • Clear European Added Value only including clear contribution to development EU research capacities FP7 Capacities

34. Research for benefit of SMEs • Building on success of FP6 • Strengthen innovation capacity of SMEs • Support SMEs or SME associations in need of outsourcing research to RTD performers (universities and research centres) • Through: • Research for SMEs • Research for SME associations FP7 Capacities

35. Regions of Knowledge • Building on success of FP6 pilot scheme • Support the definition and implementation of optimal policies and strategies for the development of R & D driven clusters • Increased and more focused use of Structural Funds • Open to all regions • Regional research agendas • Promote and strengthen co-operation between clusters • Contribute to strengthening existing clusters and creating new ones FP7 Capacities

36. Research Potential • Builds on FP5 Centres of Excellence and FP6 Transfer of Knowledge Development Scheme • Unlock the potential of research groups in Convergence and Outermost regions of Europe • Activities: • Two-way secondments • Recruitment of researchers • Acquisition or development of research equipment • Workshops/conferences • Dissemination/promotional activities • Evaluation facilities FP7 Capacities

37. Science in Society • Expansion of FP6 work • Support creation of social and cultural environment that allows successful and exploitable research to be carried out • 1st Action Line: A more dynamic governance of the science and society relationship • 2nd Action Line: Strengthening potential broadening horizons • 3rd Action Line: Science and Society Communicate FP7 Capacities

38. International Co-operation • Support European competitiveness through strategic partnerships with third countries • Address specific problems faced by third countries or of a global nature • Work in collaboration to identify and establish priorities under co-operation with INCOs • Coordination of national activities on international scientific co-operation FP7 Capacities

39. International Co-operation • Regional priority setting and definition of S & T Co-operation policies • Enhancement and development of S & T Co-operation Partnership including structural activities and networks • Supporting co-ordination of national policies and activities on international S & T co-operation • Candidate counties • ICPC countries Western Balkans countries Mediterranean Partner countries Eastern European and Central Asian countries ACP Latin America Asia • Industrialised third countries FP7 Capacities

40. FP7 Rules of Participation

41. FP7 Rules of Participation • Published 23 December 2005 • Co-decision between Parliament and Council • Sets out legal, financial and management rules • Continuity from FP6 in many areas • Significant changes to cost systems • New participant guarantee fund • ‘Simplification’ as key concern • Further details in Model Grant Agreement • EURATOM Rules separate, but follow same principles FP7 Participation

42. New Terminology • Instrumentsbecome Funding Schemes • Financial Guidelinesbecome Financial Rules • Model Contract becomes Model Grant Agreement • Under eligible costs-‘necessary’replacedwith ‘used solely to achieve project objectives’ • INCO becomes ICPC(International Cooperation Partner Country) FP7- Rules of Participation

43. FP7 Costings • FP based on principle of co-financing • No financial profit • FP6 cost models: • Full Cost (FC) • Full Cost Flat Rate (FCF) • Additional Cost (AC) • NO cost models in FP7 • Usual method is reimbursement of eligible costs • May also use flat-rate and lump sum financing FP7 Participation

44. Reimbursement of Eligible Costs • No cost models • Possible options: • Proportion of all eligible direct and indirect costs – available to all • Proportion of all eligible direct costs, using an average/simplified indirect cost rate – available if in accordance with usual practices • Proportion of all eligible direct costs, with a flat rate for indirect costs – available to all, although flat rate higher for universities, public bodies, SMEs • Flat rates for indirect costs under discussion • May vary between funding schemes FP7 Participation

45. Reimbursement of Eligible Costs (continued) • Costs are eligible if: • Actual • Incurred during the project • Determined according to usual accounting and management principles • Used solely for project objectives • Consistent with principles of economy, efficiency and effectiveness • Recorded in accounts • Exclusive of non-eligible costs • Average personnel costs may be used under certain conditions FP7 Participation

46. Maximum Reimbursement Rates FP7 Participation * Co-ordination and Support Actions, Training, Management

47. Flat rates and Lump sum • Can be combined with reimbursement of eligible costs • Flat rate option for indirect costs • Flat rates using ‘scale of unit’ costs: • Marie Curie • Simplification versus financial clarity • Lump sums: • Networks of Excellence – • €23,500 per researcher per year • periodic payments based on results • Co-ordination and Support Actions • ICPC participants may be able to opt for lump sum payments • Also scholarships and awards FP7 Participation

48. Reporting and Auditing • Periodic reporting • Audit certificates only required for Community contributions over threshold – 375,000 euros? • Maximum one certificate for projects of two years or less • Not required if whole project lump sum or flat rate • Public bodies, HEIs etc. can use ‘competent public officer’ • No limit on management costs? (7% in FP6) FP7 Participation

49. Proposal Submission • Electronic submission • Increased use of two-stage procedures: • Two-stage evaluation • Two-stage submission • Guides for Applicants should indicate time-to-contract • Guidelines for evaluators will be available • Unique registration facility FP7 Participation

50. Evaluation • Evaluated by independent peer review • Basic evaluation criteria: • Scientific and/or technological excellence • Relevance to the objectives of the specific programme • Potential impact through the development, dissemination and use of project • Implementation and management • Scientific excellence as sole criterion for ERC projects • Detailed criteria in Work Programmes – including weightings and thresholds • Ethics principles cannot be contravened • FP7 evaluator database FP7 Participation