Dr. ir. Matthijs Soede – 28 October 2005 Based on presentations of

1. Building the Europe of Knowledge Information on the 7th Research Framework Programme2007 - 2013 and Specific Programmes Dr. ir. Matthijs Soede – 28 October 2005 Based on presentations of N. Hartley – Head of Unit G-1 « Strategy and Policy » Directorate G – Industrial Technologies

2. The FP and the Specific Programmes • The Framework Programme is the strategic instrument for RTD policy (Chapter XVIII of the Treaty): • General principles, objectives, financial means • Co-decision (Council and Parliament) • Proposal of the EC adopted 06.04.05 and sent to EP & Council • The FP is implemented by Specific Programmes: • 4 SPs: Cooperation; Ideas; People; Capacities • Detailed research content • Types of activities and where they apply • More detailed budget (no sub-breakdown) • Council decision (one EP reading)

3. Relationships between the texts • COM ‘Building the ERA of knowledge…’ • COM staff working doc ‘Simplification…’ Framework Programme Rules of Participation (Art 167) SP: Capacities SP: People SP: Ideas Simplified contracts SP: Cooperation Information packs, manuals for participants... Work programmes Theme 4 will have its own work programme

4. FP7- institutional debate: where are we? Budget issue: still open…. UK Presidency: • Principle that ‘Nothing is agreed until everything is agreed’ • ‘Partial General Approach’ on FP7 at the Competitiveness Council of 27-28 November • FP7:EP and Council - constructive debates so far and overall agreement on structure and concepts • Specific Programmes: Proposal of the Commission adopted on 21 September. • Competitiveness Council of 11 October (today!): policy debate on FP7 and SPs

5. Tentative Roadmap for FP7 2005 6 April Commission - Adoption of FP7 proposals 18 April Council - Exchange of views 7 June Council - Orientation debate 21 September Commission - Proposals on SPs 11 October Council - Exchange of views on SPs and Rules Mid Oct Commission proposal on Rules (art 167) for participation and dissemination23 November Commission - Proposals under Articles 169 and/or 171 27-28 November Council - Orientation debate on SPs and Rules + FP ‘partial general approach’ 12-15 December EP - 1st reading on EC FP and Opinion on Euratom FP 2006 Feb/Mar: Council - Common position on EC FP EP - 1st reading on EC Rules.Opinion on Euratom Rules. April Common position on EC Rules May/JuneEP - 2nd reading on EC FP; Opinion on SPs; 2nd reading on EC Rules (earliest) JuneCouncil - Adoption of FPand Rules (earliest) July Council and EP - Adoption of FPand Rules July Council - Adoption of the SPs Oct Commission - Adoption of Work programmes and necessary participation documents Nov Commission - Publication of 1st calls

6. Structure FP7

7. FP7- institutional debate: where are we? • Transnational collaborative research remains the core activity of the FP and priority research topics identified on the basis of competitiveness and other Community policy objectives • Emphasis on industry-driven character of Technology Initiatives • Overall support to Basic research activities and to a possible new management mechanism to be set up (ERC) • Importance of attracting researchers to Europe • Explore complementary funding mechanisms to support new infrastructures (not only up-grading/access) • Improved procedures and management (… Budget issue: still open….)

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

9. Cooperation – Collaborative research 9 Themes • Health • Food, agriculture and Biotechnology • Information and Communication Technologies • Nanosciences, Nanotechnologies, Materials and new Production Technologies • Energy • Environment and climate change • Transport • Socio-Economic Sciences and the Humanities • Space and Security research

10. Framework Programme 7: Objectives and activities

11. FP7 budget(€ billion, current prices)

12. SP1 - Cooperation – Implementation • Under each themethere will be sufficient flexibility to address both Emerging needsand 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: Collaborative research (Collaborative projects; Networks of Excellence; Coordination/support actions) Joint Technology Initiatives (Article 171) Coordination of non-Community research programmes (ERA-NET; ERA-NET+; Article 169) International Cooperation

13. 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 Other possible topics to be identified later…

14. Technology Platforms and JTIs • Bottom-Up Approach with Industry in Lead • Wide Stakeholder Involvement • Flexibility: No “One Size Fits All” • EU Role: Facilitating and Guiding but not Leading or Owning • Majority of Strategic Research Agendas, where Appropriate, Taken into Account in Thematic Priorities of FP7 • Minority of Strategic Research Agendas Identified through Dialogue with Industry as Potential “Joint Technology Initiatives”

15. 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”

16. SP2 - Ideas • The background: ‘Europe and Basic Research’,January 2004, COM(2004) • Basic research has an important impact on economic performance • A new funding mechanism is needed at European level • to reinforce excellence • based on competitive support to individual teams • sole criterion for selection should be scientificexcellence

17. The “Ideas” programme in theFP7 proposal • Frontier research (new and emerging, high risk research) • Support to individual teams, to promote excellence through Europe-wide competition • Dedicated implementation structure (Executive Agency – Art 171?) • Independent scientific governance (Scientific Council – 22 high level scientists – July 2005) • Simplified grant mechanism

18. European Research Council • Independent; respected personalities, reflecting the full scope of European research • Responsible for scientific strategy, oversight and guarantee of quality in scientific decision-making • Prior to FP7 decision, would act as advisory body in the development of the “Ideas” programme

19. Ideas – Frontier Research Structure and management of the ERC Scientific Governing Council Executive Agency

20. 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 Knowledge-sharing Scheme* International dimension Outgoing & Incoming International Fellowships; International Cooperation Scheme; Reintegration grants; Support to researcher ‘diasporas’ Specific actions Mobility and career enhancement actions;Excellence awards SP3 - People– Marie Curie Actions * Open to third-country nationals

21. SP4 - Capacities – Research Capacity • Research Infrastructures (existing + new?) • Research for the benefit of SMEs (continuity with FP6) • Regions of Knowledge (research-clusters) • Research Potential • Science in Society • Activities of International Cooperation (not theme-related)

22. What’s new in the Commission’s proposal? Main new elements compared to FP6: • Duration increased from 5 to 7 years • Annual budget doubled (€5 billion  €10 billion) • Basic research (~ €1.5 billion per year) • New structure: SPs are Cooperation, Ideas, People, Capacities • Flexible funding schemes • Joint Technology Initiatives • Simpler procedures • Logistical and administrative tasks  external structures

23. Management Doubled FP budget and no increase in Commission staff  • Need new structures to manage the increase • “Externalise” part of the FP management to executive agencies for the first time • Policy-related tasks remain with Commission

24. Management: agencies Executive agencies for • Frontier research projects (ERC) • Most of Human Potential and SME-specific actions • Logistics and administrative tasks (e.g.: reception and handling of proposals,…)

25. Management: special structures Ad-hoc special structures to manage – • Joint Technology Initiatives (Art. 171) • New infrastructure initiatives • Joint projects with Member States (Art.169) • Co-funding of national Human Potential schemes

26. Simplification of procedures • Light submission procedure (e.g.: two-stage, …) • Reducing a priori controls • Increasing autonomy of consortia • Streamlining the selection process (Time to contract, comitology, etc.) • Exploring new modes of funding • Simplifying the cost-based funding system

27. Three possible forms of grants (DG RTD orientations): • Lump sum - Does NOT require justification but paid according to assessment of indicators/deliverables… - May be used to support an entire project or some parts (travel costs/per diem etc…) • Flat rate - Does NOT require justification - May be used to cover specific parts of a project (e.g.: indirect costs) ..and

28. Three possible forms of grants (DG RTD orientations) cont: • Reimbursement of eligible costs - Requires justification - May be used to finance the entire project or combined with lump sums/flat rates

29. Funding Schemes • State aid rules determine total funding • Programme decisions and calls will mention • the type(s) of scheme(s) used for different actions • the eligible participants • the eligible types of activity • Work programmes may specify the scheme used for each element of the call

30. Funding Schemes • Collaborative projects • consortia with participants from different countries • new knowledge, technology, products or common resources for research • size, scope and internal organisation of projects can vary • Networks of Excellence • joint programmes by organisations integrating activities in a given field • longer term co-operation • formal commitment to integrate resources

31. Funding Schemescontinued 3.Coordination and support actions • networking, exchanges, trans-national access to research infrastructures, studies, conferences, etc. 4.Individual projects 5.Training and career development of researchers 6. Research for the benefit of specific groups (in particular SMEs) Generally based on calls for proposals

32. Information • EU research: http://europa.eu.int/comm/research • Seventh Framework Programme and S Ps: http://europa.eu.int/comm/research/future/index_en.cfm • Information on research programmes and projects: http://www.cordis.lu • RTD info magazine: http://europa.eu.int/comm/research/rtdinfo/ • Information requests: research@cec.eu.int • NMP Industrial Research Magazinehttp://europa.eu.int/comm/research/industrial_technologies/lists/magazine_en.html

33. Specific Programmes • Example: Theme 4: Nanosciences, nanotechnologies, materials and new production technologies

34. Theme 4: Nanosciences, nanotechnologies, materials and new production technologies FP7 Budget 2007-2013: 72.726 million €- Theme 4 budget: 4.832 million €SP 1 – Theme 4 ”NMP” : Main headings

35. Theme 4:Nanosciences, nanotechnologies, materials and new production technologies Overall objective : improve the competitiveness of EU industry (including SMEs) and ensure its transformationthrough: • the effective transition from a resource-based to knowledge-based industry • generation of new breakthrough, applicable, knowledge • strengthening EU leadership in nano, materials and production technologies • emphasis on integrating different technologies and disciplines across many sectors Importance of Technology Platforms to help establish common research priorities and targets

36. Theme 4:Nanosciences, nanotechnologies, materials and new production technologies Four activities: • Nanosciences and nanotechnologies • Materials • New production • Integration of technologies for industrial applications

37. Theme 4:Nanosciences, nanotechnologies, materials and new production technologies • Nanosciences and nanotechnologies Objective: increase and support the take up of knowledge generated in this revolutionary field for all industrial sectors Topics include: interface and size dependent phenomena; materials properties at nano-scale; self assembly; metrology; new concepts and approaches; impacts on health and safety; convergence of emerging technologies

38. Theme 4:Nanosciences, nanotechnologies, materials and new production technologies • Materials Objective:generate new knowledge to enable new industrial products and processes to be achieved, exploiting the potential of interdisciplinary approaches in materials research. • Topics include: high performance, sustainable and knowledge-based materials; design and simulation; nano-, bio- and hybrid materials and their processing; chemical technologies and materials processing industries

39. Theme 4:Nanosciences, nanotechnologies, materials and new production technologies • New production Objective:create continuously innovating production capabilities to achieve leadership in industrial products & processes in the global marketplace. • Topics include: Knowledge-intensive production; new paradigms for emerging industrial needs; adaptive, networked and knowledge-based production; convergence of technologies for next generation of high value-added products (nano, bio, info, cognitive..)

40. Theme 4:Nanosciences, nanotechnologies, materials and new production technologies • Integration of technologies for industrial applications Objective: accelerate the rate of industrial transformation by exploiting the application potential of new generic technologies. • Topics include: Integration of nano, materials and production technologies in sectoral and cross-sectoral applications (e.g. health, construction, transport, energy, chemistry, environment, textiles & clothing, pulp & paper, mechanical engineering,…)

41. Theme 4:Nanosciences, nanotechnologies, materials and new production technologies Technology Platforms related to Theme 4: Nano-electronics(ENIAC);Nanomedicine; Sustainable Chemistry; Steel; Future Textiles & Clothing; Manufacturing Technologies; Construction Technology; Industrial Safety; Hydrogen; Photovoltaics…

42. Theme 4: SP… • In addition to RTD activities (projects and networks, coordination and support actions), Theme 4 is responsible for: - EraNet / EraNet+; - International Cooperation ; IMS - Emerging Needs and Policy • SME participation encouraged as in FP6 • European Technology Platforms