ADVANCED MATERIALS

Essay

New European Funding Opportunities for Materials Research By Ingo Hussla and Natasha Us*

1. Introduction, Including Current Status of the Fourth Framework Programme

The European scientific community recognizes that Eu- rope-wide cooperation in materials research is vital for fu- ture scientific advancements and industrial competitiveness : A vast number of successful examples exist where comple- mentary expertise pooled across national borders has en- abled sophisticated new developments. The European fund- ing schemes which have provided the means for such advancement have been implemented since 1984. The money spent is controlled by the Framework Programmes of re- search and technological development (RTD); these pro- grammes provide the legal foundation for the establishment and implementation of specific programmes, i.e. ESPRIT and Brite-EuRam 11, the largest ones that are related to materials research.

The end of the Third Framework Programme is approach- ing, and its resources are nearly spent. The Fourth Frame- work Programme is now close to adoption; this is a long procedure with the European Commission (EC) putting forth content and financial proposals. According to the new procedure laid down in the Maastricht treaty, both the Re- search Council (Le., the European ministers of R & D) and the European Parliament provide comments and eventual ratification. A number of scientific societies and organiza- tions, including materials societies, have provided input re- garding the workprogrammes of the specific programmes.

The materials research and technology development com- munity is therefore momentarily in transition between the Third and Fourth Framework Programmes and is eagerly awaiting new funding opportunities. The good news is that the total spending for RTD will be greatly increased within the Fourth Framework Programme (the budget is more than 12 BECU, while only 6.6 BECU were available in the Third Framework Programme).

On December 22, 1993, the Research Council, represent- ing the national RTD policies of the member states, reached a common position on the Fourth Framework Programme for research, technological development and demonstration, after having integrated a number of parliamentary amend-

[*] N. Us, Dr. 1. Hussla MEC Micro Electronics Consultants Bonner Wall 6, D-50677 Koln (FRG)

ments resulting from the first readihg (November 1993). A budget of 12 BECU was decided upon, and a breakdown by activities was made; an additional 1 BECU were put into reserve. (The budget has been subsequently increased to 12.3 BECU, with 0.7 BECU in reserve.) The Ministers of the Member States agreed on a final text of the common position for the Fourth Framework Programme for research, techno- logical development, and demonstration (1994-1998) and on a political orientation for the European Atomic Energy Community (EAEC) Framework Programme for research and training (1994-1998). In addition, the EC prepared its view on the common position.

The common position, along with the EC view, was com- municated to Parliament in a plenary meeting in January 1994. Parliament completed its second reading in January 1994. This procedure complies with the co-decision process specified in Article 189b of the Treaty on European Union, as specified as an amendment in the Maastricht Treaty. Par- liament prepared a set of amendments that were not fully taken into account by the Council. A conciliation committee therefore met on March 4 and 21 to bring together the rec- ommendations of the Council and Parliament in a compro- mise text. The figures agreed upon by the Council and the European Parliament are 12.3 BECU with an additional 0.7 BECU as a reserve. The Fourth Framework Programme based on the compromise text will then have to be voted on in plenary (April or May sessions) by Parliament, and finally will be formally adopted by the Council in May 1994 at the earliest. The next step, which consists of the preparation and final transmission of specific programme proposals by the Commission to the Council and Parliament is already under way with the objective of completing the process before Par- liament recesses in June. First calls are expected at the earli- est in the autumn of 1994, based on the specific programmes. There will be seventeen specific programmes for the EC Fourth Framework Programme and three for the EAEC framework programme.

2. Past: Third Framework Programme (1990- 1994) Materials Research Funding

Within the Third Framework Programme of research and technological development (1990- 1994), activities were or- ganized around 15 specific programmes in the following

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areas: I) enabling technologies, including information and communication technologies (e.g. ESPRIT, RACE) and in- dustrial and materials technologies (e.g. Brite-EuRam 11); 11) management of natural resources, with specific pro- grammes for environment, life sciences and technologies, and energy; and 111) management of intellectual resources through the human capital and mobility programme.

5700 MECU were originally allocated for these pro- grammes; on March 15, 1993, an additional 900 MECU were approved and spent in calls for proposals. The great interest in and need for these programmes is clearly indicated by the oversubscription of proposals for available funds.

Two specific programmes of particular interest to materi- als researchers were Brite-EuRam I1 and ESPRIT.

2.1. Industrial and Materials Technologies- Brite-EuRam I1

848 MECU were allocated for RTD in industrial materi- als and technologies. The objectives included increasing the competitiveness of European producer and user industries ; strengthening European economic and social cohesion; and promoting the scientific, technological, and economic inte- gration of European industry.1']

Strategic aims included an increase in the application of technology by small and medium sized enterprises (SMEs), as well as an increase of involvement of manufacturing SMEs in European RTD by establishing links with other enterprises and promoting better management of their re- sources.

The workprogramme for the latest Brite-EuRam I1 call covered two main areas of interest to materials researchers: Materials- Raw Materials (including raw materials, re- cycling, structural materials, functional materials for mag- netic, superconducting, optical. electrical, and biomaterial applications, and mass commodity materials) and Design and Manufacturing (addressing the design of products and processes, manufacturing, and engineering and management strategies for the whole product life cycle).

2.2. Information Technologies-ESPRIT

1532 MECU were assigned for funding of information technologies (the ESPRIT programme).

Five areas of pre-competitive RTD were addressed in ESPRIT'S two calls for proposals : Microelectronics, Infor- mation Processing Systems and Software, Advanced Busi- ness and Home Systems- --Peripherals, Computer Integrated Manufacturing and Engineering, and Basic Research, as well as a cross-area initiative: the Open Microprocessor Systems

Specific topics of particular interest to materials re- searchers in microelectronics comprised enabling optoelec- tronic technologies and materials, high-performance inter-

connect materials, silicon-based multilayer devices, novel ion implantation and thermal techniques, and silicon inte- grated sensors. Basic research topics included alternative semiconductor materials, devices, and process steps, multi- layered materials for silicon-compatible optoelectronics, na- noelectronics (including organic structures, polymers, and crystals), novel concepts and new materials for optical devices/all-optical computing, and high-temperature super- conductivity related to low-current applications.

3. Future: Fourth Framework Programme (1994- 1998) Materials Research Funding

3.1. Allocation of Funds

12.3 BECU will be allocated for research and develop- ment for the Fourth Framework Programme. However, at

Table 1. Allocated funds for RTD in the Fourth Framework Programme. De- tailed breakdown of Activity 1 , summary of Activities 2. 3, and 4.

Activity 1 Percentage MECU (from 12.3 BECU) of total

A Information and communications technologies

1. Telematics 6.85 2. Communications technologies 5.12 3. Information technologies 15.71

4. Industrial and materials 13.88

5. Measurements and testing 2.34

6. Environment and climate 6.93 7. Environmental protection technology I .85

8. Biotechnology 4.48 9. Biomedicine and health 2.73

10. Agriculture and fisheries 5.56

B Industrial technologies

technologies

C Environment

D Life sciences and technologies

E Energy 11. Non-nuclear energy 8.15

3.36 13. Controlled thermonuclear fuslon [a] 6.83

14. Transport

15. Targeted socio-economic research

12. Nuclear fission safety [a]

F Transport

G Targeted socio-economic research

~~

27.68 3 405

843 630

1932

16.22 1995 1707

288

8.78 1080 852 228

12.77 1572 552 336 684

18.34 2256 1002 414 840

1.95 240

1.12 138

Total Acrivitv 1 Research, technological development and demonstration programmes

Activity 2 Promotion of cooperation in Community research, technological development, and demonstration with third countries and international organizations

Activity 3 Dissemination and application of the results of Community research. technological development, and demonstration activities Activity 4 Stimulation of the training and mobility of researchers in the Community

86.9 10 686

4.4 540

2.7 330

6.0 144

[a] Framework programme EAEC.

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the latest by June 30, 1996, following an examination of the implementation of the Framework Programmes together with a consideration of the general economic situation, this overall budget may be raised to 13 BECU. The compromise text of the Council recommends that the funds (originally 12.3 BECU) be distributed along four activity lines as shown in Table 1. Please note that the overall Joint Research Centre (JRC) budget decided in the compromise for activities to be carried out under the two Framework Programmes is 900 MECU; this will be drawn from the budget given in the table.

3.2. Specific Opportunities for Materials Research

3.2. I . Information Technologies

The Commission’s proposals from October 6, 1993, for the specific programmes implementing the Fourth Frame- work Programme include a detailed proposal for informa- tion technology (IT) RTD. The areas and anticipated fund- ing (1 91 1 MECU) comprise: software technologies (33 YO), multimedia (1 4 %), and technologies for IT components and subsystems (34%), as well as specific applications (19 YO), within which activities in the following areas will be per- formed : technologies for business processes and integration in manufacturing, the open microprocessor systems initia- tive and high performance computing and networking, and long term research. This breakdown is being defined in more detail in the Commission proposals. In this area the JRCs will also carry out activities in direct research (21 MECU).

The areas (including details of areas of special interest to materials researchers) thus far comprise :

0 Software technologies

0 Technologies ,for I T components and subsystems

Semiconductor components and subsystems: RTD tasks re- lated to materials research will focus on: ~ generic technologies aimed at lower size, lower cost,

higher functionality and complexity as well as higher speed, lower power millimeter and microwave integrat- ed circuits for high frequency applications;

- generic system integration technologies with an empha- sis on electrical and optical interconnectivity and pack- aging, for systems consisting of active and passive com- ponents ;

- advanced system design methodologies and tools for digital, analog, and mixed applications;

~ electronic device technologies and system integration, in particular for advanced peripheral and storage sys- tems, communication networks, optical computers, and microsystems ;

~ effective manufacturability of next generation ICs for small and large volume production;

- flexible turn around manufacturing facility for ad- vanced integrated circuits for specific applications, in particular providing easy and cheap access for SMEs;

- integration of design and technology capabilities in pilot demonstrations aimed at specific applications of significant economic and social impact, or at extending the impact of microelectronics to more traditional in- dustrial sectors;

- microelectronics aspects of microsystems; and - multifunction system applications.

Integrated microsystems: Focus on multidisciplinary design, manufacture, and testing of microsystems, and integration and packaging methods. Emphasis on three application fields: automotive, medical engineering, and monitoring and control of processes influencing the state of the environment.

Memory subsystems: Emphasis on increased capacity, compactness, and read/write performance to support multimedia systems and real-time high definition video. Technologies will include magneto-optic and magnetic disks.

Home system peripherals

Flat panel displays: Development of low-cost high-resolu- tion thin-screen display components, emphasizing im- provement in the visual quality of displays, especially for portable equipment, and increased screen size and flat- ness. Active matrix LCD technologies, as well as other display technologies will be addressed, such as field effect displays and ferroelectric displays for very low cost and low power applications.

0 Multimedia technologies RTD will include the specification of appropriate compo- nents, for example video compression/decompression chips, high capacity optical memory and processors, liq- uid crystal displays, and their integration into advanced multimedia systems ; standards for multimedia storage, representation, and compression/decompression; and generic multimedia software.

0 Long term research Networks of excellence and upstream RTD projects will be supported to ensure that - the potential for “the next wave of innovation” is main-

tained compatibly with the shorter term views dictated by rapid technological change;

~ scarce expertise underpinning European information technology RTD is replenished in those areas where it is most needed.

The technological areas to be addressed are not yet speci- fied: proposals will be expected to respond both to oppor- tunities and to needs as they arise in other parts of the programme.

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Focused cluster-Open microprocessor systems initiative Focused cluster---High performance computing and net-

Focused cluster-Technologies for business processes Focused cluster- integration in manufacturing Focused clusters represent a major innovation in this

specific programme. According to the Draft of the Fourth Framework Programme of October 6, 1993: “A cluster is a set of activities covering a number of technol- ogy areas but with a single well-defined goal. As well as collaborative research projects, a cluster may incorporate other kinds of activity, as its specific needs dictate. These may include networks of excellence, association of suppliers and users, cooperation with Eureka, coordination with na- tional initiatives, international cooperation, dissemination of results, or training initiatives. Individual activities within a cluster may have a duration shorter than the life span of the whole cluster. Activities initiated at the outset will terminate while the cluster is still active, and new activities will be started up. Flexibility will be provided by initially retaining a percentage of the total cluster funding for use at a later stage, giving participants, industry, governments, and the Community the opportunity to refine or redefine options in response to changing needs or a new understanding of needs.”

working

3.2.2. Industrial Technologies

Materials researchers can also expect numerous opportu- nities to participate in the Industrial Technologies pro- gramme. The anticipated breakdown (of 1623 MECU with 84 MECU earmarked for direct applications by the JRCs) between the three areas of the Industrial and Materials Tech- nologies programme is: Area 1 : Technology for future in- dustries (35-39 %); Area 2 : Technologies for product inno- vation (31 -35%); Area 3: Technology for transport means

The topics to be addressed in each of these areas are as (28 -~ 32 %) .

follows.

Area I : Design, engineering, production systems and human management 1 .I Incorporation of new technologies into production sys-

1.2 Development of clean production technologies 1.3 Rational management of raw materials I .4 Safety and reliability of production systems 1.5 Human and organizational factors within production

tems (factory of the future)

systems

Area 2 : Technologies for product innovation 2.1 Materials engineering 2.2 New methodologies for product design and manufac-

2.3 Reliability and quality of materials and products 2.4 Technologies for recovering products at the end of their

ture

life cycle

Area 3: Technology for transport means 3.1 Vehicle design and system integration 3.2 Vehicle production 3.3 Technologies to improve vehicle efficiency 3.4 Environmental technologies 3.5 Technologies for vehicle safety 3.6 Technologies for vehicle operation

Another programme of interest is that in the field of stan- dards, measurement and testing (167 MECU with 11 1 MECU reserved for the JRCs), which comprises the following areas: - Metrology for European quality products (40-45 %) - Pre-normative research and technical support for trade ~ Measurements related to the needs of society

The strategic importance of materials engineering is recog- nized in the Fourth Framework Programme:

“. . .the advanced-material sector alone will, by the year 2000, represent a market worth 200 thousand MECU world- wide. Europe must stay strong in this strategic area, firstly by improving the processes generally used in the material-work- ing or processing industries (metal working, chemistry, bio- chemistry, building, textiles, etc.), secondly by ensuring that the most advanced materials can be used economically by both manufacturing industry (electrical, engineering, ma- chine tools, and transport) and the high-tech industries (aerospace or electronics, for example) in producing the products of the future, and, thirdly, by contributing to the competitiveness and balance of the system as a whole.” [IMT Working Document, October 6, 19931

These aims will be addressed by the implementation of the Industrial Technologies Programme through : shared-cost RTD projects, CRAFT (a specific scheme to promote re- search both by and for SMEs), coordinated actions, and accompanying measures.

4. Conclusion

Clearly, the Fourth Framework Programme will provide a multitude of opportunities for materials researchers : facets of materials research can be found in most of the anticipated workprogramme areas. The overall aim of materials re- search will be not only to increase the number of materials, but also to enhance the cost-effectiveness of manufacturing and to increase multifunctionality and versatility in different application areas.

One should keep in mind that the names of specific pro- grammes within the Fourth Framework Programme may not be the same ones as used in the past; thus, one should check the workprogrammes of the various upcoming calls to select the most appropriate ones to which to apply. Readers are encouraged to stay abreast of ongoing developments in the specific programmes by contacting the authors.

[l] I. Hussla, N. Us, Ad\’. Muter. 1992, 4, 823. [2] I. Hussla, N. Us. Adv. Muter. 1991, 3, 416.

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