outlook on fp7 2007-2013 carlos saraiva martins dg rtd - unit b1 beijing - june 2006

Outlook on FP7

2007-2013

Carlos SARAIVA MARTINS

DG RTD - Unit B1

Beijing - June 2006

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….

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 the Seventh Framework Programme (2007-2013)

EU research: the story so far

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

Lisbon strategy

Research

Growth and Jobs

Education Innovation

S&T contributes to the Lisbon objectives: economic growth, employment creation, environmental protection, social challenges: fight poverty, improve human health and quality of life

3,27 5,36 6,6

13,12 14,9617,5

50,5

0

10

20

30

40

50

60

1984-1987 1987-1991 1990-1994 1994-1998 1998-2002 2002-2006 2007-2013

€ Billion

Budgets of the EU Framework Programmes

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

Focusing and Integrating Community research

Strengthening the foundations of the ERA

Structuring the ERA

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Thematic priorities

FP6 (2002-2006)

“Wider field of Science”

SMEs

International co-operation

JRC

NESTSupport to

policies

Marie Curie, Research Infrastructures, Science & Society

ERA -Net

Specific Programmes

FP6 (2002-2006)

JRC (nuclear)JRC (nuclear)

JRC (non-nuclear)JRC (non-nuclear)

EuratomEuratom

+

Specific Programmes

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

Specific Programmes

Cooperation – Collaborative researchCooperation – Collaborative research

People – Human PotentialPeople – Human Potential

JRC (nuclear)JRC (nuclear)

Ideas – Frontier ResearchIdeas – Frontier Research

Capacities – Research CapacityCapacities – Research Capacity

JRC (non-nuclear)JRC (non-nuclear)

EuratomEuratom

+

FP7 2007 - 2013

FP7 budget(Non-Nuclear)

JRC3.4%Capacities

8.5%

People9.4%

Ideas14.8%

Cooperation63.9%


FP6 FP7

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


Support will be implemented across all themes through:

“Emerging needs” and “Unforeseen policy needs”“Emerging needs” and “Unforeseen policy needs”


FP6 FP7

Joint Technology Initiatives

Global Monitoring for Environment

and Security

Global Monitoring for Environment

and Security

Hydrogen and Fuel Cells for a Sustainable Energy

Future

Hydrogen and Fuel Cells for a Sustainable Energy

Future

Towards new Nanoelectronics

Approaches

Towards new Nanoelectronics

Approaches

Embedded systemsEmbedded systems

Aeronautics and Air Transport

Aeronautics and Air Transport

Innovative Medicines for the Citizens

of Europe

Innovative Medicines for the Citizens

of Europe

Long-term public/private partnership

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”

Initial training of researchersMarie Curie Networks

Initial training of researchersMarie Curie Networks

Life-long training and career developmentIndividual Fellowships

Co-financing of regional/national/international programmes

Life-long training and career developmentIndividual Fellowships

Co-financing of regional/national/international programmes

Industry-academia pathways and partnershipsIndustry-Academia Scheme

Industry-academia pathways and partnershipsIndustry-Academia Scheme

International dimensionOutgoing International Fellowships; Incoming International Fellowships

International Cooperation Scheme; Reintegration grants

International dimensionOutgoing International Fellowships; Incoming International Fellowships

International Cooperation Scheme; Reintegration grants

Specific actionsExcellence awards

Specific actionsExcellence awards

People – Human PotentialPeople – Human Potential

1. Research Infrastructures

2. Research for the benefit of SMEs

3. Regions of Knowledge

4. Research Potential

5. Science in Society

6. Activities of International Cooperation


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)

Ideas – Frontier Research

Ideas – 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

Frontier research

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

Individual team

Scientific Council

Dedicated implementation structure Executive Agency

Mid-term review: another structure (?) based possibly on Article 171

ERC organization

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

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 Sweden Tercentenary

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


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


ERC SC – The 22 Founding Members

Dr. Claudio BORDIGNON (IT)

Prof. Manuel CASTELLS (ES)

Prof. Dr. Paul J. CRUTZEN (NL)

Prof. Mathias DEWATRIPONT (BE)

Dr. Daniel ESTEVE (FR)

Prof. Pavel EXNER (CZ)

Prof. Dr. Hans-Joachim FREUND (DE)

Prof. Wendy HALL (UK)

Prof. Dr. Car l- Henrik HELDIN (SE)

Prof. Dr. Fotis C. KAFATOS (GR)

Prof. Dr. Michal KLEIBER (PL)

Prof. Norbert KROO (HU)

Prof. Maria Teresa V.T. LAGO (PT)

Dr. Oscar MARIN PARRA (ES)

Prof Robert MAY (UK)

Prof. Helga NOWOTNY (AT)

Prof. Christiane NÜSSLEIN-VOLHARD (DE)

Dr. Leena PELTONEN-PALOTIE (FI)

Prof. Alain PEYRAUBE (FR)

Dr. Jens R. ROSTRUP-NIELSEN (DK)

Prof. Salvatore SETTIS (IT)

Prof. Dr.med. Rolf M. ZINKERNAGEL (CH))

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


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

ERC Dedicated Implementation Structure

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

The European Commission’s duties

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)

Specific programme “Ideas”: Innovations compared with “standard” FP programmes

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

Two Funding Streams:

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

Evaluation criteria

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

Peer review process

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

Evaluation methodology(not definitive)

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%

European Strategies European Strategies For For

International Research International Research CooperationCooperation

Aim of EU research (I):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 relations and other relevant policy

Aim of EU research (II):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

FP7 – Participating FP7 – Participating countriescountries

Full participants of FP7

Third Countries

MEMBER STATES ASSOCIATEDCOUNTRIES

INTERNATIONAL COOPERATIONPARTNER COUNTRIES

ACC (TR, BU, RO, HR)

NON-ASSOCIATEDCANDIDATE COUNTRIES

INDUSTRIALISEDCOUNTRIES

Candidate Countries

International Scientific International Scientific CooperationCooperation

Third Countries: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))

International Scientific International Scientific CooperationCooperation

ICPCICPC

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

International Cooperation International Cooperation in in CooperationCooperation

- Opening of all themes to third countriesOpening of all themes to third countries

- Specific International Cooperation actions Specific International Cooperation actions in themesin themes

International CooperationInternational Cooperation in in IDEAS/ERCIDEAS/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)

International CooperationInternational Cooperation in in IDEASIDEAS

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.

International CooperationInternational Cooperationin in PEOPLEPEOPLE

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

International CooperationInternational Cooperationin in CapacitiesCapacities

1. Policy Dialogue1. Policy Dialogue

3. Coordination of National Policies & Activities3. Coordination of National Policies & Activities

2. S&T Cooperation Partnerships2. S&T Cooperation Partnerships

1. Mapping of research needs, building commitment, impact assessments, linking S&T to other policies

2. Involvement of industrial and economic operators, specific focused international activities

3. Set common goals, strategies and policies, use of S&T inputs in foreign, trade and development policies

Towards the Seventh Framework Programme2007-2013 (“co-decision”)

Council decides by qualified majority except on EP amendments not approved by the Commission

FP evaluations

CommissionProposal

(absolute majority of members)

Consultations (online etc)

CREST

European Research

Advisory Board

Council

European Parliament

Opinion Commonposition

AmendmentsConciliation:

joint textAdoption

1

2

3 4 5

4 5

Direct approval if agreement with EP

(within 3 months)

(approval within6 weeks)

(approval within6 weeks)

(within 3 months)

New !

Commission opinionon EP amendments

FP7 Timetable

6 April 2005 Commission’s proposal

21 September 2005 Specific programmes’ proposal

Nov 2005 FP7 partial agreement at Council

23 December 2005 Rules for the participation

June 2006 FP7 plenary vote at EP

July 2006? Council and EP common position

July 2006? Council – political agreement SPs September 2006? EP starts 2nd reading Oct 2006 ? Commission – adoption of WPs Nov 2006 ? Council Decision Dec 2006? Adoption of FP7 Dec 2006? First calls for proposals December ? Fev 8-9, 2007 March 7-18, 2007

Launch Conference Multipliers Symposium on Science Public exhibition on EU research

Information

ERC Scientific Council: http://erc.europa.eu

EU research: http://europa.eu.int/comm/research

EU Basic Research Policy: http://ec.europa.eu/research/future/basic_research/index_en.html

Seventh Framework Programme: http://europa.eu.int/comm/research/future/index_en.cfm

Information on research programmes and projects:http://www.cordis.lu

International Scientific cooperation policy:

http://europa.eu.int/comm/research/iscp

Information requests:[email protected]

Directorate-General for Research

“Anticipation of Scientific and Technological Needs: Fundamental Research”

[email protected]

The End

outlook on fp7 2007-2013 carlos saraiva martins dg rtd - unit b1 beijing - june 2006

Documents

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