Building a Europe of Knowledge

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Framework Programme 7Challenges for European
Universities
UNICA Rectors Seminar 5 June 2007 Brussels

Leonidas Karapiperis Advisor Directorate-General
for Research European Commission
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Why research at EU level?

• Pooling and leveraging resources
• Pooling of resources
• Critical mass
• Inter-disciplinarity
• Rising costs of RD
• Big science
• Leverage effect on private investment
• Expertise beyond national level
• Improved commercial opportunities
• Development of pan-European and world standards
• Fostering human capacity and excellence in ST
• International mobility and training of
  researchers
• Improved ST capabilities
• EU-wide competition for research grants
• Better integration of European RD
• Create scientific base for pan-European policy
  challenges
• Coordination of national programmes and policies
• Efficient dissemination of research results

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RD European weaknesses
Data Eurostat, OECD. Source DG Research
Notes (1) EU-25 2003 US, JP 2004. (2) EU-25
2004 US 2002 JP 2003.
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Research filling the gap(total expenditure on
RD as of GDP, 2004)(EU-25 extrapolation
based on RD intensity targets put forward by
Member States in their respective National Reform
Programmes)
Data Eurostat, OECD. Source DG Research
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EU Research Framework ProgrammesAnnual Budgets
between 1984 and 2013
NB budgets in current prices. Source Annual
Report 2003, plus FP7 revised proposal
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FP7 Nurturing the the knowledge triangle
ST contributes to the Lisbon objectives
economic growth, employment creation,
environmental protection, social challenges
fight poverty, improve human health and quality
of life(GSM, remote working, safe roads, etc.)
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FP7 Continuity and Novelty

• Large degree of continuity with FP6
• Continuing drive for building ERA
• Similar thematic coverage
• Similar Funding Schemes
• But also considerable novelty

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Whats new in FP7?

• Main new elements compared to FP6
• Duration increased from 5 to 7 years
• Significant average annual budget increase (40
  over FP6)
• New structure Cooperation, Ideas, People,
  Capacities
• Joint Technology Initiatives (possibly using
  Treaty Art. 171)
• Extension of use of Treaty Article 169
• Frontier research - ERC ( 1 billion per year)
• Enlarged scope of researcher mobility schemes
• European approach to Research Infrastructures
• Flexible Funding Schemes
• Simpler procedures
• Setting up of a Guarantee Fund and of the
  RSFF
• Externalisation of certain tasks to Executive
  Agencies

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FP7 (2007 2013) Specific Programmes
Cooperation Collaborative research
Ideas Frontier Research
People Marie Curie Actions
Capacities Research Capacity

JRC non-nuclear research
Euratom direct actions JRC nuclear research
Euratom indirect actions nuclear fusion and
fission research
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FP7 budget ( 50 521 million, current prices)

• Note Euratom FP 2.7 billion over 5 years -
  not included above

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Significantly increased FP7 budget 54.6
Billion

• Challenge/opportunity to Universities
• How to make the best of the increased resources
  availabe?

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FP7 Specific Programmes(2007 2013)

• Challenge/opportunity to Universities
• How to best address
• the broader range of programmes?
• the broader range of actions?
• What new synergies
• Internal?
• External?

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Cooperation Collaborative Research
Ten themes

• Health
• Food, agriculture and biotechnology
• Information and communication technologies
• Nanosciences, nanotechnologies, materialsand new
  production technologies
• Energy
• Environment (including climate change)
• Transport (including aeronautics)
• Socio-economic sciences and the humanities
• Space
• Security
• Euratom Fusion energy research, nuclear
  fissionand radiation protection

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Cooperation Collaborative Research

• Under each theme there will be sufficient
  flexibility to address both Emerging needs and
  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
Coordination of non-Community research
programmes (ERA-NET ERA-NET Article 169)
International Cooperation
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Cooperation programme - thematic areas( million)
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COOPERATION

• Challenge to Universities
• Identify Universitys research strengths
• Capitalise on interdisciplinarity
• Link up with appropriate partners

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Joint Technology Initiatives (JTI)

• JTIs aim to
• establish long-term public-private partnerships
  in research at European level in fields of high
  industrial and policy relevance
• co-ordinate research efforts and respond to
  industry needs
• lead to flagship projects for European
  competitiveness
• JTIs build on European Technology Platforms
  (ETPs)
• in a small number of cases, scale and scope of
  Strategic Research Agendas of ETPs require
  implementation through dedicated legal structure
• normal FP instruments not sufficient

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Joint Technology Initiatives
Six potential topics identified in the
Cooperation Specific Programme
Fuel Cells and Hydrogen (FCH)
Aeronautics and Air Transport (Clean Sky)
Global Monitoring for Environment and
Security (GMES)
Embedded Computing Systems (ARTEMIS)
Innovative Medicines (IMI
Nanoelectronics Technology 2020 (ENIAC)
Other possible topicsto be identified later
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Joint Technology Initiatives

• Challenge/opportunity to Universities
• Industry led
• Novel structure
• How to best interface and participate?
• Identify corresponding European Technology
  Platform (ETP)
• Contribute to elaboration of Strategic Research
  Agenda
• Participate in its various functions/bodies

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ERA-NET and ERA-NET in FP7

• Continuity and reinforcement of ERA-NET
• Normally a 4-step approach
• Systematic exchange of information best
  practice
• Definition and preparation of joint activities
• Implementation of joint activities
• Funding of joint, trans-national research actions
  (as much as possible)
• New topics not addressed in FP6
• Broadening and deepening existing ERA-NETs
• Existing ERA-NETs to focus on steps 3 and 4.
• NEW
• ERA-NET additional EU financial support to
  top-up joint calls
• support to pooled financial resources between
  national programmes for joint calls for proposals
• Topping up maximum 1/3 of the total joint call
  budget
• Only transnational research projects to be funded

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Article 169 in FP7
Participation of the Community in research
programmesjointly Implemented by Member States
Article 169 In implementing the multiannual
Framework Programme, the Community may make
provision, in agreement withthe Member States
concerned, for participation in researchand
development programmes undertaken by several
Member States,including participation in the
structures created for the execution of those
programmes

• European co-operation on a large-scale in
  variable geometry between Member States
• Co-operation between Member States sharing common
  needs and/or interests
• Identification of Art. 169 initiatives on the
  basis of clear criteria

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Article 169 Roadmap
Four potential initiatives identified in the FP 7
Specific Programmes
EUROSTARS
Ambient Assisted Living
European Metrology Research Programme (EMRP)
BONUS - 169
Other possible themesto be identified later
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ERA-NET, Art. 169

• Challenge/opportunity to Universities
• Take lead in opening up of national programmes
• Participate in joint calls

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Ideas - ERCA new dimension

• Frontier Research is a key driver to innovation
  and economic performance
• European Research Council (ERC) the first
  pan-European funding agency for Frontier Research
• Support investigator-driven frontier research
  over all areas of research
• Excellence as sole criterion
• European added-value through competition at
  European level
• Budget 1bn per year (2007-2013 7.46)
• Autonomous scientific governance (Scientific
  Council)
• Simple, user-friendly

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Ideas ERCStrategic Objectives

• Stimulate excellence in frontier research in
  Europe
• invest in bright and promising researchers and
  new ideas and unusual approaches
• stimulate competition at the European level
• offer incentives to individual researchers
• allow Europe-wide benchmarking
• Reverse brain drain and attract researchers to
  Europe
• improve career opportunities and provide
  conditions for early independence of young
  researchers
• increase competition, recognition and
  international visibility for excellent individual
  scientists and scholars in Europe

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Ideas ERCGrant Schemes

• Two grant schemes
• ERC Starting Independent Researcher Grants (ERC
  Starting Grant)
• 1st call for proposals published, deadline 25
  April 2007
• ERC Advanced Investigator Grants (ERC Advanced
  Grant)
• 1st call for proposals published later in 2007

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ERC

• Challenge/opportunity to Universities
• Compete at European level
• Sharp benchmark
• Great flexibility
• From single researcher to trans-national team
• Portability of grant
• Handle new type of grant (Support for Frontier
  Research)
• Grant agreement with host institution only
• Agreement between host institution and lead
  researcher

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The People Programme in FP7

• Three broad objectives
• Create conditions for researchers to be mobile
  without obstacles
• Enhance status and attractiveness of a career in
  Europe
• Finance researchers training, mobility and
  career development

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The People Programme in FP7
Open to third-country nationals
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Marie-Curie Actions

• Challenge/opportunity to Universities
• Continue to profit from the scheme
• Exploit fully new possibilities

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The Capacities Programme
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Capacities

• Research Infrastructures
• (C/O) Exciting new research opportunities
  ESFRI Roadmap
• Research for the benefit of SMEs
• Regions of Knowledge
• (C/O) Become active regional players
• Research Potential
• (C/O) Capacity building in convergence regions
• Science in Society
• (C/O) Contribute to linking society to science
  and vice versa
• Coherent development of policies
• Activities of International Cooperation
• (C/O) Horizontal component/decentralised
  (Thematic) component

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International Cooperation
Work Programme 2007-2008, 3 activities are
proposed
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Funding Schemes

• Collaborative projects
• Networks of Excellence
• Coordination and Support actions
• Support for Frontier Research
• Training and career development of researchers
• Research for the benefit of specific groups(in
  particular SMEs)
• Large-scale multi-financed initiatives
• Joint implementation of national research
  programmesArticle 169 of the Treaty
• Joint Technology Initiatives Article 171 of the
  Treaty
• New infrastructures of European interest

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Funding Schemes

• Challenge/opportunity to Universities
• Understand philosophy
• Less rigid than FP6 instruments
• But read Work Programmes carefully!
• Train your administrators and researchers
• As soon as possible

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Maximum funding rates

• Research and technological activities up to 50
  of eligible costs except for
• Public bodies up to 75
• Secondary and higher education establishments up
  to 75
• Research organisations (non-profit) up to 75
• SMEs up to 75
• Demonstration activities up to 50 of eligible
  costs
• Other activities up to 100 including e.g.
  management, dissemination
• Frontier Research actions, Coordination and
  Support actions, training and career development
  of researchers actions up to 100
• Receipts are taken into account to determine the
  final Community financial contribution

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Financial regime

• Challenge/opportunity to Universities
• Life after Additional Costs
• Much better than you thought!
• Work actively for transition to full cost
  accounting
• Good for you
• FP8 not so far away!
• Make wise use of transitional regimes, if
  necessary

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Risk-sharing finance facilityBudget and
Procedures

• An innovative financing instrument, developed
  jointly by the EIB and the Commission to
• Foster increased investment in research by
  improving access to EIB finance thus helping
  overcome market deficiency.
• Risk-sharing with EIB to allow
• Larger volume of risky lending for research
• Financing of riskier, but creditworthy research
  activities
• Generate a leverage effect so that the volume of
  extra lending is expected to be a multiple 4 to 6
  of the Community and EIB funds allocated to the
  instrument
• FP7 Up to 1 billion
• EIB Up to 1 billion

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Risk-sharing finance facility

• Challenge/opportunity to Universities
• New opportunity for financing major investments
• Must make the effort to understand the scheme

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Risk Management

• Participants have joint and several
  responsibility to carry out technical work
• But No collective financial responsibility
  within a consortium
• Instead Commission will establish of a
  participant Guarantee Fund to cover financial
  risk
• All participants contribute to fund
• Contribution 5 of Community contribution to
  participant
• Financial interest generated by fund to cover
  financial risk
• Participant contribution in principle reimbursed
  at end of project
• Exoneration of financial viability of
  participants (except coordinators) requesting
  less than 500,000
• No bank/financial guarantees requested

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Risk Management

• Challenge/opportunity to Universities
• Advantages even for (public) universities
• Insurance" for technical responsibility in case
  of defaulting partner
• It will require some kind of temporary
  contribution

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FP7 synergies

• Strong synergies with other EU Programmes
• The Structural and Cohesion Funds
• New emphasis on knowledge-related investment
• The Competitiveness and Innovation Programme
  (CIP)
• Education and training Programmes
• New emphasis on knowledge-related investment
• Trans-european Networks
• European Institute of Technology (EIT)
• A new paradigm for university-industry
  collaboration?

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Information

• EU research http//ec.europa.eu/research
• Seventh Framework Programme http//ec.europa.eu/r
  esearch/fp7
• Information on research programmesand projects
  http//www.cordis.lu/
• RTD info magazine http//ec.europa.eu/research/rt
  dinfo/
• Information requests http//ec.europa.eu/researc
  h/enquiries/