Towards the Seventh Framework Programme Martin Penny European Commission Research DG

FP7 – what’s new? Not ‘new’ but evolution (continuity) of successful FP 6- elements: l Themes for collaborative research (but with some new areas and greater flexibility) l Marie Curie actions (but with new emphasis, e.g. international aspects and industry-academia mobility) l SME specific actions (but with major increase in budget) l Funding schemes (but with improvements)

FP7 – what’s new? …and major new approaches l Joint Technology Initiatives l New research infrastructures l Simplification l European Research Council l Research Potential scheme to exploit research excellence in ‘convergence regions’ l Risk sharing finance facility (increasing the availability of European Investment Bank loans)

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

European Technology Platforms l Industry-Driven, Competitiveness-Focused l European Technology Platforms – Concept: Stakeholders, led by industry, get together to define a Strategic Research Agenda on a number of strategically important issues with high societal relevance where achieving Europe’s future growth, competitiveness and sustainable objectives is dependent upon major research and technological advances in the medium to long term.

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

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”

Joint Technology Initiatives l Identification criteria include: l Added value of European-level intervention l Degree and clarity of definition of objective l Strength of commitment from industry l Scale of impact on industrial competitiveness and growth l Importance of contribution to broader policy objectives l Capacity to attract additional national support and leverage industry funding l Inability of existing instruments to achieve objective

Joint Technology Initiatives l Firmly Anchored in Themes of the Cooperation Programme l In Fields of Major European Public Interest l Six Fields Envisaged at this Stage –Innovative medicines –Nanoelectronics –Embedded systems –Aeronautics and air traffic management –Hydrogen and fuel cells –Global monitoring for environment and security l Other Fields Possible Subsequently

Participation of the Community in research programmes jointly undertaken by Member States Article 169 in FP7 –European large-scale co-operation in ‘variable geometry’ between Member States –Co-operation between Member States sharing common needs or interests –Identification of Art. 169 initiatives on the basis of clear criteria Article 169 ‘In implementing the multiannual Framework Programme, the Community may make provision, in agreement with the Member States concerned, for participation in research and development programmes undertaken by several Member States, including participation in the structures created for the execution of those programmes’

Article 169 in FP 7: Criteria to identify the initiatives Identification of the initiatives on the basis of a series of criteria: –Relevance of the initiative to EU objectives –Clear objective and its relevance to FP7 –European added value –Critical mass and similarity of programmes involved –Art. 169 as the most appropriate means to reach the objectives

Article 169 in FP7: Implementation A powerful instrument to implement national research programmes in an integrated way: –No standard model for co-operation between Member States –FP7 provides for:  Joint implementation of well-identified research programmes  The establishment or existence of a dedicated implementation structure

Co-ordination of non-Community research Programmes Art. 169 EC l Subject to co-decision procedure (Art. 215 EC) l Four areas are proposed: –Baltic Sea Research –Ambient Assisted Living –Metrology –Research Performing SMEs

Ideas – the background* l Basic research has an important impact on economic performance l Europe is not making the most of its research capabilities l 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 scientific excellence l European added value through impact of Europe-scale funding * Europe and Basic Research, January 2004, COM(2004)9

The ‘Ideas’ programme in the FP7 proposal l Frontier research l Support to individual teams, to promote excellence through Europe-wide competition l Dedicated implementation structure (Executive Agency) l Independent scientific governance (Scientific Council) l Simplified grant mechanism

Why ‘frontier research’ l A new term is needed to avoid outmoded distinctions: –Between ‘basic’ and ‘applied’ research –Between ‘science’ and ‘technology’ –Between ‘traditional’ disciplines l ‘Frontier research’ reflects the concern to go beyond these categories, and also to promote new and emerging,high risk research

Individual teams European added value through Europe-wide competition: –Encouraging and supporting the finest talent –Selecting the most promising research areas –Giving European visibility to research leaders –Catalysing the creation of a more efficient European research system

 22 high level scientists reflecting the full scope of European research, nominated by Commission  Role:  Establish overall scientific strategy and preparation of work programmes (incl. calls for proposals, evaluation criteria)  Define scientific management: peer review methodology; selection and accreditation of experts; monitor quality of operations and evaluate programme implementation  Assure communication with the scientific community ERC Scientific Council

New Research Infrastructures l Construction of new infrastructures and major updates of existing ones –Based on work of ESFRI –On basis of Article 171 when relevant l Design and foresight studies –Bottom-up approach –Exploratory awards and feasibility studies for new infrastructures

A two-stage process: 1. The engineering phase –Restricted calls targeting priority projects  For construction plans, legal organisation, management structure 2. Implementation phase –Following successful first phase –Engineering various financial instruments The operational mechanism to support construction in FP7

Clear Criteria for new Research Infrastructures l Added value of EU financial support l Capacity to offer a service to users from the scientific community at European level l Relevance at international level l Technological feasibility l Possibilities for European partnership and commitment of major stakeholders l Construction and operating costs evaluated

Realising the Full Research Potential of EU-25 Objectives –Strengthen research in Convergence Regions through:  Increased international exposure and visibility  Demonstration of leadership capacity –Lay foundation for long-term development  Participation as equal partners in the EU research arena

Realising the Full Research Potential of EU-25 High-potential scheme –Strategic partnerships (twinning) –Selection on quality and potential –In-built brain circulation, avoiding ‘brain drain’ –Funding for:  Seconded researchers & visiting scientists  Research costs incl. specific equipment  Conferences and workshops  Participation in international events –Evaluation facility for institutions

Risk-sharing finance facility: Beneficiaries l Major European RTD needing extensive finance –Joint technology initiatives –Large collaborative projects, including Eureka projects –New research infrastructures l All types of organisations in consortia l Borrowing entity: individual partner(s) or legal entities gathering them

Risk-Sharing Finance Facility: Objectives and added value l Innovative financing mechanism l Improve access to EIB loan finance l Foster increased private investment in research l Risk-sharing with EIB to allow –Larger volume of EIB lending –Financing of riskier projects by EIB l Leverage effect extra lending by EIB = 3-4 times EU funds allocated l Benefit from EIB experience and management

Specific Programme proposals l Proposals for the seven Specific Programmes presented on 21 September 2005 l More details on:  Thematic content and implementation  Integration of cross cutting aspects  Descriptions of the 6 Joint Technology Initiatives and 4 Article 169 Initiatives  Establishment of the European Research Council, and respective roles of the Scientific Council, Implementation structure, and Commission.  Grant to the European Investment Bank to establish the Risk Sharing Finance Facility