Mid-term review of the 6th Framework Programme and the Lisbon agenda

Mid-term review of the 6th Framework Programme and the Lisbon agenda Seminar at Eötvös Loránd University Budapest 19 April 2005 Peter Härtwich Directorate Coordination of Community Actions DG Research, European Commission

Lisbon agenda the quintessence Solve the equation between economic growth, competitiveness and employment on the one hand, and social and environmental sustainability on the other The eminent role of knowledge: We cannot compete on the basis of exploitation of natural resources We cannot and do not want to compete at the expense of our environment We do not want to compete on the basis of cheap labour 2

S&T contributes to meeting the Lisbon objectives economic challenges: S&T contributes to economic growth and employment creation, and raises competitiveness evironmental challenges: S&T can create synergies between economic growth and environmental protection social challenges: S&T can fight poverty; improve human health (AIDS, tbc, SARS, ) and improve quality of life (GSM, remote working, safe roads, ) 3

but Europe should invest and perform more in R&D EU-25 US Japan R&D intensity (% of GDP) (3) 1.97 2.59 3.12 Share of R&D financed by industry (%) (2) 55.9 63.1 73.9 Researchers per thousand labour force (FTE) (3) 5.5 9.0 9.7 Share of world scientific publications (%) (3) 38.3 31.1 9.6 Scientific publications per million population (3) 639 809 569 Share of world triadic patents (%) (1) 31.5 34.3 26.9 Triadic patents per million population (1) 30.5 53.1 92.6 High-tech exports as a share of total manufacturing exports (%) (3) 19.7 28.5 26.5 Share of world high-tech exports (%) (2) 16.7 20.0 10.6 Note: (1) 2000 data (2) 2002 data (3) 2003 data 4

but Europe needs improved co-ordination of research efforts Dispersed funding: John Hopkins University s spending on basic research exceeds the individual efforts of 18 EU Member States, and is greater than the combined efforts of the 10 new Member States EU Member States are outperformed by US states and multinationals R&D intensity EU Member States vs. top 10 US states: Sweden ranks only 6th, Finland does not reach top 10 R&D spending EU Member states vs. top 10 multinationals: Ford Motor spends more than Spain, Siemens spends more than Belgium, Toyota spends more than Finland, IBM exceeds the combined efforts of the 10 least spending EU Members States 5

Why should intervention take place at European level? Pooling and leveraging resources Resources are pooled to achieve critical mass Leverage effect on private investments Interoperability and complementarity of big science Fostering human capacity and excellence in S&T Stimulate training and international mobility of researchers Improve S&T capabilities Stimulate competition in research Better integration of European R&D Create scientific base for pan-european policy challenges Encourage coordination of national policies Effective comparative research at EU-level Efficient dissemination of research results 6

Previous FPs have had significant impacts on S&T and the economy The FP is a win-win game: for every 1 invested by a participating country in FP5, it benefited from an net return of 14.7 in terms of the total value of the contracts in which it participated (i.e. a knowledge multiplier of 14.7). FPs have generated significant economic benefits: for EU firms these include reduced commercial risk, increased turnover and profitability, enhanced productivity and market share. Econometric models show that the long run economic return to 1 invested in research at European level is between 4 and 7. FPs improve EU innovative performance: firms that participate in the FP tend to be more innovative, are more likely to patent and engage in innovative cooperation FPs improve EU scientific performance: studies in some research fields show that an FP project can generate up to 9 peer reviewed publications on average (mostly international co-publications). FPs have developed Europe s human potential: as well as schemes for EU wide training and mobility (over 7000 proposals for Marie Curie in 2004), thousands of researchers have participated in top trans-national teams, benefiting from training and knowledge sharing. 7

Previous FPs have had a strong impact on the integration of the ERA FPs have created hundreds of thousands of collaborative links between EU researchers: 180 000 links under FP5 alone, including cooperation between academia, industry and public research laboratories. FPs have contributed to better coordination of national research efforts: ERA- NET in particular has enhanced coordination of national research in the EU. FPs have helped to overcome the fragmentation of the ERA: The average number of different MS participating in a single project has increased from 3 in FP2 to 6.7 in FP6. FP has concentrated research efforts through larger projects with critical mass: The average number of participants per project increased from 4.7 in FP2 to over 14 in FP6. The average EU funding per project rose from 1.2 million in FP2 to 4.6 million in FP6 FPs have attracted and brought together Europe s most outstanding scientists: e.g. 6 Nobel Prize winners were involved in FP6 fundamental genomics projects. FPs have made the ERA more attractive to researchers worldwide: The number of participating countries from across the world has increased from 30 in FP2 to 140 in FP5. 8

Changing features of shared-cost research actions under the FPs Indicators FP2 FP3 FP4 FP5 FP5 FP6 EU-12 EU-15 EU-15(1) EU-15 EU-25 EU-25 Definitive data Definitive data Interim data Definitive data Definitive data Interim data N of projects funded 2.779 3.292 2.949 7.331 7.334 >3000 Total n of participations (000) 13 18 21 46 49 26 Average n of participations per project 4,7 5,6 7,0 6,3 6,6 14,3 Average n of Member States per projects 3,0 3,5 4,2 3,7 4,0 6,7 Average EU funding per project (000) 1.202 1.218 1.160 1.332 1.332 4.602 Average EU funding per participation (000) 256 218 165 194 189 294 (2) Note: (1) For FP4, only interim data are available (01.01.1994 31.12.1996); (2) 294 with NoE; 349 without NoE 9

National and international collaborative links established through FP funded shared-cost research projects 200.000 180.000 160.000 140.000 120.000 100.000 80.000 60.000 40.000 20.000 0 FP2 FP3 FP4 FP5 Source: DG Research 1 0

1 1 The relative importance of cooperative research in EU-15 and EFTA countries has increased 20,0 AS % OF R&D FINANCED BY GOVERNMENT 18,0 16,0 14,0 12,0 10,0 8,0 6,0 4,0 2,0 FP1 FP2 EUREKA CERN,COST,EMBL,EMBO,ESA,ESF,ESO,ESRF,ILL FP3 FRAMEWORK PROGRAMME 0,0 1985 1986 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 FP4 FP5 15,50 14,02 6,10 FP6

FP6 basic context Political initiative: European Research Area (ERA) First time research on top of EU political agenda Research as important area to reach other policy goals (Lisbon agenda) FP6 as the programme to create the ERA Structuring effect on the EU research system Better coordination of research policies and activities New instruments: leverage to overcome fragmentation, increase coherence, reduce parallel/double effort 1 2

1 3 FP6 implementation: basic figures N of calls published: 154 N of proposals received: ~40.000 N of participations in proposals: >200.000 N of contracts signed: >3000 Budget commited: 5.6 bln N of participations in contracts: ~26.000

1 4 FP6 contracts so far (1) N of contracts N of participations Av. n of participants EC contribution Av. EC contribution Mln Mln IP 257 6539 25 2610 10.2 NoE 106 3197 30 759 7.2 STREP 753 7072 9 1478 2 CA 142 2030 14 173 1.2 SSA 508 2939 6 368 0.7

1 5 FP6 contracts so far (2) IP NoE Them. Pr. N Av. participants Av. EC contribution Mln N Av. partici - pants Av. EC contribution Mln 1 58 18.8 9.3 22 30.6 9.5 2 99 21.7 9.6 41 33 5.5 3 24 28.9 10.5 16 20.4 6.6 4 12 34.9 20.2 3 17 10.7 5 7 41.7 12.7 6 24.5 14.3 6 45 34.4 10.9 13 35.5 6.7 7 1 36 3.8 3 34.7 4.2

1 6 Hungary in FP6 N of contracts: 310 (every tenth) N of participations: 390 (1.5% of total) Funding to contracts with HU: 1089 mln (20% of total FP6) Funding to HU partners: 40 mln

1 7 Hungary in FP6 1. Life sciences 2. IST 3. Nano 4. Aero 5. Food 6. Sustainable 7. Citizens NEST, SSP SME actions INCO Coordination Innovation Marie Curie Infrastructures Science and Society Euratom N of contracts with HU participation 23 67 20 3 14 27 10 30 18 11 9 11 42 9 5 11

1 8 FP6 Mid-term assessment Marimon report and recommendations The New Instruments introduced in FP6 are a powerful means to foster transnational collaborative research in the European Research Area. The New Instruments should therefore be maintained in FP 7. There are however many design and implementation aspects that need to be improved Better differentiation of instruments according to their objectives, in particular STREPs and IPs Critical mass depends on the topic and does not necessarily mean large A greater budget for STREPs Further simplification of administrative procedures and financial rules

FP6 Mid-term assessment Commission response Corrective measures in FP6 : already adopted and implemented or to be adopted (those which do not imply a modification of the legal framework); Considerations for FP7: Working document on simplification Sounding board of smaller actors 1 9

2 0 Issues considered for FP6 Networks of Excellence: clarification of objectives, better guidance documents Oversubscription: extended use of two-stage calls, more focused themes Participation of New Member States: special support actions Industrial and SME involvement Participation of third countries

FP6 calls in planning 1- or 2- stage Publication Deadline FP6-2005-IST-5 1 April 2005 Sept 2005 FP6-2005-FOOD-4-A 2 July 2005 Oct 2005 FP6-2005-FOOD-4-B 1 July 2005 Oct 2005 The ones already published: http://fp6.cordis.lu/fp6/calls_open.cfm FP6-2005-FOOD-4-C FP6-2005-GLOBAL-4 FP6-2005-SSP-5 1 1 1 July 2005 July 2005 Oct 2005 Feb 2006 Jan 2006 FP6-2005-Mobility-1 2 May 2005 Feb 2006 In planning (dates still subject to change): FP6-2005-Mobility-3 FP6-2005-Mobility-4 FP6-2005-Mobility-5 to -10 1 1 1 July 2005 Jan 2006 July 2005 Feb 2006 May 2006 Feb 2006 FP6-2005- Infrastructure-7 1 May 2005 Sep 2005 FP6-2005-Scienceand-Society-14, 15, 17 1 June 2005 Oct 2005 FP6-2005-Scienceand-Society-16 1 Oct 2005 Jan 2006 FP6-2005-Scienceand-Society-18 1 Dec 2005 May 2006 Euratom 2005 1 April 2005 Oct 2005 2 1

2 2 Towards FP7 Evolution, not revolution Doubling of budget Three new activities: ERC, Joint Technology Initiatives, new infrastructures Simplification

2 3 Specific Programmes Cooperation Collaborative research Ideas Frontier Research People Human Potential Capacities Research Capacity + JRC JRC (non-nuclear) JRC JRC (nuclear) Euratom

2 4 Cooperation Collaborative research 9 themes 1. Health 2. Food, Agriculture and Biotechnology 3. Information and Communication Technologies 4. Nanosciences, Nanotechnologies, Materials and new Production Technologies 5. Energy 6. Environment (including Climate Change) 7. Transport (including Aeronautics) 8. Socio-Economic Sciences and the Humanities 9. Security and Space

2 5 1. 1. Health Biotechnology, generic tools tools and and technologies for for human human health health Translating research for for human human health health Optimising the the delivery of of healthcare to to European citizens

2 6 2. 2. Food, Agriculture and Biotechnology Sustainable production and and management of of biological resources from from land, land, forest, forest, and and aquatic environments Fork Fork to to farm : farm : Food, Food, health health and and well well being being Life Life sciences and and biotechnology for for sustainable non-food products and and processes

2 7 3. 3. Information and Communication Technologies ICT ICT Technology Pillars Pillars Integration of of Technologies Applications Research Future Future and and Emerging Technologies

2 8 4. 4. Nanosciences, Nanotechnologies, Materials and new Production Technologies Nanosciences and and Nanotechnologies Materials New New Production Integration of of technologies for for industrial applications

2 9 5. 5. Energy Hydrogen and and fuel fuel cells cells Renewable electricity generation Renewable fuel fuel production Renewables for for heating and and cooling CO2 CO2 capture and and storage technologies for for zero zero emission power power generation Clean Clean coal coal technologies Smart Smart energy energy networks Energy efficiency and and savings Knowledge for for energy energy policy policy making

3 0 6. 6. Environment (inc. climate change) Climate change, pollution and and risks risks Sustainable Management of of Resources Environmental Technologies Earth Earth observation and and assessment tools tools

3 1 7. 7. Transport (inc. Aeronautics) Aeronautics and and air air transport Surface transport (rail, (rail, road road and and waterborne) Support to to the the European global global satellite navigation system (Galileo)

3 2 8. 8. Socio-Economic Sciences and the Humanities Growth, employment and and competitiveness in in a knowledge society Combining economic, social social and and environmental objectives in in a European perspective Major Major trends trends in in society and and their their implications Europe in in the the world world The The citizen citizen in in the the European Union Union Socio-economic and and scientific indicators Foresight activities

9. 9. Security and Space Protection against terrorism and and crime crime Security of of infrastructures and and utilities Space-based applications at at the the service of of the the European Society Border Border security Restoring security in in case case of of crisis crisis Security systems integration and and interoperability Security and and society Exploration of of space space RTD RTD for for strengthening space space foundations Security Research Coordination and and structuring 3 3

3 4 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 (Collaborative projects; projects; Networks Networks of of Excellence; Excellence; Coordination/support actions) actions) Joint Technology Initiatives Coordination of of non-community research programmes (ERA-NET; (ERA-NET; ERA-NET+; ERA-NET+; Article Article 169) 169) International Cooperation

3 5 Joint Technology Initiatives Hydrogen and Fuel Cells for a Sustainable Energy Future Global Monitoring for Environment and Security Aeronautics and Air Transport Innovative Medicines for the Citizens of Europe Towards new Nanoelectronics Approaches Embedded systems Other possible themes to be identified later

Ideas Frontier Research ERC European Research Council Commission Scientific Council* Approval of work programme, as defined by the Scientific Council Preparation of work programme Set up of peer review: pool of reviewers, nomination of review panels, evaluation guidelines Oversight of the evaluation procedure Annual scientific report Externalised tasks** Instruction to implement work programme Approval of annual implementation report Information to programme committee Information and support to applicants Reception / eligibility of proposals Organisation and execution of evaluation Selection decision Scientific and financial follow-up of contracts Annual implementation report * Created by Commission decision * * Under the responsibility of the Commission 3 6

3 7 People Human Potential Initial training of of researchers Marie Curie Networks Life-long training and and career development Individual Fellowships Co-financing of of regional/national/international programmes Industry-academia pathways and and partnerships Industry-Academia Scheme International dimension Outgoing International Fellowships; Incoming International Fellowships International Cooperation Scheme; Reintegration grants Specific actions Excellence awards

3 8 Capacities Research Capacity 6 parts 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

3 9 1. 1. Research Infrastructures Support to existing research infrastructures: Transnational Access Integrating activities Research e-infrastructures Support to new research infrastructures: Construction of of new new research infrastructures and and major major updates of of existing ones ones Design studies

4 0 2. 2. Research for the benefit of of SMEs Research for for SMEs SMEs Research for for SME SME associations Under the Competitiveness and Innovation Programme (CIP): Exploratory awards Promote optimal participation in in the the Cooperation programme Promote assistance to to SMEs SMEs by by networks of of intermediaries

4 1 3. 3. Regions of of Knowledge Development of of regional research-driven clusters Two objectives for European regions: Strengthen their their capacity for for investing in in RTD RTD and and carrying out out research activities Maximising their their potential for for a successful involvement of of their their operators in in European research projects

4 2 4. 4. Research Potential Transnational two-way secondments and and recruitment Research equipment and and the the material environment Workshops and and conferences for for knowledge transfer Evaluation facilities

4 3 5. 5. Science in in Society Strengthening and and improving the the European science system Broader engagement political and and societal issues issues (inc. (inc. ethical ethical issues) Science and and technology and and their their place place in in society Gender research and and the the role role of of women in in research Science education curiosity and and the the participation of of young young people people Policy Policy for for the the role role and and engagement of of universities Improved communication

4 4 6. 6. Activities of of International Cooperation Horizontal support actions and and measures not not carried carried out out in in the the Cooperationor or People People programmes Two interdependent objectives: Support competitiveness through strategic partnerships with with 3 rd rd countries in in selected fields fields and and by by engaging the the best best 3 rd rd country scientists to to work work in in and and with with Europe Address specific problems that that 3 rd rd countries face face or or that that have have a global global character, on on the the basis basis of of mutual mutual interest and and mutual mutual benefit benefit

4 5 Capacities - Coherent development of policies In addition, support to the coherent development of policies will complement the coordination activities under the Cooperation programme: Strengthening and and improving the the European science system Monitoring and and analysis of of public public policies // industrial strategies Coordination of of research policies

4 6 7 th Framework Programme Budget Health Biotech IST Nano Energy Environ ment Transport Socioecon Securi ty and Space COOPERATION 8 373 2 472 12 756 4 865 2 951 2 552 5 981 798 3 987 44 735 IDEAS European Research Council 11 942 PEOPLE Marie Curie Actions 7 178 Infrastructures 3 987 SME 1 914 Regions of Knowledge 160 CAPACITIES Research Potential 558 Science in Society 558 INCO 359 JRC Joint Research Centre 1 824 TOTAL EC Total 73 215 EURATOM (2007-2011) 3.103

4 7 7 th Framework Programme Budget Health Biotech IST Nano Transport Energy Environ ment Socioecon. Security and Space COOPERATION 19 % 5 % 28 % 11 % 7 % 6 % 13 % 2 % 9 % 61.1 % IDEAS European Research Council 16.3 % PEOPLE Marie Curie Actions 9.8 % Infrastructures 5.4 % SME 2.6 % Regions of Knowledge 0.2 % CAPACITIES Research Potential 0.8 % Science in Society 0.8 % INCO 0.5 % JRC Joint Research Centre 2.5 % TOTAL EC Total 100 % EURATOM (2007-2011) 3.103

Tentative Roadmap for FP7 2005 6/4 Commission - Adoption of FP7 proposals 18/4 Council - Exchange of views 7/6 Council - Orientation debate 21/9 Commission - Proposals on SPs and Rules for participation and dissemination 11/10 Council - Exchange of views on SPs and Rules 23/11 Commission - Proposals under Articles 169 and/or 171 28-29/11 Council - Orientation debate on SPs and Rules 12-15/12 EP - 1st reading on EC FP. Opinion on Euratom FP 2006 Feb/Mar Council - Common position on EC FP EP - 1 st reading on EC Rules. Opinion on Euratom Rules. April Common position on EC Rules May/June EP - 2 nd reading on EC FP; Opinion on SPs; 2 nd reading on EC Rules (earliest) June Council - Adoption of FP and Rules (earliest) July Council and EP - Adoption of FP and Rules July Council - Adoption of the SPs Oct Commission - Adoption of Work programmes and necessary materials Nov Commission - Publication of 1 st calls 4 8