Building the Europe of
Knowledge
Information on the 7th Framework Programme
for Research 2007 - 2013
Theme 4 “NMP”
budgetary provisions are subject
to the decision on the
« financial perspectives »
Disclaimer: Note that these slides are not legally binding and do not
represent any commitment on behalf of the European Commission
renzo.tomellini@cec.eu.int
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 (GSM, remote working, safe roads, etc.)
R&D – European weaknesses
R&D intensity (% of GDP)
EU-25
US
Japan
1.97
2.59
3.12
55.9
63.1
73.9
5.5
9.0
9.7
38.3
31.1
9.6
639
809
569
31.5
34.3
26.9
30.5
53.1
92.6
19.7
28.5
26.5
16.7
20.0
10.6
(3)
Share of R&D financed by industry (%)
(2)
Researchers per thousand labour force (FTE)
Share of world scientific publications (%)
(3)
Scientific publications per million population
Share of world triadic patents (%)
(3)
(3)
(1)
Triadic patents per million population
(1)
High-tech exports as a share of total
manufacturing exports (%) (3)
Share of world high-tech exports (%)
Note:
(1)
2000 data
(2)
(2)
2002 data
(3)
2003 data
Why research at
European level?

Pooling resources

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Excellence in research




Assembling critical mass,
Enabling “big science”,
Leveraging private investment
Supporting research careers and mobility of researchers,
Creating world class centres of excellence,
EU level competition to increase quality and creativity
Integration of research




Addressing pan-European challenges,
Coordinating national and regional policies,
Conducting comparative research at EU level,
Disseminating research results more widely
FPs: significant impacts on S&T
and the economy

Economic benefits
€1
(research)
at European level

(long-run, econometric models)
Reduced commercial risk



€4-7
increased turnover and profitability
enhanced productivity and market share
Innovative performance

Enterprises participating in FP:



tend to be more innovative
more likely to patent
engage in innovative co-operation with other firms
and universities
FPs: strong impact on the
integration of the ERA

Concentration of research efforts through larger
projects with critical mass



Average number of participants per project:
4.7 (FP2)
14 (FP6)
Average number of MS per project:
3 (FP2)
6.7 (FP6)
Average EU funding per project:
€1.2 million (FP2)
€4.6 million (FP6)

Top-level scientists:

ERA more attractive to researchers worldwide.
e.g. six Nobel prize winners involved in
FP6 fundamental genomics projects

Number of participating countries from across the world:
30 (FP2)
140 (FP5)
Projected FP7 economic impacts
(by 2030, as compared to a business-as-usual scenario)
Discontinuing
the FP and no
national
compensation
Doubling
funding under
FP7, moderate
growth
thereafter
Doubling
funding
under FP7,
rapid
growth
thereafter
Extra GDP (%)
- 0.84
+ 0.45
+ 0.96
Extra GDP when taking account of
increases over time in the quality of
products (%)
- 1.31
+ 0.69
+ 1.66
- 840 000
+ 418 000
+ 925 000
- 87 000
+ 40 000
+ 214 000
- 0.089
+ 0.059
+ 0.228
-1.92
+0.64
+1.57
+ 1.43
- 0.27
- 0.88
Indicators
Extra employment (#)
Extra jobs in research (#)
Increase in R&D intensity (% of GDP)
Change in exports to outside Europe (%)
Change in imports from outside
Europe (%)
Preparation of a
Framework Programme
Three key documents:
 The Framework Programme
Proposals
 Specific Programmes
 Rules for Participation
all documents are published on CORDIS
(addresses are on the last slide)
Framework Programme 7


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
Sets out the structure, the key research
priorities and the implementation
procedure
Co-decision procedure (Art. 251 EC)
Negotiation within the Council: Working
Group, Coreper, Council
Negotiation within the European
Parliament: ITRE (Buzek), plenary
Opinions by CoR and EESC
Specific Programmes





Provides further insight into the research
priorities, implementation procedures and
novel content
Approval procedure (Art. 252 EC) i.e.
decided by Council following opinion of
European Parliament
FP7 - separate EP-rapporteur for each SP
Negotiation within the Council: Working
Group, Coreper, Council
Opinions by EESC
Rules for Participation






Commission proposal in December 2005
Sets out the legal, financial and IP
provisions for participants
Co-decision procedure (Art. 251 EC)
Negotiation within the Council: Working
Group, Coreper, Council
Negotiation within the European
Parliament: ITRE, plenary
Opinions by CoR and EESC
Example of co-decision
procedure
Commission opinion
on EP amendments
Direct approval if agreement with EP
New !
Consultations (online etc)
Council 2
4
5
(within 3 months)
Commission
Proposal
Opinion
Common
position
Amendments
(approval within
6 weeks)
Conciliation:
joint text
Adoption
(absolute majority
of members)
FP evaluations
European
Research
Advisory Board
(approval within
6 weeks)
(within 3 months)
1
3
4
European Parliament
Council decides by qualified majority except on EP amendments
not approved by the Commission
5
Specific Programmes
(FP7 2007 – 2013)
Cooperation – Collaborative research
Ideas – Frontier Research
People – Human Potential
Capacities – Research Capacity
+
JRC (non-nuclear)
JRC (nuclear)
Euratom
Cooperation – Collaborative
research
9 Thematic Priorities
1.
2.
3.
4.
5.
6.
7.
8.
9.
+
Health
Food, agriculture and biotechnology
Information and communication technologies
Nanosciences, nanotechnologies, materials and new
production technologies
Energy
Environment (including climate change)
Transport (including aeronautics)
Socio-economic sciences and the humanities
Security and space
Euratom: Fusion energy research, nuclear fission
and radiation protection
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
Ideas – European Research
Council


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
Frontier research
Support to individual teams, to
promote excellence through Europewide competition
Dedicated implementation structure
(Executive Agency)
Independent scientific governance
(Scientific Council)
European Research Council



Independent; respected
personalities, reflecting the full scope
of European research
Responsible for scientific strategy,
oversight and guarantee of quality in
scientific decision-making
Prior to FP7 decision, would act as
advisory body in the development of
the “Ideas” programme
People – Human Potential
Initial training of researchers
Marie Curie Networks
Life-long training and career development
Individual Fellowships
Co-financing of regional/national/international programmes
Industry-academia pathways and partnerships
Industry-Academia Scheme
International dimension
Outgoing International Fellowships; Incoming International Fellowships
International Cooperation Scheme; Reintegration grants
Specific actions
Excellence awards
Capacities –
Research Capacity
1.
2.
3.
4.
5.
6.
Research Infrastructures
Research for the benefit of SMEs
Regions of Knowledge
Research Potential
Science in Society
Activities of International Cooperation
3. Regions of Knowledge

Development of regional ‘research-driven
clusters’
Two objectives for European regions:
Strengthen their capacity for
investing in RTD and carrying
out research activities
Maximising their potential
for a successful involvement
of their operators in European
research projects
Regions of Knowledge
Activities:

Bring together regional research actors

Universities
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Research centres

Industry

Public authorities

Joint analysis of research agendas of regional clusters

Develop deployment strategies, including mentoring
Regions of Knowledge
Expected outcomes:

Improved research networking

Better access to R&D funding sources

Better integration of research actors in regional
economies

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Close relationship with other related EU policies
Synergies with regional policy

Convergence and Outermost (RUP) regions
R&D and Innovation,
top priorities in the
New Structural Funds

In new Objectives, STRF back Lisbon Strategy by



Strengthening R&D capacity in less-advanced
regions
Ensuring fruits of research spread to all regions
Synergy with FP7

Not necessarily co-funding same activities, but …

Complementary funding where possible
EURATOM
Framework Programme
Objectives

Nuclear fission & radiation protection

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

developing safer management of long-lived
radioactive waste
promoting safer, more resource-efficient and
competitive exploitation of nuclear energy
ensuring a robust and socially acceptable system of
protection of man and the environment against the
effects of ionising radiation.
Fusion energy research


ITER
creation of prototype reactors for power stations
which are safe, sustainable, environmentally
responsible, and economically viable
Specific Programme
proposals


Proposals for 7 Specific Programmes presented
on 21 September 2005
More details on:
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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
Funding Schemes:
General Principles


FP6 emphasised new instruments to structure
research efforts and overcome fragmentation
FP7 proposes flexible use of funding schemes,
either alone or in combination, to fund actions
that address scientific and technological
objectives throughout the Framework Programme.
Funding Schemes:
General Principles (2)

The decisions for work programmes and calls for
proposals will mention, as and when appropriate:

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The type(s) of scheme(s) used to fund different actions;
The participants (such as research organisations, universities, industry,
public authorities) which can benefit from it;
The types of activities (research, development, demonstration,
training, dissemination, transfer of knowledge and other related
activities) which can be funded through each of them.
Where different funding schemes can be used, work
programmes may specify the funding scheme to be
used for each element of the call for proposals
What’s new in the EC
proposal?
Main new elements compared to FP6:
 Duration increased from 5 to 7 years
 Original proposal: annual budget doubled, from
€5 billion to €10 billion
 Basic research
 New structure: cooperation, ideas, people,
capacities
 Flexible funding schemes
 Joint Technology Initiatives
 Simpler procedures
 Logistical and administrative tasks  external
structures
FP7 – what’s new?
Not “new” but evolution (continuity) of
successful FP6 elements:
 Themes for collaborative research (but with



some new areas and greater flexibility)
Marie Curie actions (but with new emphasis, e.g.
international aspects and industry-academia
mobility)
SME specific actions (but with major increase in
budget)
Funding schemes (but with improvements)
FP7 – what’s new?
…and major new approaches

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Joint Technology Initiatives
Coordination of National Research Programmes
(Art. 169)
New research infrastructures
Simplification
European Research Council
Research Potential scheme to exploit research
excellence in “convergence regions”
Risk sharing finance facility (increasing the availability of
European Investment Bank loans)
Management
The proposed doubled FP budget does
not increase Commission staff 
 Need new structures to manage the
increase
 “Externalise” part of the FP management
to executive agencies for the first time
 Policy-related tasks remain with
Commission
European Technology
Platforms and JTIs

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Industrial character : Bottom-Up Approach with
Industry in Lead
Wide Stakeholder Involvement
Flexibility: No “One Size Fits All”
EU Role: Facilitating and Guiding but not Leading
or Owning
Majority of Strategic Research Agendas, where
Appropriate, Taken into Account in Thematic
Priorities of FP7
Minority of Strategic Research Agendas Identified
through Dialogue with Industry as Potential
“Joint Technology Initiatives”
Joint Technology Initiatives

Firmly Anchored in Themes of the Cooperation
Programme

In Fields of Major European Public Interest

Six Fields Envisaged at this Stage


Innovative medicines

Nanoelectronics

Embedded systems
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Aeronautics and air traffic management
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Hydrogen and fuel cells

Global monitoring for environment and security
Other Fields Possible Subsequently
Co-ordination of nonCommunity research
Programmes (Art. 169 EC)


Subject to co-decision procedure (Art. 215 EC)
Four areas are proposed:
 Baltic Sea Research
 Ambient Assisted Living
 Metrology
 Research Performing SMEs
New research
infrastructures


Construction of new infrastructures and
major updates of existing ones
 Based on work of ESFRI
 On basis of Article 171 when relevant
Design and foresight studies
 Bottom-up approach
 Exploratory awards and feasibility studies for
new infrastructures
Simplification of procedures
Measures proposed:



Rationalising the funding schemes
 simpler set of funding instruments
Avoiding red-tape!
 less bureaucratic and more user-friendly
languages
Reducing
 number and size of documents
 number of requests to participants
Risk-sharing finance facility:
Objectives and added value

Innovative financing mechanism

Improve access to EIB loan finance

Foster increased private investment in research

Risk-sharing with EIB to allow
Larger volume of EIB lending
 Financing of riskier projects by EIB
Leverage effect
extra lending by EIB = 34 times EU funds allocated

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Benefit from EIB experience and management
FP7 Timetable
June 2004
Communication on the future of EU research policy
April 2005
Commission proposals for FP7 decision, extended
Impact Assessment
Sept. 2005
Proposals for Specific Programmes
Nov. 2005
Partial general political agreement
in the Competitiveness Council
Dec. 2005
Proposals for Rules for Participation and Dissemination
Next steps (indicative):
June 2006
Common Position of the Council
July 2006
Second reading / European Parliament
Oct./Nov. 2006 Adoption
Dec. 2006
First calls under FP 7
Budgets of the EU FPs 1984-2013
possible scenario
NB: Budgets in current prices. Source: Annual Report 2003, plus FP7 proposal
FP7 budget
(€ billion, current prices)
original Commission proposal
Framework Programme 7:
Objectives and activities
original Commission proposal
FP7 EC (cash prices)
COOPERATION
Themes
Health
Biotech,
Food,
Agriculture
Information
Society
Nano,
Materials,
Production
Energy
Collaborative Research
8.317
2.455
12.670
4.832
2.931
IDEAS
European Research Council
PEOPLE
Marie Curie Actions
R e s e a rc h Inf ra s t ruc t ure s
R e s e a rc h f o r, a nd by,
SM Es
R e gio ns o f
Kno wle dge
R e s e a rc h P o t e nt ia l
SocioSpace and
Environment Transport economic
Security
Research
2.535
5.940
792
3.960
44.432
11.862
7.129
S c ie nc e in S o c ie t y
Int e rna t io na l
C o - o pe ra t io n
CAPACITIES
7.486
3.961
1.901
158
554
554
358
JRC (EC)
1.817
Total
72.726
Financial Perspectives
2007 - 2013



The „financial perspectives“ are a tool for
multi-annual budgeting in the EU
Final decisions on the FP7 are thus subject
to the „financial perspectives“
The Commission will put forward a revised
proposal for the framework programme
taking into account „the moneys available“
Relationship between texts
Framework
Programme
Rules of
Participation (Art 167)
SP: Capacities
SP: People
SP: Ideas
Simplified
contracts
SP: Cooperation
Themes: Work
Programmes
Information packs,
manuals for
participants...
Theme 4 will have its own work programme
Theme 4:
Nanosciences, nanotechnologies,
materials
and new production technologies
FP7 Total Budget 2007-13 (proposed) :
72 726 mio €
- Theme 4 budget: 4 832 mio €
original Commission proposal
Theme 4:
Nanosciences, nanotechnologies,
materials
and new production technologies
Overall objective : improve the competitiveness of EU
industry (including SMEs) and ensure its
transformation through:
 the effective transition from a resource-based to
knowledge-based industry
 generation of new breakthrough, applicable, knowledge
 strengthening EU leadership in nano, materials and
production technologies
 emphasis on integrating different technologies and
disciplines across many sectors

… Same messages as in FP 6
Importance of Technology Platforms to help
establish common research priorities
Theme 4:
Nanosciences, nanotechnologies,
materials
and new production technologies
Four activities:
1. Nanosciences and nanotechnologies
2. Materials
3. New production
4. Integration of technologies for industrial applications
…very good continuity with « NMP » activities in
FP 6 !!
The Work Programme will be developed during
2006… More S&T details; Funding schemes
(« instruments ») preferred; Indicative budgets
for calls; Call road map …
Theme 4:
Nanosciences, nanotechnologies,
materials
and new production technologies
1. Nanosciences and nanotechnologies
Objective: increase and support the take up of
knowledge generated in this revolutionary field for all
industrial sectors
Topics include: interface and size dependent
phenomena; materials properties at nano-scale; self
assembly; metrology; new concepts and approaches;
impacts on health and safety; convergence of emerging
technologies
Theme 4:
Nanosciences, nanotechnologies,
materials
and new production technologies
2. Materials
Objective: generate new knowledge to enable new
industrial products and processes to be achieved,
exploiting the potential of interdisciplinary approaches
in materials research.
Topics include: high performance, sustainable and
knowledge-based materials; design and simulation;
nano-, bio- and hybrid materials and their processing;
chemical technologies and materials processing
industries
Theme 4:
Nanosciences, nanotechnologies,
materials
and new production technologies
3. New production
Objective: create continuously innovating production
capabilities to achieve leadership in industrial products
& processes in the global marketplace.
Topics include: Knowledge-intensive production; new
paradigms for emerging industrial needs; adaptive,
networked and knowledge-based production;
convergence of technologies for next generation of
high value-added products (nano, bio, info, cognitive..)
Theme 4:
Nanosciences, nanotechnologies,
materials
and new production technologies
4. Integration of technologies for industrial
applications
Objective: accelerate the rate of industrial
transformation by exploiting the application potential of
new generic technologies.
Topics include: Integration of nano, materials and
production technologies in sectoral and cross-sectoral
applications (e.g. health, construction, transport, energy,
chemistry, environment, textiles & clothing, pulp &
paper, mechanical engineering,…)
Theme 4:
Nanosciences, nanotechnologies,
materials
and new production technologies
Technology Platforms related to
Theme 4:
Nano-electronics (ENIAC); Nanomedicine;
Sustainable Chemistry; Steel; Future Textiles &
Clothing; Manufacturing Technologies; Construction
Technology; Industrial Safety; Hydrogen;
Photovoltaics…
Possible special features
of Theme 4:
Theme 4:
Nanosciences, nanotechnologies,
materials
and new production technologies

No pre-set budget split between sub-areas

Continue with 2-Stage submission ( i.e. FP 6 – IPs, NoEs)

IP-SMEs – a form of dedicated “collaborative project”

Research projects at “frontiers of knowledge” still

NoEs – Only where integration is needed

More Joint Calls (e.g. with Theme 3 – IST); More
Coordinated Calls (e.g. with Third Countries and/or other
Themes within SP 1 and JTIs);
 International
Cooperation: different according to countries
(DEV, MED, NIS,…; ‘industrialised’ – IMS, USA, Jap,…)
Possible special features
of Theme 4:
Theme 4:
Nanosciences, nanotechnologies,
materials
and new production technologies
 Policy
Needs and Road Mapping - Coordination/ support actions
as well as ERA-NET


Synergies with Technology Platforms and JTIs  SRAs input
towards RTD priorities of WP
Synergies with EUREKA and COST
Topics, implementation modalities, type of calls, detailed
WP contents, evaluation procedures,…: key role for
Programme Committee and other advisory bodies. NCPs
remain crucial for potential participants!
Funding Schemes
1. Collaborative projects
rate or Lump sum )



(Cost basis: Eligible, Flat
Trans-national consortia
New knowledge, technology, products or
common resources for research
Size, scope and internal organisation of projects
can vary
2. Networks of Excellence
ONLY !)



(N.B. Lump Sum Funding
Joint programmes by organisations integrating
activities in a given field
Longer term co-operation
Commitment to integrate resources
Funding Schemes
continued
3.
Coordination and support actions

networking, exchanges, trans-national access to
research infrastructures, studies, conferences,
etc.
4.Individual projects (Basic research via ERC…)
5. Training and career of researchers
6. Research for the benefit of specific groups
(in particular SMEs such as CRAFT
Feasibility Awards are reintroduced )
The Commission proposal for
the Rules of Participation in the
7th RTD Framework Programme
(as adopted on 23.12.05)
General aspects
The rules, in particular the introductory
memorandum, are very much focussed on the
aspects of simplification, e.g.:
• electronic submission will be rule
• internal rules for financial viability checks
• no more collective financial responsibility
 guarantee fund ?
No more bank guarantees ?
• Programme Committee(s) shall become more strategic
• establishment of help desks and clearing houses
(responsibilities?)
Proposal preparation
“Public bodies” are defined with reference to
national law
“Third country” definition is general = not a
Member State.
“Associated State” = not a Member State but
paying into FP7
Minimum Participation: 3 independent
participants from 3 different Member States or
Associated countries
Proposal Preparation
Specific:
Frontier research actions (ERC): – at least one
legal entity established in a Member State or
Associated country
Coordination and support actions and actions in
favour of training and career development of
researchers – minimum of one legal entity (no
limit on place of establishment)
International cooperation projects: partner
countries in parity with Member or Associated
States, i.e. minimum is 4 participants
Proposal Evaluation
• evaluation criteria not specified in the
Participation Rules, but in the Specific
Programmes and annual Work Programmes
(diversity vs. harmonisation)
• no evaluation for some specific support actions
• experts “only” with appropriate skills and
knowledge; not “high-ranking” anymore
• the list of experts will be published periodically
per specific programme
• two-stage evaluation mentioned as possibility,
with specific rules to be established
Implementation
Model grant agreement to be drawn up:
• identify whether and what part of the EC financial contribution is
based on reimbursement of eligible costs, lump sums or flat rates;
• Identify which changes in composition of the consortium require
prior publication of a competitive call, and;
• shall reflect the principles laid down in the European Charter for
Researchers and the Code of Conduct for the Recruitment of
Researchers
• grant agreement comes into force upon signature by the coordinator
and the Commission and applies to each participant that has
acceded to it
• Consortium agreements obligatory unless exempted by call for
proposals
Maximum funding
rates
• Research and technological activities – 50% of eligible
costs except that for:
• SMEs – 75%
• Public bodies – 75%
• Secondary and higher education establishments – 75%
• Research organisations (non-profit) – 75%
•
•
•
•
•
Demonstration activities – 50% of eligible costs
Other activities – 100% of eligible costs
Frontier research actions – 100%
Coordination and support actions – 100%
Training and career development of researchers actions –
100%
• Flat rate for overheads not specified in the Rules
Financial management
• Eligible costs definition remains unchanged
•Average personnel costs may be used if consistent with
above and do not differ significantly from actual
• Audit certificates continued but rationalised
• one audit certificate at the end of contract obligatory for
grants with
reimbursement of eligible costs
• public bodies can use competent public officers
Lump-sum for
Networks of Excellence
• A specific lump sum is identified for Networks of Excellence
(NoEs) (unless otherwise provided for in work programme),
calculated according to the number of researchers to be
integrated (€ 23,500 / year / researcher)
•Lump sums and flat rates do not require justification of
eligible costs
• Payments based on progress of integration measured by
indicators (to be defined)
Intellectual Property Rights
• back to definition and use of the terms “background” and
“foreground” for knowledge pre-existing to a project or
knowledge generated therein.
• no time limit anymore for notification on transfer of
foreground. Commission not to notify unless specified in the
contract
• new: participants can define the background needed for
project (“positive list”, p.m. FP6 = only “negative list”)
THANK YOU
for your attention



http://cordis.europa.eu.int/fp7/
http://europa.eu.int/eurlex/lex/LexUriServ/site/en/com/2005/com2005_
0705en01.pdf for the “rules of participation”
http://cordis.europa.eu.int/nanotechnology