Framework Programmes for Research and Technological Development

The Framework Programmes for Research and Technological Development, also called Framework Programmes or abbreviated FP1 to FP7 with "FP8" being named "Horizon 2020", are funding programmes created by the European Union/European Commission to support and foster research in the European Research Area (ERA). The specific objectives and actions vary between funding periods. In FP6 and FP7 focus was still in technological research, in Horizon 2020 the focus is in innovation, delivering economic growth faster and delivering solutions to end users that are often governmental agencies.

Background

Conducting European research policies and implementing European research programmes is an obligation under the Amsterdam Treaty, which includes a chapter on research and technological development. The programmes are defined by Commission civil servants that are aided by various official advisory group and lobby groups. E.g. to advise the European Commission on the overall strategy to be followed in carrying out the Information and Communication Technology thematic priority, the Information Society Technologies Advisory Group (ISTAG) was set up.^[1]

The framework programmes

The framework programmes up until Framework Programme 6 (FP6) covered five-year periods, but from Framework Programme 7 (FP7) on, programmes run for seven years. The Framework Programmes, and their budgets in billions of Euros, are presented in the table below.^[2] For FP1–FP5, program expenditures were made in European Currency Units; from FP6 onward budgets were in Euros. The values presented below are in Euros.

ID	Framework Programme	period	Budget (billions of €)
FP1	First[3]	1984–1987	3.8
FP2	Second[4]	1987–1991	5.4
FP3	Third[5]	1990–1994	6.6
FP4	Fourth[6]	1994–1998	13.2
FP5	Fifth[7]	1998–2002	15.0
FP6	Sixth[8]	2002–2006	17.9
FP7	Seventh	2007–2013	50.5 over seven years + 2.7 for Euratom over five years[9]
FP8	Horizon 2020 (Eighth)[10]	2014–2020	80 (estimated)[11]

Funding instruments

FP6 and FP7

Framework Programme 6 and 7 (2002–13) projects were generally funded through instruments, the most important of which are listed below.

• Integrating Project (IP)
  • Medium- to large-sized collaborative research projects funded in FP6 and FP7. They are composed of a minimum of three partners coming from three different countries from Associated states but can join several tens of partners. The typical duration of such projects is three to five years but there is not a defined upper limit. The budget granted by the Commission can reach several tens of million euros, paid as a fraction of the actual costs spent by the participants.^[12]
  • IPs specifically aim at fostering European competitiveness in basic research and applied science with a focus on "addressing major needs in society" defined by the Priority Themes of the Framework Programme. Like STRePs (see below), IPs ask for a strong participation of small or medium-sized enterprises (SMEs) to ascertain the translation of research results into commercially viable products or services.^[13]
• Network of Excellence (NoE)
  • Medium-sized research projects co-funded by the European Commission in FP6 and FP7. These projects are "designed to strengthen scientific and technological excellence on a particular research topic through the durable integration of the research capacities of the participants."^[14]
  • NoE projects require the minimum participation of three different EU member nations, however, projects are usually expected to involve at least six countries.^[15] Projects are provided grants for a maximum of seven years. The budget granted by the Commission is €1–6 million per year depending upon the number of researchers involved.^[15]
  • An NoE project should not strictly be considered as a research project, since its aim is not to conduct research, but rather to contribute to the clarification of the concepts in the covered field.
• Specific Targeted Research Projects (STReP)
  • Medium-sized research projects funded by the European Commission in the FP6 and FP7 funding programs. STReP projects are composed by a minimum of three partners coming from three different countries from Associated states. The typical duration of such projects is two to three years. In FP6, they generally involved between six and 15 partners. The budget granted by the Commission is in average around €2 million.^[16]

Horizon 2020

Horizon 2020 is the eighth framework programme funding research, technological development, and innovation. The programme's name has been modified to "Framework Programme for Research and Innovation". The framework programme is implemented by the European Commission, the executive body of the European Union, either by various internal directorate general (DGs), such as the directorate general for research and innovation (DG RTD) or the directorate general for communications networks, content and Technology, or by executive agencies such as the Research Executive Agency (REA), the Executive Agency for SMEs (EASME), or the ERC Executive Agency (ERCEA). The framework programme's objective is to complete the European Research Area (ERA) by coordinating national research policies and pooling research funding in some areas to avoid duplication. Horizon 2020 itself is seen as a policy instrument to implement other high-level policy initiatives of the European Union, such as Europe 2020 and Innovation Union. The programme runs from 2014–20 and provides an estimated €80 billion of funding,^[17][18] an increase of 23 per cent on the previous phase.^[19]

Horizon 2020 provides grants to research and innovation projects through open and competitive calls for proposals. Legal entities from any country are eligible to submit project proposals to these calls. Participation from outside the European Union is explicitly encouraged.^[20] Participants from European Union member states and countries associated to Horizon 2020 are automatically funded. Associated countries have signed an association agreement for the purposes of this framework programme. To date, 14 countries are associated to Horizon 2020.^[21] Switzerland is considered as "partly associated" due to the 2014 referendums held by Switzerland, which free movement of workers between Switzerland and the EU. Swiss organisations continue to be active participants in Horizon 2020, however, their participation is sometimes covered by national funding. Israel is an "associated country" to Horizon 2020. A central point of negotiation was funding to projects beyond the Green Line;.^[22] Israel published its views in an Appendix to the official documents. Horizon 2020 supports Open access to research results,^[23] in order to create greater efficiency, improve transparency and accelerate innovation.^[24]

Horizon 2020 is also implementing the European environmental research and innovation policy, which is aimed at defining and turning into reality a transformative agenda for greening the economy and the society as a whole so as to achieve a truly sustainable development.

Structure

The programme consists of three main research areas that are called "pillars".

• The first pillar, "Excellent Science", focuses on basic science. It has a budget of 24 billion euro. The European Research Council (ERC) delivers 13 billion euro to researchers and teams of researchers based on scientific excellence of the applications. This pillar funds future and emerging technologies (FET, €2.7 billion) and researcher mobility (Marie Sklodowska-Curie Action (MSCA), €6.1 billion) and large European research infrastructures (€2.5 billion).
  • MSCA supports the career development and training of researchers at all stages of their careers. It is the main EU programme for doctoral training funding 25,000 PhDs during seven years. It co-funds national PhD programmes. Other MSCA funding targets research networks, fellowships for individual researchers, research staff exchanges and arrange "European Researchers' Night"-event annually on the last Friday of September.
• The second pillar is "Industrial Leadership", with a budget of 14 billion euro. It is managed by DG Enterprise and based on Europe 2020 and Innovation Union strategies. The pillar consists of six sub-programmes within "Leadership in Enabling and Industrial Technologies":
  • Information and communication technologies
  • Nanotechnologies
  • Advanced materials
  • Advanced manufacturing and processing
  • Biotechnology
  • Space

These technologies all have European technology platforms (ETP; fora for research communities to meet) with their respective strategic research agendas (SRA). Some technologies have long term funding instruments, such as joint technology initiatives (JTI). Some technologies are labelled key enabling technologies (KET).

This pillar contains special efforts to SME funding and gives also risk financing (2.8 billion euro) e.g. through loans of the European Investment Bank.

• The third pillar funds potential solutions to social and economic problems, "Societal challenges" (SC), in the following seven sub-programmes:
  • Health (€7.5 billion)
  • Food, water, forestry, bioeconomy (€3.8 billion)
  • Energy (€5.9 billion)
  • Transport (€6.3 billion)
  • Climate action, environment, resource efficiency, and raw materials (€3.1 billion)^[25]
  • European society (€1.3 billion)
  • Security (€1.7 billion)
  • This pillar also funds themes names as "Science with and for society" (€0.5 billion) and "Spreading excellence and widening participation" (€0.8 billion).

The structure follows the previous framework programme (FP7, 2007–13) to the level of the sub-programmes under the pillars. In the industrial pillar the goal is to find ways to modernize European industries that have suffered from a fragmented European market. In societal challenges the goal is implementation of solutions, less on technology development.

Illustrative projects

OpenAIRE

A network of Open Access repositories, archives and journals that support Open Access policies. The OpenAIRE Consortium is a Horizon 2020 (FP8) project, aimed to support the implementation of the EC and ERC Open Access policies.

"

Its successor OpenAIREplus is aimed at linking the aggregated research publications to the accompanying research and project information, datasets and author information.

Open access to scientific peer reviewed publications has evolved from a pilot project with limited scope in FP7 to an underlying principle in the Horizon 2020 funding scheme, obligatory for all H2020 funded projects.

The goal is to make as much European funded research output as possible available to all, via the OpenAIRE portal.

", openaire.eu FAQ^[26]

The Zenodo research data repository is a product of OpenAIRE. The OpenAIRE portal is at https://www.openaire.eu

Criticism of the programmes

The programmes have been criticized on various grounds, such as actually diminishing Europe's industrial competitiveness^[27] and failing to deliver fundamental excellence and global economic competitiveness.^[28] In 2010, the Austrian Research Promotion Agency launched a petition calling for a simplification of administrative procedures, which attracted over 13,000 signatories.^[29] The numerous other criticisms of the petitioners were later distilled into a Green Paper.^[30] In Horizon 2020 there are significant simplifications: e.g. fewer funding rates (increasing the funding rates of the large companies), less reporting, less auditing, shorter time from proposal to project kick-off.

References

1. "ISTAG website". Cordis.lu. 20 October 2011. Retrieved 29 November 2011.
2. Artis, M. J. and F. Nixson, Eds. "The Economics of the European Union: Policy and Analysis" (4th ed.), Oxford University Press 2007
3. OJ C208 – 04/08/1983
4. OJ L302 – 24/10/1987; 87/516/Euratom, EEC
5. OJ L117 – 08/05/1990; 90/221/Euratom, EEC
6. OJ L126 – 18/05/1994; No 1110/94/EC
7. OJ L26 – 01/02/1999; No 182/1999/EC
8. OJ L232 – 29/08/2002; No 1513/2002/EC
9. "How is FP 7 structured? from FP7 in Brief". European Commission. Retrieved 31 July 2011.
10. Cordis. "The EU Framework Programme for Research and Innovation". Retrieved 19 July 2012.
11. Grove, Jack (28 July 2011). "Grove, Jack "'Triple miracle' sees huge rise in EU funds for frontier research", Times Higher Education, 28 July 2011". Timeshighereducation.co.uk. Retrieved 29 November 2011.
12. CORDIS reference page
13. "Provisions for Implementing Integrated Projects" (PDF). Retrieved 29 November 2011.
14. "What is FP6: Instruments: Network of Excellence". European Commission. Retrieved 22 June 2009.
15. "Provisions for Implementing Networks of Excellence", cordis.europa.eu. Retrieved 25 June 2009
16. "Guide for applicants (Collaborative projects - Small and Medium-scale focused Research Projects - STREP)". European Commission. Retrieved 2 November 2012.
17. Grove, Jack (2011). "'Triple miracle' sees huge rise in EU funds for frontier research". Times Higher Education. Retrieved 16 March 2014.
18. Amos, Jonathan. "Horizon 2020: UK launch for EU's £67bn research budget". BBC. Retrieved 16 March 2014.
19. Rabesandratana, Tania. "E.U. Leaders Agree on Science Budget". ScienceInsider. Retrieved 19 March 2014.
20. http://ec.europa.eu/research/participants/data/ref/h2020/grants_manual/hi/3cpart/h2020-hi-3cpart_en.pdf
21. http://ec.europa.eu/research/participants/data/ref/h2020/grants_manual/hi/3cpart/h2020-hi-list-ac_en.pdf
22. Elis, Niv (2014). "Israel joins 77 billion euro Horizon 2020 R&D program". The Jerusalem Post. Retrieved 16 March 2014.
23. "Fact sheet: Open Access in Horizon 2020" (PDF). European Commission. 9 December 2013. Retrieved 19 March 2014.
24. "Guidelines on Open Access to Scientific Publications and Research Data in Horizon 2020" (PDF). European Commission. Retrieved 19 March 2014.
25. See the Research and Innovation SC5 projects 2014 & 2015 one-stage catalogue https://circabc.europa.eu/sd/a/8cdd0cdc-bf67-4393-b45a-68d36b9408b9/Research%20and%20Innovation%20SC5%20projects%202014%20&%202015%20one-stage
26. https://www.openaire.eu/support/faq#ifaqCat-22
27. Financial Control and Fraud in the Community. House of Lords Select Committee on the European Communities, 12th Report. London: HMSO (1994).
28. H. Matthews, The 7th EU research framework programme. Nanotechnol. Perceptions 1 (2005) 99–105.
29. "Cerexhe receives petition for the simplification of administrative procedures for researchers". Retrieved 16 January 2014.
30. "Green Paper "From Challenges to Opportunities: Towards a Common Strategic Framework for EU Research and Innovation funding"" (PDF). Austrian Research Promotion Agency (FFG), Vienna. May 2011.

External links

• EU Research & Innovation web site
• Community Research and Development Information Service (CORDIS)
• Search Engine of Topics and Projects
• Statistics for FP7 (FR)
• Horizon 2020 - Participant Portal